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

-------
                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.

-------
                                           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

-------
                                  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

-------
                                   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

-------
                                   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.

-------
                                   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

-------
                                   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

                                        1

-------
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.

-------
     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.

-------
                                    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.

-------
 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.

-------
 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.

-------
     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.

-------
      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.

                                       8

-------
     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.

-------
                                   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.


                                      10

-------
     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
                                      11

-------
 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.'
                                      12

-------
                  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
                                       13

-------
 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).
                                      14

-------
     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.

                                      15

-------
           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

                                      16

-------
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
                                      17

-------
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.

                                      18

-------
          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.
                                      19

-------
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
                                 20

-------
          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
                                      21

-------
     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
                                      22

-------
     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.
                                       23

-------
     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.
                                      24

-------
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).
                                      25

-------
                                   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.

                                      26

-------
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

-------
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

-------
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

-------
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

-------
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

-------
                                   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

-------
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

-------
                                 BIBLIOGRAPHY

Bartsch, A. F.  1972.  Role of Phosphorus in Eutrophication.  EPA-R3-72-001.
     National Environmental Research Center, U.S. Environmental Protection
     Agency, Corvallis, Oregon 97330.

Bauer, E. Jackson.   1973.  Assessing the Social Effects of  Public Works
     Projects.  Report to the Department of Anmy, Corps of  Engineers, Board
     of Engineers for Rivers and Harbors, Fort Belvoir, Virginia.
Burch, William.  1967.  Social Behavior, Natural
     ment.  Harper and Row, New York.
                                    Resources  and the  Environ-
Burdge, R. and F. L. Ludke.  1970.  Factors Affecting Relocation and Response
     to Reservoir Development.   Water Resources Institute, University of
     Kentucky, Lexington.
Drucker, Phil
     by Major
     Benefits
     Research
lip,  R.  Charles  and  E.  Reeves.   1974.   Displacement of Persons
 Public  Works:   Anthropological  Analysis  of  Social  and Cultural
 and  Costs  from  Stream  Control Measures-Phase  5.  Water Resources
 Institute,  University  of  Kentucky,  Lexington.
Dunst, R. C., S. Born, P. Uttormark, S. Smith, S. Nichols, J. Peterson,
     D. Knauer, S.  Serns, D. Winter and T. Wirth.  1974.  Survey of Lake
     Rehabilitation Techniques and Experiences.  Technical Bulletin No. 75.
     Department of Natural Resources, Madison.

Fitzsimmons, Stephan, L.  Stuart and P. Wolff.  1975.   A Guide to the Prepara-
     tion of the Social Well-Being Account.  Social Assessment Manual.  Abt
     Associates, Inc., Cambridge.

Foster, George.  1962.  Traditional Cultures and the Impact of Technological
     Change.  Harper and Row, New York.
Gabel,  C. and Norman Bennett.
     African Cultural History.
     Press, Boston.
                  1967.   "Introduction"  in  Reconstructing
                  Gabel  and  Bennett  (eds.),  Boston  University
Hogg, T.  C.   1966.   Toward Including Ethnological Parameters in River Basin
     Models.   Conference Proceedings on the Economics of Water Resource
     Development of the Western Agricultural Economic Research Council,
     December (mimeo).
                                      34

-------
Hogg, T.  C.  and C.  L.  Smith.   1971.   Socio-Cultural  Impacts of Water Resource
     Development in the Santiam River Basin.   Water  Resources Research
     Institute, WRRI #5,  Corvallis.

Hogg, T.  C.  and W.  D.  Honey.   1976.   Dam the River:   The Proposed Days Creek
     Dam and The Human Ecology of the South Umpqua River Basin, Oregon.
     Department of Anthropology and Water Resources  Research Institute,  WRRI
     #43, Corvallis.

Honigmann, John.  1959.  The World of Man.   Harper and Row, New York.

Larson, Douglas.  1970.  Cultural Impact on Lake Evolution.  In:  Man and
     Aquatic Communities, Water Resources Research Institute, Oregon State
     University, Spring Quarter Seminar Series.

Miller, Delbert.  1970.  Handbook of Research Design and Social Measurement.
     Second Edition, David McKay, Co., New York.

Napier, Ted.  1973.  Social-Psychological Responses to Forced Relocation Due
     to Watershed Development.  Water Resources Bulletin, Vol. 8, No. 4, pp.
     784-795, Urbana.

Pelto, Pertti J.  1970.  Anthropological Research:  The Structure of Inquiry.
     Harper and Row, New York.

Peterson, John H.  Jr.   1971.   Community Organization and Rural Water System
     Development.   Water Resources Research Institute, Mississippi State
     University, State College.

Powers, Charles.  1970.  Eutrophication of Lakes.  In:  Man and Aquatic
     Communities, Water Resources Research Institute, Oregon State University,
     Spring Quarter Seminar Series-.

Rappaport,  Roy.  1971.  Nature, Culture, and Ecological Anthropology.   In:
     Man, Culture and  Society, Harry L. Shapiro (ed.), Oxford  Press, New
     York.

Schields, Mark.  1974.  Social Impact Assessment:  An Analytic  Bibliography.
     A Report Submitted to the U.S. Army, Corps of Engineers  Institute  for
     Water  Resources.

Smith, Courtland.   1973.  Social Well-Being:  Problems and  Prospects.   In:
     Proceedings of the Conference on The Social Well-Being and Quality of
     Life Dimension in Water  Resources  Planning and Development,  Utah State
     University, Logan, Utah,  pp.  190-198.

Sjoberg, G. and R.  Nett.  1968.  A Methodology  for Social  Research.  Harper
     and Row, New York.

Steward, Julian.   1955.  Theory  of Culture Change:  The Methodology  of
     Multilinear Evolution.   University of  Illinois Press,  Urbana.
                                       35

-------
Vayda, Andrew.  1969.  Environmental and Cultural Behavior:  Ecological
     Studies in Cultural Anthropology.   Natural History Press, Garden City.

White, Gilbert.  1969.   Strategies of American Water Management.  Ann Arbor
     Paperbacks, University of Michigan Press, Ann Arbor.
                                      36

-------
                                  APPENDIX A

                             QUESTIONNAIRE DESIGN
Backstrom, Charles and Gerald Hursh.  1963.  Survey Research.  Northwestern
     University Press, Evanston.

Goode, W. J.  and Paul Hatt.  1952.  Methods in Social Science.  McGraw-Hill,
     Inc., New York.

Lazarfeld, Paul and Allen Barton.  1962.  Some General Principles of Ques-
     tionnaire Classification.   In:  The Language of Social  Research, Paul
     Lazarfeld and Morris Rosenberg, Editors, The Free Press, Glencoe.

Miller, Delbert.  1964.   Handbook of Research Design and Social Measurement.
     Second Edition,  David McKay Co., New York.

Oppenhiem, N.  C.  1966.   Questionnaire Design and Attitude Measurement.
     Basic Books, Inc.,  New York.

Young, Pauline and Calvin Schmid.  1968.  Scientific Surveys  and Research.
     Fourth Edition,  Prentice-Hall, Inc., Englewood Cliff-s.
                                      37

-------
                                  APPENDIX B

                              STATISTICAL GUIDES
Anderson, Theodore and Morris Zeldich.  1968.  A Basic Course in Statistics:
     With Sociological Applications.  Second Edition, Holt, Winston, Rinehart,
     New York.

Berstein, Allen.  1964.  A Handbook of Statistical Solutions for the Behav-
     ioral Sciences.   Holt, Winston, Rinehart, New York.

Conway, Freda.  1967.  Sampling:  An Introduction for Social Scientists.
     Humanities Press, Inc.,  New York.

Edwards, Allen.  1967.  Statistical Methods.  Second Edition, Holt, Winston,
     Rinehart, New York.

Maxwell, Albert.  1961.  Analyzing Qualitative Data.  John Wiley and Sons,
     Inc. , New York.

Weiss, Robert.  1968.  Statistics in Social Research.  John Wiley and Sons,
     Inc., New York.
                                      38

-------
                                  APPENDIX C

                      SOCIAL ASPECTS OF LAKE RESTORATION

                                 BIBLIOGRAPHY
Andrews, Wade and W.  Dunaway.   1975.   Changes in Uses of Bear Lake.  In:
     Interstate Body of Water, Research Monograph #5, Utah State University,
     Logan.

Berry, James and Thomas Thompson.  1972.   Conference of the Management of
     Recreational Lakes.  Water Resources Center, University of Wisconsin,
     Madison.

Born, S. M., et. al.   1973.  Restoring the Recreation Potential of Small
     Impoundments:   The Marion Millpond Experience.  Inland Lake Demonstra-
     tion Project,  Upper Great Lakes Regional Commission, Madison.

Boyter, C.  J. and M.  P.  Wanielista.  1973.  Review of Lake Restoration
     Procedures.  Water Resources Bulletin, Vol. 9, No. 3, pp. 499-511,
     Urbana.

Bromley, Daniel W., et.  al.  1970.  Procedures for Evaluation of Water and
     Related Land Resource Projects:,  An Analysis of the Water Resources
     Council's Task Force Report.  Center for Resource Policy Studies and
     Programs, University of Wisconsin, Madison.

Bromley, Daniel W., A. Allan Schmid, and William B. Lord.  1971.   Public
     Water Resource Project Planning and Evaluation:  Impacts, Incidence,
     and Institutions.  Working Paper #1, Center for Resource Policy Studies
     and Programs, University of Wisconsin, Madison.

Bultena, Gordon.  1975.   Community Values and Collective Action in Reservoir
     Development.  Iowa State University, Ames,  Iowa.

Burch, William R., Jr.  1964.  Observation as a  Technique for Recreation
     Research.  Pacific Northwest  Forest and Range Experiment Station,
     Forest  Service, USDA, Portland, Oregon.

Burgess, J.   E.  1966.   Some Effects of Cultural  Practices on Aquatic Environ-
     ment and Native Fish  Populations.  In:  Proceeding  from the  Annual
     Conference of the  Southeastern Associated Game Commission, Vol. 19,  pp.
     225-235.
                                      39

-------
Catalano, Ralph, Stephen J. Simmons, and Daniel Stokols.  1975.  Adding
     Social Science Knowledge to Environmental Decision Making.  In:
     Natural Resources Lawyer, Vol. Ill (no. l):41-59.

Clawson, Marion.  1959.  Methods of Measuring the Demand for and Value of
     Outdoor Recreation.   Resources for the Future, Inc. , Reprint #10,
     Washington, D.C.

Cheek, Neil H., Jr., and Rabel J. Burdge.    1974.  Outdoor Recreation and
     Planning:  A Sociological Overview.  North Central Research Strategy
     Committee on Natural Resource Development, Department of Sociology,
     Iowa State University, Ames.

Cicchetti, Charles, J. J. Seneca and P. Davidson.  1969.  The Demand and
     Supply of Outdoor Recreation.   Bureau of Economic Research, Rutgers-The
     State University, New Brunswick, N. J.

Cooper, Roll in, et. al.  1974.  Upper Great Lakes Regional Recreation
     Planning Study, University of Wisconsin-Extension, Madison, Wisconsin.

Cornell University.  1974.   State-of-the-Art on Methodology for Studying
     Environmental Perceptions, Beliefs, Values, and Attitudes and State-of-
     the-Art on Utilizing Perception, Attitude and Opinion Research.  Rocke-
     feller Foundation and Department of Rural Sociology, Cornell University,
     Ithaca, New York.

d'Arge, Ralph and Dean Peterson.  1974.  Goals and Water Resource Planning.
     Chapter 3 in Peterson, et al., Water Resources Planning, Social Goals,
     and Indicators:  Methodological Development and Empirical Tests.  Utah
     Water Research Laboratory Publication PRWG-131-1, Logan, Utah, pp.  41-
     68.

Dasgupta, Satadal.  1975.  Man, Community and Water:   A Study of Local Atti-
     tudes Toward Dunk River Development.   Dept. of Sociology and Anthropolo-
     gy, University of Prince Edward Island, Charlottetown, P.E.I., Canada.

David, Elizabeth and William Lord.   1969.   Determinants of Property Value on
     Artificial Lakes.  Department of Agricultural Economics, College of
     Agriculture and Life Sciences, University of Wisconsin, Madison.

Davis, Richard, et. al.  1972.  Urban Public Policy and Political Institutions
     for Water-Quality Management on Lake Erie:  Year One.  U.S. Department
     of Interior, Office of Water Resources Research, Battelle Columbus
     Laboratories, Columbus, Ohio.

Dornbusch, David.  1975.   The Impact of Water Quality Improvements on
     Residential Property Prices.  Prepared for the National Commission on
     Water Quality, Washington, D.C.

Edmondson, W.  T.  1969.  Eutrophication in North America.   In:  Eutrophica-
     tion:   Causes, Consequences, and Correctives.  National Academy of
     Sciences, Washington,  D.  C.

                                      40

-------
Field, Donald R.  and Joseph T.  O'Leary.   1972.   Social Groups as a Basis for
     Assessing Participation in Selected Water Activities.   Paper presented
     at the Rural Sociological  Society Meetings, Baton Rouge, Louisiana.

Fox, A.  C.   1968.  Lake Eutrophication Problems and Progress.  Minutes of
     the 152nd Meeting, Missouri Inter-Agency Committee, pp.  51-60, Bismarck.

Fox, Irving K.  1965.   New Horizons in Water Resources Administration.
     Public Administration Review, Vol.  25 (1):61-69.

Fredricksen, R.  L.   1970.   Erosion and Sedimentation Following Road Construc-
     tion and Timber Harvest on Unstable Soils in Three Small Western Oregon
     Watersheds.   U.S.  Forest Service Research Paper,  No.  104, pp. 1-15.

Fulton,  Jerome K.  1971A.   Development and Evaluation of Citizen Participation
     Techniques for Inland Lake and Shoreline Management.   U.S.  Department
     of Interior,  Office of Water Resources Research, Huron Watershed
     Council, Ann Arbor.

Fulton,  Jerome K.,  et.  al.  1971B.  Inland Lakes:  Analysis and Action,
     Cooperative Extension Service, Michigan State University, Extension
     Bulletin E-718, Natural Resources Series, East Lansing.

Golterman,  H. L.   1975.  Physiological Limnology:  An Approach to the
     Physiology of Lake Systems,  (mimeo).

Gum, Russell.  1974.  Identification, Weights, and Measurements of Social
     Goals.  Chapter 5 in Peterson, et.  al., Water Resources Planning,
     Social Goals,  and Indicators:  Methodological Development*and Empirical
     Tests.  Utah Water Research Laboratory Publication PRWG-131-1, Logan,
     Utah,  pp. 75-90.

Gum, Russell and W.  E.  Martin.   1975.  Problems and Solutions in Estimating
     the Demand for and Value of Rural Outdoor Recreation.   American  Journal
     of Agricultural Economics, Vol.  57:558-566.

Heberlein,  Thomas.   1971A.  Moral Norms, Threatened Sanctions, and Littering
     Behavior.  Unpublished Ph.D. Dissertation, Department Sociology,
     University of Wisconsin, Madison.

Heberlein,  Thomas.   1971B.  Perception of Alternatives and Attribution  of
     Responsibility for a Water Pollution Problem.  Paper presented at  Rural
     Sociological Society Meetings, Baton Rouge,  Louisiana.

Heberlein,  Thomas.   1975.   Social Norms and Environmental Duality.  Paper
     presented at American Association for the Advancement of Science
     Meetings, New York City, New York.

Hendee,  John C.  and Rabel  J. Burdge.   1974.   The  Substitutability Concept:
     Implications for Recreation Research and Management.  Journal of
     Leisure Research,  Vol. 6(2):157-162.
                                      41

-------
Judge, R. M.  1975.  Cognitive Strawman:
     Planning System.  Dept. Hydrol. and
     Tucson.
 Public Input to a Water Resource
Water Res.,  University of Arizona,
Katelle, M. J. and P. D. Uttormark.  1971.  Problem Lakes in the United
     States.  University of Wisconsin Water Research Center, Hydrologic and
     Sanitary Laboratory, Madison.

Klessig, Lowell L. and Douglas Yanggen.   1970.  Wisconsin Lake Property
     Owners Association:  Identification, Description, and Perception of
     Lake Problems.  University of Wisconsin, Madison.

Klessig, Lowell L.  1973.  Recreational Property Owners and their Institu-
     tional Alternative for Resource Protection:  The Case of Wisconsin
     Lakes.  Inland Lakes Demonstration Project, University of Wisconsin,
     Madison.

Kooyoomjian, K. Jack and Nicholas L. Clesceri.  1974.   Perception of Water
     Quality for Select Respondent Groupings  in Inland Water-Based Recrea-
     tional Environments.  Water Resources Bulletin, Vol. 10(4):728-744.

Larsen, Douglas W.  1970.  Cultural Impact Upon Lake Evolution.  In:  Man
     and Aquatic Communities, Water Resources Research Institute, Corvallis.

Myles, George A.    1966.   Water Based Recreation in Nevada.  Desert Research
     Institute #3, Progress Report Series Center for Water Resources Research,
     Reno.

Nicolson, J. A. and A.  C. Mace, Jr.  1975.  Water Quality Perception by
     Users.  Can It Supplement Objective Water Quality Measure?  In:  Great
     Lakes Forestry Research Center, Sault Sainte Marie, Water Res.  Bull.,
     Vol. II,  #6:1197-1207.

Patton, Michael,  et.  al.  1975.  In Search of Impact:   An Analysis of the
     Utilization of Federal  Health Evaluation Research.   Minnesota Center
     for Social Research University of Minnesota, Minneapolis.

Peterson, Dean, et. al.   1974.   Water Resources Planning, Social  Goals, and
     Indicators:   Methodological  Developmental and Empirical Tests.   Utah
     Water Research Laboratory Publication PRWG-131-1, Logan, Utah.

Peterson, John H.   1971.  Community Organization and Rural Water System
     Development.   Water Resources Research Institute, Mississippi State
     University,  State College.

Peterson, John H.  and Peggy Ross.   1971.   Changing Attitudes Toward Watershed
     Development.   Water Resources Research Institute, Mississippi State
     University,  State College.
                                      42

-------
Porter, Keith S.  (ed).   1975.   Sociological  Investigations of Three Water-
     sheds.   In:   Nitrogen and Phosphorus:   Food Production,  Waste, and the
     Environment, Ann Arbor Science Publishers, Michigan, pp. 273-303.

Powers, Charles.   1970.   Eutrophication of Lakes.   In:   Man and Aquatic
     Communities.  Water Resources Research Institute,  Oregon State Univer-
     sity, Corvallis.
Schneider, Robert.   1975.   Diffuse Agricultural Pollution:
     Analysis of Alternative Controls.   Ph.D.  Dissertation,
     Wisconsin, Madison.
                                            The Economic
                                            University of
Sinna, Evelyn.
     (mimeo)
1971.   Lake and River Pollution:   An Annotated Bibliography.
Spaulding, Irving A.   Undated.   Social Status Variations in Attitudes and
     Conceptualization Pertaining to Water Pollution and Supply.  Rhode
     Island Water Resources Center, University of Rhode Island, Kingston.

Stankey, George.  1972.   The Use of Content Analysis in Resource Decision
     Making.   Journal of Forestry, Vol. 70, 3, pp. 148-151.

State of Wisconsin.   1974.   Survey of Lake Rehabilitation Techniques and
     Experiences.  A Cooperative Effort of the University of Wisconsin and
     the Department of Natural  Resources, Sponsored by the Upper Great Lakes
     Regional Commission prepared by Russell Dunst, et. al., Technical
     Bulletin No. 75, Madison.

Stevens, T. H.   1972.  Equity and Water Resources Development.  N. Y. State
     College of Agriculture and Life Science.  Dept. Agricultural Economics,
     Cornell  U., Water Resource and Marine Science Center, Tech. Bull. 39,
     Ithaca.

Sublette, W.  J. and W. E. Martin.  1975.  Outdoor Recreation in the  Salt-
     Verde Basin of Central Arizona, Demand and Value.  University of
     Arizona, Agricultural Experiment Station, Tech. Bull., Tucson.
Thompson, Peter.  1969.
     Plan.  Science, Vol
         Brandywine Basin:
        .  163;1180-1182.
Defeat of an Almost Perfect
U.S. Government.  1962.  Merlin Division. Rogue River Basin, Project.
     Department of the Interior, Bureau of Reclamation, Boise.
                                                       U. S.
U.S. Government.  1966.  Bibliography on Socio-Economic Aspects of Water
     Resources.  U.S. Department of the Interior, Office of Water Resources
     Research, Compiled by H. R. Hamilton, et. al., Battelle Memorial
     Institute, Columbus.
                                      43

-------
U.S. Government.  1973.  Measures for the Restoration and Enhancement of
     Quality of Freshwater Lakes.  U.S. Environmental Protection Agency,
     Office of Air and Water Programs, Division of Water Quality and Non-
     point Source Control and the Office of Research and Development,
     National Eutrophication Research Program, U.S. Government Printing
     Office, Washington, D.C.

U.S. Water Resources Council.  1973.  Principles and Standards for Planning
     Water and Related Land Resources.  Federal Register, Vol. 38, pp. 778-
     867.

Uttormark, Paul and J. P. Wall.  1975.  Lake Classification—A Trophic
     Characterization of Wisconsin Lakes.   EPA-660/3-75-033, U.S. Environ-
     mental Protection Agency.

Vlachos, Evan, et.al.   1975.   Social Impact Assessment:   An Overview.  U.S.
     Army Engineer Institute for Water Resources, Fort Belvoir, Virginia.

West, Patrick C. and L. C.  Merriam, Jr.  1970.  Outdoor Recreation and
     Family Cohesiveness:  A Research Approach.  Journal of Leisure Research,
     Vol. 2, #4, pp.  251-259.

Wilkening, Eugene, et. al.   1973.  Quality of Life in Kickapoo Valley
     Communities.   Report II, Institute for Environmental Studies, University
     of Wisconsin, Madison.

Wolf, C. P. (ed).   1975.   Social Impact Assessment.  Special issue of
     Environment and Behavior,  Vol. 7, No.  3, pp. 259-404.
                                      44

-------
                               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

-------