1. EX ANTE EVALUATIONS - PREPARING FOR EU 2014-2020EX ANTE EVALUATIONS - PREPARING FOR EU 2014-2020 4TH INTERNATIONAL EVALUATION CONFERENCE4TH INTERNATIONAL EVALUATION CONFERENCE 26-27 September, 2013 Budapest Public Participation in the Definition of Monitoring in Transport Planning Matteo Ignaccolo University of Catania (Italy) matig@dica.unict.it

2. Fonte: www.ambiente.regione.umbria.it 2 Prof. Matteo Ignaccolo University of Catania (Italy) The steps and methods of the SEA process

3. Prof. Matteo Ignaccolo University of Catania (Italy) SEA scheme. The sequence of steps of an integrated process of planning and evaluation Fonte: Progetto Enplan (2004). Linee guide : l’integrazione della Valutazione Ambientale nel processo di piano www.interreg-enplan.org/linee3.htm 3

4. Prof. Matteo Ignaccolo University of Catania (Italy) Stages of work carried out for the implementation of the SEA of the Italian PON Networks and Mobility Fonte: Piano di Monitoraggio Ambientale. Quaderni del PON Reti e Mobilità 2007-2013 4

5. A Port Action Plan is a long-term structural and strategic plan with a planned horizon at least of 10 years. It identifies problems and solutions to enhance the accessibility and sustainability of port systems. A Port Action Plan fixes not only the goals to be gained, but also a monitoring and evaluation system through the identification of a set of performance indicators. … adopting new planning integrated approaches in the fields of transport, land use, urban environment and local governance (EU Integrated Maritime Policy in the Mediterranean space). Port Action Plan Prof. Matteo Ignaccolo University of Catania (Italy) 5

6. Key objectives for each organization when producing a PAP are: To decongest the maritime system bottleneck by coordinating transport modal shift policies. To limit air pollution produced by the increased mobility of goods in coastal regions, especially when the emissions of trailer and semitrailer trucks are produced within the urban nodes to arrive to the harbour terminals. To promote intermodality solutions in urban seaports in order to boost the transfer traffic shares from monomodal road transport to Short Sea Shipping and combined transport. To enhance the accessibility of Mediterranean ports towards their hinterland and the home markets of Central Europe, so that maritime regions can economically benefit from the plan strategies. Prof. Matteo Ignaccolo University of Catania (Italy) Port Action Plan 6

7. The Port Action Plans will be developed: according to the logic of the Deming Cycle (or PCDA Cycle) joint with the IORI framework Prof. Matteo Ignaccolo University of Catania (Italy) Proposed Planning Model 7

8. Prof. Matteo Ignaccolo University of Catania (Italy) Proposed Planning Model The Deming Cycle is an iterative four-step problem-solving model used to ensure continuous improvement of processes and optimal use of available resources PLANDOCHECKACT 8

9. Prof. Matteo Ignaccolo University of Catania (Italy) Proposed Planning Model (Indicative Guidelines on Evaluation Methods: Monitoring and Evaluation Indicators for the New Programming Period 2007-2013 of the European Commission - August 2006) 9

10. P – Plan 1.1. Definition of the territorial ambit of reference 1.2. Identification of the public bodies, stakeholders and citizens to be involved 1.3. Analysis of the state of art 1.5. Analysis of the best practices (benchmarking analysis) 1.6. SWOT analysis 1.4 Construction of development scenarios – Definition of plan scenario (MoU) D – Do C – Check Monitoring (IORI) Prof. Matteo Ignaccolo University of Catania (Italy) Framework of the planning model 10

11. Prof. Matteo Ignaccolo University of Catania (Italy) 1.stakeholder identification, at the early stage of decision-making context assessment; 2.listening, during the analysis of the present situation and the identification of plan objectives; 3.information giving; 4.consultation, while formulating and evaluating the alternative systems’ projects; 5.participation in the final choice. Cascetta e Pagliara, 2011 The 5 levels of Public Engagement in transport planning 11

12. Prof. Matteo Ignaccolo University of Catania (Italy) The PDCA cycle integrated with the participation process 12

13. Prof. Matteo Ignaccolo University of Catania (Italy) Proposed Planning Model Quality life Improving Maritime Traffic Improve Operational Infrastructure Improving Environmental Quality Create / Improve Infrastructure Increase Port Capacity Air pollution Docks TEUs % Decreased Air Pollution n° TEUs n° Docks 13

14. Prof. Matteo Ignaccolo University of Catania (Italy) Focus sul Community Involvement GUIDEMAPS Handbook, Kelly et al. 2004 14

15. Community Involvement (CI) in Transport Planning Conflicting objectives for various stakeholders (e.g. accessibility to commercial activities vs liveability for citizen) Lack of alternatives “razional” vision of the choices (Cascetta, 2012) The absence of CI can lead to syndromes: NIMBY (Not In My BackYard)  BANANA (Build Absolutely Nothing Anywhere Near Anyone)  DAD (Decide, Announce, Defend) prefer a stakeholders shared solution rather than the optimal solution DECISION MAKERS COMMUNITIES Prof. Matteo Ignaccolo University of Catania (Italy) 15

16.  NIMBY National database monitoring all public works who suffer disputes  331 in Italy. Elementi del processo decisionale di pianificazione dei trasporti Prof. Matteo Ignaccolo University of Catania (Italy) Community Involvement and Sustainable Mobility http://www.nimbyforum.it/ 16

17. NIMBY Prof. Matteo Ignaccolo University of Catania (Italy) 17

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21. Prof. Matteo Ignaccolo University of Catania (Italy) NIMBY – BRT and parking infrastructures in Catania 21

22. line Catania Ognina – Catania Centrale in the context of the RFI project “Nodo di Catania”:  demolition of historical buildings  installation of soundproof barriers on the “Archi della Marina” NIMBY – railway doubling in Catania Prof. Matteo Ignaccolo University of Catania (Italy) 22

23. Community (Stakeholder) Involvement or Public Engagement Prof. Matteo Ignaccolo University of Catania (Italy) 23 CI is the process of identifying and incorporating stakeholders’ concerns, needs and values in the transport decision making process It is a two-way communication process to favor exchange information and SH interaction among them and with the decision maker and the planners The aim is to achieve a transparent decision making process, enriched by the SH inputs and the emergence of a coalition supporting a final shared decision

24. Principles of Community Involvemement Prof. Matteo Ignaccolo University of Catania (Italy) 24 Community Involvement (CI) is the participation process of interested people to public decisions and it is a relevant part of the decision-making process according to sustainability principles Necessity to involve all the stakeholders from the very beginning of the planning process, with different levels of involvement during the planning phases Participation process must be effective and avoid time and money consuming Stakeholder interaction fosters the emergence of coalitions and alliances among stakeholders It facilitates the convergence of different stakeholders to a shared solution

25. The path of participation "step-by-step" Prof. Matteo Ignaccolo University of Catania (Italy) Holstein, 2010 25

26. Actors involved in the decision-making process Prof. Matteo Ignaccolo University of Catania (Italy) Planners Stakeholders Citizens Expertise Decision-makers Public interest 26

27. The pyramid of participation Prof. Matteo Ignaccolo University of Catania (Italy) Planners Stakeholders Citizens Holstein, 2010 27

28. Passaggio dal DAD all’ EDD Prof. Matteo Ignaccolo University of Catania (Italy) Planners Stakeholders Citizens Walker, 2009 28

29. FORMAL CHOICE MONITORING AND EVALUATION IMPLEMENTATION (PARTIAL/TOTAL ) ALTERNATIVES EVALUATION GENERATION OF ALTERNATIVE PROJECTS PRESENT SITUATION The decision-making process: the strongly rational approach DECISION-MAKING CONTEXT IDENTIFICATION OBJECTIVES, CONSTRAINTS AND INTERVENTIONS IDENTIFICATION COMPARISON OF ALTERNATIVE PROJECTS POSSIBLE ALTERNATIVE PROJECTS IDENTIFICATION IMPACTS SIMULATION AND PROJECTS TECHNICAL EVALUATION CHOICE INTERVENTIONS MONITORING PROJECT IMPLEMENTATION Prof. Matteo Ignaccolo University of Catania (Italy) 29 rielaborato da Cascetta, 2011

30. DECISION-MAKING CONTEXT IDENTIFICATION PRESENT SITUATION ANALYSIS -Activity system -Transportation system PRESENT SITUATION ANALYSIS -Activity system -Transportation system ALTERNATIVE SOLUTIONS COMPARISON (EVALUATION) IDENTIFICATION OF OBJECTIVES, CONSTRAINTS AND PROJECT TYPOLOGIES ALTERNATIVE SYSTEMS PROJECTS (PLANS) FORMULATION CHOICE (PHASE) IMPLEMENTATION 1 st PHASE PUBLIC ENGAGEMENT SATISFYING CONSENSUS NO YES STAKEHOLDER IDENTIFICATION LISTENING INFORMATION GIVING CONSULTATION PARTICIPATION CONSULTATION PARTICIPATION INFORMATION GIVING CONSULTATION INFORMATION GIVING CONSULTATION MONITORINGMONITORING MONITORINGMONITORING PROJECTS SIMULATION AND TECHNICAL ASSESSMENT Public Engagement Transport Planning Prof. Matteo Ignaccolo University of Catania (Italy) 30 rielaborato da Cascetta, 2011

31. Tools for participation: Social Network Analysis Prof. Matteo Ignaccolo University of Catania (Italy) Social Network Analysis is the methodical analysis of social networks A social network diagram displaying friendship ties among a set of Facebook users. (Source: Wikipedia) 31 SNA views social relationships in terms of network theory, consisting of nodes (representing individual actors within the network) and ties (which represent relationships between the individuals, such as friendship, kinship, organizational position, sexual relationships, etc.) These networks are often depicted in a social network diagram, where nodes are represented as points and ties are represented as lines.

32. Reconstruction of the SH Network and Opinion Network Prof. Matteo Ignaccolo University of Catania (Italy) 32

33. Measures of centrality of a node in the network Prof. Matteo Ignaccolo University of Catania (Italy) –A) Degree centrality the number of ties that a node has –B) Closeness centrality The inverse of the sum of its shortest path to all other nodes –C) Betweenness centrality the number of times a node acts as a bridge along the shortest path between two other nodes –D) Eigenvector centrality is a measure of the influence of a node in a network. Connections to high-scoring nodes contribute more to the score of the node Increasing values ​​ of centrality Fonte: Wikipedia 33

34. Measures of centrality of a node in the network Prof. Matteo Ignaccolo University of Catania (Italy) 34

35. L’uso dei social network nella pianificazione è illustrato da Scott e Ward (2010) Mappatura degli stakeholder (Carter, 2009; Trenitalia, 2004) Misure di centralità (Kazmierckzak, 2012) Software automatici (Stakeholder Circle, StakeSource) Rete = nodi (stakeholder), archi (relazioni) Rete ricostruita tramite interviste (Kazmierckzak, 2012; Pitt, 2008) o snowballing technique (StakeNet, StakeSource) Tools for partecipation : Social Network Analysis Prof. Matteo Ignaccolo University of Catania (Italy) 35

36. Identification:  Initial stakeholder (sh) list (manually identified)  Send Email to sh  Initial Sh iniziali suggest other sh (snowballing) Network construction:  Network created thanks to suggestions Centrality measures:  Betweenness, load, closeness, pagerank, in-degree, out- degree Identification of sh that may have difficulties in communication/involvement sh priority based on centrality measures StakeSource Prof. Matteo Ignaccolo University of Catania (Italy) 36

37. Tools for CI: opinion dynamics model for the stakeholder network Prof. Matteo Ignaccolo University of Catania (Italy) 37 Studying how the opinion flows through the network can be useful to understand how the interaction among SH can affect the final decision Opinion dynamics models (e.g. HK, 2002; Snajzd, 2000; OCR model Pluchino et al., 2004) can simulate the behaviour of SH choosing among different alternatives The opinion dynamics is highly influenced by the network topology and SH’ importance (Le Pira, Inturri, Ignaccolo et al., 2013) As a result of the interaction, the network topology can change and the opinion too

38. The change of opinion as a result of the interaction Prof. Matteo Ignaccolo University of Catania (Italy) INFORMATION GIVING INTERACTION OPINION CHANGE 38 sìno

39. Stakeholder identification Stakeholder analysis Building of the stakeholder network (SNA) Opinion dynamics on the stakeholder network Methodology Prof. Matteo Ignaccolo University of Catania (Italy) 39

40. Opinion dynamics on the stakeholder network and Netlogo Prof. Matteo Ignaccolo University of Catania (Italy) Netlogo interface 40 www.ccl.northwestern.edu/netlogo/ Opinion dynamics models to reproduce the information exchange among stakeholders who have an opinion and can communicate Agent-based modelling to simulate the opinion dynamics because of:  the possibility to ask the agents (endowed with own properties) to have an opinion and act according to simple behavioural laws;  the surfacing of collective patterns which are not predictable Netlogo: multi-agent programmable modelling environment that reproduces complex systems and can be used to simulate the opinion dynamics on the stakeholder network

41. Agent-based modelling of stakeholder interaction in transport decisions Prof. Matteo Ignaccolo University of Catania (Italy) 41

42. World Conference on Transport Research WCTR Rio 2013 Prof. Matteo Ignaccolo University of Catania (Italy) 42

43. Categories of stakeholders in the port planning Prof. Matteo Ignaccolo University of Catania (Italy) Institutions and authorities (public sector), which in turn can be: Internal stakeholders Legislation and public policy stakeholders Companies and operators (private sector), which can be considered as internal stakeholders Local communities (or community stakeholders), which can be considered as external stakeholders 43

44. stakeholder network for port planning and management Prof. Matteo Ignaccolo University of Catania (Italy) (Henesey et al., 2003) http://www.maccs.mu/index.php?page_id=62&lang=1 44

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46. Port Community - internal SH network Prof. Matteo Ignaccolo University of Catania (Italy) 46

47. Conclusions Community Involvement relevance in transport planning decision procedures Need to involve stakeholder since from early stages of planning process Participation procedures for the definition of monitoring criteria Tools for favour the participation process (SNA and Opinion dynamics) Importance of decision support tools (MCA, AHP, participatory GIS) in order to obtain stakeholder shared solutions Prof. Matteo Ignaccolo University of Catania (Italy) 47

48. Bibliography (1/2) Carter, J. 2009. Stakeholder Mapping for Climate Change Adaptation. Centre for Urban and Regional Ecology, The University of Manchester, Manchester, UK. In: http://www.adaptingmanchester.co.uk/sites/default/files/Stakeholdermappingreport- finalversion.pdf http://www.adaptingmanchester.co.uk/sites/default/files/Stakeholdermappingreport- finalversion.pdf Cascetta, E. 2011. Transportation Planning: Decision-making, Public Engagement and Systems Engineering. SIDT, National Conference and International Seminar, Venice. In: http://www.enniocascetta.net/public/20120713143507Cascetta_SIDTfinal.pdf http://www.enniocascetta.net/public/20120713143507Cascetta_SIDTfinal.pdf Cascetta, E. 2012. Scelte razionali e Public Engagement per le infrastrutture italiane. In: http://www.enniocascetta.net/public/2012071613191820120604130729articolo%20fluxus%20scelt e%20razionali%20e%20Public%20Engagement[1].pdf http://www.enniocascetta.net/public/2012071613191820120604130729articolo%20fluxus%20scelt e%20razionali%20e%20Public%20Engagement[1].pdf Cascetta, E. e Pagliara, F. 2011. Public Engagement and Transportation Planning: Some evidences from Italy. SIDT, National Conference and International Seminar, Venice. In: http://www.sidt.org/sidt2011/wp-content/uploads/SIDT-2011_PL2_02_Public-Engagement-and- Transportation-Planning.pdf http://www.sidt.org/sidt2011/wp-content/uploads/SIDT-2011_PL2_02_Public-Engagement-and- Transportation-Planning.pdf Hegselmann, R. e Krause, U. 2002. Opinion dynamics and bounded confidence: models, analysis and simulation. Journal of Artificial Societies and Social Simulation, 5(3), 2002. Henesey, L., Notteboom, T., e Davidsson, P. 2003. Agent-based simulation of stakeholders relations: An approach to sustainable port and terminal management. Proceedings of the International Association of Maritime Economists Annual Conference, (IAME 2003), Busan, Korea, 2003. Holstein, A. N. 2010. Participation in climate change adaptation. GRaBS Expert Paper 2. www.grabs-eu.org www.grabs-eu.org Kazmierczak, A. 2012. Working together? Inter-organisational cooperation on climate change adaptation. EcoCities project, The University of Manchester, Manchester, UK. In: http://www.adaptingmanchester.co.uk/sites/default/files/EcoCitiesSNA_FINAL.pdf http://www.adaptingmanchester.co.uk/sites/default/files/EcoCitiesSNA_FINAL.pdf Prof. Matteo Ignaccolo University of Catania (Italy) 48

49. Bibliography (2/2) Kelly, J., P. Jones, F. Barta, R. Hossinger, A. Witte e Wolf A. C. 2004. Successful transport decision-making. A project management and stakeholder engagement handbook. In: http://www.civitas-initiative.org/docs1/GUIDEMAPSHandbook_web.pdf http://www.civitas-initiative.org/docs1/GUIDEMAPSHandbook_web.pdf Le Pira, M., Ignaccolo M., Inturri G., Garofalo C., Pluchino A. e Rapisarda A., 2013. Agent based modelling of Stakeholder Interaction in Transport Decisions. Paper da presentare al WCTR 2013 (Rio de Janeiro, 15-18 luglio 2013) Pitt, M. 2008. Using Social Network Analysis to Study Participation in the Community-University Partnership Megaprojects for Communities. Method Report CE08-02E. Montréal: CURA Making Megaprojects Work for Communities – Mégaprojects au service des communautés. Pluchino, A., Latora V., e Rapisarda, A. 2004. Changing Opinions in a Changing World. A New Perspective in Sociophysics. arXiv:cond-mat/0410217 [cond-mat.other]arXiv:cond-mat/0410217 Scott Dempwolf, C. and Ward Lyles, L. 2010. The Uses of Social Network Analysis in Planning: A Review of the Literature. Journal of Planning Literature, February 2012; vol. 27, 1; pp. 3-21. Sznajd Weron, K. and Sznajd, J. 2000. Opinion evolution in closed community. International Journal of Modern Physics C, 11(6):1157-1165, 2000. Trenitalia, 2004. Stakeholder Analysis – DTR. Progress Report. 16 th December 2004 Walker, P. 2009. Dinosaur DAD and Enlightened EDD – engaging people earlier is better. The environmentalist, 2 Feb 2009, Issue 71. Winkelmans, W. and Notteboom, T. 2007. Port master planning: Balancing stakeholders’ interests. In: Dobrowolski, K., Zurek, J. (Eds), The reality and dilemmas of globalization. Gdansk: The Foundation of the Development of Gdansk University. Prof. Matteo Ignaccolo University of Catania (Italy) 49

50. Prof. Matteo Ignaccolo Università degli Studi di Catania 50 Matteo Ignaccolo University of Catania (Italy) - matig@dica.unict.itmatig@dica.unict.it Thanks for your attention!