The views expressed in this paper are the views of the authors and do not necessarily reflect the

views or policies of the Asian Development Bank (ADB), or its Board of Directors, or the governments they represent. ADB does not guarantee the accuracy of the data included in this paper and accepts no responsibility for any consequences of their use. Terminology used may not necessarily be consistent with ADB official terms.

Overview of Integrated Flood Management John Porter Consultant

Introduction to a Framework for
Flood Risk Management

Dr John Porter

For good management of flood risk, it is useful to have a strategic
framework that facilitates comprehensive consideration of flood risk and its management – i.e. not only the range of measures that can be
implemented to mitigate flood risk; but also the institutional, social and
administrative conditions necessary for effective management and implementation of measures. A coherent framework should also help us piece together all the disparate messages that we receive at a forum such as this, and place them in context for the important work that we must do in disaster risk reduction and the alleviation of human suffering.

The framework described in my presentation was used as the framework for flood risk management in ADB assistance to the Chinese Ministry of Water Resources to assist them develop a National Flood Management
Strategy for China (ADB TA4327-PRC, 2005)

A good place to start if we want to prepare a strategic framework for managing flood risk is to define flood risk.
HAZARD

EXPOSURE

What is flood risk?
VULNERABILITY

There is no one definition of flood risk, but one that proves very useful for a strategic framework is RISK = HAZARD x EXPOSURE x VULNERABILITY

These are terms derived from the insurance industry.

RISK = HAZARD x EXPOSURE x VULNERABILITY

Having defined risk (as above), a clear understanding of the terms in the equation is required to distinguish them.
Before proceeding to consider these terms in the context of flood risk, it may be useful to consider another type of risk, one that most of us experience every day. The example I want to consider is traffic risk.

RISK = HAZARD x EXPOSURE x VULNERABILITY

TRAFFIC RISK
1. HAZARD There is (virtually) no traffic hazard if you are relaxing in your house or backyard. There is low to moderate hazard if you are on the footpath. There is much greater hazard if you are on the road. So the degree of hazard depends on location. The hazard on the road can be reduced by good road design and construction; the hazard is increased if you drive at faster speed, and may be reduced if you drive with caution. So the degree of hazard also depends on institutional and social factors.

RISK = HAZARD x EXPOSURE x VULNERABILITY

TRAFFIC RISK
2. EXPOSURE Let’s consider the case of a pedestrian: You are not exposed to the hazard if you use the pedestrian overpass; but you are very exposed to the hazard if you try to cross the street at road level. So, again, there are institutional and social dimensions to managing exposure: First, your government has to provide the overpass, and then you have to use it.

RISK = HAZARD x EXPOSURE x VULNERABILITY

TRAFFIC RISK
3. VULNERABILITY This time, let’s consider road users. You are more vulnerable (to personal danger or property damage) if you ride a motorcycle than if you drive a car. And you are less vulnerable if you drive a big truck. When riding a motorcycle, you are less vulnerable if you wear a helmet. When driving a car, less vulnerable if you use seat belts. In a truck, more vulnerable if your tyres are smooth and have no tread. In this case, your vulnerability depends on your awareness of risk and your preparedness. Government also plays a role reducing vulnerability with things like traffic lights, median strips and barriers.

RISK = HAZARD x EXPOSURE x VULNERABILITY
Vistula River, Poland

RISK = HAZARD x EXPOSURE x VULNERABILITY

Hazard is a potential for harm, loss or damage. Hazard exists wherever land is liable a potential for harm, loss or Hazard is to flooding. Hazard increases with probability and depth of inundation, and damage. with velocity of flow. Hazard exists wherever land is liable to flooding. Hazard increases with probability and depth of inundation, and with velocity of flow.

RISK = HAZARD x EXPOSURE x VULNERABILITY

Exposure Even where a hazard exists, there is no risk unless there are assets that can be damaged, or there is danger because people live in, work in, or simply transit through the location of flood hazard. Exposure to flood hazard creates the potential for personal danger or property damage to occur during floods.

Brisbane, Australia

RISK = HAZARD x EXPOSURE x VULNERABILITY

The consequences of flooding – and therefore the risk – also depends on how vulnerable people and their assets are to danger and damage. Vulnerability can be reduced if people and authorities:  take appropriate precautions in advance of flooding,  know what to do to limit danger and damage during floods, and  receive adequate warning and appropriate assistance during and after floods.

Jiangxi Province, China

Defining flood risk as RISK = HAZARD x EXPOSURE x VULNERABILITY is very useful because the measures we use in flood management can be regarded as modifying (reducing) one of these 3 key elements of risk.

MODIFYING HAZARD

MODIFYING EXPOSURE

Flood control dams Detention basins Levees or dikes Flood diversion channels River channel improvements Upper watershed management
STRUCTURAL

Zoning of land use Property acquisition Planning development controls Building codes Resettlement Building on platforms or stilts

MODIFYING VULNERABILITY Flood monitoring and warning Flood forecasting Emergency response plans Community awareness Community preparedness Post-flood recovery & reconstruction Flood insurance NON-STRUCTURAL

Comprehensive flood risk management must therefore consider treatment of all three elements of flood risk: HAZARD EXPOSURE VULNERABILITY

Consideration of flood risk as the product of Hazard x Exposure x Vulnerability only deals with what we do to manage flood risk.

A strategic framework for flood risk management must also consider how we organize and how we plan for management of flood risk. It should also consider the impacts of what we do on the environment and the community. Therefore, other important dimensions of a strategic management framework are:  INSTITITIONAL FOUNDATION  PLANNING METHODOLOGY or STRUCTURE  EXOGENOUS IMPACTS (social & environmental)

LEGISLATION

POLICY

ORGANIZATIONAL STRUCTURE

INSTITUTIONAL CAPACITY FUNDING EDUCATION & PROFESSIONAL TRAINING

INSTITUTIONAL FOUNDATION

INSTITUTIONAL FOUNDATION
Typically, responsibilities relevant to flood management are fragmented between multiple government agencies.

Effective partnership between agencies directed toward coordinated management of flood risk is one of the greatest institutional challenges.

PLANNING METHODOLOGY

A well structured method is recommended to capture the strengths of integrated flood manage-ment through:  rigorous technical analysis,

 comprehensive assessment of planning options,

 appraisals based on the triple bottom line of s u s t a i n a b l e d e v e l o p m e n t (economic viability, social equity and environmental acceptability),  b e n e f i t - c o s t a n a l y s i s and
 stakeholder participation.

Define Management Objectives
collect data

PRELIMINARY PHASE

Understand Planning Context

population characteristics property & infrastructure institutional arrangements planning instruments

CONSULTATION PROCESS

Identify & Quantify Flood Risk

estimate hydrological risk hydraulic model analysis map existing flood hazard & land use

TECHNICAL ANALYSIS

Identify Alternative Flood Management Options

combinations of structural & non-structural measures evaluate future risk consider how to manage residual risk

APPRAISAL PHASE

Appraisal of Impacts

economic analysis tangible & intangible social benefits / disbenefits environment – adverse impacts & opportunities robustness, resilience to future uncertainty

Recommend Preferred Option

refine analysis; examine assumptions document plan APPROVAL IMPLEMENTATION

FLOOD MANAGEMENT PLAN

PLANNING METHODOLOGY

PLANNING METHODOLOGY

PLANNING component of the framework
 Structured Planning Method o Definition of management objectives – start with desired outcomes, not a proposed solution
o
o o

Understanding of the planning context – consider preexisting plans & local factors
Identification & quantification of flood risk: technical analyses

Identification & consideration of alternative ways to manage the flood risk – different options comprising packages of FM measures
Appraisal of impacts – economic, social & environmental benefits & costs Recommendation of a preferred option – refinement of solutions; closer examination of assumptions; documentation Stakeholder participation – opportunity for consultation at each step of the process

o o o

PLANNING METHODOLOGY

RIVER BASIN MASTER PLANS

PROJECT PLANNING SUB-BASIN MASTER PLANS
(over several local govt jurisdictions) - lake / wetland
e.g. - tributaries - river reaches to mitigate specific flooding problems, either at single or joint local government scale

URBAN DRAINAGE MASTER PLANS
for internal drainage of cities to mitigate urban flooding

complexes

RURAL DRAINAGE MASTER PLANS
to mitigate waterlogging of agricultural land

SAFEGUARDS & SUSTAINABILITY Social impacts may be positive or negative, and attention must EXOGENOUS be directed during planning and design to avoid or mitigate adverse impacts, and enhance beneficial outcomes. In IMPACTS particular, impacts on those displaced or resettled, on indigenous groups, on the disabled, aged or infirm, or on gender groups need to be examined and assessed. Environmental impacts may include unintentional but foreseeable impacts on the physical environment, or on the biosphere.

EXOGENOUS Safeguards:

IMPACTS

 Environmental protection safeguards  Location and storage of hazardous materials  Involuntary resettlement social safeguards  Indigenous peoples’ social safeguards  Assessments of the social implications for gender (women’s issues)  Assessments of social implications for disabled, infirm or disadvantaged persons  Locations of strategic community services

PLANNING
River basin master plans Project proposal planning & appraisal : risk assessment : appraisal of alternative options Planning for emergency response Planning for post-flood recovery Urban drainage master plans Rural drainage master plans

FLOOD HAZARD
Flood Control Works Structural planning & design Asset maintenance: monitoring condition rehabilitation /upgrading funding Operations: decision support systems communications systems data acquisition networks integration with WR management env.management Catchment Management Soil conservation Upland land use management

VULNERABILITY
Flood forecasting hydrological models hydraulic models & DTMs flood hazard maps data acquisition networks Flood warning & emergency response communications systems preparedness exercises decision support systems Post-flood recovery support services: health, counseling material support: food, shelter infrastructure repairs financial assistance & incentives compensation / flood insurance Land Use Management building regulations

EXPOSURE
Land Use Management flood hazard zoning land use planning controls property acquisitions resettlement

INSTITUTIONAL FOUNDATION
Partnerships: across levels of government Restructuring: enhancing coordination between different levels of government Legislation: clarifying mandates Training / awareness / capacity building

ENVIRONMENTAL SAFEGUARDS

COMMUNITY CONSULTATION

SOCIAL SAFEGUARDS

GENDER ISSUES

INDIGENOUS PEOPLES’ SAFEGUARDS

This strategic framework for flood risk management is explained in more detail in a booklet produced by ADB this year.

http://www.adb.org/publications/flood-risk-management-peoples-republicchina-learning-live-flood-risk

There is the strategic framework for flood risk management.

Key requirements to make it effective are LEGISLATION THAT CLEARLY DELEGATES ROLES AND RESPONSIBILITIES A KEY COORDINATION ROLE MANDATED FOR ONE LEAD AGENCY IN FLOOD RISK MANAGEMENT (or DISASTER RISK MANAGEMENT) WITH STRONG POWERS TO OBLIGE PARTICIPATION BY ALL STAKEHOLDERS IN JOINT PLANNING BROADER STAKEHOLDER PARTICIPATION THROUGH COMMUNITY CONSULTATION DURING THE PLANNING PROCESS

A sound institutional foundation is of crucial importance.

COMMUNITY-BASED FLOOD RISK MANAGEMENT
CBFRM refers to those things that communities – working in groups or as individuals – can do to organize and help themselves and others. CBFRM has become a field of study in itself. Key objectives are: o raising public awareness of flood risk; o maintaining preparedness so that families and communities can respond appropriately during flood emergencies; and thereby o increase personal safety and reduce damage and economic loss. Without doubt, CBFRM is important. NGOs have an important role to play. But a point I want to make, or an opinion I want to share, is that it is difficult to sustain without a top-down / bottomup approach.

COMMUNITY-BASED FLOOD RISK MANAGEMENT

Government inputs may be critical for establishment of CBFRM, and ongoing government support will strengthen and sustain it. There are many services that government should provide during flood disasters and during post-flood recovery – flood forecasting & warning; rescue & safe refuge; monitoring of flood management infrastructure; temporary food, clothing & financial assistance; reconstruction; etc. These are all services that the government renders to the community, and they will be most effective if they are conducted in genuine partnership with the communities being served. And the initiatives that communities may take themselves, under CBFRM, will also be more effective if integrally linked to the services that government can provide.

INTEGRATED FLOOD MANAGEMENT

I did notice the title of this session was Overview of Integrated Flood Management; so I should close by saying something more about integration in flood management. There are 3 main aspects of this integration in my view: 1) 2) 3) SPATIAL INTEGRATION FUNCTIONAL INTEGRATION ADMINISTRATIVE INTEGRATION

. . . and that’s just about a reverse order of degree of difficulty.

INTEGRATED FLOOD MANAGEMENT

1)

SPATIAL INTEGRATION

This is familiar stuff. If you build a levee/dike on the left bank, you must consider what happens on the other bank. If you build levees/dikes on both banks, you should determine the impacts of increased water levels upstream – and, because floodplain storage may have been decreased, you should consider possible impacts of increased flow velocities and flood peaks downstream.
It’s about upstream–downstream impacts, left bank–right bank impacts, impacts of tributaries on main streams, etc.

It’s the reason why flood management planning is best undertaken at a river basin scale, i.e. not at local government
district scale.

INTEGRATED FLOOD MANAGEMENT

2)

FUNCTIONAL INTEGRATION

This relates to the fact that flood management is not a management activity that can be conducted in isolation.

The most obvious example is IWRM or water resources management, because flood management is a sub-set of IWRM and planning needs to undertaken within the broader context of IWRM. e.g. multi-purpose reservoirs Another important example is Land Use Management, or spatial planning. One thing I like to emphasize is that flood management is not just about water management; it’s equally much about land management. Floods occur when the
water regime expands beyond its ‘normal’ spatial limits, and inundates land that is ‘normally’ used for something.

Functional integration also relates to social planning and environmental planning. e.g. levees, livelihoods

INTEGRATED FLOOD MANAGEMENT

3)

ADMINISTRATIVE INTEGRATION

I touched on this before. And it’s related to functional integration. Because flood management is so multi-disciplinary and affects so many aspects of governing, and because governments always divide administrative responsibilities between departments/ministries, good flood management requires joint efforts and real partnership. Exceedingly difficult. Ideally, requires v. high level Task Force, with authority delegated by an even higher (highest) level.

Thank you

Dr John Porter

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