University of Groningen
The assessment and management of social impacts in urban transport infrastructure projects
Mottee, Lara
DOI:
10.33612/diss.146359554
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Publication date:
2020
Link to publication in University of Groningen/UMCG research database
Citation for published version (APA):
Mottee, L. (2020). The assessment and management of social impacts in urban transport infrastructure
projects: Exploring relationships between urban governance, project management and impact assessment
practices in different geographical contexts. University of Groningen.
https://doi.org/10.33612/diss.146359554
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A - Semi-structured Interview Guide(s)
Parramatta Rail Link
223
A - Semi-structured Interview Guide(s)
Parramatta Rail Link
Appendices
Appendices
226
227
Appendices
Appendices
230
231
Appendices
232
233
Appendices
234
South-West Rail Link
Count Category Description Location Date Interview of
22 Consultants ESIA Practitioner Telephone 28 May 2018
23 ESIA Practitioner In person 3 April 2018
24 ESIA Practitioner In person 29 March 2018
25 Transport agency staff
Planner In person 13 April 2018
26 Project Manager In person 13 April 2018
27 Planner In person 13 April 2018
28 Project Manager In person 12 April 2018
29 Government Official
Former Politician In person 3 April 2018
30 SWGC Commission Representative
Commission Representative In person 13 April 2018
B - List of Study Participants
Parramatta Rail Link
Count Category Description Chapter 2 Reference Location Date Interview of
1 Government Stakeholders
Regulator In person 30 June 2016
2 Regulator In person 8 June 2016
3 Government Proponent
Proponent In person 15 June 2016
4 Proponent In person July 2016 28 July 2016
5 Proponent In person 8 2016 August
6 Government Officials
ALP
Politician/Bureaucrat Government Official 1 In person 22 June 2016
7 Politician/Bureaucrat Government Official 2 In person 16 June 2016
8 Politician/Bureaucrat Government Official 3 Telephone 27 July 2016
9 Politician/Bureaucrat Government Official 4 In person 9 2016 August
10 Politician/Bureaucrat Government Official 5* In person 29 June 2016
11 Consultants EIA Practice Consultant Practitioner 1 In person 8 June 2016
12 EIA Practice Consultant Practitioner 2 In person 16 June 2016
13 Engineering / Practice Consultant Practitioner 3 In person 30 June 2016
14 Construction. Consultant In person 6 July 2016
15 Construction Consultant In person 15 June 2016
16 Third Parties Third Party Affected Stakeholder Third Party Stakeholder 1 In person 30 June 2016
17 Third Party Affected Stakeholder Telephone 18 August 2016
18 Third Party Affected Stakeholder In person 14 July 2016
19 Third Party Affected Stakeholder In person 14 July 2016
20 Third Party Affected
Stakeholder In person 27 July 2016
235
South-West Rail Link
Count Category Description Location Date Interview of
22 Consultants ESIA Practitioner Telephone 28 May 2018
23 ESIA Practitioner In person 3 April 2018
24 ESIA Practitioner In person 29 March 2018
25 Transport agency staff
Planner In person 13 April 2018
26 Project Manager In person 13 April 2018
27 Planner In person 13 April 2018
28 Project Manager In person 12 April 2018
29 Government Official
Former Politician In person 3 April 2018
30 SWGC Commission Representative
Appendices
236
Expert Infrastructure Professionals
Count Category Description Location Date Interview of
48 Academics Professor Transport Engineer/Planner In person 05 July 2018
49 Professor Urban Planning In person 20 August 2018
50 Associate Professor Transport (informal discussion) In person 7 December 2018
51 Consultants SIA Practitioner In person 03 August 2018
52 ESIA Manager (informal
discussion) Telephone 27 November 2018
53 ESIA Practitioner (also interviewed for SWRL) Telephone 7 June 2018
Workshop & Focus Groups
International ESIA Practitioners Focus Group
Date: 16 May 2018, Location: IAIA Annual Conference, Durban, South Africa
Count Role Employer
1 ESIA Expert Consultant/Academic
2 ESIA Expert Consultant
3 ESIA Expert Academic
4 ESIA Expert Consultant
5 ESIA Expert Consultant
Dutch IA Professionals, Urban Planners & Policy makers Focus Group
Date: 28 August 2018, Location: Utrecht, The Netherlands
Count Role Employer
6 Policy Advisor EIA Ministry of Transport
7 Policy Advisor Rijkswaterstaat
8 Policy Advisor ESIA Netherlands Commission for
Environmental Assessment
9 ESIA Consultant RHDHV (Consulting)
10 Policy Advisor DCMR Rotterdam
Australian ESIA Practitioners Workshop
Date: 31 October 2018, Location: EIANZ Annual Conference, Sydney, Australia
Count Role Employer
11 Part-time SIA Practitioner Consultant
12 Former SIA Practitioner &
Planner Government
13 Professor University
14 SIA Practitioner Consultant
15 Sustainability Professional Consultant
North-South Metro Line
Count Category Description Location Date Interview of
31 Alderman Former Alderman In person 05 January 2018
32 Former Alderman In person 3 May 2018
33 Engineers/Urban Planners
National Government
Advisor In person 27 October 2017
09 February 2018
34 Former Municipal Transport Engineer Email 23 October 2017
35 External Consultant Engineer Telephone 3 October 2017
36 Municipal Transport Engineer Telephone 23 October 2017
37 Municipal Strategy advisor Telephone 16 2017 November
38 External Researcher In person & Skype (follow up) 16 November 2017
05 April 2019 39 Project
Managers
Municipal Project Manager In person, with
co-researcher present (#1 only)
19 October 2017 28 November 2017
40 Municipal Project Manager Telephone 23 November 2017
41 Municipal Environmental and Stakeholder Engagement Professionals
Environmental Manager In person 21 November
2017
42 Stakeholder Engagement Professional In person 16 2017 November
43 Environmental Manager In person 16 November
2017
44 Stakeholder Engagement Professional Telephone 4 January 2018
45 Legal Advisor In person 8 June 2018
46 Environmental Manager In person, with translator 19 April 2018
47 Citizens’ Representative
Member of a community
237
Expert Infrastructure Professionals
Count Category Description Location Date Interview of
48 Academics Professor Transport Engineer/Planner In person 05 July 2018
49 Professor Urban Planning In person 20 August 2018
50 Associate Professor Transport (informal discussion) In person 7 December 2018
51 Consultants SIA Practitioner In person 03 August 2018
52 ESIA Manager (informal
discussion) Telephone 27 November 2018
53 ESIA Practitioner (also interviewed for SWRL) Telephone 7 June 2018
Workshop & Focus Groups
International ESIA Practitioners Focus Group
Date: 16 May 2018, Location: IAIA Annual Conference, Durban, South Africa
Count Role Employer
1 ESIA Expert Consultant/Academic
2 ESIA Expert Consultant
3 ESIA Expert Academic
4 ESIA Expert Consultant
5 ESIA Expert Consultant
Dutch IA Professionals, Urban Planners & Policy makers Focus Group
Date: 28 August 2018, Location: Utrecht, The Netherlands
Count Role Employer
6 Policy Advisor EIA Ministry of Transport
7 Policy Advisor Rijkswaterstaat
8 Policy Advisor ESIA Netherlands Commission for
Environmental Assessment
9 ESIA Consultant RHDHV (Consulting)
10 Policy Advisor DCMR Rotterdam
Australian ESIA Practitioners Workshop
Date: 31 October 2018, Location: EIANZ Annual Conference, Sydney, Australia
Count Role Employer
11 Part-time SIA Practitioner Consultant
12 Former SIA Practitioner &
Planner Government
13 Professor University
14 SIA Practitioner Consultant
Appendices
238
C – Workshop & Focus Group Questions/Statements
International ESIA Practitioners Focus Group
1. What do you perceive to be the most significant social impacts of urban linear transport development?
2. Do you think that social issues are adequately considered within the development of urban linear transport?
3. What are the challenges in assessing social impacts of urban linear transport development throughout project lifecycles and how can they be improved?
4. What is the role of impact assessment in decision-making and urban planning?
Dutch IA Professionals, Urban Planners & Policy makers Focus Group
1. What do you perceive to be the most significant social impacts of urban linear transport-infrastructure development in the Netherlands?
2. How are the social impacts of urban linear transport-infrastructure assessed & managed in the Netherlands?
3. Should social impacts be considered in MER or something similar?
4. How should social impacts be managed through the project lifecycle (including follow-up) and beyond the decision-making process?
5. How might these practices be implemented in The Netherlands?
Australian ESIA Practitioners Workshop
1. What does your practice experience tell you about post-delivery follow-up of social impacts predicted in SIAs?
2. How might your practice experience inform your thinking about influencing post-delivery project outcomes in the absence of mandated SIA Follow-up?
Sydney-based Urban Planners / IA Professionals (Government) Workshop
1. The ‘public interest’ or ‘social need’ in strategic transport planning includes the equitable distribution of social impacts and benefits at all governance and spatial scales.
2. Integrated Urban Development Plans and Policy development require Integrated Impact assessment to manage both specific and cumulative social change and impacts over time 3. ESIAs should explore the social ‘benefits and opportunities’ rather than just ‘managing impacts’
in planning transport.
4. Good practice ESIA and Integrated Assessment require post-project Follow-up monitoring and evaluation of social impacts (including the achievement or non-achievement of original public interest goals), reporting of such monitoring and evaluation to an appropriate regulatory agency and adequate resourcing for this.
Count Role Employer
16 SIA Advisor Government
17 SIA Practitioner/ Social Planner Consultant
18 SIA Specialist Government
19 Retired SIA practitioner Consultant
20 Community Engagement
Professional Consultant
21 SIA & Social Planner Consultant
22 Planning Officer Government
Amsterdam-based Urban Planners, Stakeholder Engagement and Environmental professionals, Engineers, Project Managers (Government) Workshop
Date: 8 January 2019, Location: Amsterdam, The Netherlands
Count Role Employer
23 Member of the Management
team (also interviewed) Former Municipality of Amsterdam
24 Environmental Manager Municipality of Amsterdam
25 Environmental Manager Municipality of Amsterdam
26 Senior Planner/Advisor Municipality of Amsterdam
27 Policy Advisor Municipality of Amsterdam
28 Project Manager Municipality of Amsterdam
29 Strategic Advisor (Metro & Tram) Municipality of Amsterdam
30 Transport Planner Municipality of Amsterdam
31 Strategic Manager (Metro &
Tram) Municipality of Amsterdam
Sydney-based Urban Planners / IA Professionals (Government) Workshop
Date: 6 May 2019, Location: Sydney, Australia
Count Role Employer
32 Policy Officer Government Planning Department
33 SIA Advisor (also participated in
the EIANZ workshop) Government Planning Department
34 Planning Officer Government Planning Department
35 SIA Specialist (also participated
in the EIANZ workshop) Consultant to Government Planning Department
36 Assessments Officer Government Planning Department
37 Infrastructure Manager Government Planning Department
239
C – Workshop & Focus Group Questions/Statements
International ESIA Practitioners Focus Group
1. What do you perceive to be the most significant social impacts of urban linear transport development?
2. Do you think that social issues are adequately considered within the development of urban linear transport?
3. What are the challenges in assessing social impacts of urban linear transport development throughout project lifecycles and how can they be improved?
4. What is the role of impact assessment in decision-making and urban planning?
Dutch IA Professionals, Urban Planners & Policy makers Focus Group
1. What do you perceive to be the most significant social impacts of urban linear transport-infrastructure development in the Netherlands?
2. How are the social impacts of urban linear transport-infrastructure assessed & managed in the Netherlands?
3. Should social impacts be considered in MER or something similar?
4. How should social impacts be managed through the project lifecycle (including follow-up) and beyond the decision-making process?
5. How might these practices be implemented in The Netherlands?
Australian ESIA Practitioners Workshop
1. What does your practice experience tell you about post-delivery follow-up of social impacts predicted in SIAs?
2. How might your practice experience inform your thinking about influencing post-delivery project outcomes in the absence of mandated SIA Follow-up?
Sydney-based Urban Planners / IA Professionals (Government) Workshop
1. The ‘public interest’ or ‘social need’ in strategic transport planning includes the equitable distribution of social impacts and benefits at all governance and spatial scales.
2. Integrated Urban Development Plans and Policy development require Integrated Impact assessment to manage both specific and cumulative social change and impacts over time 3. ESIAs should explore the social ‘benefits and opportunities’ rather than just ‘managing impacts’
in planning transport.
4. Good practice ESIA and Integrated Assessment require post-project Follow-up monitoring and evaluation of social impacts (including the achievement or non-achievement of original public interest goals), reporting of such monitoring and evaluation to an appropriate regulatory agency and adequate resourcing for this.
Appendices
240
D - Ethics Approval (Macquarie University)
The Macquarie University ethics review process identifies the principal supervisor as responsible for the research, with the supervisor(s) responsible for submission of initial applications, progress and final reports and oversight of the project as it progresses. Hence in the documentation provided in this appendix, Professor Howitt is identified as the formal head of the program reported in the thesis.
Master of Research Ethics Approval (Parramatta Rail Link)
Amsterdam-based Government Workshop
1. Feasibility and ex-ante assessments should have better considered social consequences and opportunities for the local community in the short and long-term.
• Do you agree with this statement? Why/Why not?
• How could social impact assessment be improved in planning for future transport projects
2. Early public consultation during feasibility should have engaged all sections of the community, and placed greater value on their contribution to the design process.
• Do you agree with this statement? Why/Why not?
• How are all sections of the community engaged currently on NZL?
• Could the local community have a greater contribution to future transport projects? 3. The ‘need’ for the project should have been continually evaluated against the original social
objectives during design planning phases and up until delivery. • Do you agree with this statement? Why/Why not?
• Are the social ‘need’ objectives for NZL continually evaluated presently?
• Could project evaluation on social ‘need’ objectives be improved for future transport projects?
4. The communication strategy post-Veerman committee allowed for flexibility in developing management strategies in response to social impacts as they arose, however, appropriate budgets and resources could have been allocated for managing social impacts from early stages of planning.
• Do you agree with this statement? Why/Why not?
• Does the NZL have continued appropriate budgets for managing social impacts? • Are appropriate budgets allocated for social impact management for future transport
projects?
5. There was a disconnect between the assessment, management and reporting Follow-up of social impacts at the project-scale and city-wide scale.
• Do you agree with this statement? Why/Why not? • How is this addressed for the NZL currently?
241
D - Ethics Approval (Macquarie University)
The Macquarie University ethics review process identifies the principal supervisor as responsible for the research, with the supervisor(s) responsible for submission of initial applications, progress and final reports and oversight of the project as it progresses. Hence in the documentation provided in this appendix, Professor Howitt is identified as the formal head of the program reported in the thesis.
Appendices
242
243
Appendices
244
E - Consent Forms
Parramatta Rail Link
Appendices
245
E - Consent Forms
Parramatta Rail Link
Appendices
246
North-South Metro Line [English/Dutch]
247
North-South Metro Line [English/Dutch]
Appendices
248
Focus Groups
NB: Each focus group consent form was amended to reflect the approximate duration (see Table 6.1).
249
Focus Groups
NB: Each focus group consent form was amended to reflect the approximate duration (see Table 6.1).
About the Author
Lara K. Mottee is a pracademic with more than fifteen years’ experience as a practitioner and researcher in impact assessment and human geography. She holds a Bachelor of Science (Communications) with Honours in Geography (2004) and Master of Environmental Management (High Distinction) (2012) from the University of New South Wales, Sydney, Australia. In 2011 she spent a semester abroad at the University of Leeds - a rewarding experience that she credits as inspiring her to pursue a PhD in Geography and Planning. She also holds a Post-Graduate Diploma in Social Impact Assessment (2015) and a Master of Research (2016) from Macquarie University, Sydney, Australia. Her Master of Research thesis, the pilot study to this PhD Research, titled Social Impact Assessment and Managing Urban Transport-Infrastructure projects: Towards a framework to evaluate post-facto effectiveness won the University Medal in Geography and Planning and the Jim Rose Prize for best thesis in Geography in 2016.
She conducted her PhD research (2017 – 2020) jointly at the Department of Cultural Geography, Faculty of Spatial Sciences, University of Groningen, The Netherlands and the Department of Geography and Planning, Faculty of Arts, Macquarie University under a cotutelle arrangement. Her PhD research was inspired by her practitioner experience in engineering consulting, personal ambitions to draw stronger connections between academic research and practice, her love of transport and her passion to make the world a better place.
Prior to commencing her PhD, Lara worked as a Principal Environmental Scientist in infrastructure engineering consulting for thirteen years. Lara is also an experienced project manager and holds two diplomas in management. She was involved in a variety of infrastructure projects including water, waste-water, rail, roads, defence, power stations and major events. Her work focused on urban planning and environmental approvals, environmental management and environmental auditing, and Environmental and Social Impact Assessments.
List of recent publications
Peer-reviewed papers
Mottee, L. K., Arts, J., Vanclay, F., Miller, F. & Howitt, R. (2020) Metro infrastructure planning in Amsterdam: how are social issues managed in the absence of Environmental and Social Impact Assessment? Impact Assessment and Project Appraisal, 38(4), pp. 320-355.
doi:10.1080/14615517.2020.1741918
Mottee, L. K., Arts, J., Vanclay, F., Howitt, R., & Miller, F. (2020) Limitations of technical approaches to transport planning practice in two cases: Social issues as a critical component of urban projects, Planning Theory and Practice, 21(1), pp. 39-57. doi:10.1080/14649357.2019.1696980
251
About the Author
Lara K. Mottee is a pracademic with more than fifteen years’ experience as a practitioner and researcher in impact assessment and human geography. She holds a Bachelor of Science (Communications) with Honours in Geography (2004) and Master of Environmental Management (High Distinction) (2012) from the University of New South Wales, Sydney, Australia. In 2011 she spent a semester abroad at the University of Leeds - a rewarding experience that she credits as inspiring her to pursue a PhD in Geography and Planning. She also holds a Post-Graduate Diploma in Social Impact Assessment (2015) and a Master of Research (2016) from Macquarie University, Sydney, Australia. Her Master of Research thesis, the pilot study to this PhD Research, titled Social Impact Assessment and Managing Urban Transport-Infrastructure projects: Towards a framework to evaluate post-facto effectiveness won the University Medal in Geography and Planning and the Jim Rose Prize for best thesis in Geography in 2016.
She conducted her PhD research (2017 – 2020) jointly at the Department of Cultural Geography, Faculty of Spatial Sciences, University of Groningen, The Netherlands and the Department of Geography and Planning, Faculty of Arts, Macquarie University under a cotutelle arrangement. Her PhD research was inspired by her practitioner experience in engineering consulting, personal ambitions to draw stronger connections between academic research and practice, her love of transport and her passion to make the world a better place.
Prior to commencing her PhD, Lara worked as a Principal Environmental Scientist in infrastructure engineering consulting for thirteen years. Lara is also an experienced project manager and holds two diplomas in management. She was involved in a variety of infrastructure projects including water, waste-water, rail, roads, defence, power stations and major events. Her work focused on urban planning and environmental approvals, environmental management and environmental auditing, and Environmental and Social Impact Assessments.
List of recent publications
Peer-reviewed papers
Mottee, L. K., Arts, J., Vanclay, F., Miller, F. & Howitt, R. (2020) Metro infrastructure planning in Amsterdam: how are social issues managed in the absence of Environmental and Social Impact Assessment? Impact Assessment and Project Appraisal, 38(4), pp. 320-355.
doi:10.1080/14615517.2020.1741918
Mottee, L. K., Arts, J., Vanclay, F., Howitt, R., & Miller, F. (2020) Limitations of technical approaches to transport planning practice in two cases: Social issues as a critical component of urban projects, Planning Theory and Practice, 21(1), pp. 39-57. doi:10.1080/14649357.2019.1696980
About the Author
252
Mottee, L. K., Arts, J., Vanclay, F., Howitt, R., & Miller, F. (2020). Reflecting on how social impacts are considered in Transport Infrastructure Project Planning: Looking beyond the claimed success of Western Sydney’s South West Rail Link, Urban Policy and Research, 38(3), pp. 185-198. doi:10.1080/08111146.2020.1730787
Sharkey, M., Lopez Franco, M., Mottee, L.K. & Scaffidi, F. (2019). Activist researchers: four cases of affecting change. plaNext. Next generation planning, 8, pp. 10-20. doi:10.24306/plnxt/42
Mottee, L. K., & Howitt, R. (2018). Follow-up and social impact assessment (SIA) in urban transport-infrastructure projects: insights from the Parramatta rail link. Australian Planner, 55(1), pp. 46-56. doi:10.1080/07293682.2018.1506496
Conference Papers
Scaffidi, F., Lopez Franco, M., Mottee, L.K. & Sharkey, M., (2019). The role of activist researchers in urban and regional planning. Analysing and comparing international case studies of social change. Paper presented at the AESOP Conference, 9-13 July. Venice, Italy.
Mottee, L. (2018). Follow-up of Social Impacts of Urban Linear Transport-Infrastructure projects:
Exploring Key Issues for the Future. Paper presented at the EIANZ Annual Conference, 1-3
November 2018. Sydney, New South Wales, Australia.
Mottee, L., Witt, K., Everingham., J., & Rifkin, W. (2015). Measuring cumulative socio-economic
impacts of coal seam gas projects in the Western Downs: Building the case for a strategic monitoring framework. Paper presented at the EIANZ Annual Conference, 29-30 October 2015.
