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Creating Custodians of Heritage: A Multiple Case Study Perspective of United Kingdom World Heritage Sites Mr Sean Lochrie Submitted for the degree of Doctor of Philosophy Heriot-Watt University Department of Management and Languages April 2016 The copyright in this thesis is owned by the author. Any quotation from the thesis or use of any of the information contained in it must acknowledge this thesis as the source of the quotation or information. i Abstract Research within cultural heritage and World Heritage Site management demonstrates the importance of conservation and effective managerial approaches for the protection of historical assets. However, World Heritage Sites are often characterised by multiple ownership patterns and diverse stakeholder interests, rendering collective and amicable management challenging. Therefore, through combining stewardship and stakeholder theories this research aims to develop a ‘custodianship behaviour model’ for the management of World Heritage Sites. This model focuses on developing custodianship behaviours among representatives within WHS management approaches and wider stakeholders. To accomplish this, the methodology of this thesis is grounded in a multiple case study approach focusing on three World Heritage Sites: Edinburgh’s Old and New Towns, Derwent Valley Mills, and the Antonine Wall. Data collection techniques include semi-structured interviews, documentary analysis, and physical artefacts. The collected evidence was analysed through template analysis. This study found that environments which endorse collaboration, involvement, open communication, trust and participatory decision-making are starting points in developing custodianship behaviours among managers. The findings also indicate that through engagement strategies, particularly ones which embrace participatory and continual engagement, managers were able to foster custodianship behaviours among external stakeholders. Despite custodianship behaviours being apparent, there are challenges which act as impediments and include: irregular interactions between managers, working groups not functioning, conflicting agendas and controversial decision-making. This research also stresses the importance of two emerging themes which can constrain or support custodianship – resources and time. Fostering custodianship is also dependent on a dedicated team that are devoted to WHS management and are able to develop and maintain stakeholder relationships. Underlining the theoretical and contextual contribution, this study ends with the presentation of a custodianship behaviour model (see Figure 21). WHS managers can use this model to develop favourable behaviours among site managers and stakeholders. To conclude, this research suggests proposes a number of recommendations for managerial practise, as well as reflection on the study’s limitations and areas of future research. ii Dedication This thesis is dedicated to Claire and my parents; thank for you all your love and support throughout my PhD and my life. iii Acknowledgements At times, the PhD expedition can feel like a lonely journey. However, the network of people who have supported me along the way has made the trip both worthwhile and enjoyable. Therefore, I would like to express my appreciation to all the people that have contributed to the completion of my thesis. Firstly, I would like to thank Claire and my parents for their continual support and enduring tolerance. Without their love and assistance I would have not been able to achieve this accomplishment. I would also like to convey my deepest thanks and appreciation to my supervisors, Professor Kevin O’Gorman and Dr Babak Taheri, for their guidance and invaluable support over the past three years. Their academic expertise, and friendship, has not only motivated and guided me academically, but has also been imperative in instilling in me the confidence to believe in my abilities and achieve my potential. I must also convey thanks to the many organisations and individuals across the World Heritage Sites in this study. Without their kind assistance I would have not been able to undertake this project. Lastly, I would like to thank the PhD community for their continuing support during the PhD process. The friendship, humour, copious consumption of light refreshments, and multiple cycling and squash sessions certainly helped in times of desolation. iv ACADEMIC REGISTRY Research Thesis Submission Name: Sean Lochrie School/PGI: Management and Languages Version: (i.e. First, Final Degree Sought PhD Resubmission, Final) (Award and Subject area) Declaration In accordance with the appropriate regulations I hereby submit my thesis and I declare that: 1) the thesis embodies the results of my own work and has been composed by myself 2) where appropriate, I have made acknowledgement of the work of others and have made reference to work carried out in collaboration with other persons 3) the thesis is the correct version of the thesis for submission and is the same version as any electronic versions submitted*. 4) my thesis for the award referred to, deposited in the Heriot-Watt University Library, should be made available for loan or photocopying and be available via the Institutional Repository, subject to such conditions as the Librarian may require 5) I understand that as a student of the University I am required to abide by the Regulations of the University and to conform to its discipline. * Please note that it is the responsibility of the candidate to ensure that the correct version of the thesis is submitted. Signature of Date: 12/4/2016 Candidate: Submission Submitted By (name in capitals): Signature of Individual Submitting: Date Submitted: For Completion in the Student Service Centre (SSC) Received in the SSC by (name in capitals): Method of Submission (Handed in to SSC; posted through internal/external mail): E-thesis Submitted (mandatory for final theses) Signature: Date: v Table of Content 1 Introduction ______________________________________________________ 1 1.1 Cultural Heritage Management _______________________________________ 4 1.2 Origins and Development of World Heritage ____________________________ 9 1.2.1 The origins of ‘World Heritage’ _____________________________________________ 9 1.2.2 World Heritage Sites ____________________________________________________ 10 1.2.3 General obligations of the member states _____________________________________ 11 1.2.4 Gaining World Heritage __________________________________________________ 12 1.3 Management of World Heritage ______________________________________ 14 1.3.1 Stakeholder issues at World Heritage Sites ___________________________________ 14 1.3.2 Government ___________________________________________________________ 17 1.3.3 Locals ________________________________________________________________ 18 1.3.4 Private ownership _______________________________________________________ 20 1.3.5 World Heritage and tourism _______________________________________________ 21 1.3.6 Interpretation and education at WHS ________________________________________ 23 1.4 Rationale for Research ______________________________________________ 24 1.4.1 Definition of Custodianship _______________________________________________ 27 1.4.2 Research purpose, aim and objectives _______________________________________ 28 1.5 Structure of the Thesis ______________________________________________ 29 2 Literature Review _________________________________________________ 31 2.1 Introduction ______________________________________________________ 31 2.2 Stewardship Theory ________________________________________________ 31 2.2.1 Contextual factors for facilitating stewardship _________________________________ 33 2.2.2 Psychological underpinnings ______________________________________________ 34 2.2.3 Situational underpinnings _________________________________________________ 40 2.2.4 Structural situation ______________________________________________________ 45 2.2.5 Stewardship relationships and possible institutionalisation _______________________ 47 2.2.6 Ethical stewardship______________________________________________________ 52 2.2.7 The link between stewardship and agency ____________________________________ 58 2.2.8 Stewardship and family firms ______________________________________________ 59 2.2.9 Criticisms of stewardship theory ___________________________________________ 61 2.3 Stakeholder Theory ________________________________________________ 62 2.3.1 Stakeholder theory: origins________________________________________________ 62 2.3.2 Stakeholders: Who are they? ______________________________________________ 64 2.3.3 Stakeholder identification and salience ______________________________________ 65 2.3.4 How should and do organisations manage stakeholders _________________________ 66 2.3.5 Balancing stakeholder interests ____________________________________________ 68 2.3.6 How is stakeholder support realised by organisations? __________________________ 68 2.3.7 Stakeholder management and organisational performance _______________________ 72 2.3.8 How do stakeholders influence the firm? _____________________________________ 73 2.3.9 When will stakeholder groups assemble? _____________________________________ 74 2.3.10 Criticisms of stakeholder theory ____________________________________________ 75 2.4 Stewardship and stakeholder combined: Creating custodianship ___________ 78 3 Methodology _____________________________________________________ 84 3.1 Introduction ______________________________________________________