Melbourne Law School - Theses

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    The regulation of essential service insolvencies and the public interest : case studies of Australia's electricity industry and Melbourne's public transport industry
    Wardrop, E. Ann ( 2007)
    This thesis critically explores the regulation of the insolvency of essential services and the public interest through an examination of the common law and legislative responses in Australia, the United Kingdom and the United States. Drawing on understandings of the public interest gained from its analysis the thesis proposes a model of the public interest that may be used to justify representation of non-creditor interests within insolvency proceedings of essential services. The model also identifies non-creditor public interest considerations that extend beyond continuity of supply. The thesis then undertakes case studies of the regulation of insolvency within the Australian electricity industry and Melbourne's public transport industry to examine how effectively public interest issues have been addressed and how these are balanced against the interests of the firm and its creditors. The thesis argues that a fundamental problem of the regulation of insolvent essential services is balancing the general public's interest in the fate of the insolvent firm with the interests of others stakeholders, particularly creditors. The thesis demonstrates there is a great deal of inconsistency of response to this issue both within and between the jurisdictions under consideration. Focussing on the public interest in the continuity of supply, the United Kingdom has enacted ad hoc insolvency procedures which are initiated by the state and oust creditor control mainly in relation to the monopoly sector of various essential services. A different approach in the United States has meant public interest considerations are built into its insolvency law through a combination of legislative prescription, judicial interpretation of the Bankruptcy Code and a limited willingness to grant non-creditor representation rights in insolvency proceedings of essential services. The thesis argues that the integration model of the United States allows an appropriate balance to be struck between the interests of the firm and its creditors and the broader public interest when regulating the insolvency of essential services. In contrast Australia has not enacted ad hoc insolvency procedures or expressly integrated the public interest within its insolvency law. The case study of the Australian electricity industry shows, however, that the public interest in the continuity of supply is managed by allowing creditors' rights to be affected radically by utilities regulation such a state step-in rights and retailer of last regulation. The thesis demonstrates the fragmented and inconsistent nature of these provisions. The case study of Melbourne's train and tram industry and the examination of South Australia's privatisation of its electricity assets by way of lease show the ways in which private contracting rather than utilities regulation can manage public interest issues. The thesis concludes that while the public's interest in the continuity of supply of essential services in Australia is generally satisfactorily dealt with under current arrangements, what is less clear is whether public interest issues beyond continuity of supply will be given sufficient weight in insolvency proceedings, particularly in the context of a reorganising firm. The thesis argues it is within this area that there is space for integrating public interest considerations within Australia's insolvency law by expressly requiring the court to consider the public interest in such proceedings. Incorporating public interest considerations that recognise non-creditor stakeholder interests into Australian insolvency law requires theoretical justification. The thesis argues there are sound theoretical arguments for expanding insolvency's law role to accommodate broader stakeholder interests in the context of the insolvency of essential services and that the model of the public interest proposed by the thesis may be used as a basis for a court to grant representation rights to non-creditor interests within insolvency proceedings of essential services in Australia.
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    Effective public participation in major projects
    Murphy, Ann Elaine ( 2006)
    The thesis explores ways to make public participation processes for major projects more effective. Reviews and analysis of public participation theories and practices are provided, with particular attention to legislative requirements and judicial findings in Victoria, Australia. The questionnaire and interview findings from participants in the two Victorian case studies - the Advisory Committee for the Melbourne 2006 Commonwealth Games Village and Coode Island Community Consultative Committee -- provide first hand accounts of participants' experiences with these processes. Their responses are studied in composite to further understand `the public' as well as the participant groups making up the public to understand their views. The analysis suggests that public participation processes in Victoria need to be improved. While some guidance on conducting public participation is provided by the Victorian government and other levels of government, much of this does not directly address issues of power imbalances, politics and other practical considerations. The research findings reveal a groundswell of dissatisfaction with public participation in major projects. While case study participants strongly supported the principles of public participation they were disappointed with its reality. Significant differences between participant groups related to their evaluations of the effectiveness of these processes, their awareness of public participation legal requirements, their preference for strengthening these requirements and the appropriate levels and methods for engaging the public. Participant groups with higher levels of influence provided more positive evaluations of these processes and were less interested in strengthening their legislative requirements and appeal rights than those with the least influence. This dissertation makes several valuable contributions to town planning and legal research. The research provides valuable information on how laws work in their social and economic contexts. It provides a rich and comprehensive understanding of where public participation in major projects is failing and how it can be improved in a manner that meets the needs and abilities of a diverse public. This dissertation springs from empirical research which, though widely used in social science research, is not widely utilised in legal research. Such cross-evaluation can be especially useful for international legal research given that differences in legal systems limit the extent to which findings can he compared. This study's research methods and data can be used by subsequent researchers to test their validity and reliability. The research critically examines the applicability of an international convention to public participation in major projects. It is suggested that the three pillars of the Aarhus Convention should be viewed as progressive layers creating a pyramid of participation. The Effective Major Project Public Participation Model advocates providing basic legal requirements that focus on providing good information, followed by appropriate participation and access to independent review, while recognising the need for participant goodwill and voluntary guidelines. This model is supported by a framework, detailing key participation steps and considerations along with a matrix of preferable participation options for major projects.