Le champ de l’aménagement urbain structure fortement la vie politique locale de la capitale du Texas. Les acteurs s’affrontent autour des enjeux d’aménagement, allant du simple cas de zonage à l’élaboration complexe du plan d’urbanisme. La crispation des relations actorielles dans ce domaine s’effectue sur fond de croissance démographique et économique rapide qui aiguise les enjeux d’aménagement. Alors que l’attractivité d’Austin est érigée en modèle exemplaire du succès de la théorie de la classe créative, l’objectif de ce travail est de révéler le rôle des différents types de modèle dans la structuration et l’évolution de la culture des acteurs de l’aménagement austinite. La première partie précise les objets de recherche et développe une méthodologie adaptée. L’étude de la culture de l’aménagement urbain s’appuie sur les analyses des professionnels de l’urbanisme et les travaux d’analyse comparative des cultures de l’urbanisme en les adaptant à un champ actoriel ouvert à tous les acteurs impliqués, porteurs d’une stratégie spatiale. Les différents types de modèles actifs dans la vaste communauté discursive et comparative de l’urbanisme à l’échelle mondiale sont définis avant d’être envisagés à la lumière des policy mobility studies.La deuxième partie retrace l’histoire de l’urbanisation d’Austin au miroir des modèles théoriques utilisés pour en étudier le développement, tout en pointant les modèles urbanistiques dominants à chaque époque. La construction des modèles contemporains est analysée dans leur relation dialectique avec le cas d’Austin afin de souligner les mécanismes de la modélisation scientifique et l’influence réciproque entre ces modèles théoriques et les acteurs de l’aménagement urbain.La troisième partie analyse le système actoriel de l’aménagement d’Austin, sa gouvernance et la conception de l’urbanisme des divers groupes d’acteurs impliqués. Elle montre qu’au-delà des communautés épistémiques, de véritables communautés culturelles se forment autour d’objectifs politiques afin de surmonter les enjeux contemporains.La dernière partie approfondit l’analyse des jeux d’acteurs et des modèles urbanistiques dominants à travers l’outil de planification. Elle souligne les mécanismes de l’évolution culturelle dans le champ de l’aménagement et révèle les stratégies des acteurs pour promouvoir de nouveaux modèles urbanistiques.La profondeur des fractures révélées au sein du champ actoriel explique les difficultés à faire évoluer le système aménagiste qui reste crispé et litigieux. Le développement d’une culture commune de l’aménagement permettrait de retisser progressivement un lien de confiance et remplacer la défiance qui bloque pour le moment les processus d’adaptation aux nouvelles réalités urbaines d’une grande ville en émergence. / The urban planning field strongly structures the Texas capital’s local political life. The actors confront each others on planning issues, ranging from the simple zoning case to the more complex elaboration of a comprehensive plan. The tense relationships between the actors in this domain are taking place against a backdrop of rapid demographic and economic growth, which sharpens urban development issues. While Austin's attractiveness is set as an exemplary model of the success of creative class theory, the goal of this work is to reveal the role of the various types of models in the structuring and evolution of Austin’s planning culture.The first section specifies the research objects and develops an appropriate methodology. The study of the urban planning culture is based on the analysis of urban planning professionals and on the comparative analysis of urban planning cultures, adapting them to a larger variety of actors to take into account all the people involved through a spatial strategy. The different types of active models in the global discursive and comparative urban planning community are first defined, then considered in the light of the policy mobility studies.The second section traces the history of Austin's urbanization through the lens of the theoretical models used to study its development, while pointing out the prevailing urban models at each period. The construction of contemporary models is analyzed through their dialectical relationship with the case of Austin in order to emphasize the mechanisms of scientific modeling and the reciprocal influence between these theoretical models and the urban planning actors.The third section analyzes Austin’s planning system, its governance and the conception of the urban planning held by the various groups of actors involved. It shows that beyond epistemic communities, real cultural communities are formed around policies imagined to overcome contemporary planning issues.The last section deepens the analysis of the actors’ interplay and of preveiling urban models thanks to a planning tool: the comprehensive plan. It highlights the mechanisms of cultural evolution in the field of planning and reveals the actors’ strategies to promote new urban models.The depth of the fractures revealed within the planning field explains the difficulties for its system to evolve. Its processes therefore remain very tense and litigious. The development of a common culture of planning could gradually restore a bond of trust and replace the mistrust that, for the moment, stalls the process of adaptation to the new urban realities of an emerging big large city.

Submitted by Theo Araujo (lovizio@gmail.com) on 2016-10-28T15:29:08Z No. of bitstreams: 1 Dissertação FINAL_gráfica.pdf: 996213 bytes, checksum: 7ea3966b457e7f520364eba836a3b769 (MD5) / Approved for entry into archive by Fabiana da Silva Segura (fabiana.segura@fgv.br) on 2016-10-28T15:37:38Z (GMT) No. of bitstreams: 1 Dissertação FINAL_gráfica.pdf: 996213 bytes, checksum: 7ea3966b457e7f520364eba836a3b769 (MD5) / Made available in DSpace on 2016-10-28T15:52:59Z (GMT). No. of bitstreams: 1 Dissertação FINAL_gráfica.pdf: 996213 bytes, checksum: 7ea3966b457e7f520364eba836a3b769 (MD5) Previous issue date: 2016-09-29 / Many positive results are normally assigned to participation, ranging from the improvement of public policies to the democratization of the State and the promotion of a culture of participation in public affairs. In Brazil, participatory arrangements were broadly institutionalized in the past decades and are now a part or the legal framework that structures public administration. Very little was done, however, to establish standards to verify the efficacy of these arrangements. This work studies the participatory process for the elaboration of the Master Plan of the city of São Paulo ('Plano Diretor Estratégico'), held between March and September 2013 by the city’s Urban Development Secretary ('Secretaria Municipal de Desenvolvimento Urbano'). With the aim of suggesting a set of criteria for the evaluation of this and of other participatory processes, this study deepens its regard over the spaces of interaction between government and society during the elaboration of the Plan. Through the analysis of documents and qualitative research based on interviews with key participants and public administrators, it identifies and applies a set of evaluation criteria to the participatory process of the Master Plan. By doing this, it also reveals a double logic behind the relationship between State and society during the process. On the one hand, it comprised broad channels for participation and innovative efforts by the local authorities to put forward a methodology based on dialogue and consent. On the other hand, it was characterized by an active role of the State in managing the conflicts between a restricted number of organized sectors, such as the housing movement, the housing market and neighbor associations from Strictly Residential Areas ('Zonas Estritamente Residenciais'), in a relationship typical of corporativism. / À participação social costumam-se atribuir resultados positivos que vão desde o aperfeiçoamento das políticas públicas até a democratização do Estado, passando pelo estímulo à construção de uma cultura participativa. No Brasil, os arranjos participativos foram amplamente institucionalizados nas últimas décadas, passando a fazer parte do arcabouço legal que rege a administração pública. Pouco se avançou, no entanto, na definição de parâmetros para a determinação da eficácia e eficiência destes arranjos. O presente trabalho estuda o processo participativo de elaboração do Plano Diretor Estratégico da cidade de São Paulo (PDE), realizado de março a setembro de 2013 pela Secretaria Municipal de Desenvolvimento Urbano (SMDU). Com o objetivo de propor um conjunto de critérios para a avaliação deste e de outros processos participativos, o trabalho aprofunda o olhar sobre os espaços de interlocução entre o poder público e a sociedade que permearam a elaboração do Plano. Tanto a seleção quanto a aplicação dos critérios de avaliação se fundamentam na análise documental e na pesquisa qualitativa realizada por meio de entrevistas com participantes-chave e com gestores. Como consequência deste exercício, o trabalho revela a dupla lógica das relações Estado-sociedade na construção do Plano Diretor de São Paulo. Por um lado, elas caracterizaram-se pela amplitude dos espaços e canais de participação e por um esforço inovador da gestão em relação à estruturação de uma metodologia participativa para o diálogo e o consenso. Por outro, foram marcadas por um papel ativo do Estado na mediação de conflitos entre setores organizados, tais como o movimento de moradia, o mercado imobiliário e as associações de moradores de Zonas Estritamente Residenciais, típico do corporativismo.

[ES] La participación pública fue introducida como concepto por Naciones Unidas en la Declaración de Río sobre Medioambiente y Desarrollo en 1992. A partir de ahí se considera esencial que los interesados locales participen en los procesos de toma de decisiones relativas a políticas públicas de desarrollo local de su región, ya que se supone que los resultados de estas intervenciones han de dar respuesta a sus intereses y necesidades. La selección de estos interesados clave es crítica para asegurar la viabilidad, legitimidad y el éxito del proceso participativo, ya que es esencial lograr resultados respaldados por un amplio consenso. Por el contrario, si falla la colaboración entre las autoridades y los interesados, se pierde la confianza de éstos y las probabilidades de fracaso de las propuestas llevadas a cabo son muy altas. Para la selección de los interesados hay que tener en cuenta: su motivación o interés en participar en el proceso, su conocimiento, preferencias, preocupaciones y expectativas sobre el problema y el proceso de toma de decisiones. En esta tesis se desarrolla un proceso participativo, basado en un caso de estudio, en el que se selecciona un núcleo decisor que ayude a las autoridades competentes a decidir cuáles son las áreas de inversión que más contribuyen a satisfacer los Objetivos de Desarrollo Sostenible (ODS). El caso de estudio se centra en el análisis y priorización de las necesidades de desarrollo de la Región del Meta (Colombia). La investigación se realiza en tres fases. En la primera fase se plantea el problema, los objetivos y la metodología de investigación. En la segunda fase se desarrolla un proceso de selección y análisis de interesados para seleccionar un núcleo decisor. En la tercera fase se identifican y analizan las necesidades de la Región del Meta y se priorizan en función del grado de satisfacción de los ODS. En el trabajo se introduce la técnica Decision Making Trial and Evaluation Laboratory (DEMATEL), adaptado de modo novedoso, para su uso en el análisis de grupos de interés; una nueva propuesta de análisis de influencia, basada en categorías (Ratings) y Análisis de Redes Sociales. Se presenta un análisis comparativo de los resultados obtenidos por los diferentes métodos de análisis de interesados, se discuten sus ventajas y desventajas y se selecciona el núcleo decisor. Para priorizar las necesidades más sentidas de la Región, materializadas en trece áreas de inversión, se estudia cómo invertir en cada área satisface los Objetivos de Desarrollo Sostenible (ODS). Para ello se emplean dos técnicas de toma de decisiones multicriterio: El Proceso Analítico Jerárquico (AHP por sus siglas en inglés) y el Proceso Analítico en Red (ANP por sus siglas en inglés). El ANP estudia las dependencias y la retroalimentación entre los elementos de la red. Como la aplicación práctica de ANP resulta compleja, se ha integrado el ANP con DEMATEL, tal y como se describe en la literatura. La metodología y los resultados de esta tesis se pueden reproducir en futuros procesos participativos porque ayuda a identificar interesados y seleccionar un grupo decisor, representativo de los actores de una región o área geográfica, y también a identificar y evaluar necesidades de desarrollo de la región objeto de estudio, teniendo en cuenta las opiniones de los interesados identificados. / [CA] La participació pública va ser introduïda com a concepte per Nacions Unides en la Declaració de Rio sobre Medi Ambient i Desenvolupament a 1992. A partir d'aquí es considera essencial que els interessats locals participin en els processos de presa de decisions relatives a polítiques públiques de desenvolupament local de la seva regió, ja que se suposa que els resultats d'aquestes intervencions han de donar resposta als seus interessos i necessitats. La selecció d'aquests interessats clau és crítica per assegurar la viabilitat, legitimitat i l'èxit de l'procés participatiu, ja que és essencial aconseguir resultats recolzats per un ampli consens. Per contra, si falla la col·laboració entre les autoritats i els interessats, es perd la confiança d'aquests i les probabilitats de fracàs de les propostes dutes a terme són molt altes. Per a la selecció dels interessats cal tenir en compte: la seva motivació o interès en participar en el procés, el seu coneixement, preferències, preocupacions i expectatives sobre el problema i el procés de presa de decisions. En aquesta tesi es desenvolupa un procés participatiu, basat en un cas d'estudi, en el qual es selecciona un nucli decisor que ajudi les autoritats competents a decidir quines són les àrees d'inversió que més contribueixen a satisfer els Objectius de Desenvolupament Sostenible (ODS ). El cas d'estudi se centra en l'anàlisi i priorització de les necessitats de desenvolupament de la Regió de l'Meta (Colòmbia). La investigació es realitza en tres fases. En la primera fase es planteja el problema, els objectius i la metodologia d'investigació. En la segona fase es desenvolupa un procés de selecció i anàlisi d'interessats per a seleccionar un nucli decisor. A la tercera fase s'identifiquen i analitzen les necessitats de la Regió de l'Meta i es prioritzen en funció de el grau de satisfacció dels ODS. En el treball s'introdueix la tècnica Decision Making Trial and Evaluation Laboratory (DEMATEL), adaptat de manera nova, per al seu ús en l'anàlisi de grups d'interès; una nova proposta d'anàlisi d'influència, basada en categories (ràtings) i Anàlisi de Xarxes Socials. Es presenta una anàlisi comparativa dels resultats obtinguts pels diferents mètodes d'anàlisi d'interessats, es discuteixen els avantatges i desavantatges i se selecciona el nucli decisori. Per prioritzar les necessitats més sentides de la Regió, materialitzades en tretze àrees d'inversió, s'estudia com invertir en cada àrea satisfà els Objectius de Desenvolupament Sostenible (ODS). Per a això s'empren dues tècniques de presa de decisions multicriteri: El Procés Analític Jeràrquic (AHP per les sigles en anglès) i el Procés Analític en Xarxa (ANP per les sigles en anglès). L'ANP estudia les dependències i la retroalimentació entre els elements de la xarxa. Com l'aplicació pràctica de ANP resulta complexa, s'ha integrat el ANP amb DEMATEL, tal com es descriu a la literatura. La metodologia i els resultats d'aquesta tesi es poden reproduir en futurs processos participatius perquè ajuda a identificar interessats i seleccionar un grup decisori, representatiu dels actors d'una regió o àrea geogràfica, i també a identificar i avaluar necessitats de desenvolupament de la regió objecte d'estudi, tenint en compte les opinions dels interessats identificats. / [EN] Public participation was introduced as a concept by the United Nations in the Rio Declaration on Environment and Development in 1992. Since then, it is considered essential for local stakeholders to participate in decision-making processes related to local development public policies in their region, since the results of these interventions are supposed to respond to their interests and needs. The selection of these key stakeholders is critical to ensure the viability, legitimacy, and success of the participatory process, as it is essential to achieve results supported by a broad consensus. On the contrary, if collaboration between the authorities and stakeholders fails, the trust of the latter is lost and the probability of failure of the proposals carried out is very high. For the selection of stakeholders, it is necessary to take into account: their motivation or interest in participating in the process, their knowledge, preferences, concerns and expectations about the problem and the decision-making process. This thesis develops a participatory process, based on a case study, in which a core decision-maker is selected to help the competent authorities decide which investment areas contribute most to meeting the Sustainable Development Goals (SDGs). The case study focuses on the analysis and prioritization of the development needs of the Meta Region (Colombia). The research is conducted in three phases. In the first phase, the problem, objectives, and research methodology are set out. In the second phase, a stakeholder selection and analysis process is developed to select a core decision-maker. In the third phase, the needs of the Meta Region are identified and analyzed and prioritized according to the degree of satisfaction of the SDGs. The paper introduces the Decision Making Trial and Evaluation Laboratory (DEMATEL) technique, adapted in a novel way, for use in stakeholder analysis; a new proposal for influence analysis, based on categories (ratings) and Social Network Analysis. A comparative analysis of the results obtained by the different stakeholder analysis methods is presented, their advantages and disadvantages are discussed, and the core decision maker is selected. To prioritize the most felt needs of the Region, materialized in thirteen investment areas, it is studied how investing in each area satisfies the Sustainable Development Goals (SDGs). Two multi-criteria decision-making techniques are used: the Analytical Hierarchical Process (AHP) and the Analytical Network Process (ANP). The ANP studies the dependencies and feedback between network elements. As the practical application of ANP is complex, ANP has been integrated with DEMATEL, as described in the literature. The methodology and results of this thesis can be replicated in future participatory processes because it helps to identify stakeholders and select a decision-making group, representative of the actors of a region or geographic area, and also to identify and evaluate development needs of the region under study, taking into account the opinions of the identified stakeholders. / León Camargo, A. (2021). Planteamiento de un proceso participativo para la propuesta y priorización de proyectos de desarrollo regional. Caso de estudio Departamento del Meta en Colombia [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/174853 / TESIS

A pesquisa de caráter qualitativo teve como objetivo levantar e discutir maneiras pelas quais o campo do design pode contribuir para a divulgação científica para o público infantil. A partir de um levantamento de casos de comunicação da ciência para crianças no Brasil e exterior, de naturezas e mídias diversas, foram identificados os processos de design empregados e determinados os eixos investigativos da pesquisa: processos colaborativos, processos participativos, ludicidade e design da informação. Para evidenciar e discutir as questões relativas aos quatro eixos, foi realizado um estudo de caso sobre o livro informativo para crianças Lá fora - Guia para descobrir a natureza (textos de Maria Ana Peixe Dias e Inês Teixeira do Rosário, ilustrações de Bernardo P. Carvalho, editora Planeta Tangerina, Portugal, 2014). O estudo de caso baseou-se em revisão bibliográfica relativa a: processos colaborativos, processos participativos, processos voltados ao lúdico, design da informação, livros ilustrados e livros informativos para crianças. As análises sugerem que as contribuições do campo para a divulgação científica para crianças potencializam-se quanto mais abrangente for o escopo de participação do design e quanto mais inicial for o estágio de projetação em que é introduzido. Além disso, de cada eixo investigativo sobressaem contribuições específicas ligadas às forma de participação do design no processo de produção da divulgação, a saber: o rigor informativo, investigativo e crítico, e a criatividade na abordagem dos temas da ciência (processos colaborativos); a defesa da autonomia, do protagonismo e do respeito às necessidades cognitivas e emocionais da criança (processos participativos); a aproximação poética, aberta, imaginativa e complexa dos assuntos tratados (processos voltados à ludicidade); e o cuidado com a usabilidade dos objetos, a legibilidade e a visualização da informação (design da informação). / This qualitative study aimed to raise and discuss ways in which the design field can contribute to science communication for children. Specific applied design processes and certain investigative axes of research were identified from a survey of cases of science communication for children in Brazil and abroad, of different natures and media: collaborative processes, participatory processes, playfulness and information design. In order to highlight and discuss questions relating to these four axes, we conducted a case study of the children\'s information book Lá fora - Guia para descobrir a natureza (texts by Maria Ana Peixe Dias and Inês Teixeira do Rosário, illustrations by Bernardo P. Carvalho, Planeta Tangerina, Portugal, 2014). The case study is based on literature review on: collaborative processes, participatory processes, processes aimed at playfulness, information design, picturebooks and children\'s information books. The analysis suggests that the design field contribution to science communication for children can be enhanced the more comprehensive its scope is and the earlier it is introduced in the design process. In addition, each investigative axis highlights specific contributions, linked to the form of participation that design takes on the production process of the publication, namely: the informative, investigative and critical accuracy, and the creativity in addressing the themes of science (collaborative processes); the defense of autonomy, leadership and respect to cognitive and emotional needs of the child (participatory processes); the poetic, open, imaginative and complex approach of subjects addressed (processes aimed at playfulness); the attention to the usability and readability of objects, and its information visualization (information design).

A pesquisa de caráter qualitativo teve como objetivo levantar e discutir maneiras pelas quais o campo do design pode contribuir para a divulgação científica para o público infantil. A partir de um levantamento de casos de comunicação da ciência para crianças no Brasil e exterior, de naturezas e mídias diversas, foram identificados os processos de design empregados e determinados os eixos investigativos da pesquisa: processos colaborativos, processos participativos, ludicidade e design da informação. Para evidenciar e discutir as questões relativas aos quatro eixos, foi realizado um estudo de caso sobre o livro informativo para crianças Lá fora - Guia para descobrir a natureza (textos de Maria Ana Peixe Dias e Inês Teixeira do Rosário, ilustrações de Bernardo P. Carvalho, editora Planeta Tangerina, Portugal, 2014). O estudo de caso baseou-se em revisão bibliográfica relativa a: processos colaborativos, processos participativos, processos voltados ao lúdico, design da informação, livros ilustrados e livros informativos para crianças. As análises sugerem que as contribuições do campo para a divulgação científica para crianças potencializam-se quanto mais abrangente for o escopo de participação do design e quanto mais inicial for o estágio de projetação em que é introduzido. Além disso, de cada eixo investigativo sobressaem contribuições específicas ligadas às forma de participação do design no processo de produção da divulgação, a saber: o rigor informativo, investigativo e crítico, e a criatividade na abordagem dos temas da ciência (processos colaborativos); a defesa da autonomia, do protagonismo e do respeito às necessidades cognitivas e emocionais da criança (processos participativos); a aproximação poética, aberta, imaginativa e complexa dos assuntos tratados (processos voltados à ludicidade); e o cuidado com a usabilidade dos objetos, a legibilidade e a visualização da informação (design da informação). / This qualitative study aimed to raise and discuss ways in which the design field can contribute to science communication for children. Specific applied design processes and certain investigative axes of research were identified from a survey of cases of science communication for children in Brazil and abroad, of different natures and media: collaborative processes, participatory processes, playfulness and information design. In order to highlight and discuss questions relating to these four axes, we conducted a case study of the children\'s information book Lá fora - Guia para descobrir a natureza (texts by Maria Ana Peixe Dias and Inês Teixeira do Rosário, illustrations by Bernardo P. Carvalho, Planeta Tangerina, Portugal, 2014). The case study is based on literature review on: collaborative processes, participatory processes, processes aimed at playfulness, information design, picturebooks and children\'s information books. The analysis suggests that the design field contribution to science communication for children can be enhanced the more comprehensive its scope is and the earlier it is introduced in the design process. In addition, each investigative axis highlights specific contributions, linked to the form of participation that design takes on the production process of the publication, namely: the informative, investigative and critical accuracy, and the creativity in addressing the themes of science (collaborative processes); the defense of autonomy, leadership and respect to cognitive and emotional needs of the child (participatory processes); the poetic, open, imaginative and complex approach of subjects addressed (processes aimed at playfulness); the attention to the usability and readability of objects, and its information visualization (information design).

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.