United StatesDepartment ofAgriculture

Forest Service

SouthernResearch Station

General TechnicalReport SRS–65

A Human Dimensions Framework:Guidelines for ConductingSocial Assessments

Alan D. Bright, H. Ken Cordell, Anne P. Hoover, andMichael A. Tarrant

SustainableEcosystems

Physical Human

Biological

Jennifer D. Knoepp, Research Soil Scientist, andJames M. Vose, Project Leader, U.S. Department ofAgriculture, Forest Service, Southern Research Station,Coweeta Hydrologic Laboratory, 3160 Coweeta Lab Road,Otto, NC 28763.

The Authors:

Alan D. Bright, Associate Professor, Department of Natural ResourceRecreation and Tourism, Colorado State University, Ft. Collins, CO80523-1874; H. Ken Cordell, Project Leader, Recreation, Wilderness,Urban Forestry, and Demographic Trends Research, USDA ForestService, Athens, GA 30602-2044; Anne P. Hoover, National ProgramLeader, Social Science Research, USDA Forest Service, Washington, DC22209; and Michael A. Tarrant, Associate Professor, Warnell School ofForest Resources, University of Georgia, Athens, GA 30602-6555.

June 2003

Southern Research StationP.O. Box 2680

Asheville, NC 28802

Abstract

This paper provides a framework and guidelines for identifying and organizing human dimensioninformation for use in forest planning. It synthesizes concepts from a variety of social sciencedisciplines and connects them with measurable indicators for use in analysis and reporting.Suggestions of analytical approaches and sources of data for employment of the identified socialindicators are provided.

Keywords: Forest planning, human dimensions, social indicators.

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A Human Dimensions Framework:Guidelines for Conducting Social Assessments

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Table of ContentsPage

Introduction ........................................................................................................................................................................ 1

Part I: The Need for and Development of the Human Dimensions Framework ................................... 3

Chapter 1: Human Dimensions in Ecosystem Management: Needs, Guiding Principles, and Definitions ............ 5Toward Developing a Human Dimensions Framework .................................................................................................. 5Applications of Social Science Information ................................................................................................................... 5Advancements in Social Science Research Methods ..................................................................................................... 6Guiding Principles for an Human Dimensions Framework ........................................................................................... 6The Role of Social Sciences in Land Management Planning ......................................................................................... 7Using Information from Multiple Social Science Disciplines ........................................................................................ 8The Organizational Role of an Human Dimensions Framework ................................................................................... 8The Nature of Ecosystems .............................................................................................................................................. 9Ecosystem Management ................................................................................................................................................. 9Definition and Principles of Ecosystem Management .................................................................................................... 9Human Dimensions in Ecosystem Management ............................................................................................................ 10Societal Trends Toward a Human Dimension in Ecosystem Management .................................................................... 10What is Meant by Human Dimensions Information ....................................................................................................... 12Benefits of Collecting Social Information ...................................................................................................................... 12Integrating Social Information into Ecosystem Management......................................................................................... 12Integrated Planning and Land Management ................................................................................................................... 13How Can Integration be Achieved .................................................................................................................................. 13Using Stakeholder Input into Ecosystem Management .................................................................................................. 14

Chapter 2: The Role of Social Assessment in Integrating Human Dimensions Information .................................... 15The Nature of Social Assessments .................................................................................................................................. 15Social Assessment ........................................................................................................................................................... 15The Role of Social Assessment in Integration ................................................................................................................ 16The Importance of Scale in Social Assessment .............................................................................................................. 16The Process of Conducting Social Assessments ............................................................................................................ 18

Chapter 3: The Human Dimensions Framework: Determining Relevant Characteristicsof the Social Environment ................................................................................................................................................ 21

The Human Dimensions Framework .............................................................................................................................. 21Using the Human Dimensions Framework ..................................................................................................................... 21The Human Dimensions Framework for Guiding Assessments ..................................................................................... 22Indicators of Social Dimensions and Concepts in Social Assessment ........................................................................... 25Social Indicators and Their Role in Ecosystem Management ........................................................................................ 25Criteria for the Appropriate Use of Social Indicators ..................................................................................................... 25Perceptual Indicators and Their Role in Ecosystem Management ................................................................................. 26Specifying the Information: Identifying and Measuring Human Dimensions Framework

(Dimensions, Concepts, and Indicators) ..................................................................................................................... 26Dimension I—Historical Background ............................................................................................................................ 27Dimension II—Population Characteristics ..................................................................................................................... 27Dimension III—Community Resources ......................................................................................................................... 28Dimension IV—Social Organization Structures and Processes ..................................................................................... 29Dimension V—Public Perceptions and Well-Being ....................................................................................................... 31

Part II: Data Collection ................................................................................................................................................ 33

Chapter 4: Collection and Use of Secondary Documentary and Historical Data ..................................................... 35The Identification and Collection of Secondary Documentary Data ............................................................................. 35Sources of Secondary Documentary Data ...................................................................................................................... 35

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Conducting a Literature Search from Previous Research ............................................................................................... 39Advantages and Disadvantages of Secondary Data ........................................................................................................ 40A World Wide Web Tool for Collecting Secondary Information .................................................................................... 40

Chapter 5: Developing and Administering Survey Research ...................................................................................... 41Factors Affecting the Survey Method Decision ............................................................................................................. 41Sampling ......................................................................................................................................................................... 41Type of Population .......................................................................................................................................................... 41Question Structure .......................................................................................................................................................... 41Organizing the Survey .................................................................................................................................................... 43Pretesting the Survey ...................................................................................................................................................... 43Desired Response Rates .................................................................................................................................................. 43Costs of Survey Administration ...................................................................................................................................... 44Available Facilities .......................................................................................................................................................... 44Length of Data Collection ............................................................................................................................................... 44Description of Survey Methodologies ............................................................................................................................ 44Comparing Self-Administered Surveys, Telephone Surveys, and Personal Interviews ................................................. 47Bibliography for Conducting Survey Research .............................................................................................................. 48

Chapter 6: Developing and Administering Group Interviews ...................................................................................... 49Brainstorming ................................................................................................................................................................. 49Consensus-Building Techniques ..................................................................................................................................... 49The Nominal Group Technique ...................................................................................................................................... 49The Delphi Technique ..................................................................................................................................................... 49Natural and Formal Field Interviews .............................................................................................................................. 49Focus-Group Interviews ................................................................................................................................................. 50Use of the Focus-Group Interview ................................................................................................................................. 50When to Use and Not to Use a Focus-Group Interview ................................................................................................. 50Preparing for a Focus-Group Interview .......................................................................................................................... 51Steps for Conducting a Focus-Group Interview ............................................................................................................. 52Bibliography for Conducting Group Interviews ............................................................................................................. 53

Chapter 7: Selecting a Sample of Respondents from the Population .......................................................................... 55Probability Samples ........................................................................................................................................................ 55Probability Sampling Procedures .................................................................................................................................... 56Nonprobability Samples ................................................................................................................................................. 56Nonprobability Sampling Procedures ............................................................................................................................. 56

References ............................................................................................................................................................................... 59

Appendix: Description of Dimensions, Concepts, and Indicators .................................................................................... 61

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Introduction

On April 8 through 10, 1997, a workshop focusing on theneed for improved human dimensions information forecosystem management and, more specifically, for U.S.Department of Agriculture, Forest Service (Forest Service)planning processes, was held in Salt Lake City, UT. Theworkshop brought together social scientists from a variety ofacademic disciplines and research social scientists fromwithin the Forest Service, its regional offices and nationalforests, and its State and Private Forestry branch ofoperations, to discuss social science applications. Academicdisciplines represented at the workshop included socialpsychology, environmental psychology, rural sociology,resource economics, anthropology, archaeology, politicalscience, geographic information systems, ecology, socialecology, history, and landscape architecture. Discussion andideas generated there resulted in the development of thispublication.

Our purpose in writing these guidelines is twofold. First, itpresents a framework for identifying and organizing humandimensions information—the human dimensions framework(HDF). The HDF brings together concepts from a variety ofsocial science disciplines, categorizes them into basic socialdimensions, and connects the concepts with measurableindicators designed to represent those concepts. Secondly, itprovides guidance in use of the HDF. A variety ofapproaches have been developed to aid land managers incollecting and using human dimensions information. Theseguidelines focus on one of those approaches, the socialassessment. A social assessment has been defined (BitterrootSocial Research Institute 1994) as:

. . . a method of data collection and analysis used togenerate information about (1) social structure, (2)social processes, and (3) the social changes beingwrought in given social structure(s) and process(es).

A variety of methods and tools for collecting socialassessment information are available. The HDF connectsconcepts and indicators from the social sciences withappropriate methods for collecting relevant data. It includesconsideration of primary data such as information about thevalues and perceptions of local community residents, whichcan be gathered by means of various types of surveys as wellas personal and group interviews. It also includes secondarydata such as historical records about a community or region,including sociodemographic and socioeconomiccharacteristics. Historical data are available in the form ofinterviews with residents, newspaper archives, and historicaldocuments found in libraries or similar depositories.Sociodemographic and socioeconomic data are availablefrom the U.S. Bureau of the Census and other repositories ofstatistical information.

How one uses this document will depend on the purpose fordoing a social assessment. Its effective use will not requirean individual to read this document from beginning to end.There are two parts, written logically to follow one another;but, users are encouraged to move directly to the part orchapter most relevant to them.

Part I is presented in three chapters, and it discusses thenature of ecosystems and their management, the ultimaterole of social assessments in ecosystem management, and aframework for examining the human dimension ofecosystems. Chapter 1 discusses the nature of ecosystems,ecosystem management, and the role of human dimensionsin ecosystem management. It also reviews some currentthinking on the integration of human dimensions with theecosystem planning process. Chapter 2 describes socialassessments, their role in the integration of humandimensions information; the importance of the spatial,social, and temporal scales of analysis; and a description of ageneral process for conducting a social assessment. Chapter3 presents the HDF in the form of a matrix of socialdimensions, concepts, and indicators. Following a briefdescription of the HDF, chapter 3 explores the steps takenwhen conducting a social assessment and discusses the needto establish purpose and scope. In addition, it examinescharacteristics of the social environment that are relevant toa social assessment within the context of the HDF andincludes an outline of the types of information that should begathered (social and perceptual indicators). Chapter 3 alsoincludes a description of social dimensions and their relevantconcepts and indicators identified in the HDF.

Part II describes the collection of data necessary whenconducting a social assessment under the HDF and isorganized into four chapters. Chapter 4 describes thecollection and use of secondary documentary and historicaldata. Chapter 5 describes the development andadministration of survey research. Chapter 6 describes thedevelopment and administration of group interviews; andchapter 7 briefly discusses sampling issues. Part II isintended to introduce readers to basic techniques forcollecting social information, not to replace the significantamount of time and experience that trained social scientistsdevote to learning their work. When a social assessment of aregion or community is being considered, we highlyrecommend that forest planners consult with their regionaloffice social science coordinator or other social scientistsabout the most appropriate methods for conducting variousaspects of their assessment.

The target audience of Part II includes forest planners,interdisciplinary team leaders, or other individuals who are

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responsible for conducting a social assessment for a forestregion, community, or other level of interest. Although noknowledge of social science methods is necessary, trainingor experience, or both, in the social sciences will enhancethe manager’s ability to apply the presented informationdirectly to a social assessment.

Performance and learning objectives focus on what themanager will gain from information about social sciencemethods. The information presented will enable the managerto

1. Contribute to the process of making decisions aboutwhat type of data collection method is appropriate forvarious types of social assessments.

2. Participate in the data collection process.

3. Consult a bibliographic listing of additional publicationsproviding additional information about data collectiontechniques. In addition to these citations, the manager isencouraged to consult a regional social sciencecoordinator or other available social scientists about themost appropriate method.

This paper describes a framework and system tested in thelate 1990s. It explores concepts that may be useful indeveloping practical new systems of social science research.

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Part I

The Need for and Development ofthe Human Dimensions Framework

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Chapter 1

Human Dimensions in Ecosystem Management:Needs, Guiding Principles, and Definitions

This chapter discusses the need for and use of humandimensions information in forest planning—one of theprocesses of ecosystem management. It describes howhuman dimensions needs were identified and principlesdeveloped in a workshop setting. It considers the nature ofecosystems, the practices followed in ecosystemmanagement, and the integration of human dimensionsinformation into ecosystem management.

Toward Developing a Human DimensionsFramework

On April 8 through 10, 1997, U.S. Department ofAgriculture, Forest Service (Forest Service) officials held aworkshop focusing on the need for improved humandimensions information in land management planning. Heldin Salt Lake City, UT, this workshop brought together socialscientists from a variety of academic disciplines, ForestService research social scientists, and a full complement offorest management and extension specialists fromthroughout the agency. Represented academic disciplinesincluded social psychology, environmental psychology, ruralsociology, resource economics, anthropology, archaeology,political science, geographic information systems (GIS),ecology, social ecology, history, and landscape architecture.The workshop’s purpose was to facilitate discussions ofhuman dimensions information as germane to responsiblemanagement of public resources and to develop a frameworkthat will aid planners in integrating such information intoregional assessments, project planning, and policy analysis.Over the course of that workshop, participants identified avariety of needs as well as the roles that social scientists canplay in answering those needs. Although workshopparticipants identified a significant number of items wherecurrent forest planning efforts are not making sufficient useof human dimensions information, the most prevalentconcerns focused on the nature of efforts to apply socialscience to planning and decisionmaking and advancementsin the methods of social science research. The needsdescribed here are not exhaustive; however, they representthe tenor of workshop discussions about what is necessary indeveloping an effective human dimensions framework.

Applications of Social Science Information

Workshop participants identified and discussed five needspertaining to the use of social science in Forest Serviceplanning and policy development:

1. To synthesize human dimensions analysis

2. To recognize the public as an equal partner in naturalresource management

3. To recognize and accept that diverse resource valuesmust be considered in managing ecosystems

4. To connect social science theory with practicalapplications of forest planning

5. To promote effective resource stewardship onnonindustrial private forest, rural, and urban lands

Need 1

After much discussion, participants agreed that forestplanning must synthesize human dimensions analysis in twodistinct but equally important ways. First, social science datamust be linked to biological and physical scienceinformation if the planner is to recognize the complex,interactive role that humans play in natural systems. Second,the planner must use information from a number of socialscience disciplines in the planning process to obtain thebroadest possible perspective of human interaction with thenatural world. Such synthesis will tell a more comprehensivestory than has been told about the effects of policies andpractices within a region.

Need 2

Forest Service managers at every level of agency activity arebetter understanding the need to move away from expert-based decisionmaking and towards the sharing of roles,power, and knowledge. Our public partners’ lives continue tobe influenced both directly and indirectly by efforts to sustainecosystems whose functions are vital to stakeholders.Ecosystem management must, therefore, be a collaborativeprocess that invites input from and involvement with allstakeholders. To facilitate such collaboration, we need to takesteps that will ensure knowledge-based public participation.

Need 3

For decades, many have noticed that nonmarket valuesrelated to recreation, science, culture, and aesthetics are justas important as traditional, market-based values. As a result,conflicts are common among competing interests, and thevalues of different stakeholder groups are continuouslychanging. A shift to focus more on the importance of suchvalues in forest management may help the manager toidentify policy directions that benefit both natural resourcesand humans.

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Need 4

Human dimensions information from a variety of earlierresearch has lessened the need to replicate studies and hasinvited a more complete understanding of complex socialissues. However, human dimensions information gatheredfrom social science inventory techniques is practicallyuseless if it is not applicable to the geographic area beingconsidered. Operationally, an HDF may best be limited tothe scope and scale applicable to a national forest plan or alandscape assessment.

Need 5

Forest Service State and Private Forestry officials mustfocus their attention on community stewardship in forest-dependent rural areas. Collaborative and integratedcommunity and resource stewardship is key to expandingany program of outreach education and informationdissemination, as well as in the development of communitystewardship indicators.

Advancements in Social Science ResearchMethods

In addition, to advance the usefulness of human dimensionsinformation in forest planning, we identified five needs thatcan be met using current research methods, or methods yetto be developed

• Training of Forest Service personnel to gather humandimensions information

• Methods for continuous monitoring of the socialenvironment

• Effective integration of present and future methodologies

• A comprehensive database of case studies showingsuccessful application of social science methodologies

• A guide that provides information about the socialassessment process

Need 6

Although the technical expertise is primarily within thepurview of social scientists, forest planners familiar with theHDF concept will understand the processes by which socialinformation is identified, collected, and analyzed. Suchunderstanding will enable the planner to take a moreinformed and active role in the collection, analysis, andintegration of human dimensions information.

Need 7

Over time, human values are continually changing asdemographics shift both within and among regions. Thesocial assessment can be an effective tool for tracking such

changes and ensuring that decisions consider current socialconditions. In addition, long-term data collection will allowongoing analysis of a region’s changing social environment.

Need 8

There are extensively tested methods for gathering socialinformation, and each is effective in obtaining and analyzinga variety of data types. A complete social assessment willhave considered information collected by a variety ofmethods, thereby allowing a more comprehensive andcorroborating analysis of the social environment in spaceand time.

Need 9

Related to the need for integrating current and futuremethodologies is a need to identify completed case studiesor assessments. Identification of successful and unsuccessfulaspects of their use in earlier forest planning efforts willserve as valuable and useful lessons. Learning fromdocumented experience will lead to continuing improvementin the collection and integration of social information.

Need 10

Several comprehensive social assessments have beenconducted at the ecoregion level. However, managers alsohave identified the need for social assessments at smallerscales; e.g., the community level. Forest Service personnel inrural or urban communities have opportunities to play anactive role, if not a lead role, in conducting suchassessments. On-site personnel usually have greaterknowledge of connections among planning issues and thesocial environment of an area, which allows them to makerealistic and sensitive recommendations for managementactivities and gives them an improved ability to implementrecommendations. Because few forest planners have a socialscience background, a guide to the nature of socialassessment and the appropriate scope or scale of geographicanalysis would allow them to take a more active role. Suchlocal involvement does not preclude the need for trainedsocial scientists, but a more active role by local plannerswould help ensure that issues unique to the area, and mostlikely understood best by those who work and live there, areadequately addressed.

Guiding Principles for a Human DimensionsFramework

Doing a better job of including social information within thedecision-making processes may ultimately be the drivingforce behind successful application of the Forest Servicemission of collaborative stewardship. It can help give voiceto a broad range of potential stakeholders and invite them

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into the planning process. Such an approach recognizes theimportance of cultural diversity and the value of differingpublic views and attitudes. Done effectively, the socialassessment explores not only how humans affect resources,but also how resource management affects humans.

Many types of social information are useful in making acomprehensive social assessment. Similarly, a wide array ofmethods is available for gathering such information.Generally, attempts to understand the social environmentwithin a geographic region using unnecessary, limitedinformation or methods will lead to inadequate andinaccurate estimates of the social climate. An HDF shouldbe built from a social assessment that considers and uses allrelevant information types and methods. It should provideguidance on how that information will increaseunderstanding and guide forest management decisions.

For an HDF to be responsive to Forest Service socialassessment needs, as well as the needs of an individualnational forest, it should be composed according tofundamental principles that provide consistency across alllevels of analysis. In conceptualizing the HDF, we identified10 key principles.

Guiding principles for a human dimensions framework:

Principle 1. A prerequisite for integrating humandimensions information with biophysicalinformation in ecosystem management is anunderstanding of the social environment of theaffected region.

Principle 2. A social assessment should includeinformation that is representative of allconstituencies that have an interest or stake inthe area or region.

Principle 3. The collection and analysis of socialinformation should be a collaborative effort offorest planners and all potential stakeholders.

Principle 4. The social assessment should provide both anhistorical and a current description of thesocial environment and include predictions offuture trends.

Principle 5. Information from diverse social sciencedisciplines should be integrated in ways thatallow the planner to explore the full extent ofsocial conditions.

Principle 6. A variety of data sources, types, andcollection methods should be used tosynthesize social information.

Principle 7. Social information should illustrate theconnections among theory, research, andpractical managerial applications.

Principle 8. An HDF should be built from socialinformation collected and analyzed onmultiple scales.

Principle 9. An HDF should show the connections amongspecific social concepts, their relevantindicators, and agreed upon principles andguidelines.

Principle 10. An HDF should clearly show the relationshipsamong resource issues, social assessmentquestions, and social science concepts andindicators.

These principles address several concerns, includingidentification of the role of social science information inForest Service planning, the need to use information frommultiple social science disciplines, and the special qualitiesan HDF must have to organize the information effectively.

The Role of Social Sciences inLand Management Planning

Principles 1 through 4 address the basic role of socialsciences in Forest Service planning, policy, and decision-making processes.

Principle 1

Information collected by social science research is gatheredfrom a variety of interrelated sources. These data sourcescover the social and cultural units of a region; itsdemographics, economic structures, market forces,technology, political institutions; and the values andbehaviors of stakeholders and other interested publics.Given the complex array of important social informationavailable, it should be possible to thoroughly understand allaspects of the social environment that are relevant to specificecosystem management planning issues.

Principle 2

This involves ensuring that individuals in all public sectors,not just those who happen to live in the local community, arerecognized as stakeholders. Ecosystem management meansdifferent things to different people, and there is a growingdiversity of people with a stake in how public resources aremanaged.

Principle 3

Ensuring the usefulness of social assessment in appliedecosystem management requires a clear understanding ofresource challenges and policy issues. Stakeholders should beinvolved early in the process and make collaborative effortsto understand important problems and policies. Social science

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is not decision-making; rather, it provides input for decision-making. All resource management decisions are inherentlysocial and fundamentally political. Turning all issues intotechnical problems to be solved by a few biophysicalscientists and forest planners is no longer a viable option.

Principle 4

The sociodemographic and socioeconomic character of ageographic region, as well as the attitudes and values ofstakeholders there, may not be stable; over time they maychange. Historical analysis of a social environment willprovide clues to that character. In turn, an historical analysisalso may provide insight to future issues.

Using Information from Multiple SocialScience Disciplines

Principles 5 through 7 speak to the importance ofincorporating social assessment indicators drawn from avariety of social science disciplines.

Principle 5

To understand the human dimension of ecosystems, theplanner will need information from a variety of socialscience disciplines. The practice of ecosystem managementmust be consistent with the dynamics of human society andmindful of the effects humans have on the natural world.Participants in the social assessment may includepsychologists, sociologists, economists, anthropologists,archaeologists, political scientists, geographic informationsystems (GIS) technologists, ecologists, historians,landscape architects, and others.

Principle 6

An effective synthesis of social information from the work ofvarious social science disciplines requires the recognitionthat not all sociocultural information can be expressed indocuments and databases. A variety of information sourcesshould be explored. Both secondary and primary data will benecessary. In addition, both quantitative and qualitative datamay be relevant to the analysis; e.g., quantitative indicatorsmay not provide sufficient information about the politicalsensitivity of an issue, including which agencies and interestgroups are involved. Qualitative data are necessary for acomprehensive analysis of the political environment. Finally,social information should include data from both new andproven collection methods. It may be helpful to formallycatalogue successful case studies and develop a system forproviding planners and managers with access to the data. Byusing various sources, types, and methods of data collection,the planner will be able to share with stakeholders thehistorical and current social contexts in which ecosystemmanagement policies are established.

Principle 7

Often, stakeholders point to a perceived chasm betweentheoretical research and the ability to respond to actualneeds identified by on-site managers and planners.Appropriate use of scientific data entails the communicationof practical human dimensions information that will improvea manager’s understanding of the social environment andlead him or her to better decision-making.

The Organizational Role of a HumanDimensions Framework

Principles 8 through 10 address the extent to which an HDFcan organize social information and provide methods forgathering that information.

Principle 8

Biophysical scientists have developed a mapable,hierarchical classification of natural ecological units tofacilitate the study of ecosystem functions. Such unitsconsider similar patterns in physical features including soils,landform and topography, and climate. Ecosystemmanagement must consider multiple scales—from large-areaecoregions to natural drainages and smaller areas. Toaccount for similar, multilevel social environments, socialscientists have developed a hierarchical means of assessingsocial conditions. In addition, the multiple social scalesrelevant to ecosystem management must consider thetemporal dimension or recognize that human values andsocial conditions change over time. Social scientists say thatwithin an HDF we can find guidelines for assessing thesocial environment in terms of trends across all relevantspatial and temporal scales.

Principle 9

Broad principles and guidelines facilitate managementconsistency across regions and over time, in that managersuse a common means of data collection and processing whenconducting individual assessments. Although there is notalways a single correct interpretation of social or culturaldata, or both, if social science concepts and their indicatorsare to be relevant, they should reflect a system of principlesand guidelines generally agreed upon by various potentialusers and scientists; and they should focus on stated goals,strategic priorities, and desired outcomes.

Principle 10

In the context of ecosystem management, land managementplanning should begin with identification of importantquestions. To be most applicable to planning processes, anHDF should clearly show the connections between general

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issues and relevant questions. Social science concepts andindicators relevant to the assessment also should beidentified and connected to real issues and problems.

The Nature of Ecosystems

According to documents written for the Interior ColumbiaBasin Ecosystem Management Project (ICBEMP) in thePacific Northwest, ecosystems are:

places where all plants, animals, soils, waters, climate,people, and processes of life interact as a whole. Theymay be small, such as a rotting log, or large, such as anentire continent; smaller ecosystems are subsets oflarger ones. All ecosystems have flows of things—organisms, energy, water, air, nutrients—movingamong them. Ecosystems change over space and time,so it is not possible to draw a line around an ecosystemand try to keep it the same. Instead, managingecosystems means understanding and working with theprocesses that cause ecosystems to vary and to change(Quigley and others 1996, p. 18).

Within this description, the authors intimate several importantconcepts (ICBEMP 1996). First, ecosystems are dynamic,evolutionary, and resilient. Current conditions have resultedfrom both natural and human historical events. They areconstantly and naturally evolving in response to fire andfloods, landslides and volcanic eruptions, shifts in climate, andother natural occurrences. Second, the links that exist withinand among ecosystems can (and should) be studied at a varietyof scales. Ecosystems may be small, but they ultimately aresubsets of larger systems. It is important to recognizemultilevel organization when trying to understand the dynamicnature of ecosystems. Third, ecosystems have biophysical,economic, and social limits. Given the evolving nature ofecosystems and the environmental elements that support them,human benefits ultimately are limited by the ecosystem’sability to meet human demands. Finally, we are limited in theextent to which we can predict changes in ecosystems. Thewide variety of assumptions and uncertainties inherent inpredicting ecosystems changes makes even the mostsophisticated modeling approaches little more than educatedguesses about how ecosystems will change over time.

Ecosystem Management

The dynamic, complex, limited, and uncertain nature ofecosystems and of human interactions with them have raisedcomplex issues for those who are charged with managingthem. Concerns about long-term sustainability have led landmanagers to adopt ecosystem management as a philosophyand guiding principle. Concerns have become so pervasivethat at least 18 Federal agencies are now committed to thepractice of ecosystem management (Morrissey and others1994).

Definition and Principles of EcosystemManagement

Definitions of Ecosystem Management

While there is no common, universal definition of ecosystemmanagement, the following are some definitions that havebeen offered:

• The careful and skillful use of ecological, economic,social, and managerial principles in managing land andresources (ecosystems) to produce, restore, or sustainecosystem integrity and desired conditions, uses, products,values, and services over the long term (Overbay 1992).

• The strategy by which the full array of forest values andfunctions, in aggregate, is maintained at the landscapelevel. Coordinated management at the landscape level,including across ownerships, is an essential component(Society of American Foresters 1993).

• A strategy or plan to manage ecosystems for all associatedorganisms, as opposed to a strategy or plan for managingindividual species (Forest Ecosystem Management Team1993).

• The optimum integration of societal values andexpectations, ecological potentials, and economic plustechnological considerations (Everett and others 1994).

• A resource management system designed to maintain orenhance ecosystem health and productivity whileproducing essential commodities and other values to meethuman needs and desires within the limits of socially,biologically, and economically acceptable risk (Berg andothers 1993).

• Integrating scientific knowledge of ecologicalrelationships within a complex sociopolitical and valuesframework toward the general goal of protecting nativeecosystem integrity over the long term (Grumbine 1994).

• Integration of ecological, economic, and social principlesto manage biological and physical systems in a mannerthat safeguards the ecological sustainability, naturaldiversity, and productivity of the landscape (Wood1994).

• A collaborative process that strives to reconcile thepromotion of economic opportunities and livablecommunities with the conservation of ecological integrityand biodiversity (Keystone Center 1996).

• Multiple-use management that integrates the needs ofpeople with environmental values in such a way that thenational forests and grasslands are maintained over time asdiverse, productive, and sustained ecosystems (Driver andothers 1996).

Whichever definition one may adopt, each shares thecommon theme of maintaining healthy ecological conditionswhile sustaining the production of those natural resources towhich humans assign value.

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Principles of Ecosystem Management

In a review of literature in the areas of conservation biology,ecosystem management, environmental management,adaptive management, and other areas, the authors identifiedseveral common principles of ecosystem management(Cortner and others 1996, Moote and others 1994)

• The first principle called for socially defined goals andmanagement objectives. Goals and objectives should bestated explicitly in terms of desired future conditions andbehaviors, rather than on deliverables like board feet oftimber, total catch of fish, or recreation visitor days(Ecological Society of America 1996). However, theprimary thrust of this principle is that such goals should besocially defined. Ecosystem management as described inthe publication and the process of identifying desiredfuture conditions ultimately reflects social values.

• The second principle calls for an integrated, holistic viewof the function and structure of ecosystems. We recognizeecosystems as complex, dynamic systems of interrelatedcomponents that include social, political, economic,biological, and physical features. In any such system, thehuman species not only challenges sustainability, but alsocan play an important role in achieving it.

• The third principle calls on the manager to considerbroader spatial and temporal scales during the analysisprocess. The appropriate scale should be determined foreach ecosystem, based to a large degree on societal valuesand goals. However, increasing understanding of the scaleof ecological processes at the genetic, species, andecosystem levels requires reconciliation of both spatialand temporal scales (Ecological Society of America1996). When considering spatial scales, the manager mustrecognize a number of ecological, political, generational,and ownership boundaries that may be relevant to long-term management of the resources (Cortner and others1996). In addition, while management agencies must makeshort-term decisions; e.g., on a fiscal year basis,ecosystem management practices will be framed on timescales that reach beyond any human lifetime. The need formaking short-term decisions within the context of long-term planning and commitment is of paramountimportance (Ecological Society of America 1996).

• The fourth principle calls for collaborativedecisionmaking. It asks the manager to recognize the needfor input from a variety of individuals, agencies, andorganizations. Considering the interests of all stakeholdersrequires open lines of communication and the continuingcollaboration of social and biological scientists, landmanagement agencies, and private interest groups.

• The fifth principle emphasizes the need for institutions tobe adaptable to shifting social values and perceptions, aswell as ecosystem components. Land managementagencies, as well as the laws, policies, and managementpractices that govern land and resource uses, need to

reflect changes in social values, environmental conditions,political pressures, available data, and knowledge (Cortnerand others 1996). Similarly, social and biologicalscientists must consider a growing body of knowledge thatchanges—sometimes fundamentally—our understandingof ecosystem function and integrity. Management goalsand strategies should be considered hypotheses that arecontinuously tested through monitoring. Using objectivemeasures, the manager conducts monitoring progress tocompare baseline with desired conditions, recognizinghuman limitations. Conventional management practicesmay be shown to affect the function and intensity of acomplex ecosystem in unknown ways (Ecological Societyof America 1996, Likens 1992).

These principles urge the land manager to view possibilitiesof ecosystem management as the worthy goal of maintaininghealthy biological ecosystems. Effective ecosystemmanagement is as much a social (Forest EcosystemManagement Team 1993) and political process (Cortner andMoote 1992) as it is a scientific process.

Human Dimensions in Ecosystem Management

In the ICBEMP, biophysical and social scientists presented ageneral planning model for ecosystem management (Quigleyand others 1996). The described four primary activities are:

• Assessments of stakeholders and their questions aboutbiophysical, social, and economic situations; potentialtradeoffs and limitations; future conditions; and theelement of risk

• Decisions regarding management goals in light ofmanagement alternatives, likely impacts of alternatives;preferred alternatives, and the selected alternative

• Implementation of decisions on the ground throughestablished partnerships, publicity and participation plans,and adaptive management

• Monitoring biophysical outcomes, social and economicoutcomes, and societal values and goals

As do other strategic models, this general planning modelencourages monitoring throughout the planning process,which will allow the manager to make adjustmentsconsistent with a changing environment. It emphasizes theinclusion of more than just biophysical information at allstages of the planning and management process.

Societal Trends Toward a Human Dimension inEcosystem Management

The principles of ecosystem management and the ICBEMPgeneral planning model expand on a long-established viewof how America should manage her natural resources.

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Traditionally, decisionmakers relied almost exclusively oninformation provided by resource managers with expertise inthe biological and physical sciences. Political powerregarding management of our natural resources was largelyin the hands of land management agencies and industry.Recently, however, there has been a shift in philosophyabout how land and resource management should proceed.Over the last four decades, this shift has led to passage ofseveral Federal laws that have (a) expanded the view ofnatural resource management as a commodity-producingenterprise to one that recognizes a broader set of humanvalues related to the resources; e.g., the Wilderness Act of1964, the Wild and Scenic Rivers Act of 1968, and theEndangered Species Act of 1973; (b) directly consideredhuman welfare as a condition of the overall naturalenvironment; e.g., the Clear Air and Clean Water Acts; and(c) encouraged, and, in some cases, required publicinvolvement in the planning process; e.g., NationalEnvironmental Protection Act of 1969, the National ForestManagement Act of 1976.

Statutory action is only one way that changes in land andresource management practices are made. Social trends havebecome bellwethers of change, too. People want to knowwho has the authority to make decisions that affectAmerica’s natural resources; and their questions have raisedthe political stake of ecosystem management considerably.While Federal resource managers who have decision-makingresponsibilities represent all Americans, a growing numberof citizens, special-interest groups, and others want a say inhow our public lands and resources are managed. Thispower shift is evident to both agency managers and theconstituent groups they serve.

External Social Factors

The need for human dimensions information has resultedfrom a growing diversity of values relevant to naturalresource management. While inherently social, all suchvalues represent widely divergent interests in managementoutcomes. Stankey and Clark (1992) identify several suchinterests. In the past, management of ecosystem componentsfocused on forest and rangeland commodities; i.e., the valueof timber, range, and minerals. With their role in marketexchanges, commodity values were easily measured—monetarily. The public now is placing more importance onthose values not so easily measured, including:

• Amenities found in lifestyle, scenery, wildlife, and nature

• Air and water quality

• Habitat conservation, sustainability, threatened andendangered species protection, and biodiversity

• Public uses such as subsistence, recreation, and tourism

• Spiritual renewal

In response to the vast amount of information now availableabout the finite and fragile nature of the global resource base,

the public is increasingly attentive to management issues.Their concern, combined with the increasing importance ofnoncommodity values, has fostered both a desire and anexpectation of greater public participation in natural resourcemanagement. In turn, greater public participation hasspawned a proliferation of interest groups, each with its ownvision of appropriate uses of the world’s natural resources.

Such increased public attention has fostered a reluctance toaccept ecosystem management expertise. While scientistsand managers know how to grow trees, manage fish andwildlife populations, fight forest fires, and stabilizewatersheds, they have less experience in and knowledge ofmanaging human constituencies. A growing number oflawsuits about management practices challenge the manager-as-expert paradigm that drove the machinery ofpolicymaking for nearly a century.

An overriding social trend inextricably linking humans to thenatural resources on which they depend has heightenedpublic interest in ecosystem management—more clearly nowthan in many generations. For most of the 20th century, thenatural resource professions seemed to place humans outsideof and apart from natural ecosystems. Our species was seeneither as accidental victim or beneficiary of the natural orpreordained rule of the natural world.

Internal Social Factors

While external factors have had significant effects on thedynamics of natural systems, changing attitudes within theland management agencies also has fueled the engine ofchange. For example, some employees within the ForestService have begun to challenge traditional resourcemanagement. In surveys by the Association of Forest ServiceEmployees for Environmental Ethics, a natural resourcephilosophy that emphasizes ecosystem protection overcommodity production has become increasingly prominent(Brown and Harris 1992).

In a survey of 54 natural resource professionals, Schlagerand Freimund (1997) identified barriers to implementingecosystem management. The most common one wasconfusion about the meaning of ecosystem management(noted by more than 60 percent of the respondents). Nearlyhalf (46 percent) cited fears of violating the FederalAdvisory Committee Act; fears that often result incancellation of public participation meetings to avoid suchviolations. Other barriers included the difficulty ofinterorganizational coordination and artificial politicalboundaries, perceived threats to private interests, andinstitutional culture, attitudes, and structure. Cortner andothers (1996) identified additional institutional barriers toecosystem management within Federal land managementagencies, including the Forest Service: (a) the constrainingnature of existing laws, policies, and regulations inimplementation of ecosystem management practices; (b) the

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unknown nature and effects of institutional mechanisms formanaging across jurisdictions; (c) the potential necessity forboth internal organizational change and new relations amongresource management agencies and the public (whosesupport for ecosystem management is, as yet, relativelyunknown); (d) the need to reexamine the theories underlyingecosystem management; and (e) the inadequacy of currentresearch methodologies for examining institutional questionsabout ecosystem management goals and objectives.

These barriers, both within the Forest Service and among itsconstituents, have led to the growing perception that formalconsideration of a social or human dimension to naturalresource management is appropriate. The public isdemanding information about and participation in thedecision-making process.

What is Meant by Human DimensionsInformation

The use of human dimensions information in resourcemanagement is not new. Managers’ personal encounters withforest visitors or at public meetings and open houses, as wellas the information available in any Forest Service office, allcontribute to the information pool. Nonetheless, the linkageof human needs, desires, and appetites to natural resourcedecisions has generally been thought too inexact to be usedin making science-based decision-making. There is agrowing emphasis on the science of human participation inecosystem processes. Integrating social science informationinto the decision-making process and weighing it equallywith information from the biological and physical sciencesproduce balanced solutions. Human dimensions inquiry hasbeen described as seeking to understand the human demandson, values and perceptions of, and interactions withecosystems; and a means of integrating those intoecosystem-related policy, programs, and management(USDA Forest Service 1994).

Information about the human dimensions of ecosystemmanagement considers people as a part of ecosystems.Human needs, perceptions, beliefs, values, and behaviorshave important influences and will continue to haveinfluences well into the future.

Several kinds of human dimensions information are relevantto ecosystem management. Prominent among them aredemands—consumptive and nonconsumptive; onsite andoffsite; individual, collective, and global community; andthose that serve current and future human needs for rawmaterials, experiences, employment, and ecosystemconditions. We express our demands through both marketand nonmarket institutions and by monetary andnonmonetary means. Our needs stem from individuals,communities, and societies. As well as making these

demands of the resources that sustain us, we also assignthem human values and perceptions—our attitudes, moralbeliefs, interpretations, and political positions are based onand form the foundation of human culture. The naturalenvironment affects a society’s belief system and worldview, which in turn affect individual and communitymanagement of the environment. In addition to demands,values, and perceptions, we also bring to the natural world acomplex of interactions—we affect ecosystems, andecosystems affect us. Our harvesting, grazing, mining,development, road building, and many other humanactivities bring tangible effects. Floods, hurricanes,droughts, earthquakes, famines, and other catastrophicnatural phenomena may result in part from human activity.

Benefits of Collecting Social Information

It has become apparent that the biological and physicalsciences are not capable of addressing all natural resourcemanagement issues. Using social science in managingecosystems can provide several benefits (Decker and others1996, Manfredo and others 1996). For example, a systematiccollection of social information can help describe the socialenvironment in which natural resource management actionsoccur. Social information may be used to identify the needs,interests, and expectations of the publics we serve. In turn,social information can enhance communications, allowing usto be more responsive to human needs.

The information social science provides also can enhanceour ability to anticipate and understand conflicting interestsand controversies. Our recognition of human dimensions inecosystem management can help ensure fairness and balancein decision-making by having us attend to the rigors ofscientific inquiry; i.e., reliability, validity, representativeness,and generalizability. Social information can reveal the valuesand potential biases of natural resource managers, whichmay influence their decision-making. Finally, gatheringhuman dimensions information can be a cost-effective meansof reducing potential controversy. Failure to do so mayincrease management costs over the long term and alsoincrease cynicism, heighten frustrations and distrust, andincrease public reliance on lawsuits and legislation (ForestEcosystem Management Team 1993). Generally, theoverriding benefits of systematically collecting social dataare improved ecosystem management and policymaking.

Integrating Social Information into EcosystemManagement

Collecting the information necessary for a comprehensivesocial assessment is only one step toward sustainableecosystem management. Resource managers everywhere areasking how they should integrate social information into

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plans for managing biophysical systems. Demand for naturalresources, widely diverse values and expectations, as well asdifferences of opinion on appropriate use, have led toinnumerable conflicts. The fragmented nature of landmanagement jurisdictions, together with the many complexand often ambiguous regulations, often has served only toexacerbate such conflicts. The integration and use of socialdata in planning and decisionmaking are increasingly seen asvaluable means of resolving conflicts before they are takento the judicial or legislative arena.

While the integration of scientific findings to accomplishecosystem management is not altogether new, practitionershave focused primarily on the interdisciplinary work ofbiological and physical scientists; e.g., foresters, wildlifebiologists, and aquatic professionals. When consideredseriously, social data usually were only used in the economicanalysis of management alternatives.

There are several possible explanations for our failure to usesocial data to the fullest extent. The most obvious is a lackof recognition that the social sciences can play a criticallyimportant role in forest planning. Indeed, many maintain thatecosystem management is primarily within the domain ofbiological and physical scientists. A second reason, and onethat may further explain its lack of acceptance, is that socialscience concepts are considered fundamentally theoreticaland not useful to the same extent as results produced bymore tangible scientific inquiry.

A broadly accepted set of guidelines and procedures, withina grounded conceptual framework, has not been developedand extensively tested. In addition, on the rare occasionwhen social data successfully have been integrated intomanagement strategies, there was little communicationacross forest regions about how the methods could be moregenerally applied. Conferences and scientific journals arenow addressing the need to incorporate social sciencemethods into the planning process. Regrettably, thoseresponding most often have been other social scientists andacademicians who can only try to transfer information andtechnology to ecosystem managers. Progress on developingan HDF has been slow.

The overriding concern of policymakers, managers,researchers, and citizens has been for finding appropriateways to identify, measure, evaluate, understand, andincorporate into decision-making the diverse values,interests, and uses that society has for forest resources (Clarkand others 1999).

Integrated Planning and Land Management

Ecosystem management must focus on sharing andcoordinating the values and inputs of agencies, publics, and

other interests when conceiving, designing, andimplementing policies, programs, or projects (Mitchell1986). Successful integration invites diverse perspectives onan issue, perspectives that rely on information fromscientists, managers, and citizens across a variety of spatialand temporal scales.

In describing integrated approaches to resource planning andmanagement, Lang (1986) envisioned two dimensions. First,integrative management must be strategic. It is a dynamicprocess, not an end, which recognizes the ecosystem as acomplex and ever-changing whole. It focuses on action byaddressing the needs of forest policy implementation at eachstage of planning and includes in the planning process allwho have a stake in the health and sustainability of theecosystem. It focuses on specific issues and concerns ratherthan generalities, and it is adaptable. Integration is ongoing.Finally, strategic integration helps build constituencies whounderstand their stake in the ecosystem and the integral partthey play in the management process.

The second dimension of integrative management (Lang1986) is the interactive nature of implementation. Allstakeholders have an opportunity to participate in thedecision-making process, all have access to relevantinformation, and each participant is recognized for his or hercontribution. The process invites individuals andcommunities of interest to consider how competing valuesfoster conflict in natural resource management. Interactivitylends legitimacy to the process of mutual understanding andmakes possible the necessary changes among stakeholdersand user groups.

Integrated management also must provide a broadened viewof the problem or issue under consideration. The biophysicaland social aspects must be given appropriate weight.Recognizing interconnectedness enhances the interpretationof data.

How Can Integration be Achieved

Integrating social and biophysical information is a process ofconsidering multiple perspectives; e.g., the organizational,political, and personal, which are drawn from allstakeholders. Achieving integration always will requiresincere and considerate activity, even though certain barriersto understanding may remain. For example, many plannershave used a technical model of planning, rather than astrategic one (Lang 1986). Very few managers are educatedin either integrative planning or the social sciences, evenfewer in both.

Despite these obstacles, successful integration of socialscience data with ecosystem management practices ispossible. It will be a deliberate process fostered by a desire

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to incorporate both social and biophysical information, asynthesis of input begun with a systematic process foridentifying and collecting social information.

Using Stakeholder Input into EcosystemManagement

Planning ecosystem management from multiple perspectivesrequires the participation of scientists and plannersrepresenting various disciplines. The NationalEnvironmental Policy Act of 1969 requires an interaction ofindividuals from multiple disciplines for the purpose ofensuring integration of natural and social sciences indecision-making. This requirement has led to the creation ofad hoc interdisciplinary teams (IDTs) to ensure thatindividuals from a variety of disciplines contributeknowledge from their respective fields; e.g., wildlife biology,forestry, and economics. An IDT considers tradeoffs thatwill be necessary to achieve multiple goals and the effectsthat management activities would have on sustainability.

Whereas IDTs strive to integrate and apply natural resourceand social science information, Clark and others (1999)identified a number of problems they may encounter alongthe way. First, scientists may seem sometimes to beadvocating only their own disciplinary interest. Suchprovinciality, while not always inappropriate, may hinderunderstanding and the necessary consideration of otherpoints of view. Second, one person may not adequatelyrepresent the theoretical and methodological perspectives ofa given discipline. For example, one social scientist probablywill not have expertise in all the social sciences; many maybe necessary. Third, unless an IDT has set procedures bywhich its members can successfully interact, as well ascommon themes that will encourage goal-orientedinteraction, problem solving may not represent all relevantperspectives. For example, one group may perceive aproblem as purely biophysical while others perceive it associal, temporal, or spatial. Finally, an IDT may sufferinternal problems such as those that occur when one groupholds a disproportionate amount of power and influence inthe decision-making process.

Although organizing diverse stakeholders through IDTs maybe difficult, problems usually result from failures inleadership rather than the team process. Up-front steps torecognize and avoid such problems will always be necessary.Clark and others (1999) looked at previous approaches tointerdisciplinary teamwork to determine what successfulintegration of social and biophysical information may looklike. Their research highlighted coordination, environmentalmodeling, and collaboration.

Coordination requires more than simply engaging severalindividuals or groups in work on a particular problem. TheIDT members may require only periodic interaction withother participants. Individuals from diverse disciplines mustmake deliberate efforts to apprize other team members ofhow implementation of their ideas might affect otherecosystem components. Social and biophysical componentsare within the province of each team member.

Environmental modeling, or simulation, allows an IDT tomore easily hypothesize how various social and biophysicalcomponents interact and how they are influenced. Modelingsocial and biophysical relationships allows team members toview an ecosystem management problem through the lens ofcross-discipline complexity.

Finally, through collaboration, two or more stakeholderswork together synergistically. They use both social andbiophysical sciences to address and respond to ecosystemmanagement challenges.

In summary, successful integration of the social andbiophysical sciences will require all participants tounderstand the challenges and follow the IDT process. Theteam leader will facilitate shared perspectives and emphasizethe need to understand how social and biophysicalinformation must both be used to solve ecosystemmanagement problems. Such understanding will be enhancedby technologies for simulation and modeling; e.g., GIS.Collaboration among IDT members with expertise in bothsocial and biophysical sciences can improve planning whenthe issues are complex and also enhance understandingamong diverse stakeholder groups with interests inmanagement outcomes (Clark and others 1999).

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A number of human dimensions processes are relevant toecosystem management planning. These include publicinvolvement, environmental justice analyses, social impactassessment, economic impact assessment, supply anddemand analyses, and input/output modeling. Although theHDF described in chapter 3 identifies social concepts andindicators appropriate for a variety of human dimensionsprocesses, here we focus on social assessment.

The Nature of Social Assessments

The social assessment is an essential component ofecosystem management. Biophysical assessments exploreecological conditions, current and desired, as well as anarea’s particular needs. Similarly, a special assessmentshould explore social conditions in a region—current anddesired—as well as the particular needs of residents andvisitors.

Social Assessment

The social assessment process can take many forms and helpmanagers achieve a number of goals and objectives. Theguidelines presented here describe ways that forest plannerscan collect and use social information at a variety of scales.Social assessment is a means of collecting data andperforming analysis to generate information about (1) socialstructure, (2) social processes, and (3) social changes in agiven social structure and process (Bitterroot SocialResearch Institute 1994).

The primary purpose of a social assessment is to provide thebasis for identifying and forecasting consequences ofpossible projects or policies. Human communities interact incomplex ways with ecosystems and their management. Byunderstanding historical and contemporary society, we canbetter understand the connection between humans and thenatural environment. Generally, social assessments examinethe social, political, economic, and cultural conditions atvarious geographic and temporal scales.

Although a social assessment does not constitute a specificdecision, it can provide data that are useful in the decision-making process. Nonetheless, it is important to distinguishbetween social assessment and social impact analysis (SIA).An SIA forecasts social impacts that may result fromimplementation of a forest planning alternative or a morespecific project. It has been described as a component of the

environmental analysis process in which social scienceinformation and methodologies are used to evaluate orproject how current programs or proposed actions may affecthumans (FSH 1909.17).

An SIA is conducted in compliance with such laws as theNational Environmental Protection Act (NEPA) and is wellgrounded in literature (Burdge 1994, Finsterbusch andothers 1983). Whereas an SIA focuses on the possibleeffects of specific management actions, a social assessmentconsiders the social environment and provides a variety ofinformation for more general purposes:

1. To identify social trends or patterns related to changesin population and other demographics, resource uses,recreation, and tourism

2. To locate and describe subcultures within a region

3. To understand the capacities and organization of acommunity, including its cohesion (unity andcooperation), how members of the community respondto problems (collectively and as individuals), andinfrastructure flexibility

4. To identify regulatory and societal norms of behaviorwithin a community

5. To recognize perceptions of key ecosystem issues

6. To acknowledge public opinion regarding managementoptions

7. To identify and understand the nature of stakeholdergroups and other interested publics

8. To develop methods of communication amongstakeholders and other interested publics

9. To identify opinion leaders within a community

10. To use key economic indicators, including the region’seconomic diversity, employment rates and types,income levels, and resiliency

11. To understand how change, over time, is reflected inthe indicators used to monitor social conditions

Such information can provide a more thoroughunderstanding of a geographic region, which will be usefulin forest planning; and it will furnish baseline informationfor assessing the possible effects of alternative policies.Collaborative social assessments recognize that the need forinformation and data can be met by using a variety ofknowledge sources, methods, and processes. Althoughsystematic, consistent guidance for conducting socialassessments across regions has not been developed, there isa growing interest in ways to organize assessmentsconsistently across agencies and regions.

Chapter 2

The Role of Social Assessment in Integrating Human Dimensions Information

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The Role of Social Assessment in Integration

The use of social assessment in policymaking and planningefforts can underscore the importance of integrating socialand biophysical sciences. A social assessment will providebaseline information that forest planners can use to connectsocial conditions to specific ecosystem management issues.Current and historical analyses of the social environmentallow planners to better understand how people relate to thenatural world. More specifically, understanding historicaland current social conditions fosters multiple perspectives,which are key to ecosystem management. Resource planningtraditionally has been seen as technical rationality. Lang(1986) suggested that a technical perspective:

1. Assumes there are specific technical solutions toidentified problems

2. Assumes that problems, though complex, can beseparated and solved as smaller problems, which, whenrecombined, can be used to resolve the larger issue

3. Relies on data and system models for inquiry

4. Focuses on cause-and-effect relationships

5. Assumes that the analyst can be unbiased by personalvalues when considering facts

6. Focuses on quantification of information while assumingthat the objectivity of numbers reflects reality and isrequired for rational dialogue

7. Attempts to provide optimum solutions to problems

8. Disregards individual needs and preferences

A technical perspective is useful when looking at ecosystemmanagement issues. However, integrative management mustconsider multiple perspectives. The social assessment makesit possible to consider other perspectives and incorporateother participants into the planning process. Suchperspectives may offer organizational, political, or personalpoints of view.

The organizational perspective considers reciprocalrelationships among agency officials, the ecosystemmanagement process itself, and other key players who have astake or interest in management outcomes. Theorganization’s point of view is important because keyplayers use social power to influence ecosystemmanagement policy and practices, as well as the perceptionsand behaviors of others.

The political perspective focuses on a total complex ofhuman relations and how they affect the allocation ofresources. More specifically, it considers the views ofelected officials and political appointees. The public interestis a focus of genuine concern, rather than some abstractionworthy of only passing interest. The time horizonsurrounding a political perspective is relatively short—typically tied to the time elected officials and appointees

serve. From a political point of view, ecosystemmanagement may be only a tool for short-term solutions thatwill benefit stakeholders who currently have politicalinfluence. Intuition as much as hard data is key to politicalviability.

The personal perspective considers attitudes, beliefs,knowledge, and values of individuals within the larger socialfabric. Personal points of view are within the province notonly of the general public, but also of the leadershipcommunity.

Although technical, organizational, political, and personalperspectives share some points of view, and oftentimesconflict, all are necessary when integrating socialinformation into ecosystem management processes. Theyrepresent a broad constituency of stakeholders and others. Aholistic approach to ecosystem management invites theunderstanding of all fundamental ecosystem components,both human and biophysical. Entire ecosystems depend fortheir survival and productivity on society’s ability to addressindividual ecosystem management problems and issues(Clark and others 1999).

The social assessment facilitates an integration ofbiophysical and social information into ecosystemmanagement policies and practices. It can enable managersto better understand and evaluate human activities orindifferences, not only on an ecological level but also fromcultural, social, economic, organizational, political, andpersonal perspectives. It can help bridge the gap betweensocial scientists and resource managers by helping connectsocial theories with real-world needs. By collaborating witha variety of stakeholders, managers who use socialassessments can promote dialogue among those directlyresponsible for managing the ecosystem and the individualsand organizations with a stake in how they are managed(Jensen and others 1999). Such dialogue can lead to anexchange of information about values, an opportunity toresolve conflicts, and a robust understanding of alternativemanagement proposals.

The Importance of Scale in Social Assessment

An important consideration in conducting social assessmentsis the scale at which information is collected. The HDFaddresses scale in three ways: spatial, social, and temporal.

The Spatial Scale of Analysis; Focusing on Place

Typically, when issues of scale are raised during ecosystemanalysis, spatial scale is the first mentioned. The researcherbegins by identifying the specific ecological unit to whichthe ecosystem management issues and problems pertain.According to ECOMAP (Cleland and others 1997), a

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Federal interagency team charged with identifying ahierarchy of ecological units, “[T]he primary purpose fordelineating ecological units is to identify land and waterareas at different levels of resolution that have similarcapabilities and potentials for management.” Below is onelist of planning and analysis scales (Driver and others 1996,Stankey and Clark 1992):

1. Land unit—where project and other management-areaplanning and analysis occur. Measured in units up tothousands of acres, analysis at this scale may firstconsider sites, stands, and drainages. For each, questionsof management effects are posed.

a. Site—a relatively small area of only a few squareyards or a few trees. How will site changes; e.g.,increased downed woody material, affect present orfuture recreational uses?

b. Stands—relatively small units of land, around 100acres, which include a variety of species andmaintain natural levels of production and resilienceto stress; typically defined by foresters, are theseunits of analysis relevant to the public?

c. Drainages—will range from hundreds to thousandsof acres; drainage boundaries are defined bytopography; drainage functions have significantpotential effects on human behavior; and what are thecumulative effects of changes in drainages onrecreation and resource-dependent communities?

2. Landscape—a level of analysis generally defined byforest- or area-wide planning. Landscape is often definedby watershed boundaries and multiple drainages. Itranges from 100 to 100,000 acres, containing manystands and sites. What mix of forest attributes andconditions is acceptable to the human community at thelandscape level?

3. Ecoregion—the largest geographic level of ecosystemmanagement planning, the analysis of which may firstconsider three hierarchical levels; regional, continental,and global. The potential need for international planningis inherent at the ecoregion scale. Ecoregions aremeasured in ten-thousand- to hundred-thousand-squaremiles.

a. Regional—large-scale areas (several thousandsquare miles) that may involve multiple political andadministrative jurisdictions, as well as varyingecological conditions; how do changes at theecoregional level influence the range of social andenvironmental diversity sought by localcommunities, regional populations, and tourists?

b. Continental—includes large areas that may crossone or more national boundaries; severalenvironmental, political, and cultural systems may beincluded, as well as several ecoregions; what are thephysical, social, and economic factors that contributeto advantages that one region may hold over another?

c. Global—the largest level of analysis, the globalextends beyond all political boundaries to encompassa variety of legal, economic, and cultural systems;what different systems of stewardship and propertyrights traditional to each culture may be appropriatewhen managing natural resources in the U.S.?

Whereas each of these levels of planning and analysis aredefined by ecological or physical boundaries and weredeveloped primarily for biophysical assessments, they alsohave usefulness in social assessment. A special ForestService task force reached several conclusions regarding theuse of social information in ecosystem management (Driverand others 1996). First, it found that a corresponding, thoughnot necessarily equal, hierarchical classification would benecessary for social analysis to be relevant. Second, whileinformation about biophysically defined units may berelevant to the assessment of some social conditions, theconverse is not always true. Most social variables do notrelate directly to biophysical units. This is due to humanmobility and production capabilities, as well as the diversevalues humans hold toward land areas other than thosenearest them. Finally, the social variables necessary for anassessment may vary across levels of analysis. For example,interactions among stakeholder groups at a landscape scalemay differ significantly from those at a regional scale.

For these reasons, we cannot expect a geographic scale forconducting social assessments to coincide with anecological-unit scale. When relevant social variables can beanalyzed using ecological units, that scale is applicable; butwhen ecological units are not applicable, a hierarchy forsocial analysis that parallels the hierarchy for ecologicalunits can be devised. Driver and others (1996) suggestedfour levels of social analysis for ecosystem management:

1. Small/Local—site, project, and local community

2. Medium/Multicommunity—medium-sized naturalecosystem; national forest

3. Large/Regional—ecoregion, large natural ecosystem;may include all or parts of several national forests

4. Very Large/National—several regions, may crosspolitical boundaries to include international or globalmanagement issues.

These levels are not mutually exclusive; in many cases, socialanalyses should be conducted at more than one level, giventhe scope of an ecosystem management issue or problem.

The Social Scale

Human society is organized by patterns of attitude, behavior,knowledge, motivation, belief, expectation, and preference.Much of the information necessary for social-scale analysiscould be grouped into a common, hierarchical arrangementof societal elements (Clark and others 1999, Stankey andClark 1992):

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1. Individuals—the basic unit of social analysis, oftenrepresenting general citizens, the family, and members oforganizations; what is the range of knowledge aboutecological processes that individuals hold, and what arethe values and attitudes that influence and are influencedby that knowledge? How are individuals influenced byecosystem management decisions?

2. Groups—informal associations of individuals other thanfamilies that form around social networks and sharedinterests; how do ecosystem management programs uniteor divide groups with various interests in natural areas?

3. Organizations—groups connected formally by workand professional relationships as well as politicalinterests; these groups often form as a result of commonconcerns related to specific issues, creating communitiesof interest; how do activities of ecosystem managersproduce coalitions among different organizations, andhow does this affect the nature of social and politicalpower that ultimately influences ecosystem managementdecisions?

4. Communities—urban, suburban, and rural communitiesof people; the concept of community may transcendindividuals and groups to include a complex socialsystem and a sense of shared identity among communitymembers; how do ecosystem management activitiesinfluence social structures and the variety of institutionsthat provide a sense of order in a community; e.g., theeffects of declining harvest levels on social services inforest-dependent communities?

5. Populations—an aggregate of communities,organizations, groups, and individuals that may include adiversity of social, economic, and political structures; thedemographic and socioeconomic structure of populationsand projected changes in such structures raise importantquestions about desired uses (and nonuses) of naturalareas, as well as the values that drive decisions aboutthose uses; what are the trends in population structurevariables such as age, education, and residence and howare such trends connected to resource values andpreferred uses?

The Temporal Scale

The third scale of social analysis is temporal. Human societyis dynamic, as are the individuals, groups, organizations,communities, and populations of which it is composed. Theeffects of ecosystem management decisions on society as awhole are therefore also subject to changing attitudes,values, preferences, and dependence on the resources thatsupport it. Historical data are useful in describing the currentsocial environment of a region. By analyzing past andpresent, the social scientist may begin identifying potentialtrends or changes in a region’s social environment.

Interrelationships among Scale Types

Stankey and Clark (1992) and Clark and others (1999)discuss links between places and people by connecting themwith the ecological processes and activities/institutions thataffect them. Figure 1 (adapted from Stankey and Clark1992) illustrates the interactions of people, places, andprocesses over time.

This illustration emphasizes relationships forged within anecosystem management context represented by theoverlapping sections of people, places, and processes. Socialand ecological processes connect people to the ecosystem.For example, resource allocation, planning, and managementactivities (prescriptive processes); collection anddissemination of information through education, marketing,research and development, as well as monitoring andevaluation (information processes); policy formation,judicial and political activity, and mediation (conflictresolution); the nature and evolution of values, attitudes, andperceptions of stakeholders (social and psychologicalprocesses); and succession, disturbance, and migration(ecological processes) (Stankey and Clarke 1992).

The Process of Conducting Social Assessments

Whereas much has been written about the process ofconducting a social assessment, there are, in general, sixsteps:

Step 1. Establish the Purpose and Scope of the SocialAssessment

Before considering research design, sampling, and datacollection, the social scientist first must establish purposeand scope. This step drives social assessment planning byidentifying relevant issues and the population affected by theissues. Purpose and scope govern decisions that will bemade in all subsequent steps.

Step 2. Determine Relevant Characteristics of the SocialEnvironment

The objective of this step is to identify information that isrelevant to the assessment’s purpose and scope. Relevancywill depend on what ecosystem management issues areidentified in step 1, as well as specific questions regardingthose issues.

Step 3. Determine Appropriate Methods forConducting the Social Assessment

The approach taken when collecting social informationdepends largely on the type of data needed. Distinctionsamong data types can take two forms (Cordell and others1999). First, data may be categorized by source, as either

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primary or secondary. Primary data are generated andcompiled over the course of an original study. This type ofdata is useful in addressing a specific issue or responding toan identified information need. Secondary data come fromestablished sources and probably were collected for otherpurposes. They will, however, provide information relevantto a proposed project. Social assessments often include bothprimary and secondary data.

Second, social data can be categorized by the method usedto record it; i.e., quantitative or qualitative. Quantitative dataare gathered along continuous numerical scales that may beanalyzed using descriptive or inferential statisticaltechniques. Such data may include number of recreationtrips per year or percent of people holding particularattitudes toward an ecosystem management policy.Qualitative data are usually verbal responses to issuestatements. The latter are not statistically analyzed; rather,they are summarized and interpreted by the researcher.Primary and secondary data can be either quantitative orqualitative. The following are research methods common toprimary and secondary data collection. Although not anexhaustive list, it represents those methods most useful whendoing a social assessment of a region or community.

Outline of common research methods and techniques forcollecting primary and secondary data applicable to a socialassessment follows:

Source Methods

Primary 1. Survey research

a. Self-administered questionnaire

b. Telephone survey

c. Personal interview

2. Group interviews

a. Brainstorming

b. Nominal group technique

c. Delphi technique

d. Natural and formal fieldinterviews

Secondary 3. Statistical and nonstatisticaldocumentary data

4. Historical analysis

5. Literature search for previousresearch

Note: Each of these data-collection techniques may be usedto collect either quantitative or qualitative data. However,quantitative data usually are gathered by self-administeredquestionnaires and telephone surveys, whereas qualitativedata usually are gathered through individual and groupinterviews.

Step 4. Select a Sample from the Human Population ofInterest

The focus of a social assessment is on human populationsand geographical settings. As we noted in the precedingchapter, four levels of social analysis may be used inecosystem management planning: small/local, medium/multi-community, large/regional, and very large/national(Driver and others 1996). The local includes an individualcommunity and the rural area surrounding it. A local areaprobably will be smaller than a county. The multi-community includes two or more communities and may spanmore than one county. The regional may include significantparts of a State or, possibly, several States. The national willinclude several States, span more than one region, or mayencompass all regions and States. Social assessments at avariety of geographic scales may be needed; and todetermine the appropriate level a researcher must considerboth population scope and assessment objective(s).

When the social scientist has determined the population(s) ofinterest and social assessment objectives, he or she mustthen choose an appropriate unit of analysis by discerninghow stakeholders and other interested publics organizethemselves; i.e., in terms of individual, group, organization,community, or population. The individual is an especiallyimportant consideration because a person’s values andattitudes toward ecosystem management are affected bymanagement decisions. The individual unit of analysis mayalso include households. The group includes informalassociations of individuals that are built around socialnetworks and shared interests. The organization includesgroups that are formally connected by work or professionalrelationships as well as by political interests. Groupsrepresent reciprocal human relationships with ecosystems,the social and political power influencing thoserelationships, and ultimately the decision we make inmanaging ecosystems. The community includes urban,suburban, and rural peoples; and a population includes abroad collection of communities, organizations, groups, andindividuals, as well as a diversity of social, economic, andpolitical structures. Any or all of these units of analysis maybe relevant to a social assessment. For example, examiningthe role that natural resource policy plays in the economy ofa community will require more than the identification ofspecific attitudes and behaviors.

Sampling a population of interest involves the selection ofindividuals or households when the information is to beobtained from primary data sources. The kind of sample willdepend on the goals and objectives of the social assessment.For example, some probability sampling techniques havebeen designed to draw samples that are representative of agiven population of interest. Generally, such techniques areused when the data to be collected are of a quantitativenature, and the assessment goals are to draw inferencesabout the population of interest. Purposive samples (samples

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designed to identify specific types of respondents) are usedwhen qualitative data are gathered from individual andgroup interviews.

Step 5. Collect Data Needed to Describe the SocialCharacteristics from Step 2

Once the purpose of an assessment is clear, data collectionmethods can be identified and developed; and whencollection of primary data is necessary, the social scientistselects a sample and begins the collection process. Theresearcher must take appropriate steps to eliminate anysuggestion of bias or invalid results. Several texts thatspecifically describe the process necessary for eachmethodology may be consulted when collecting primarydata. The researcher also may consider using consultantswho have experience with survey techniques. However, theuse of consultants should not preclude the manager’s need to

understand the collection process. The more a managerunderstands the appropriate processes, the more involved heor she can be. Specific knowledge about the study area andthe issues are likely to enhance the assessment’s quality.

Step 6. Analyze the Information, Adequately Documentthe Work Done, Describe Implications, andPrepare Appropriate Reports

Generally, analysis of data will require the time of anindividual familiar with statistical techniques and analysis,as well as interpretation of qualitative data. However, aForest Service manager familiar with the development andadministration of the assessment will be able to contributethat expertise to accurate analysis and interpretation of thedata. Data analysis should be tied to the overall goals andobjectives of the assessment. A variety of statistical softwarepackages are available to simplify quantitative data analysis.

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This chapter presents the HDF and a description of stepstaken to conduct a social assessment. It also identifiesrelevant characteristics of the social environment that are tobe studied in the assessment process.

The Human Dimensions Framework

The HDF is a question-based tool that uses socialassessment questions, social data that are collected to answerthose questions, and appropriate methods of data collection.Eight questions address primary issues that the socialscientist must consider:

1. What are the human uses of natural resources in theassessment area?

2. Who are users of natural resources in the assessmentarea?

3. What are the social and economic characteristics of thegeographic region surrounding the assessment area?

4. What conflicts exist among various uses, users,stakeholders, and managers of the ecosystem?

5. What is the nature of relationships among nearbycommunities, the forest or other ecosystem, and thelarger encompassing ecosystem?

6. What are the relevant stakeholder and public perceptionsrelated to ecosystem management issues driving thesocial assessment?

7. What do stakeholders and the public value about thenatural environment, natural resources of thatenvironment, and the uses of those resources?

8. What recent social and economic trends in the affectedregions are relevant to management of the ecosystem?

We identified five dimensions of social data that are relevantto the assessment process: historical background, populationcharacteristics, community resources, social organizationalstructures and processes, and public perceptions and well-being. Several concepts pertinent to those dimensions areused as indicators of responses to the social assessmentquestions. Together, they form a matrix, which we identify asthe HDF.

Using the Human Dimensions Framework

From the user’s point of view the HDF is driven by thepreceding eight social assessment questions. As referred toher, users are those charged who conduct the socialassessment; e.g., forest planners. Although users mayexamine concepts and indicators relative to those questions,the HDF described on the next several pages begins withsocial assessment questions. Ideally, using the HDF involvesthe following steps:

1. Identify pertinent social assessment question(s) from the(list 1 through 8) matrix.

2. Identify the concepts and indicators that will provideinformation about the social assessment question(represented by * within the matrix).

3. Go to the appendix page noted within the matrix. Eachappendix page provides a description of an indicator, theconcept it represents, and the method of measuring theindicator.

4. Consult chapters 4 through 7 for more specificdiscussion of how to use each data collection method.

Chapter 3

The Human Dimensions Framework:Determining Relevant Characteristics of the Social Environment

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The Human Dimensions Framework for Guiding Assessments

Dimension I. Historical Background

Social Assessment QuestionsAppendix

Concepts and Indicators Page A B C D E F G H

Concept Ia. Historical Experience

Community origin 90 * * * *Recent or current experience with

ecosystem management issues 90 * * * * *

Names and characteristics of influentialpersons, groups, or families 91 * *

Distinctive characteristics of thecommunity that are strongly valuedlocally 91 * *

Prominent stakeholder groups with ahistory in the area 92 * * *

Dimension II. Population Characteristics

Concept IIa. Cultural Characteristics

Ethnicity/race 92 * * *Language diversity 92 * * *

Religious affiliations and practices 93 * * * * *

Property ownership 93 * * * * *

Length of residence 93 * *

Cultural-based values 94 * * * * * *

Concept IIb. Population and Demographics

Total population 94 * *

Changes in population size 95 * *

Residential distribution 95 * * * * *

Age distribution 95 * *

Gender distribution 95 * *

Education 96 * *Household composition 96 * *

Population and demographics byethnicity 96 * * *

Concept IIc. Economic and Employment Characteristics

Employment levels 97 * *

Occupational diversity 97 * * * *

Distribution of employment by sector 97 * * * *Labor force participation by groups 98 * * * *

Household income 98 * *

Poverty 98 * *

Wealth 99 * *

Public assistance and welfare 99 * *

Economic and employmentcharacteristics by ethnicity 99 * *

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Dimension III. Community Resources

Social Assessment QuestionsAppendix

Concepts and Indicators Page A B C D E F G H

Concept IIIa. Facilities and Services

Current levels of public facilities andservice 100 * *

Current levels of private facilities andservice 100 * *

Concept IIIb. Spatial Relationships and Ecosystem Dependency

Ecosystem classifications 101 * *

Water resources 101 * *

Energy and mineral resources 101 * *

Wildlife abundance 101 * *

Recreation resources 102 * *

Public land classifications 102 * *

Private land classifications 102 * *

Resource uses 103 * *

Population density 103 * *

Migration 103 * *

Settlement patterns 104 * *

Land tenure 104 * *

Dimension IV. Social Organization Structures and Processes

Concept IVa. Economic Organization

Economic diversity 105 * * * * * *

Export dependency 105 * *

Small businesses 105 * *

Shopping patterns 106 * *

House values 106 * *

Land values 106 * *

Retail sales 107 * *

Concept IVb. Governmental Structure

Local government positions 107 *

Formalization of planning department 107 *

Connections to outside agencies 108 *

Relationships among local jurisdictions 108 *

Concept IVc. Social Diversity

Gender distribution 108 * *

Ethnic, religious, and cultural diversity 109 * * *

Residential stability 109 * * *

Voluntary organizations and membership 109 * * * *

Factions and special interest groups 110 * * * *

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Dimension IV. Social Organization Structures and Processes (continued)

Social Assessment QuestionsAppendix

Concepts and Indicators Page A B C D E F G H

Concept IVc. Social Diversity (cont.)

Values and beliefs related to naturalresources issues 110 * *

Attitudes toward natural resources 110 * *

Transient populations 111 * *

Civil rights 111 * *

Concept IVd. Outside Linkages

Local ties to State and Federalgovernments 112 * *

Previous Federal/State grants andother programs 112 * *

The presence of regional, national, orinternational businesses or agencies 113 * *

Newcomers to the area 113 *

Concept IVe. Distribution of Resources and Power

Economic equity 113 *

Environmental justice 114 * * *

Size and structure of local government 117 *

Presence of stakeholder groups 117 * * * *

Legal constraints 118 *

Concept IVf. Community Resilience

Coordination in current projects 118 *

Coordinative mechanisms 118 *

Persistent conflicts or issues 119 *

Dimension V. Public Perceptions and Well-Being

Concept Va. Perceptions of Natural Resources

Values and beliefs related to naturalresource issues 119 * * * *

Attitudes toward natural resource issues 120 * * * *

Stakeholder views and beliefs 120 * * * *

Attitudes toward natural resource issues 121 * * * *

Concept Vb. Connection to Natural Resources

Tourism and recreational uses 121 * * * * *

Resource-based employment 122 * * * * *

Traditional uses 122 * * * * *

Sense of place 123 * * * * *

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Dimension V. Public Perceptions and Well-Being (continued)

Social Assessment QuestionsAppendix

Concepts and Indicators Page A B C D E F G H

Concept Vc. Perception of Well-Being

Behavioral and situational conditions 123 * * *

Access to facilities, services, andresources 124 * * *

Community satisfaction 124 * * *

Note: A more specific description of dimension, concept, and indicator can be found on the page of the appendix indicated.

* Indicates that the relevant indicator is connected to the social assessment question.

Indicators of Social Dimensions and Conceptsin Social Assessment

The second step of the social assessment—determinerelevant characteristics of the social environment—identifieswhat information is necessary. Relevancy is determined byissues raised during establishment of purpose and scope(step 1). This chapter describes the dimensions, concepts,and indicators of an HDF (see appendix).

The HDF is a guide for identifying paths of information andgathering data relevant to ecosystem management. Humandimensions represent key components of, and relationshipswith, the human ecosystem that affect, or are affected by, anecological system. They are an amalgamation of conceptsidentified by a variety of social science disciplines. Sociallife is multidimensional, and the dimensions areinterdependent. For example, the economic, social, andcultural conditions of a community are dependent on actionsof the decisionmakers within a community (affiliated withprivate institutions, special interest groups, publicauthorities, and other organizations), which in turn areinfluenced by government mandates, informal regulations,laws, and policies.

Social Indicators and Their Role in EcosystemManagement

An important tool for assessing the social environmentwithin a geographic region is the kind of information socialscientists call social indicators. Social indicators arestatistics, statistical series, and other forms of dataconciliation and evidence that enable policy anddecisionmakers to assess various social aspects of a society,evaluate specific programs, and determine the impact ofthose programs (Miller 1983).

Social indicators can be used to effect successful ecosystemmanagement. An integrated set of social, economic, andecological measures available to be collected over time andprimarily derived from available data sources, socialindicators are grounded in theory and useful to ecosystemmanagement and decisionmaking. They represent anintegration of statistical measures rather than a simplecollection of facts (Force and Machlis 1997). In addition, theprincipal sources of social indicators can be found in suchdatabases as are kept by the U.S. Census Bureau.Information about social indicators should be collectedrepeatedly over time, allowing the manager to recognizechanges in a region’s social environment and facilitateongoing historical analysis. The identification of socialindicators is grounded in theory; they almost always willreflect a multidisciplinary perspective. They concernpeople’s attitudes about the social, economic, andinstitutional nature of a geographic region. Finally, socialindicators provide practical information for monitoringcurrent and changing situations, making decisions aboutappropriate management strategies, analyzing policy, andapplying social research to ecosystem management planningand practices.

Criteria for the Appropriate Use of SocialIndicators

Regardless of scale (national, State, regional, county, orcommunity), social indicators should meet certain criteria inorder to maximize their relevance (Clark 1973). First, theyshould be measurable. This does not suggest that there is aneed to quantify all social indicators; rather, it suggests thatinformation about a social indicator should be obtainablewithout relying on guesswork or risking misinterpretation orinaccuracy or both. Second, social indicators shouldconsider social importance and shared goals; i.e., they

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should be relevant to issues generally considered importantto public land managers, stakeholders, and other interestedpublics. Third, social indicators should have policyrelevance. Even though a resource management issue mightbe socially important, and there may be reasonableconsensus on the actions to be taken, the best policies maynot be politically feasible. For example, protection of anarea within a watershed may require the cessation of allactivity within a national forest. Such a policy very likelywould be unacceptable to many residents and potentialusers.

Priority should be given to indicators relevant to feasiblepolicies and have some consistency with land managementgoals and objectives. Stewart, Jakes, and Monson (1997)provide two compelling, albeit opposing, argumentsregarding whether one should conduct a full socialassessment for forest plan revision or limit the assessmentonly to indicators relevant to the policy at hand; e.g., thosethat may be affected by proposed actions. Finally, socialindicators should fit into an integrative model thatrecognizes the interrelatedness of indicators and broaderconcepts.

Perceptual Indicators and Their Role inEcosystem Management

Quantitative social indicators can provide a lot ofinformation about the social environment, although asignificant amount of social information must bequantitative. A social assessment must examine theperceptions of individuals and groups. Perceptual indicatorsmay be quite diverse, even within a population that appearsrelatively homogeneous ethnically, educationally, andeconomically. Within the constructs of our HDF, perceptualindicators are in three groups: attitudes, beliefs, andbehaviors.

Attitudes

Attitudes describe the extent to which individuals or groupsfind an object or behavior desirable. They are evaluated; i.e.,good or bad, positive or negative, beneficial or harmful.Attitudes may describe the extent to which individuals favoror oppose specific management policies. They may serve todetermine the public’s perceived quality of life or well-being, provide a measure of the public’s view of a landmanagement agency’s actions, or reflect a group’s ororganization’s responses to another group or organizationand the ecosystem management issues they share.

Beliefs

Within the context of social assessment, beliefs are reflectedin our attitudes towards objects or behaviors. They can occur

in response to specific management actions; e.g., roadclosure. On the other hand, they may involve more value-based perceptions. For example, what general environmentalvalues do people hold, and how might they influenceattitudes regarding identified ecosystem managementpolicies or practices? If beliefs represent what peopleperceive to be true or false, they are not explicitly evaluated;nonetheless, we can infer what an evaluative attitude mightbe by examining and interpreting the expression of the beliefabout identified issues.

Behavior

Behavior is a person’s or a group’s response to perceptionsand beliefs. We can make inferences about attitudes andperceptions based on observed behaviors. In fact, behaviorsidentified by responses to a self-report questionnaire reflectbeliefs about behavior, rather than the behavior itself(Dillman 1978). Nonetheless, asking people about theirbehavior is not the same as asking about their beliefs.Identification of behavior as a factor separate from belief iswarranted. Behavioral questions address what people havedone, are currently doing, or intend to do. For example, whathas been the historical recreational use of a primitive naturalarea? What types of recreation behavior are pursued inparticular parts of the ecosystem? What are the trends inrecreational behaviors; and what do these trends say aboutfuture use?

Specifying the Information: Identifying andMeasuring Human Dimensions Framework(Dimensions, Concepts, and Indicators)

The second and third steps of the social assessment processcall for identifying information required and makingdecisions about which data to collect. This section describesconcepts and indicators in the HDF and discusses how thedata for each indicator should be collected. More specificdescriptions of data collection methods are provided inchapters 4 through 7. The following descriptions of data-collection bases are provided to familiarize the reader withissues relevant to each. In all cases, the planner or managerconducting a social assessment should strongly considercontacting a social scientist.

Concepts and indicators in the HDF are organized into fivedimensions: historical background, populationcharacteristics, community resources, social organizationalstructures and processes, and public perceptions and well-being. Although presented separately, these five dimensionsare interrelated. Therefore, information about the conceptsobtained by social assessment should be evaluated within thecontext of other social concepts.

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Dimension I—Historical Background

Historical Experience

Indicators—When evaluating the social environment of acommunity, the planner or manager should understand thehistorical context of community life and its organic ties tothe ecosystem. The nature of a community’s historicaldependence on natural resources is pertinent to considerationof current issues. Understanding the evolution of acommunity helps the planner identify causes of importantsocial attitudes and community structure. Furthermore,information about how residents have reacted to importantissues will provide important clues about problems andopportunities. In short, an historical review of a community’ssocial environment relative to natural resources shouldinclude an analysis of specific indicators, including:

1. Community origin (the social and economic history ofthe community)

2. Recent or current responses to ecosystem managementissues

3. Names and characteristics of influential persons, groups,or families within the community

4. Distinctive characteristics of the community that arehighly valued locally

5. Prominent stakeholder groups with a standing history inthe area

Methods for Collecting Data

Local histories may be helpful in assessing a community’sconnections with its natural resource base. Often, suchhistories have been published; although they may seem richwith information, such publications may reflect only theauthor’s opinion or point of view. Local histories also maybe found in public and university libraries, local newspapers,historical societies’ records, and through interviews withlongtime local residents. In addition, records of recent publicmeetings, scoping sessions, and published or otherwise-posted public comments, as well as other agency plans ordata on the community or region, may be available. All suchsources may provide important historical information.

Dimension II—Population Characteristics

The most basic social assessment dimension describespopulation in terms of three distinct concepts: culture,demographics, and economics.

Cultural Characteristics and Social Groups

Indicators—A detailed analysis of cultural characteristics iswarranted when the study area includes diverse racial,ethnic, religious, or occupation-based populations. Where

there is such diversity, it is important to recognize howgroups may hold different values with regard to the issues. Ifsome groups seem potentially to be more affected byecosystem management decisions, the planner should seek tounderstand the groups’ unique character and how they relateto management decisions.

Often it is not easy to identify distinct social groups. On theone hand, such groups as seasonal agricultural workers arecomposed of clearly distinctive and relatively easy toidentify ethnicity; but, on the other hand, a group like theLeague of Women Voters may be practically invisible to allbut its members. Community histories can providesignificant information about the attributes that set a socialgroup apart, its evolution, and patterns of interaction amongdifferent social groups. The current social organization of acommunity may well be outlined in such histories. Factorsthat may help describe cultural social groups include:

1. Ethnicity/race

2. Language diversity

3. Religious affiliations and practices

4. Property ownership

5. Length of residence

6. Cultural based values

Methods of collecting data—Information about uniquecultural groups can be found in local, State, and universitylibraries. More up-to-date and situation-specific informationis available through interviews with community residentsand members of particular cultural groups. Local histories(available in local and regional libraries or from interviewswith long-term local residents) and newspapers can alsoprovide information about the more salient groups in thecommunity.

Population and Demographics

Indicators—Information about population anddemographics can contribute to an essential description of acommunity’s makeup. It will allow the forest planner ormanager to see more clearly how population trends mayinfluence or be influenced by ecosystem management andpolicy. Further, analysis of trends will illustrate populationchanges by age, gender, education level, or ethnicity. Suchchanges may influence relationships among social groupswithin the community. Demographic characteristics that areimportant in understanding the social environment of acommunity include:

1. Total population size

2. Changes in population size

3. Residential distribution

4. Age distribution

5. Gender distribution

6. Education

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7. Household composition

8. Population and demographics by ethnicity

Methods of collecting data—The primary source of dataabout population and demographics is the U.S. Census ofPopulation and Housing, which is published every 10 years.In most cases, decennial census data provide an adequatedescription of the population and its demographics.Intercensus population and demographic data also may behelpful, especially if significant changes in populationdemographics have occurred since the last census.

Economic and Employment Characteristics

Indicators–This concept considers the extent to which alocal population depends on natural resources. Currentlevels of employment in each economic sector identify thenumber of people in forestry, farming, or tourismoccupations; and workforce composition in terms of women,youth, or ethnic groups is informative in describing localemployment. A social assessment should address howmanagement of local ecosystems affects a region’s economy.Specific indicators include:

1. Employment levels

2. Occupational diversity

3. Distribution of employment by sector

4. Labor force participation by groups

5. Household income

6. Poverty

7. Wealth

8. Public assistance and welfare

9. Economic and employment characteristics by ethnicity

Methods of collecting data—Information is available fromthe decennial U.S. Census, which includes data about popu-lation (every 10 years), housing (every 10 years), agriculture(every 5 years), and business and industry (every 5 years).

Dimension III—Community Resources

Community resources are the services, facilities, and accessto opportunities available to a local population. Analyzingthis dimension will consider access by the population as awhole, as well as by specific groups. These resources, aswell as spatial relationship and dependence on theecosystem, serve as a useful concept when conducting asocial assessment.

Facilities and Services

Indicators—Demand for facilities and services is not onlyproportional to changes in a population, but also to changesin resource suppliers, economic activity, and income.

Overall, the cost, quality, and availability of public andprivate services are connected to a community’s sense ofbeing (Branch and others 1984). Factors that describe thiscomponent include:

1. Current levels of public facilities and service

2. Current levels of private facilities and service

Methods of collecting data–The most common sources ofinformation are the service providers. Such agencies orprivate organizations can provide data on current supply anddemand, as well as the impacts wrought by those marketforces. Public attitudes and expectations regarding servicelevels are also valuable measures of community satisfaction.Leaders and the citizens they serve are often polled bytelephone survey, mail questionnaire, and personal or groupinterviews.

Spatial Relationships and Ecosystem Dependency

Indicators—Generally spatial relationships and dependencyrefer to human demands for and uses of natural resources.People’s dependence on, demand for, and use of ecologicalresources vary considerably. Land use and settlementpatterns can be traced along a continuum from undevelopedto developed (Manley and others 1995). Evidence fromrecent assessments; e.g., in the Pacific Northwest andSouthern Appalachians, demonstrates how communitiesheavily dependent on traditional extractive uses of forestshave experienced or will experience significant changes inthe distribution of economic and noneconomic activities inthe near term. Examination of the type and extent of suchevidence can provide the forest planner or manager withimportant information for managing sustainable ecosystems,identifying and promoting alternative economic strategies,employment retraining, and community education. In thisdimension, the economic health of a region—in terms oflocal, national, and international demand for forest, water,wildlife, energy, and mineral resources—is an importantfactor of long-term sustainability. Indicators of spatialrelationships and ecosystem dependency include:

1. Ecosystem classifications

2. Water resources (existence of and demand for)

3. Energy and mineral resources (existence of anddemand for)

4. Wildlife resources (existence of and demand for)

5. Recreation resources (existence of and demand for)

6. Public land classifications

7. Private land classifications

8. Resource uses

9. Population density

10. In- and out-migration

11. Settlement patterns

12. Land tenure

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Methods of data collection—Secondary sources, such associal and economic data already collected in previous socialassessments or other data-collection exercises, provideinformation relevant to spatial relationships and economicdependence on natural resources. A significant amount ofeconomic data about demand for various commodity andrecreation resources is appropriate in a social assessment.The land manager or planner would be well advised toconsult a social scientist trained in economic analyses.

Dimension IV—Social Organization Structuresand Processes

This dimension describes social interaction within acommunity. Such interactions evolve over time and usuallyare unique to each community. To understand a communityand its relevance to ecosystem management planning andpractices, the planner and manager must consider its socialstructures and processes. These include economicorganization, government structure, social diversity, externallinkages, distribution of resources and power, andcommunity resilience.

Economic Organization

Indicators—Job creation significantly affects the economichealth of a community and the purchasing power of itscitizens. In turn, economics determine the number and typesof services provided. Diversity of opportunity is important inmaintaining a community’s economic health. In smallcommunities that depend on a single industry, economicgrowth often is stagnant, and prospects for sustainability arefew. This is especially true of rural communities that arewithin commuting distance of relatively aggressive regionalpopulation centers. A local area’s ability to compete with thelarger, more diverse regional center will depend on theavailability of financial and service-related resources, aswell as the community’s ability to make economic linkagesby exporting goods. Factors to consider when examining theeconomic diversity and complexity of a region include:

1. Export dependency

2. Small businesses

3. Shopping patterns

4. House values

5. Land values

6. Retail sales

Methods of Data Collection—The U.S. Bureau of theCensus measures the diversity of industry and commerce;and it is possible to tap important databases listed in theclassified section of telephone directories, as well asdatabases maintained by chambers of commerce. Certainly,interviews with community and business leaders will provideinsight into the economic diversity of a region.

Governmental Structure

Indicators—Changes in population size and diversity, aswell as the region’s economic structure, influence the natureof local government. In many small communities, officialswho serve without pay and whose main employment isoutside of government do administrative tasks. An increasein the complexity of local government and the tasks andresponsibilities such officials carry out will often lead to aneed for paid officials and the hiring of professional staff.Among the tasks that accompany this trend are transactionsthat involve corporations, State and Federal agencies, andinterstate or international commerce organizations.Responding to the requests and dealing with a spectrum ofregulations may necessitate establishment of a formal andstructured government. Such a process can be difficult andmay not reflect the wishes of those who would be governed.Factors relevant to diversification of governance are usefulin a social assessment. Of particular interest are the roles andresponsibility of the current local government, including:

1. Local government positions

2. Planning capabilities

3. Connections with outside agencies

4. Relationships between local government jurisdictions

Methods of collection–Information about local governmentis available through personal interviews with local officialsand residents, or in government employee rosters andnewspaper reportage.

Social Diversity

Indicators—Another common outcome of increases inpopulation and economic diversity is change in socialcomplexity. Increased diversity in ethnicity, culture, religion,and other demographics is one certain outcome. Socialcomplexities actually may change accepted norms ofbehavior within a population. Long-time residents,particularly in rural areas, often will express a sense of lossof community and shared values. For example, an increasein natural resource-based tourism will increase the numberof visitors to an area but also may bring transientpopulations, especially in areas where tourism opportunitiesare seasonal. Changes may result from the decline ofresource-based industries. An area then might experienceout-migration of even long-term residents. Important factorswhen assessing social diversity and complexity include:

1. Gender distribution

2. Ethnic and religious/cultural diversity

3. Residential stability

4. Voluntary organizations and membership

5. Factions and special interests

6. Values and beliefs related to natural resources

7. Attitudes toward natural resource issues

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8. Transient populations

9. Civil rights

Methods of data collection—Information about communitypopulation, age, gender, and education is available from thedecennial U.S. Census. Law enforcement officials andschool personnel often are sources of information aboutchanges in demographics, including the growth of transientpopulations. Chambers of commerce often keep data onvoluntary organizations like churches and service or socialorganizations. Telephone directories will list suchorganizations. Attitudes toward transient populations andcivil rights may be available through more systematicquantitative and qualitative telephone surveys, mail-backquestionnaires, or individual and group interviews.

Outside Linkages

Indicators—Whether decisions about communityinvestment, resource distribution, and new projects are madeby people within the community or by others is usefulinformation when preparing a social assessment. The extentto which such decisions are linked to outside interests andhow those decisions influence community autonomy will saya lot about the social and natural resource managementenvironment.

Linkages may bring both positive and negative effects(Branch and others 1984). Ties to State, regional, national,and international groups can enhance a community’s abilityto get financial and informational assistance in the form ofgovernment grants, loans, and political support. Forexample, in the Western States, communities or regionsoften are strongly affected by management of Federal lands.Strong links of the community to appropriate agencies andpolitical power bases can help forestall potential problems.As the population of a rural community or region grows,there usually follows a demand for development. Thecommunity leaders’ ability to establish effective links tooutside organizations enhances their capacity to draw inoutside resources. However, too many links may bringoverdevelopment and limit the local residents’ ability tomake decisions regarding their governance and livelihood.Factors important to assessing the nature of outside linkagesinclude:

1. Local ties to the State and Federal Governments

2. Previous Federal/State grants and other programs

3. Nature of regional, national, or international businesses/agencies in the area

4. Proportion of local residents who are relative newcomersto the area

Methods of data collection—Because outside linkages canbe formal or informal, positive or negative, assessing andinterpreting their beneficence can be difficult. The type and

number of businesses, agencies, and organizationsrepresenting outside interests are available in the classifiedsection of most telephone directories. Information aboutindividual and group ties to outside agencies and interestsmay be available through personal interviews withcommunity leaders. Local government officials may haveexperience with gathering financial and informationalassistance from outside agencies.

Distribution of Resources and Power

Indicators—Resources and power usually are distributedamong various stakeholders. For the purposes of identifyingsuch individuals, agencies, and organizations, the termstakeholder means any individual or group whoseenvironment, economy, or social organization is connectedto ecosystem management processes or outcomes, and thosewho could be affected by ecosystem management decisions(Branch and others 1984). It is important to identify allstakeholders. Some individuals or groups may be unpreparedto speak for their specific interest, and some may be unawarethat they have a stake. Nonetheless, the manager or plannermust ensure equitable treatment of all. Economic equity,especially in employment opportunities and environmentaljustice, are important considerations. In some areas, uniquecultural groups may be affected by environmentaldevelopment, or even hazards, to a greater degree thanothers. Such environmental injustice not only is unfair; italso may adversely affect the very fabric of life within anentire community. A social assessment that discovers suchsocial inequities must present evidence of environmentalinjustice in as unbiased a manner as possible. Other factors,including the size and structure of local government, thepresence of private organizations and stakeholder groups,and the community’s behavioral norms, can also providesignificant clues about how resources are distributed andwho influences their distribution. Factors useful in assessingresource distribution and power include:

1. Equity

2. Environmental justice

3. Size and structure of local government

4. Presence of stakeholder groups

5. Norms

Methods of Data Collection—Data about economic,employment, and housing equity are available in U.S.Census Bureau statistics. Such data consider income,occupation, and housing characteristics for the wholepopulation and for major ethnic groups. Similar informationis available in other public files. Driving through ageographic area can provide insights about resourcedistribution; but, one must keep in mind potential problemswith such subjective assessment. Personal interviews withservice providers can help identify the extent to whichvarious groups use resources. Planning and zoning laws are

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available at government offices. Identification of formalstakeholder groups should be relatively easy because theirties are directly with the natural resource base. Identificationof informal stakeholder groups, whose ties to the naturalresource are more personal and less obvious, may be moredifficult. Interviews with key personnel in the community,reviews of local newspapers, and intuition may be the mosthelpful ways to identify persons who are connectedinformally to natural resource management. Focus groupswith persons of color, or personal interviews with thepotentially disenfranchised can be particularly useful inexamining perceived inequity.

Community Resilience

Indicators—Resilience is the ability to adapt to change.Termed coordination and cooperation by Branch and others(1984), community resilience is a population’s ability tocoordinate efforts and resources in a way that establishescooperation among individuals, stakeholders, andgovernment officials. It is a particularly importantcomponent of social assessment because it can be used tomeasure the possible special effects of proposed specificmanagement actions. A community’s ability to coordinate itsefforts and resources depends on its social, economic, andgovernmental complexity; the character of its communityleaders; the extent of its outside linkages; and characteristicsof the issue(s) at hand. Factors to consider when assessingcommunity resilience include:

1. Coordination in recently initiated projects

2. Existing coordinative mechanisms

3. Persistent conflicts or issues

Methods of data collection—Information about acommunity’s coordinative mechanisms and cooperativeprocesses can come from personal and group interviews withcitizens and their leaders. Those individuals who are activein community affairs and decision making at various levelsare important sources of such information. Previouscommunity response to projects will help identify generalpatterns. It is especially important to ensure that informationis gathered from a broad cross-section of people.

Dimension V—Public Perceptions and Well-Being

An important part of social assessment is the examination ofpublic attitudes towards the issues and the public’sconnection to the affected resources. In addition, conceptsrelated to general perceptions of the community and itsquality of life are important components of a community’ssense of well being. Important concepts in this dimensioninclude perceptions of natural resources, connection tonatural resources, and perception of well being.

Perceptions of Natural Resources

Indicators—The ways community residents perceive theirrelationship to the natural world is an important aspect of thesocial environment. The manager or planner can measureperceptions of management issues and agency credibility.Measurements will illustrate attitudes toward specific issues,support for policies, and actual behavior. Information aboutperceptions towards ecosystem management issues shouldcome from individuals or groups other than opinion leadersor important stakeholder groups. Efforts should be made tohear from all affected publics. The forest planner or managermust decide how to weigh the perceptions of differentgroups or influential individuals, and to consider thepositions not only of individuals but also of organizationssupported by stakeholder groups. Citizen groups often willhave well-formed opinions on ecosystem managementissues. Whether they are formally organized or not, a group’sopinions may be highly influential within a community.General perceptions about ecosystem management issuescan be inferred from measures of attitudes and the reasonsfor those attitudes (related to both cognitive beliefs andemotions) and issue-related behaviors, as well as personallyheld values relevant to natural resources. These factorsinclude:

1. Values and beliefs related to natural resources

2. Attitudes towards natural resource issues

3. Values and beliefs related to natural resources supportedby stakeholder groups

4. Attitudes towards natural resource issues supported bystakeholder groups

Methods of data collection—A variety of methods may beused to collect information about attitudes; but primary datacollection methods are the most prominent. When attitudesrepresentative of a larger population are important to theassessment, quantitative techniques such as telephonesurveys and mail-back questionnaires are effective. Thesetools are especially useful when significant policy decisionsmay be at stake and public opinion is particularly important,as well as when issues of interest are particularly contentiousor controversial. In those instances, the researcher will wantto hear from less-vocal segments of the population.Qualitative methods, although often sacrificing therepresentative nature of attitudes, allow the researcher toobtain rich, in-depth information about issues. Individualinterviews or focus groups will provide a variety ofinformation about the individual’s or stakeholder’s valuesand opinions. When possible, the researcher should usemultiple sources of attitudinal data to ensure the reliabilityand validity of the information.

Connection to Natural Resources

Indicators—A community’s connection to natural resourcesis based on public perceptions, attitudes, and values. It

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reflects the individual’s feelings about the natural world, aswell as the community’s. Those feelings will be derived fromparticipation in outdoor activities, pursuit of income, andresource uses that support community and family traditions.Factors to consider in assessing personal connections tonatural resources include:

1. Importance to recreation and tourism

2. Importance to livelihood

3. Importance to customs and traditions

4. Sense of place

Methods of data collection—Quantitative and qualitativedata collection methods both can be used to collectinformation about an individual’s connection to theresources. Telephone surveys and mail-back questionnaireswill provide general, representative information. More in-depth information will require open-ended personal or groupinterviews.

Perception of Well-Being

Indicators—Analyzing the sense of well-being incommunities is an important part of the social assessment;and the social scientist must look at both behavioral andsituational conditions. Quality-of-life perceptions arereflected in crime and divorce rates, unemployment, andsimilar data. The perceived quality of and access tocommunity facilities and services also are important. Finally,

an assessment of community satisfaction should be obtainedby examining aspects of the community that are mostimportant in contributing to such satisfaction; e.g.,satisfaction with community services, interrelationshipsamong residents of the communities, satisfaction withschools. Factors to consider in assessing perceptions ofcommunity well being include:

1. Behavioral and situational conditions

2. Perception of access to facilities, services, and resources

3. Community satisfaction

Methods of data collection—Behavioral and situationalconditions can be assessed by a variety of methods. Crimerates are available in community, county, and State records.A first step in assessing this component is to conductpersonal interviews with local law enforcement officials.Information about divorces and suicide are available fromU.S. Vital Statistics and from similar compilations of data atthe State level. Information about public assistance andwelfare is available at local service agencies and the State’sDepartment of Social Services. Perceptions of access tofacilities, services, and resources (see Dimension III), aswell as assessments of community satisfaction; i.e.,individual perceptions of well being within the community,are attitudinal components. These may be assessed using avariety of quantitative and qualitative data collectiontechniques, including telephone surveys, mail-backquestionnaires, and personal interviews with citizens andcommunity leaders.

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Part II

Data Collection

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Chapter 4

Collection and Use of Secondary Documentary and Historical Data

Prior to developing and administering studies to collectprimary data, the researcher should determine whetheradditional information collection is necessary. Data thatalready have been collected are called secondary. Secondarydata can be used to complement and validate primary dataand to cover topics about which it is not possible to collectprimary data. Secondary data also may reduce or eliminatethe need to collect primary data. This chapter discusses thenature of three types of secondary data: (1) statistical andnonstatistical documentary data, (2) historical data, and (3)literature from previous research. These types of data maynot be mutually exclusive. For example, statistical andnonstatistical documentary data may be importantcomponents of an historical analysis. Also, use of eitherprimary or secondary data will require literature search.

The Identification and Collection of SecondaryDocumentary Data

Secondary documentary data may have been collected for apurpose other than a social assessment; they may, however,provide information that is highly relevant. Secondarydocumentary data can be used descriptively and analytically(Branch and others 1984). They may describe characteristicsof the social environment in terms of historical trends andcurrent conditions. For example, census data can identifyspecific characteristics of a community and the stability orvariability of those over time (trends). Secondarydocumentary data also can be used to determine whatinformation is likely to be important, what types of socialimpacts are likely to occur, and what meanings such impactsmight have on citizens and the community.

Several sources of secondary documentary data will help thesocial scientist to discern the social make-up of a community,as well as its propensity for change. Such data sources willhelp describe a community’s historical context, its economicand demographic characteristics, its institutional structure,and the level of infrastructure and services that support it.Although secondary data sources do not provide directinformation about community attitudes and values, the socialscientist can make inferences through careful analysis.

Sources of Secondary Documentary Data

The range of potential secondary sources of socialassessment data is very broad and will differ from site tosite. Secondary documentary data are either statistical ornonstatistical. Statistical data may come from documents

that provide numerical descriptive information about theregion, such as statistical reference books and votingrecords—documents that lend themselves to quantitativeanalysis. On the other hand, nonstatistical secondary data arenarrative and therefore not generally useful in quantitativeanalysis. Nonstatistical data are found in autobiographies,minutes of meetings, legal documents, newspapers, localhistories, maps of the area, telephone directories, and othersources. Some of the most useful sources of secondarydocumentary data are described below.

The U.S. Census

The United States has the most comprehensive recent andhistorical data about its population in the world. Available inthe census and other secondary data sources aredemographics, employment, occupation, income, leisure,health, migration, and many of other population andindividual characteristics. Information about incomedistribution, employment by sector, education, and housingtype, and other social factors is available at the regional,State, and county levels. Below is a description of somestatistical source books now available. These sources wereadapted from Cordell and others (1999) and Miller (1991).For a more detailed discussion of the use of U.S. Censusinformation in research, see R.E. Barrett’s (1994) Using the1990 U.S. Census for Research, published by SagePublications in Thousand Oaks, CA.

U.S. Bureau of the Census; Statistical Abstract of the UnitedStates—Decennial data for the U.S. are arranged in over 30sections that include information about population; vitalstatistics, health and nutrition; immigration andnaturalization; education; law enforcement; area, geography,and climate; public lands, parks, recreation, and travel; laborforce, employment, and earnings; social insurance andwelfare services; income, expenditures, and wealth;communications and power; forest and forest products;fisheries, mining, and mineral products; construction andhousing, and a variety of other categories. In addition, anannual statistical abstract is available on CD-ROM. It is avaluable statistical reference and guide to more than 250government and private statistical publications.

In the 1980 census, the U.S. Census Bureau beganincreasing the number of geographical areas covered.

Governmental units:

1. The United States, Puerto Rico, and outlying areas underU.S. sovereignty or jurisdiction

2. States, counties, and county equivalents

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3. Incorporated places such as cities and villages

4. Minor civil divisions (MCD) of counties such astownships

5. Congressional districts and voting districts

6. American Indian reservations, associated trust lands, andAlaska Native Regional Corporations

Statistical units:

1. Four U.S. census regions and nine census divisions, allof which are groupings of States

2. Metropolitan areas census county divisions (whereMCD boundaries are not satisfactory)

3. Census designated places

4. Urbanized areas

5. Alaska Native village statistical areas

6. Tribal designated and jurisdictional statistical areas

7. Census tracts (statistical subdivisions of metropolitancounties having an average population of about 4,000)

8. Block numbering areas (BNA; statistical subdivisionsof counties without census tracts having an averagepopulation of about 4,000)

9. Block groups (groupings of census blocks withincensus tracts and BNAs having an average populationof about 800)

10. Blocks (the smallest census geographic area normallybounded by streets or other physical features having anaverage population of fewer than 100)

U.S. Census of Population by States—Contains decennialinformation about urban populations = 2,500. Includespopulation size by gender, major occupation groups bygender, family income, industry groups, ethnicity and racialstatistics, age of population, formal education completed,and marital status.

U.S. Bureau of the Census; Historical Abstracts of theUnited States: Colonial Times to 1970—This publicationprovides historical information about data found in the U.S.Bureau of the Census statistical abstracts.

The City and County Data Book—Lists information aboutemployment, income, elections, banking and finance,business enterprises, and education for each county in theUnited States and cities = 25,000. Published by the Bureauof the Census, it is available on CD-ROM.

Other Federal Publications

In addition to census data, various Federal agencies andbureaus provide useful information. The Department ofHousing and Urban Development, the Department of theInterior, the Department of Education, the EnvironmentalProtection Agency, the Bureau of Labor, and the Department

of Energy all provide information that may be useful insocial assessment. Use of many of these information sourceswill require active search processes, especially those notpublished by the U.S. Government Printing Office. The bestapproach is to contact any agency office and ask whatinformation they provide.

State Publications

State governments maintain a significant amount ofinformation about schools, taxes, and social services that areimportant in a social assessment. Generally available at thecounty level, some information is available in State offices.A State’s annual vital statistics report, which providesinformation on marriages, divorces, county population,infant mortality, among other things, is a useful informationsource. Counties often will provide crime statistics; and FBIUniform Crime Reports provide both State and nationalinformation. The States often will release employment andother economic data at various geographic scales.

Other Sources of Secondary Documentary Data

The Municipal Yearbook—This annual publication serves asa reference to municipal governments. It provides factsabout the role of city governments in education, housing,welfare, and health, among other things.

U.S.A. Counties—Available on CD-ROM, data in 33 majorsocioeconomic categories are available for each county inthe U.S. This electronic format allows the user to summarizein tabular form, export to spreadsheets, or map usingLandVIEW software.

Regional Economic Information System—Available on CD-ROM, this publication presents estimates of personal and percapita income for metropolitan areas and counties. A two-page summary of economic information for each State,metropolitan area, and county is updated in mid-May by theBureau of Economic Analysis and may be obtained bycontacting the Department of Commerce, Bureau ofEconomic Analysis.

Where to Find Government Information

Most college and university libraries have census reports andother up-to-date statistical information. In addition, manypublic libraries carry the principal statistical reports relevantto their communities. City planning offices, city governmentlibraries, mayor’s offices, chambers of commerce, and otherprivate and public agencies also often have relevant censusrecords and other reports. State and Federal offices haveinformation about where to find additional data. Order formsfor census materials may be obtained by writing to thePublications Services Division, Social and EconomicStatistics Administration, Washington, DC 20233. Adescription of products available from the U.S. Census

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Bureau can be found in the Census Catalogue & Guide, whichis published annually by the U.S. Department of Commerce.That document provides a comprehensive reference foranyone using census data. Below are the regional offices ofthe U.S. Census Bureau, as well as telephone numbers andStates covered (Salant and Dillman 1994).

Regional office andtelephone number Region covered

Boston, MA Maine, New Hampshire,(617/565-7200) Vermont, New York (selected

counties), Massachusetts,Connecticut, Rhode Island

New York, NY New York City, Nassau,(212/264-4730) Orange, Rockland, Suffolk, and

Westchester counties, PuertoRico

Philadelphia, PA Pennsylvania, New Jersey,(215/597-8313) Delaware, Maryland

Charlotte, NC District of Columbia, Virginia,(704/371-6144) North Carolina, South Carolina,

Kentucky, Tennessee

Atlanta, GA Georgia, Alabama, Florida(404/730-3833)

Kansas City, KS Kansas, Oklahoma, Arkansas,(913/236-3728) Missouri, Iowa, Minnesota

Detroit, MI Michigan, Ohio, West Virginia(313/226-7742)

Chicago, IL Indiana, Illinois, Wisconsin(312/353-0980)

Denver, CO North Dakota, South Dakota,(303/969-7550 Nebraska, Wyoming, Utah,

Arizona, Colorado, NewMexico

Los Angeles, CA California(818/904-6393)

Seattle, WA Washington, Montana, Idaho,(206/728-5314) Oregon, Nevada, Hawaii,

Alaska

Other Secondary Sources

In addition to statistical source books, a variety of otherrelevant secondary data sources are available.

National Survey on Recreation and the Environment(NSRE)—This is the most recent, up-to-date collection ofdata on recreation participation, attitudes toward wildlifeand wilderness, preferences for selected managementoptions, recreationist demographics, and profiles of outdoor

recreational trips. For copies, contact the USDA ForestService, Recreation, Wilderness, and Urban/WildlandResearch, 320 Green Street, Athens, GA, 30602-2044, or goto the Web site http://www.srs.fs.fed.us/trends.

National Survey of Fishing, Hunting, and Wildlife Associ-ated Recreation (NSFHWAR)—This publication providesrecords of an ongoing Federal study about trends in fish- andwildlife-based recreation. The last release was in 1996, andit is updated every 5 years. It provides information aboutparticipation, demographics, and a wide range of otherwildlife-oriented questions. Survey data are available onCD-ROM from the U.S. Fish and Wildlife Service.

1995-96 National Private Land Ownership Survey—Available from Forest Service offices in Athens, GA, or onthe Web site http://www.srs.fs.fed.us/trends, this publicationincludes information from a survey of rural privatelandowners. Surveyors asked participants about their reasonsfor owning land, management practices they use,recreational access their property provides, their posting andleasing practices, and their attitudes about environmentalissues. They also recorded owner demographics. The USDAForest Service has developed descriptions of privateownership for several regions of the country.

Previous primary data collection efforts—Primary datacollection within a region and about a population of interestalready has been conducted; and such data will preclude theneed for additional surveys. Sometimes surveys fromanother geographic region can shed light on issues andconcerns that the researcher will need to address whenassessing his or her own region.

Records of Public Meetings, Scoping Sessions, PublicComments, and Surface-Owner Consultations, OtherBureau or Agency Plans or Data Sets on the Communityor Region

Comprehensive county plans—Many counties have compre-hensive plans that provide valuable background informationabout the area of interest, the institutional structure, andforecasts for future development. These plans usually areavailable in the local library or area planning board.

Environmental impact statements and socioeconomicstudies—State or Federal agencies or private companies mayhave prepared environmental impact statements or othersocioeconomic studies within the geographic region that isto be assessed. Such documentation may provide importantbackground information about an area’s social environment.Local chambers of commerce also may have commissionedsocioeconomic studies. The National Forest Systemroutinely collects and analyzes data directly related torecreational use within natural areas, which describe thedemographics, preferences, attitudes, values, and economicimpacts of recreation visits.

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Local histories—Local authors often will have publishedhistories of a local area. While such publications may appearrich with information about the area, the researcher mustcarefully consider potential author biases.

Maps—A researcher should review accurate maps of townsand counties in the area. Sources may include local highwaydepartments as well as atlases produced commercially.

Lists of public officials—Lists of locally elected andappointed officials, agency directors, and their primaryduties provide important information about an area’sinstitutional structure. State agencies, chambers ofcommerce, or city and county administrators usually will behelpful when compiling such a list.

Local newspapers—In their coverage of most major,controversial issues, current editions of local newspapers canhelp identify stakeholder groups, as well as related conflictsamong various groups and individuals, and how thecommunity deals with these issues. Past issues ofnewspapers can provide corroborating information aboutissues and events described in local histories.

Local telephone directories—A local calling radius oftendefines the extent of a community. A directory’s divisions,by community, often will identify the major settlement andall of its satellite communities, which may not be listed inother sources. It also will provide information aboutbusinesses and services, especially in small towns.

Business credit ratings—Business credit ratings can provideinformation about community power relations. For example,Dun and Bradstreet reference books describe localeconomies, using information about business types in theregion, the date of their establishment, tenure of their currentmanagement, estimated financial strength, and businesscredit rating. Such information is helpful in determiningpredominant businesses types, whether they are locallyowned, and their relative stability.

Conducting an Historical Analysis

An historical analysis of a community or region constitutesone type of secondary data. Such a history may be useful inframing the context in which residents will experience orreact to ecosystem management policies and practices. Theanalysis may broaden our understanding of the communitystructure and social attitudes that have evolved over time,relative to a given ecosystem management issue.

The Use of Historical Documents

Historical information usually includes secondary data thatdescribe human uses of natural resources in a geographicregion. Generally, historical analysis will explore communityorigins, past and present responses to natural resource

planning issues, and the distinctive communitycharacteristics that directly or indirectly affect localresources.

Steps in an Historical Analysis

Because an array of historical documents may be available,it is appropriate to take several steps in pursuing historicalanalysis:

1. Assess the availability of documents and select thosemost relevant

2. Select sources, and read and analyze them closely

3. Identify data sources that may be controversial

4. Select documents that provide information useful insocial assessment

Step 1. Assess the availability of historical documents andselect those most relevant. Tasks might include:

1. List potential sources of useful documents

2. Identify readily available sources and identify specificdocuments

3. Select sample documents from each source

4. Study documents for useful information

5. Develop a systematic process for analyzing the contentsof each record

6. Determine the data’s usefulness in social environment

7. Evaluate whether future analysis of each data source willbe necessary and worth additional time and effort

Step 2. Select sources and read and analyze them closely.The researcher should consider what the documents revealabout population groups, lifestyles, and leadership roles inthe area of study; the type of and interrelationships amongcurrent social institutions; the interdependence ofsocioeconomic and interest groups; and how the communityor individual citizens cope with problems and address issues.

Step 3. Identify data sources that may be controversial. Whatis the best source of important information? What types ofstatistical source books would have such information?Would newspapers or interviews with longtime localresidents provide better historical information than othersources?

Step 4. Select documents that provide information useful insocial assessment. The researcher must now identify orchoose a sample of items appropriate for further analysis.Many historical documents might be incomplete, and theresearcher must take several factors into account whenselecting a historical document for review:

1. The availability of other comparable sources. Havingmore than one source of the same information increasesits reliability

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2. The records completeness

3. Cost and other practical considerations

Conducting a Literature Search from PreviousResearch

It is unlikely that the social scientist will be addressing aproblem so unique that previous research has not been done.Literature-search resources are extensive. They fall into fourbasic categories (Miller 1991): (1) indices to periodicalliterature, (2) computer-assisted reference services, (3)microfilm-microfiche media, and (4) specialized indices.Each is available in most university libraries. For a moredetailed discussion of these resources, see Miller (1991).

Indices to Periodical Literature

A variety of indices to social science periodicals areavailable:

Social Sciences Index—This is a cumulative index toEnglish-language periodicals. It contains the latestinformation available in anthropology, area studies,economics, environmental sciences, geography, law andcriminology, medical sciences, political sciences,psychology, public administration, sociology, and otherrelated subjects. It is published quarterly and contains authorand subject entries. For a list of periodicals indexed there,see Miller (1991).

Sociological Abstracts—This author and subject indexbriefly describes every research article published in 24areas: methodology and research, sociology, socialpsychology, group interactions, culture and social structure,organization management, social change and economicdevelopment, mass phenomena, political interactions, socialdifferentiation, rural sociology and agricultural economics,urban structures and ecology, sociology of the arts,sociology of education, sociology of religion, social control,sociology of science, demography and human biology, thefamily and socialization, sociology of health and medicine,social problems and social welfare, sociology of knowledge,community development, and planning, forecasting, andspeculation. In addition, abstracts of papers presented atannual meetings of the American Sociological Associationare included each year as a supplement. This information isavailable on CD-ROM as Sociofile.

Social Sciences Citation Index (SSCI)—This is a calendar-year index that covers items in more than one thousandsocial science journals from around the world. The SSCIprovides specific information about where and by whom apaper has been cited in the literature. It is also a helpful aidin following particular articles and identifying researchersworking on special problems.

Current Contents: Social & Behavioral Sciences—This is aweekly listing of the contents of selected journals and somebooks in the social and behavioral sciences. It includes anindex of authors and title key words.

Psychological Abstracts—Similar to Sociological Abstracts,this journal contains subject and author indices of generalpsychology, psychometrics, experimental psychology,physiological psychology and intervention, communicationsystems, developmental psychology, social processes andissues, experimental psychology, and personality, amongothers.

Resources in Education—This is a monthly abstract journalpublished by the Educational Resources Information Center(ERIC) of the National Institute of Education (NIE).Catalogued by author, subject, and responsible institution, itprovides the educational community with research reportsand other nonjournal literature.

Computer Assisted Reference Services

Hundreds of university libraries in the U.S. provide onlinesearch access to bibliographic citations. These are useful inaccessing many of the indices to periodical literaturediscussed previously.

Microfilm-Microfiche Media

Such media include books, newspapers, magazines,scientific journals, and doctoral dissertations on microfilm.In addition, indices such as Sociological Abstracts areavailable on microfiche.

Specialized Indices

Published indices provide descriptions of demographics ofinterest across a variety of social dimensions. Such indicesinclude: (a) Population Index, which provides a bibliographyof demographic research; (b) Population Bibliography, theworld’s largest single computer data base for monographs,journals, technical reports, etc., maintained at the Universityof North Carolina Population Center; (c) InternationalPopulation Census Bibliography: Revision and Update,which contains citations of reports from population censusesfrom 1945 to 1977; (d) American Abstracts, which is acomprehensive index of statistical publications from morethan 400 central or regional issuing agencies of the U.S.Government; and (e) Statistical Reference Index, offeringinformation on State government publications, statisticalstudies by universities, independent research organizations,and business organizations.

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Advantages and Disadvantages of SecondaryData

Like every source of data used by researchers doing socialassessments, secondary data have both advantages anddisadvantages:

Advantages Disadvantages

Data collection takes less It may be hard to identifytime, money, personnel, and biases in historical records.travel than primary datacollection, especially when It is hard to determine thedata are gathered reliability and validity ofcontinuously. some secondary data.

Use of most documentation Interpretation of secondarydoes not require author data, especially historicalpermission. data, is often subjective, and

will differ from reviewerIt increases the researcher’s to reviewer.familiarity with the studyarea’s social climate. Secondary data records may

be incomplete or out-of-date.It provides baseline data,which give the researcher anability to analyze trends.

It may offer unique andsocially colorful informationthat field researchmethodologies cannot.

The diversity of secondary data sources and the likelihoodthat study results are available give the reviewer anopportunity to compile, review, prepare a bibliography, andlook for additional reports.

A World Wide Web Tool for CollectingSecondary Information

We have developed a World Wide Web site to aid the forestplanner in collecting some important social assessment data.The site also provides information about the developmentand use of an HDF for conducting social assessments. Itallows retrieval of secondary social information throughdirect and guided access to the Social, Economic,Environmental, Leisure, and Attitudes (SEELA) data set(Betz 1997). SEELA is a nationwide collection of socialinformation at the county level, providing both direct andguided access. Direct access allows immediate, onlineretrieval of any variable in the SEELA data set by economic,social, and demographic categories. Guided access isconsistent with the HDF matrices presented in chapter 3. Itprovides immediate online retrieval of variables in theSEELA data set framed within and driven by the eight socialassessment and forest planning questions. Guided access isuseful to those unfamiliar with many of the socialdimensions, indicators, and variables used in the site.

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Chapter 5

Developing and Administering Survey Research

This chapter describes methods of data collection usingsurvey methodologies. Three are discussed: self-administered questionnaires, telephone surveys, andpersonal interviews. Self-administered questionnaires andtelephone surveys primarily are used to collect quantitativedata, although it also may be possible to collect qualitativedata with them. Using personal interviews, it is possible tocollect both. We first examine general factors that influencethe decision on which survey methodology to use. We thendiscuss each of the survey methodologies, considering theadvantages and disadvantages of each, and use severalfactors to compare the three. We provide a bibliography ofpublications about conducting self-administered, telephone,and personal interview surveys.

Factors Affecting the Survey Method Decision

Decisions about which method to use will depend on anumber of variables that the researcher must consider(Fowler 1995); e.g., sampling, type of population to besurveyed, structure of the questions to be asked, content ofquestions to be asked, survey organization, pretesting thesurvey, desired response rates, cost, facilities available, andlength of time for data collection.

Sampling

How the researcher will draw a sample will depend on thedata that are available; e.g., if one is going to draw a samplefrom a list of potential respondents, available informationabout the respondents. If the list has no current addresses ortelephone numbers, data collection using a mail-backquestionnaire or a telephone survey would be impossible.When the sample is based on a set of addresses, mail-backprocedures would appear to be the most logical method,although personal interviews taken at those addresses mayprovide better data. Telephone surveys may be made usingcommercially published telephone directories that listnumbers by address rather than surname. If telephonenumbers are not available for all addresses, it may befeasible to use another method of data collection too. Whenusing a list with street addresses, it is important to make surethat apartment unit designations are available in order todifferentiate among residents of a multiunit dwelling. For amore specific discussion of sampling techniques, see chapter8. Also, there are now private companies that will providerandom and nonrandom samples of names, addresses, andtelephone numbers.

Type of Population

Two characteristics of a population will influence the choiceof data collection methods; the ability and the motivation tocomplete a survey. When deciding which data collectionmethods to use, it is important to consider abilities such asthe respondents’ reading and writing skills. Obviously, self-administered approaches; e.g., mail-back and householdsurveys, place a greater burden on respondents who may beeither relatively uneducated or, although they can speakEnglish, have low reading and writing skills. People who donot see well probably would find a personal interview easierthan a self-administered survey.

Motivation to complete a survey is generally highest amongthose who have an interest in the subject of study. For them,the mail-back procedure is well suited. On the other hand,low ability or low motivation suggests that a personalinterview technique would more effectively draw responsesfrom the interviewee.

Question Structure

The structure of questions asked will influence and beinfluenced by the data-collection method used. The structuremay be open-ended, close-ended or fixed item, or partiallyclose-ended.

Open-Ended Questions

Open-ended questions invite respondents to expressthemselves freely and in their own words. Generally, suchquestions are used when the researcher expects a broadrange of responses to a question; they allow the researcher toexplore a broad base of information about an issue. Theyalso encourage respondents to explain their positions, givingthe researcher a more in-depth view of public opinion.However, open-ended questions ask the respondent toarticulate his or her position, and communication skills varywidely among the individuals surveyed. In addition, thebroad range of responses to open-ended questions makessystematic analysis difficult.

Close-Ended Questions

Close-ended, or fixed-item questions are multiple-choice andmay be of two types: ordered or unordered. Ordered choicesare increasing or decreasing steps or grades of a concept;and the response given will represent position along acontinuum. Examples include Likert (1967) scales, semantic

42

differential scales, ranking scales, and rating or self-assessment scales. Unordered choices typically arechecklists requiring categorical response(s).

Partially Close-Ended Questions

Partially close-ended questions provide fixed-responseschoices but invite respondents to answer for themselves orprovide additional information. Among the choices listedwith this type of question will be one allowing therespondent to elaborate on his or her response to a questionor questions.

Question Structure and Data Collection Method

Self-administered questionnaires most commonly use theclose-ended question structure. Because there is nointerviewer present to probe the respondent who providesincomplete answers, such questionnaires may not producedata that are highly useful. However, open-ended questionsmay be used on a self-administered questionnaire tosupplement responses to a variety of close-endedquestions.

Although close-ended questions may be used in telephoneor personal interviews, they are best used in self-administered surveys. For example, when a large number ofquestions are posed similarly or offer the same responsechoices, it is easiest to have the respondent read them. Thisis especially true of telephone interviews. In personalinterviews, the researcher can hand interviewees a card withthe response choices listed on them. If visual aids arenecessary, the self-administered or personal interview isprobably best. The connection between question type andthe most appropriate data collection method is largely anissue of common sense.

Writing Questions

Previous research and researcher intuition are useful whenwriting questions. Although wording will depend on theissue being researched and the information desired, severalpoints should be considered carefully when building thequestionnaire.

Consideration Explanation

1. Use language the Use special terminology forrespondent will respondents with expertise inunderstand. the subject issue(s); common

language for the generalpublic.

2. Use words with Slang or provincial languagecommon meanings. may not be understood in

the same way by all people.

3. Avoid long questions. Long questions may beambiguous and confusing.

4. Do not assume Respondents may not admitrespondents know or they don’t know somethinghave opinions about the researcher assumes theythe issue. do.

5. Avoid ambiguous Responses to ambiguouswording. questions may not be

addressing the right issues.

6. When using a close- Suggesting only some ofended question structure, the possible responses willinclude only those reduce the quality ofquestions for which you gathered information.can list all possiblealternative responses.

7. Avoid biased or leading Biased questions suggest thatquestions. only one is appropriate.

8. Phrase questions so Do not include personal orthey are value-neutral. incriminating questions.

9. Avoid the negative Questions in the negativevoice. voice may be confusing.

10. Frame questions about Combined questions area single idea. ambiguous.

11. Ask simple questions. Questions requiring extendedeffort are often not answered.

12. Make sure answer Similar questions yieldchoices are separate ambiguous data.and distinct.

Question Content

The effectiveness of methods used to collect data aboutsensitive subjects will vary. Fowler (1993) offered thefollowing generalizations about sensitive issues and datacollection methods:

1. The perception of anonymity probably makes self-administered surveys at least as good as telephone andpersonal interviews.

2. More than other survey methods, telephone interviewsmay elicit socially biased responses; i.e., respondents arelikely to give answers they think are socially acceptable.

3. Regardless of data collection method used, personalcontact with the respondent prior to data collectionimproves chances of getting his or her reaction tosensitive issues.

Question content may also make it hard for the respondent toprovide information, particularly when such information isabout behaviors or other complex and long-term humanphenomena. Generally, self-administered questions workbetter in this case because they give the respondent time tocontemplate his or her response.

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Organizing the Survey

Survey organization is important. Often, little attention isgiven to the order of questions. To assuage concerns thatrespondents might not complete a survey, researcherstraditionally have begun by asking the easiest questions first.Although that tradition is generally sound, there is more toconsider in ordering questions than ease of response. Thefollowing list provides basic principles of orderingquestions.

Principles for Ordering Questions on a Survey

1. Questions about the respondent’s age, occupation,education, income, or marital status may extinguish anyinterest in completing a questionnaire.

2. Decide whether one or several questions are necessary toobtain the needed information.

3. Questions should be presented in descending order ofimportance to maintain respondent interest in completingthe questionnaire.

4. Questions about the same general subject should begrouped.

5. Open- or close-ended questions about a subject shouldbe by question structure.

6. Potentially objectionable questions about a subjectshould follow non-objectionable ones.

7. Open-ended questions about a subject, which require themost thought and writing, should be placed at the end ofa questionnaire.

Pretesting the Survey

Pretesting is one of the most important elements of surveydeveloping, yet it seldom is done sufficiently. Pretestinggives the researcher one more opportunity to improve aquestionnaire’s quality. Several questions should be posedduring pretesting: Is each of the questions measuring what itis intended to measure? Are all the words understood? Doall respondents interpret questions similarly? Does eachclose-ended question have an answer that applies to therespondent? Does the questionnaire create a positiveimpression, one that motivates people to answer it? Arequestions answered correctly? (Are some not answered, anddo some elicit vague or peculiar answers?) Does any aspectof the questionnaire suggest bias on the part of theresearcher (Dillman 1978)?

A pretest should be designed not only to examine thequestions, but also the entire survey. The latter is necessarybecause a respondent’s general impressions will influencehis or her decision to complete the questionnaire. The pretestshould use a form of the survey that is as fully developed aspossible. It should be reviewed by three groups of people.

First, it should be seen by colleagues—individuals who willunderstand the study purpose and be able to evaluate it onthat basis. Second, it should be given to those who might usethe data that are being collected. This group also should befamiliar with the issue(s) and capable of evaluating thequestionnaire for the usefulness of the data it will provide.When these two groups have evaluated the questionnaire andappropriate changes are made, it should be administered to arepresentative sample of the population to be tested, usingthe survey method that will be used in actual data collection(self-administered, telephone, or personal interview). All inthis group should be encouraged to ask questions as theycomplete the questionnaire. This portion of the pretest willhelp identify areas that might be objectionable or causemisunderstanding. Once all three groups have examined orcompleted the pre-test instrument, the social scientist canmake the appropriate changes to the questionnaire andprepare to administer it to the target population.

Desired Response Rates

Response rate is among the most important considerationswhen choosing a data-collection method. Low response ratesintroduce biases in the sample that provides the data. Thissection describes who might not respond and why, andsuggests ways of reducing nonresponse rates for telephoneand personal interviews and mail-back questionnaires.

Who are Nonrespondents?

Three categories of people in a sample typically do notrespond to any survey method (Fowler 1993):

1. Those the data collection procedure does not reach

2. Those who are asked to respond but decline

3. Those who are asked to respond but cannot due tolanguage barriers, difficulty of questions, literacy, andother reasons.

A social assessment that has low return rates may only begetting information from one segment of the sample, inwhich case the results probably will not be representative ofthe population surveyed. Bias will be introduced whenparticipants include only those with a high interest in thestudy’s subject or a higher education. Nonresponse totelephone and personal interviews will introduce bias byexcluding hard-to-reach or handicapped persons. Ifinterviews are conducted only between 9:00 a.m. and 5:00p.m., available respondents may only include domesticspouses, the unemployed, and retired persons (Fowler 1993).The handicapped often live in metropolitan areas, wherehigh-rise or multiple-dwelling residences predominate; andsuch individuals may be hard to find or reside inneighborhoods where interviewers are unwilling to go. Anyor all bias may be reduced by using a telephone interview(Fowler 1993).

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Reducing Nonresponse in Mail Surveys

In developing a mail-back questionnaire, the social scientisttries to contact as many respondents as possible. Generally,response rates will be low, often under 50 percent. However,carefully developed questionnaires that are administered bystrict procedures, and which address issues of publicimportance, often elicit significantly higher response rates.Miller (1991) presented basic steps to improve responserates.

Successive steps for achieving high response rates for mailquestionnaires

1. Prepare the questionnaire as a booklet, through photoreduction and multilithing.

2. Make the cover page attractive and eye-catching.

3. Use straightforward, unambiguous questions, carefullyordered and presented in a visually attractive manner.Questions on the first pages should attract respondents’interest and increase the likelihood that importantquestions of limited interest and appeal will be answered.

4. Prepare a cover letter emphasizing the social usefulnessof the study and the importance of each individualrespondent to the success of the study.

5. Make full use of personalization procedures. Addressrespondents by name—that is, do not use Dear Sir orDear Madam as a salutation—and sign your name.

6. Send questionnaires via first-class mail.

7. Use postcard follow-up 1 week later to remindrespondents to complete the questionnaire.

8. Prepare letters with replacement questionnaires and sendto nonrespondents after about 3 weeks, possiblyincluding a reminder postcard in the period between thequestionnaire mailings.

Reducing Nonresponse in Telephone and PersonalSurvey Research

Two problems must be solved to increase participation intelephone and personal interviews. Access to potentialrespondents should be increased. The interviewer musteffectively enlist cooperation. In order to decreasenonresponse due to availability, the researcher should:

1. Make several calls, including in the evening and onweekends. It is common to make four or five callbacks toa household.

2. Arrange interviews at the convenience of the respondent.

To enlist the cooperation of respondents once they arecontacted:

1. Send potential respondents a letter, expressing the desireto interview them.

2. Effectively and accurately present the purpose and theimportance of the interview.

3. Work to ensure that respondents are comfortable with theinterviewer.

4. Make sure the interviewer understands the need for ahigh response rate and has been sufficiently trained(Fowler 1993).

A popular text that more specifically addresses proceduresfor increasing response rates and explores other surveyadministration issues is “Mail and Telephone Surveys: TheTotal Design Method” by Donald A. Dillman (1978).

Costs of Survey Administration

Mail and telephone surveys usually will cost less thanpersonal interviews, but the professional expertise necessaryto effectively administer a survey is always money wellspent. The researcher may want to hire outside consultantsfor survey planning, design, and administration. Other costfactors include the geographic dispersion of respondents, theavailability of trained staff, and the cost of printing, mailing,and telephone calls. Self-administered (especially mail) andtelephone surveys are relatively inexpensive.

Available Facilities

The availability of staff and facilities will help determinewhich survey method to use. It is difficult and costly to hireand adequately train an interview staff, and attrition amonginterviewers usually will be high.

Length of Data Collection

The data collection timeframe will vary by survey method;e.g., a mail-back survey will take about 2 to 3 months, atelephone survey maybe only a few days. It is harder toestimate the time needed to conduct personal interviewsbecause staff availability and desired sample size often varywidely.

Description of Survey Methodologies

The Self-Administered Questionnaire

The self-administered questionnaire includes questionsdesigned to elicit information or opinions. It is given topotential respondents who have been selected asrepresentative of a larger population. Respondents are askedto complete it on his or her own, and either to mail it back tothe researcher or, if the situation warrants, return it inperson. This is a popular method because it can return a lotof information quickly and at a relatively small expense.Generally, it provides quantitative data, although qualitative

45

information also may be obtained. It allows the researcher toanalyze information from a representative sample. Becausethe self-administered questionnaire is so commonly used,social scientists must try to raise public interest in itscontent. It is most helpful to make the purpose of the studyclear and relevant to the respondent, consider the timenecessary to complete it, and focus on visual appeal andreadability.

Advantages and Disadvantages of the Self-AdministeredSurvey

The list below presents some of the potential advantages anddisadvantages of using a self-administered survey.

Advantages and disadvantages of using self-administeredsurveys

Advantages Disadvantages

• Easier than telephone • Low response rate,interviews when visual requiring intense follow-aids can be used to up effortsclarify questions

• Good reading and writing• Allows more time for skills are needed by the

considered answers respondent

• More uniformity in • Difficult to elicit thought-questions ful answers using open-

ended questions• Gives respondents a

greater sense of privacy • Respondent’s identity isand confidentiality not confirmable

• Interviewer encouragement • Interviewer is not avail-absent able to answer questions

• Minimal staff and facilitiesare necessary

Self-administered surveys may be returned by mail orretrieved by the interviewer. Some potential advantages anddisadvantages of using the mail-back procedures are:

Advantages and disadvantages of using mail-backprocedures

Advantages Disadvantages

• Mail surveys are • More difficult to enlistinexpensive cooperation than methods

with personal contact• Need minimal staff and

facilities • Good mailing addressesare not assured

continued from previous column

• Opportunity for thoughtfulanswers and to consultrecords or other familymembers

• Provides access to broadsamples and hard-to-reachindividuals

Advantages and disadvantages of using householddrop-off and pick-up

Advantages Disadvantages

• Interviewer can explain • Costs as much as personalthe study and answer interviewsquestions

• A field staff is required• Response rates are higher

than mail-back procedures

• Opportunity available togive thoughtful answersand consult records orfamily members

The Telephone Survey

For several reasons, telephone interviewing is anincreasingly popular means of conducting many types ofsurvey research. Roughly 90 percent of the U.S. populationcan be reached by telephone; and personal interviewingcosts about twice as much. Only 5 to 10 percent fewerpeople respond to telephone surveys than to requests forpersonal interviews. On average, response rates fortelephone surveys have been found to be more than 15percent better than for mail-back questionnaires. Finally,there are sampling techniques that simplify access to bothunlisted and published telephone numbers.

Often, researchers will assume that mail-back questionnairescan be converted to telephone interviews by composingverbal introductions, pulling names out of a directory, andcalling and asking questions. In fact, a good mail-backquestionnaire probably will not make a good telephonequestionnaire. Telephone interviews depend entirely onverbal communication; where it is important to make a mail-back questionnaire look good, a telephone interview mustsound good. The telephone interview must link therespondent to carefully worded questions by means of his orher voice and be able to clarify wording and meaning. Thetelephone interview allows the researcher to gather dataquickly and ensure considerable consistency of questiondelivery.

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Advantages and disadvantages of the telephone interview

Advantages Disadvantages

• Lower costs than for a • Requires the use ofpersonal interview trained interviewers

• Sampling techniques, such • Eliminates people withoutas random digit dialing a telephone from the(RDD), make it easy to sampling frameobtain published andunpublished telephone • Limits on the types ofnumbers questions that can be asked

• Ability to cover a broad • Visual aids not an optiongeographic area

• Contact is time-dependent• Data can be collected

quickly • Personal or sensitivequestions may not be

• Greater control over the appropriatedata-collection process

• Multiple attempts to reachan individual are possible

• Response rate probablybetter than mail-backquestionnaire

• Lower respondent literacyrequired than for mail-backquestionnaires

The Personal Interview

A personal interview may be conducted virtually anywhere.It may be highly structured with planned questions orinformal and based on only a few general topic areas.Personal interviews give the social scientist an opportunityto explore intensively any number of subjects. Certain skills,talents, or technique are especially useful when conductingan interview. The interviewer may have to rephrasequestions in a context that the interviewee can understand.The interviewer also must be objective and empathic, notjudgmental or inordinately affected by any of the responsesgiven. At the same time, an interviewer must be bothpersuasive and attentive. Generally, there are three types ofpersonal interviews; the structured interview; the focusedinterview; and the unstructured or free-story interview.

The structured interview

A structured interview presents the respondent with a set ofcarefully worded and arranged questions. Questions aregenerally close-ended; open-ended questions are rarely usedin a structured format. A structured interview’s strengths

include: simple data analysis, ease of comparison amongrespondents, and the ability to ask many questions in arelatively short time. On the other hand, although personalcontact is made, the interviewee may find the processimpersonal and mechanistic. As with the mail-backquestionnaire, the structured interview’s questions alwaysare somewhat inflexible. Denzin and Lincoln (1994)provided the following instructions to the interviewer:

1. Never provide long explanations of the study; use astandard explanation for all interviewees.

2. Never deviate from the study introduction, sequence ofquestions, or question wording.

3. Never let another person interrupt the interview; do notlet another person answer for the respondent or offer hisor her opinions.

4. Never suggest an answer or agree or disagree with ananswer; do not reveal your own personal values.

5. Never interpret the meaning of a question; simply repeatthe question and give standard instructions.

6. Never improvise by adding answer categories or makingwording changes.

The focused interview

Distinguishing characteristics of the focused interview are:

• The persons interviewed are familiar with issues aboutwhich the questions are framed.

• The researcher has analyzed significant elements, patterns,and processes surrounding the issue and developed a setof hypotheses about what information the focusedinterview will provide.

• On the basis of issue analysis, the researcher hasdeveloped an interview guide, which describes majortopic areas and the hypotheses that will help determine therelevance of collected data.

• The interview is focused on subjective experiences ofsubjects who have been exposed to the pre-interviewsituation.

The focused interview is designed to invite the respondent tooffer his or her opinions and perceptions. Prior to theinterview, the researcher will provide an outline of topicsand issues. In developing and using the interview guide, theinterviewer can calibrate the sequence and wording ofquestions to fit the respondent’s frame of reference. Open-ended questions are the primary tool for this type of interview.Strengths of this type of interview are that it providescomprehensive data and a means of comparing responses.Nonetheless, because the interviewer has less opportunity totailor the interview to individual respondents, important andsalient topics could be passed over. Four criteria must be metwhen using the focused interview process:

1. Range—Questions should be structured to reach thewidest range of potential respondents.

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2. Specificity—The questions should elicit very specificreports of the respondent’s experience.

3. Depth—The interviewer should try to determine thevarious ways a respondent might experience or interpretissues.

4. Personal context—The interviewer should identify thepersonal characteristics of potential respondents that willshape their answers. A person’s responses may either bebased on highly personal and unique experiences or on arole that person plays in society.

The unstructured interview

The unstructured, or free-story personal interview, is aninformal conversation that encourages the respondent to talkfreely about subjects to be explored in an assessment.Interview questions emerge from the context of suchconversations; there are no predetermined question topics orwording. Because questions are framed in the context ofinformal conversation, they are likely to be highly salient.The unstructured interview invites self-expression, althoughthe inherent variety of questions asked may yield disparateinformation. Data organization is therefore harder than it isin structured interviews, and at least some responses will beirrelevant.

Advantages and disadvantages of the personal interview

Advantages Disadvantages

• High response rate likely • Tend to cost more due totravel, training, and staff

• Can obtain a highlyrepresentative sample of • Highly trained interviewersthe total population are necessary.

• Misinterpreted questions • Difficult in urban areascan be clarified, resulting where crime is anin more accurate data increasing problem

• Supplementary personal • Difficulty in schedulinginformation aids in times with potentialinterpreting results and respondentsevaluating the sample

• May take more time• Can use visual materials

• Interviewers bias may be• Spontaneous responses reflected in questions

possible

• Interviewer can controlwho responds

• Allows respondent tooffer more information

continued from previous column

• Lends itself to delicate situa-tions and sensitive questions

• Interview languageadaptable to individualrespondents

• Interview length does notaffect refusal rates

Comparing Self-Administered Surveys,Telephone Surveys, and Personal Interviews

Although the self-administered survey, telephone survey, andpersonal interview all have advantages and disadvantages,the researcher must decide which will best address the socialassessment’s goals and objectives. A ranking of each methodon aspects of several factors is listed in table 1.

Table 1—Comparison of mail questionnaires, telephonesurveys, and personal interviewsa

Performance Mail Telephone Personalcharacteristic questionnaire survey interview

Cost 1 2 4

Personnelrequirements—interviewers NA 3 4

Personnelrequirements—supervisors 2 4 3

Implementation time 4 1 4

Sample coverage 3 1 1

Response rate—general public 4 2 2

Refusal rate Unknown 3 3

Noncontact/nonaccessibility 2 2 3

Ability to obtain aresponse from an elite 4 2 1

Control over who isrespondent withinhousehold 4 2 2

Interviewer controlover data collection 4 1 3

Likelihood of sociallydesired response 1 3 4

Item nonresponse 3 3 2

Length of questionnaire—impact on response 3 2 1

(continued)

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Table 1—Comparison of mail questionnaires, telephonesurveys, and personal interviewsa (continued)

Performance Mail Telephone Personalcharacteristic questionnaire survey interview

Confidentiality/anonymity 4 4 4

Ability to ask sensitivequestions 2 2 1

Ability to probe 4 2 1

Ability to clarify 4 2 1

Complex questions 3 3 1

Open-ended questions 4 1 1

Visual aids 2 4 1

a Ranking: 1= major advantage; 2 = minor advantage; 3 = minordisadvantage; 4 = major disadvantage.

Source: Frey (1983).

When deciding which method to use, the researcher maywant to refer to some or all of these comparisons. His or herdecision will require a subjective comparison of ratingelements pertinent to the study. For example, if the mostimportant parameter to consider is keeping costs down, aself-administered mail questionnaire may be best. If gettingtimely results is the most important, a telephone survey maysuffice. If significant and thoughtful information from keystakeholders is important, a personal interview process willwork best.

Bibliography for Conducting Survey Research

Dillman, D.A. 1978. Mail and telephone surveys: the totaldesign method. New York: John Wiley. 325 p.

This very popular publication focuses on how to conductmail and telephone surveys using Dillman’s Total DesignMethod. It has generated a significant amount of researchon ways to increase response rates and eliminate all typesof errors associated with survey research.

Fowler, F.J.; Mangione, T.W. 1990. Standardized surveyinterviewing. Newbury Park, CA: Sage Publications. 151 p.

This publication discusses recruiting, training, andsupervision of interviewers, rapport with respondents, andquestioning techniques. There is a strong focus on limitingerrors attributable to the interviewing process.

Frey, James H. 1989. Survey research by telephone.Newbury Park, CA: Sage Publications. 289 p.

This publication reviews telephone sampling, question-naire construction, question writing, and interviewing. Itcompares telephone, mail-back, face-to-face, and interceptsurveys by cost, response rate, and data quality.

Gorden, R.L. 1992. Basic interviewing skills. Itasca, IL:Peacock. 236 p.

This publication reviews all stages of the interviewprocess—from designing relevant questions toestablishing a proper atmosphere for interviewing. Itexplores ways of listening to the respondent, probingresponses, and recording information.

Merton, R.K.; Fiske, M.; Kendall, P.L. 1990. The focusedinterview: a manual of problems and procedures. 2d ed. NewYork: The Free Press. 200 p.

This publication is the second edition of a classic manualon conducting focused interviews. Topics include thepurposes and criteria necessary, procedures for gatheringinformation of the appropriate range, depth, andspecificity, as well as the use of focused interviewtechniques in group interviews.

Salant, P.; Dillman, D.A. 1994. How to conduct your ownsurvey. New York: John Wiley. 232 p.

This up-to-date reference describes the basics ofdeveloping, planning, and conducting research using avariety of survey methods.

Schuman, H.; Presser, S. 1996. Questions and answers inattitude surveys: experiments on question form, wording,and context. Thousand Oaks, CA: Sage Publications. 392 p.

The authors use more than 30 national surveys conductedover several years to experiment with the open- versusclosed-question formats, as well as strategies for wordingquestions, ordering questions, and response-ordervariations.

[Different editors for each volume]. The survey kit.Thousand Oaks, CA: Sage Publications. 9 vols.

This series of nine publications (available separately)describes various aspects of planning, designing, andadministering surveys. Listed below are titles and authorsof each.

Volume number and title Author

1. The Survey Handbook Arlene Fink

2. How to Ask Survey Questions Arlene Fink

3. How to Conduct Self-Administered Linda Bourque andand Mail Surveys Eve Fielder

4. How to Conduct Interviews by James Frey andTelephone and in Person Sabine Oishi

5. How to Design Surveys Arlene Fink

6. How to Sample in Surveys Arlene Fink

7. How to Measure Survey Reliability Mark Litwinand Validity

8. How to Analyze Survey Data Arlene Fink

9. How to Report on Surveys Arlene Fink

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Chapter 6

Developing and Administering Group Interviews

The mail-back questionnaire, personal interview, andtelephone survey presume a sample or population ofindividual responses will represent perceptions of the wholegroup. An alternative to this approach is the group interview,which is the systematic questioning of several individualssimultaneously in formal or informal settings. This form ofinterviewing, which can be implemented in a structured,semi-structured, or unstructured format, is increasinglypopular among social scientists. Although the groupinterview is not intended to replace individual interviewingor surveying, in many situations it can be used to collect datawithin any social context. Used in conjunction with orinstead of other field research techniques, the groupinterview may provide the researcher with additional data ora perspective not available through individual interviews.Group interview techniques hold important implications forecoregional and forest social assessments.

Even though it is the most common type of group interview,the focus-group interview is only one of several.Brainstorming, consensus building, and natural and formalfield interviews are three other popular types. In this sectionwe will look at the first three, then provide a more detaileddiscussion of the focus group.

Brainstorming

Brainstorming is a popular means of generating new ideas.The interviewer presents an idea or thought, which groupmembers interactively and openly evaluate and consider.The interviewer’s role is passive, and the questioning has nostructure; his or her role is to defer the group from focusingon trivial matters. Some have found, however, that whereassometimes responses are insightful, they are oftensuperficial. It is best to use brainstorming during the initialstages of a group interview.

Consensus-Building Techniques

Consensus-building techniques are structured methods forreaching general agreement, including identification ofappropriate future direction. Here we look at the NominalGroup and Delphi techniques.

The Nominal Group Technique

The nominal group technique includes all group members. Asix-step process for the nominal group technique follows(Delbecq and others 1975):

1. Topic is introduced.

2. Participants write down responses on a card or sheet ofpaper.

3. Responses are listed on a board that is visible to all.

4. Listed responses are clarified.

5. A vote is taken.

6. Votes are tabulated.

The Delphi Technique

The Delphi technique is used when participants areseparated geographically. It relies on the informed judgmentof knowledgeable persons assembled in a preselected panel.The technique is done anonymously with controlledfeedback provided until a consensus is reached. Thistechnique is especially time-consuming. Its basic stepsinclude:

1. A panel of “experts” on the topic is selected.

2. An open-ended questionnaire is sent to the participants.

3. Responses are grouped and tabulated.

4. A second questionnaire asks the panel to rate theimportance of initial responses.

5. The second questionnaire is tabulated and a thirdquestionnaire is sent for additional rankings.

6. This is repeated until a consensus is reached on the issue.

Natural and Formal Field Interviews

Group interviews can take place in two different ways. First,the interviewer may approach a group as it casually forms;e.g., at a campground, a popular trailhead, or highly usedcanoe-launch site. There, the interviewer may first justobserve individual and group behavior and interactions. Theinterviewer can approach the group and pose questions. Onedisadvantage of this technique is that the interviewer’sentrance will alter the group dynamic. This method isparticularly useful when evaluating earlier datainterpretations and when trying to identify biases withinother studies (Frey and Fontana 1993).

Often the natural setting is not conducive to probinginterviews, although the interviewer may still gather valuableinformation. He or she may arrange for group members tomeet in a nearby field setting that is free of distractions. Forinstance, a group or groups of boaters who use a popularboat dock might agree to meet at a campground later in the

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day. A formal field interview will allow the researcher todirect the group interview process and lend legitimacy to hisor her role in the field setting (Frey and Fontana 1993).

Focus-Group Interviews

The use of focus groups is increasingly common. Fiveprimary characteristics of this technique are the use ofmultiple respondents, interaction among participants, thepresence of a moderator, the use of qualitative data, and thepredetermined nature of questions initiating the discussion.

The use of multiple respondents—First the focus group ischaracterized by simultaneous involvement of multiplerespondents, generally ranging from 8 to 10 individuals.Whereas the ideal number may vary from situation tosituation, the focus group should be small enough to allowall participants an opportunity to share their insights, butlarge enough to ensure diversity of perceptions. Some briefguidelines about the composition of a focus group are:

1. Participants should be a reasonably homogeneous group.Depending on the purpose of the study, respondentsshould represent both genders and vary by age,education, and occupation. Nonetheless, each participantshould have an interest or stake in the issue(s). If thesocial scientist wants to hear from several different typesof individuals or groups, multiple focus-group sessionsshould be considered.

2. Ideally, focus groups are composed of people who do notknow each other. Although such composition may bedifficult, it is appropriate for social assessments done atrelatively small geographic levels such as a community.There, close friends and work colleagues should not beincluded in the same group. Familiarity tends to inhibitsocial interchange and often will allow an individual ofauthority to take over the discussion.

Participant interaction—In many interview situations,discussion among respondents may distort the purity ofresponses. However, a focus group’s effectiveness dependson participant interaction. It presents a natural environmentwhere participants influence—and are influenced by—others.

Presence of a moderator—Focus-group sessions should bemoderated by a competent person who is able to manage theprocess. He or she will help focus discussions and ensurethat the goals and objectives are met.

Use of qualitative data—The focus-group moderatortypically uses a questionnaire designed to elicit qualitativedata that reflect participant attitudes, perceptions, andopinions. He or she presents results to the group whichencourage participants to respond in their own words.

Predetermined questions—Focus-group topics are logicallypredetermined and sequenced to make them understandable.The moderator asks open-ended questions that are preparedbefore the meeting, although he or she should memorize andask them conversationally. Unlike the brainstorming,nominal group, and Delphi techniques, the focus group is notdesigned to achieve consensus but, rather, to understand theparticipants’ thought processes as they consider the issuesdiscussed.

The basic philosophy behind the focus-group technique isthat group dynamics efficiently generate more useful, in-depth information. People may feel more secure talkingabout a subject when they are involved in a groupdiscussion; human interaction sometimes generatesinformation that might not come from a one-on-oneinterview; and focus-group dynamics might give valuableinsight on the role of peer pressure in participant interactionand acceptance of ideas (Greenbaum 1988).

Use of the Focus-Group Interview

Increasingly, social scientists are recognizing the value ofqualitative information provided by focus groups. Theresearcher may use the focus-group technique to betterunderstand public thinking on the issue(s) and therebydevelop more effective surveys for gathering quantitativedata. Focus groups also may help sequence questions morelogically, identify additional response choices, and betterunderstand critical questions and relationships.

Focus groups also may be used while quantitative data-collection procedures are underway. Called triangulation,two or more research methods are used simultaneously andexpanded to address the same issue(s) in both the breadthand depth of information.

Nonetheless, focus groups often are used alone, particularlywhen public insight, perception, and feedback are moreimportant than any numerical tally.

When to Use and Not to Use a Focus-GroupInterview

Depending on the interview’s purpose, the moderator usuallywill decide how much process structure is necessary.Moderator skills required include flexibility, objectivity,empathy, persuasiveness, and an ability to listen. He or shealso must be able to discourage and prevent group dominationby individuals or smaller groups by inviting even the mostreserved to participate. Third, the interviewer must be ableto balance obtaining information with managing groupdynamics. The following situations illustrate appropriate andinappropriate uses of the focus-group technique.

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Focus groups shouldbe considered if: Explanation

1. Decision makers are An individual may bethought to have encouraged to participatedisenfranchised the more openly.publics they serve.

2. There is a communication Communication may begap between professionals constrained by language,and their target audiences. education, culture, or

expertise.

3. There are complex atti- Quantitative methodstudes, motivations, and describe human attitudes,behavior to investigate. motivation and behavior

in the simplest terms. Thefocus group will producequalitative data based onpoints of view.

4. You need a research Forums that evenlymethod that is respectful consider tensions andand not condescending to mistrust provide valuablethe target audience. information about public

opinion.

Focus groups should notbe considered if:

5. The primary intent is The primary purpose ofsomething other than focus groups is to collectresearch; e.g., to resolve qualitative data.conflicts, increasecommunication, obtainconsensus, or makedecisions.

6. Group discussion is not Focus groups thatappropriate. discourage any partici-

pants from voicing theirviews are not appropriate.

7. The topic is not Focus group participantsappropriate for the must intelligently discussparticipants. the topic.

8. Statistical data are A focus group typicallyrequired. will not be representative

of the population.Source: Morgan, D.L. ed. 1993. Successful focus groups: advancingthe state of the art. Thousand Oaks, CA: Sage Publications.

Preparing for a Focus-Group Interview

Greenbaum (1988) identified 10 key steps that should betaken before conducting a focus-group interview. Althoughall may not be necessary or possible in every situation, theysuggest the importance of preparation.

1. Define the situation.

2. Secure agreement to the research plan.

3. Select a moderator.

4. Get a detailed proposal from the moderator.

5. Brief the moderator.

6. Define parameters for starting the group.

7. Discuss preparation of the moderator guide.

8. Determine the nature and scope of the moderatorreport.

9. Develop a flowchart for the focus-groupimplementation process.

10. Agree on rules and parameters for the session.

Step 1. Define the Situation.

The first step is to prepare a 1- or 2-page document statingthe purpose of the research and what you expect to achieve.It should (a) outline information used in choosing the focus-group method, (b) briefly describe your primary goals andobjectives, (c) describe how information from the focusgroup will be used, (d) describe the types of people whowould be included in the focus group, and (e) estimate thefocus-group implementation costs.

Step 2. Secure Agreement to the Research Plan.

The second step is to ensure that everyone involved with thesocial assessment agrees on all aspects of the focus-groupprocess, including its objectives, participants, and use of theresults. This step is important because it invites input from abroad range of people, improving the quality of the productand ensuring unilateral agreement on the scope of research.Input from one’s peers increases the likelihood they willaccept your results.

Step 3. Select the Moderator.

Careful selection of a moderator will help ensure thegathering of quality information. He or she should beselected relatively early in the process. A moderator musthave an ability to manage the dynamics of a focus group.Many private research companies have workers experiencedin this technique. However, whomever you select should bevery familiar with the subject of your research; i.e., able tosteer the discussion in useful directions.

Step 4. Get a Detailed Proposal from the Moderator.

Written, detailed proposals from potential moderators oftenare useful in the selection process. The selected proposalshould confirm that the moderator understands the issuesand objectives of your research. A thorough moderatorproposal should include (a) a statement describing the needfor a focus group, (b) a statement of focus-group objectivesas the moderator understands them, (c) a timeline for focus-group implementation and completion of the moderatorreport, (d) a discussion of the implementation process

52

including selection of participants and facility andequipment needs, (e) a description of the final report format,and (f) an itemized analysis of costs.

Step 5. Brief the Moderator.

To ensure that a focus-group interview provides as muchuseful information as possible, the moderator must havesufficient background materials. Although he or she need notbe an expert on the issue(s), the moderator must be able toguide the discussion in useful directions.

Step 6. Define Parameters for Starting the Group(s).

The moderator should be involved in preparing a specificoutline of the focus-group interview. Primary questions to beanswered are

1. How many group interviews will be conducted and inwhat time frame? Several focus groups often arenecessary to reach a broad population.

2. How many people will be in each group session? Focusgroups generally range from 8 to 10 people; fewer willlimit the quality of information, reduce group dynamics,and may make participants feel they were chosen asexperts rather than representatives of a larger group. Onthe other hand, a group of more than 10 is harder tocontrol; the moderator’s ability to stimulate interactionamong group members probably will be less effective;and probing individual participants for more in-depthresponses will be more difficult.

3. Where will group interview(s) be held? The facility usedand the geographic region in which the focus group isheld are important, especially when a social assessmentis to cover a broad geographic scale.

4. What will be the group’s composition? The researchermust establish criteria for determining who will be in thefocus group. What are participants’ relationships toresources within the ecosystem; e.g., commercial,recreational. Ideally, focus-group members will share,making it easier to evaluate information from a singlesession, encouraging useful group dynamics, andallowing the moderator to invite discussion rather thanmediate disagreements. Multiple focus-group sessionsshould be conducted when diverse stakeholder groupsare identified.

5. What stimuli will be used to elicit responses fromrespondents? Visual aids may help encourageparticipants to offer opinions.

Step 7. Discuss Preparation of the Moderator Guide.

The moderator guide is an outline of material to be coveredby the group. It is the primary implementation vehicle for agroup, in much the same way that a questionnaire is theprimary data-collection vehicle for survey methods. It will

help determine how the discussion should be directed tocover the topic(s) and ensure that priorities are maintained.The moderator’s guide also may serve as an outline for thefocus-group report.

Step 8. Determine the Nature and Scope of theModerator Report

The moderator’s report may be a summary of the session ora more comprehensive report. A summary will be relativelyshort (5 to 10 pages) and describe only the group’s mainpoints. However, a more detailed report may be desired—one that provides not only the key points, but also minorpoints that help explain the nature of the group’s discussions.A comprehensive report is not useful to those who may nothave been directly involved with focus-group planning andadministration.

Step 9. Develop a Flowchart for the Focus-GroupImplementation Process.

Once details of the focus groups have been determined, theresearcher will prepare a flowchart showing a timeline thatincludes all stages of the process. It will identify importantsteps the moderator will take and estimate the time necessaryto complete each step.

Step 10. Agree on Rules and Parameters of the Session.

In the final preparation step, the moderator and othersinvolved in the research will identify what administrativepersonnel will be necessary; who, in addition to the focus-group participants, will be invited to attend; and which linesof communication among research personnel will be used.

Steps for Conducting a Focus-Group Interview

Greenbaum (1988) identified several steps to be taken whenconducting a focus-group interview. They are taken before,during, and after the participants are gathered:

Step 1. Presession Arrangements

This involves ensuring the facility is ready; e.g., appropriateequipment (video cassette players, tape recorders, andeasels), chairs and tables, refreshments, and nametags areprovided. The moderator should also ensure that the room isquiet enough so that participants are not distracted.

Step 2. Introduction

This step will be taken in two phases.

Phase 1—The moderator welcomes participants and tellsthem about available refreshments. Each participant is

53

provided a nametag and told the general rules andprocedures that should be followed during the session; e.g.,breaks.

Phase 2—The moderator introduces him or herself anddescribes session objectives and specific rules of discussion.The moderator also will describe any use of audio/videoequipment and acknowledge the presence of any observers.

Step 3. Warm-up

A warm-up is designed to make the participants feelcomfortable with the process. The moderator asksparticipants to introduce themselves and describe where theylive, as well as any familiarity or connection they have withthe focus-group topic(s). A general discussion of the topic(s)then begins. The moderator helps more participants into thefocus-group process and gets them to begin thinking aboutthe issue(s).

Step 4. Specific Topic Discussion

Depending on the nature of the issues, the discussionproceeds in several phases. The following can serve as aguide to coordinated discussion:

1. Issue introduction phase—The moderator provides morespecific description of the issue(s), including specificgoals and objectives.

2. Issue presentation—If several issues are to be discussed,each is presented; and the moderator poses questions thatwill stimulate discussion.

3. Presentation of the second (and subsequent) issue(s)—Respondents are encouraged to disregard discussions ofthe first issue before moving on to the next.

4. Wrap-up section—When the last issue has beendiscussed, the moderator will describe how the issues areconnected.

Step 5. Close

This step is intended to send the participants away withpositive feelings about the process, as well as the agency thatconducted the focus group. Although it is a relatively shortstep (a few minutes), it is a very important part of thesession. The moderator will thank everyone for coming,stressing the importance of their participation. Whenappropriate, the moderator should ask participants to avoiddiscussing their experience with those who will beparticipating in future focus groups.

Step 6. Postgroup Discussion

Many consider postgroup discussion the most important partof the focus-group process. It gives the moderator and otherson the research team an opportunity to discuss what theylearned at the session and the implications of the views

expressed. The postgroup discussion also may help themoderator report on issue(s) that the research team thinksare especially important.

Bibliography for Conducting Group Interviews

Gorden, R.L. 1992. Basic interviewing skills. Itasca, IL:Peacock. 236 p.

The book provides a review of all stages of the interviewfrom designing relevant questions to establishing a properatmosphere for interviewing, listening to the respondent,probing responses, and properly recording information.

Greenbaum, T.L. 1998. The handbook for focus-groupresearch. 2d ed. Thousand Oaks, CA: Sage Publications. 262p.

The handbook provides information about conductingeffective focus groups, including discussions aboutcommon mistakes, moderating focus groups, controllingthe costs of focus groups, and using technology in focusgroups.

Krueger, R.A. 1994. Focus groups: a practical guide forapplied research. Thousand Oaks, CA: Sage Publications.255 p.

This guide provides information about planning andconducting focus groups including conducting focusgroups for special situations.

Merton, R.K.; Fiske, M.; Kendall, P.L. 1990. The focusedinterview: a manual of problems and procedures. 2d ed. NewYork: The Free Press. 200 p.

It is the second edition to a classic manual on conductingfocused interviews. Topics include the purposes andcriteria necessary for using focused interviews, proceduresfor obtaining information of the appropriate range, depth,and specificity, and use of focused interview techniquesfor group interviews.

Morgan, D.L., ed. 1993. Successful focus groups. NewburyPark, CA: Sage Publications. 271 p.

The book has contributions from leading authorities in theuse of group interviewing with an emphasis on focusgroups and includes the advantages and disadvantages ofthis type of research as well as specific accounts of howthe group interview can be used to augment surveyimplementation.

Templeton, J.F. 1994. The focus group. Chicago: ProbusPublishing Co. 308 p.

This book offers a comprehensive guide to organizing,conducting, and analyzing the focus-group interview.

[Different editors for each volume]. 1998. The focus groupkit. Thousand Oaks, CA: Sage Publications. 6 vols. Series ofsix publications (available separately) describing the various

54

aspects of planning, designing and administering focus-group interviews is listed below with the titles and authors ofeach publication.

Volume Number and Title Author

1. The Focus Group Guidebook David Morgan

2. Planning Focus Groups David Morgan

3. Developing Questions for Richard KruegerFocus Groups

4. Moderating Focus Groups Richard Krueger

5. Involving Community Members Richard Kruegerin Focus Groups and Jean King

6. Analyzing and Reporting Focus Richard KruegerGroup Results

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Chapter 7

Selecting a Sample of Respondents from the Population

One of the researcher’s first tasks is to determine whichpeople are to be sources of data suitable for the socialassessment. The process of determining who will besurveyed or interviewed is called sampling. This chapterdescribes two general types of samples, probability andnonprobability, and discusses several specific samplingtechniques for each.

Probability Samples

Probability samples are based on random selection. Theresearcher uses statistical techniques to draw such asample—techniques that give every individual in apopulation an equal chance of being selected. Such a sampleis therefore likely to be representative of an entirepopulation. Typically, probability samples are used in surveyresearch. The purposes of probability sampling are to:

1. Compare characteristics and responses among variousgroups

2. Identify characteristics that may be associated withspecific responses

3. Estimate characteristics of the total population from thesample selected

4. Identify changes in characteristics within groups or atotal population at two or more different times (Branchand others 1984).

Steps in Selecting Probability Samples

The researcher must follow several steps in identifying theoptimal make-up of the sampling frame (list of studypopulation). These steps include:

1. Define the study population

2. Determine the unit of analysis

3. Establish a sampling frame

4. Select a procedure for drawing from the sampling frame

5. Determine the sample size

6. Draw the sample

7. Define the study population.

The sampling process begins when the researcher defines thestudy population. He or she identifies the nature of thepopulation from which the sampling units will be drawn.This sampling could represent all residents in a watershed,or all residents and visitors present during a given span oftime.

Determine the Unit of Analysis

The second step is to determine whether individual persons,households, organizations, or other social groups will bestudied.

Establish a Sampling Frame

A sampling frame is as comprehensive a list of a populationas possible and will be the source of potential studyrespondents. Sampling frames include public telephonedirectories, voter-registration lists, city directories, plattedmaps or county tax roles, organizational directories, publicutility customers, residences in a particular zip code, andspecific groups within a population; e.g., all elected officials.Although such sources are generally adequate, they all maybe limited by inherent omissions of potential respondents;e.g., telephone directories do not include individuals withunlisted telephones or no telephones. Statisticians often candetermine the best method of selecting a sampling frame foran assessment. Some private companies provide a variety ofrandom samples, although such samples also may havelimitations. An adequately selected sample will infercharacteristics of an entire population.

Select a Sampling Procedure

The researcher can choose from several types of probabilitysamples, depending on identified needs. The next sectionprovides a detailed list and description of several probabilitysampling techniques.

Determine the Sample Size

There is not one correct sample size for a social assessment.The appropriate size will be a compromise among samplingtechnique, research goals and objectives, size and variabilityof the population, and resources available (Branch andothers 1984). Statistical or research consultants can weightthese factors and determine an appropriate sample size.

Draw the Sample

Although a relatively straightforward task, actually drawinga sample may be time-intensive; and the effort should becarefully organized beforehand.

56

Probability Sampling Procedures

There are several types of probability samples, and each iscapable of randomly selecting respondents from a samplingframe. Here is a brief description of the most commonmethods of probability sampling:

Simple Random Sampling

In this common technique, a sample is drawn in a way thatgives all subjects an equal chance of being selected. It isassumed that the sample drawn is statistically representativeof the total population.

Stratified Random Sampling

In this technique, a population first is divided into twononoverlapping groups, or strata. A simple random sample isselected from each stratum. It is assumed that the sampledrawn from each stratum is statistically representative of thestrata from which the sampling unit was drawn. Thistechnique often is used when the researcher wants to break asample into two or more convenient subgroups; e.g., urbanand rural residents, males and females.

Systematic Sampling

In systematic sampling the researcher randomly chooses anelement from the sampling frame; e.g., registered voters, andthen selects every nth element. For instance, if a samplingframe included 100,000 names and the researcher wanted toselect 500 of those individuals, he could select the first nameand then every 200th person on the list. This type of samplingtechnique is superior to simple random sampling when thesampling frame is an ordered list. When the elements arerandom, a systematic sample would be the same as a simplerandom sample.

Cluster Sampling

A cluster sample is a probability sample in which eachsampling unit is a group, or cluster, of elements. Forexample, in a statewide survey the researcher may decidethat rather than taking a simple random sample of all Stateresidents, he or she wants to cluster the sample. To create thecluster, the researcher might take a random sample ofcounties within the State and randomly select individualsfrom each. This method is common when a good samplingframe for a large population is not available, but a samplingframe for smaller components of that population is. It alsomay be used when elements of the sampling frame arewidely dispersed geographically.

Nonprobability Samples

In nonprobability sampling, the researcher does notnecessarily need a large statistically representative sample ofthe population, but, rather, wants a sample that ispurposefully biased toward information-rich subjects. Onesuch technique often is used when data collection isprimarily qualitative rather than quantitative. The bestmethod to use will depend on the type of information soughtand the resources available.

Nonprobability Sampling Procedures

Here are some brief descriptions of the most commonnonprobability sampling methods:

Maximum-Variance Sampling

Maximum-variance sampling is conducted when theresearcher wants to ensure that the sample represents a broadrange of relevant characteristics; e.g., every rural femalewith red hair. In this method, subjects are selectedsuccessively; i.e., after interviewing one subject, theresearcher selects the next one from those within thepopulation who has characteristics that the first intervieweedid not have. This procedure gives the researcher flexibilityto ask questions in one interview that are based oninformation from a previous one. For example, afterinterviewing an individual who had lived in the communityfor 50 years, the researcher may purposely seek out anindividual who moved into the area within the last 5 years.

Snowball Sampling

In snowball sampling, one individual is the source forlocating others who also may have the desired information.As its name suggests, the sample selection increases overtime enabling the researcher to find potential intervieweeswith knowledge of or concern about the issue(s). It alsoprovides a view of relevant social networks. The researchercan select respondents from those who are most oftenmentioned in the interview process.

Expert Sampling

Also called judgment sampling, the researcher’s informedopinion is the basis on which a population is sampled.Ample justification of making such selections is essential.

Quota Sampling

In this technique, the researcher identifies a characteristic ofthe population to be studied, then selects a sample that willrepresent that characteristic to the same extent. For example,if 40 percent of the population is older than 65 years, the

57

researcher will select a sample that includes the sameproportion of persons over 65 years. In quota sampling, it isimportant to choose a characteristic that somehow relates tothe type of information sought.

Convenience Sampling

Convenience sampling is the most informal and probably theleast useful type. The researcher simply selects the mostconvenient subjects in terms of accessibility or willingnessto participate; and the sample probably will not represent thelarger population.

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59

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Appendix

Description of Dimensions, Concepts, and Indicators

Dimension I Historical Background

Concept Ia. Record of a community’s past and present dependence on the naturalresource base will reflect important social attitudes and the structuressupporting them. Problems and opportunities stem from historicalexperience.

Indicator 1 Community origin

Description of indicator Communities are born of and evolve from key industries, migratingpeoples, social attitudes, and common human behavior.

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

ecosystem managers?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival recordsindicator

Indicator 2 Recent or current experience with ecosystem management (EM) issues

Description of indicator Information about public response(s) to EM policies, practices, andplanning is dynamic. It is important to recognize how EM issues havebeen addressed in the past, what political controversy surrounds thoseissues, which prominent individuals or major groups seem to influencemanagement (as well as public opinion), what other events in thecommunity are related to EM issues, and what recurrent or unresolvedproblems must be addressed?

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?7. What do stakeholders and the public value about the natural

environment, its resources, and various uses of those resources?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data researchindicator

Indicator 3 Names and characteristics of influential persons, groups, or families

Description of indicator Individuals, families, and other important groups influence the evolutionand development of a community.

Related social 2. Who are users of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?

Method of measuring Analysis of historical and archival records and survey data researchindicator

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Dimension I (cont.) Historical Background

Concept Ia. (cont.)

Indicator 4 Distinctive characteristics of the community, which are strongly valuedlocally

Description of indicator Community characteristics that serve as accepted identifiers of thepersonality and nature of the community. These characteristics addressgeneral values held by the community as a whole and may bemanifested in the work and leisure of its residents.

Related social 2. Who are users of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?7. What do stakeholders and the public value about the natural

environment, its resources, and various uses of those resources?

Method of measuring Analysis of historical and archival records and survey data researchindicator

Indicator 5 Prominent stakeholder groups with a history in the area

Description of indicator Prominent groups who have a stake in management of the assessmentarea’s natural resources

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of historical and archival records and survey data researchindicator

Dimension II Population Characteristics

Concept IIa. Increasingly, America’s regions and communities are home to diverseracial, ethnic, religious, and occupational populations. Because suchdiversity often will foster a variety of values, forest planners mustaddress ecosystem management (EM) issues within several frames ofreference.

Indicator 1 Ethnicity and race

Description of indicator Ethnicity and race of the population

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 2 Language diversity

Description of indicator Analysis of primary languages spoken in the homes of the various ethnicgroups

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Dimension II (cont.) Population Characteristics

Concept IIa. (cont.)

Indicator 2 Related social 3. What are social and economic characteristics of the geographic(cont.) assessment question(s) region surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Survey data (personal interviews) researchindicator

Indicator 3 Religious affiliations and practices

Description of indicator Beliefs and unique religious and cultural practices

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 2. Who are the users of natural resources in the assessment area?

3. What are social and economic characteristics of the geographicregion surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data researchindicator

Indicator 4 Property ownership

Description of indicator Land and resource holdings of ethnic groups in the community

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 2. Who are users of natural resources in the assessment area?

3. What are social and economic characteristics of the geographicregion surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data researchindicator

Indicator 5 Length of residence

Description of indicator General assessment of the time that an ethnic group has been present inthe area.

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data researchindicator

Indicator 6 Cultural based values

Description of indicator Values assigned to natural resources based on ethnicity, race, andculture.

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Dimension II (cont.) Population Characteristics

Concept IIa. (cont.)

Indicator 6. Related social 3. What are social and economic characteristics of the geographic(cont.) assessment question(s) region surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

6. What are the relevant stakeholder and public perceptions related toEM issues driving the social assessment?

7. What do stakeholders and the public value about the naturalenvironment, its resources, and various uses of those resources?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data researchindicator

Concept IIb. Population size and demographics are practical descriptors of acommunity or region. They can be used to identify trends towardschange and how communities are affected by EM policy, planning, andpractices. They provide the forest planner with a view of how socialrelationships based on age, gender, educational achievement, and otherfactors are changing over time.

Indicator 1 Total population

Description of indicator Number of people in the region of interest

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 2 Changes in population size

Description of indicator Enduring trends in population changes

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 3 Residential distribution

Description of indicator Spatial distribution of residents within the region

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 2. Who are users of natural resources in the assessment area?

3. What are social and economic characteristics of the geographicregion surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

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Dimension II (cont.) Population Characteristics

Concept IIb. (cont.)

Indicator 3 Method of measuring Analysis of statistical data(cont.) indicator

Indicator 4 Age distribution

Description of indicator Age categories of residents

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 5 Gender distribution

Description of indicator Population by male and female

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 6 Education

Description of indicator Education levels of population

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 7 Household composition

Description of indicator The presence, number, and ages of children; single-parent households,and other domestic factors.

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 8 Population and demographics by ethnicity/race

Description of indicator Breakdown of population and demographic characteristics within ethnicgroup

Related social 2. Who are users of natural resources in the assessment area?assessment question(s) 3. What are social and economic characteristics of the geographic

region surrounding the assessment area?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

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Dimension II (cont.) Population Characteristics

Concept IIb. (cont.)

Indicator 8 Method of measuring Analysis of statistical data(cont.) indicator

Concept IIc. Economic and employment characteristics—It is important to notewhether a community continues to depend on or is moving away from anatural resource-based economy. Current employment levels by sectorwill identify the size of populations by occupational categories; e.g.,forestry, farming, or tourism. More specifically, the planner shouldunderstand the extent to which management of local ecosystemscontributes or detracts from a region’s economy.

Indicator 1 Employment levels

Description of indicator Rate of unemployment in the region

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 2 Occupational diversity

Description of indicator The variety and range of occupations in a region; e.g., managerial,administrative and clerical, blue-collar.

Related social 2. Who are users of natural resources in the assessment area?assessment question(s) 3. What are social and economic characteristics of the geographic

region surrounding the assessment area?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 3 Distribution of employment by sector

Description of indicator Proportion of residents employed in industrial and commercialoccupations

Related social 2. Who are users of natural resources in the assessment area?assessment question(s) 3. What are social and economic characteristics of the geographic

region surrounding the assessment area?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 4 Labor force participation by groups

Description of indicator Distribution of labor force by age, gender, and ethnicity

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Dimension II (cont.) Population Characteristics

Concept IIc. (cont.)

Indicator 4 Related social 2. Who are users of natural resources in the assessment area?(cont.) assessment question(s) 3. What are social and economic characteristics of the geographic

region surrounding the assessment area?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 5 Household income

Description of indicator Mean household income of the general population

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 6 Poverty

Description of indicator The statistical index of the level of poverty in a region

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 7 Wealth

Description of indicator The statistical index of the level of wealth in a region

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 8 Public assistance and welfare

Description of indicator Proportion of residents receiving social security and welfare payments.

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

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Dimension II (cont.) Population Characteristics

Concept IIc. (cont.)

Indicator 9 Economic and employment characteristics by ethnicity

Description of indicator Breakdown by ethnicity and race of the economic and employmentcharacteristics described in Indicators 1 through 8.

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Dimension III Community Resources

Concept IIIa. Facilities and Services—Demand for facilities and services directlyrelated to population level. Changes in population, resources, economicactivity, and income influence the supply of both facilities and services.The cost, quality, and availability of public and private services areultimately connected to the public’s sense of well-being and satisfactionwith the community.

Indicator 1 Current levels of public facilities and service

Description of indicator The presence and number of public facilities and services; e.g., schools,health care and emergency services, public utilities, social services, lawenforcement, emergency services, parks, and recreation

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 2 Current levels of private facilities and service

Description of indicator The presence and number of private facilities and services; e.g.,housing, medical care, mental health, household services, and recreation

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Concept IIIb. Spatial relationships and ecosystem dependency—Land use patternsrange from developed to undeveloped; humans depend on and useecological resources in various ways. Over the short term, communitiesheavily dependent on traditional, extractive uses of forest resourcesexperience significant changes in the distribution of economic andnoneconomic activities. Knowing the type and extent of thesedistributions provides the forest planner with important information formanaging sustainable ecosystems. Such knowledge will requireidentification and promotion of forest economics, employmentopportunities, and community education.

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Dimension III (cont.) Community Resources

Concept IIIb. (cont.)

Indicator 1 Ecosystem classifications

Description of indicator Description of natural resources based on Bailey’s classification ofterrestrial and aquatic ecoregions

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Indicator 2 Water resources

Description of indicator Nature of and allowed uses of water resources

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Indicator 3 Energy and mineral resources

Description of indicator Extraction or exploitation of natural resources

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Indicator 4 Wildlife abundance

Description of indicator The nature, abundance, and management status of wildlife species livingwithin a region

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical data, historical and archival records, and surveyindicator data (personal interviews) research

Indicator 5 Recreation resources

Description of indicator Demand for and availability of recreation resources

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?

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Dimension III (cont.) Community Resources

Concept IIIb. (cont.)

Indicator 5 5. What is the nature of relationships between nearby communities, the(cont.) forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical data, historical and archival records, and surveyindicator data (personal interviews) research

Indicator 6 Public land classifications

Description of indicator Federal, Native American, municipal, State, or county

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Indicator 7 Private land classifications

Description of indicator Land and forest

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Indicator 8 Resource uses

Description of indicator Uses of public and private resource lands

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Indicator 9 Population density

Description of indicator Persons per square mile

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

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Dimension III (cont.) Community Resources

Concept IIIb. (cont.)

Indicator 10 Migration

Description of indicator Change in population

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Indicator 11 Settlement patterns

Description of indicator Urban and rural

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Historical and archival records and survey data (personal interviews)indicator research

Indicator 12 Land tenure

Description of indicator Nature of ownership of rural land

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of statistical dataindicator

Dimension IV Social Organization Structures and Processes

Concept IVa. Economic Organization–Job creation has significant effects on acommunity’s economy just as the economic health of a communityaffects the number and types of services that are provided. The diversityof available economic opportunities available is an important factor inthe economic health of a community. In small communities, whereeconomic diversity is often limited, growth is generally limited to one,or, at most, two industries. In such cases, economic growth is oftenmasked by the fragile nature of a one-dimensional economy. This isespecially important when an aggressive regional population centerexists nearby.

Indicator 1 Economic diversity

Description of indicator Range of commercial sectors providing employment opportunities in theregion

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 2. Who are users of natural resources in the assessment area?

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVa. (cont.)

Indicator 1 3. What are social and economic characteristics of the geographic(cont.) region surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical data and survey data (personal interviews)indicator research

Indicator 2 Export dependency

Description of indicator The extent to which local businesses produce goods that are soldoutside the immediate region

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews) research and historical andindicator archival records

Indicator 3 Small businesses

Description of indicator The presence of small, family-owned businesses

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical data and historical and archival recordsindicator

Indicator 4 Shopping patterns

Description of indicator The extent to which residents can acquire goods and services within thelocal community.

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research; group interviews

Indicator 5 House values

Description of indicator Mean and median values of homes

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVa. (cont.)

Indicator 6 Land values

Description of indicator Mean and median values of land

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 7 Retail sales

Description of indicator Receipts on retail goods and services

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Concept IVb. Governmental structure—In a small community, administrative tasksoften are done by officials who serve without pay and earn their livingelsewhere. When the complexity of local government increases, thoseofficials experience unmanageable demands on their time and personalcommitments. A need for paid officials and professional staff oftenresults. An increasingly complex local government must deal withcorporations, State and Federal agencies, and other organizations.Compliance with outside demands, in addition to the enforcement oflocal regulations, inevitably establishes formal and structured decision-making processes that often are difficult and unpopular.

Indicator 1 Local government positions

Description of indicator The nature of local government positions, including full-time vs. part-time and paid vs. unpaid

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 2 Formalization of planning department

Description of indicator The presence of formal planning in a community or region

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 3 Connections to outside agencies

Description of indicator The connections of local officials to outside government andnongovernmental agencies and organizations

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVb. (cont.)

Indicator 3 Related social 4. What conflicts exist among various uses, users, stakeholders, and(cont.) assessment question(s) managers of the ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 4 Relationships among officials of local jurisdictions

Description of indicator Formal and informal nature of relationships among officials of localgovernmental jurisdictions

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Concept IVc. Social Diversity—An increase in population and economic diversitywill change the social complexity of a community or region. Ethnicity,culture, religions, and other demographics often will drive such changeand may actually diversify accepted norms of behavior. Long-timeresidents of a community may blame increasing populations for loss ofcommunity and shared values. Increases in natural resource-basedtourism, changes in the kinds and sizes of local industries, and agrowing transient population contribute to changes in communityperception.

Indicator 1 Gender distribution

Description of indicator Distribution of population by male and female

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 2 Ethnic, religious, and cultural diversity

Description of indicator The diversity of ethnicities/races as well as cultural practices andbehaviors. Particular attention should be given to situations where thereis a dominant or a subordinate group or both.

Related social 3. What are social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVc. (cont.)

Indicator 3 Residential stability

Description of indicator Estimation of the proportion of life-long residents in the community anda general assessment of the level of migration

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

Indicator 4 Voluntary organizations and membership

Description of indicator The presence of voluntary organizations in the region, their membershippatterns, and recent trends

Related social 2. Who are users of natural resources in the assessment area?assessment question(s) 3. What are the social and economic characteristics of the geographic

region surrounding the assessment area?4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews) researchindicator

Indicator 5 Factions and special interest groups

Description of indicator The presence of (or perception of) factions within a community; e.g.,townspeople, ranchers, newcomers

Related social 2. Who are users of natural resources in the assessment area?assessment question(s) 3. What are the social and economic characteristics of the geographic

region surrounding the assessment area?4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 6 Values and beliefs related to natural resource issues

Description of indicator Specific public perceptions about natural resources that may influenceattitudes towards EM issues.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

6. What are the relevant stakeholder and public perceptions related toEM issues driving the social assessment?

7. What do stakeholders and the public value about the naturalenvironment, its resources, and various uses of those resources?

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVc. (cont.)

Indicator 6 Method of measuring Analysis of survey data (personal interviews, mail and telephone(cont.) indicator questionnaires) research, group interviews, and historical and archival

records

Indicator 7 Attitudes toward natural resources

Description of indicator Public attitudes towards past and present EM issues, policies, andprocedures; the diversity of attitudes held and by whom.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

Indicator 8 Transient populations

Description of indicator The presence and influence of transient populations, including militarypersonnel, tourists, and public attitudes toward them.

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 9 Civil rights

Description of indicator Relationships among various racial and ethnic groups, especially asreflected in behavior and expressed opinion about minority access tocommunity resources.

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records, personal interviews, andindicator group interviews

Concept IVd. The social processes of a community or region are driven by decisionsmade about community investment, resource distribution, and newprojects. Such processes may be linked to outside interests affecting acommunity’s autonomy and its ability to respond to changes in thesocial and natural environments. Links to State, regional, national, andinternational groups can enhance a community’s ability to get assistancein the form of political support, as well as government grants and loans.In the Western U.S., communities often are strongly affected bymanagement of Federal lands. Forest planners throughout the West havefound that strong links to other agencies and political interests can helpreduce potential problems.

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVd. (cont.) As rural populations grow, so does the demand for additionaldevelopment. Community leaders’ ability to establish effective linkswith outside organizations may help them draw outside resources tofacilitate development. However, too many such links may result in toomuch development, which can both reduce a community’s autonomyand limit its ability to make decisions about local governance.Overdevelopment also may limit a citizen’s work opportunities.

Indicator 1 Local ties to State and Federal Governments

Description of indicator How individual citizens relate to and are affected by State and Federalofficials; e.g., employees, neighbor, school board member.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 2 Previous Federal/State grants and other programs

Description of indicator Public record of funding through State and Federal grants; selection as asite for State institutions and programs (schools, fairs).

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 3 The presence of regional, national, or international businesses oragencies

Description of indicator National or international businesses or agencies; e.g., retail chains,financial institutions, State or Federal agencies, or national voluntaryorganizations.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 4 Newcomers to the area

Description of indicator The proportion of local residents who have lived in the area 5 years orless.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of statistical dataindicator

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVe. Distribution of resources and power—Ultimately, any EM policy,planning effort, or project will affect human society. The resources andpower held by individuals, institutions, and user groups determine howeconomic and employment opportunities are distributed. Thatdistribution determines the extent to which there is equity andenvironmental justice among stakeholders. In the past, many ethnic,cultural, or socially disadvantaged groups have been disproportionatelyaffected by development or environmental hazards. Environmentaljustice will help bring employment opportunities, economic andecological health, and social equity to all such groups.

Indicator 1 Economic equity

Description of indicator How economic resources and employment opportunities are distributed,and what effects management decisions have had on various residents orgroups.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 2 Environmental justice

Description of indicator How management decisions affect residents or groups

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 3 Size and structure of local government

Description of indicator The number and nature of positions within the local government, theratio of temporary-to-permanent positions, and the relationship thatindividuals and groups have with officials.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of statistical data and historical and archival recordsindicator

Indicator 4 Presence of stakeholder groups

Description of indicator Involvement in and relative influence of local, regional, or nationalgroups that have a stake in land-management decisions

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 2. Who are users of natural resources in the assessment area?

4. What conflicts exist among various uses, users, stakeholders, andmanagers of the ecosystem?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

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Dimension IV (cont.) Social Organization Structures and Processes

Concept IVe. (cont.)

Indicator 5 Legal constraints

Description of indicator Rules, regulations, agency mandates; and local, State, and Federal lawsrelated to EM issues.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuringindicator

Concept IVf. Community resilience—A community’s ability to adapt and controlchange is reflected in the way it coordinates efforts and resources toestablish cooperation among individuals, stakeholders, and governmentofficials. Community resilience is a measure of social, economic, andgovernment complexity; the ability of officials to lead; links toresources; and the nature of management issues to be addressed.

Indicator 1 Coordination in current projects

Description of indicator Assessment of how the community worked together in previous projects

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of Analysis of historical and archival records, and survey data (personalmeasuring indicator interviews) research

Indicator 2 Coordinative mechanisms

Description of indicator Mechanisms such as special-purpose boards, task forces, and councilsand the process or processes by which those mechanisms have beenestablished.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of historical and archival records and survey data (personalindicator interviews) research

Indicator 3 Persistent conflicts or issues

Description of indicator Enduring conflicts between or among influential stakeholder groups andhow newcomers are received by the community.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

Method of measuring Analysis of historical and archival records, and survey data (personalindicator interviews) research

Dimension V Public Perceptions and Well-Being

Concept Va. Perceptions of natural resources—A community’s perceptions of thenatural world are many and various. Any approach to ecosystemmanagement (EM) will include careful consideration of the nature ofspecific management issues, the managing agency’s credibility, and thetenor of public opinion as reflected in local, regional, or national media.Any information about public perceptions should be representative of

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Dimension V (cont.) Public Perceptions and Well-Being

Concept Va. (cont.) people throughout the affected area, not just of opinion leaders. Theforest planner’s responsibility is to decide what weight to give theexpressed views of any individual, influential or not. He or she alsomust consider the opinions of those supported by stakeholder groups;they often will have strong opinions about the issues.

Indicator 1 Values and beliefs related to natural resource issues.

Description of indicator Specific perceptions the public holds about natural resources, whichultimately may influence attitudes related to specific issues.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

6. What are the relevant stakeholder and public perceptions related toEM issues driving the social assessment?

7. What do stakeholders and the public value about the naturalenvironment, its resources, and various uses of those resources?

Method of measuring Analysis of survey data (personal interviews and mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

Indicator 2 Attitudes toward natural resource issues

Description of indicator Expressed public opinions about specific management policies, issues,or actions

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

6. What are the relevant stakeholder and public perceptions related toEM issues driving the social assessment?

7. What do stakeholders and the public value about the naturalenvironment, its resources, and various uses of those resources?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

Indicator 3 Stakeholder views and beliefs

Description of indicator Stakeholder views and opinions that may affect public attitudes towardsEM policies and practices

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

6. What are the relevant stakeholder and public perceptions related toEM issues driving the social assessment?

7. What do stakeholders and the public value about the naturalenvironment, its resources, and various uses of those resources?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

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Dimension V (cont.) Public Perceptions and Well-Being

Concept Va. (cont.)

Indicator 4 Attitudes toward natural resource issues

Description of indicator Public opinions about the management policies, issues, or actionsespoused by stakeholder groups.

Related social 4. What conflicts exist among various uses, users, stakeholders, andassessment question(s) managers of the ecosystem?

5. What is the nature of relationships between nearby communities, theforest or other ecosystem, and the larger encompassing ecosystem?

6. What are the relevant stakeholder and public perceptions related toEM issues driving the social assessment?

7. What do stakeholders and the public value about the naturalenvironment, its resources, and various uses of those resources?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

Concept Vb. Connection to natural resources—Public perceptions, attitudes, andvalues are reflected in individual and community uses of naturalresources; e.g., recreation, livelihood, and the extent to which theseresources support community and family traditions.

Indicator 1 Tourism and recreational uses

Description of indicator How individuals and groups use natural resources for recreation

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?7. What do stakeholders and the public value about the natural

environment, its resources, and various uses of those resources?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

Indicator 2 Resource-based employment

Description of indicator How natural resources support employment and productivity in theregion

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?7. What do stakeholders and the public value about the natural

environment, its resources, and various uses of those resources?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

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Dimension V (cont.) Public Perceptions and Well-Being

Concept Vb. (cont.)

Indicator 3 Traditional uses

Description of indicator How the values, customs, and traditions of individuals and groups aretied to the natural resources

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?7. What do stakeholders and the public value about the natural

environment, its resources, and various uses of those resources?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, group interviews, and historical and archival

records

Indicator 4 Sense of place

Description of indicator The psychological importance that individuals and groups find in thenatural world or specific locations within it.

Related social 1. What are human uses of natural resources in the assessment area?assessment question(s) 4. What conflicts exist among various uses, users, stakeholders, and

managers of the ecosystem?5. What is the nature of relationships between nearby communities, the

forest or other ecosystem, and the larger encompassing ecosystem?7. What do stakeholders and the public value about the natural

environment, its resources, and various uses of those resources?8. What recent social and economic trends relevant to management of

the ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, and group interviews

Concept Vc. Sense of well-being—An important aspect of a social assessment is ananalysis of the general well-being in the community and the relatedperceptions that people have about their community. This includes anassessment of both the actual well-being within a community measuredby specific indicators as well as resident perceptions about the quality oflife in the community and the extent to which they have access tocommunity facilities and services.

Indicator 1 Behavioral and situational conditions

Description of indicator Crime rates, divorces and suicides, unemployment, public assistance,and welfare

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of statistical dataindicator

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Dimension V (cont.) Public Perceptions and Well-Being

Concept Vc. (cont.)

Indicator 2 Access to facilities, services, and resources

Description of indicator The extent to which a person feels he/she has the same access tocommunity resources as anyone else

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, and group interviews

Indicator 3 Community satisfaction

Description of indicator A general measure of the public’s satisfaction with the community orregion they live in.

Related social 3. What are the social and economic characteristics of the geographicassessment question(s) region surrounding the assessment area?

8. What recent social and economic trends relevant to management ofthe ecosystem are occurring in the region?

Method of measuring Analysis of survey data (personal interviews, mail and telephoneindicator questionnaires) research, and group interviews

Current Contents: Social & Behavioral Sciences. Philadelphia: Institute for Scientific Information.

Psychological Abstracts. Washington, DC: American Psychological Association.

Resources in Education. Washington, DC: Department of Health, Education, and Welfare, National Institute of Education,Superintendent of Documents, U.S. Government Printing Office.

Social Sciences Citation Index. Philadelphia: Institute for Scientific Information.

Social Sciences Index. New York: H.W. Wilson Co.

Sociological Abstracts. San Diego: Sociological Abstracts, Inc.

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Bright, Alan D.; Cordell, H. Ken; Hoover, Anne P., Tarrant, Michael A. 2003. A humandimensions framework: guidelines for conducting social assessments. Gen. Tech. Rep.SRS-65. Asheville, NC: U.S. Department of Agriculture, Forest Service, Southern ResearchStation. 83 p.

This paper provides a framework and guidelines for identifying and organizing human dimensioninformation for use in forest planning. It synthesizes concepts from a variety of social sciencedisciplines and connects them with measurable indicators for use in analysis and reporting.Suggestions of analytical approaches and sources of data for employment of the identified socialindicators are provided.

Keywords: Forest planning, human dimensions, social indicators.

The Forest Service, United States Department ofAgriculture (USDA), is dedicated to the principle ofmultiple use management of the Nation’s forest resources

for sustained yields of wood, water, forage, wildlife, and recreation.Through forestry research, cooperation with the States and privateforest owners, and management of the National Forests andNational Grasslands, it strives—as directed by Congress—toprovide increasingly greater service to a growing Nation.

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