In the first section of the dissertation, strike law in the Netherlands is focused upon. The following issues are inter alia dealt with: the historical background of the strike phenomenon, the right to strike and restrictions on this right, the reluctance of the Dutch legislature to legislate in the field of industrial action, and the directly applicable provisions of the European Social Charter. The second section of the dissertation deals with South African strike law and also starts off with a discussion of the historical background thereof, whereafter the provisions of the 1995 Labour Relations Act are analysed and discussed. The third and last section highlights some of the major differences and points to some similarities between the two legal systems. It concludes that the detailed South African labour legislation does not provide more certainty than the Dutch judge-made law in respect of the law relating to strikes. / Law / LL.M.

Med anledning av att flera kriser av extraordinära slag har inträffat i fredstid har förmågan att hantera dessa fått stor uppmärksamhet. Ett exempel är stormen Gudrun som lamslog delar av Sverige i januari 2005. För att kunna hantera sådana kriser behövs en fungerande beredskap och här har kommunerna en viktig roll. Om kommunerna har en väl utvecklad krisberedskap kan samhället bättre klara av en kris. Genom utvärderingar och erfarenheter från kriser har det visat sig att samverkan mellan kommuner är av stor betydelse för en god krisberedskap. Därmed är det av intresse att studera hur en sådan kan utvecklas mellan kommuner. Vilka faktorer är viktiga för att samverkan ska utvecklas? Är ömsesidig förståelse mellan kommunerna av betydelse? Vilken vikt har förtroende och tillit för samverkan? Inverkar geografin och demografin på kommuners samverkan? Påverkas samverkan av resursberoende och ekonomiska faktorer? Vilken betydelse har politiska beslut för kommuners samverkan? Detta är uppsatsens fokus där samverkan mellan fem kommuner kring krisberedskap studeras med stöd av policynätverksteori med kollektiv handling. Studien visade bland annat att faktorer såsom geografisk närhet, demografi, ekonomi och resursutbyte var viktiga för samverkan och skapandet av policynätverk bland de fem kommunerna. Även en samstämmig problemdefinition, förtroende och en ömsesidig förståelse mellan aktörerna inbegreps som betydelsefulla liksom regelverk samt Krisberedskapsmyndigheten (KBM) och Länsstyrelsen i Östergötland. / Through several crises of extraordinary nature in peacetime the capacity of emergency management has been brought up on to the agenda. Recently, in year 2005, Sweden faced a big storm named Gudrun that caused total devastation. In order to cope with crises like Gudrun a proficient emergency management has shown to be essential in which municipalities have a fundamental function. With a well developed emergency management at the local level society is better equipped to manage crises. According to research on and experiences from crises, cooperation and networking among municipalities is crucial for an efficient emergency management. Consequently there is an interest in studying how cooperation between municipalities can develop within the area of emergency management. Which factors are important for the development of cooperation? Is mutual understanding among the actors important? Which implications do trust and confidence have upon cooperation? Are resource dependencies and economic factors central for the shaping of policy network? Do the geographic and the demographic characterise municipalities’ cooperation? Do political decisions have any significant role in the shaping of policy network? This is the focus of the essay where cooperation between five municipalities in emergency management is studied using policy network theory with collective action. The essay shows that geographical, demographically and economical factors as well as resource dependencies are important for cooperation and the development of policy networks among the five municipalities. Also important were a common foundation, trust and a mutual understanding between the actors. Additionally, new regulations and two authorities – Swedish Emergency Management Authority (SEMA) and the County administrative board of Östergötland – also influenced the cooperation in a positive way.

Trois jours avant les élections nationales de 2010 au Royaume-Uni, l’association London Citizens réunit les trois principaux prétendants à la fonction de Premier Ministre. Parmi les 2 200 personnes présentes dans la salle, certaines défilent sur scène et confrontent les candidats à des revendications (portant sur le salaire minimum, les droits des immigrés, les logements abordables et l’accès au crédit), tout en les enjoignant à reconnaître et à promouvoir le rôle de la « société civile » dans la gouvernance londonienne. À la pointe de ce combat, London Citizens représente un très large éventail d’organisations - congrégations religieuses, établissements scolaires, syndicats et autres associations - qui cherchent collectivement à faire entendre leur voix en interpellant les responsables politiques, mais également les acteurs économiques, bousculant ainsi les règles du jeu politique traditionnel. Construite sur le modèle du Broad-Based Community Organizing initié par Saul Alinsky dans les années 1940 à Chicago, London Citizens cherche à mobiliser un très grand nombre de communautés et d’habitants de Londres. Encadrés par des « organisateurs », les différents membres se rencontrent régulièrement et mènent ensemble des actions collectives sur des territoires et des sujets variés. « Démocratique » sous bien des aspects, l’action de London Citizens est aussi ambigüe au regard de sa conception de l’émancipation citoyenne et des changements sociaux visés. C’est une approche pragmatique de la citoyenneté et de la démocratie qui est alors mise en avant. / Three days before the general elections of 2010 in the UK, the organisation called London Citizens brings together the leaders of the three main parties. Among the 2,200 people in the room, some come on stage and confront the candidates with their demands (on the minimum wage, immigrant rights, affordable housing and access to credit), while urging them to recognize and promote the role of "civil society" in the governance of London. At the forefront of this fight, London Citizens represents a very wide range of organizations - religious congregations, schools, trade unions and other associations - which collectively seek to make their voices heard by politicians, but also economic actors, upsetting the traditional rules of politics. Built on the model of broad-based community organizing initiated by Saul Alinsky in the 1940s in Chicago, London Citizens seeks to mobilize a large number of London communities and residents. Supervised by "organizers", the various members meet on a regular basis and conduct collective actions, big and small, on different issues. "Democratic" in many ways, the work of London Citizens is also ambiguous with regard to its conception of citizen empowerment and targeted social changes. In so doing, it promotes a pragmatic approach to citizenship and democracy.

En Belgique, à l’instar d’autres populations d’origine immigrée, les populations d’origine africaine subsaharienne font face à une relative impuissance. Cette dernière peut-être déterminée en fonction de critères tels que l’accès à l’emploi, au logement, à l’enseignement, ou encore le statut juridico-politique. Dans ma thèse, je m’intéresse aux stratégies mises en place par ces populations afin d’améliorer collectivement leur sort. J’articule la question des conséquences sociales et culturelles de la migration en termes de dialectique de l’identification, focalisée notamment sur l’utilisation couramment synonymique des catégories ethno-raciales « africain », « subsaharien » et « noir », avec celle des formes de l’action collective dégagées dans le cadre des social movement studies. Ma réflexion part d’une proposition théorique formulée de façon synthétique par Pnina Werbner et suggérant que, malgré le climat concurrentiel que la formation et l’expansion d’associations ethniques peut générer, leur développement et leur mise en relation constituerait les prémices incontournables d’éventuelles actions collectives protestataires. Pour Pnina Werbner, cette mise en réseau des associations, si elle s’assortit d’un processus de « convergence idéologique », peut donner lieu à des mobilisations. J’ai enrichi cette proposition de deux manières :d’une part, en affinant la notion de convergence idéologique au moyen de la littérature sur le cadrage et le processus d’alignement des cadres dans la mobilisation collective, et, d’autre part, en articulant dans mon analyse les trois courants théoriques centraux des recherches sur des mouvements sociaux – structure des opportunités politiques, mobilisations des ressources, cadres de l’action collective.<p><p>J’ai ainsi montré que le système politique belge était globalement à la fois favorable à l’expression de potentiels mouvements sociaux issus de l’immigration et peu ouvert à leur reconnaissance officielle. J’ai également mis en évidence que les niveaux infra-nationaux et supra-nationaux véhiculaient des opportunités politiques spécifiques. Je me suis ensuite penchée sur la façon dont les différentes opportunités et contraintes politiques mises à jour ont été saisies par deux associations « africaines » soucieuses de former un groupe d’intérêt représentant l’ensemble de la collectivité d’origine africaine subsaharienne, et sur les conséquences organisationnelles de ces choix. Ces études de cas m’ont permis de mettre en exergue le répertoire d’action accommodateur dans lequel ces organisations s’inscrivent, et la relation de leurs membres avec la structure des opportunités politiques. J’ai souligné comment certaines de ces opportunités, dans la façon dont elles ont été réappropriées par les leaders associatifs, ont eu un impact négatif sur la cohésion interne de leurs associations. Aussi, en me penchant plus spécifiquement sur la façon dont les différentes parties prenantes de ces organisations donnent sens aux activités de celles-ci, j’ai montré que les objectifs de ces associations étaient, de façon générale, investis de sens fort différents par les acteurs, y compris au sein des collèges d’administrateurs. Dans la lignée des travaux de Michael Herzfeld, les résultats de ma recherche soulignent la relation disémique inévitable entre la volonté de représentation communautaire officielle et les pratiques internes à la collectivité. Depuis quelques années, les entrepreneurs de représentation de cette collectivité tâchent d’amenuiser cette disémie en engageant leurs associations respectives, rebaptisées « panafricaines », dans des actions collectives. L’analyse de ces actions rend compte de la construction d’un « répertoire symbolique commun » qui se décline autour du référent panafricain et de politiques identitaires pragmatiques. Enfin, j’ai identifié les formes de sociabilité plutôt élitaires du réseau associatif « panafricain » comme une limite de son extension.<p><p>Ces développements empiriques montrent tout l’intérêt d’observer largement « l’espace des mouvements sociaux », c’est-à-dire la trajectoire des organisations et des acteurs susceptibles de donner forme à l’action collective. Ce faisant, mon travail contribue à décloisonner des études sur les mouvements sociaux trop souvent cantonnées aux actions protestataires directement menées contre l’autorité publique. / Doctorat en Sciences politiques et sociales / info:eu-repo/semantics/nonPublished

Notre dissertation investigue les actions individuelles et légales de contestation des discriminations raciales ou ethniques par ses victimes, objet rarement étudié en psychologie sociale. Alors que les actions collectives s’inscrivent dans un cadre des relations intergroupes, nos études montrent que les actions individuelles restent plutôt dans le cadre de relations perçues endogroupales par les acteurs qui contestent les discriminations. Les implications en termes d’identité sociale dans ce type d’action sont différentes et nous postulons qu’une catégorisation à un niveau supra-ordonné (ex. comme membre de la société hôte ou être humain) facilite l’entreprise des actions individuelles de contestation des discriminations par la voie légale. L’égalitarisme qui rend saillant ce niveau de catégorisation supra-ordonné, et en tant que croyance qui délégitime le statut désavantagé des individus stigmatisés, faciliterait la remise en question du statu quo en augmentant la perception de la discrimination ainsi que la tendance à s’engager dans des actions de lutte contre les discriminations par la voie légale. De plus, motivés par des démarches qui rentabilisent le rapport coûts-bénéfices, les individus portés par l’égalitarisme et qui perçoivent la discrimination s’engageraient plus facilement dans des actions de contestation lorsqu’ils pensent qu’ils peuvent le faire au bénéfice de la collectivité plutôt que dans leur propre intérêt uniquement. D’autre part, l’entreprise d’actions contre les discriminations par la voie légale nécessite une connaissance relative de ces lois qui fonctionnent comme des normes injonctives indiquant aux individus ce qui est admis ou non en société (ex. caractère interdit de la discrimination). Une source experte (ex. organisme de lutte contre le racisme) qui véhicule ce type de normes injonctives anti-racistes serait particulièrement influente dans l’entreprise d’actions légales pour lutter contre les discriminations. / Doctorat en Sciences Psychologiques et de l'éducation / info:eu-repo/semantics/nonPublished

The dynamics of many aspects of social behaviour, such as spread of fads and fashion, collective action, group decision-making, homophily and disagreement, have been captured by mathematical models. The power of these models is that they can provide novel insight into the emergent dynamics of groups, e.g. 'epidemics' of memes, tipping points for collective action, wisdom of crowds and leadership by small numbers of individuals, segregation and polarisation. A current weakness in the scientific models is their sheer number. 'New' models are continually 'discovered' by physicists, engineers and mathematicians. The models are analysed mathematically, but very seldom provide predictions that can be tested empirically. In this work, we provide a framework of simple models, based on Lotka's original idea of using chemical reactions to describe social interactions. We show how to formulate models for social epidemics, social recovery, cycles, collective action, group decision-making, segregation and polarisation, which we argue encompass the majority of social dynamics models. We present an open-access tool, written in Python, for specifying social interactions, studying them in terms of mass action, and creating spatial simulations of model dynamics. We argue that the models in this article provide a baseline of empirically testable predictions arising from social dynamics, and that before creating new and more complicated versions of the same idea, researchers should explain how their model differs substantially from our baseline models. / Matematiska modeller kan hjälpa oss att förstå många typer av sociala fenomen, som ryktesspridning, spridning av memes, gruppbeslut, segregation och radikalisering. Det finns idag otaliga modeller för sociala beteenden hos människor och djur, och fler presenteras kontinuerligt. Det stora antalet modeller försvårar navigering inom forskningsfältet, och många av modellerna är dessutom komplicerade och svåra att verifiera genom experiment. I detta arbete föreslås ett ramverk av grundläggande modeller, som var och en modellerar en aspekt av socialt beteende; det gäller sociala epidemier, cykler, gemensamt handlande, gruppbeslut, segregation och polarisering. Vi menar att dessa modeller utgör majoriteten av de verifierbara aspekter av socialt beteende som studeras, och att de bör behandlas som en utgångspunkt när en ny modell ska introduceras. Vilka av mekanismerna från utgångspunkten finns representerade i modellen? Skiljer den sig ens nämnvärt från utgångspunkten? Genom att ha en god förståelse för grundmodellerna, och genom att förklara på vilket sätt en ny modell skiljer sig från dem, kan forskare undvika att presentera modeller som i praktiken är mer komplicerade varianter av sådana som redan finns. I detta arbete visar vi hur dessa grundläggande modeller kan formuleras och studeras. Modellerna bygger på enkla regler om vad som händer när individer i en befolkning möter varandra. Till exempel, om en person som har vetskap om ett rykte träffar någon som inte har det, kan ryktet spridas vidare. Därför har antaganden om vilka personer som kan träffa varandra stor påverkan på de resultat som modellerna ger. I detta arbete studeras varje modell med två olika metoder: i den ena har alla personer i befolkningen samma sannolikhet att träffa varandra, i den andra representeras befolkningen av ett rutnät, där varje plats motsvarar en individ. I den senare har alltså varje person ett begränsat antal grannar att interagera med. Vilken av dessa två metoder man väljer har stor betydelse för vilka beteenden modellerna förutspår. Som ett komplement till detta arbete presenteras ett verktyg i form av ett Python-program som utför analysen av modellerna. Detta kan användas för att undersöka grundmodellerna som presenteras i detta arbete, men också för att formulera och analysera nya modeller på samma sätt. På det viset kan nya modeller enkelt jämföras mot grundmodellerna. Verktyget är användbart både som introduktion för de som är nya inom social dynamik, men också för de forskare som som vill ta fram nya modeller och föra forskningsfältet vidare.

Cette thèse interroge les effets combinés des enjeux d’un urbanisme durable et d’un impératif participatif grandissant des habitants – usagers – citoyens, dans le cadre de la fabrication métropolitaine contemporaine. Depuis le début des années 2000, des expériences alternatives d’habitat émergent en France sous l’impulsion de revendications sociales portées par la société civile. Le terme générique d’« habitat participatif », définit récemment par la loi pour l’Accès au Logement et à un Urbanisme Négocié (ALUR), publiée au Journal Officiel le 26 mars 2014, rassemble ainsi d’une même voix la variété de ces initiatives à l’œuvre, contribuant à pérenniser les dynamiques de structuration et de diffusion d’un mouvement de l’habitat participatif. Faisant référence aux expressions citoyennes contestataires des années 1970-1980, avec la critique d’un urbanisme moderne et des politiques publiques, les projets actuels marquent la renaissance des questionnements autour de la place de la maîtrise d’usage – incarnée par les habitants-usagers – dans la chaîne de production des logements et, plus largement, dans les processus décisionnels d’aménagement des territoires. Porteuse de pratiques participatives innovantes, la résurgence de l’habitat participatif révèle des logiques diverses d’engagements citoyens, militants ou professionnels, et des formes négociées de fabrication de l’habitat. Dès lors, s’opposent des dynamiques « bottom-up » – illustrées par des demandes et des initiatives habitantes, et des dynamiques « top-down » – portées par des instances politico-institutionnelles en plein renouvellement de leurs modes d’action et savoir-faire. Supportée par une trame multidimensionnelle de négociations, la thèse propose alors une analyse des interactions et des formes d’hybridation de cette production collective en cours à travers trois dimensions : la dimension valorielle, pour fixer le socle des transactions sociales ; la dimension organisationnelle et relationnelle, pour observer la micropolitique des groupes-projets ; la dimension processuelle, pour saisir les temporalités du projet et les moments clés de la négociation sur l’ensemble du processus. Pour cela, nous nous appuyons sur deux cas d’étude dans l’agglomération bordelaise, en pleine métropolisation : le cas de la coopérative d’habitants HNord, sur l’îlot Dupaty à Bordeaux ; et celui d’un projet d’habitat participatif multi-partenarial, La Ruche, sur la commune de Bègles au sein de l’Opération d’Intérêt National (OIN) Bordeaux-Euratlantique. Encadrée par un dispositif CIFRE avec l’Etablissement Public d’Aménagement Bordeaux-Euratlantique (EPA), la recherche repose sur une approche ethnographique, basée sur de nombreuses situations d’observation participante, des entretiens d’acteurs cibles et une analyse documentaire. Les enquêtes menées à différentes échelles offrent une vision macro, méso et microsociale des processus de production et de diffusion de l’habitat participatif. Les résultats de la thèse mettent alors en évidence les modalités de partenariats entre différentes sphères d’acteurs – les habitants, les institutions et les experts – dans la production de l’habitat participatif conduisant à un changement de paradigme sociétal et professionnel à travers le renouvellement des modes d’habiter, des savoirs et savoir-faire. Ainsi, nous proposons une réflexion sur les moyens et possibilités d’intégration de cette dynamique collective et citoyenne au sein des processus décisionnels d’aménagement urbain pour la fabrication métropolitaine et, de voir en quoi ce phénomène participatif et collaboratif peut-il constituer un outil de management territorial novateur préfigurant le futur de nos cités. / This PhD thesis questions the combined effects of the challenges of sustainable urban development and a growing priority for inhabitants – users – citizens, to participate in contemporary metropolitan production. Since the early 2000s, there is in France an emergence of alternative housing experiences as a result of social demands. The generic term of « participative housing », recently defined by the bill for access to housing and urban renovation (ALUR), published in the Official Journal on March 26, 2014, gathers with one voice, the variety of these initiatives at work, contributing to ensure the dynamic structuring and dissemination of the participative housing movement. Referring to the civil protests of 1970-1980, criticizing modern urban planning and public policy, the current projects tackle once again of how to combine the inhabitants expertise with professional expertise in the production of housing, and more broadly in the decision-making processes of regional planning. Producing innovative participatory practices, the resurgence of participative housing reveals different logics of social commitments on the part of citizens, activists and professionals, and negotiated forms of housing production. As a consequence, the « bottom-up » dynamic, based on the demands and initiatives of the inhabitants, opposes the « top-down » dynamic, based on the initiative of politico-institutional bodies in full renewal of their modes of action and know-how. Supported by a multi-dimensional framework of negotiations, the thesis analyzes the interactions and forms of hybridization of this ongoing collective production through a three dimensional approach : the value related dimension, to set the base of social transactions ; the organizational and relational dimension to observe the micro-political groups-projects ; the procedural dimension to grasp the temporality of the project and the key moments of negotiation of the whole process. For this, we build on two case studies in the Bordeaux area, being subject to processes of metropolization : the case of the residents cooperative HNord in the Dupaty housing block in Bordeaux ; and the multi-partnered participative housing project, La Ruche, in the town of Bègles within the framework of the « Operation of National Interest » (OIN) Bordeaux-Euratlantique. Governed by a CIFRE program with the « Local Planning and Development authority » (EPA) Bordeaux-Euratlantique, the research is based on an ethnographic approach : participant observation, interviews with target stakeholders and a literature review. The investigations conducted at different scales offer a macro, meso and micro-social understanding of the process of participative housing production and dissemination. The results of the thesis highlight the partnership conditions between different groups of stakeholders – inhabitants, institutions and expertsn – in the production of participative housing leading to a societal and professional paradigm shift through a renewal of ways of living, knowledge and expertise. Thus, we propose a reflection on ways and possibilities how to integrate this collective and civic dynamics in the decision-making processes of urban planning for metropolitan production and to see how this participatory and collaborative phenomenon can serve as an innovative tool in territorial management for our future cities.

Au cours des dernières années, les communautés virtuelles de patients se sont énormément développées sur l'Internet. Ces communautés permettent des échanges fréquents entre les patients, qui peuvent partager des informations liées à la santé dans un environnement interactif. Alors que beaucoup s'accordent sur l'opportunité représentée par ces communautés pour ses utilisateurs, les connaissances sur ce qui détermine l'action collective en ligne des patients ainsi que sur les fondamentaux de l'action collective en ligne dans ces espaces virtuels sont relativement peu développées. En conséquence, ce travail doctoral examine les raisons pour lesquelles les patients interagissent entre eux et comment ils procèdent. En nous appuyant sur le modèle du comportement orienté vers un but, la théorie de la valeur de l'attente, la théorie des forces du champ, les concepts de dons et les interviews menées, nous avons développé un modèle qui examine les interactions en ligne des patients dans un contexte d'action collective en ligne. Une approche multi-méthode, qualitative et quantitative, permet d'explorer les interactions des patients et de mesurer les déterminants de l'action collective en ligne sur ces espaces virtuels. L'analyse qualitative de 54 entretiens menés avec des patients, des proches de patients, des professionnels de la santé 2.0, des médecins et des soignants permet d'affiner le modèle de recherche, qui a ensuite été testé au travers d'une enquête quantitative auprès de 269 patients. Cette recherche contribue à la recherche en systèmes d'information en augmentant nos connaissances sur la dynamique individuelle et les interactions qui entourent les communautés de patients en ligne. / Over the last few years, virtual patients’communities have been developing tremendously over the Internet. These Web 2.0 communities allow frequent interactions among patients, who can share health-related information within an interactive environment. While many agree on the opportunity represented by those communities for its users, we know very little about what determines patients’ online collective action, specifically on virtual communities as well as the fundamentals of online collective action in these virtual spaces. Accordingly, this doctoral work examines why patients interact with others and how they interact on topics related to their disease through these virtual communities. Drawing on the goal-directed behavior (MGB), the expectancy-value (EVT) theories, the field force theory, gift concepts and field interviews, we have developed a model for examining patients’ online interactions and identified gift-giving behaviors in the context of online collective action. A multi-method, qualitative and quantitative approaches, enables us to explore patients’ interactions and measures the determinants of online collective action on these virtual spaces. The qualitative analysis of 54 interviews conducted with patients, patient’s relatives, Health 2.0 professionals, doctors and caregivers allows refining the research model, which has then been tested through a survey handled with 269 patients, members of patient’s communities. This research contributes to IS research by increasing our knowledge regarding the individual dynamics and interactions that surround online patients’ communities.

One of the main environmental policy challenges is convincing individuals and organisations to engage in socially desirable courses of action; that is, to have them internalise the consequences of their decisions. As contributions from institutional and behavioural economics have indicated, policies aimed at fostering pro-social action can be ineffective and even counterproductive if the interests and concerns of the relevant actors are not properly considered throughout the policy process. In fact, international conventions and national legislation around the world generally recommend stakeholder involvement in order to properly address pressing environmental challenges. The evidence that underpins and informs this recommendation, however, is still insufficient and scattered across different strands of literature. On the one hand, research on participatory governance has indeed systematically documented the potential for policymakers and resource managers to obtain high-quality, context-specific and legitimate input for environmental policymaking from participatory processes. On the other, the available research has also cast doubt on the potential of participatory processes to produce concrete change in (pro-social) action on the ground. In general, the success of these processes ultimately depends on their design, implementation and context. However, most of these conclusions stem from rich qualitative accounts of participatory processes, structured comparisons of cases and systematic reviews of case studies and the available literature. With this type of evidence, it is difficult to neatly identify the impact of participatory interventions on pro-social and cooperative behaviour and systematically assess the underlying mechanisms. This thesis addresses these knowledge gaps. The thesis investigates the extent to which and the mechanisms by which participatory interventions could foster (or hinder) pro-social and collective action for natural resource management and environmental protection. It comprises four chapters, each constituting a stand-alone, self-contained academic paper. Throughout the different chapters, the thesis reviews and integrates insights from the literature on participatory governance and from the institutional and behavioural analyses of pro-social and collective action. Furthermore, using two laboratory economic experiments (Chapters 3 and 4) and one framed lab-in-the-field experiment (Chapter 5), the thesis systematically assesses specific hypotheses concerning the potential impacts of participatory interventions on cooperative and pro-social behaviour and the underlying mechanisms of these impacts. The introductory chapter of the dissertation gathers, presents and discusses the insights gathered from each chapter. It expands on the motivations for the thesis, presents the general and specific research gaps and questions the thesis tackles and clarifies the conceptual, theoretical and methodological foundations upon which the thesis is grounded. Chapter 2 (entitled Participatory interventions for collective action in environmental and natural resource management) reviews the literature on participatory governance together with the literature on collective action in natural resource and environmental management. The main goal of this review is to contribute to integrating the main insights from both strands of literature regarding (a) the potential of participatory interventions to foster collective action and (b) the channels through which they might foment (or hinder) collective action. It therefore seeks to help integrate the insights from these different strands of literature, which, although related, have generally been disconnected until now. The chapter draws on the Institutional Analysis and Development (IAD) framework to organise these insights within a coherent conceptual framework. As the results of this literature review indicate, participatory interventions have the potential to foster collective action through two channels. Firstly, by helping resource users to change (and enhance) the rules, norms and strategies that constrain and guide their behaviour (the indirect channel) and, secondly, by directly influencing the specific behavioural factors (e.g. knowledge, trust, preferences, perceptions and beliefs) that collective action hinges upon (the direct channel). However, to sustain collective action, the relevant literature has consistently emphasised that trust needs to be continually cultivated and ensured. Therefore, in line with insights from earlier studies on participatory governance, the results of this literature review also indicate that practitioners and policymakers must not only design participatory interventions carefully to effectively build the trust needed to heighten and sustain collective action, but participatory interventions must also be adequately embedded within the broader (social-ecological and governance) context, providing for follow-up, enforcement, monitoring and conflict-resolution mechanisms. From Chapter 3 through Chapter 5, the thesis focuses on the direct channel, studying the potential of participatory interventions to directly influence behaviour within relevant economic action situations such as social dilemma and distributive action situations. Within a given environment and institutional context, the studies recreate processes commonly facilitated within participatory interventions. Chapter 3 assesses the effects of externally structured and facilitated processes of information exchange, and Chapters 4 and 5 examine the impact of inducing perspective-taking via role-switching techniques (Chapter 4) and instructions (Chapter 5). Thanks to this experimental approach, it is possible to systematically assess the behavioural impacts of these types of processes as well as the underlying mechanisms. Chapter 3 (entitled Structuring communication effectively for environmental cooperation) starts by reviewing previous experimental studies on the effects of two-way communication in social dilemmas to identify the elements that are commonly involved in effective communication processes. This review notes four cooperation-enhancing components of communication: (i) problem awareness, (ii) exploration of strategies to tackle the problem at hand, (iii) agreement on desirable joint strategies and (iv) ratification of agreed-upon strategies. A total of 560 students at Osnabrück University participated in a laboratory implementation of a voluntary contribution mechanism; a public goods game. The experiment implemented a series of interventions that represented these components of communication and contrasted the resulting levels of cooperation with the average outcomes of control groups interacting under either free (unstructured) communication or no communication whatsoever. The intervention that facilitated agreement on a common strategy (i.e. the combination of (ii) and (iii)) was particularly effective at boosting cooperation. Furthermore, combined with interventions promoting problem awareness and ratification, this intervention produced levels of cooperation similar to the average levels of cooperation observed in groups with free-form communication. The results of this experiment expand the understanding in the literature of the role of communication in social dilemmas and provide insights into the potential of structured and facilitated processes of information exchange and social interaction to foster collective action for environmental management. Chapter 4 (The effects of inducing perspective-taking through role reversal in a give-and-take a dictator game on pro-social behaviour) and Chapter 5 (Perspective-taking for pro-social behaviour in watershed management) deal with the effects of inducing perspective-taking on unilateral pro-social behaviour. The results outlined in Chapter 4 indicate that perspective-taking, induced through role reversal, can be associated with significant average changes in the participants’ self-reported state of emotions (in terms of both empathic and positive as well as in distressing and negative emotions). The emotional reactions that the role reversal seems to influence, however, do not appear to result in significantly more (or less) pro-social behaviour. The chapter explores and discusses two plausible explanations for these results, namely the transient effects of emotional reactions and the opposing effects of diverging emotional reactions on pro-social behaviour. These results come from the analysis of data from 144 students at Osnabrück University who participated as dictators in a laboratory implementation of a give-and-take dictator game. The design of the experiment allows the identification of the effect of inducing decision-makers to experience the other person’s position through unilateral role reversal on pro-social behaviour. During the simulation round, dictators in treatment groups experienced how it would feel to be in the role of the recipient. Dictators in the control groups only learned about the distributional consequences of their allocation decisions on recipients. Hence, through a treatment comparison, it was possible to single out the effects resulting from temporarily taking on the position of the other participant. To understand the underlying drivers of a potential behavioural change, the study elicited participants’ emotional states both before and after the simulation round. The results in Chapter 5 indicate that inducing perspective-taking can be associated with relatively greater pro-social behaviour based on an experimental study of downstream farmers’ behaviour in a watershed management context. Moreover, the provision of information on the social-ecological context during the perspective-taking exercise cannot account for the different behavioural patterns in the treatment and control groups. These results come from a lab-in-the-field experiment carried out with 177 downstream farmers in a Peruvian watershed. In the experiment, farmers in the treatment groups were motivated to imagine the upstream farmers’ perspective (i.e. to think about their thoughts and feelings) before deciding on whether or not to contribute to an initiative in the upper watershed. The initiative intends to help upstream farmers improve their well-being without compromising the water supply downstream. The behaviour of farmers in the treatment groups was compared against the behaviour of farmers in the control groups wherein perspective-taking was not induced. Taken together, the results of Chapter 4 and Chapter 5 illustrate the potential of inducing perspective-taking—commonly promoted in participatory processes—to trigger pro-social behaviour in economic situations. It can indeed alter relevant behavioural variables and trigger pro-social behaviour in distributive and social-dilemma situations. Nevertheless, as the literature on perspective-taking has previously indicated, the final effects depend on the specific procedures by which and the situations and contexts wherein perspective-taking is induced. Based on these findings, it is possible to sustain that participatory interventions do have the potential to effect changes in pro-social and cooperative behaviour at both the collective and individual level. Whether this impact is realised or hindered hinges on the procedures and contexts of participatory interventions. It would also depend on the mechanisms provided to follow up on the initiated processes and sustain and build upon the early outcomes. The contributions of this thesis are threefold. Firstly, it integrates insights from the literature on the institutional and behavioural analysis of pro-social and collective action and the literature on participatory governance for natural resource management. Secondly, it generates new evidence, based on experimental methods, in terms of the potential for participatory interventions to foster pro-social and collective action, and in terms of the mechanisms by which participatory methods and processes could effectively impact (or hinder) pro-social and cooperative behaviour. In this way, the thesis helps to bridge the gap of knowledge in terms of how participatory interventions can effectively change behaviour and, subsequently, encourage socially desirable social-ecological outcomes. In doing so, it also adds to the understanding of pro-social and cooperative human behaviour and the way that the processes of information-exchange and perspective-taking, which are often facilitated by participatory processes, may (or may not) advance it. Research on participation is, however, still ongoing and, in terms of the way forward, the thesis makes a third, methodological contribution. It demonstrates how experimental research in both the laboratory and in the field, conducted under a coherent conceptual and methodological framework, can complement one another and shed light on the extent to which and the means by which participatory interventions can produce changes in behaviour. The experimental method, in terms of both laboratory and field experiments, can therefore complement the set of methods traditionally employed to analyse participatory processes. The results of the studies comprising the thesis underscore the importance of carefully analysing the policy process. As contributions from the behavioural literature have repeatedly indicated, human behaviour is driven by a combination of self-regarding, social and procedural preferences. Hence, addressing pressing environmental challenges involving externalities and social dilemmas not only entails getting the policy design right to synergistically coordinate and orchestrate these different types of preferences. It also requires careful design, analysis and implementation of the activities and methods that structure and facilitate stakeholder interactions throughout the policy process.

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.:A Einleitung.............................................................................................................23 1 Hintergrund und Problemstellung.....................................................................25 1.1 Städte im Wandel der Zeit...........................................................................25 1.2 Die Städtebauförderung im Wandel der Zeit...............................................33 2 Gegenstand und Zielstellung der Untersuchung................................................37 2.1 Gegenstand der Untersuchung...................................................................37 2.2 Ziel und Fragestellung der Untersuchung....................................................42 3 Aufbau der Arbeit.............................................................................................45 4 Grenzen der Arbeit...........................................................................................49 B Kollektives Handeln – theoretische Einordnung der zentralen Problematik...........51 1 Über die individuelle Herausforderung, kollektiv zu handeln.............................53 1.1 Zum Charakter des Kollektivgutes...............................................................54 1.2 Kollektives Handeln als rationales Handeln..................................................56 1.3 Kollektives Handeln als soziales Handeln.....................................................60 1.4 Zwischenfazit..............................................................................................65 2 Über die Befähigung zum kollektiven Handeln mittels Institutionen..................67 2.1 Verwendung des Begriffs und Entstehung von Institutionen........................67 2.2 Einflussfaktoren bei der Entstehung von Institutionen.................................72 2.3 Typen von Institutionen und ihre Interaktionsformen..................................78 2.4 Charakter von Institutionen und ihre Wirkungen.........................................84 2.5 Zwischenfazit..............................................................................................87 3 Kollektives Handeln als Koordinations- und Kooperationsaufgabe des Staates...91 3.1 Das Verhältnis zwischen staatlichen und privaten Akteuren.........................91 3.2 Von Planung über Steuerung zu Governance..............................................94 3.3 Wandel im Planungsverständnis in der Stadtentwicklung..........................101 3.4 Zwischenfazit............................................................................................108 C Herangehensweise und Methodik .....................................................................111 1 Wahl des Forschungsdesigns...........................................................................113 2 Auswahl und Erhebung der Daten..................................................................117 2.1 Auswahl der Fallstudien ...........................................................................117 2.2 Auswahl der Interviewpartner ..................................................................121 2.3 Erhebung der Daten..................................................................................124 2.4 Wahl der Interviewart und Durchführung der Interviews...........................126 3 Auswertung der Daten....................................................................................129 3.1 Erkenntnistheoretische Grundannahmen...................................................129 3.2 Prozess der Analyse..................................................................................130 3.3 Generierungen der Hypothesen................................................................135 D Einführung in Eigentümerstandortgemeinschaften (ESG) in Deutschland und die Fallstudien ...137 1 Eigentümerstandortgemeinschaften in Deutschland........................................139 1.1 Anlass für Eigentümerstandortgemeinschaften in Deutschland..................139 1.2 Entwicklungsstand von ESG in Deutschland .............................................140 1.3 ESG als Regelungstatbestand der Bundesgesetzgebung............................143 1.4 ESG als ExWoSt-Forschungsfeld................................................................145 2 Fallstudie ESG Brunnenstraßenviertel in Dortmund .........................................149 2.1 Strukturdaten der Stadt Dortmund............................................................149 2.2 Strukturdaten des ESG-Standortes............................................................151 2.3 Entstehung, Akteure und Inhalte der ESG.................................................155 2.4 Handlungsmotive und -strategien der Beteiligten......................................157 2.5 Institutionelle Merkmale der ESG..............................................................161 3 Fallstudie ESG Vogelheim in Essen ..................................................................163 3.1 Strukturdaten der Stadt Essen...................................................................163 3.2 Strukturdaten des ESG-Standortes............................................................167 3.3 Entstehung, Akteure und Inhalte der ESG.................................................169 3.4 Handlungsmotive und -strategien der Beteiligten......................................170 3.5 Institutionelle Merkmale der ESG..............................................................172 4 Fallstudie ESG Gründerzeitquartier in Görlitz ..................................................175 4.1 Strukturdaten der Stadt Görlitz.................................................................175 4.2 Strukturdaten des ESG-Standortes............................................................180 4.3 Entstehung, Akteure und Inhalte der ESG.................................................184 4.4 Handlungsmotive und -strategien der Beteiligten......................................186 4.5 Institutionelle Merkmale der ESG..............................................................188 E Vergleichende Analyse der Daten und Generierung übergreifender Aussagen zu ESG…...191 1 Zwischen Idealisten und Rationalisten: Akteursgruppen und Rollenbilder........193 1.1 Die Akteursgruppen in ESG.......................................................................193 1.2 Rollenbilder der Akteure und ihre Rolle in der ESG....................................199 2 Zwischen öffentlich und privat: Themen und Projekte der ESG........................205 2.1 Zur Wahrnehmung der Handlungssituation .............................................205 2.2 Projekte der ESG.......................................................................................209 3 Investition versus Exit: Handlungsstrategien der Akteure.................................215 3.1 Handlungsoptionen der Eigentümer bzgl. der Immobilie...........................215 3.2 Handlungsoptionen der Eigentümer bzgl. der ESG....................................222 3.3 Handlungsoptionen der öffentlichen Hand................................................226 3.4 Zusammenspiel und Pfadabhängigkeit in der Strategiewahl .....................229 4 Zwischen Unsicherheit und Sicherung: Motivation der Immobilieneigentümer.239 4.1 Reduzierung von Unsicherheit als übergeordnetes Motiv..........................240 4.2 Steigerung von Macht und Einfluss durch ESG..........................................243 4.3 Monetäre Vorteile durch ESG....................................................................246 4.4 Lösung eines Sachproblems durch ESG....................................................249 4.5 Der Einfluss von Kontextbedingungen auf die Entstehung von ESG...............251 5 Hemmnisse und Erfolgsfaktoren im Entstehungsprozess..................................257 5.1 Hemmnisse für die Entstehung einer ESG..................................................257 5.2 Erfolgsfaktoren für die Gründung einer ESG..............................................263 6 Zwischen strategischem Netzwerk und Gemeinschaftsorganisation: institutionelle Ausprägung bei ESG..................................................................271 6.1 Die Generierung von Nutzen durch ESG...................................................271 6.2 Mit der Institution ESG verbundene Kosten...............................................273 6.3 Normen und Diskontierungsraten der Akteure..........................................279 7 Zwischen Anreiz und Zwang: Urban Governance und die Rolle des Staates....283 7.1 Zwischen Anreiz und Zwang: Steuerungsansätze in ESG...........................283 7.2 Urban Governance: Zur Rolle der öffentlichen Hand in ESG......................289 F Diskussion der Hypothesen und Schlussfolgerungen .........................................293 1 Diskussion der Hypothesen zu den Forschungsfragen.....................................295 1.1 Beteiligte und Themen von ESG................................................................296 1.2 Handlungsmotive und -strategien der Beteiligten......................................301 1.3 Erfolgsfaktoren und Hemmnisse im ESG-Entstehungsprozess....................307 1.4 Institutionelle Merkmale von ESG.............................................................310 1.5 ESG als Governance in der Stadtentwicklung............................................314 1.6 Fazit zur Leitfrage.....................................................................................319 2 Schlussfolgerungen und weiterer Forschungsbedarf .......................................323 2.1 Schlussfolgerungen für die Praxis..............................................................323 2.2 Weiterer Forschungsbedarf.......................................................................330 G Verzeichnisse......................................................................................................335 1 Quellen...........................................................................................................337 1.1 Literatur....................................................................................................337 1.2 Internet.....................................................................................................357 1.3 Interviewpartner.......................................................................................358 2 Abkürzungsverzeichnis....................................................................................365 3 Abbildungsverzeichnis.....................................................................................367 4 Tabellenverzeichnis.........................................................................................369 / 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.:A Einleitung.............................................................................................................23 1 Hintergrund und Problemstellung.....................................................................25 1.1 Städte im Wandel der Zeit...........................................................................25 1.2 Die Städtebauförderung im Wandel der Zeit...............................................33 2 Gegenstand und Zielstellung der Untersuchung................................................37 2.1 Gegenstand der Untersuchung...................................................................37 2.2 Ziel und Fragestellung der Untersuchung....................................................42 3 Aufbau der Arbeit.............................................................................................45 4 Grenzen der Arbeit...........................................................................................49 B Kollektives Handeln – theoretische Einordnung der zentralen Problematik...........51 1 Über die individuelle Herausforderung, kollektiv zu handeln.............................53 1.1 Zum Charakter des Kollektivgutes...............................................................54 1.2 Kollektives Handeln als rationales Handeln..................................................56 1.3 Kollektives Handeln als soziales Handeln.....................................................60 1.4 Zwischenfazit..............................................................................................65 2 Über die Befähigung zum kollektiven Handeln mittels Institutionen..................67 2.1 Verwendung des Begriffs und Entstehung von Institutionen........................67 2.2 Einflussfaktoren bei der Entstehung von Institutionen.................................72 2.3 Typen von Institutionen und ihre Interaktionsformen..................................78 2.4 Charakter von Institutionen und ihre Wirkungen.........................................84 2.5 Zwischenfazit..............................................................................................87 3 Kollektives Handeln als Koordinations- und Kooperationsaufgabe des Staates...91 3.1 Das Verhältnis zwischen staatlichen und privaten Akteuren.........................91 3.2 Von Planung über Steuerung zu Governance..............................................94 3.3 Wandel im Planungsverständnis in der Stadtentwicklung..........................101 3.4 Zwischenfazit............................................................................................108 C Herangehensweise und Methodik .....................................................................111 1 Wahl des Forschungsdesigns...........................................................................113 2 Auswahl und Erhebung der Daten..................................................................117 2.1 Auswahl der Fallstudien ...........................................................................117 2.2 Auswahl der Interviewpartner ..................................................................121 2.3 Erhebung der Daten..................................................................................124 2.4 Wahl der Interviewart und Durchführung der Interviews...........................126 3 Auswertung der Daten....................................................................................129 3.1 Erkenntnistheoretische Grundannahmen...................................................129 3.2 Prozess der Analyse..................................................................................130 3.3 Generierungen der Hypothesen................................................................135 D Einführung in Eigentümerstandortgemeinschaften (ESG) in Deutschland und die Fallstudien ...137 1 Eigentümerstandortgemeinschaften in Deutschland........................................139 1.1 Anlass für Eigentümerstandortgemeinschaften in Deutschland..................139 1.2 Entwicklungsstand von ESG in Deutschland .............................................140 1.3 ESG als Regelungstatbestand der Bundesgesetzgebung............................143 1.4 ESG als ExWoSt-Forschungsfeld................................................................145 2 Fallstudie ESG Brunnenstraßenviertel in Dortmund .........................................149 2.1 Strukturdaten der Stadt Dortmund............................................................149 2.2 Strukturdaten des ESG-Standortes............................................................151 2.3 Entstehung, Akteure und Inhalte der ESG.................................................155 2.4 Handlungsmotive und -strategien der Beteiligten......................................157 2.5 Institutionelle Merkmale der ESG..............................................................161 3 Fallstudie ESG Vogelheim in Essen ..................................................................163 3.1 Strukturdaten der Stadt Essen...................................................................163 3.2 Strukturdaten des ESG-Standortes............................................................167 3.3 Entstehung, Akteure und Inhalte der ESG.................................................169 3.4 Handlungsmotive und -strategien der Beteiligten......................................170 3.5 Institutionelle Merkmale der ESG..............................................................172 4 Fallstudie ESG Gründerzeitquartier in Görlitz ..................................................175 4.1 Strukturdaten der Stadt Görlitz.................................................................175 4.2 Strukturdaten des ESG-Standortes............................................................180 4.3 Entstehung, Akteure und Inhalte der ESG.................................................184 4.4 Handlungsmotive und -strategien der Beteiligten......................................186 4.5 Institutionelle Merkmale der ESG..............................................................188 E Vergleichende Analyse der Daten und Generierung übergreifender Aussagen zu ESG…...191 1 Zwischen Idealisten und Rationalisten: Akteursgruppen und Rollenbilder........193 1.1 Die Akteursgruppen in ESG.......................................................................193 1.2 Rollenbilder der Akteure und ihre Rolle in der ESG....................................199 2 Zwischen öffentlich und privat: Themen und Projekte der ESG........................205 2.1 Zur Wahrnehmung der Handlungssituation .............................................205 2.2 Projekte der ESG.......................................................................................209 3 Investition versus Exit: Handlungsstrategien der Akteure.................................215 3.1 Handlungsoptionen der Eigentümer bzgl. der Immobilie...........................215 3.2 Handlungsoptionen der Eigentümer bzgl. der ESG....................................222 3.3 Handlungsoptionen der öffentlichen Hand................................................226 3.4 Zusammenspiel und Pfadabhängigkeit in der Strategiewahl .....................229 4 Zwischen Unsicherheit und Sicherung: Motivation der Immobilieneigentümer.239 4.1 Reduzierung von Unsicherheit als übergeordnetes Motiv..........................240 4.2 Steigerung von Macht und Einfluss durch ESG..........................................243 4.3 Monetäre Vorteile durch ESG....................................................................246 4.4 Lösung eines Sachproblems durch ESG....................................................249 4.5 Der Einfluss von Kontextbedingungen auf die Entstehung von ESG...............251 5 Hemmnisse und Erfolgsfaktoren im Entstehungsprozess..................................257 5.1 Hemmnisse für die Entstehung einer ESG..................................................257 5.2 Erfolgsfaktoren für die Gründung einer ESG..............................................263 6 Zwischen strategischem Netzwerk und Gemeinschaftsorganisation: institutionelle Ausprägung bei ESG..................................................................271 6.1 Die Generierung von Nutzen durch ESG...................................................271 6.2 Mit der Institution ESG verbundene Kosten...............................................273 6.3 Normen und Diskontierungsraten der Akteure..........................................279 7 Zwischen Anreiz und Zwang: Urban Governance und die Rolle des Staates....283 7.1 Zwischen Anreiz und Zwang: Steuerungsansätze in ESG...........................283 7.2 Urban Governance: Zur Rolle der öffentlichen Hand in ESG......................289 F Diskussion der Hypothesen und Schlussfolgerungen .........................................293 1 Diskussion der Hypothesen zu den Forschungsfragen.....................................295 1.1 Beteiligte und Themen von ESG................................................................296 1.2 Handlungsmotive und -strategien der Beteiligten......................................301 1.3 Erfolgsfaktoren und Hemmnisse im ESG-Entstehungsprozess....................307 1.4 Institutionelle Merkmale von ESG.............................................................310 1.5 ESG als Governance in der Stadtentwicklung............................................314 1.6 Fazit zur Leitfrage.....................................................................................319 2 Schlussfolgerungen und weiterer Forschungsbedarf .......................................323 2.1 Schlussfolgerungen für die Praxis..............................................................323 2.2 Weiterer Forschungsbedarf.......................................................................330 G Verzeichnisse......................................................................................................335 1 Quellen...........................................................................................................337 1.1 Literatur....................................................................................................337 1.2 Internet.....................................................................................................357 1.3 Interviewpartner.......................................................................................358 2 Abkürzungsverzeichnis....................................................................................365 3 Abbildungsverzeichnis.....................................................................................367 4 Tabellenverzeichnis.........................................................................................369