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Evaluating the impact of resort development on an Hawaiian island: Implications for social impact assessment policy and procedures
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SOCIAL IMPACT ASSESSMENT
EVALUATING THE IMPACT OF RESORT DEVELOPMENT ON AN HAWAIIAN ISLAND: IMPLICATIONS FOR SOCIAL IMPACT ASSESSMENT POLICY AND PROCEDURES WES SHERA AND JON MATSUOKA University of Hawaii at Manoa
This paper identifies critical concerns in the policy and procedures used in conducting social impact assessments (SIAs). Using the case of the island of Lana 'i in the state of Hawaii the authors illustrate how SIAs can be done to maximize relevance, enhance utility, and empower communities. The development project in this case involves the creation of a resort industry with two major hotels on an island that until now has had an agricultural economic base for many years. This case study also illustrates how multiple methodologies and indigenization of instrumentation and data collection can increase the validity of the results. Recommendations are made regarding the improvement of SIA policy, procedures, and research.
Introduction The birth of the field of social impact assessment (SIA) can be traced to the 1969 enactment of the National Environmental Policy Act (NEPA). This legislation was one result of pressure from the environmental movement, which sought recognition of the fact that industrial and resource development often have profound environmental consequences (Carley and Bustelo 1984; Rohe 1982). NEPA mandates "systematic, interdisciplinary studies of the effects of all 'major Federal activities significantly affecting the quality of the human environment'" (Meidinger and Schnaiberg 1980, p. 508). These consequences are delineated and analyzed through the process of environmental impact assessments (EIAs). Although NEPA did not directly specify social impact assessment as a necessary component of the EIA process, subsequent court cases indicated the expectation Address correspondence to: Dr. Wes Shera, School of Social Work, University of Hawaii at Manoa, 2500 Campus Road, Honolulu, Hawaii 96822.
© 1992 Elsevier Science Publishing Co., Inc. 655 Avenue of the Americas, New York, NY 10010
0195-9255D2/$5.00
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that the assessment was to include the social domain (Meidinger and Schnaiberg 1980; Rohe 1982). In addition to the federal SIA requirements of NEPA, many states have local impact analysis requirements. In Hawaii, for example, Chapter 343, HRS is the state EIA law regulating projects involving state land or money. Furthermore, Chapter 205A, HRS the Hawaii Coastal Zone Management Act and Chapter 342, HRS, the state's pollution control law each require the EIA process for particular types of programs or projects (Scudder 1979). Although legislation requires the completion of social impact assessments, it typically does not specify their parameters and content (Dietz 1987). Even after 15-20 years of experience with social impact assessments many questions remain about the legitimate content of SIAs and about the effectiveness of procedures for analyzing and incorporating social impact considerations into impact assessment (Jobes 1986). The study which follows illustrates some of the issues that need to be addressed in SIAs and demonstrates how leading edge practice in the field of evaluation can be of use in conducting social impact assessments (Meidinger and Schnnaiberg 1980). The Lana'i Study Resort development to diversify agriculturally based economies is viewed as a viable means for economic expansion in Hawaii. Economic change in agrarian communities is based primarily on an inverse relationship between declining agriculture and increasing tourism development. A shift in focus from agriculture to tourism has led to massive land transformations and demographic changes throughout the Hawaiian Islands (Matsuoka 1988). Resorts tend to change the complexion of a community in numerous ways (Ap 1990). The types of social changes that are typically associated with economic growth related to tourism development include: economic changes, i.e., changes in employment, income, and cost of living; changes in use of natural resources as a result of project development, i.e., changes in residents' ability to exist by subsistence; changes in community infrastructure requirements, such as the need for increased sewage capacity and more schools; and overall changes in the economic and social organization of communities (Gill and Shera 1990). Other less tangible, yet highly significant factors related to "quality of life" include community cohesion, psychological adjustment, values, and spirituality (Olsen, Canan, and Hennessy 1985). A somewhat unpredictable but critical element is the rate and types of changes resulting from tourism development and the ability of the host community to accommodate or adapt to these changes. Retrospective analysis of previous development projects are a valuable way of forecasting changes brought forth by current projects. Based on previous experience, one might predict that insular agrarian communities are vulnerable to sudden social shifts such as the in-migration of large numbers of individuals with different values and cultural beliefs, housing
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shortages, and increases in social problems. These types of anticipated trends need to be offset by a comprehensive and detailed social impact management plan that will help mitigate these negative impacts (Bowles 1981; Krawetz, MacDonald, and Nichols 1987). The Hawaiian island of Lana'i is poised for a major transition. This rural, plantation-style community of 2300 has existed apart from modem day Hawaii for many years. A unique culture has evolved from the multiracial island population and its one-crop economy, built solely on the production of pineapple. The incremental development of two hotels is part of two large resort project districts that include two golf courses, 350 acres of residential development, and 40 acres of multi-family units and new commercial areas. This development is being undertaken by a large multinational agribusiness, real estate development corporation (hereinafter referred to as the "Company") that owns 98% of the island and controls virtually every aspect of its economy. The rationale for resort development was based on the need to create a diverse economic climate and stem the tide of economic decline due to faltering agricultural profits. From the beginning, various community, county, and state groups expressed concerns regarding the development of the resorts on the island of Lana'i. Several meetings involving representatives from these groups were held, and a decision was made to conduct a social impact assessment for Lana'i. The principal purpose of the SIA was to develop a baseline of information on the current state of the Lana'ian community with a major emphasis on social and human service concerns. A secondary objective was to establish a baseline of social indicators that could be used for long-term monitoring by the community. Methodology The investigators collaborated with numerous community and business and community groups while conducting the study. Active community participation in social impact assessments leads to the development of culturally sensitive methods for data collection and analyses and a greater utilization of the study results (Burdge and Robertson 1990). There were four major components of the social impact assessment including: a community/island assessment; a household survey; a high school survey; and focus groups. The community assessment involved the collection of demographic, socio-economic, and social problem indicator data for Lana'i. Critical components of this assessment were a profile of human services and the identification of current issues and/or problems. The survey of 240 randomly selected households (approximately one-third of all island households) was conducted to obtain residents' views on the community and the development of the resorts. In addition to the usual demographic questions, respondents were asked for their opinions on a wide range of issues including: economic impacts, cost of living, housing, environmental/recreational issues, work and commitment to the community, friendships, community services,
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community satisfaction, social impacts, quality of life, and recommendations for change. The survey instrument was the product of a collaborative effort between the investigators and a committee of community representatives. A survey of all Lana'i High School students (140) in grades 10-12 was conducted to assess the attitudes and concerns of Lana'i's youth. A primary argument favoring resort development on Lana'i focused on the need to create an economic environment that would keep more of Lana'i's youth on the island. The high school students were asked about their future plans and expectations and their opinions regarding various school and community issues. The final component of the study, focus groups, involved group discussions on special issues related to the development of the resorts. A total of eight groups were selected to represent a broad range of cultural, economic, and human and public service interests. The group sessions were conducted with previously existing special interest groups or knowledgeable individuals (key informants) brought together to discuss issues pertinent to their areas of concern. This method gathered information in an effective and efficient manner and also used the discussion and exchange to help participants reflect on, and in most cases, clarify and crystallize various perspectives on the issues under investigation (Krueger 1988). This type of multi-methods approach is the best strategy for gathering quantitative and qualitative data in order to provide a holistic impression of a community (Brewer and Hunter 1989). This is especially critical when attempting to understand the multiple features of a socially and culturally diverse environment. This process also serves as a means to assess the reliability of data through cross checking information gathered from various sources and to fill conceptual or informational gaps.
Results The four methods used in data gathering resulted in an enormous quantity of data. For the purposes of this article, the results will be presented in the form of a synopsis as they relate to the most critical community service and planning issues. Results from all components of the study will be presented as they relate to: economic impacts, community services and participation, community satisfaction and quality of life, and social impacts.
Economic Impacts A number of economic assumptions supported the development strategy. The resorts are intended to foster a more diverse economic climate that will benefit residents and newcomers to Lana'i. Increased direct and indirect resort employment and visitor spending will generate a substantial flow of financial resources into the Lana'i economy. It was also assumed that economic diversification through resort development was necessary to avert further economic decline. The transition,
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however, can be a cumbersome one and although residents are primarily supportive, strong concerns were also expressed. The descriptive analysis and subgroup comparisons from the study found that: • •
•
• •
Most residents felt positive towards resort development primarily because it would provide more jobs. Negative attitudes towards resort development related to anticipated increases in cost of living, the lack of social services, and impacts on natural resources. Most high school students were ambivalent about the development; although recognizing the increased employment opportunities, many felt there would be financial problems such as an increase in cost of living and a decrease in family and community values. Long-time residents viewed the economic impacts of resort development more negatively than newer residents. Residents felt that they should have opportunities to develop small businesses, yet had insufficient incentives to initiate locally owned businesses.
A majority of respondents approved of resort development as a means of economic development. There was also substantial interest in economic diversification through diversified agriculture and small business opportunities. The latter issue raises a critical question concerning the preparedness of Lana'i residents to pursue small business ventures. In order to succeed, enterprising residents require the knowledge to operate a business, need investment capital, and must have access to commercial space. All three elements are critical in terms of cultivating a locally owned business environment. Cost of living was another critical concern for residents, especially when the resorts are operational. In other resort communities, problems developed when the economy of the resort became the economy of the adjoining community (Lui and Vat 1986). Mitigating measures are required to prevent the type of economic "seepage" from occurring that will definitely create economic hardship for the majority of Lana'i's residents.
Community Services and Participation Community services on Lana'i are provided by the state and county. These services include the hospital and health care facility, the schools, youth recreation programs, police and fire services, sewage disposal, and human services. Other community services are provided through the private sector. These services include dental care, day-care facilities, churches, stores, restaurants, etc. Community participation generally refers to membership and degree of participation in organizations, activities, or clubs. It also refers to the degree to which one attends and participates in community meetings and public hearings.
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The major results and issues related to community services and participation: •
Community services with the highest ratings were the school, school library, and churches.
•
Community services with the lowest ratings included entertainment, transportation to other islands, retail stores, social services, and dental care. Long-time residents were more satisfied with Lana'i's community services than were newcomers.
• •
Lower educated residents were more satisfied with Lana'i's community services than were higher educated residents.
•
The high school respondents were generally positive about their school with 42% stating it was good or very good, and 44% indicating it was average.
•
In terms of likes and dislikes, the students liked the friendly nature of the school, the small size, school sports, and their courses and teachers. Dislikes included not enough extracurricular activities, various aspects of the school's administration, and too much homework.
•
The level of participation in community organizations, activities, or clubs was generally low for residents but higher for students. Residents generally felt that announcements and information provided by the Company were not readily available and they were usually informed about these things by "word-of-mouth."
•
Residents generally felt that the Company did not offer adequate opportunities for participation in decision-making regarding the life of the community. A relatively small group of residents representing various constituencies were likely to be involved in numerous community activities. This situation might be reflective of both economic and cultural conditions, as well as a sense of apathy. It is problematic in the sense that it predisposes civic leaders to "burnout" and is not conducive to a participatory, democratic process of public involvement and decision-making.
Community Satisfaction and Quality of Life The existing conditions of the Lana'i community will to some extent change in response to resort development. Changes in objective community conditions will become subjectively meaningful advantages or disadvantages to residents and have significant implications for their quality of life. The major results and issues
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related to community satisfaction and quality of life: •
The areas of highest community satisfaction were safety, a good place for raising children, and friendliness.
•
The areas of least community satisfaction were shopping, the ability of residents to influence development, access to other communities, a place to get ahead, and job opportunities for women.
•
The things liked most about living on Lana'i were peace and quiet, climate, safety, and the small community atmosphere. The things liked least about living on Lana'i were the lack of recreational opportunities, high cost of living, lack of consumer goods, and lack of medical facilities.
•
•
According to high school youth, the things liked least about living on Lana'i were lack of recreational opportunities and lack of consumer goods.
•
Overall community satisfaction was very high with 81% of the residents rating Lana'i as a good to very good place to live and 16% rating it as average.
•
High school youth assessed their community satisfaction as high with 48% rating Lana'i as a good to very good place to live and 36% rating it as average.
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Residents were generally pleased about the quality of their lives, and for the most part, believed it would not be affected by resort development.
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Long-time residents were more satisfied with the quality of life on Lana'i than were newcomers.
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Higher income groups were more satisfied with the quality of life than were lower income groups.
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The three most common suggestions made by residents to improve the quality of life on Lana'i were better public and human services, more jobs and economic opportunities, and better medical services. In addition, high school students recommended the development of more recreational opportunities and more shopping.
Some areas of least satisfaction (e.g., shopping, job opportunities for women) are likely to improve with the growth of the community and the infusion of new people and ideas. On the other hand, some of the most valued aspects of the community are likely to be negatively affected by development and social change. For example, increased traffic and changes in driving styles may to some extent threaten the safety of pedestrians, especially children; with the influx of
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newcomers who are strangers, residents may be more concemed about security and inclined to lock their homes (Ap 1990).
Social Impacts Social change and development are part of the natural evolutionary process of any community. There is no question, however, that tourism development affects that rate and course of social change in a community. The kinds of social changes associated with tourism will be viewed as positive or negative depending on one's value orientation. Some changes will be difficult to detect because they emerge insidiously over a protracted time period. The true nature of the impacts can only be assessed retrospectively. The major results and issues related to the social impacts of resort development were that: •
•
•
• • •
•
•
• • •
Residents generally felt that the social impacts of resort development would be positive with 50% anticipating positive to very positive changes, 28% neutral, and 13% feeling negative to very negative. High school students were more ambivalent about the social impacts of resort development with 31% anticipating positive or very positive changes, 44% neutral, and 10% feeling negative to very negative. The perceived positive impacts were increased employment opportunities, economic opportunities, social opportunities, exposure to and appreciation of other cultures, and social/recreational activities. The perceived negative impacts were increased crime, decreased family values and cohesion, and increased financial problems for residents. Racial group differences were found. Japanese-Americans viewed the social impacts of resort development more negatively than Caucasians. Long-time Lana'i residents felt that the social impacts would be more severe than did newer residents. The most commonly observed changes in social problems on Lana'i over the past five years were increased drug abuse, crime, family violence and dissolution, and alcohol abuse. Increases in social problems were attributed to the influence of outsiders, lack of parental supervision because of work schedules, and increased drug dealing by construction contractors. The social problems rated highest in severity were drug and alcohol abuse, marital conflicts and spouse abuse, and crime. The social services that were rated lowest were drug and alcohol treatment, mental health services, and counseling services for couples and families. Key informants felt that major immediate needs in the human services were: an increase in the number of resident human service professionals; housing for these new employees; a multi-service center to facilitate inter-agency coordination; and the development of a wider range of
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services and facilities such as day care, foster homes, drug and alcohol programs, and improved services for the elderly. Lana'i is generally believed to have a considerable number of social problems and is severely lacking in the social services to address current needs. Without significant improvements, the situation will only become worse with social change and population growth.
Discussion Maintaining and improving the quality of life in the Lana'i community will require action on a number of fronts. The major recommendations for action that emerged from the study results included: (1) community-based economic development, (2) enhancement of socio-cultural cohesion, (3) monitoring of social impacts over time, (4) comprehensive social planning, and (5) independent community decision-making. The creation of a Community Development Corporation (CDC) can be the first step towards accomplishing these tasks. An existing group, such as Decisions Lana'i, or a new coalition of community groups could provide leadership in forming a CDC that would facilitate independent decision-making regarding important community issues and negotiate with the Company, county and state agencies, and the legislature for needed resources. The ultimate success of a CDC will be based on a multilateral commitment among these various constituencies. Community-based economic development is a strategy to promote the collective and entrepreneurial interests of residents (Blakely 1989). It provides an alternative to large-scale economic development that is characterized by a top-down, market-driven dynamic. Communities pursue their own development options that typically reflect a unique set of social, economic, historical, and physical characteristics. The CDC's role in economic development will be to examine the viability of economic alternatives to tourism. The CDC will require pre-development resources to hire full-time staff and create a board of directors who would make business investment decisions. In other communities in Hawaii, the initial funding for the CDC was provided by the resort developers. The Company is in a position to support these efforts through the provision of grants and other resources. Suggestions for community-based economic development on Lana'i included small-business development, backyard aquaculture, diversified agriculture, and a cultural park. A feasibility study using criteria such as ideology, resources, survivability, and socio-cultural fit should be conducted to determine the most appropriate forms of alternative economic development for the community. Economic development has often occurred without much consideration given to its socio-cultural effects, and as a result, many community features that are distinct to Hawaii have disappeared. Lana'i will predictably follow the path of
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other communities unless there are efforts to mitigate the negative socio-cultural effects of resort development. Palliative measures that could promote community cohesion and cultural preservation include: (1) cultural orientation programs and materials to promote cultural awareness and sensitivity among newcomers, and (2) an advisory committee on cultural enrichment comprising representatives from existing cultural organizations. Newcomers to Lana'i must make significant efforts to acculturate to existing ways or a considerable amount of community polarization will occur. Socio-cultural continuity will largely depend upon the retention and repatriation of Lana'i's people. With the continued out-migration of young people and the need to recruit a substantial number of off-island workers, change is inevitable. The critical issue is the degree of change that occurs and its impact on the community. Efforts are needed to promote a viable multi-cultural environment while preventing a wholesale change in demography and culture. As the community grows and develops, changes need to be monitored over time. It is imperative to conduct longitudinal studies examining attitudes and perceptions over designated time periods. Social and economic indicator data can also be used to document trends occurring over time. Variables related to economic conditions, demographic trends, crime, health, and mental health should be used to help monitor the impacts of development. The results from this study provide a multitude of baselines by which to monitor changes. These changes will have important planning and service implications (Roberts and Paget 1985; Shera 1981). The provision of health and human services to address existing and future needs is a prerequisite to maintaining the vitality of a community. In terms of human service facilities, programs, and workers, Lana'i has been in a deficit situation for a number of years. These needs will ostensibly escalate with social change and population growth. In this respect, the CDC will be responsible for social planning and monitoring social change on Lana'i. The CDC will need to hire a community service planning coordinator and staff to develop and coordinate comprehensive programs to address those needs. A centralized multi-service agency should provide a wide range of services to Lana'i residents including social service assessment, financial assistance, health and mental health services, etc. The development of referral protocols would serve to improve the efficiency of service delivery. The coordination of services would also enable those involved to identify problem areas and gaps in service delivery and develop ways to resolve them. The agency would be staffed by bicultural and bilingual workers who provide information regarding the nature of social services and assist residents in obtaining them. The CDC's major function is to empower the community by facilitating independent deliberations by community residents rather than respond to Company proposals. The people of the community have historically been placed in a reactive position without opportunities to determine their own course of development. The building of the resorts is a critical juncture in the evolution of
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the community and an opportune time for residents to assume control over areas that have previously been under Company management (Burdge and Robertson 1990). It might also be a powerful antidote to what locals describe as apathy and a general lack of willingness to participate in community affairs.
Lessons Learned To conduct an SIA in a social system as large as a community, one must proceed carefully. This is where some of the literature on consultation can be very helpful. A particularly useful model of consultation vis-h-vis research and evaluation, has been presented by Jacobsen (1974). His model consists of six stages and translated into terminology relevant to the Lanai social impact assessment, these are: (1) entry into the community, (2) relationship building, (3) community assessment, (4) finalization of data collection strategies/agreements, (5) data collection, and (6) analysis, presentation, and termination. The authors devoted much time and effort to the entry and relationship-building stages. Discussions were held with a local advisory committee, key members of the community, and the local media. Local support was sought, and the authors attempted to identify the issues of most importance to the community. As a result of those efforts, additional issues and questions were included in the various questionnaires. It was believed that this would enhance interest in the study and facilitate utilization of the results when they became available (Patton 1986). A local community research coordinator and local interviewers were hired and trained. Progress reports and press releases were provided to the advisory committee and local media as the SIA proceeded and when it was completed, a number of methods were used to disseminate the results. They included a review of the results with the advisory committee, presentation of the results at a town meeting, discussion of the secondary-school results with the teachers, press releases describing the overall findings, the preparation of an executive summary, and a final technical report. In our opinion, the energy that was invested in the "process" aspects of the SIA resulted in a much more relevant, valid, and useful study. This experience also reinforced our view that a community-responsive SIA should include, at a minimum: a thorough understanding of the context of the SIA; procedures to ensure utilization and enhanced validity of the results through indigenization (Maruyama 1974); and a commitment to the perspective that SIA can be a process of community education (Stufflebeam 1975).
Conclusion In Hawaii, a standard SIA typically includes a description of the demographic make-up of the community, and the probable and unavoidable impacts of the development project on the community. SIAs are sometimes considered to be an inaccurate formality because they are commissioned by the developers themselves and are based on future projections that are not actually monitored.
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What has emerged from this process is a relatively biased perspective of impacts that tends to be protected from serious scientific scrutiny. An alternative strategy might include having independent, governmentsponsored SIAs. A State of Hawaii Agency could contract nonaffiliated social scientists to conduct SIAs using appropriate methods for reducing bias. Future studies will also require the development of instruments that are sensitive to the cultural characteristics of the people involved. The indigenization of methodologies will ostensibly lead to more valid results. Secondly, the nature of the topic warrants the solicitation of expert opinions from various interest groups. Investigators can strive for increased validity through the pooling of observations gained from different vantage points (Ball 1977). Single methods, such as random sample surveys of the community, can be problematic because respondents selected this way may be comparatively less informed or possess attitudes that are highly influenced by the mass media and the most powerful lobby groups. Third, it is imperative to conduct longitudinal studies to examine conditions, attitudes and perceptions over designated time periods (Krawetz, MacDonald, and Nichols 1987). Social and economic indicator data can also be used to chart trends occurring over time. Variables related to economic conditions, demographic trends, crime, and health and mental health can be used to help monitor the impacts of development. Finally, it is important to identify and document resorts that serve as exemplary models for social, cultural, and environmental sensitivity. Future research designs could use multiple case studies to investigate the effectiveness of mitigation efforts. An inventory of successful mitigations would be an invaluable resource. The human aspects of land development and social change have long been ignored by developers and politicians. A critical analysis of the social ramifications of current and future projects may prevent the further debasement of culture and lifeways or at least allow decision-makers to deliberate more responsibly. Alternative strategies for appropriate mitigation might include: (1) contractual requirements vis-h-vis job training for indigenous people and other ethnic minorities at levels other than menial labor; (2) the establishment of a state task force on economic diversification; (3) the promotion of community-based economic development projects; (4) major fines issued to resorts for noncompliance to be paid into community economic development projects; and (5) a social services impact tax on development projects to assist with the "prevention" of projected negative social costs. The systematic study of the impacts of resort development in Hawaii is in its infancy. The development and reformulation of theories and models is an important step in moving towards a better understanding of this phenomenon (Ap 1990). Theoretical knowledge can contribute to responsible planning and effective mitigation. Too often in the past, decisions have been made without the consent of many of Hawaii's residents and a great deal of research and culturally sensitive policy development are needed to rectify the situation.
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References Ap, J. 1990. Residents' perceptions research on the social impacts of tourism. Annals of Tourism Research 17 (4):610---616. Ball, R.A. 1977. Equitable evaluation through investigative sociology. Sociological Focus 10(1):1-14. Blakely, E. Planning Local Economic Development: Theory and Practice. Newbury Park, CA.: Sage Publications, Inc. 1989. Bowles, R.T. Social Impact Assessment in Small Communities. Toronto: Butterworth and Company. 1981. Brewer, J., and Hunter, A. Multimethod research. Sage Library of Social Research 175, Beverly Hill: Sage Publications. 1989. Burdge, R.J., and Robertson, R.A. 1990. Social impact assessment and the public involvement process. Environmental Impact Assessment Review 10:81-90. Carley, M.J., and Bustelo, E.S. Social Impact Assessment and Monitoring." A Guide to the Literature. Colorado: Westview Press. 1984. Dietz, T. 1987. Theory and method in social impact assessment. Sociological Inquiry 157:54-69. Gill, A., and Shera, W. 1990. Using social criteria to guide the design of a new community: The case of Tumbler Ridge. Plan Canada 30(1):33-42. Jacobsen, E.A. Program Evaluation and Psychological Consultation. Unpublished monograph, University of Michigan, Community Health Program, Ann Arbor, Michigan. 1974. Jobes, P.C. 1986. Assessing impacts on reservations: A failure of social impact research. Environmental Impact Assessment Review 6:385-394. Krawetz, N.M., MacDonald, W.R., and Nichols, P. A Framework for Effective Monitoring. Ottawa: Canadian Environmental Assessment Research Council. 1987. Krueger, R. Focus Groups: A Practical Guide for Applied Research. Newbury Park, CA: Sage Publications, Inc. 1988. Lui, J. and Var, T. 1986. Resident attitudes towards tourism impacts in Hawaii. Annals of Tourism Research 13 (2): 193-214. Maruyama, M. 1974. Endogenous research vs. experts from outside. Futures 6:389-394. Matsuoka, J. 1988. Tourism development in Hawaii: An examination of some critical social impacts. Social Development Issues 12(1):81-91. Meidinger, E., and Schnaiberg, A. 1980. Social impact assessment as evaluation research: Claimants and claims. Evaluation Review 4:507-535. Olsen, M., Canan, P., and Hennessy, M. 1985. A value-based community assessment process: Integrating quality of life and social impact studies. Sociological Methods and Research 13(3):325-361. Patton, M.Q. Utilization-focused Evaluation. Beverly Hills, CA: Sage. 1986. Roberts, R., and Paget, G. 1985. Socially responsive planning: the Tumbler Ridge new town experience. Ekistics 52(313):306-319.
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Rohe, W.M. 1982. Social impact analysis and the planning process in the United States. Town Planning Review 53:367-382. Scudder, R.U. EIS Handbook for Hawaii. Honolulu: Department of Planning and Economic Development. 1979. Shera, W. Social impact assessment and human services planning. In F. Tester and B. Mykes (eds.), Social Impact Assessment: Theory, Method and Practice. Calgary: Detselig Enterprises Ltd. 1981. pp. 316-326. Stufflebeam, D.L. 1975. Evaluation as a community education process. Community Education Journal 8:7-19.
ENVIRON IMPACT ASSESS REV 1992;12:349-362
SOCIAL IMPACT ASSESSMENT
EVALUATING THE IMPACT OF RESORT DEVELOPMENT ON AN HAWAIIAN ISLAND: IMPLICATIONS FOR SOCIAL IMPACT ASSESSMENT POLICY AND PROCEDURES WES SHERA AND JON MATSUOKA University of Hawaii at Manoa
This paper identifies critical concerns in the policy and procedures used in conducting social impact assessments (SIAs). Using the case of the island of Lana 'i in the state of Hawaii the authors illustrate how SIAs can be done to maximize relevance, enhance utility, and empower communities. The development project in this case involves the creation of a resort industry with two major hotels on an island that until now has had an agricultural economic base for many years. This case study also illustrates how multiple methodologies and indigenization of instrumentation and data collection can increase the validity of the results. Recommendations are made regarding the improvement of SIA policy, procedures, and research.
Introduction The birth of the field of social impact assessment (SIA) can be traced to the 1969 enactment of the National Environmental Policy Act (NEPA). This legislation was one result of pressure from the environmental movement, which sought recognition of the fact that industrial and resource development often have profound environmental consequences (Carley and Bustelo 1984; Rohe 1982). NEPA mandates "systematic, interdisciplinary studies of the effects of all 'major Federal activities significantly affecting the quality of the human environment'" (Meidinger and Schnaiberg 1980, p. 508). These consequences are delineated and analyzed through the process of environmental impact assessments (EIAs). Although NEPA did not directly specify social impact assessment as a necessary component of the EIA process, subsequent court cases indicated the expectation Address correspondence to: Dr. Wes Shera, School of Social Work, University of Hawaii at Manoa, 2500 Campus Road, Honolulu, Hawaii 96822.
© 1992 Elsevier Science Publishing Co., Inc. 655 Avenue of the Americas, New York, NY 10010
0195-9255D2/$5.00
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that the assessment was to include the social domain (Meidinger and Schnaiberg 1980; Rohe 1982). In addition to the federal SIA requirements of NEPA, many states have local impact analysis requirements. In Hawaii, for example, Chapter 343, HRS is the state EIA law regulating projects involving state land or money. Furthermore, Chapter 205A, HRS the Hawaii Coastal Zone Management Act and Chapter 342, HRS, the state's pollution control law each require the EIA process for particular types of programs or projects (Scudder 1979). Although legislation requires the completion of social impact assessments, it typically does not specify their parameters and content (Dietz 1987). Even after 15-20 years of experience with social impact assessments many questions remain about the legitimate content of SIAs and about the effectiveness of procedures for analyzing and incorporating social impact considerations into impact assessment (Jobes 1986). The study which follows illustrates some of the issues that need to be addressed in SIAs and demonstrates how leading edge practice in the field of evaluation can be of use in conducting social impact assessments (Meidinger and Schnnaiberg 1980). The Lana'i Study Resort development to diversify agriculturally based economies is viewed as a viable means for economic expansion in Hawaii. Economic change in agrarian communities is based primarily on an inverse relationship between declining agriculture and increasing tourism development. A shift in focus from agriculture to tourism has led to massive land transformations and demographic changes throughout the Hawaiian Islands (Matsuoka 1988). Resorts tend to change the complexion of a community in numerous ways (Ap 1990). The types of social changes that are typically associated with economic growth related to tourism development include: economic changes, i.e., changes in employment, income, and cost of living; changes in use of natural resources as a result of project development, i.e., changes in residents' ability to exist by subsistence; changes in community infrastructure requirements, such as the need for increased sewage capacity and more schools; and overall changes in the economic and social organization of communities (Gill and Shera 1990). Other less tangible, yet highly significant factors related to "quality of life" include community cohesion, psychological adjustment, values, and spirituality (Olsen, Canan, and Hennessy 1985). A somewhat unpredictable but critical element is the rate and types of changes resulting from tourism development and the ability of the host community to accommodate or adapt to these changes. Retrospective analysis of previous development projects are a valuable way of forecasting changes brought forth by current projects. Based on previous experience, one might predict that insular agrarian communities are vulnerable to sudden social shifts such as the in-migration of large numbers of individuals with different values and cultural beliefs, housing
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shortages, and increases in social problems. These types of anticipated trends need to be offset by a comprehensive and detailed social impact management plan that will help mitigate these negative impacts (Bowles 1981; Krawetz, MacDonald, and Nichols 1987). The Hawaiian island of Lana'i is poised for a major transition. This rural, plantation-style community of 2300 has existed apart from modem day Hawaii for many years. A unique culture has evolved from the multiracial island population and its one-crop economy, built solely on the production of pineapple. The incremental development of two hotels is part of two large resort project districts that include two golf courses, 350 acres of residential development, and 40 acres of multi-family units and new commercial areas. This development is being undertaken by a large multinational agribusiness, real estate development corporation (hereinafter referred to as the "Company") that owns 98% of the island and controls virtually every aspect of its economy. The rationale for resort development was based on the need to create a diverse economic climate and stem the tide of economic decline due to faltering agricultural profits. From the beginning, various community, county, and state groups expressed concerns regarding the development of the resorts on the island of Lana'i. Several meetings involving representatives from these groups were held, and a decision was made to conduct a social impact assessment for Lana'i. The principal purpose of the SIA was to develop a baseline of information on the current state of the Lana'ian community with a major emphasis on social and human service concerns. A secondary objective was to establish a baseline of social indicators that could be used for long-term monitoring by the community. Methodology The investigators collaborated with numerous community and business and community groups while conducting the study. Active community participation in social impact assessments leads to the development of culturally sensitive methods for data collection and analyses and a greater utilization of the study results (Burdge and Robertson 1990). There were four major components of the social impact assessment including: a community/island assessment; a household survey; a high school survey; and focus groups. The community assessment involved the collection of demographic, socio-economic, and social problem indicator data for Lana'i. Critical components of this assessment were a profile of human services and the identification of current issues and/or problems. The survey of 240 randomly selected households (approximately one-third of all island households) was conducted to obtain residents' views on the community and the development of the resorts. In addition to the usual demographic questions, respondents were asked for their opinions on a wide range of issues including: economic impacts, cost of living, housing, environmental/recreational issues, work and commitment to the community, friendships, community services,
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community satisfaction, social impacts, quality of life, and recommendations for change. The survey instrument was the product of a collaborative effort between the investigators and a committee of community representatives. A survey of all Lana'i High School students (140) in grades 10-12 was conducted to assess the attitudes and concerns of Lana'i's youth. A primary argument favoring resort development on Lana'i focused on the need to create an economic environment that would keep more of Lana'i's youth on the island. The high school students were asked about their future plans and expectations and their opinions regarding various school and community issues. The final component of the study, focus groups, involved group discussions on special issues related to the development of the resorts. A total of eight groups were selected to represent a broad range of cultural, economic, and human and public service interests. The group sessions were conducted with previously existing special interest groups or knowledgeable individuals (key informants) brought together to discuss issues pertinent to their areas of concern. This method gathered information in an effective and efficient manner and also used the discussion and exchange to help participants reflect on, and in most cases, clarify and crystallize various perspectives on the issues under investigation (Krueger 1988). This type of multi-methods approach is the best strategy for gathering quantitative and qualitative data in order to provide a holistic impression of a community (Brewer and Hunter 1989). This is especially critical when attempting to understand the multiple features of a socially and culturally diverse environment. This process also serves as a means to assess the reliability of data through cross checking information gathered from various sources and to fill conceptual or informational gaps.
Results The four methods used in data gathering resulted in an enormous quantity of data. For the purposes of this article, the results will be presented in the form of a synopsis as they relate to the most critical community service and planning issues. Results from all components of the study will be presented as they relate to: economic impacts, community services and participation, community satisfaction and quality of life, and social impacts.
Economic Impacts A number of economic assumptions supported the development strategy. The resorts are intended to foster a more diverse economic climate that will benefit residents and newcomers to Lana'i. Increased direct and indirect resort employment and visitor spending will generate a substantial flow of financial resources into the Lana'i economy. It was also assumed that economic diversification through resort development was necessary to avert further economic decline. The transition,
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however, can be a cumbersome one and although residents are primarily supportive, strong concerns were also expressed. The descriptive analysis and subgroup comparisons from the study found that: • •
•
• •
Most residents felt positive towards resort development primarily because it would provide more jobs. Negative attitudes towards resort development related to anticipated increases in cost of living, the lack of social services, and impacts on natural resources. Most high school students were ambivalent about the development; although recognizing the increased employment opportunities, many felt there would be financial problems such as an increase in cost of living and a decrease in family and community values. Long-time residents viewed the economic impacts of resort development more negatively than newer residents. Residents felt that they should have opportunities to develop small businesses, yet had insufficient incentives to initiate locally owned businesses.
A majority of respondents approved of resort development as a means of economic development. There was also substantial interest in economic diversification through diversified agriculture and small business opportunities. The latter issue raises a critical question concerning the preparedness of Lana'i residents to pursue small business ventures. In order to succeed, enterprising residents require the knowledge to operate a business, need investment capital, and must have access to commercial space. All three elements are critical in terms of cultivating a locally owned business environment. Cost of living was another critical concern for residents, especially when the resorts are operational. In other resort communities, problems developed when the economy of the resort became the economy of the adjoining community (Lui and Vat 1986). Mitigating measures are required to prevent the type of economic "seepage" from occurring that will definitely create economic hardship for the majority of Lana'i's residents.
Community Services and Participation Community services on Lana'i are provided by the state and county. These services include the hospital and health care facility, the schools, youth recreation programs, police and fire services, sewage disposal, and human services. Other community services are provided through the private sector. These services include dental care, day-care facilities, churches, stores, restaurants, etc. Community participation generally refers to membership and degree of participation in organizations, activities, or clubs. It also refers to the degree to which one attends and participates in community meetings and public hearings.
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The major results and issues related to community services and participation: •
Community services with the highest ratings were the school, school library, and churches.
•
Community services with the lowest ratings included entertainment, transportation to other islands, retail stores, social services, and dental care. Long-time residents were more satisfied with Lana'i's community services than were newcomers.
• •
Lower educated residents were more satisfied with Lana'i's community services than were higher educated residents.
•
The high school respondents were generally positive about their school with 42% stating it was good or very good, and 44% indicating it was average.
•
In terms of likes and dislikes, the students liked the friendly nature of the school, the small size, school sports, and their courses and teachers. Dislikes included not enough extracurricular activities, various aspects of the school's administration, and too much homework.
•
The level of participation in community organizations, activities, or clubs was generally low for residents but higher for students. Residents generally felt that announcements and information provided by the Company were not readily available and they were usually informed about these things by "word-of-mouth."
•
Residents generally felt that the Company did not offer adequate opportunities for participation in decision-making regarding the life of the community. A relatively small group of residents representing various constituencies were likely to be involved in numerous community activities. This situation might be reflective of both economic and cultural conditions, as well as a sense of apathy. It is problematic in the sense that it predisposes civic leaders to "burnout" and is not conducive to a participatory, democratic process of public involvement and decision-making.
Community Satisfaction and Quality of Life The existing conditions of the Lana'i community will to some extent change in response to resort development. Changes in objective community conditions will become subjectively meaningful advantages or disadvantages to residents and have significant implications for their quality of life. The major results and issues
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related to community satisfaction and quality of life: •
The areas of highest community satisfaction were safety, a good place for raising children, and friendliness.
•
The areas of least community satisfaction were shopping, the ability of residents to influence development, access to other communities, a place to get ahead, and job opportunities for women.
•
The things liked most about living on Lana'i were peace and quiet, climate, safety, and the small community atmosphere. The things liked least about living on Lana'i were the lack of recreational opportunities, high cost of living, lack of consumer goods, and lack of medical facilities.
•
•
According to high school youth, the things liked least about living on Lana'i were lack of recreational opportunities and lack of consumer goods.
•
Overall community satisfaction was very high with 81% of the residents rating Lana'i as a good to very good place to live and 16% rating it as average.
•
High school youth assessed their community satisfaction as high with 48% rating Lana'i as a good to very good place to live and 36% rating it as average.
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Residents were generally pleased about the quality of their lives, and for the most part, believed it would not be affected by resort development.
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Long-time residents were more satisfied with the quality of life on Lana'i than were newcomers.
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Higher income groups were more satisfied with the quality of life than were lower income groups.
•
The three most common suggestions made by residents to improve the quality of life on Lana'i were better public and human services, more jobs and economic opportunities, and better medical services. In addition, high school students recommended the development of more recreational opportunities and more shopping.
Some areas of least satisfaction (e.g., shopping, job opportunities for women) are likely to improve with the growth of the community and the infusion of new people and ideas. On the other hand, some of the most valued aspects of the community are likely to be negatively affected by development and social change. For example, increased traffic and changes in driving styles may to some extent threaten the safety of pedestrians, especially children; with the influx of
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newcomers who are strangers, residents may be more concemed about security and inclined to lock their homes (Ap 1990).
Social Impacts Social change and development are part of the natural evolutionary process of any community. There is no question, however, that tourism development affects that rate and course of social change in a community. The kinds of social changes associated with tourism will be viewed as positive or negative depending on one's value orientation. Some changes will be difficult to detect because they emerge insidiously over a protracted time period. The true nature of the impacts can only be assessed retrospectively. The major results and issues related to the social impacts of resort development were that: •
•
•
• • •
•
•
• • •
Residents generally felt that the social impacts of resort development would be positive with 50% anticipating positive to very positive changes, 28% neutral, and 13% feeling negative to very negative. High school students were more ambivalent about the social impacts of resort development with 31% anticipating positive or very positive changes, 44% neutral, and 10% feeling negative to very negative. The perceived positive impacts were increased employment opportunities, economic opportunities, social opportunities, exposure to and appreciation of other cultures, and social/recreational activities. The perceived negative impacts were increased crime, decreased family values and cohesion, and increased financial problems for residents. Racial group differences were found. Japanese-Americans viewed the social impacts of resort development more negatively than Caucasians. Long-time Lana'i residents felt that the social impacts would be more severe than did newer residents. The most commonly observed changes in social problems on Lana'i over the past five years were increased drug abuse, crime, family violence and dissolution, and alcohol abuse. Increases in social problems were attributed to the influence of outsiders, lack of parental supervision because of work schedules, and increased drug dealing by construction contractors. The social problems rated highest in severity were drug and alcohol abuse, marital conflicts and spouse abuse, and crime. The social services that were rated lowest were drug and alcohol treatment, mental health services, and counseling services for couples and families. Key informants felt that major immediate needs in the human services were: an increase in the number of resident human service professionals; housing for these new employees; a multi-service center to facilitate inter-agency coordination; and the development of a wider range of
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services and facilities such as day care, foster homes, drug and alcohol programs, and improved services for the elderly. Lana'i is generally believed to have a considerable number of social problems and is severely lacking in the social services to address current needs. Without significant improvements, the situation will only become worse with social change and population growth.
Discussion Maintaining and improving the quality of life in the Lana'i community will require action on a number of fronts. The major recommendations for action that emerged from the study results included: (1) community-based economic development, (2) enhancement of socio-cultural cohesion, (3) monitoring of social impacts over time, (4) comprehensive social planning, and (5) independent community decision-making. The creation of a Community Development Corporation (CDC) can be the first step towards accomplishing these tasks. An existing group, such as Decisions Lana'i, or a new coalition of community groups could provide leadership in forming a CDC that would facilitate independent decision-making regarding important community issues and negotiate with the Company, county and state agencies, and the legislature for needed resources. The ultimate success of a CDC will be based on a multilateral commitment among these various constituencies. Community-based economic development is a strategy to promote the collective and entrepreneurial interests of residents (Blakely 1989). It provides an alternative to large-scale economic development that is characterized by a top-down, market-driven dynamic. Communities pursue their own development options that typically reflect a unique set of social, economic, historical, and physical characteristics. The CDC's role in economic development will be to examine the viability of economic alternatives to tourism. The CDC will require pre-development resources to hire full-time staff and create a board of directors who would make business investment decisions. In other communities in Hawaii, the initial funding for the CDC was provided by the resort developers. The Company is in a position to support these efforts through the provision of grants and other resources. Suggestions for community-based economic development on Lana'i included small-business development, backyard aquaculture, diversified agriculture, and a cultural park. A feasibility study using criteria such as ideology, resources, survivability, and socio-cultural fit should be conducted to determine the most appropriate forms of alternative economic development for the community. Economic development has often occurred without much consideration given to its socio-cultural effects, and as a result, many community features that are distinct to Hawaii have disappeared. Lana'i will predictably follow the path of
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other communities unless there are efforts to mitigate the negative socio-cultural effects of resort development. Palliative measures that could promote community cohesion and cultural preservation include: (1) cultural orientation programs and materials to promote cultural awareness and sensitivity among newcomers, and (2) an advisory committee on cultural enrichment comprising representatives from existing cultural organizations. Newcomers to Lana'i must make significant efforts to acculturate to existing ways or a considerable amount of community polarization will occur. Socio-cultural continuity will largely depend upon the retention and repatriation of Lana'i's people. With the continued out-migration of young people and the need to recruit a substantial number of off-island workers, change is inevitable. The critical issue is the degree of change that occurs and its impact on the community. Efforts are needed to promote a viable multi-cultural environment while preventing a wholesale change in demography and culture. As the community grows and develops, changes need to be monitored over time. It is imperative to conduct longitudinal studies examining attitudes and perceptions over designated time periods. Social and economic indicator data can also be used to document trends occurring over time. Variables related to economic conditions, demographic trends, crime, health, and mental health should be used to help monitor the impacts of development. The results from this study provide a multitude of baselines by which to monitor changes. These changes will have important planning and service implications (Roberts and Paget 1985; Shera 1981). The provision of health and human services to address existing and future needs is a prerequisite to maintaining the vitality of a community. In terms of human service facilities, programs, and workers, Lana'i has been in a deficit situation for a number of years. These needs will ostensibly escalate with social change and population growth. In this respect, the CDC will be responsible for social planning and monitoring social change on Lana'i. The CDC will need to hire a community service planning coordinator and staff to develop and coordinate comprehensive programs to address those needs. A centralized multi-service agency should provide a wide range of services to Lana'i residents including social service assessment, financial assistance, health and mental health services, etc. The development of referral protocols would serve to improve the efficiency of service delivery. The coordination of services would also enable those involved to identify problem areas and gaps in service delivery and develop ways to resolve them. The agency would be staffed by bicultural and bilingual workers who provide information regarding the nature of social services and assist residents in obtaining them. The CDC's major function is to empower the community by facilitating independent deliberations by community residents rather than respond to Company proposals. The people of the community have historically been placed in a reactive position without opportunities to determine their own course of development. The building of the resorts is a critical juncture in the evolution of
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the community and an opportune time for residents to assume control over areas that have previously been under Company management (Burdge and Robertson 1990). It might also be a powerful antidote to what locals describe as apathy and a general lack of willingness to participate in community affairs.
Lessons Learned To conduct an SIA in a social system as large as a community, one must proceed carefully. This is where some of the literature on consultation can be very helpful. A particularly useful model of consultation vis-h-vis research and evaluation, has been presented by Jacobsen (1974). His model consists of six stages and translated into terminology relevant to the Lanai social impact assessment, these are: (1) entry into the community, (2) relationship building, (3) community assessment, (4) finalization of data collection strategies/agreements, (5) data collection, and (6) analysis, presentation, and termination. The authors devoted much time and effort to the entry and relationship-building stages. Discussions were held with a local advisory committee, key members of the community, and the local media. Local support was sought, and the authors attempted to identify the issues of most importance to the community. As a result of those efforts, additional issues and questions were included in the various questionnaires. It was believed that this would enhance interest in the study and facilitate utilization of the results when they became available (Patton 1986). A local community research coordinator and local interviewers were hired and trained. Progress reports and press releases were provided to the advisory committee and local media as the SIA proceeded and when it was completed, a number of methods were used to disseminate the results. They included a review of the results with the advisory committee, presentation of the results at a town meeting, discussion of the secondary-school results with the teachers, press releases describing the overall findings, the preparation of an executive summary, and a final technical report. In our opinion, the energy that was invested in the "process" aspects of the SIA resulted in a much more relevant, valid, and useful study. This experience also reinforced our view that a community-responsive SIA should include, at a minimum: a thorough understanding of the context of the SIA; procedures to ensure utilization and enhanced validity of the results through indigenization (Maruyama 1974); and a commitment to the perspective that SIA can be a process of community education (Stufflebeam 1975).
Conclusion In Hawaii, a standard SIA typically includes a description of the demographic make-up of the community, and the probable and unavoidable impacts of the development project on the community. SIAs are sometimes considered to be an inaccurate formality because they are commissioned by the developers themselves and are based on future projections that are not actually monitored.
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What has emerged from this process is a relatively biased perspective of impacts that tends to be protected from serious scientific scrutiny. An alternative strategy might include having independent, governmentsponsored SIAs. A State of Hawaii Agency could contract nonaffiliated social scientists to conduct SIAs using appropriate methods for reducing bias. Future studies will also require the development of instruments that are sensitive to the cultural characteristics of the people involved. The indigenization of methodologies will ostensibly lead to more valid results. Secondly, the nature of the topic warrants the solicitation of expert opinions from various interest groups. Investigators can strive for increased validity through the pooling of observations gained from different vantage points (Ball 1977). Single methods, such as random sample surveys of the community, can be problematic because respondents selected this way may be comparatively less informed or possess attitudes that are highly influenced by the mass media and the most powerful lobby groups. Third, it is imperative to conduct longitudinal studies to examine conditions, attitudes and perceptions over designated time periods (Krawetz, MacDonald, and Nichols 1987). Social and economic indicator data can also be used to chart trends occurring over time. Variables related to economic conditions, demographic trends, crime, and health and mental health can be used to help monitor the impacts of development. Finally, it is important to identify and document resorts that serve as exemplary models for social, cultural, and environmental sensitivity. Future research designs could use multiple case studies to investigate the effectiveness of mitigation efforts. An inventory of successful mitigations would be an invaluable resource. The human aspects of land development and social change have long been ignored by developers and politicians. A critical analysis of the social ramifications of current and future projects may prevent the further debasement of culture and lifeways or at least allow decision-makers to deliberate more responsibly. Alternative strategies for appropriate mitigation might include: (1) contractual requirements vis-h-vis job training for indigenous people and other ethnic minorities at levels other than menial labor; (2) the establishment of a state task force on economic diversification; (3) the promotion of community-based economic development projects; (4) major fines issued to resorts for noncompliance to be paid into community economic development projects; and (5) a social services impact tax on development projects to assist with the "prevention" of projected negative social costs. The systematic study of the impacts of resort development in Hawaii is in its infancy. The development and reformulation of theories and models is an important step in moving towards a better understanding of this phenomenon (Ap 1990). Theoretical knowledge can contribute to responsible planning and effective mitigation. Too often in the past, decisions have been made without the consent of many of Hawaii's residents and a great deal of research and culturally sensitive policy development are needed to rectify the situation.
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Rohe, W.M. 1982. Social impact analysis and the planning process in the United States. Town Planning Review 53:367-382. Scudder, R.U. EIS Handbook for Hawaii. Honolulu: Department of Planning and Economic Development. 1979. Shera, W. Social impact assessment and human services planning. In F. Tester and B. Mykes (eds.), Social Impact Assessment: Theory, Method and Practice. Calgary: Detselig Enterprises Ltd. 1981. pp. 316-326. Stufflebeam, D.L. 1975. Evaluation as a community education process. Community Education Journal 8:7-19.