abstract: In the face of increasing anthropogenic threats to marine systems, marine reserves have become a popular tool to promote sustainable fisheries management and protect marine biodiversity. However, the governance structures that determine marine reserve success are not well understood. The response of resource users to reserve establishment, as well as the socioeconomic, institutional, and political contexts in which they occur, are rarely considered during reserve implementation. I use the Coupled Infrastructure Systems (CIS) framework to better understand the interdependencies between social, economic, natural, and institutional processes affecting reserve implementation and performance efficacy in the Gulf of California, Mexico. I used a combination of interviews, qualitative case study comparisons, and systematic conservation planning tools to evaluate the role of different infrastructures, institutions, and governance for marine reserve efficacy in the Gulf of California, Mexico. At a local scale, I assessed stakeholder perceptions, preferences, and knowledge on reserves in the Midriff Islands sub-region of the Gulf. My results show differences in fisher perceptions about the use of reserves for biodiversity conservation and fisheries management, misconceptions about their location, and non-compliance behavior problems. At the regional scale, I explored the trajectories of reserve implementation and performance. I show that capacity-building programs and effective collaboration between non-profit organizations, environmental, fisheries, and other government authorities are essential to coordinate efforts leading to the provisioning of infrastructure that enables effective marine reserves. Furthermore, these programs help facilitate the incorporation of fishers into diversified management and economic activities. Infrastructure provision tradeoffs should be carefully balanced for designing scientifically-sound reserves that can achieve fisheries recovery objectives and incorporating stakeholder engagement processes during the planning phase that allow fishers to include their preferences in a way that complements proposed reserve network solutions. Overall, my results highlight the importance of multiple infrastructures in understanding the dynamics of interacting action situations at various stages of marine reserve implementation and operation. I identify strengths and weaknesses within marine reserve systems that help understand what combinations of infrastructures can be influenced to increase marine reserve effectiveness and robustness to internal and external challenges, as well as delivering benefits for both nature and people. / Dissertation/Thesis / Doctoral Dissertation Environmental and Resource Management 2017

A topology-based approach has been used to measure the resilience of a highway network to climatic events. Civil infrastructure systems are inarguably critical to the everyday functions of society. Because such systems are regionally distributed, their components undergo a wide range of hazard intensities, often dependent on their relative locations. The ability of an infrastructure system to withstand, adapt to, and rapidly recover from extreme events is paramount to its ability to continuously serve users. The topological properties of a network can provide a good means to assess the resilience of the system which is adequate to comprehend the preparedness and functionality of an infrastructure system in the face of various hazards. Hurricanes and storm surges are especially relevant on the eastern coast of the US, where they can cause widespread damage and destruction. Furthermore, the effects of climate change are proven to increase the intensity of climatic events, worsening the consequences to infrastructure networks. The vulnerability of the transportation network of New York City, the most populous urban area in the U.S., was underlined in the aftermath of Hurricane Sandy, and for this purpose has been chosen as the test bed for this study. Reducing the highway system to a combination of nodes and links, the principles of graph theory are applied to quantify defining network properties. More specifically, by assessing and measuring the change in topological properties during extreme climatic events, the resilience of a transportation network can be succinctly evaluated.

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Designing for sustainability is a complex process that requires to reduce the perceived risk of designing out of the traditional method, to prioritize the end-users' needs and preferences in the design, while considering the product-service dual-nature of infrastructure systems. To address such complexities, this research looks into prototyping from design thinking. Prototyping is a feedback mechanism that enriches the design process by emphasizing user experience and removing designers' fear of failure. This critical step is often absent during the design of physical infrastructure (e.g., transportation systems, water systems), in part, because of the size and complexity of these socio-technical systems. This research aims to understand how civil engineers can adopt prototyping design for large-scale and complex urban infrastructure systems and how prototyping influence design cognition among infrastructure stakeholder groups. To measure the effect of physical prototypes on users and designers, the researchers conducted nineteen interviews with community members, engineers, planners, and city officials in two prototyped projects: a road network in Macon, Georgia and a re-designed city block in Akron, Ohio. The researchers coded the interviews for evidence of how prototyping enhanced citizen engagement and how the design team was willing to adopt unconventional designs after prototyping. Improved understanding of prototyping as a design methodology for infrastructure can lead to more user-centered and innovative solutions. This research provides tools to manage design decisions in engineering and urban planning better, and new approaches for urban infrastructure problem-solving. Future research can compare how this process may inform design if immersive virtual experiences are used to prototype. / Doctor of Philosophy / Designing sustainable infrastructure is a complex process that requires designers and engineers to ‘think out of the box’ and to increase the considerations of the users’ needs and preferences in the design. The inclusion of users’ needs and preferences in the design is challenging because designers restrict themselves to come up with non-traditional ideas due to the high risks that are in play when developing infrastructure. This research looks into adapting the prototyping process of design thinking into the planning, design, and construction of infrastructure systems because of its user-centered and innovate design characteristics. Particularly, this research studied the cases of an urban transit design in Macon, Georgia and an urban revitalization design in North Hill, Akron, Ohio. Overall, the researchers conducted nineteen interviews among the design team members, project promoters, city officials, and users such as neighborhood residents, property and business owners, and community advocating groups. The interviews questioned how prototyping enhanced citizen engagement and how designers were willing to adopt unconventional designs after prototyping. This study aims to contribute to the development of more user-centered and innovative solutions in the design of infrastructure. Engineering and urban planning problem-solving practices can use the decision-making tools this study provides. Future studies can use the fast-growing technology of virtual and augmented reality to enrich the prototyping process to deliver more sustainable infrastructure systems.

Environmental sustainability in buildings is an important part of preserving the environment and reducing climate change. The increasing amount of physical infrastructure systems in Malawi has not been accompanied by policy-makers clearly understanding perceptions and attitudinal behaviors of building designers to promote environmental sustainability. Some building designers in Malawi might not be practicing sustainability innovations adequately, requiring more research to understand their perceptions and behaviors. The purpose of this mixed methods sequential and explanatory study was to explore how building designers' behaviors relate to the implementation of sustainability innovations in Malawi. Ajzen's theory of planned behavior explaining how attitudinal behaviors relate to individual's actions, served as the conceptual framework. The central research question investigated perceptions and attitudinal behaviors building designers hold about sustainability, and how these behaviors connect with practicing sustainability innovations. Data collection used a Likert scale questionnaire to capture behavior items. A sample of 99 individuals working in building organizations completed the questionnaire. Multiple linear regression analysis showed attitude behavior influenced practicing sustainability more than the subjective and perceived control behaviors. Interviews with 24 participants supported the analytical finding. Government and policy-makers were the target audience. Knowledge about behaviors toward sustainability innovations enables government and policy-makers strategize and change stakeholders' mindset to increase sustainability practices thereby impacting societal change in the construction communities.

Critical infrastructure systems are essential for the continuous functionality of modern global societies. Some examples of these systems include electric energy, potable water, oil and gas, telecommunications, and the internet. Different topologies underline the structure of these networked systems. Each topology (i.e., physical layout) conditions the way in which networks transmit and distribute their flow. Also, their ability to absorb unforeseen natural or intentional disruptions depends on complex relations between network topology and optimal flow patterns. Most of the current research on large networks is focused on understanding their properties using statistical physics, or on developing advanced models to capture network dynamics. Despite these important research efforts, almost all studies concentrate on specific networks. This network-specific approach rules out a fundamental phenomenon that may jeopardize the performance predictions of current sophisticated models: network response is in general interdependent, and its performance is conditioned on the performance of additional interacting networks. Although there are recent conceptual advances in network interdependencies, current studies address the problem from a high-level point of view. For instance, they discuss the problem at the macro-level of interacting industries, or utilize economic input-output models to capture entire infrastructure interactions. This study approaches the problem of network interdependence from a more fundamental level. It focuses on network topology, flow patterns within the networks, and optimal interdependent system performance. This approach also allows for probabilistic response characterization of interdependent networked systems when subjected to disturbances of internal nature (e.g., aging, malfunctioning) or disruptions of external nature (e.g., coordinated attacks, seismic hazards). The methods proposed in this study can identify the role that each network element has in maintaining interdependent network connectivity and optimal flow. This information is used in the selection of effective pre-disaster mitigation and post-disaster recovery actions. Results of this research also provide guides for growth of interacting infrastructure networks and reveal new areas for research on interdependent dynamics. Finally, the algorithmic structure of the proposed methods suggests straightforward implementation of interdependent analysis in advanced computer software applications for multi-hazard loss estimation.

The start of the 21th century is notable for the apparent lack of safe drinking water and sanitation. Over one billion people in all parts of the world lack access to clean water. Most live in developing countries, such as Africa. Unsafe water and poor sanitation have been primary causal factors in the vast majority of water-borne diseases, especially diarrheal ones. The South African Constitution (Act 108 of 1996, Chapter 2, Section 24) states: “Everyone has the right: (a) To an environment that is not harmful to their health and their wellbeing; and (b) To have the environment protected, for the benefit of present and future generations, through reasonable legislative and other measures that prevent pollution and ecological degradation; promote conservation; ecologically sustainable development, and the use of natural resources, while promoting justifiable economic and social development.” Secondly, section 27 states that: “Everyone has the right to have access to: (a) Health-care services, including reproductive health care; (b) Sufficient food and water; and (c) Social security, including, if they are unable to support themselves and their dependants, appropriate social assistance.” These factors have prompted this research within the Ugu District Municipality on the perceptions of inadequate rural water service delivery. This study reveals information on those areas in the Ugu District Municipality, which do not have access to clean water, and on the health hazards that might lead to death if residents’ lack of access to clean water persists. The Ugu District Municipality, is situated in KwaZulu-Natal Province, and covers a surface area of 5866 km2. There are six local municipalities in this district. These are: Ezinqoleni, Umzumbe, Umziwabantu, Hibiscus Coast, Umdoni and Vulamehlo. The node is 77% rural and 23% urban, and the total population for this area is 704027 (Ugu District Municipality IDP 2nd 2011/2012:19). / M. Development and Management (Water Studies), North-West University, Potchefstroom Campus, 2012

The start of the 21th century is notable for the apparent lack of safe drinking water and sanitation. Over one billion people in all parts of the world lack access to clean water. Most live in developing countries, such as Africa. Unsafe water and poor sanitation have been primary causal factors in the vast majority of water-borne diseases, especially diarrheal ones. The South African Constitution (Act 108 of 1996, Chapter 2, Section 24) states: “Everyone has the right: (a) To an environment that is not harmful to their health and their wellbeing; and (b) To have the environment protected, for the benefit of present and future generations, through reasonable legislative and other measures that prevent pollution and ecological degradation; promote conservation; ecologically sustainable development, and the use of natural resources, while promoting justifiable economic and social development.” Secondly, section 27 states that: “Everyone has the right to have access to: (a) Health-care services, including reproductive health care; (b) Sufficient food and water; and (c) Social security, including, if they are unable to support themselves and their dependants, appropriate social assistance.” These factors have prompted this research within the Ugu District Municipality on the perceptions of inadequate rural water service delivery. This study reveals information on those areas in the Ugu District Municipality, which do not have access to clean water, and on the health hazards that might lead to death if residents’ lack of access to clean water persists. The Ugu District Municipality, is situated in KwaZulu-Natal Province, and covers a surface area of 5866 km2. There are six local municipalities in this district. These are: Ezinqoleni, Umzumbe, Umziwabantu, Hibiscus Coast, Umdoni and Vulamehlo. The node is 77% rural and 23% urban, and the total population for this area is 704027 (Ugu District Municipality IDP 2nd 2011/2012:19). / M. Development and Management (Water Studies), North-West University, Potchefstroom Campus, 2012

Abstract Bei der Gestaltung von Infrastruktursystemen kommt es immer wieder zu Interessenkonflikten der Akteure, für die keine Lösungsmechanismen zur Verfügung stehen. Daher besteht ein Bedarf an einem Instrumentarium, mit dem Interessen- und Zielkonflikte frühzeitig erkannt und verhandelt werden können. Zur Entwicklung eines solchen Rah-mens bieten sich die flexiblen Prinzipien der Commons Governance an. Am Gegen-stand der mehrstufigen Infrastrukturnetze für Verkehr, Energie und Telekommunikation überträgt diese Arbeit die Erkenntnisse der Commons-Forschung für sozial-ökologische Systeme (SES) auf Infrastruktursysteme (STS). Aufgrund struktur-funktionaler Paralle-len zwischen Commons und emergenten Infrastruktursystemen werden Letztere hier als Modern Commons konzeptualisiert. Dazu wurden die Bauprinzipien der Commons und das IAD-Framework (Ostrom 1990) für die polyzentrischen Prozesse der Infra-strukturentwicklung adaptiert. Auf Basis des AGIL-Schemas (Parsons 1961) wurden die infrakulturellen Rahmenbedingungen und Einflussfaktoren untersucht, um die Allokationsprinzipien, Legitimationsmechanismen und Systemwirkungen von Infrastrukturent-wicklung hinsichtlich ihrer Wirkung auf Nachhaltigkeit zu analysieren. Da in der Gestaltung von Infrastruktursystemen als kollektiv genutzte Kultur- und Wirt-schaftsgüter Ziele und Wertvorstellungen der Gesellschaft die Rollen von Staat, Wirt-schaft und Zivilgesellschaft prägen und für Entscheidungen über räumliche und öko-nomische Wertallokation handlungsleitend sind, wurde ein Designmodell für einen Governance-Prozess und ein infrakultureller Analyse- und Entwicklungsrahmen (IDF) entworfen, der die Entscheidungsfindung zur Transformation von Modern Commons unterstützt, was am Beispiel nachhaltiger Mobilität demonstriert wird. In eine ganzheitliche Analyse von Modern-Commons-Systemen sind die natürliche, technische, soziale, institutionelle und mentale Dimension von Infrastruktur sowie deren Wechselwirkungen einzubeziehen. Für mehrstufige Infrastruktursysteme lassen sich funktional die physische Plattform, die Programme und die Anwendungen als eigen-ständige Wertschöpfungsebenen unterscheiden, für deren Gestaltung und Betrieb ne-ben zentralen Systemanforderungen auch dezentrale Spezifika zu berücksichtigen sind. Prioritäten und Effekte können aus Akteurs-, System- und Nachhaltigkeitsperspektive im Infrastruktur-Lebenszyklus unterschiedlich bewertet werden. Der IDF empfiehlt ein iteratives Vorgehen und Kriterien, die dazu geeignet sind, Interessenkonflikte aufzuzei-gen und Beitrags- und Aneignungsdilemmata aufzulösen, und zwar insbesondere dort, wo Märkte eine nachhaltige Entwicklung von Infrastruktursystemen nicht gewährleisten können.:I. Abbildungsverzeichnis 9 II. Tabellenverzeichnis 10 1 Einleitung und Übersicht 11 1.1 Hintergrund und Bedeutung 11 1.2 Ziele und Forschungsfragen 13 1.3 Aufbau der Arbeit 17 1.4 Definitionen und Themenabgrenzung 19 1.5 Methodik und Vorgehen 27 1.6 Stand der Forschung 30 2 Commons als soziale Infrastruktursysteme 41 2.1 Ursprung, Bedeutung und Relevanz von Commons 41 2.2 Prinzipien und Merkmale von Commons-Systemen 46 2.3 Modern Commons – eine Definition und Abgrenzung 56 2.4 Physische Infrastruktur als multifunktionales Ressourcensystem 71 2.5 SES-Commons im Vergleich mit technischen Infrastruktursystemen 91 2.6 Fazit: Commons-Funktionen und Dilemmata technischer Infrastrukturen 103 3 Infrastruktur: Fundament der modernen Gesellschaft 107 3.1 Nutzen und Kosten von Infrastruktursystemen 107 3.2 Infrastruktur-Systeme und ihre Wertschöpfungsebenen 119 3.3 Epochen der infrakulturellen Ko-Evolution 143 3.4 Rollenwandel überregionaler Infrastruktursysteme 163 3.5 Infrastruktur-Entwicklung und ihre Dilemmata nach Smith 173 3.6 Grundlagen für eine Theorie der Modern Commons 199 3.7 Fazit: Dynamik von Infrastruktursystemen im kulturellen Kontext 204 4 Analyse- und Entwicklungsrahmen für Modern-Commons-Systeme 206 4.1 Designmodell einer ganzheitlichen Systemperspektive 211 4.2 Akteursperspektive in der Infrastruktur-Entwicklung 227 4.3 Kriterien für Nachhaltigkeit am Beispiel Mobilitätssektor 238 4.4 Governance für eine nachhaltige Infrakultur 251 4.5 Förderung nachhaltiger Mobilitätskultur mittels IDF 264 4.6 Fazit: Leitplanken für eine nachhaltige Infrakultur 270 5 Zusammenfassung und Implikationen 273 5.1 Kernaussagen und Ausblick 273 5.2 Implikationen für eine nachhaltige Transformation im Verkehrssektor 278 5.3 Forschungsbedarf zu nachhaltiger Infrakultur 280 5.4 Kritische Reflexion 282 Literaturverzeichnis 284 Anhang I Symposien und Vorträge im Kontext dieser Arbeit (Auszug) 318 Anhang II Abkürzungsverzeichnis 319 / Abstract In the design of infrastructure systems, conflicts of interest arise frequently, for which actors lack effective solution mechanisms. Therefore, a toolset with which conflicts of goals and interest can be identified and negotiated at an early stage is required. To develop such a framework, the flexible principles of Commons Governance according to Ostrom proved appropriate. On the research subject of multilevel infrastructure net-works for transport, energy and telecommunications, this dissertation transfers findings of the commons research for socio-ecological systems (SES) to socio-technical infra-structure systems (STS). Due to structural-functional parallels between commons and emergent infrastructure systems, the latter are conceptualized here as Modern Commons. Therefore, the building principles of commons and the IAD framework (Ostrom 1990) were adapted for polycentric processes of infrastructure development. Based on the AGIL scheme (Parsons 1961), basic conditions and influencing factors were examined as an infra-cultural framework for the allocation principles, legitimation mechanisms and analysis of system-effects of infrastructure development regarding sustainability. Design of infrastructure systems as collectively used cultural and economic goods, is shaped by societal goals and belief-systems that determine the roles of state, economy and civil society and prove decisive for decision making on spatial and economic value allocation. A design model for a governance process and an Infracultural Analysis and Development Framework (IDF) were outlined, which supports decision-making regarding the transformation of Modern Commons, as will be demonstrated by the example of sustainable mobility. A comprehensive analysis of Modern-Commons-Systems must include interactions of the five dimensions of infrastructure, viz. their natural, technical, social, institutional and mental dimensions. In this context, the physical platform, the programs and the applications-layer can be functionally differentiated for multi-level infrastructure systems as interdependent levels of value creation. In addition to central system requirements decentralized specifics have to be taken into account for design and operation of such systems. Priorities and effects occurring in an infrastructure life cycle will be evaluated differently depending on the perspective, regarding actors, systems and sustainability. The IDF recommends an iterative approach and criteria that are suitable for identifying conflicts of interest and resolving contribution and appropriation dilemmas, especially where markets fail to ensure the sustainable development of infrastructure systems.:I. Abbildungsverzeichnis 9 II. Tabellenverzeichnis 10 1 Einleitung und Übersicht 11 1.1 Hintergrund und Bedeutung 11 1.2 Ziele und Forschungsfragen 13 1.3 Aufbau der Arbeit 17 1.4 Definitionen und Themenabgrenzung 19 1.5 Methodik und Vorgehen 27 1.6 Stand der Forschung 30 2 Commons als soziale Infrastruktursysteme 41 2.1 Ursprung, Bedeutung und Relevanz von Commons 41 2.2 Prinzipien und Merkmale von Commons-Systemen 46 2.3 Modern Commons – eine Definition und Abgrenzung 56 2.4 Physische Infrastruktur als multifunktionales Ressourcensystem 71 2.5 SES-Commons im Vergleich mit technischen Infrastruktursystemen 91 2.6 Fazit: Commons-Funktionen und Dilemmata technischer Infrastrukturen 103 3 Infrastruktur: Fundament der modernen Gesellschaft 107 3.1 Nutzen und Kosten von Infrastruktursystemen 107 3.2 Infrastruktur-Systeme und ihre Wertschöpfungsebenen 119 3.3 Epochen der infrakulturellen Ko-Evolution 143 3.4 Rollenwandel überregionaler Infrastruktursysteme 163 3.5 Infrastruktur-Entwicklung und ihre Dilemmata nach Smith 173 3.6 Grundlagen für eine Theorie der Modern Commons 199 3.7 Fazit: Dynamik von Infrastruktursystemen im kulturellen Kontext 204 4 Analyse- und Entwicklungsrahmen für Modern-Commons-Systeme 206 4.1 Designmodell einer ganzheitlichen Systemperspektive 211 4.2 Akteursperspektive in der Infrastruktur-Entwicklung 227 4.3 Kriterien für Nachhaltigkeit am Beispiel Mobilitätssektor 238 4.4 Governance für eine nachhaltige Infrakultur 251 4.5 Förderung nachhaltiger Mobilitätskultur mittels IDF 264 4.6 Fazit: Leitplanken für eine nachhaltige Infrakultur 270 5 Zusammenfassung und Implikationen 273 5.1 Kernaussagen und Ausblick 273 5.2 Implikationen für eine nachhaltige Transformation im Verkehrssektor 278 5.3 Forschungsbedarf zu nachhaltiger Infrakultur 280 5.4 Kritische Reflexion 282 Literaturverzeichnis 284 Anhang I Symposien und Vorträge im Kontext dieser Arbeit (Auszug) 318 Anhang II Abkürzungsverzeichnis 319

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