Publication - Research and analysis
Participatory engagement and social research: methods toolkit
A toolkit of methods available to assist developers, consultants, and researchers carrying out socio-economic impact assessments (SEIA).
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3. Stages in SEIA
This section of the Toolkit sets out suggestions for the most appropriate methods to use at the various stages of a SEIA. The diagram below shows the activities that are typically undertaken when conducting a SEIA. This diagram forms the basis for Table 1 below; listing the different stages, drawing on definitions from the International Association for Impact Assessment[5] to identify further the purpose of that stage and what is involved; and then listing appropriate methods that could be used. Methods are listed alphabetically.
Planning and understanding development
- Develop project plan
- Describe development
Understanding the context
- Define impact area
- Stakeholder mapping
- Stakeholder engagement
- Gather contextual information
Assessing impacts
- Scoping/Develop preliminary list of impacts
- Baseline analysis
- Predict impacts
Management and monitoring
- Enhancement and mitigation
- Monitoring
- Maintaining good practice
| Activity (from diagram) | Description of activity | Purpose (adapted from International Association for Impact Assessment , 2015, page 8) | Suggested methods (detailed in Table 3) |
|---|---|---|---|
| Develop project plan | Develop a project plan for the SEIA process, setting out the scope and goals of the process, the resources that will be needed and the methods to be used. | Clarify the responsibilities and roles of all involved in, or associated with the SIA, including relationships to the other specialist studies being undertaken, and establish what national laws and/or international guidelines and standards are to be observed. | This stage is unlikely to require social research methods, although it may be beneficial to consider what methods will be employed throughout the rest of the SEIA, when carrying out this stage. |
| Describe development | Develop a detailed description of the planned development or intervention, including the ancillary projects and activities that feed into the main development or intervention. | Gain a good understanding of the proposed project, including all ancillary activities necessary to support the project’s development and operation | This stage is unlikely to require social research methods. |
| Stakeholder mapping | Produce stakeholder map outlining all those who may be impacted by the development or intervention or have an interest in it. | Gain a good understanding of the communities likely to be affected by the development or intervention, allowing for greater exploration of the ways in which they might be impacted, and a better understanding of how stakeholders might interact with the development or intervention. | Archival research One-to-one interviews Participatory appraisal Secondary data analysis Social media analysis. |
| Stakeholder engagement | Engage with stakeholders and set up governance structures to enable continued engagement. | Inform community members about: the development or intervention; similar developments or interventions elsewhere to give them a sense of how they are likely to be affected; how they can be involved in the SEIA; their rights in the regulatory and social performance framework for the development or intervention; and their access to feedback mechanisms. Devise inclusive participatory processes and deliberative spaces to help community members: understand if and how they will be impacted; determine the acceptability of likely impacts and proposed benefits; make informed decisions about the development or intervention; facilitate community visioning about desired futures; contribute to mitigation and monitoring plans; and prepare for change. | Community events Ongoing advisory panel Public meetings. |
| Gather contextual information | Gather contextual information about the communities and stakeholders. | Gain a full understanding of communities, including a discussion of the socio-political setting; an assessment of the differing needs, interests, values and aspirations of the various subgroups of the affected communities identifying any equalities issues, an assessment of their impact history, i.e. their experience of past developments or interventions and other historical events; a discussion of trends happening in those communities; and a discussion of the assets, strengths and weaknesses of the communities. | Archival research Community events One-to-one interviews Ongoing advisory panel Participatory appraisal Public dialogues Secondary data analysis Social media analysis Surveys. |
| Scoping | Determine a preliminary list of impacts. | This scoping stage involves identifying the range of potential social and economic impacts, or issues, associated with a planned development or intervention in order to identify those that require further, more detailed assessment. | Archival research Community events One-to-one interviews Ongoing advisory panel Participatory appraisal Public dialogues Secondary data analysis Social media analysis Surveys. |
| Baseline analysis | Carry out baseline analysis as a point of reference from which to assess any changes linked to the development. | Collate relevant baseline data for key socio-economic issues describing the situation in the absence of the development. Ensure stakeholders agree with the baseline analysis, and with the indicators that are being used to assess the baseline. Also gather input from stakeholders on underlying trends or changes that will affect the baseline regardless of whether or not the development proceeds. | Archival research Citizens’ Juries Community events Focus groups Landscape immersion One-to-one interviews Ongoing advisory panel Participatory appraisal Public dialogues Surveys Secondary data analysis. |
| Predict Impacts | Predict impacts which may arise as a result of the development or intervention, and supporting/ ancillary projects. | Through analysis, determine the social changes and impacts that will likely result from the development or intervention and its various alternatives. Carefully consider the indirect (or second and higher order) impacts. Consider how the development or intervention will contribute to the cumulative impacts being experienced by the host communities. Determine how the various affected groups and communities will likely respond. Establish the significance of the predicted changes (i.e. prioritise them). Actively contribute to the design and evaluation of development or intervention alternatives, including no go and other options. | Citizens’ Juries Community events Focus groups Landscape immersion One-to-one interviews Ongoing advisory panel Participatory appraisal Public dialogues Scenario mapping Secondary data analysis Structured consensus-building Surveys Tours and field trips. |
| Mitigation | Develop enhancement and mitigation plan to ensure impacts are acceptable. | Identify ways of addressing potential negative impacts. Develop and implement ways of enhancing benefits and related opportunities. Develop strategies to support communities in coping with change. Develop and implement appropriate feedback mechanisms. | Focus groups One-to-one interviews Ongoing advisory panel Participatory appraisal Public dialogues Scenario mapping Structured consensus-building Surveys. |
| Monitoring | Produce a management and monitoring plan setting out how the SEIA process will continue throughout the life of the development or intervention. | Develop indicators, methods and a strategy for monitoring the social and economic impacts of the development or intervention. Develop a plan for how monitoring, mitigation and engagement will be managed and responded to throughout the development or intervention’s life. | Focus groups Ongoing advisory panel Participatory appraisal Public dialogues Scenario mapping Structured consensus-building. |
| Maintain good practice | Complete the SEIA, and maintain good practice. | Undertake continued monitoring and stakeholder engagement. Undertake evaluation and periodic review. | Ongoing advisory panel Public meetings Social media analysis Surveys. |
3.1. SEIA at plan level
The list of activities and methods suggested in Table 1 apply to SEIA carried out for proposed new developments or interventions.
SEIA is also appropriate at Plan level, helping to inform strategy and taking account of broader issues. Some methods would be more suitable at this level.
Table 2: Methods for Plan level SEIA
Assessing opinion
- Archival research: Archival research, for example old newspaper reports or planning applications, can yield insight into the history and experience of marine interventions, developments and infrastructure.
- Community events: Presence and participation at community events can provide information and raise awareness, and can offer an opportunity to collect feedback and gauge community reactions.
- Secondary data analysis: Existing data about a locality or topic may already exist through, for instance, Scottish Neighbourhood Statistics or previous qualitative and quantitative research. Further secondary analysis of this data can give insight into key issues within the community and help to shape communication and engagement strategies.
- Social media analysis: Publicly available social media postings on different platforms can be viewed to assess initial public reactions to key issues (such as climate change, or renewable energy).
Exploring broad topics
- Citizens’ Juries: Small groups of people (chosen to represent a cross-section of the community) brought together over an extended period to consider issues in depth, which could be at a strategic level.
- Participatory appraisal: A range of techniques which encourage participants to discuss their own views and perspectives in meaningful ways; the topics chosen could be strategic rather than specific to a development or intervention.
- Public dialogues: Public dialogues create opportunities for conversations between community members, experts, and key stakeholders, and could explore broad issues and topics.
- Structured consensus-building: Structured approaches, for example using ranking of options, can identify common priorities and recommendations about a range of topics.
- Surveying: Surveying can be used to assess respondents’ views towards a topic or range of issues, such as perceptions of offshore renewable energy.
Other methods may be less useful at a Plan level; some work best when they have a more specific focus (such as an ongoing advisory panel, or tours and field trips, or landscape immersion); some would be unhelpful to assess ideas about broad topics (such as public meetings); and others would be too intensive to gather sufficient information from community members about strategic issues (such as one-to-one interviews).
Caution should also be exercised when engaging with communities at a Plan level to not inadvertently give the impression that a development or intervention is imminent or a ‘done deal.’ Doing so may cause unnecessary concern about the potential for a development or intervention to happen, and/or may reduce goodwill among the community towards for example, the developer and the technology.
Contact
Email: ScotMER@gov.scot
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