EPA-600/5-78-004
February 1978
Socioeconomic Environmental Studies Series
A RESEARCH STRATEGY FOR SOCIAL
ASSESSMENT OF LAKE RESTORATION
PROGRAMS
Environmental Research Laboratory
Office of Research and Development
U.S. Environmental Protection Agency
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RESEARCH REPORTING SERIES
Research reports of the Office of Research and Development, U.S. Environmental
Protection Agency, have been grouped into nine series. These nine broad cate-
gories were established to facilitate further development and application of en-
vironmental technology. Elimination of traditional grouping was consciously
planned to foster technology transfer and a maximum interface in related fields.
The nine series are:
1. Environmental Health Effects Research
2. Environmental Protection Technology
3. Ecological Research
4. Environmental Monitoring
5. Socioeconomic Environmental Studies
6. Scientific and Technical Assessment Reports (STAR)
7. Interagency Energy-Environment Research and Development
8. "Special" Reports
9. Miscellaneous Reports
This report has been assigned to the SOCIOECONOMIC ENVIRONMENTAL
STUDIES series. This series includes research on environmental management,
economic analysis, ecological impacts, comprehensive planning and fore-
casting, and analysis methodologies. Included are tools for determining varying
impacts of alternative policies; analyses of environmental planning techniques
at the regional, state, and local levels; and approaches to measuring environ-
mental quality perceptions, as well as analysis of ecological and economic im-
pacts of environmental protection measures. Such topics as urban form, industrial
mix, growth policies, control, and organizational structure are discussed in terms
of optimal environmental performance. These interdisciplinary studies and sys-
tems analyses are presented in forms varying from quantitative relational analyses
to management and policy-oriented reports.
This document is available to the public through the National Technical Informa-
tion Service, Springfield, Virginia 22161.
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EPA-600/5-78-004
February 1978
A RESEARCH STRATEGY FOR SOCIAL ASSESSMENT
OF LAKE RESTORATION PROGRAMS
William D. Honey and Thomas C. Hogg
Department of Anthropology
Oregon State University
Corvallis, Oregon 97331
Purchase Order No. CC6991885-A
Project Officer
Bruce A. Tichenor
Criteria and Assessment Branch
Corvallis Environmental Research Laboratory
U.S. Environmental Protection Agency
Corvallis, Oregon 97330
CORVALLIS ENVIRONMENTAL RESEARCH LABORATORY
OFFICE OF RESEARCH AND DEVELOPMENT
U.S. ENVIRONMENTAL PROTECTION AGENCY
CORVALLIS, OREGON 97330
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DISCLAIMER
This report has been reviewed by the Corvallis Environmental Research
Laboratory, U.S. Environmental Protection Agency, and approved for publica-
tion. Approval does not signify that the contents necessarily reflect the
views and policies of the U. S. Environmental Protection Agency, nor does
mention of trade names or commercial products constitute endorsement or
recommendation for use.
ii
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FOREWORD
Effective regulatory and enforcement actions by the Environmental
Protection Agency would be virtually impossible without sound scientific
data on pollutants and their impact on environmental stability and human
health. Responsibility for building this data base has been assigned to
EPA's Office of Research and Development and its 15 major field instal-
lations, one of which is the Corvallis Environmental Research Laboratory
(CERL).
The primary mission of the Corvallis Laboratory is research on the
effects of environmental pollutants on terrestrial, freshwater, and marine
ecosystems: the behavior, effects and control of pollutants in lake systems;
and the development of predictive models on the movement of pollutants in
the biosphere.
Section 314 of the Water Pollution Control Act Amendments of 1972
provides funds on a matching basis to States for the restoration of lakes to
improve their utility to local communities. As part of this "Clean Lakes
Program," CERL evaluates the restoration projects to determine the changes
in the lake's quality, both limnologically and socio-economically. This
report provides methodology for assessing the social impact of restoring
polluted lakes.
Other reports to follow will deal with the social impacts at specific
lake restoration sites.
A. F. Bartsch
Director, CERL
m
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ABSTRACT
This research was initiated in order to examine the social implications
of lake restoration programs and to develop a standardized methodology for
social impact assessment.
A cultural ecological model is employed since it provides perspectives
on the relationship of human adaptation and cultural development in evolu-
tionary terms. Use of the model calls for examination of both spatial and
temporal parameters. Temporal phases include planning, lake treatment, and
restored lake conditions. Spatial parameters include both primary and
secondary geographical zones of project influence. The model has not been
tested in a specific research environment, but it has been developed from
strategies which have proved effective in examining the social impacts of
public works projects.
A general research strategy is set forth to encompass historical,
geographical and ethnological components in a cultural setting. Data are
quantified for a contemporary social profile, and for projections with and
without project implementation. All data are examined in terms of five
instrumental cultural functions. Criteria for socio-cultural assessment are
employed from a research matrix.
This report was submitted in fulfillment of Purchase Order CC6991885-A
by the authors under the sponsorship of the U.S. Environmental Protection
Agency. This report covers the period October 1, 1976 to January 1, 1977,
and work was completed as of March 1, 1977.
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CONTENTS
Page
Foreword iii
Abstract iv
Section
1. Purpose and Organizing Assumptions of Document 1
Orientation to Research Design/Social Assessment ... 2
2. The Dynamics of Assessing Lake Restoration 4
Overview of Lake Restoration Methods/Processes .... 4
Application of Water Resources Schemes 5
Identification of Parameters 5
3. General Research Strategy 10
Objectives of Social Assessment Research 10
Formulation of a Model 11
Collection and Assemblage of Aggregate Data 13
Methods of Application and Data Organization 15
4. Summary of Aggregate Effects/Impacts 26
Adverse/Beneficial Effect Identification 26
Socio-Cultural Assessment Criteria 27
5. Summary and Recommendations , ... 32
Summary 32
Recommendations 32
References 34
Appendices
A. Questionnaire Design 37
B. Statistical Guides 38
C. Social Aspects of Lake Restoration-Bibliography 39
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SECTION 1
PURPOSE AND ORGANIZING ASSUMPTIONS OF DOCUMENT
The primary function of this document is to provide a methodology
for research and data analysis to assess the social impact of lake restora-
tion programs. It carries an implied second function, i.e., a device to
assess adequacy of social impact analysis. Although the plan has not been
field tested, it has been developed from strategies which have proved effi-
cent and effective in examining the social impacts of other public works
programs, e.g. dams (Hogg and Honey 1976; Hogg and Smith 1971). The plan
and associated methodology will need to be modified for actual test situa-
tions to determine the overall applicability to lake restoration projects.
This work is guided by the specific objective of developing a general
research strategy applicable to social impact assessments of lake restoration
programs and projects. Some of our previous works (Hogg and Smith 1971;
Hogg and Honey 1976) and those of other social scientists in the water
resources field (Peterson 1971; Bauer 1973; Burch 1967; Drucker 1974) suggest
that the social impacts of lake restoration are not only generated by the
construction and operation of new facilities, but that early and advanced
stages of planning carry important social impacts as well (cf. Burdge and
Ludke 1970).
Different patterns of development, including different sequences and
designs for subsequent human use, have varying impacts on inhabitants in the
affected area (cf. White 1969). These patterns and sequences also strongly
affect the support and facility use of people in other locales (Hogg and
Honey 1976). Moreover, the location of the development appears to be a
critical factor in determining the intensity and range of its social and
other impacts (cf. Napier 1973). Lake restoration efforts would appear to
be no exception to such general observations. Since lake restoration has
not been described or analyzed from a social perspective, it is essential to
identify and describe the range and types of social impacts before any
sophisticated analysis of their functions and significance is attempted.
Little if any work has been devoted to assessing the social consequences
of lake restoration. In fact, until recently the physical and biological
processes of lake restoration have received little attention. Citizen
concern has developed late; only in the past five years have the social
impacts of such resource developments come to public attention.
Similar circumstances have existed for the general field of water re-
source developments, including major public works such as dams, irrigation
and reclamation schemes. No public commitment to assessing the social
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implications of public works existed until the legislation and programs of
the 1960s. In 1968, the National Water Commission was established to make
recommendations to improve policies dealing with the protection, development,
and use of the nation's water resources; and in 1969 the National Environ-
mental Policy Act (PL 91-190) was created and adopted.
Socially pertinent legislation has continued into the 1970s. Many
public agencies began to adopt and modify existing guidelines and procedures
to fit their own requirements and missions. Most became concerned with the
"overall" effects of public works programs. The United States Department of
Interior, Bureau of Reclamation, for example, prepared the Guidelines for
Implementing Principles and Standards for Multi-Objective Planning of Water
Resources in 1972. At this same time, the Department of the Army established
their guidelines for the same assessment from PL 91-611 Section 122, and
from PL 91-190 (NEPA). Since this time other public agencies have established
various guidelines and criteria for overall impact assessments of public
works. One of the most important was the Establishment of the Principle and
Standards, Vol. 38, No. 174 of the Federal Register published in 1973. In
this publication the U.S. Water Resources Council created mandates for all
federally funded or sponsored projects. One principal component is the re-
quirement to measure the impact of all public works projects upon the quality
of life and social well-being of the affected population.
All legislation during the 1960s and 1970s has been aided by the growing
realization among social scientists that such developments were a legitimate
research province. This combination of public policy and social awareness
has contributed to a change in directions and the development of a new body
of knowledge concerning the impacts and effects of varied kinds of water
resource developments. More recent legislation and subsequent program
funding have further stimulated research and interests in the social processes
related to these developments.
ORIENTATION TO RESEARCH DESIGN/SOCIAL ASSESSMENT
The orientation of this manual is derived from theories of cultural
ecology (cf. Rappaport 1971). The general theme and framework of cultural
ecological studies call for an examination of relationships between cultural
and environmental phenomena. The technologies, social behaviors and atti-
tudes of human populations are elements of what anthropologists call "cul-
ture." The elements of culture are presumed to be linked together and to
relate to environmental features of the human habitat. They relate to
environment in the present, and are derived from relationships that have
prevailed in a region's past. The intelligibility of present cultural pat-
terns comes from our ability to relate them to the past and to project them
into the future.
One of the unique features of human culture is its transmissability
through time. As changes in environment occur, changes also must occur in
related cultural patterns--if human adaptation is to take place. Likewise
certain cultural changes necessitate environmental modification to develop
or maintain a reciprocal relationship between culture and environment.
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The past and present choices of human populations for gaining a living,
establishing and maintaining communities, and justifying and explaining
their existence relate strongly to habitat. The choices that humans have
made and continue to make are, on either a personal or institutional level,
cultural responses to the demands that they perceive to be operating in the
environmental setting. The history of a people has established many of the
values out of which they base their present actions and, in part at least,
determines the manner in which they perceive both opportunities and limita-
tions in their present lives. Therein lies the intelligibility of present
cultural phenomena so far as most people are concerned. Since human popula-
tions are an integral part of the concept of ecology, it follows that the
interaction of physical, biological, and cultural features within a given
locale should be the ultimate concern of any environmental impact study (cf.
Steward 1955).
Social impact assessment is an essential part of the environmental as-
sessment process at a given locale or region. An over-emphasis on any
single part of an environmental assessment will result in under-emphasis on
other parts and thus lead to significant omissions of data on relevant
forces and processes in development. To avoid such imbalances and omissions,
social impact assessment must be a process of detailed data gathering and
analysis that determines ranges and intensities of effects on a given social
circumstance. It is, in itself, an iterative process. Social impacts
constitute any changes in the social structure, values and behaviors of
human populations that occur as a direct or indirect result of implementing
a developmental plan (cf. Fitzsimmons et a_L 1975). The evaluation of such
impacts usually is further quantified on a variable scale measuring beneficial
and adverse effects in the overall relationship to the quality of life and
social well-being of people affected.
Our own approach to social impact assessment is embraced by the themes
of adaptation. We pose the question: How will the implementation of a pro-
posed lake restoration project affect the cultural-environmental relationship,
and in what manner will populations be able to cope with the presence of
such projects? A specification of the interaction of the physical, biologi-
cal, and cultural systems represented is viewed as providing planners and
decision makers with the data necessary to make an effective evaluation of a
given project and thus they can take appropriate measures to mitigate serious
adverse consequences.
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SECTION 2
THE DYNAMICS OF ASSESSING LAKE RESTORATION
OVERVIEW OF LAKE RESTORATION METHODS/PROCESSES
The process of lake aging is a series of conditionally linked natural
phenomena. All lakes evolve through stages from oligotrophic conditions
(undernourishment) to mesotrophic and to eutrophic (well nourished) bodies
of water. Oligotrophic lakes have higher water quality, and we label them
as "pristine." They generally are better suited for a variety of human uses
(cf. Powers 1970) according to our variable preferences. Mesotrophic and
eutrophic lakes also have important human uses such as for fishing, aquacul-
ture and plant production.
Although eutrophication is a natural process, in recent years it has
come to the attention of limnologists that human actions have done much to
accelerate it. Many factors contribute to the eutrophication of a given
water body under any conditions. These include the water body's size and
depth, the quality of nutrient supply through runoff and erosion, drainage
basin constraints, and others. One of the single-most important factors to
emerge however is the action of man, directly or indirectly, upon these
bodies of water. This phenomenon appropriately is referred to as "cultural"
eutrophication (cf. Bartsch 1972; cf. Powers 1970; Larson 1970), or the
acceleration of the natural evolutionary process through "cultural" stimulus.
The aging process of lakes is not totally irreversible. It has been
determined that this deterioration can at least be partially delayed through
technological means. Although partial restoration can sometimes occur natu-
rally under specific conditions, it usually is induced by way of technology,
another cultural element. The principal objective of most lake restoration
projects is to eliminate or reduce the supply of nutrients to the lake.
This can be accomplished in two ways: 1) to control nutrients entering the
lake by waste treatment, diversion, product modification (e.g. use of low
phosphate detergents), etc. and 2) to remove or control nutrients cycling
within the lake by dredging, nutrient inactivation, drawdown, etc. Cosmetic
treatment simply to treat the symptoms of eutrophication by algacides, rough
fish removal, etc., can also be used. The basic problem however will remain
(Dunst et aj. 1974). In this document we are considering the social impacts
of lake restoration through elimination of the cause of accelerated aging.
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APPLICATION OF WATER RESOURCES SCHEMES
An initial approach to assess the social implications of lake restora-
tion does not dramatically differ in design from similar research strategies
developed for other water resource projects. The construction of dams and
their associated water impoundments carry many parallels to lake eutrophica-
tion elimination. While specific parameters may differ, the general research
focus appears to remain on the ability of a human population to adapt to the
presence of a technological innovation (environmental modification) and its
social consequences. Regardless of the circumstance, attitudes, values and
behaviors are the principal components for investigation in the social re-
search design. In the case of lake restoration, the concept of social
assessment implies that lake restoration techniques will create or cause
certain social impacts; such impacts may or may not be more subtle than
those of the major water resource development projects, depending, of course,
on the magnitude of the cultural intervention and the nature of the cultural
system upon which it impacts.
The general model we would employ basically evolves from previous
social impact research experience at Days Creek (planning phase) and Foster
Reservoir (construction phase) in Oregon. A coincidentally similar design
was prepared by Abt Associates under a research contract with the Bureau of
Reclamation, U.S. Department of the Interior (Fitzsimmons et aj_. 1975).
Many of the concepts and methods regularly employed to study social phenomena
are only now being applied to water planning studies. Their application to
lake restoration is yet untried. This document is developed in the hope
that, as lake restoration studies progress, many of the techniques used to
assess the social impacts will be refined and improved, thus broadening the
understanding of all aspects of water resource development.
IDENTIFICATION OF PARAMETERS
Parameters or variables of impacts can be categorized initially into
two broad dimensions. They are: 1) in spatial dimension (primary and
secondary impact areas), and 2) in temporal dimension (long and short term
impacts).
Spatial Parameters
A primary impact area usually has close geographical proximity to a
project site; i.e., people physically close to the project site will be
strongly affected by the planning, construction, and operation phases. A
secondary impact area is further removed, but impacts may diffuse from the
primary impact area and evoke certain requirements for responses or actions
from people or institutions in that adjacent locale. Presumably, one could
specify tertiary, quaternary, and other more removed impact areas as well.
The spatial delineation of impact areas identifies what types of actions or
responses occur, to whom they occur, in what manner they occur, and at what
locations they occur.
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Temporal Parameters
Impacts also are considered in terms of their short and long run du-
rations, irrespective of how positively or negatively they are assessed.
Social responses to the new environmental demands occur at differential
rates according to many social factors. Definitions of costs and benefits
'nay be immediate or delayed and they may change as time and experience
extend through different phases of development. Experience has shown that
planning for development often carries as significant an impact as does
actual environmental modification or the operation of new technologies.
People perceive opportunities or limitations for themselves differently
according to information they obtain from different sources as well as from
their direct perceptions of the development. The identification and classi-
fication of these parameters or variables is a most difficult and exacting
process of research.
Developmental programs and projects can be distinguished according to
temporal features implicit in the projects themselves. Most obvious are the
phases of planning, construction, and operations of the developed facility.
These phases would appear to be applicable to lake restoration as well as to
other water resource development projects even though the impacts of "con-
struction" might be different.
Planning Phase--
Once a plan to renew or develop a resource reaches public attention, a
conceptually disruptive process is initiated. Individuals and groups imme-
diately may begin debating the issues either privately or in a public forum.
Environmentalist and developmentalist interests most often speak in opposition
to each other. Some people will view the project as a mechanism for promoting
the economic advantages of increased tourism, while others will be skeptical
and feel threatened with the thought of increased population. Land use
planning and zoning agencies may not even exist in many rural areas. The
lack of such agencies can make the community unable to deal with land use
problems, speculations, and increased valuation of land.
Institutions and agencies also will become involved. Many may promote
the project in order to receive the benefits of a restored lake. It may be
beyond their means, however, to handle adequately the population increases
of either a seasonal or a permanent nature. Law enforcement agencies are
one such example. Social service agencies may be unaware of the problems
associated with increased immigration and fail to foresee the constraints
that may confront their agency after the project is realized.
Demographic patterns are another area of potential change and disruption.
The most immediately noticeable effect may be immigration. Age groupings
may become imbalanced with heavy concentrations of young or, in other cases,
older and retired persons. Worker immigration might imbalance sex ratios in
the population. Generally, however, lake restoration project planning or
cause treatment would not be expected to alter demographic patterns signifi-
cantly.
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In some ways the planning phase can be the most stressful of any period
of the project. This depends in part upon its duration. Many planning
phases for major programs have been known to last for as long as ten years.
Communities normally are disrupted by the planning process because of ambi-
guities affecting individuals and institutions. Other types of planning for
improvement are greatly affected. If population relocation is one aspect
being considered in order to properly restore a lake, then tensions will be
multiplied among members of the population.
There are good possibilities that impacts also will be distributed to
the local economy unevenly, creating eventual dilemmas for local business
and commerce enterprises. An imbalance of negative and positive effects may
occur during the water resource planning phase. Initially positive impacts
may be short lived and give way to longer term and more pervasive negative
impacts.
Lake Treatment Phase--
Similar circumstances may prevail during the physical implementation of
a project, or the lake treatment phase. Community disruption can become
broader based particularly if the treatment requires a labor force of any
size. Generally it would not be expected. Given a sizable disruption,
however, several consequences can be expected. Law enforcement problems can
occur over resultant conflicts and illegal activity resulting from any
population increases and conflicts of values. The economy also might show
some instability. While some retail outlets can be expected to show accel-
erated sales, the phenomenon usually is short lived. Tourism or subsequently
increased density of residents usually does not compensate for eventual
losses after treatment. Disruptions may also occur over prior land use
practices. In most cases they will change, and strong commitments will be
made to other forms of development and community growth. These effects can
be positive, but this usually depends upon who is evaluating them and in
what manner. Schools, churches, and other community services can feel
pressures. Some will have to expand to accommodate labor force families.
In some cases agencies and groups overcompensate for their presence.
During treatment, the suspension of normal recreational uses may also
pose serious problems and general antagonism to a restoration program. This
is especially probable if the lake has had heavy seasonal sports use and
treatment eliminates an entire season of activity.
Restored Lake Phase--
It is expected that the restored lake phase will carry the greatest
overall impacts to the social and cultural system. The types and intensities
of impacts are first determined by the allowable uses of the lake in its
restored condition. Especially important is the extent to which the restored
lake allows continuation and improvement of previous uses and the extent to
which it permits or encourages new uses that conflict with prior interests.
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Impacts will vary according to the demographic location ot the lake.
Urban areas will experience a lesser relative concentration of people simply
because of the pre-existing magnitude of population. It is not likely that
a restored lake in an urban area in and of itself will attract large numbers
of new inhabitants to the urban area. Jobs do that. Should its restored
state produce jobs, then the lake will have a specific but limited immigration
impact. While the same observations generally hold for rural areas as well,
a restored lake can have a relatively greater demographic impact either in
terms of attracting permanent settlers or temporary and seasonal recreation-
ists. The general improvement of quality of life manifest in a restored
lake also can attract people who otherwise would choose another locale,
given equal employment and social opportunities.
Lake restoration inevitably means a requirement for better access roads
or trails to the facility. Depending upon prior and restored uses, this
also can mean new commercial outlets to serve the area, expanded pressure
for residential and commercial zoning adjacent to the restored lake, with
economic perturbations felt throughout the community or communities concerned.
Probably the most obvious and far reaching impacts of the restored lake
phase come in terms of recreational development. This of course depends on
numerous other factors. Restoration can mean restrictions on former hunting
and fishing activities or it can create or enhance them. Generally it means
greater human access to the resource, be this in terms of swimming, boating
or just recreational viewing. The economic spin-offs of increased recreation
depend ultimately on the lake's size, previous and potential uses. The
availability of the restored lake as a new alternative for recreation carries
very positive impacts for most people. Recreational benefits ean, however,
create a circumstance of increased human activity, concentration, noise and
visual pollution that is disturbing to people and costly to responsible
agencies.
The lack of specific social research on the restored lake phase leaves
discussion in the realm of hypothesis or reasonable assumptions based upon
other types of lake development. There is a clear requirement to test these
propositions in different demographic contents. As pointed out earlier, a
restored lake is still a lake. It thus represents a significantly different
situation from the creation of a lake behind a newly constructed dam. The
extent of this difference should be assessed in empirical research.
Other Types of Parameters
Some kinds of parameters appear to occur without respect to unique spa-
tial or temporal dimensions of lake restoration. There can emerge a major
impact parameter dealing with the disruption of a productive body of water,
per £e. Although some may view the advanced stages of accelerated eutro-
phicatation as unsightly, there are other aspects to be considered. In some
cases, the population near the lake may have adapted to the presence, and
have placed special values on the harvesting of animals or birds that may be
eliminated by restored conditions. Some other prior recreational uses, e.g.
boating, may not be affected at all by the lake's new condition. Restoring
the lake to a more pristine state, however, could cause losses of certain
pastimes, such as fishing for warm water species that residents value.
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One must also consider parameters associated with 1) sources of eutro-
phication, 2) the environmental setting, 3) the community configuration, and
4) use conflicts. Sources of eutrophication should be distinguished by
either natural or cultural causes or a combination of the two. In most
cases it will be necessary to further identify the circumstances by which
the accelerated eutrophication is occurring, e.g. point or non-point sources.
This is normally done during the project's planning, regardless of social
ci rcumstances.
Initially, consideration should be given to geographical and physical
circumstances surrounding the lake. Impacts may be distributed differently
in different geographical settings (cf. Fitzsimmons et aJL 1975). Whether
the lake is in an urban or rural setting could well emerge as a primary con-
sideration in the social assessment. The social assessment parameters of
lake restoration in the urban-social environment can vary dramatically from
those in a rural environment as pointed out earlier with respect to different
phases. Community patterns of social structure and social relationships can
be an important impact parameter. Initially, the research should show
concern with the seasonal and permanent resident dichotomy. Subsequently,
it should be sensitive enough to identify internal conflicts that may emerge
throughout the project as a result of changes in community demography. Age,
sex, and marital status can emerge as important social variables.
Use of the lake water and adjacent shore will be a significant variable,
mainly because of use conflicts that inevitably result from a new development.
Disturbances ultimately would be expected to develop over recreational,
municipal-industrial, land use and settlement issues. In some circumstances,
previously developed spatial or temporal zoning plans can limit a plan to
restore an inland body of water. If existing uses have to be changed under
restoration conditions, then they may modify municipal, industrial, or
recreational uses and call for new plans.
These parameters are by no means an exhaustive list. Others certainly
will emerge under an actual empirical situation. Still other impact para-
meters also must be considered during the planning, lake treatment and re-
stored lake project phases. They nevertheless are exemplary of the range of
factors to consider.
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SECTION 3
GENERAL RESEARCH STRATEGY
OBJECTIVES OF SOCIAL ASSESSMENT RESEARCH
Although a social impact assessment can be a major contributive feature
of a planning design, it is not the final determinant of what can or cannot
emerge as the most successful plan or alternative plan. The results of a
social impact assessment nevertheless should make a significant contribution
to a comprehensive restoration program or to the "overall" project effort
(cf. Fitzsimmons et aK 1975).
This contribution will come primarily in terms of identifying probable
impacts, beneficial and adverse, as well as in projecting the present social
profile into the future both with and without the implementation of a lake
restoration program. Of particular interest are the impacts that would be
expected to emerge under conditions of plan implementation including treat-
ment of cause and restored lake phases. Impacts are identified as social,
but also contain economic and political implications or ramifications.
The social impact assessment design has the purpose and objective of
identifying both directions and rates of social change occurring in desig-
nated impact areas. These directions and rates are examined under "with"
project and "without" project circumstances as noted above, and also under
alternative project situations. Key social circumstances addressed should
include:
1. Description of the social system without the project.
2.' Projection of the probable impact of the proposed action on the
social systems.
3. Identification of the probable adverse social effects of the
action which cannot be avoided or mitigated.
4. Identification of probable irreversible or irretrievable commit-
ments of resources.
5. Projection of the relationship of local short-term social uses of
the environment with the maintenance and enhancement of long-term
utility of the environment.
6. Assessment of the probable social effects of alternatives to the
proposed action.
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The format for addressing these information categories and providing
descriptions and projections of the social profiles of the area includes:
a cultural-ecological description and analysis of the setting, including an
historical review; a geographical review and an ethnological analysis; a
social profile of the present situation; a social profile of the projected
characteristics of the area both without and with the implementation of the
project; an examination of significant effects; a summary of the effect
categories; and conclusions and implications.
Finally it is necessary to design the research in a manner that makes
planners cognizant of the needs of people, institutions, and communities
(cf. Fitzsimmons et aj. 1975). The ultimate success of any development pro-
ject is in its ability to enhance the quality of life and social well-being
of a population.
FORMULATION OF A MODEL
The design and theoretical orientation for social research into lake
restoration can be derived from a cultural-ecological model modified after
Julian Steward (1955). Steward notes it is useful to consider human adap-
tation and cultural development in terms of evolutionary processes. The
evolutionary model makes explicit the relatedness of cultural and ecological
systems, whether they are part of a greater systemic linkage or linked in a
causal or developmental manner. The field of cultural ecology takes the
linkage into account in terms of three fundamental procedures: 1) analysis
of interrelationships of exploitive or productive technology and environment,
2) analysis of human behavioral patterns involved with the exploitation of a
given area, and 3) analysis of "the extent to which the behavior patterns
entailed in exploiting the environment affect other aspects of culture"
(Steward 1955:40-41).
Implicit in Steward's design is the following type of relationship:
Exploitive or Productive.
Technology
Environmental
(Ecological)
System
Other Features
of the
Cultural System
The fundamental linkage of the cultural system to environment, according to
Steward, is the role of technology; some technological features emerge as
more important so far as cultural relatedness is concerned. Conversely,
Steward points out the "relevant environmental features depend upon the
culture: in that more developed cultures are less dependent upon the envi-
ronment" (Ibid. 1955:40). Our own work (Hogg and Honey 1976) has caused us
to doubt this proposition. In fact, we have found that industrial-urban
cultures are more intricately tied to features of environment. Steward
nevertheless properly asserts that a full grasp of the relationship can only
be attained by a holistic examination of such factors as demography and
settlement patterns, land use and tenure, and social structure. To consider
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any of these separately runs the risk of failing to note their critical
linkages. Only by tracing the history of a culture can we expect to under-
stand its specific nature. An empirical rather than deductive method is
essential to the historical reconstruction out of which parallels of form,
function, and sequence might be identified (Ibid. 1955:18-19).
The determination of the features of a cultural system's interrelated
behavior patterns, as these in turn relate to the environment, is the objec-
tive of cultural ecology. The manner in which technology is utilized by a
cultural system and the extent to which an environment permits the use of a
given technology will vary reciprocally. Cultural ecology, then, seeks to
explain the origin of particular cultural features and patterns which char-
acterize different areas.
Of further importance to this model is the concept of "cultural core,"
or central environmental feature. For the most part, a central environmental
feature can only be empirically determined and is usually associated with a
long and involved cultural history. The immediate distinguishing significance
of the central environmental feature is its interrelationships with primary
cultural activities such as subsistence or economy. Examples include lakes,
rivers, topographic features, flora and fauna and clearly vary from one cul-
tural context to another.
The appropriateness of Steward's work to social impact assessment of
lake restoration projects is seen through the notion of linkage of techno-
environmental features to certain kinds of associated behavioral patterns
and then to other aspects of culture such as values and attitudes. These
are linked in a specific way, one which fundamentally depends on the nature
of techno-environmental relationships. Environment thus becomes an effective
influence on culture, and provides an explanation of the origins of partic-
ular features and patterns of culture which characterize different areas of
the world. In this manner, then, cultural evolution can be attributed to
new adaptations made by people as required by changing technologies and be-
haviors in relation to environmental systems.
The Application of the Cultural Ecology Model
The application of Steward's theoretical framework to social impact
assessment of a lake restoration program emerges in the form that is dia-
gramatically illustrated in Figure 1. The principal components of the
design are as follows: 1) the historical emphasis serves to identify and
explain the nature of the central environmental feature and its interrela-
tionship with patterns of culture; and 2) the environmental-cultural system
interplay determines to what extent the environment will permit or prohibit
technological innovations; and it identifies the special features of the
cultural system on which adaptation of people depends.'
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Environmental
System 1
Historical
Circumstances
Technological
Change Proposal
Impact
Analysis
Tecnnological
Change
Cultural
System 1
Environmental
System 2
Cultural
System 2
Figure 1. Cultural Ecology and Impact Analysis
The design possesses qualities of a "dynamic systems model" (cf. Fitz-
simmons et al. 1975) in that it 'calls for the observation and analysis of
related cultural components such as the economy, resource use and abuse,
institutional involvements, and public attitudes. It thus allows for the
conceptualization of the cultural-environmental system interaction and the
effects of a plan or planning alternatives on people's well-being and their
subsequent cultural-environmental circumstance. The application of the
design is not restricted by the size or complexity of the project or its
setting.
COLLECTION AND ASSEMBLAGE OF AGGREGATE DATA
Data necessarily are gathered in order to adequately describe the con-
temporary social situation as well as to serve as the base for long range
projections. Both primary and secondary sources are necessary to fill data
needs.
Initially, researchers should concern themselves with secondary data,
or information from books, periodicals, and other printed materials in order
to become familiar with the research area. This is usually accomplished in
conjunction with preliminary primary data derived from onsite visits for
reconnaissance and orientation. During this period, some general questions
may also be directed to local residents for preliminary observations con-
cerning the proposed project. This also can be done with a few agency and
institution representatives. Secondary sources have additional utility in
that they will provide for a significant portion of the subsequent research
report, offering a context for primary observations. They serve to outline
the history, environment, economy, and other general features of the study
area. Most pertinent secondary sources should be consulted prior to field
investigations. Secondary sources also will fill existing data gaps and are
useful in explaining certain ambiguities that might emerge during the primary
research. They further provide the researcher with a tentative profile of
the social situation prior to field work. This is important for establishing
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sensible forms of primary inquiry, especially for survey work and the con-
struction of an appropriate questionnaire.
Primary data sources are of two types: 1) data collected from key
informants and 2) data obtained from a representative sample of residents in
the designated impact area/areas. Key informants usually are individuals
who are connected with public agencies or institutions and who can provide
pertinent technical information. People in this capacity normally provide a
quantity of secondary sources of information. They can speak about the
policies and position of their particular agency or institution and how it
will be affected by the proposed project. Other key informants may be
people who, regardless of official position, possess an unusual amount of
knowledge about the planning and/or impact area. In many cases these
individuals are able to supplement inadequate secondary sources of informa-
tion; for example historical materials.
Primary information from residents also can be divided into two classes:
1) data from the immediate site area and 2) data from the larger planning
area. Regardless of what research instrument is utilized, care must be
taken to distinguish the responses of the people falling into these two
classes. The utility of the primary source is that it provides the researcher
with an in-depth account of residents' attitudes and social characteristics.
Secondary sources help to explain the reason for such factors, or provide a
context for their explanation. Together they constitute the social profile
and the effects anticipated by the residents.
Research Tools
For social impact assessment studies, the questionnaire often is the
most useful research instrument since it can adequately handle a large
sample quite efficiently. It provides a great amount of data on a large
population in a short period of time. It extracts biographical and attitu-
dinal data in a manner that provides quantitative material for development
of the social profile. The questionnaire should be designed and constructed
to minimize observer bias and to permit, easy tabulation and correlation of
materials. The instrument should be succinct, so as not to over-burden
respondents and the analysis process with irrelevancies. (For a detailed
bibliography of question design and questionnaire construction see Appendix
A.)
Survey research using questionnaires is but one avenue open to adequate
data acquisition. Participant observation is equally important and has been
a key feature of anthropological inquiry for many years. It essentially
calls for the researcher's residence in the research setting and the observa-
tion of daily activities and routine. The internalization of these patterns
is far more than just "going native"; it serves as a knowledge base against
which enumerative data from one-time surveys can be evaluated. It also
serves as a basis for developing sensibly more refined techniques, including
questionnaires, projective tests and other devices such as ratings and
rankings (Pelto 1970:90-91).
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Impact analysis more often deals with enumerative aggregate data rather
than with individual case studies or biographies. It is convenient therefore
to use computers and statistical measurement techniques for data tabulation
and analysis. There are many good source programs and statistical packages
for analysis of aggregative data. Appendix B lists some which are very
helpful. Case data derived from specific contexts and no less scientific,
also are amenable to quantitative treatment but more often this entails a
slower deductive kind of analysis. Case data utility in impact analysis
should not be understated. It is an important check on the accuracy of
conclusions drawn from aggregate data and it allows depth study of relation-
ships between parts in a social system (cf. Sjoberg and Nett 1968:258-264).
METHODS OF APPLICATION AND DATA ORGANIZATION
Cultural Ecology
The application of the cultural ecology framework to social impact
analysis establishes a comprehensive requirement for data and explanation
not realized in methods of lesser breadth. As already emphasized, this
method demands historical, geographical, and ethnological information and
requires a specification of their relationships. Properly employed, a
cultural ecological study may show basic developmental patterns that have
led to the present social circumstances of an area planned for subsequent
development. Insofar as it specifies process through time, it allows intel-
ligible projections of future circumstances based upon knowledge of definite
cultural processes operant in the present.
The historical component of cultural ecology is derived from cultural
reconstruction methods linking prehistorical phenomena to the ethnographic
situations of aboriginal populations at the time of initial contact, to
early Euro-American exploration and settlement, including an explanation of
the motivations and attractions for that settlement. Sources for history
mainly are of the secondary variety and are drawn from libraries, museums
and historical societies. In cases where the written record is sparse it
becomes necessary to use a number of different types of data and methods to
accomplish historical reconstruction (cf. Gabel and Bennett 1967). It
customarily requires finding primary sources, mainly through interviews, to
collect geneologies, life histories, oral histories and the like, but also
requires examination of artifacts from historical periods.
The historical summary1 should at least contain the following items:
a. A General Description of the Prehistorical Situation
b. A Description of Aboriginal Lifestyles
1. Group diversity and uniformity
xSuch a summary presumes the pertinence of the lake restoration project to
prehistorical and historical sites. An initial survey is required to
determine this.
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2. Intertribal relations
3. Native economy: subsistence, trade, property concepts, etc.
4. Migration and population patterns
5. Interaction with early whites
c. Initial Exploration and Settlement by Euro-Americans, e.g.
1. Influence during trapper and trader era
2. Other external influences: missionary, etc.
3. Orientation to environment
d. Permanent Euro-American Settlement
1. Motivations
2. Early economy
3. Growth patterns
4. Major historical events
5. Significant changes
Geographical data also play a fundamental role in a cultural ecology
study. The spatial dimension of cultural activities is used both to describe
and to interpret both in the past and the present. Whereas the history re-
counts and links events leading to the planned development, the geography
provides a description of the environmental circumstance in which the events
occur. The primary consideration here is upon environment and human inter-
action with the environment,, especially the exploitive or productive techno-
logies. Properly developed, this component should describe and analyze
environmental features such as physiography, flora, fauna, climate and
hydrology, human population characteristics and viability; natural resource
use and development, including the technologies that are brought to bear
upon it.
Ethnological data are central to all cultural ecological description
and interpretation. These are developed in order to examine the relation-
ship of technologies and environmental features to the full range of cultural
factors that are affected by the developmental plan. Ethnology represents
an attempt to "understand how total cultures are constituted and how they
work" (Honigmann 1959:5). The ethnological framework includes sociological
as well as technological and attitudinal variables.
Ethnological data pertain to several levels of inquiry ranging from
those pertinent to the individual to those processes and phenomena that per-
tain to inter-personal, to inter-group, and to total societal levels. The
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culture concept includes each of the aforementioned levels of human activities
and thus is the generic concept for this holestic study as prescribed in the
methodology of Julian Steward (1955).
With regard to lake restoration programs and ethnological phenomena, we
require 1) the isolation of relevant variables or parameters in both, 2) the
postulation of the relationships between the properties of both (model con-
struction), and an examination of the precise nature of these relationships
in an empirical setting (Hogg 1966). Historical and geographical considera-
tions help specify these relationships in the time-space dimensions required.
Together with the ethnological identification and analysis, they provide a
full context for a basic social profile of the setting.
Development of a Social Profile
The social profile should furnish enough information so that any per-
tinent problem or need is clearly illustrated and well defined. Sometimes
impact areas are pre-defined by planners, in other cases they are not.
Boundaries usually are arbitrarily defined to conform to a hydrologic system
or a political unit. They may or may not represent a social reality to
people of the area. Real social boundaries must be determined through the
social research process by investigating people's ideas about the systems of
which they are a part.
Several other components are needed to describe the social system of an
area or community as it exists prior to the implementation of a restoration
program. These are 1) demographic and biographic characteristics of the
people, 2) social characteristics including neighborhoods, communities,
associations, education and recreation, 3) socio-economic characteristics,
including occupation and income, 4) socio-political characteristics, 5)
environmental-aesthetic attitudes, 6) resource development attitudes, and 7)
socio-psychological attributes of the population. Given this substantial
baseline, it is possible to make reasonable projections as to what can then
emerge from future circumstances, including the implementation of specific
development plans.
Demographic and Biographical Characteristics
of the Population--
Data for this component will come both from primary and secondary
sources. They should include the following: population at local, county,
state, and/or regional levels; population densities; population growth;
migration trends; age and sex compositions; vital statistics, and any rela-
tionships to county, state or regional population patterns of distribution.
Biographical data will be obtained from interviews of a sample of area/
community residents. These include subjects of provenience, age and sex
composition, mobility phenomena, kin group affiliation, marital status, and
types and length of residence. Other necessary data include occupation,
income, household characteristics, voluntary association involvements, and
educational attainment. Such would represent a minimum requirement for an
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adequate biographical index. Many researchers will add other data pertaining
to their own particular interests or problem.
Social Characteristics--
In addition to social data derived from a survey instrument, data must
be acquired from supplementary sources. Sufficient data must be gathered to
effectively depict how well the population is provided for in terms of
social and other services; with whom they interact and in what manner the
interaction takes place; and to describe any other interactions or interde-
pendencies that might exist of a social nature; e.g. extent of interaction
with their environment.1 Such characteristics are necessary to determine
existing gaps or adaptive imbalances in activities. The following outline
provides a baseline.
a. Public or Community Services
1. Public utilities: number and types
2. Museums, libraries: number and types
3. Civic oriented groups: number and types
4. Types of services for population
b. Voluntary Organizations
1. Types and membership
2. Functions
3. Locations
c. Housing
1. Total number of units
2. Number occupied by renter/owner/leaser
3. Vacancy rates
4. Age and condition
1For a listing of socio-metric scales and listings consult Delbert Miller,
Handbook of Research Design and Social Measurement, Second Edition, David
McKay Co., New York, 1964. See also Pelto, P., Anthropological Research:
The Structure of Inquiry, Harper and Row, New York, 1970 and Kaplan, Abraham,
The Conduct of Inquiry, Chandler Press, San Francisco, 1974.
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5. Racial/ethnic trends of occupancy
6. Construction rates and trends
d. Education
1. Sample characteristics in relation to relevant county, state
or other figures
2. Number and types of facilities available
3. Pupil-teacher ratios
4. Total enrollments by type of facility
5. Capacities of facilities and needs for improvement
6. Identification of funding or budget problems
e. Recreation
1. Inventory of existing facilities by type and function
2. Recreational space vs. demands and/or requirements for same
3. Sample recreational characteristics and attitudes.
f. Emergency preparedness
1. Types of services available
2. Pertinent statisti.es, e.g. crime rates
3. Size of services available in relation to needs or demands
4. Jurisdictions
5. Status of facilities
g. Communication—quantity of mass media facilities and location/
distribution.
Socio-Economic Characteristics--
Characteristics of a socio-economic nature are used primarily in the
identification of general exchanges or allocations of goods and services as
well as direct or indirect market-value changes in the use of resources that
relate to a development project. These characteristics are an integral
portion of social activities. The collection of the following data is
necessary to adequately depict the socio-economic circumstance of the area.
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a. Economic Base and Development Trends
1. Identification of major subsistence base for population com-
ponents
2. Identification of any trends or recent changes in economy
3. Identification of disruptive factors such as recessions, or
growth phenomena such as new market advantages
4. Influence from external factors, such as war, inflation, etc.
b. Employment Characteristics
1. Number and types of business/industrial/agricultural activities
2. Size and distribution of same
3. Total in labor forces
4. Amount of employment by type of activity
c. Income Distribution
1. By sample and area/community
2. Median incomes and income variability
3. Family income
4. Redistribution phenomena
d. Tax Base
1. Rate means and variations
2. Attitudes toward
3. Additional income levies
e. Transportation
1. Highway systems and networks
2. Rail systems
3. Airports
4. Port facilities, if any
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5. Dominant patterns
6. Needs and demands
Socio-Political Factors--
This category is an important component in identifying the political
configuration within the planning area. It includes the principal political
elements and functions of these elements, the adequacy of services and
facilities as determined by the researchers and as perceived by the residents.
The political process of a planning area, individual involvements and per-
ceptions are an important consideration in a social profile. The profile
includes a description of means for providing control, order and security
for residents of the area. Political factors include:
a. Residents' attitudes toward and extent of involvement with political
systems
b. Type and number of government agencies at various levels
c. Jurisdictions relative to development plans
d. Specialized activities
e. Identification of significant political issues, including the
planned development
Environmental-Aesthetic Factors--
Although a large portion of these data can be collected by way of the
survey instrument, additional information is needed to place such data into
a proper perspective. Much of this phase of investigation is directed
toward determining population environmental-aesthetic orientations and
commitments, as well as obtaining plans and policy information of a land use
planning, zoning, and development nature. Planning has been shown to requ-ire
compatibility with the desires and needs of the population. All land use
trends must therefore be identified. More often than not, resource develop-
ment plans do not receive proper consideration in land use comprehensive
plans. Major components of an environment-aesthetic description and analysis
include:
a. Measurement of sample perceptions toward natural and man-made
objects
b. Extent of environmental-aesthetic oriented activities
c. Organizations concerned, and membership
d. Individual self-evaluation of environmental awareness and activity
in organizations
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e. Land use patterns and plans
f. Quality of life assessment
Water Resource Development Attitudes--
General water resource attitudes can provide researchers with initial
environmentalist-developmentalist distinctions that may operate within the
population. People have strongly developed perceptions and ideas concerning
water and its usage. The following items are necessary to determine how
people view cultural change within their system as a result of a proposed
project. They also determine the (positive or negative) manner in which
people perceive the change as it is evaluated according to their own experi-
ence and expectations.
a. Extent and types of existing development
b. Individual experience with water resource developments
c. Awareness of project
d. Chief correlates of favor or disfavor of project
Social-Psychological Adaptibility to Change--
Rather than select specific sub-components that need to be examined, it
should be noted that a host of social-psychological testing and scaling
techniques exist to assess this characteristic. Any small number of scales
contained within a broad research instrument cannot offer a definitive
evaluation of individual capacities or abilities to adapt to changes that
may confront them. The significance of developing this component is that it
offers insights as to residents' self-evaluation concerning their place in
life and within the community. It has a strong bearing on quality of life
assessment.
Social System Boundaries--
This constitutes a summary of social characteristics involving attitudes
and behaviors of respondents towards three principal categories listed
below. All previous data collected will provide the baseline for identifying
these boundaries and the degrees of factionalization that might exist. Sub-
systems may also be operating and it will be necessary to identify these
operating systems, to what extent they operate and how they may affiliate
themselves.
1. Community homogeneity and identity
2. Heterogeneity from social and ethnic groups
3. Rural resident affiliations to adjacent town and urban centers
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The above suggested components are necessary to adequately identify and
develop the social profile. The profile may need modification depending
upon the circumstances of the research. It can best be described by graphs,
charts and accompanying narrative (cf. Fitzsimmons et al. 1975).
Adaptive Qualities and Impact Assessment
Projections without plan implementation--
Once the social profile is completed, the next consideration is the
projection of the social environment into the future without the implementa-
tion of the proposed project. The boundaries of cultural systems, like
ecological systems, fluctuate and change according to certain internal and
external factors. A temporal boundary of a cultural system will last indefi-
nitely until human extinction, disorganization, disinterest, or departure
deem otherwise. The study of such changing systems and projections of their
future requirements are the basis for assessing what trends or tendencies
come out of the past and what kind of configuration they will manifest in
the present and future. All previous materials and the present profile are
utilized in such projections.
A projection of changes without the implemented plan is used as a
comparison against the later with-plan projection in order to isolate impacts
of the plan itself. Within the present social situation for a given popula-
tion, various factors are operating as mechanisms for the continuance of the
culture and environmental system. Many such mechanisms function as community
cohesion and adaption devices. They should be examined in light of five
instrumental cultural functions.
1. Population Physical Well-Being - Items instrumental to the continu-
ing viability of a given population include population growth or maintenance,
migration and provisions that are made institutionally for land use planning,
fire protection, law enforcement, medical facilities, and other safe-guard
measures.
2. Enhancement of Livelihood - This function includes factors relating
to the ability of an area to provide subsistence for its inhabitants on a
continuing basis. It involves continuing employment opportunities, housing
availability, voluntary associations, and so on.
3. Community - The present cultural-environmental relationship must
allow for the development of a community where individual social needs are
satisfied and the development and maintenance of institutions are permitted.
There must be a continuing community identity for the inhabitants.
4. Communication - The cultural-environmental relationship must allow
for the continuation of sufficient communication to transmit meaningful and
necessary knowledge and information between individuals and communities.
Included would be improved transportation networks and mass media forms, and
minimization of social conflict between community elements.
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5. Innovation - The situation must allow sufficient innovation oppor-
tunity to permit a cultural diversity necessary for cultural continuance in
the changing environment. Of primary consideration is the impact of techno-
logical innovation upon the quality of life and social well-being.
These five functions are clearly related and in any given circumstance
can be met singly or multiply by one or several institutions. The major
consideration is their instrumentality to the survival of human beings and
their cultural system in a given ecological province. With respect to lake
restoration projects, the functions serve as a guide to evaluative criteria
in a full cultural sense. Concern should be with the extent to which the
proposed scheme or its alternatives limit or provide opportunities with
respect to these functions. Should present cultural-environmental circum-
stances disclose that these functions are being met, then the effects assess-
ment should reflect a judgment of the adaptation of the cultural system.
Should these functions not be met, then the assessment should specify the
extent of maladaptation.
Projection of Social System with Project--
The data for the present social situation serve as the primary baseline
for projections of future circumstances given project implementation. Pro-
jections are to illustrate, as accurately as possible, any changes in the
social structure, beliefs, values, attitudes, and behaviors that might occur
as a result of the project. They also are used in conjunction with the
"without project" profile in order to determine or isolate all significant
beneficial and/or adverse impacts that would arise from other operant or
anticipated events.
Projections are premised upon the idea that if a technological develop-
ment occurs, change is expected within the cultural-environmental interplay
(cf. Foster 1962) regardless of whether or not the process involves major
construction or correction of cause treatment. Even the most minor actions
carry impacts for the cultural and environmental relationships.
Information for proj-ections with project implementation is drawn from
the present social profile and is supplemented with data provided by public
and private agencies. Other data are derived from people's perceptions of
and feelings about change that might occur as a result of a planning or
construction phase of a project. These are essential to projecting their
probable actions. So, too, are statistical projections based on trends
revealed in the present situation. All information collected can be examined
in light of the instrumental cultural functions previously discussed in
order to determine the extent of the imbalance, if any.
Once the "with project" and "without project" comparisons are made, and
the significant effects categories emerge, social-cultural assessment
criteria can be applied. These become the basis for reasonable judgments
about the success of a given restoration project within a given cultural-
environmental system. They are addressed in a later section of this manual.
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Quality of Life and Social Well-Being--
Quality of life and social well-being assessments are difficult to
quantify except through the measurement of individual attitudes or prefer-
ences on other operationalized concepts. They differ with respect to sub-
jective and objective criteria. The quality of life includes measures of
social well-being and happiness; it is a subjective measurement of individual
satisfactions with his/her position in a cultural-enviornmental situation.
Social well-being is more of an objective measurement in which observations
are made as to people's income, physical and mental health, nutrition,
education, and so on (cf. Smith 1973). Criteria assigned to social well-
being are usually established by research designers. The more subjective
quality of life phenomenon is assessed through determining a person's experi-
ence and the orientation of his or her lifestyle. Both are equally important.
A major difficulty facing all steps of any planning process has been
the stated need to mirror community sentiments and preferences in order to
devise an adequate quality of life and social well-being index. This recog-
nition of need, of course, presumes that such planning is optimal only if it
reflects public preferences and that somehow a collective intelligence
emerges from summary effects of the full range of public preferences. Such
a presumption is debatable.
Social well-being usually is thought of as a measurement of the quality
of life or a general state of happiness and contentment. Implicit is the
idea that quality of life and social well-being are direct correlates, one
a subjective mirror of the objective other. It therefore is assumed that as
one increases the quality of life for population, there is automatically an
increased in social well-being. Smith (1973) has clearly demonstrated that
one is not a function of the other—that they are quite different phenomena.
We agree with his distinction.
The effect of a plan on the quality of life and social well-being of a
population is measured and identified mainly through the survey instrument
or through interviews. Interpretation of data should be concerned mainly
with how change will affect these dimensions of a population. Criteria for
such assessment include the ability of a population to maintain its physical
well-being, subsistence base, community identity and maintenance, communica-
tion network, and innovative potential (Hogg and Honey 1976).
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SECTION 4
SUMMARY OF AGGREGATE EFFECTS/IMPACTS
ADVERSE/BENEFICIAL EFFECT IDENTIFICATION
The preceding section has offered general -guidelines on the development
of criteria for the social impact assessment of lake restoration projects
and any other water resource development. The ultimate objective of assess-
ment is to identify which effects will be adverse and which ones will be
beneficial for a given population. Of additional importance is a deter-
mination of how long each effect will last and the strength of its impact
in different locales. Again it is necessary to return to the cultural-
environmental system, its historical configuration, development, and present
profile.
Beneficial effects will generally be those effects which in some
manner contribute to the enhancement of the quality of life/social well-
being of a population through an equitable distribution of income, employ-
ment, and other social opportunities. Adverse effects are detrimental
impacts on a population in terms of creating an imbalance of any of the
instrumental cultural functions thereby causing actual or potential mal-
adaptation. In some cases the absence of a plan may cause adverse effects.
It has been shown that the presence of a plan also may generate adverse
effects. The plan itself is an efficient causal agent and should be evalu-
ated as a parameter of development.
A significant feature of any developmental scheme is the matter of
"trade-off," or people's relative perceptions and choices between costs and
benefits. Although recreation, for example, may have the potential of
enhancing and developing the economy under a restoration project, it may
increase tourism to the point of adversity for local residents. If the
economic potential of tourism eventually outweighs the territorial intrusion,
then residents usually will sacrifice for the economic benefits. Their
choice is the "trade-off." Beneficial and adverse effects can be generated
at the same time (cf. Fitzsimmons et a]. 1975) and create dilemmas over a
wide number of subject areas, e.g., economy vs. environment, aesthetics vs.
jobs, etc.
In some instances beneficial effects may outweigh adverse effects,
especially in terms of increasing economic opportunities in depressed areas
or communities. Individuals may be willing to sacrifice environmental
features to improve job availabilities or other economic circumstances.
Different plans thus generate different, effects. Each alternative therefore
must be analyzed in a relative manner and in light of its own consequences.
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SOCIO-CULTURAL ASSESSMENT CRITERIA
The success of a technological development eventually is determined by
the extent to which the cultural-environmental setting can be improved by
its presence or absorb its impact with a minimum of disruption. The
research must strive to identify the significant effects of a plan on the
social system of a given population and assess its relative significance in
terms of effect categories which would emerge from the social profile
comparisons.
A significant effect is one which would be considered to have important
bearing or weight on any decision making process. Significant effects
categories can be employed from various perspectives. For this research we
would propose three sets of effects categories: They are 1) a detailed
matrix of all significant variables from the research, 2) special cultural
sub-system categories; i.e., economic and political, social, aesthetic and
3) instrumental cultural functions.
Matrix of Variables
Variables employed in a research matrix constitute the initial percep-
tual and analytical framework for the research. Their logical combination
into balanced sets of more general categories is made difficult because in
some cases the variables may actually constitute incomparable social pro-
cesses. They can take the form and function either of behaviors or atti-
tudes. Usually they should be assessed in terms of their original matrix
pattern. Figure 2 illustrates a hypothetical situation where each variable
is given a summary description of its effect significance. They are shown
in terms of the following assessment categories: insignificant (I), moder-
ately significant (MS), extremely significant (ES), and questionable future
circumstance (QFC).
Figure 2
MATRIX OF SIGNIFICANT EFFECTS CATEGORIES
Effects categories Effects assessment
I MS ES QFC
Economic variables-individual involvement
Present job and occupation
Labor force characteristics
Employment opportunities
Real income and distribution
(continued)
27
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Figure 2 continued
Effects categories Effects assessment
I MS ES QFC
Housing
Quality and size
Availabilities
Relocation assistance desired.
Property Ownership
Size and value
Use of property
Lake frontage
Water needs and problems
Available replacement property
Property replacement assistance desired.
Problems anticipated with replacement. .
Transportation
Journey to work
Travel for shopping
Travel for recreation
Farming activities
Type of farming activity
Irrigation practices and needs
Economic variables
Perception of economic structure in area . .
Anticipation of future economic benefits to
self and others
Restoration/no restoration alternatives. . .
Property taxes and other local taxes . . . .
Political variables-institutional
Residents' participation in politics . . . .
Residents' perception of political
opportunity structure in local area. . .
Residents' attitudes toward government
at all levels
(continued)
28
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Figure 2 continued
Effects categories Effects assessment
I MS ES QFC
Social variables
Neighborhood, community and area relations .
Interaction with kin; location of kin. . . .
Neighborhood, community and area
preference for residence
Present attitudes toward neighborhood,
community and area
Attitudes toward, and perceptions of,
change in neighborhood, community
and area
Attitudes toward increased recreationists
in area
Attitudes to family and kin; preferences
for involvement with kin
Participation in voluntary organizations . .
Voluntary associations preferences
Recreational preferences
Attitudes toward out-migration
Attitudes toward migrating into area ....
Community which provides norms and values. .
Community by which one measures one's
own accomplishments
Perceptions of social opportunity
structures
Social services availability and provision
Schools: number, size, location, capacity
for growth or contraction
Churches: number, size, location,
denomination, capacity for growth
or contraction
Resource utilization
Residents' perceptions of what man's roles
should be in natural resource utili-
zation and modification
Residents' perceptions of whether they are
leading the kind of life they prefer
for themselves
(continued)
29
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Figure 2 continued
Effects categories Effects assessment
I MS ES QFC
Engagement in historical preservation
activities
Attitude toward historical preservation
programs
Lake restoration variables
Attitudes toward lake restoration. . . .
Perceptions of changes derived from lake
restoration
Environmental variables
Land use patterns and plans
Noise: residents' perceptions of noise.
Visual quality of area: residents'
perceptions of visual quality. . . .
Population characteristies
Population density
Population movement
Population health
Individual adaptability to change
Relocation
Occupation flexibility and independence
of property
Social-psychological
The research should exercise appropriate caution in using summary desig-
nations as hard and fast details of fact with which quick conclusions can
be made. In some cases the summary designation must be made in reference
to conflicting information on the basis of attitudinal ambivalence reflected
in a data base. In all cases, these judgmental summary assessments should
be used in reference to the fuller description contained in the body of the
social impact assessment.
Cultural Subsystems
Cultural subsystems are distinctive sets of behaviors and attitudes
that are definable according to the unique functions they serve. They
consist of exchange systems for goods and services (economic); systems of
control and order, as well as security services (political); systems
30
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or basic association through such factors as age, sex, family, kinship,
and voluntary association (social); systems of supernatural ism (magico-
religious); and artistic expression through plastic and graphic arts, music,
poetry, etc. (aesthetic). Other such sets can be identified, but these
serve as major categories for behaviors and attitudes as we have come to
consider them in western science.
[he use of such categories in social impact assessment is manifold.
First, they constitute a typology of socio-cultural phenomena. Second,
they serve as a guide to sufficient breadth of inquiry. Third, they allow
inter-setting, as well as intra-setting, comparisons of major functions
over time and space. Fourth, they can serve as a general criteria in
evaluating the extent to which developments ramify and impact upon different
aspects of human culture.
Instrumental Cultural Functions
A third set of effects categories is developed out of instrumental
cultural functions employed as a set of criteria to examine cultural-
environmental interplay both as it presently exists, and as it is to be
affected by implementation of a plan. To reiterate, these are: 1) popula-
tion physical well-being (viability criteria), 2) enhancement of livelihood
(subsistence criteria), 3) community (social needs criteria), 4) communica-
tion (knowledge criteria), and 5) innovation (diversity criteria). Like
the cultural subsystems, these categories and related criteria have use in
determining breadth and sufficiency of research, and establishing compari-
sons. The instrumental functions are chief factors in assessment criteria
insofar as they relate so directly to the cultural ecology model and to key
social circumstances required of social impact analysis.
Within these several domains of criteria, several chief effects will
emerge. It is important to note any summaries, conclusions, and/or implica-
tions that may derive from the effects categories. In some cases recommen-
dations can be made as to certain courses of action to be considered in the
planning endeavor. The research should be designed to present objective
insights into the effects of lake restoration programs as they relate to
cultural-environmental systems in a lake setting. The final statement
should provide conclusions regarding the positive and negative effects of
the lake restoration project on the affected community.
31
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SECTION 5
SUMMARY AND RECOMMENDATIONS
SUMMARY
This report has offered a general set of guidelines and assumptions for
social assessment of lake restoration programs. It was written with a mind
not so much to say specifically "how to" accomplish the assessment but,
rather, to discuss the range of factors and parameters necessarily involved
in such social impact analysis. This discussion to this point has not been
lake restoration specific. The elements of strategy provided here are
applicable to impact analysis in nearly all types of water resource develop-
ment. Given the need for standardization of interest in and commitment to
social impact assessment by all agencies responsible for developmental
programs and projects, and until empirical research is conducted on lake
restoration programs, the more general the discussion the better for all
concerned.
In turn, the report has discussed the major parameters and social
dynamics of lake restoration, specifically addressing spatial and temporal
features as well as other impacts. A general research strategy including
objectives, model formulations, the collection and assemblage of aggregate
data and methods of application was presented. Particularly pertinent here
was the description of the cultural ecology model and the fit of data
requirements to it. Finally the discussion was devoted to aggregate effects
and impacts and how these are' assessed.
RECOMMENDATIONS
Data requirements for socia] impact assessment, in general have been
sped f 1ed by non-standardized federal guidelines. The extent to which they
are pursued in depth depends upon a host of factors including the scope of
the lake restoration project, the availability of funds for the research
effort, time available for the work and so on. Time and money constraints
always seem to be present. Moreover, these limiting factors may be real or
they may be manipulated in such a way as to minimize the social assessment
in the first place. A failure by agencies to realize the nature of social
research often is translated into impossible time lines and unrealistic
dollar constraints. Project planning, therefore, should realistically
incorporate the time and money for social impact assessment.
To be sure, all of the impacts, relationships and interactions noted
herein may be real so far as a lake restoration project of any magnitude is
32
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concerned. The serious question, however, emerges: what is reasonable or
relevant so far as the project's magnitude is concerned? The answer in
part is provided by the methods selected for employment. A pilot effort or
survey type of research can identify areas of relevance or probable high
impact. Especially suited to this is the ethnographic method of social
anthropology.
A more detailed examination of variables and their interrelationships
can be accomplished efficiently if the prior survey work has already identi-
fied key variables. A full assessment of all pertinent variables should be
the objective in any case and, if limitations prevent it, those limitations
should be specified as constraints on the assessment. Subsequently they
should be scrutinized as thoroughly as the findings of the assessment.
Thus several levels of assessment may be sought in the project. First
involves simply the identification of key social variables where impacts
might reasonably be expected. Second, an examination of interrelationships
between variables in the social present may be sought in order to establish
a baseline for subsequent projections. Third, from these levels research
can involve projections of a "without project, with project, and with
project alternatives" nature out of which comparisons can be made and
significant effects and effect categories can be isolated. The research
should specify at its onset the level of understanding sought. It should
detail any socio-cultural omissions made.
A "typical" evaluation study of lake restoration projects is hard to
specify since none have been conducted. An ideal type study should at
least accomplish the steps outlined in this report. Preliminary ethnographic
and library research is essential for determining the cultural ecological
circumstance of the setting to receive the project. A social profile of a
full or limited nature is essential for any meaningful projections of with
and without project configurations. The isolation of significant effects
categories and effects, as evaluated by meaningful criteria of cultural
functioning, is the final and most important step in the typical process.
It should be noted that the social impact assessment is far more than
just basic social science research. The ethics of objectivity and social
responsibility come head on in a serious circumstance where real people's
life quality and social well-being must be carefully examined. Lake resto-
ration is unique in the sense that it is an explicit effort to improve
environment and societal functioning. It nevertheless is a form of develop-
ment and therefore carries impacts for social systems. Recognized as such,
it requires social research.
Finally, the cultural ecology framework chosen for use here is selected
because of its holistic nature. We have modified Steward's basic proposi-
tions to conform more fully with our experience in'the impact analysis
field. It requires a significant empirical test in lake restoration research
in order to be more fully refined and directly relevant to that process.
33
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APPENDIX A
QUESTIONNAIRE DESIGN
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37
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APPENDIX B
STATISTICAL GUIDES
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38
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APPENDIX C
SOCIAL ASPECTS OF LAKE RESTORATION
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44
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TECHNICAL REPORT DATA
I Please read Instructions on the reverse before completing)
1. REPORT NO.
EPA-600/5-78-004
2.
3. RECIPIENT'S ACCESSI ON> NO.
4. TITLE AND SUBTITLE
A Res ea rch
Strategy For Social Assessment of Lake
Restoration Programs
5. REPORT DATE
Fphruarv 1Q7R
6. PERFORMING ORGANIZATION CODE
7. AUTHOR(S)
William D. Honey and Thomas C. Hogg
Department of Anthropology
St-a-t-e Univer sit y
8. PERFORMING ORGANIZATION REPORT NO.
9. PERFORMING ORGANIZATION NAME AND ADDRESS
10. PROGRAM ELEMENT NO.
1BA608
11. CONTRACT/GRANT NO.
CC6991885-A
12. SPONSORING AGENCY NAME AND ADDRESS
Corvallis Environmental Research Laboratory
Office of Research and Development
U.S. Environmental Protection Agency
Corvallis, Oregon 97330
13. TYPE OF REPORT AND PERIOD COVERED
extramural
14. SPONSORING AGENCY CODE
EPA/600/02
15. SUPPLEMENTARY NOTES
16- ABSTRACTThis research was initiated in order to examine the social
implications of lake restoration programs and to develop a standardized
nethodology for social impact assessment.
A cultural ecological model is employed since it provides perspecti
on the relationship of human adaptation and cultural development in
evolutionary terms. Use of the model calls for examination of both
spatial and temporal parameters. The model has not been tested in
a specific research environment, but it has been developed from
strategies which have proved effective in examining the social
implications of public works projects.
A general research strategy is set forth to encompass historical,
geographical, and ethnological components in a cultural setting. Data
are quantified for a contemporary social profile, and for projections
with and w_ith_ou_t project implementation. All data are examined in terms
of five instrumental cultural functions. Criteria for socio-cultural
assessment are employed from a research matrix.
es
17.
KEY WORDS AND DOCUMENT ANALYSIS
DESCRIPTORS
b.lDENTIFIERS/OPEN ENDED TERMS
COSATI Field/Group
Social Impact Assessment
Culture Ecology
Ethnolo gy
Social Anthropology
Human Ecology
Technological Change
05/K
18. DISTRIBUTION STATEMENT
Release to public
19. SECURITY CLASS (This Report)
Unclassified
21. NO. OF PAGES
52
20. SECURITY CLASS 'This page)
Unclassified
22. PRICE
EPA Form 2220-1 (9-73)
45
ft U. S. GOVERNMENT POINTING oc
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