Methods

This section provides detail on the fieldwork methods employed in order to address the research questions. It considers each research question in turn and includes a short explanation of the methods used. Subsequently, more detailed justification is given on the selected methods (as some, including interviews relate to multiple research questions), including a commentary on how they have been used by other authors and in the analysis of this thesis.

Qualitative focus allowing induction

Traditionally, transport studies have focussed on quantitative methods, assessing journey times, quantifying access to services using the number of bus services etc. Increasingly, scholars such as Lucas, Currie, Kenyon and Martens are moving towards a mixed methods approach. Emerging during the late 1970s, researchers added a qualitative section to a predominately

quantitative study in order to ‘make greater sense out of the numerical findings (Teddlie and Tashakkori 2011, p. 286). Adding qualitative elements of research allows the researcher to discover phenomena behind the observable statistics, such as why modal split between cars and trains have altered over time. Using a critical realist approach to understand the factors affecting behaviour on the collective scale, the methods chosen here are qualitative.

Choosing a range of methods using a variety of stakeholders enables

In social science research, the triangulation of reality provides ‘stronger substantiation of constructs and hypotheses’ (Eisenhardt 2002, p.14) and supports an inductive approach to develop theory through the research process.

An inductive approach is one where ‘in a fairly common-sense model, the researcher collects ‘all the relevant facts’ and then examines them to see what theory is suggested by this set of ‘relevant facts’’ (Wengraf 2001, p. 2). The theory thus ‘emerges’ from the data. This is the original ‘grounded theory’ tradition (Glaser and Strauss 1968) in which theory emerges by a process of ‘induction’. The facts are believed to suggest – or even ‘require’ or ‘dictate’ – the theorisation.’

The chapter now examines the approach followed to address each of the research questions.

Research Questions

The following table sets out the primary and secondary data sources used to address each research question.

Table 4.1. Overview of how methods relate to research questions.

Research Question Secondary data Primary data collection

1. To what extent is social exclusion, particularly transport-related social exclusion, intensified by current approaches to providing mass transport systems in developing country cities?

Literature Review

Documentary analysis of grey literature relating to historic planning process and outcomes

Analysis of media reports/blog posts

Structured interviews with transport users

Semi-structured interviews with residents/ community representatives

2. What are rights-based approaches to

participatory governance; and through what

processes and

mechanisms could they be applied to address mobility challenges?

Literature review

Documentary analysis of grey literature review for specific details of the Quito system, e.g. Constitution, reports from Municipio de Quito, academic reports (Spanish)

Semi-structured interviews with community

representatives, government officials and academics Observation at events, for example participation events on transport proposals

3. Through a case study of Quito, a city adopting a rights-based approach to development, and with a planned mass public transport system: a) How can the understanding of transport-related social exclusion in developing country cities be

advanced;

b) To what extent can a rights-based approach to participatory governance

Documentary analysis (for example transport

appraisals, legislation, policy guidance, civil- society reports)

Analysis of newspaper and media reports/social media and posts

Semi-structured Interviews - Focus group with community groups (focus group interview) Interviews with community representatives and academics about current decision-making process Interviews with government officials about current decision- making process

Observation of government and civil-society events.

influence the planning and operation of mass

transport systems through strengthening

participation, and c) To what extent can citizen-led debates embed rights-based approaches into participatory

governance?

This research develops a new conceptualisation of ways to assess transport- related social exclusion through three broad approaches:

a. Developing a model of transport-related social exclusion through the literature review, and testing and refining this in relation to existing transport provision in the case study;

b. Assessing the approach to consultation adopted by the Government of Ecuador and city government of Quito against the Constitutional

requirements for rights-based approaches to participatory governance, and accepted good practice on consultation;

c. Examine the effectiveness of citizen participation in the planning of a new transport system, and a grassroots process for embedding a rights-

based culture into city governance.

RQ1: To what extent is social exclusion, particularly transport-related social exclusion, intensified by current approaches to providing mass transport systems in developing country cities?

The literature as reviewed in Chapter 2 provides a framework through which this research question can be addressed. Church et al (2000) and Cass et al

(2005) both produced lists of critical dimensions of social exclusion from a transport perspective (Section 2.9). These have been critiqued in Chapter 2 and a hybrid transport-related social exclusion model has been suggested that is more appropriate for developing country contexts, based on the researcher’s

critique of existing models and gaps identified from the literature. This hybrid model was tested during fieldwork to examine the elements of transport-related social exclusion perspective that are particularly prevalent in the case study. Methods employed included structured interviews with transport users, semi- structured interviews with residents and community representatives affected by or at risk of social exclusion, and an analysis of media reports for

contextualisation (newspaper articles, social media and blogs etc).

Structured interviews with seventy public transport users within the city were used to gather data on the problems that people experience when moving around the city, through availability and cost of services, their frequency and their reliability for example. Such a method started from the basis of identifying a group which is socially excluded (for example low-income communities living in the urban periphery) and then identifying a location where it would be

possible to meet with them for example young people at an internet café located in a central museum. A proforma of the questionnaire used in the structured interviews is given in Section 4.5.

Analysis of data against the hybrid model of dimensions of social exclusion facilitated an understanding of the problems that communities and individuals face, in order to;

- validate and refine the hybrid conceptualisation of transport-related social exclusion

- underpin discussion of a theoretical link to addressing Research

In order to better understand the challenges faced in Quito, it was important to build an understanding of the city and its public transport routes and

observations. Some time was spent undergoing familiarisation with the location of key sites and services in the city, such as employment centres, schools, universities and hospitals as well as the public transport services that link these locations with residential areas. This ethnographic-style approach to transport studies research has been employed recently by Lucas (e.g. 2011) and is necessary to understand the locations of key destinations and routes that are mentioned during the interviews (so the researcher has a mental map of the area and is able to interact with the interviewees to clarify routes used) as well as to build rapport with the interviewees (Fontana and Frey 2000). This

familiarisation exercise resulted in some commentary about how the researcher found travelling around the city, as well as perform a useful ‘verification’ role to ground the evidence gathered in interviews which, as critics state, present reported narratives of those involved and cannot be taken to represent the wider population (Lucas 2011).

More detail on the sampling strategy, interview schedules are covered in Section 4.5.

RQ2: What are rights-based approaches to participatory governance; and through what processes and mechanisms could they be applied to

address mobility challenges?

This research question is primarily addressed by the literature review on rights- based approaches and participatory governance. In relation to the case study, this question relates to an examination of the Ecuadorean Constitution and how the rights-based approach is being built into the design and management of mass public transport systems.

In order to address this question, the primary method of analysis was document analysis of policy documents, transport appraisal documents (‘grey literature’). In addition, it was important to analyse the wording of the Ecuadorean

Constitution, paying particular attention to the sections on rights, wellbeing, social justice, and social inclusion.

RQ3: Through a case study of Quito, a city adopting a rights-based approach to development, and with a planned mass public transport system:

a. How can the understanding of transport-related social exclusion in developing country cities be advanced;

b. To what extent can a rights-based approach to participatory governance influence the planning and operation of mass transport systems through strengthening participation, and

c. To what extent can citizen-led debates embed rights-based approaches into participatory governance?

For this, semi-structured interviews were the primary method of data collection both with residents, community representatives and national and city

government officials. An explicit recognition of a rights-based approach was not necessary, as proxy measures of effectiveness, equity, participation and

accountability were used to infer the applicability of the rights’ agenda in the chosen case study.

Documents relating to the planning and operation of mass transport systems were analysed. These include:

• Strategic Plan for the BRT system in Quito (Trolébus – Plan Estratégico) 2015

• Documents on the Metro 2016 development including; • the Social Impact report (Ekos Negocios, 2015)

• A summary document of the 80,000 household surveys undertaken regarding the Metro development (MdQ, 2012a)

Analysis of these relevant policy documents has established a benchmark of desired policy and practice activity stemming from the aspirations of the Constitution. This was cross-referenced against the responses on current practice (RQ1) to ascertain the scale (or absence) of the gap.

Semi-structured interviews with government officials included questions on what additional activity might be required in order to achieve compliance with the constitutional right. Current and former officials from the Department of Mobility and the Deputy Mayor’s office (with jurisdiction for participation) were targeted and found to be receptive to taking part in the thesis. A pro-forma for the interview is included in Section 4.5.

As a way of establishing how communities view the efforts, or lack of, by the government, it was important to study media reports (for example from

forms of commentary, such as social media and blog posts to understand the views of the community.

Semi-structured interviews with community members and representatives of civil society organisations were framed around ideas of seeking views on how government processes affect residents and establishing additional activity that they might wish to see to improve the way transport systems are planned and operated. A pro-forma for the interview is included in Section 4.5.

The researcher was also invited to attend a number of events during the field work, led by the Municipio del Distrito Metropolitano de Quito (the city

government) or by civil-society organisations trying to respond to the plans for the Metro. These events were helpful in order to try to understand, from a residents’ point of view, the process of participatory governance. This form of participant observation relates to Research Question 3b.

Finally, two focus groups with groups of residents at risk of social exclusion (the elderly and those with disabilities) were used to examine what form of approach would be needed to better meet the needs of socially excluded communities. Contact with these groups was made via researchers at the Institute of the City (Instituto de la Ciudad). The participants were aware of current mass transport systems in the city, and the aspirations of the Ecuadorean constitutional clause on rights-based approaches to governance.