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Environmental Science and Policy 80 (2018) 132–143

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Environmental Science and Policy


journal homepage: www.elsevier.com/locate/envsci

Review

Urban pluvial flooding and stormwater management: A contemporary T


review of China’s challenges and “sponge cities” strategy

Yong Jianga, , Chris Zevenbergena, Yongchi Mab
a
IHE Delft Institute for Water Education, 2611AX Delft, The Netherlands
b
Department of Public Management, Faculty of Humanities and Social Sciences, Dalian University of Technology, Dalian 116024, China

A R T I C L E I N F O A B S T R A C T

Keywords: In recent years, urban pluvial flooding caused by extreme rainfall has increasingly occurred across China. This
Urban pluvial flooding paper reviews the challenges faced by China in addressing urban pluvial flooding and managing urban storm-
China water, with a particular focus on a policy initiative termed sponge cities. The paper first synthetically presents
Stormwater management pluvial flood disasters in urbanized areas, and analyses their causes and formation mechanisms. It then in-
Urban planning
troduces China’s sponge cities initiative and discusses policy implementation in relation to contemporary un-
Governance
derstanding of sustainable urban stormwater management and international experience with innovative prac-
Low impact development
tices. The initiative, while theoretically well grounded and appropriate by its design principles, is shown subject
to diverse implementation challenges, ranging from technological complexity to limited or lack of governance
capacity as reflected in management ideology, knowledge and capacity of learning, participatory and integrated
governance, investment financing, implementation pathway, planning and organization, and project evaluation.
The paper offers some strategies for addressing those challenges, which include: 1) continuous experiment-based
deep learning through pilot and institutionalization of knowledge and information management with city-to-city
peering learning mechanisms, 2) establishment of institutional mechanisms dedicated to participatory, co-
ordinated and integrated governance of the policy initiative, 3) increased government role in creating favorable
conditions for investments, and 4) appropriate planning and an adaptive approach to policy implementation.
The paper concludes that the sponge cities initiative can be an effective approach only if China commits to
appropriate technical, governance, financial, and organizational measures to effectively address the challenges
for policy implementation.

1. Introduction In response to rising pluvial flooding events in urban areas, the


Chinese government has adopted a series of policies and programs to
In recent years, urban pluvial flooding caused by extreme rainfall expedite and strengthen the development of drainage systems across
events has increasingly occurred across China. A classic example fre- cities (e.g., SC, 2013). Most significantly, in 2014, the government
quently cited is the devastating flash flood brought by a cloudburst that formally announced a national initiative termed sponge cities as a hol-
hit Beijing − the capital city of this country − on 21 July 2012 (Qiu, istic strategy to tackle urban pluvial flooding while improving ecosys-
2012). Similar flood events have also been reported in megacities such tems and the environment (MHURD, 2014a,b). By this initiative, the
as Shanghai (Du et al., 2015), Wuhan (Liu and Hou, 2016), Shenzhen government hopes to reshape and improve its ongoing urbanization and
(Shi et al., 2007), Tianjin (Liu and Wang, 2016), and Ningbo (Shen, development process in a way that explicitly takes into account urban
2016). More recently, in 2016, weeks of torrential rainfall during the water cycle.
monsoon season led to severe flooding, which submerged 28 provinces, Currently, the Chinese government has been undertaking pre-
thousands of counties, and hundreds of cities in both the north and paratory actions for implementing the policy initiative of sponge cities,
south of this country (Shepard, 2016). Urban pluvial flooding seems to including publishing a preliminary technical guideline, setting targets,
become a regular hydrometeorological phenomenon associated conse- and establishing a regulatory framework. Two batches of cities were
quently and inevitably with heavy rainfalls, and is of increasing concern selected, 16 in 2015 and 14 in 2016 including Beijing and Shanghai
due to its potential diverse damages and societal impacts (e.g., (Fig. 1), as pilots for carrying out the initiative. Given its large scale and
Zevenbergen et al., 2013). foreseeable impact, the sponge cities initiative (SCI) is of strong


Corresponding author.
E-mail address: y.jiang@unesco-ihe.org (Y. Jiang).

https://doi.org/10.1016/j.envsci.2017.11.016
Received 13 June 2017; Received in revised form 28 September 2017; Accepted 26 November 2017
Available online 06 December 2017
1462-9011/ © 2017 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/BY-NC-ND/4.0/).
Y. Jiang et al. Environmental Science and Policy 80 (2018) 132–143

Fig. 1. Spatial distribution of selected pilot cities for sponge city development as compared to annual rainfall and water disaster frequency in China (adopted from Sang and Yang, 2016).

interest. To what extent does this initiative represent a reliable solution into and influence China’s current urban development toward water
for alleviating increasingly severe urban pluvial flooding faced by resilience and security under climate change. It also offers experience
Chinese cities? What are the practical challenges ahead for policy im- and implications on practice in a development setting allowing learning
plementation that require serious attention by the government? Yet, and knowledge co-production in global experimentation and effort to
there is a lack of literature deliberating on the initiative from a prac- pursue sustainable and climate-proof urban development (e.g., Ahem,
tical, management perspective despite its policy relevance and im- 2011; Farrelly and Brown, 2011; Bulkeley and Broto, 2013; McCormick
portance. et al., 2013; Valkering et al., 2013; Anguelovski et al., 2014).
[Fig. 1] This paper is organized as follow. The next section elaborates on
This paper aims to review from a practical perspective the chal- China’s urban pluvial flood disasters and the strategy of SCI.
lenges faced by China in managing urban stormwater and pluvial Specifically, in this section, the paper first characterizes urban pluvial
flooding, particularly in promoting and implementing the SCI. For this flood disasters by significance and socio-economic impact, and analyses
purpose, the paper adopts an approach examining the policy initiative their cause. The paper then describes China’s initiative, including its
right through the lens of recent developments in innovative urban policy context, guiding principles and development, and the current
stormwater management and international practices and experiences. status of policy implementation. Section 3 discusses the implementation
This particular focus of and method for developing the review are challenges of the policy identified based on a review of the state of the
mainly due to the practical nature of the initiative, the current policy art of innovative stormwater management, shedding some light on
need, and the aim of the paper. As the initiative is shaped around the areas for further improvement. Section 4 offers strategies and measures
modern understanding of innovative stormwater management and as for addressing those policy implementation challenges. Section 5 con-
there is much experience accumulated already across western devel- cludes the paper.
oped countries in experimenting with and implementing relevant
management concepts, this paper is motivated to develop insights into 2. China’s urban pluvial flood disaster and sponge cities initiative
the practical aspect of China’s initiative and to identify areas and po-
tential for further improvement and upscaling based on synthesis of 2.1. Urban pluvial flood disaster
current knowledge and experience.
This paper is justified by: 1) the close relevance of the policy on a China is a country with severe water problems, including water
pervasive global water issue in the biggest developing country under scarcity (Jiang, 2009), flooding (Du et al., 2016; Duan et al., 2016), and
climate change, 2) the potential huge societal, economic and environ- water pollution (Jiang, 2009, 2015), which all have been intensifying in
mental impact of the policy initiative, 3) the fundamental, transfor- urban areas threatening socio-economic development (Shi et al., 2005;
mative change of China’s water management from the traditional sector Jiang, 2015). In recent years, urban pluvial flooding has become even
based, engineering oriented paradigm to a nature-based, holistic ap- more frequent, pervasive and severe (Liu and Xia, 2016). It was found
proach marked by the initiative, and 4) the relevance and the practical that 641out of 654 Chinese cities are exposed to frequent floods
and theoretical value of China’s experience to global sustainable urban (TFUFPSI, 2014). A survey conducted by the Ministry of Housing and
development. A clear understanding of the SCI to address urban pluvial Urban Rural Development (MHURD) showed that over the period
flooding and implementation challenges has strong potential to feed 2008–2010, 62% of 351 cities surveyed suffered urban pluvial flooding,

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Fig. 2. Economic loss caused by urban flooding in China in 2013 (adapted from Xu, 2015).

and 39% experienced flooding for more than three times (Lv and Zhao, rapid urbanization, and unsustainable urban development combined
2013). Since 2008, the number of Chinese cities affected by floods has with management failure are considered the main ones.
more than doubled (Economist, 2015), and at least 130 cities have
experienced flooding nearly every year (Lv and Zhao, 2013). 2.2.1. Climate change
Urban pluvial flooding damaged properties and interrupted eco- Climate change is a driving factor that increases flood hazards
nomic activities with substantial loss and societal impacts in China, across China (Duan et al., 2016). While the role of global warming in
attracting wide media attention (Economist, 2015; Chen, 2016; unusually large rainfall events in countries like China has been debated,
Shepard, 2016). For example, the 2012 flash flood in Beijing caused the Donat et al. (2016) shows that climate change is driving a significant
evacuation of nearly 60,000 people, killed at least 77 people, and af- and robust overall increase in rainfall extremes across most global re-
fected more than 1.6 million people across the city, with direct eco- gions including China. Supporting evidence shows that the number of
nomic losses estimated at around US$ 1.6 billion (Qiu, 2012). Ranked days of heavy precipitation has increased significantly (You et al.,
the worst flooding in nearly 20 years, the massive floods across both the 2011). More extreme rainfall events, particularly high intensity short
South and North of China in the summer of 2016 impacted 60 million duration rainfall, have been observed in recent years (Ding et al., 2006;
people, forced over half million evacuated, and killed 300 people, Liu and Xia, 2016). Extreme precipitation has been found playing a
costing China at least US$44.7 billion (Shepard, 2016). Since 2010, dominant role in the year-to-year variability of China’s total pre-
rain-induced flood disasters have led to a damage loss of more than US$ cipitation, contributing approximately one third of the total precipita-
15 billion each year (Xu et al., 2016).1 Fig. 2 presents the economic loss tion (Sun, 2012). Changes in the upper extremes of the distributions of
caused by urban pluvial flooding in Chinese cities in 2013. With cities extreme precipitation indices, which very often cause serious weather
responsible for more than 80% of China’s GDP and hosting more than and climate risks, have occurred in a broader area of China and at a
50% of the total population (NDRC, 2016), urban pluvial flooding by its much higher rate than previously believed (Fan and Chen, 2016). The
devastating socio-economic impacts is increasingly becoming a serious increase in precipitation extremes in terms of both frequency and
concern for China's development (NDRC, 2016). magnitude hydrologically boosts flood hazards, representing a chan-
ging biophysical condition for China’s urban development.

2.2. Cause of urban pluvial flood disasters


2.2.2. Urbanization
Urbanization, a socio-economic process characterizing China’s de-
The rising severe pluvial flood disasters across Chinese cities can be
velopment in recent decades, essentially increases societal exposure to
attributed to many factors among which climate change, extensive and
rising flood hazards induced by climate change. China has been ex-
periencing large-scale and rapid urban expansion particularly since the
1
In this paper, the Chinese currency (or yuan) was converted to U.S. dollar using the early 1990s (e.g., He et al., 2014; Kuang et al., 2016; Xu et al., 2016). In
exchange rate of 1 Chinese yuan = 0.15 U.S. dollar. the period 1990–2015, China’s urban population increased from

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Y. Jiang et al. Environmental Science and Policy 80 (2018) 132–143

approximately 302 million to 771 million, or from 26.4% to 56.1% of stormwater management facilities lags behind infrastructure develop-
China’s total population, implying an average annual growth rate of ment, drainage pipe networks are insufficient or poorly maintained,
about 6.2%; over the same period, China’s urbanized area expanded and design standards of stormwater are outdated, inconsistent with
extensively from 1.3 × 104 km2 to 5.2 × 104 km2, with an average both urban population growth and a changing climate. In addition, the
annual growth rate of 12% that was nearly twice the average annual large uncertainties associated with the prediction of extreme rainfall
growth rate of population (NBSC, 2016). Associated with the urbani- and urbanization represent another huge challenge for drainage and
zation process, Chinese cities function increasingly as the hub for eco- stormwater management in urbanized areas (e.g., Notaro et al., 2015).
nomic growth with highly concentrated population and capital while Unsustainable urban development on one hand exacerbates the impact
simultaneously being exposed to rising flood hazards (Han and of climate change and urbanization, and on the other hand is not able to
Kasperson, 2011). Rapid and large-scale urbanization combined with meet the rising challenges induced by the changing development si-
climate change, thus, jointly boosts the risk of flood disasters (e.g., Li tuations of climate change and urbanization (Han and Kasperson,
et al., 2013; Chen et al., 2015; Duan et al., 2016), dictating a holistic 2011), increasing China’s vulnerability to urban pluvial flooding. As a
approach to urban development and management with enhanced so- result, pluvial flood disasters become more frequent and severe as ob-
cietal robustness and resilience. Poor governance and planning, how- served in recent years across Chinese cities (Cheng, 2013; NDRC, 2016).
ever, is often the case, responsible for rising urban pluvial flood dis-
asters. 2.3. The sponge cities initiative

2.2.3. Urban development practice and pattern The policy initiative of sponge cities arises as part of China’s en-
China’s urban development, however, has historically been shaped deavor to pursue ecological civilization during its fast socio-economic
within a political culture dominated by development and economic development (Liu et al., 2014). In particular, for urban development,
growth in the past, with less attention paid to ecosystem and environ- China in its recent national urbanization plan articulated a transition
mental protection at system level integrated with development (Shi towards sustainability and quality improvement over the period
et al., 2005; Cao et al., 2014; Su et al., 2014). Associated with urba- 2014–2020 (MHURD, 2014b). With pluvial flood disasters emerging as
nization, landscapes in developed areas have dramatically changed, a serious problem in addition to existing water shortage and pollution
characteristic of extensive, sprawling urban extension and inefficient encountered by urbanization, enhancing the water sensitivity and re-
land conversion to imperious concrete surfaces (Ma et al., 2014; Chen silience of cities is considered nationally a major component of ecolo-
et al., 2016; Xu et al., 2016). Indeed, the impervious surface area across gical civilization and an important task for future urban development
Chinese cities has been steadily increasing at an annual rate of 6.5% (MHURD, 2014b).
(Ma et al., 2014), accompanied by continuous loss of aquatic ecosys- Another policy context partially motivating the SCI is related to the
tems such as lakes and wetlands, along with fragmentation of natural strategic role played by water in China’s urbanization and associated
and ancient artificial water systems across cities despite their strategic socio-economic development. Rather than land or food, water has been
importance and functional role in sustaining urban water resilience (Du recognized as the most critical resource of China (Brown, 2001).
et al., 2010; Xu et al., 2011; Jiang et al., 2012; Zhang et al., 2015). As a Fueling and catalyzing economic growth, the urbanization process as
consequence, such development practices and patterns severely reduce part of the modern development in China is dependent on, while
the capacity of local landscapes to absorb, store, infiltrate, and detain heavily and adversely impacted, available water resources (Hubacek
rainwater and to purify polluted runoff water, exacerbating urban and Sun, 2007; Bao and Fang, 2012). About 45% and 17% of Chinese
runoff as well as water and soil pollution and the frequency and in- cities are subject to insufficient water supply and severe water shortage,
tensity of flooding (Shi et al., 2005, 2007;Xu et al., 2010; Qin et al., respectively, and 30 out of 32 metropolitan areas with more than 1
2013; NDRC, 2016; Zheng et al., 2016) (See Fig. 3). Previous research million people struggle to meet water demands (Jiang, 2009). Ir-
estimated that for a watershed of 1 km2, the peak flow of surface runoff onically, urban areas are also the hotspot for aquatic ecosystem de-
could rise by 1.5 to 6 times when the watershed became urbanized gradation and flood disasters attributable to urban runoff (e.g. Novotny,
(Hao, 2005). 1999; Walsh et al., 2012; Jia et al., 2013). It is within this context that
the concept of sponge cities is introduced to promote a paradigm shift
in urban drainage and stormwater management towards rainwater re-
2.2.4. Urban stormwater management
tention and sustainable use integrated with urban development, a
China’s urban drainage systems have long failed to keep pace with
holistic approach that accommodates urbanization, promotes sustain-
population growth and urban expansion. In particular, urban
able development, and simultaneously addresses the water and en-
vironmental challenges.
Table 1 characterizes the SCI as outlined by the national technical
guidance for city development (see MHURD, 2014b). Essentially, the
initiative is a planning and design strategy for urban development that
promotes rainwater systems integrated with strategic ecosystem con-
servation and restoration or remediation. It aims to preserve or restore
during urbanization the sponge-like capacity of natural landscapes to
absorb and store rainwater, thereby alleviating flooding risk, reducing
runoff pollution, and augmenting water supply for different uses in-
cluding the use for the environment (SC, 2013, 2015). The im-
plementation of the initiative is organized through top-down adminis-
tration of development planning composed of socio-economic
development planning, land use planning, and urban-rural planning,
with the governments at different administrative levels being the main
unit responsible for organizing and coordinating policy implementation
among relevant government departments.
Conceptually, the initiative is analogous to a number of innovative
Fig. 3. Hydrological effect of urbanization on river flow across landscapes (adopted from approaches to urban stormwater management adopted across devel-
Duan et al., 2016).
oped countries such as low-impact development in the U.S., sustainable

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Table 1
Features of China’s sponge cities initiative for water resilient urban development.

Main attributes Characteristics

Goal Cities equipped with sponge-like capability that allows absorbing, storing, infiltrating, purifying, and, when needed, releasing rainwater.
Approach 1) Natural ecosystems conservation; 2) degraded ecosystems restoration and remediation; and 3) low-impact development
Organization and implementation Top-down administration through development planning, with city governments as the main administrative unit at different levels
responsible for low impact development rainwater system construction, including planning and coordinating the work of relevant
government units such as urban planning, urban drainage, roads and transportation, and landscapes, and materializing implementation
requirements in: 1) urban master plans and sector development plans, 2) project development, renovation and expansion, and 3)
administrative duties of relevant government units.

urban drainage systems in the U.K., and water sensitive cities in 64.4% of planned construction area, while Qianan had only 11.6% of
Australia (see Fletcher et al., 2015 for an excellent review). As a matter planned projects started and 18.6% of planned area under construction.
of fact, the technical guidance for the initiative draws largely from the Although the majority of the pilot cities in the second batch just started
theory and design practice of low impact development while attempting implementing the initiative, Tianjin stood out as exception, with 36.4%
to account for China’s own development feature. One guiding principle of planned projects or 81.2% of planned area is under construction.
of low impact development (and other innovative approaches as well) While Shenzhen had as high as 47.3% of planned projects under con-
followed by the initiative is to not only reduce urban runoff at the struction, but those projects only accounted for 7.6% of planned con-
source by decentralized management measures (such as ponds and struction area.
storage tanks) but also rely jointly on both nature-based (e.g., bios- Given the current status of policy implementation, key questions
wales) and engineering (e.g., drainage pipes) solutions to detain and arise concerning the effectiveness of those sponge cities projects in
temporally store stormwater, maintaining the natural hydrological contributing to the achievement of their policy goal and the spatial
process of landscapes in urban development (MHURD, 2014a, 2014b). heterogeneity in policy implementation across cities. To answer these
Notably, the initiative prioritizes ecosystem conservation and re- questions requires data on the hydrological effect of those projects, both
storation in urbanization, explicitly considering the water and en- alone and jointly at differential spatial scale, as well as their techno-
vironmental impact of development while meeting the rising demand logical and economic performance interacting with the biophysical and
for resources. It reflects the modern understanding of tackling urban socio-economic conditions of pilot cities. With projects largely under
water issues in a holistic, sustainable way, consistent with integrated construction and pilot implementation ongoing, monitoring and data
urban water management (Mitchell, 2006; Mostafavi and Doherty, collection at the project level is, therefore, critically important for ex
2010; Wong et al., 2013; Mottaghi et al., 2016). This systematic ap- post evaluation of the effectiveness of the SCI policy in the future.
proach, at least by design, has the potential to generate multiple ben-
efits simultaneously across scale and scope, including mitigating floods, 3. Discussion on policy implementation challenges
reducing runoff pollution load, harvesting rainwater, maintaining en-
vironmental amenity, and improving livability, which address the in- As an innovative water management concept introduced in a context
terrelated water and environmental challenges faced by Chinese cities. dominated by sector-based engineering or technology-oriented thinking
Given that climate change and urbanization are largely being irrever- (Jiang, 2015), the SCI of course is subject to many implementation chal-
sible over the coming decades and that extending and retrofitting the lenges, which require due attention by decision-makers.
existing urban drainage system is a costly long-run effort, the SCI ap-
pears to be a cost-effective alternative in building and improving water 3.1. Complexity of urban stormwater management
resilience and promoting sustainable urban development across China.2
One main challenge for implementing the initiative may come from
2.4. Current status of policy implementation the complexity of urban stormwater management itself, with increasing
sophistication and evolving scientific understanding. Over recent dec-
Table 2 summarizes the current status in implementing the SCI ades, urban stormwater management has received much attention
across selected pilot cities. For the first batch of 16 pilot cities selected across the world, as evidenced by an exponential growth in the use of
in 2015, some progress has been made in terms of the number of pro- urban drainage terminology in the literature (Fletcher et al., 2015),
jects completed, areas constructed, and financial investment made by partially in response to societal needs for improved stormwater man-
the end of 2016. Specifically, 1789 out of 2853 planned projects (or agement under changing development conditions such as climate
62.7%) were initiated over an area of 313.78 km2 (or 62.7% of total change and urbanization (Burns et al., 2012; Fletcher et al., 2013).
planned construction area), among which 725 projects encompassing Urban stormwater management has also been evolving over time,
150.67 km2 were accomplished. Overall, US$ 7 billion was invested, characterized by increasing sophistication, multi-dimensions, and in-
accounting for 48.7% of total planned investment. In contrast, the tegrated nature, with its functional goal expanding from conventional
second batch of 14 pilot cities selected in 2016 just started to imple- drainage for flood mitigation only to covering a wide range of aspects
ment the initiative, with a limited number (or 11.5%) of projects in- such as recreation and amenity, aquatic ecology, and water resource
itiated, small (or 17.6%) areas under construction, and little (or 8.6%) use (Fig. 4). The expanded functional requirements each stands alone as
investment made, compared to their planned targets. a challenging task, not even mentioning their integration and the added
As demonstrated by Table 2, the progress of implementation varies complication by the uncertainties in climate change predictions inter-
greatly across pilot cities. Among the first batch of pilot cities, Wuhan acted with spatial heterogeneity and governance regime. The changing
had 81.2% of planned projects under construction, which covered philosophy of management for urban stormwater clearly implies in-
creased complexity.
Corresponding to the expanded requirements for managing urban
2
The cost-effectiveness of the sponge cities approach is based on the fact that it can
stormwater, implementing the SCI requires understanding and ac-
generate multiple benefits such as flood mitigation, water supply, and ecosystem con-
servation in addition to drainage while the conventional engineering-based approach for
counting for not only urban hydrology (Fletcher et al., 2013), including
stormwater is relatively more expensive and designed and built for the single purpose of landscape imperviousness and hydrological impact (Jacobson, 2011)
drainage only. and stormwater runoff dynamics (Pyke et al., 2011), but also available

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Table 2
Progress in implementing sponge city construction across selected pilot cities of the first batch.
Data source: MHURD (2017).

Pilot city Projects Construction area, km2 Investment, US$ billion

Planned (%) Completed (%) Under construction (%) Planned (%) Completed (%) Under construction (%) Planned (%) Completed (%)

The first batch of selected 16 pilot cities


Total 2853 725 1098 454.90 150.67 163.11 144.55 70.36
(100) (25.4) (38.5) (100) (33.1) (35.9) (100) (48.7)
Qianan 189 10 22 21.50 2.00 4.00 5.10 1.38
(100) (5.3) (11.6) (100) (9.3) (18.6) (100) (27.1)
Baicheng 308 133 50 22.00 14.00 2.00 6.53 3.00
(100) (43.2) (16.2) (100) (63.6) (9.1) (100) (46.0)
Zhenjiang 155 76 39 22.00 10.10 9.50 6.09 3.20
(100) (49.0) (25.2) (100) (45.9) (43.2) (100) (52.5)
Jiaxin 116 36 55 18.44 3.31 11.79 7.66 2.55
(100) (31.0) (47.4) (100) (18.0) (63.9) (100) (33.3)
Chizhou 117 45 42 18.50 9.70 8.36 7.86 4.02
(100) (38.5) (35.9) (100) (52.4) (45.2) (100) (51.2)
Xiamen 240 39 58 35.40 4.09 6.78 14.14 3.30
(100) (16.3) (24.2) (100) (11.6) (19.2) (100) (23.3)
Pinxiang 159 17 42 32.98 2.58 20.88 9.45 4.72
(100) (10.7) (26.4) (100) (7.8) (63.3) (100) (50.0)
Jinan 43 13 30 39.01 29.98 6.11 11.75 7.81
(100) (30.2) (69.8) (100) (76.9) (15.7) (100) (66.5)
Hebi 317 30 216 29.80 4.00 11.80 4.93 2.52
(100) (9.5) (68.1) (100) (13.4) (39.6) (100) (51.1)
Wuhan 293 38 238 38.50 12.62 24.78 20.04 7.54
(100) (13.0) (81.2) (100) (32.8) (64.4) (100) (37.6)
Changde 148 68 48 36.10 7.10 8.07 11.72 7.50
(100) (45.9) (32.4) (100) (19.7) (22.4) (100) (63.9)
Nanning 203 80 54 54.60 25.02 14.16 13.16 11.90
(100) (39.4) (26.6) (100) (45.8) (25.9) (100) (90.4)
Chongqin 75 19 29 18.67 5.00 10.00 6.33 3.36
(100) (25.3) (38.7) (100) (26.8) (53.6) (100) (53.1)
Suining 346 98 123 25.80 6.45 9.86 8.74 3.62
(100) (28.3) (35.5) (100) (25.0) (38.2) (100) (41.4)
Guianxinqu 67 7 25 19.10 2.48 9.55 7.01 2.48
(100) (10.4) (37.3) (100) (13.0) (50.0) (100) (35.4)
Xixianxinqu 77 16 27 22.50 12.24 5.47 4.06 1.47
(100) (20.8) (35.1) (100) (54.4) (24.3) (100) (36.3)
The second batch of selected 14 cities
Total 2750 70 317 467.75 23.18 82.30 131.05 11.26
(100) (2.5) (11.5) (100) (5.0) (17.6) (100) (8.6)
Beijing 55 8 7 19.36 0.32 2.74 8.57 0.92
(100) (14.5) (12.7) (100) (1.7) (14.2) (100) (10.7)
Tianjin 118 0 43 39.50 0 32.88 11.42 1.80
(100) (0.0) (36.4) (100) (0.0) (83.2) (100) (15.8)
Dalian 80 0 11 21.80 0 1.60 6.21 0.33
(100) (0.0) (13.8) (100) (0.0) (7.3) (100) (5.4)
Shanghai 34 0 6 79.00 1.46 2.94 12.23 1.13
(100) (0.0) (17.6) (100) (1.8) (3.7) (100) (9.2)
Ningbo 153 6 36 30.95 3.32 5.79 9.06 0.60
(100) (3.9) (23.5) (100) (10.7) (18.7) (100) (6.6)
Fuzhou 267 3 20 56.95 0.37 9.39 11.70 0.75
(100) (1.1) (7.5) (100) (0.6) (16.5) (100) (6.4)
Qingdao 258 1 29 25.24 0.07 2.30 7.32 0.11
(100) (0.4) (11.2) (100) (0.3) (9.1) (100) (1.5)
Zhuhai 451 3 40 51.90 10.60 8.72 15.80 0.19
(100) (0.7) (8.9) (100) (20.4) (16.8) (100) (1.2)
Shenzhen 55 3 23 24.65 1.33 1.87 6.14 1.11
(100) (5.5) (41.8) (100) (5.4) (7.6) (100) (18.1)
Sanya 154 12 9 20.30 0.19 1.17 8.99 1.80
(100) (7.8) (5.8) (100) (0.9) (5.8) (100) (20.0)
Yuxi 289 16 41 20.90 4.00 1.76 12.57 1.67
(100) (5.5) (14.2) (100) (19.1) (8.4) (100) (13.3)
Qingyang 256 0 7 29.60 0 2.34 7.10 0.31
(100) (0.0) (2.7) (100) (0.0) (7.9) (100) (4.3)
Xining 252 18 8 21.60 1.53 6.27 8.19 0.29
(100) (7.1) (3.2) (100) (7.1) (29.0) (100) (3.6)
Guyuan 328 0 37 26.00 0 2.52 5.75 0.19
(100) (0.0) (11.3) (100) (0.0) (9.7) (100) (3.3)

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Fig. 4. Increasing integration and sophistication of urban stormwater management over time (adopted from Fletcher et al., 2015).

technical measures and their performance (Carter and Jackson, 2007; to adapt its management ideology, fostering and promoting transition to
Gilroy and McCuen, 2009; Berndtsson, 2010; Trowsdale and Simcock, system thinking in governance and development planning by capacity
2011; Ahiablame et al., 2012; Burns et al., 2012; Qin et al., 2013; Wang building training and education (Brown and Farrelly, 2009) and research
et al., 2016a), spatial heterogeneity and adaptability (Gallo et al., 2012; collaboration (Burns et al., 2015).
Yang et al., 2013), catchment and basin effect (Yang et al., 2011; Hamel
et al., 2013; Shuster and Rhea, 2013), and management strategy and
governance (Ferguson et al., 2013; Petrucci et al., 2013; Fletcher et al., 3.3. Knowledge, experience, and capacity of learning
2015), supported by reliable hydrological modeling assessment (Elliott
and Trowsdale, 2007; Bach et al., 2014). All these important aspects The design concepts of the initiative reflecting modern scientific
demand both technical know-how and strong management skills with understanding of urban stormwater management is something new to
governance capacity, challenging China’s ambition for holistic urban China, not only in terms of innovative technologies (Dietz, 2007;
stormwater management. Ahiablame et al., 2012; Jia et al., 2013) but also with respect to man-
agement that emphasizes a paradigm shift from conventional cen-
tralized drainage systems to distributed, nature-based hybrid systems
3.2. Management ideology and system thinking combined with participatory governance (Porse, 2013; Dhakal and
Chevalier, 2016). Not until recently has China started to pay more at-
A core principle implied by the initiative is system thinking for gov- tention to holistic stormwater management such as low impact devel-
ernance and development planning that promotes integration and co- opment, with limited prior knowledge and experience (Jia et al., 2013).
ordination through the whole process of policy implementation and man- Understanding the reliability and effectiveness of innovative technical
agement, with both grey and green infrastructure supported by enabling measures for runoff management under diverse local conditions across
institutions. This is consistent with modern understanding of sustainable China, while critical to the initiative, remains a knowledge gap (Qin
stormwater management and urban transformation in general that requires et al., 2013). The management strategy of distributed nature-based
new thinking and competences in management and governance beyond hybrid systems with participatory governance challenges the current
engineering and technology (e.g., Farrelly and Brown, 2011; McCormick regime of China’s water management that is sector-based and frag-
et al., 2013). This new management ideology is exactly what China needs to mented.
address its urban water challenges but is currently missing. Recognizing its knowledge gap and lack of experience, China has
China's water management is traditionally engineering oriented, with a followed a strategy of “learning-by-doing”, piloting implementation in
mindset that humans conquer or dominate the physical environment selected cities to allow learning for future up-scaling and wider appli-
through technological and structural measures (Jiang, 2015). To address cation of water resilient urban development. As a matter of fact, pilot
water problems, China is used to relying on sector-based, technology- projects for demonstration were developed across the country even
driven engineering solutions. Even for the SCI, preliminary implementa- before the adoption of the SCI, which included city roads, green roofs,
tion across pilot cities at present still retains much of the legacy of the rainwater collection parks, green belts, and stormwater management in
traditional technocratic thinking, i.e., treating the initiative predominantly residential area (MHURD, 2014b). While experimentation via pilot
as another engineering project of development, with much focus and schemes provides useful information for scaling up a policy (Heilmann,
emphasis on the technological or engineering aspect. As such, China needs 2008), much government effort so far has been expended on specific

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technological and engineering solutions, with insufficient attention fragmented governance structure often misses the opportunity for joint,
paid to scientific research, experiment-based learning, and knowledge coordinated efforts across sectors in existing policy domains, which can
management (such as city-to-city learning) to build capacity. As yet, stimulate innovation and improve effectiveness and efficiency of policy
there is no formal system in place to facilitate project monitoring and making (e.g., Uittenbroek et al., 2013; Kok and De Coninck, 2007;
evaluation and knowledge exchange, inviting the concern that learning Lafferty and Hovden, 2003). This is true for the SCI. Indeed, projects of
will not be fully captured and assessment of success will not be made to the initiatives across pilot cities are largely conceived and implemented
support the upscaling of the initiative in the future. It seems that failed as independent, standalone activities rather than systematically orga-
pilots in policy implementation are not studied, little effort is devoted nized, integrated components of a program. Project contractors or de-
ex post to examining what could be done to fix problems, and un- velopers are not stimulated to look beyond their project boundary.
successful projects simply end instead of being the beginning of a long- Additionally, there is a dearth within local government administration
lasting adaptation cycle for continued improvement (Li, 2013). of long term planning beyond the administrative leadership term and a
In addition, implementation across pilot cities has largely been shared view and consideration of uncertainties. Information manage-
confined to a standard set of technological measures as specified in a ment tools are also lacking that allow participatory assessment, inter-
national technical guideline (MHURD, 2014b). While offering useful active design and communication, supporting coordinated planning and
information, these technological measures are insufficiently spanned to administration.
allow deep learning required to adapt these technologies and man- Another issue worth mentioning is the possible interaction among
agement processes to local conditions and context. Effective knowledge policies and management related to socio-economic or urban develop-
management, information sharing, and experimentation-led deep ment. For example, China has currently adopted many policy in-
learning are key elements currently missing that can support Chinese itiatives, such as smart cities, eco-cities, low-carbon cities in addition to
governments to: 1) build their capacity to better lead the transition sponge cities. These policy initiatives inevitably compete with each
toward water resilient urban development across the country, and 2) other for limited resources available and government political agenda,
develop and implement technologies and governance processes that are and may even crowd out the initiative of sponge cities in the worst case.
fit for purpose. How to coordinate, integrate or synthesize different policies and their
interaction deserve serious attention from the government.
3.4. Participatory and coordinated governance
3.5. Investment financing
The greatest challenge for sponge city development probably comes
from the integrated nature of the initiative in an administrative setting Constructing sponge cities of course comes with a price tag. For the
characterized by a hierarchical governance structure and fragmented 30 selected pilot cities, the Chinese government pledged a subsidy of US
institutions. The initiative approach to fostering and improving water $ 60–90 million per year per city for 3 years (Ministry of Finance,
resilience in urban development relies heavily on the extent to which it 2014). China planned to invest US$ 13 billion in total within 3 years to
is incorporated into urban planning and design, a process that should be promote sponge city development in the first batch of 16 pilot cities
integrative and dynamic. This planning and design process necessitates with a total estimated construction area of 450 km2 (Chinanews, 2015).
cross-sector coordination and joint planning, with the participation and Preliminary estimation based on the plan indicated an investment level
engagement in knowledge co-creation of stakeholders including re- of approximately US$ 29 million for each square kilometer. To what
levant government agencies and developers committed to common extent the required investment will be made available in the coming
objectives and proceeding with shared understanding (Roy et al., 2008; decades is a question that currently has no clear answer. Even for the
Burns et al., 2012; Dhakal and Chevalier, 2016). The required process pilot cities, the financial assistance committed by the central govern-
of participatory, joint planning and coordination essentially is due to ment is presently for 3 years, with an unclear plan for future upscaling.
the fact that the interconnected social, ecological and infrastructure To meet the investment needs, the central government encourages
systems in urbanized areas are often governed by overlapping and in- financing from the private sector through innovative arrangements such
tersecting administrative boundaries of diverse local government as public private partnership (PPP) (NDRC, 2016). Yet, it is currently
agencies (Morison and Brown, 2010). This process ideally is facilitated impractical to rely on private participation and investment for the SCI
with Supporting information management tools that enable generation due to reasons such as policy uncertainties and constraints to monetize
of interactive, co-created designs for stormwater management (van de the diverse benefits (such as improved livability and environmental
Ven et al., 2016). The above planning and design approach, however, amenity) arisen from the projects, which are largely characteristic of
can be difficult to apply in practice in face of a lack of a coordinated public goods (see OECD, 2014; Zhang et al., 2016). A business model
institutional framework (Brown and Farrelly, 2009; Dhakal and attractive to the investment from the private sector is needed but is
Chevalier, 2016), which unfortunately is the case for China’s adminis- currently lacking, with little quantitative information available on the
trative system (Jiang, 2015). social, environmental and economic benefits of sponge city projects.
Similar to the water management regime, the governance of the SCI Moreover, the benefits of water resilient projects are often long term
is characterized by a top-down shared administration among govern- but their costs are upfront, with unfavorable business terms and risk
ment agencies at different levels. Vertically, the MHURD jointly acts implication (Bloomfield and Ahern, 2011; Zhang et al., 2016). As a
with the Ministry of Water Resources (MWR) and the Ministry of result, to what extent the private sector is willing to participate with
Finance (MF) as the executive units of China’s central government at committed long term investment and how big the contribution would
the national level guides and oversees the implementation of the in- be are all unclear. In addition, the distrust between government and
itiative by corresponding executive units of governments at lower ad- private investors further exacerbates the financial dilemma (Economist,
ministrative levels. Horizontally, governments at different administra- 2016), which makes the development of a PPP financing scheme dif-
tion levels are mainly responsible for mobilizing, organizing, and ficult.
coordinating their respective administrative units such as urban plan-
ning and water resources departments for carrying out the planned 3.6. Implementation pathway
activities of the initiative. While administration may be shared, inter-
ests and focus may diverge among government executive units. Pursuing water resilient urban development requires a clear
Moreover, China’s public policy is traditionally subject to in- pathway with concrete implementation plans and specific steps tailored
dependent administrative management with limited coordination to local conditions (Gallo et al., 2012), encompassing project con-
across administration (Cosier and Shen, 2009; Jiang, 2015). The struction, operation and maintenance (Blecken et al., 2017), and

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supporting institutions (Brown and Farrelly, 2009; van de Meene et al., experience call for such a strategy that creates the enabling conditions
2011; Porse 2013; Dhakal and Chevalier, 2016). This is particularly for linking the SCI investment agenda with those from other sectors. To
important and relevant to China, given its current governance structure complete this transformation process will typically take a life time of
in which planning plays a critical role. one generation.
Yet, there is currently a lack of a clearly outlined pathway with
systematic plans for the SCI. While a technical guideline with demon- 3.8. Economic efficiency and project evaluation
stration projects has been issued, the guidance is unlikely (or not meant
to be) sufficient for local implementation, given the spatial hetero- Given the huge costs involved, alongside the need for substantive
geneity and location-specific feature of biophysical conditions, devel- change to the planning and governance institution, the economic effi-
opment situation, and water issues across Chinese cities. Indeed, local ciency of project investments as entailed by the initiative becomes
hydrological process and development requirements are important important. It is often the case that innovative stormwater management
elements of consideration for designing a comprehensive stormwater measures have to be economically evaluated or justified against those
management system (Che et al., 2014). As such, specific plans and of traditional stormwater management regime (e.g., Wang et al., 2016a,
management institutions guided by scientific research have yet to be 2016b). By comparing the economic costs and benefits of sponge city
developed and materialized at the local level, a challenging task given projects versus traditional technological solutions or business as usual
the limited capacity of local governments that again highlights the practices, an economic efficiency assessment can thus guide project
importance of knowledge management, information sharing, and ex- selection and decision-making, maximizing the value of limited re-
perimentation-led deep learning and peer learning for building local source (Visitacion et al., 2009). In addition, as indicated above, one big
government capacity. challenge for sponge city development is to identify reliable financing
In addition, effective implementation of the initiative requires schemes to develop business models attracting private finance resource.
readily available relevant technologies (e.g., rain harvesting) and sup- With outlay of estimated benefits and costs, the economic efficiency
porting industries that connect technological innovation to market assessment can help guide the development of financing schemes by
application. Yet, the industrial sector related to stormwater manage- making and demonstrating business cases.
ment including planning, design, construction, material production, Economic efficiency assessment for development projects, however,
operations and management, is small and underdeveloped, insufficient has traditionally received little attention in China’s top-down govern-
to meet the market needs (Xu, 2015). The development of industrial ment administration. How to economically assess sponge city measures
capacity for supporting sponge cities is much needed, which requires as compared to traditional solutions is of strategic importance but a
government assistance. difficult task as well in the policy arena featured by technocratic
management ideology. Capitalizing on its rapid development over the
3.7. Planning and organization past decades, China has accumulated rich experience in applying
modern engineering technologies in urban construction projects. From
Appropriate project planning with sufficient consideration of im- a sector-based perspective, the traditional engineering approach
plementation time is also lacking, which can affect project quality and therefore may be financially less costly in the short run due to tech-
reliability. Rushing through project implementation currently dom- nological know-how, which is in contrast to that associated with the SCI
inates the mindsets of decision-makers and managers, a feature that can new to China plus transaction costs, particularly for integration across
essentially be attributed to China’s conventional technocratic thinking sectors, scope, and time (Wang and Li, 2008). Yet much of the ad-
and top down command and control administration which favor heavily vantage of the initiative comes from economic efficiency gain, i.e., the
visible engineering projects on the ground (Edin, 2003; Dai, 2015). This accrual of multiple social, environmental and economic (rather than
is also reflected in the relative short time frame set to complete the pilot financial) joint benefits and linking investment agendas with those from
cities projects. As a result, unrealistic project planning and command other sectors, as opposed to single sector-based outcome (e.g., de Graaf
and control are common that may increase the risk of poor design and and der Brugge, 2010). Pilot projects may help document the broad cost
project quality. The limited time frame hardly allows outcome eva- and benefit information associated with sponge cities development,
luation and experience transfer to other pilot projects, and mechanisms particularly the joint benefits across sectors. The cost and benefit in-
of city-to-city exchange have not yet been explicitly incorporated in the formation would allow comparison and more efficient design while
underlying management processes of this initiative. Upscaling of best supporting the identification and development of financing schemes
practices to other projects and peer learning between cities, therefore, with demonstrated business cases attracting the private sector.
still need to be facilitated.
At the national level, the State Council has set up a progressive goal 4. The way forward
for the initiative, requiring the absorption of 70% of rainwater to be
used onsite for 80% of developed urban areas by 2030 (SC, 2015). This Sustainable urban stormwater management, as outlined by the lit-
goal seems to be ambitious as it may underestimate the time needed for erature, no doubt is a challenging task faced by all countries in the
implementation, given the technical, governance and financial chal- world, particularly with the need to account for the consequences of
lenges as described above, not even mentioning the management debt climate change. This is particularly true for China, which is subject to
from the past in achieving the standards and goals of flood protection continuous population growth and rapid urbanization and socio-eco-
and drainage system upgrading across cities (Lv and Zhao, 2013; nomic development, and is observing changing weather patterns and
TFUFPSI, 2014). Moreover, transforming and shaping urban develop- climate. While China should understand and pay close attention to the
ment with improved water resilience under climate change represent a challenges for implementing the policy, there are strategies and mea-
challenging task not only for China but also for many other countries. sures that may help address those challenges.
This holds true specifically for the existing urban fabric and to a lesser From the technological perspective, experiments with the new
extent to new built-up areas. Transforming the existing building stock concepts and innovative technologies through pilot projects supported
requires a long-term, adaptive and opportunistic strategy, with urban by city-to-city peer learning to accelerate learning and foster innovation
restoration, regeneration, and modernization being key drivers for seems to be a promising strategy to deal with the complexity of urban
adapting the city while offering opportunities to align the SCI projects stormwater management. On one hand, China should expand the con-
with infrastructure and urban renovation portfolios (Veerbeek et al., sideration of technological options and practices in relation to local
2012; Gersonius et al., 2012; Zevenbergen et al., 2016). For China, the conditions in developing technical guidance. On the other hand, the
huge investment needs and a lack of reliable financing schemes and government may consider to create an institutional mechanism to

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Y. Jiang et al. Environmental Science and Policy 80 (2018) 132–143

materialize and formalize the management of experiment-based implementation.


learning, data sharing, and other ways of information exchange through
mutual learning. For example, the government could establish in col- 5. Conclusion
laboration with local universities and the various stakeholders of cities
a network to initiate a long-term research and learning program on China is currently in the process of implementing a policy initiative
stormwater management practices, with committed funding and dedi- called sponge cities to holistically tackle urban pluvial flooding while
cated sites covering representative regions of distinct biophysical con- promoting sustainable urban development with reduced environmental
ditions across the country. In addition to collecting relevant data and impact. This initiative is well-grounded in scientific understanding of
managing knowledge, the network may also serve as a base for edu- urban hydrology and sustainable stormwater management. It seeks to
cation and professional training, a platform for experience sharing, and alleviate rising flood disasters and related water and environmental
thus as an instrument for building collective capacity and supporting issues by green infrastructure and low impact technologies integrated
policy analysis while stimulating scientific research. with urban development through planning and design, a promising
With the current regime of the administrative system, the govern- approach with strong potential to systematically address China’s water
ance of the initiative may be most difficult to address. One possible and environmental problems associated with urbanization. It marks a
strategy might be a dedicated institutional mechanism, responsible fundamental shift in China’s water management from the traditional
operationally for planning, organizing, coordinating, governing, and isolated “grey structure” approach to a more holistic, sustainable urban
evaluating the implementation of the initiative on the daily base. This planning and design approach that capitalizes on the ecological func-
mechanism may be designed to pursue participatory planning and tion of nature as green infrastructure and that is promising to alleviate
governance. It should establish and maintain an inventory of projects the diverse, interrelated urban water problems faced by China. China’s
implemented under the initiative, with corresponding databases re- ambitious policy agenda, however, is increasingly constrained by lim-
gistering and documenting relevant information such as project type, ited or lack of governance capacity required to pursue sustainable
technical justification and intended project goal, implementation time urban stormwater management with rising sophistication and com-
and steps, design and operational parameters, hydrological effect, plexity. The sponge cities initiative can be effective only if China
technological and economic performance, achieved functional roles and commits to appropriate technical, governance, financial, and organi-
cumulative effect, integration with ecosystem conservation, and lessons zational measures to overcome the implementation challenges. From
and experience learnt. The record could be institutionalized as an im- the management perspective, most importantly, shifts are needed from
portant component for establishing accountability and continuity of managing the initiative as an assembly of independent, standing-alone
government administration across leadership terms. Such an institu- projects to program-based, participatory governance with coordinated
tional mechanism may serve as the point of contact bridging policy efforts and adaptive planning that explicitly builds in experimentation
implementation and the network of long-term research and learning and reflection. An important strategy is to enhance city-to-city peer
while supporting international cooperation. It also should play a func- learning, sharing experience and promoting good practices and in-
tional role in commenting and advising urban development planning in novation, with co-produced actionable knowledge to improve capacity
relation to the sponge cities objective, promoting integration with other for building water resilient cities.
policies.
As to the huge investment need, the government needs to be open to Acknowledgements
innovative financing mechanisms, strategically mobilizing domestic
and international resources to create favorable investment conditions This work was supported partially by IHE Delft Institute for Water
with reduced financial risk. For example, the government may consider Education and by the Grant 2013-19 of the Dalian Construction Science
issuing national debts to jointly finance sponge cities development. It and Technology Planning Fund.
may also provide backup or guarantee for the return of private in-
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