
INTERNATIONAL NETWORK FOR CULTURAL DIVERSITY
(INCD)
Framework for cultural impact assessment
Prepared by : June
2004
Burama K. SAGNIA
Project consultant
Tel: (221) 520 96 40
Email: burasagnia@hotmail.com
I – Background and Context 3
II – Principles for Cultural Impact
Assessment 9
III – Legal Mandates and Administrative
Procedures 13
IV – A Conceptual Model for Collecting
an Examining Data
and Information on Cultural Impacts 15
IV.1 – Determine
Project Type 15
IV.2 – Identify
Cultural Impact Assessment Variables 16
IV.3 – Determine
the Stage in Policy Development / Project Cycle 17
IV.4 – Construct
a Matrix for relating CIA Variables
to Policy/Project Type and Stage 18
V – Procedure for conducting cultural impact
assessment 20
VI – ConclusionS and Recommendations 26
VI.a – Constraints
of Cultural Impact Assessment 26
VI.b – Application
of Cultural Impact Assessment Results 27
REFERENCES 30
The
idea to initiate the formulation of a framework for assessing the cultural
impact of development policies and projects came out of the INCD third annual
meeting held in
The
primary objective is to outline a framework that will assist development
agencies and private interests in fulfilling their obligations towards the affected
communities of their policies and projects, and in so doing respect, preserve
and promote cultural diversity and identity.
According
to the International Association for Impact Assessment (IAIA), impact
assessment simply defined, “is the process of identifying the future
consequences of a current or proposed action”.
Impact
assessment as a standard development practice, gained international attention
and recognition as a result of the activities of two international bodies. In
1980, during the special session on integrated impact assessment at a meeting
of the American Association for the Advancement of Science (AAAS), the
formulation of a new organization was discussed. It would combine the interests
of environmental impact assessment, social impact assessment, technology
assessment, risk assessment and related fields. A working party was convened to
advance the proposal and the International Association for Impact Assessment
was inaugurated as an international non-governmental organization.
At
the 1992 United Nations Summit on Environment and Development, otherwise known
as the Earth Summit held in Rio (
Preparing
an Environmental Impact Statement requires the integrated use of the natural
and social sciences and the humanities. For example addressing the social
components of the Environment Impact Assessment has gradually led to the
development of sound principles and guidelines on social impact assessment
(SIA). An internationally-applied SIA guidelines was prepared by an
Inter-organizational committee established by the United States Department of
Commerce in May 1994.
The
EIS guidelines has adopted both social and cultural variables among others to
guide its investigations. While some EIS’s distinguish social variables from
cultural variables, some subsume cultural variables under the broader social
variables and treat culture as part of the social dimensions of environmental
impact assessment, on the assumption that social impact assessment will
adequately cover cultural issues and concerns.
The
fact of the matter is that neither the cultural or social aspects of the EIS,
nor the independent will of the cultural community has led to the development
of similar international principles and guidelines for cultural impact
assessment. A separate set of principles and guidelines that could provide
common standards for addressing the cultural concerns of communities in a
broad-based, holistic and participatory manner is what is required.
What
is cultural impact assessment? What is its purpose or aim? Why has its
development lagged behind other forms of impact assessment? What sort of principles
and guidelines can be proposed to assess the cultural impact of development
policies and actions? What efforts have or are being made to address cultural
impact assessment issues at the national and international levels?
The term “cultural impact” refers to the consequences to human
populations of any public or private policies and actions that significantly
change their norms, values, beliefs, practices, institutions as well as the way
they live, work, socialize and organize themselves as part of their cultural
life.
Assessing the cultural impact of policies and actions on the human environment
is not an entirely new phenomenon, as several agencies have already developed
cultural impact assessment guidelines as part of their project evaluation frameworks.
However, as these agency-driven guidelines are tailor-made and
custom-designed to suit the needs of the agencies concerned, there are
remarkable variations in approaches and experiences on how the cultural impact
of projects is to be assessed. There is therefore, up to now, no systematic
interdisciplinary statement from the cultural community as to what the content
of cultural impact assessment should be like.
In view of the multiplicity of approaches and experiences in carrying
out cultural impact assessment, there is the need to develop common standards
and guidelines. That way systematic and consistent regimes of the cultural
impact assessment process could be developed to reduce biases and abuses of the
system. For instance, it is undesirable to have culturally-damaging activities
being encouraged to concentrate in those countries with the weakest standards
of preserving and promoting cultural heritage, and at least a basic minimum
agreed common standard and a view about good practise, would help reduce this
problem.
There is so far no internationally negotiated and acceptable definition
of cultural impact assessment. However, as there are a variety of approaches
and experiences in cultural impact assessment, it is worth beginning with a
basic definition of what it is meant, so that the terms used in this text are
clear. For the purpose of this study, cultural impact assessment is defined as
:
A process of identifying, predicting, evaluating and
communicating the probable effects of a current or proposed development policy
or action on the cultural life, institutions and resources of communities, then
integrating the findings and conclusions into the planning and decision making
process, with a view to mitigating adverse impacts and enhancing positive
outcomes.
It could be deduced from the above definition that cultural impact
assessment is predicated on the notion that decision makers should understand
the consequences of their decisions before they act, and that the affected
people will not only be appraised of the effects, but have the opportunity to
participate in designing their future.
The goal therefore for undertaking this task is to enhance the
preservation and promotion of the cultural diversity of affected communities
with a view to ensuring the sustainability of development actions and policies.
In this way it provides planners and decision makers with better information
about the consequences which development actions and policies could have on the
cultural environment, although it cannot of itself achieve that protection.
The approach is characterised by its multidisciplinary, systematic and
predictive nature and in its better form involves :
Þ
Reviewing the existing
state of the cultural environment and the characteristics of the proposed
action and possible alternative actions ;
Þ
Predicting the state
of the future cultural environment with and without the action (the difference
between the two is the action’s impact) ;
Þ
Considering methods
for avoiding, eliminating or reducing any adverse impacts, and possible
compensation for them ;
Þ
Preparing a cultural
impact statement or cultural assessment report which discusses the issues, and
is used to inform and influence decision-making ; and
Þ
After a decision is
made about whether/how the action should proceed, monitoring the impacts which
do occur, and acting on the results of such monitoring.
Apart from informing the authority responsible for approving projects
about foreseeable cultural consequences of policies or projects, cultural
impact assessment has or should have an important function in ascertaining
whether policies or projects will conform to other international
standard-setting instruments on culture such as the 2001 UNESCO Universal
Declaration on Cultural Diversity, the Action Plan of the 1998 Stockholm
Intergovernmental Conference on Cultural Policies for Development, the 2002
Istanbul Declaration on the Intangible Cultural Heritage, etc…..
As a result of the publication of well-researched technical analyses of
the significance of cultural factors in development efforts, coupled with
active lobbying by a variety of research communities, a new recognition of the
cultural basis and impact of development emerged. However, considered as a
whole, there is still on the one hand, an almost total lack of established
routines and on the other, a noticeable sceptism in development cooperation
institutions as to the value of adopting more professional and standard
approach to the cultural basis of development. At the sametime one can observe that
the formulation of development cooperation goals and principles now underscore
the fundamental role of cultural factors in recipient countries in the way
development assistance is designed.
The above considerations notwithstanding, local communities face
critical problems when it comes to the implementation of projects. More often
than not, their participation in project that directly affect them is seriously
curtailed. They are rarely actively involved in the project from the design
stage through to evaluation. Rather, they are merely informed and their
concerns, even if genuine, are hardly taken on board.
In the case of large infrastructural projects such as road construction,
large scale multinational logging and dam constructions, because of the controversies
involved, especially as it affects the local communities, the attitude of
governments, the donor agency and the multinational contracting companies is
one of benign neglect. It is out of such cultural concerns of the communities
among others, that the need for cultural impact assessment arose. The following
examples with illustrate the point.
Box I : Cultural challenges to road planning,
design and construction in Bali (
The challenge to construct new roads in developing
countries with the intensity of land development and dense settlement patterns,
coupled with the significance of cultural sites, is extremely difficult. Added
to the engineering challenges is the requirement to document the proposed
development under environmental impact assessment legislation, the regulations
of the country and the environmental guidelines and directives of the donor
agency.
This was the case for a recently completed study in
The main challenge for road design and construction in
Whereas new roads and improvement to the existing road
infrastructure are desperately required to meet the growing number of vehicles
and the movement of tourists that contribute substantially to the foreign
exchange of Indonesia, but accommodating the cultural needs of the Balinese
makes road design and construction a unique challenge.
Source:
ND Lea International Ltd,
Box II: Cultural Challenges to Multinational logging:
The Case of the Saramacca Maroons
The rainforests in the world’s tropical regions are
the sources of the cultural and biological diversity of local communities
living nearby. They tap the rainforest as a means of subsistence, to meet their
spiritual and emotional needs and as sources of the diverse medicinal and
nutritional plant species they require.
However, these forests are frequently threatened by
development projects or concessions offered to other international companies by
their governments for logging purposes. Sometimes, big pharmaceutical companies
from developed countries tap these forests as the source of medicinal plants
which are later developed in distant laboratories into drugs that they later
sell back to the very countries the plants were obtained from.
The world forest movement documented the plight of the
Saramacca Maroons in
Presently, all land in the interior of the country
(approximately 80%) is classified as state land and indigenous peoples and
Maroons are considered to be permissive occupiers of state land without rights
or title there to. If their subsistence activities conflict with logging or
mining operations, the latter takes precedence as a matter of law. Furthermore,
Suriname Law does not provide any mechanism for consulting with the communities
about the granting of concessions on or near their territories.
International human rights standards provide that
indigenous peoples and Maroons have the right to participate fully in decisions
before they are taken, and about whether concessions are granted on their
lands. Their rights include the right to information concerning the proposed
activities, companies involved and the nature of risks posed by the activity.
Source: Forest Peoples
Program of the
http://www.wrm.org
Box III : Cultural
challenges to Dam Construction in
The construction of a dam is always part of broader
socio-economic development projects designed to provide hydro-electric power or
to provide more cultivable land through irrigation. However, dam construction
is without controversies as it disrupts the pattern of living of the local
communities living around the site of the proposed dam or destroys underground
archaeological remains and even relics and monuments.
The plan to construct a dam at Ilisu on the River
Tigris is part of a large scale project for the socio-economic development of
SE Anatolia. However, much of the archaeological heritage in the uppervalley of
the Tigris and
The dam projects have however led to far greater
attention over recent years and this attention in turn generated welcome
possibilities for research.
Equally not much is known or documented of the
traditional culture of the local population to be displaced by the construction
of the dam. Kurdish settlements can be traced after a migration from western
Source: Ilisu
Engineering Group,
II – Principles for cultural impact
assessment
The framework presented here is inspired by the basic structures of the
environmental and social impact Assessment model as approved by the
International Association for Impact Assessment. The model has however been
adapted and further developed and improved upon with cultural elements and
experiences, to enhance its suitability for assessing the cultural impact of
development policies and projects.
Cultural Impact Assessment (CIA) is a method of analyzing what impact a
development policy or action may have on the cultural aspects of the
environment. These aspects include (but not limited to):
-
the ways people cope
with life through their economy, rural systems and values;
-
the ways people use
the natural environment for shelter, making livelihood, industry, worship,
recreation, gathering together, etc;
-
the ways communities
are organized, and held together by their social and cultural institutions and
beliefs;
-
ways of life that
communities value as expressions of their identity;
-
art, music, dance,
language, crafts, drama festivals and other expressive aspects of culture;
-
a groups’ values and
beliefs about appropriate ways to live, family and extra-family relationships,
status relationships, means of expression and other expressions of the
community; and
-
the aesthetic and
cultural character of a community or neighbourhood-its ambience.
Cultural impact assessment involves characterizing the existing state of
such aspects of the environment, forecasting how they may change if a given
action or alternative is implemented, and developing means of mitigating
changes that are likely to be adverse from the point of view of an affected
population.
The following principles are benchmarks for conducting a cultural impact
assessment : They include the :
1 – Public Involvement, Consultation and Participation
Since CIA is primarily concerned with determining and addressing the
concerns of the public, public involvement is essential. In this respect, it is
essential to determine who the affected segments of the public are, how they
are organized and how their active participation could be assured.
2 – Analyze Impact Equity
A basic aspect of cultural impact assessment is to identify all groups
likely to be affected by a development policy or action. There will always be
winners and losers as the result of a decision to construct a dam, build a
highway or undertake large scale timber logging (as in the examples shown in
boxes: I-III). However, no category of persons, particularly those that might
be considered more sensitive or vulnerable as a result of age, gender,
ethnicity, race, impairment or disability, occupation or other factors, should
have to bear the brunt of adverse cultural impacts. While there may be varying
benefits for almost all to be affected by a proposed policy or action, the CIA
has a special duty to identify those whose adverse impacts might get lost in
the aggregate benefits. The impact equity analysis must be considered in close
and sympathetic consultation with affected communities, neighbourhoods and
groups, especially the poor, low-income and minority groups and indigenous
communities.
3 – Focus the Assessment
Cultural impact assessment practitioners must contend with stringent
time and resource constraints that affect the scope of the assessment and how
much can be done in the time available. Given such constraints, a central
question emerges: “If you cannot cover the cultural universe, what should you focus
on?” The answer is to focus on the most significant impact in order of
priority, and all significant impacts for all impacted groups must be identified
early using a variety of rapid appraisal or other participatory enquiry
techniques. Impacts identified by the public, through the use of participatory
enquiry and involvement methods (focus groups discussions,
participant-observation method, surveys, etc.) must be given high priority.
However CIA assessors must use their expertise and experience to
prioritise issues. This may assist in identifying issues for further research,
which might have been unrecognized by the public or the agencies.
4 – Identify Methods and Assumptions
The methods and assumptions used in cultural impact assessment should be
made available and published prior to a decision in order to allow decision
makers as well as the public to evaluate the assessment of impacts.
5 – Define significance
A cultural impact assessment should discuss how the significance of a
cultural variable or an impact is represented. There are definitely reasons for
regarding one variable as more significant than another in a given case; and
these reasons should of necessity be made explicit.
6 – Provide Feedback to Project Planners
A CIA should not take the form of a basic research consultancy report,
which could be drafted and delivered directly to the Contracting Agency without
prior client involvement. There should be an active feedback process between
the CIA Assessor and the Planning Agency throughout the assessment and planning
process. That way, CIA results should feedback into project design to mitigate
adverse impacts and enhance positive ones.
The CIA therefore should be designed as a dynamic process involving
cycles of project design, assessment, redesign and reassessment. This process
should be carefully carried out and coordinated informally with planners
(project designers) so that they are adequately appraised of the potential
problems and opportunities before it is too late to do anything about them.
Equally important is the opportunity to be accorded the public for comments to
the draft assessment report before its publication. This aspect can contribute
immensely to the process of feedback and modification.
7 – Use Professionally Trained and Qualified CIA
Practitioners
Trained Cultural Specialists using appropriate professional methods,
will provide the best results. Generally speaking, such practitioners include
anthropologists, archaeologists, ethnologists/ethnographers, cultural
geographers, and members of related professions (e.g. sociology, social
history, linguistics, musicology, etc.) may be effective cultural impact
analysts if they have the right interest and training. Selecting a CIA
practitioner requires a close look at both training and experience, and seeking
a good “fit” between the analyst and the issues to be analysed.
8 – Establish Monitoring and Mitigation Programs
A CIA should not only provide the Agency with an analysis of impacts,
but also the basis for setting up programs to mitigate cultural impact and
monitor how these programs work.
Identifying a monitoring infrastructure is a key element of the local
planning process. This should make monitoring and mitigation a joint agency and
community responsibility. As few agencies seem to have the resources to
continue these activities for an extended period, local communities when
provided with the resources, could assume a part of the responsibility for
monitoring and mitigation.
9 – Identify Data Sources
As a matter of good practice, a CIA should identify the sources of data
and information upon which the analysis is based.
Three sources which should be consulted for any exercise are: Published
Scientific literature, secondary data and primary data, although the balance
among the three may vary according to the type of proposed action.
Published scientific literature including books, reports, journal
articles from similar projects, would have normally summarised existing
knowledge of impacts based on acceptable scientific standards.
Secondary Data including vital statistics, agency reports and routine
data collected by government agencies.
Primary data sources would normally include survey research, oral
histories, interview of key informants, etc.
10 – Plan for Gaps in data
No CIA collects all the required data. In such a situation, the CIA
should honestly identify gaps in its data base information that probably exists
but cannot be gathered, or questions and uncertainties about the data. In
consultation with project planners, the CIA analyst should assess how critical
the data are, and either develop strategies for obtaining them or establish
ways to proceed towards a good decision without them.
Legal Mandates
A cultural impact assessment does not take place in a vacuum. Apart from
the fact that it is undertaken as a response to a particular situation, a proposed
development action or policy change, it also has to be mandated by statutes or
regulations already in place to provide authorisation for the exercise.
An examination of CIA exercises in most countries show that the National
Environmental Act is the primary legal requirement for a cultural impact
assessment. The CIA is therefore an investigation of the effects of development
policy or action on the cultural aspects of the human environment.
This means that if there are no environmental effects of any kind, other
than a social or cultural, an environmental impact statement will not be
prepared, but an environmental assessment will be undertaken, which is expected
to take note of other effects; social, cultural, economic, etc. A look at the
enabling legislations of a few countries, providing the framework for CIA will
illustrate the point.
Figure I: Statutes and legislations that mandate
cultural impact assessment
|
Country |
Legislation
|
Provision |
|
|
National Environmental Policy Act of 1969 |
Calls for the integrated use of the social sciences
in assessing impacts on the human environment. |
|
|
- Environmental Impact Assessment ordinance - Antiquities and Monuments ordinance - Marine Archaeological Guidelines |
Prescribes the approaches and standards required in
investigating and assessing the impacts on the cultural heritage sites |
|
|
- 1840 Treaty of Waitangi - Resource Management Act, 1991 |
- Granted settlement rights to the British but
guaranteed the Maori, protection of their possessions for as long as they
wished. - This is the mechanism under which the natural and
physical resources of the |
|
|
- Code de
l’Environnement (Environment Law); loi n° 83-05 of 28/01/98 - Titre II du
Code de l’Environnement (Prévention et lutte contre les pollutions et
nuisances) - Plan d’Action
de l’Environnement Nationale |
- Requires the assessment of the environmental,
social and cultural impacts of all projects executed in - Requires the assessment of the impacts of all
projects to ensure their environmental soundness. - Stipulates the guidelines and procedures for
carrying out environmental, social and cultural impact assessment of projects. |
|
|
Section 38 (1) of the National Environmental Management Act |
Requires that any party who intends to undertake a
development activity, must notify the responsible heritage resource authority
and to furnish it will all necessary details. If the heritage resource
authority believes that heritage resources will be affected by such
development, it will require the developer to submit a heritage assessment report. |
Administrative Process
As CIA is intended to provide a form of full-disclosure procedure for
decision makers to enable them consider the full implications of potential
courses of action and the unintended as well as the intended, before the
proposed development proceeds, certain administrative processes are expected to
be observed. The following is an example of an administrative process that a
CIA can go through. This is a guideline, describing a standard process but its
observance depends upon national circumstances, hence varying in the degree and
level of sophistication. It is based on a summary of common standards observed
by selected countries for this study, obtained through an internet review.
1 – The National Cultural Agency prepares a
ministerial memorandum/cabinet paper, identifying and defining those projects
which will be subject (by law or cabinet order) to the CIA procedures;
2 – The National Cultural Agency sets out the basic CIA guidelines;
3 – The responsible Ministry sets out the CIA principles;
4 – The project proponent prepares the draft CIA;
5 – Notification, public inspection of project plans and draft CIA by
the concerned local government authorities;
6 – The project proponent organizes briefing meetings with the
concerned/affected groups or communities;
7 – Presentation of written comments from concerned members of the
community;
8 – Views and comments of the concerned local government authority;
9 – Preparation of the final CIA by the project proponent;
10 – Notification and public inspection of the final CIA by the
concerned local government authorities and representatives of the affected
groups;
11 – Comments and observations of the National Cultural Agency
Submitted directly to those who issue the license;
12 – Due consideration of these views taken in the processing of the
license by the licensing Authority; and
13 – The issue of the license to the project proponent by the licensing
Authority to undertake the proposed development activity.
14 – It is important to note that a CIA process is indispensable in the
preservation and promotion of cultural diversity and community value systems
for enhancing sustained development. Institutionalization of the CIA by
government requires legislation and complex administrative policies and
regulations.
15 – The civil society and private sector should be involved in an
active partnership with the public sector to ensure its application as a
standard development practice.
IV – A
Conceptual Model for Collecting and Examining Data and Information on Cultural
Impacts
The basic model presented here is inspired by similar models used for
Environmental and Social impact assessment, although with differences in some
of the key elements and their application. The model provides the framework for
collecting and examining data on cultural impacts of development policy and
actions.
Its principal elements include:
-
determining the type
of project or action for the assessment;
-
identifying the
cultural variables to be impacted upon;
-
determining the stage
in policy formulation or project cycle for which the impact is being assessed;
and
-
all the above three
elements are arranged in the form of a matrix to facilitate the investigation
and assessment of significant impacts.
IV.1 - Determine
Project Type
Cultural impacts will vary according to the type of development. The
range and variety of project types include the following, for which a CIA will
normally involve a detailed technical description of the proposed development:
-
Mineral extractions;
-
Hazardous and Sanitary
Waste Sites;
-
Power plants;
-
Reservoirs, including
all water impoundment for flood control, hydropower, conservation and
recreation, cooling lakes and diversion structures;
-
Industrial plants;
-
Land use designations,
from timber production to wilderness designation to land fills;
-
Military and
governmental installations;
-
Educational
establishments / institutions;
-
Transportation
facilities;
-
Linear developments
including subways, railroads, powerlines, aqueducts, bike paths, bridges,
pipelines, sewers, fences, walls and barrier channels, green belts and
waterways (including canals);
-
Designation of sacred
sites;
-
Parks and preserves, cemetries
and recreation areas;
-
Housing facilities.
(Source: Digest of
Environmental Impact Statements, The Information Resource
IV.2 - Identify
Cultural Impact Assessment Variables
Cultural impact assessment variables point to measurable and qualitative
changes in the cultural life, institutions, resources and infrastructure of
human populations and communities, resulting from a development project or
policy change.
On the basis of an examination of the cultural and socio-cultural impact
assessment carried by certain agencies in selected countries, we are able to
provide a tentative list of cultural variables under the following three
general headings:
1 – Cultural Life;
2 – Cultural Institutions and Organizations; and
3 – Cultural Resources and Infrastructure
1 – Cultural Life refers to (but not limited to) the following:
- Verbal
Expressions (Stories, Poetry, Languages)
- Musical
Expressions (Song and Music)
- Expressions
by Action (Dance, Plays, Rituals)
- Tangible
Expressions (Paintings, Sculptures, Pottery, Woodwooks, Jewellery, Basket, Weaving,
Textiles, Garments, Carpet, Musical Instruments and Handicrafts)
- Religions
and Ritual Ceremonies
- Cultural
Practices, Beliefs and Value Systems
2 – Cultural Institutions and Organizations refer to (but not limited to) the following:
- Political
Structure and Forms of Organization
- Social
Structures and Forms of Organization
- Social
Networks
- Power
Relations and Decision Making Structures
3 – Cultural Resources and Infrastructure refer to (but not limited to) the
following:
- Indigenous
knowledge Systems, Wisdom, Skills and Capacities
- Sacred
- Places
of Historic and Cultural Significance; including Monuments, Historic Sites, Schedules
Antiquities, Museums,
- Important
Historic and Cultural Documents and Texts
- Systems
of Natural Resources Use including Land Tenure Systems
- Traditional
Architecture
IV3 - Determine
the Stage in Policy Development or Project cycle
All projects and policies go through a series of stages or steps,
starting with conceptualisation/designing/planning, to implementation and
construction, to monitoring and evaluation, to operations and maintenance. At
some point the project might be abandoned or decommissioned, or official policy
could change. Cultural impacts will be different for each stage. An
investigation of the issues prior to the assessment may lead the assessor to
focus only on one stage. Thus the specific stage in the life of the project or
policy is an important aspect in determining impacts. Not all cultural impacts
will occur at each stage.
1 – Planning/Policy Development
This stage refers to all activity that takes place from the
conceptualisation of a project or policy to the point of construction activity
or policy implementation.
We often assume that real impacts only begin to take place once physical
activities start. However, community anxieties can be aroused and hopes and
hostilities can begin to mount from the earliest point of an announcement of a
policy or a proposed action, and intense lobbying could take place to secure
interests, politicians manouvre for political influence or pressure groups and
civil society movements could take up to the streets to pressure the proponents
or policymakers to change decisions.
2 – Constructing / Implementation
This stage begins once a definitive decision is made to proceed with the
project or policy and a permit is issued or a law or legislation takes effect.
For construction projects, this involves clearing land, building access
roads, developing utilities, displacement and relocation of people if
necessary.
The local communities pattern of living and networking could be
affected, cultural resources and infrastructure could be destroyed with the intent
that “money can compensate for anything”. Custodians of traditions are more
interested on the impacts at this stage.
3 – Operation / Maintenance
This stage occurs after the construction is complete or the policy is implemented
fully.
This is the stage that local communities would want to be assured of the
long term benefits of the project or policy.
4 – Abandonment / Decommissioning
This stage is reached when the proposal is made that the project or
policy and associated activities will cease at sometime in the future.
As in the planning stage, local community anxieties are aroused again,
with the news of decommissioning or policy change. Loss of amenities or
facilities or privileges and advantages enjoyed under a particular policy are
major causes of renewed anger and hostilities.
Here the community’s concern will be the provision of alternatives or
compensation for the loss of assess and benefits.
IV.4 - Construct a Matrix for relating CIA Variables
to Policy / Project Type and Stage
Cultural impact assessment specialists must construct a matrix to direct
their investigation of potentially significant cultural impacts. For each
project / policy stage, the assessor should identify potential impacts on each
cultural variable identified in the matrix. This ensures that no critical areas
are overlooked.
Figure II: Matrix Relating Project Stage to Cultural Impact Assessment Variables
|
Cultural Impact Assessment Variable |
Planning/Policy Development |
Implementation / Construction |
Operation/ Maintenance |
Decommissioning/ Abandonment |
Cultural
Life
- Verbal Expressions - Musical Expressions - Expressions by Action - Tangible Expression - Religious, Festivals and Ritual Ceremonies - Cultural Practices, Beliefs and Value Systems |
|
|
|
|
Cultural
Institutions and organizations
- Political Structure and Forms of Organization - Social Structures and Forms of Organization - Social Networks - Power Relations and Decision Making Structures |
|
|
|
|
Cultural
Resources and Infrastructure
- Indigenous knowledge Systems, Wisdom, Skills and
Capacities - Sacred - Places of Historic and Cultural Significance - Important Historic and Cultural Documents and
Texts - Systems of Natural Resources Use - Traditional Architecture |
|
|
|
|
Figure III : Cultural Impact
Assessment Variables, by Project / Policy Type and Stage
|
Project / Policy Type |
Planning/ Policy Development |
Construction / Implementation |
Operation/ Maintenance |
Decommissioning/ Abandonment |
|
|
|
|
|
|
|
Submarine Gas Pipeline Project ( |
|
|
|
|
|
Development of a Landfill ( |
|
|
|
|
Although every policy framework, program or project is unique, in most
cases there is a series of more or less standard steps through which the
analysis must proceed in order to achieve good results:
STEP 1 : Develop an effective Public Involvement Plan, so that all
affected interests will be involved
This requires identifying and working with all potentially affected
groups starting at the planning stages of the proposed action.
The level of public participation needed varies with the nature of the
project. For a complicated project, it might be necessary to undertake a participatory
enquiry survey of the affected groups, complementing it with personal
interviews of the group representatives to determine the general character of
the affected community, define the potentially affected groups, determine
potential areas of concern and impact, and determine enough about them to know
how to involve them.
The data and information obtained at this first step assists in the
development of a public involvement program which should last throughout the
assessment process.
In a simpler project, merely consulting with local opinion leaders or
local power groups and experts, may be sufficient to obtain the critical data
on which to build a public involvement program.
STEP 2 – Describe
the Proposed Action or Policy Change and Reasonable Alternatives
In this step, the proposed action is described in enough detail to begin
to identify the technical data requirements needed from the project proponent
to frame the CIA. The following provides basic technical information and data needed
from the proponent:
- location
of project
- land
requirements
- needs
for ancillary facilities (road, transmission lines, utilities)
- construction
or implementation schedule
- size
of the work force (construction and operation by year or month)
- facility
size and shape (if a facility is involved)
- need
for a local work force
- institutional
resources
The list of cultural impact assessment variables shown in Figure II is a
guide for obtaining data from policy or project proponents.
STEP 3 : Define Baseline Conditions
The baseline conditions are the existing conditions and past trends
associated with the human environment in which the proposed activity is to take
place.
Having established a means of working with the public, and obtained
basic technical data and information on each proposed action/policy or
alternative, in steps (I) and (II), the CIA Assessor now tries to define the
pertinent existing conditions in each potentially affected area. That is the
affected cultural environment. This is known as baseline study.
The Assessor seeks answers to questions like:
- What
populations may be affected, Are they concentrated or dispersed?
- How
does each population relate to the natural or built environment?
- What
is the historical background of each population?
- What
are the political, social and cultural resources, institutions, structures and
forms of organization and networking in each group?
- Are
there minority or indigenous groups involved? Do they have special needs?
- What
cultural practices, beliefs and value systems characterise each group? How do
they feel about modern political and social institutions? How do they relate to
the environment? To change?
- What
are the major forms of expression for each group or community?
At a minimum, this kind of information should be developed based on
existing literature, government documents and consultation with experts and the
community. For a more complicated project/policy, more formal studies based on
empirical evidence may be needed. This could include geophysical surveys,
archaeological excavation, ethnographic surveys, historical case studies,
cultural cartography, etc.
Step 4: Identify and Define the Significant Impacts
After obtaining a technical understanding of the proposal, the CIA Assessor
must identify the full range of probable significant cultural impacts that will
be addressed based on discussions or interviews with numbers of potentially
affected groups.
Relevant criteria for selecting significant impacts include;
-
Probability that an
event will occur
-
Number of people
including indigenous populations that will be affected
-
Duration of potential
impacts
-
Values of benefits and
costs to affected groups
-
Extent that the impact
is reversible or can be mitigated
-
Likelihood of
subsequent impacts
-
Relevance to policy
decisions
-
Uncertainly over
probable effects
-
Controversy over the
issue
STEP 5 : Investigate the Significant Probable Impacts
The probable cultural impacts will be formulated in terms of predicted
conditions without the action (baseline conditions), predicted conditions with
the action; and predicted impacts which can be interpreted as the differences
between the future with and without the proposed action.
Investigation of probable impacts involves the study of data provided by
agencies, records of previous experience with similar actions or similar
populations, census data and other vital statistics, documents and secondary
sources and field research involving interviews, focus group discussion
sessions, surveys, participant-observation and other participatory enquiry
techniques.
As cultural change takes a much longer time to notice, methods of
projecting the future cultural environment is not easy as whole series of
intervening factors can influence the process of change. What is possible in a
given circumstance also depends on several factors such as the scope of the
action/policy, the area where it occurs and the availability of pertinent data.
Projection methods include, but not limited to:
-
Longterm Perspective Planning
(Futures Studies)
-
Comparative Method-comparing
with similar actions and their effects
-
Straight-Line Trend Project-taking
an existing trend and projecting it into the future
-
Expert Advice – obtain
the thoughts of experts and Local Opinion Leaders or Traditional Change Agents
about likely scenarios and change.
STEP 6 : Predict the Response of
the Affected Communities to the Anticipated Impacts
Given what we know about the potentially affected groups and the kinds
of impacts we predict, what will be the likely response of the groups?
Will a group be highly influenced by what its leaders think, and will the
leadership be positive or negative about a project? Are there ways for the
population to adapt in place, or is it likely to relocate? Can a group continue
to maintain its valued ways of conducting its cultural life, its forms of
cultural expressions, cultural institutions, organizations and networking and
its cultural resources and infrastructure?
STEP 7 : Consider Indirect and Cumulative Impacts
Actually this is not a “Step” in the analytic process as much as it is
an aspect of several steps. Most cultural impacts are not direct, they may
occur well after the action is taken or the policy is implemented, and possibly
in areas distant from the project. Many populations, especially indigenous
groups, are severely at the risk of cultural extinction in certain countries,
due to a variety of pressures, and a given project may be all that it takes to
push the group “over the edge”.
STEP 8 : Recommend new Alternatives as needed and
feasible
As serious impacts are identified, consider what alternatives might
alleviate the problems, and work with the Project Managers or Planning Agencies
and the affected groups to determine whether these can be pursued. When there
is contention mediation may be very helpful in resolving disputes about which
alternatives should be considered or selected.
STEP 9 : Develop a Mitigation Plan
A cultural impact assessment should not only forecast impacts, but
should equally identify the ways and means to mitigate adverse impacts.
Mitigation involves avoiding the impact by not taking or modifying an
action; minimizing, rectifying or reducing the impacts through the design or
operation of the project or policy; or compensating for the impact by providing
substitute facilities, resources or opportunities.
Mitigation could sometimes be a complicated and resource demanding
exercise, but whether the project proponent or the planning agency or the
affected community is going to assume responsibility for the realisation,
standard procedures require that the mitigation measures be identified,
properly defined and documented in appropriate legal and administrative
instruments.
In view of the complexity of the issue, it might be advisable to adopt a
sequencing strategy for managing the mitigation of adverse cultural impact,
modelled after the one recommended by the Ramsar convention on wetlands.
Box IV: Sequencing
Strategy for Managing the Mitigation
of Adverse Cultural
Impacts
Sequence I: Project Managers / Policy Formulators
strive to avoid all adverse impacts
Sequence II: Project Managers/Policy Formulators
strive to minimize any adverse impacts that cannot be avoided
Sequence III: Project Managers/Policy Formulators
compensate for adverse impact that cannot be avoided or minimized
Source: Ramsar
Convention on Wetlands (1971),
The two steps of sequencing-avoiding and minimizing, can apply to the
project itself or to the host community or the impacted region. Compensation on
the other hand could be to acquire a different site or to relocate a population
to be affected by a proposed development action/policy. The amount of
compensation could be determined by the type of land or facility lost, the
severity of the impact and the location of the mitigation site.
In the light of the complexity of addressing several diverse issues in
mitigation arrangements, the CIA assessor must first rank the level of
importance of each significant CIA variable determined in step (5) (Investigation
of probable impacts).
Box V : Evaluating
potential mitigation of cultural impact assessment variables
STEP ONE: To
determine whether the project proponent or policy formulator could modify the
proposed project or policy to avoid the adverse effects on the local community
An example could be a road construction which has the
potential of displacing communities or destroying their long-cherished cultural
resources as the example in Box (I) shows – “Cultural challenges to road
planning, design and construction in Bali (
STEP TWO: To
identify ways and means of minimizing the adverse cultural impacts
For example, local communities could sometimes be
uncomfortable with the idea of locating a facility perceived as risky or
undesirable for religious, health or cultural reasons. Such attitudes once
formed about a project from the onset
might prove difficult to eliminate, but could be moderated if the public
has complete and factual information about the proposed development or policy
to enable them to take independent informed decisions; are actively involved in
the decision-making process relating to the facility, or are provided with
adequate arrangements that assure safe operations, thus minimizing adverse
effects on the community.
STEP THREE: To
identify and compensate for unresolvable cultural impacts.
There are three
possibilities to effect compensation
1 – Identify
methods of compensating individuals and communities for unavoidable impacts
2 – For the community to identify the provision
of other basic needs or quality of life variables as compensation for the
adverse effects
3 – Identification of unresolvable cultural
impacts jointly by project managers / Policy formulators and community opinion
leaders to give residents a feeling of sensitivity to their concerns.
STEP 10 :
Develop a Monitoring Plan and Program
A monitoring plan should be developed to observe the performance of
program and project delivery, compare projected impacts from real impacts and
prescribe the additional measures to be taken for accommodating unanticipated
impacts when they occur.
In addition to the monitoring plan, a monitoring program should be put
in place that is capable of identifying deviations from the proposed action or
policy. The program is also necessary for programs or projects that lack
detailed information or those with high variability or uncertainty.
If monitoring procedures cannot be adequately implemented, then
mitigation agreements should acknowledge the uncertainty in implementing the
decisions.
Monitoring could equally be a joint activity between the project
proponent and the affected community. The former hardly has the time and
commitment to follow rigorous monitoring procedures through to logical
conclusions. In this regard, the project should vote a budget line for the activity
and delegate aspects of the monitoring exercise to the community, especially
aspects that they have the capacity to do better.
VI – Conclusions and Recommendations
As a system that is an evolving process, the present guidelines are
expected to gradually evolve to meet changing circumstances and situations,
hence the need for periodic review. This evolving dimension of CIA makes its
application a real challenge for practitioners and these include, but not
limited to the following:
1. The
guidelines could be considered as a minimum of good practice. Some countries
and organizations may observe more advanced standards than those outlined here.
Others will certainly require the building of human and institutional capacity
before they are fully equipped to give effect at every level and every aspect
of the CIA process;
8. To improve
the CIA process, cultural agencies and development agencies should work
together closely in setting cultural conservation standards, laws and
regulations.
Cultural impact assessment is predicated on the notion that policy and
decision makers, planners and project managers should understand the
consequences of their decisions and actions before they act, and that the affected
people will not only be appraised of the effects, but have the opportunity to
participate in designing their future.
Perhaps because of the complexity of managing cultural change or the
political implications of incorporating cultural dimensions in development
policy, programs and projects, cultural impact assessment has not been well
integrated into the planning, policy formulation, decision making process and
program or project cycle of development agencies.
The principles and guidelines presented herein are designed to assist
development agencies and other institutions in carrying out cultural impact
assessment on the understanding that if a well-prepared CIA is integrated into
the decision making or policy formulation process or programs / project cycle,
better decisions, policies and actions will result.
An enormous amount of different types of cultural impact assessment work
is done all around the world. Ideas are constantly evolving as to how to make
it more standardized, widespread and effective. Most of these instruments are
agency-driven, designed by various development agencies and sometimes
individual experts as part of their program or project evaluation framework.
Because of the multiplicity of agency-specific CIA, there are remarkable
variations in approaches and experiences. This situation calls into question
the need to come up with standard guidelines to provide common or basic minimum standards for assessing the cultural impact
of policies or projects.
Equally several guidelines have been developed, some specifically
designed to assess cultural impact of policies, of programs and of projects.
Guidelines also exist to assess impacts relating to the environment, economic,
social, political, risk, technological, health, etc.
In the light of the above situation, the questions we are constantly
confronted with include:
- should
there be greater “vertical integration” between policy, program and project
cultural impact assessment methods?
- should
there be greater “horizontal integration” of environmental, political,
economic, social, cultural impact assessment techniques?
- how
can we develop genuinely participative impact assessment processes?
- considering
the importance of cultural differences to sustainable development, how useful
are international principles and guidelines in effectively addressing the
unique problems of communities.
- can
impact assessment be both a tool for accountability and learning?
- what
are the costs and benefits of adopting cultural impact assessment?
The guidelines presented here have made attempts to address the above
concerns in a single document. However, if an aspect of the goal of a CIA is to
preserve and promote cultural diversity for enhancing sustained development,
then this can definitely be achieved in two parts; through a CIA statement, and
legal and administrative support.
The present guidelines address only the first part of the goal-that is
to give planners and decision-makers better information about the consequences
which development policies and actions could have on culture.
The second step is to make sure that support is given to the CIA
statement by ensuring that policies formulated, decisions taken and programs or
projects implemented are culturally-sensitive, through the formulation of
additional policies or laws which can enhance the securing of such results.
In regards the CIA process itself, whenever information is required on
likely future change in the cultural environment of a given area or community,
a CIA of the causative actions may be appropriate. Some development actions may
safely be considered to have insignificant effects. In this case, the CIA
system should incorporate a “screening” process to identify which types of
actions or policies should be subject to CIA and which ones could be left out.
The CIA refers to the whole appraisal process from identification of
probable impacts to acting on the results of the investigation in
decision-making. The part of the process which comprises carrying out the
investigation and prediction of likely effects, and reporting on this, is
typically undertaken by the program / project proponent or his/her agent.
The risk of bias in this is reduced in those cases where the
investigation is commissioned and supervised by the relevant decision-making
authority, or where there are systems for independent verification or peer
review of the work according to recognized standards.
Sometimes the decision-making authority itself may be the proponent of
programs and projects which are subject to CIA. In such cases transparent
procedures which ensure impartiality should be followed.
It is conducive to an integrated approach and to a true appreciation of
project costs and benefits, when the costs of the CIA exercise are fully borne
by the proponent.
Use should be made of suitably qualified and experienced professionals
with the requisite expertise in the relevant fields, and competent to apply
correct methods with the rigour required during the assessment and evaluation
stages.
Decision making authorities should likewise equip themselves with the
requisite technical expertise and advice for judging the adequacy or otherwise
of assessments, and for taking their findings properly into account.
Provision should be made for consultation and participative involvement
of local people, interested
non-governmental organizations and the general public in the CIA
process. Such people and organizations should be afforded an opportunity, in
defined circumstances to challenge information and observance of relevant procedures
which they believe to be deficient. Equally, if the information presented in
the cultural impact assessment report or the cultural impact statement is
considered deficient by the decision-making authority, they should have the
ability to request further information and defer decision until it is provided.
The CIA report should be made available to the public preferably with a
summary written in non-technical language which could be separately published.
Relevant decision-making processes should give due weight to the results
of the CIA, such that unfavourable findings may be sufficient grounds to refuse
consent or require modifications. Decisions should be published, showing the
manner in which they have been influenced by a CIA carried out.
During the operational or implementation phase of approved policies,
programs or projects, the CIA should be used as a framework for monitoring
actual effects and comparing these with predictions, ensuring mitigation
measures perform as expected, making any operating adjustments required, and
reporting on this.
To provide an adequate enabling environment for its application, CIA
systems should be officially enshrined within the policies, laws and
administrative systems of the country. In this respect, measures should be
adopted where possible to ensure that:
- application
is systematic, consistent and publicly accountable;
- legal
implementation is enforced;
- a
code of ethics is agreed and applied;
- ethical
guidelines on good practice is made available for the use of CIA practitioners;
- sufficient
status is given to the CIA element in decision-making processes, alongside
other considerations, so that it is seriously approached and genuinely
influences outcomes.
The most common use of CIA techniques is in relation to single
individual proposed development. In principle, it could however apply to
programs or sequences of several such projects, strategic plans or visions from
within which they derive.
CIA could also be an important element of international development
cooperation programs; as corporate management tools for businesses or built
into public policies and laws for the purpose of accountability and regulation
of what is done in the public interest.
In the case of regional integration organizations, multilateral and
bilateral development agencies and regional development banks, it is clearly in
their interests to standardize laws and regulations on this subject, so that
member states do not suffer differential competitive disadvantages by operating
under different rules.
REFERENCES
1 - Davidson,
N. (2001): “Wetlands and cultural heritage conservation”, Ramsar Bureau,
2 - Guidelines
and Principles for Social Impact Assessment by the Inter-Organisational
Committee on guidelines and principles of social impact assessment, May 1994,
United States Department of Commerce, National Oceanic and Atmospheric
Administration, National Marine Fisheries Service.
3 - Hong Kong Impact Assessement Study : http :
//www.epd.gov.hk/e/a/ register/report/eiarepo….tion //.htm
4 - Ilisu Engineering Group (2000) : Cultural
Aspects of Ilisu Dam Project,
ICOMOS: Heritage at Risk:
5 - International Association for Impact Assessment http :
//www.iaia.org.
6 - KLAUSEN, A.M. (1995): socio-cultural factors in
development assistance, Norwegian National Committee of the word Decade for
cultural Development,
7 - Lewis, John P ; and Vallerina
lealleb (eds) – 1986. Development Strategies reconsidered. US.
8 - Louis J. Kotze and Linda Jansen Van Rensburg (2002): Legislative
protection o fcultural heritage resources: a south African perspective,
9 - Michael J. Kent: Cultural challenges to road planning, design
and construction in Bali, Indonesia, N.D. Lea International Ltd,
10a - New Zealand Impact Assessment Report : http :
//www.ablime.co.nz/ assess/vol12/appen_m/appendix_m.htm.
10b - Mission
d’étude et d’aménagement du Canal de Cayor (MEACC), December 2000, Ministère de
l’Environnement, Dakar, Senegal.
11 - Ramsar Convention on Wetlands, (1971),
12 - UNESCO/AICCD (2000) Change
in Continuity: Concepts and tools for a
Cultural Approach to Development,
13 - UNESCO (1998): Action plan of the Intergovernmental conference o
cultural policies for development,
14 - UNESCO (2001): Universal declaration on Cultural Diversity, Paris
15 - UNESCO (2002):
16 - UNESCO
PUBLISHING/ Cultural Dynamics in Development
17 - United Nations Economic and Socio-cultural factors in
Social Commission for
the
Pacific (1992) Development,
18 -
United Nations and Indigenous Peoples.
Web: http://www.un.org/esa/socdev/pfii/aboutus.htmi
19 -
United Nations Conference on Environment
and Development (Earth Summit),
Web: http://www.un.org.esa/earthsummit
World Bank and Indigenous
Peoples 1 .
Web/
http://inweb18.worldbank.org
20 -
United States Department of the
Environment (1999a) : Assessment of the anticipated impacts of the proposed
action in
21 -
World Intellectual Property Organization
: Intergovernmental Committee on Intellectual Property and Genetic Resources,
Traditional Knowledge and Folklore,
Web:http://www.wipo.intlgiobalissues/index.htmi