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BEST PRACTICES
ON FLOOD PREVENTION,
PROTECTION
AND MITIGATION

Best practices on flood prevention, protection and mitigation


2

Part 0. EXECUTIVE SUMMARY

Because of the recent floods the informal meeting of Water Directors of the European Union
(EU), Norway, Switzerland and Candidate Countries held in Denmark Copenhagen, 21-22
November 2002, agreed to take an initiative on flood prediction, prevention and mitigation. A
core group led by the Netherlands and France has prepared a "best practice document" on
flood prevention, protection and mitigation to be presented to the Water Directors meeting in
Athens in June 2003.

The document at hand concerns the “best practice document”, which is an update of the
United Nations and Economic Commission for Europe (UN/ECE) Guidelines on Sustainable
flood prevention (2000). It is a living document that will need continuous input and improve-
ments as application and experience build up in all countries of the European Union and be-
yond. We agree, however, that this document will be made publicity available in its current
form in order to present it to a wider public. The “best practice document” consists of three
parts. In part I the more basic principles and approached are described. Part II concerns how
to translate and implement the principles and approaches. The conclusions are drawn in part
III.

Important issues regarding sustainable flood prevention, protection and mitigation are:

• Flood events are a part of nature. They


have existed and will continue to exist. • Human uses of floodplains should be
As far as feasible, human interference adapted to the existing hazards. Ap-
into the processes of nature should be propriate instruments and measures
reversed, compensated and, in the fu- should be developed for all flooding re-
ture, prevented. lated problems: flooding, rising
groundwater tables, sewage network
• Flood strategy should cover the entire disruption, erosion, mass deposition,
river basin area and promote the co- landslides, ice flows, pollution, etc.
ordinated development and manage-
ment of actions regarding water, land • Mitigation and non-structural measures
and related resources. tend to be potentially more efficient
and long term more sustainable solu-
• Considering the evolution and trends, tions to water-related problems and
the approach to natural hazards re- should be enhanced, in particular to
quires a change of paradigm. One reduce the vulnerability of human be-
must shift from defensive action ings and goods exposed to flood risk.
against hazards to management of the
risk and living with floods, bearing in • Structural measures (defence struc-
mind that flood prevention should not tures) will remain important elements
be limited to flood events which occur and should primarily focus on the pro-
often. It should also include rare tection of human health and safety,
events. and valuable goods and property. We
will have to keep in mind that flood pro-
• Transnational efforts should be intensi- tection is never absolute, and may
fied to restore rivers' natural flood generate a false sense of security. The
zones in order to reactivate the ability concept of residual risk, including po-
of natural wetlands and floodplains to tential failure or breach, should there-
retain water and alleviate flood im- fore be taken into consideration.
pacts.

Best practices on flood prevention, protection and mitigation


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• Flood forecasting and warning is a • A compensation system should sup-


prerequisite for successful mitigation of port the victims of flood disasters to re-
flood damage. Its effectiveness de- store their economic basis and their liv-
pends on the level of preparedness ing conditions in due time. Insurance
and correct response. Therefore the solutions at the private or public level
responsible authorities should provide or subsidence by state, which reinforce
timely and reliable flood warning, flood solidarity, should be furthered.
forecasting and information.
• In flood-prone areas, preventive
• A specific preparedness to alert, res- measures should be taken to reduce
cue and safety measures should be possible adverse effects of floods on
planned and implemented at all levels, aquatic and terrestrial ecosystems,
including the public, by maintaining such as water and soil pollution. It is
regular basic information and continu- necessary to distinguish between dif-
ous ongoing training actions. With ap- ferent kinds of flooding and the envi-
propriate and timely information, pre- ronmental conditions that contribute to
paredness, everyone who may suffer the problem. For instance, there are
from the consequences of flood events significant differences between on the
should be able to take -if possible- one hand sudden flooding in upstream
his/her own precautions and thus seri- or headwater areas where mitigating
ously limit flood damages. risk involves a wide range of innovative
small-scale solutions and on the other
• Solidarity is essential, one should not hand lowland flooding where warning
pass on water management problems periods and the duration of flood
in one region to another. The appropri- events are longer and large-scale
ate strategy consists of three steps: re- measure have to be taken. Therefore,
taining, storing and draining (first make the effectiveness of the best practices
every effort to retain rainfall at the spot, described in part II depends on among
store excess water locally, only then let other hydrological and environmental
the water be discharged to the water- circumstances.
course). Flood prevention has also to
be based on the precautionary princi-
ple.

Part I. INTRODUCTION

BACKGROUND

The recent floods, in particular the floods of August 2002, caused casualties, made thou-
sands of people homeless and caused a damage amounting to several thousand million
Euro in many countries across Europe. The informal meeting of Water Directors of the Euro-
pean Union (EU), Norway, Switzerland and Candidate Countries held in Denmark Copenha-
gen, 21-22 November 2002, agreed to take an initiative on flood prediction, prevention and
mitigation. The Water Directors decided that a core group led by the Netherlands and France
would prepare a "best practice document" on flood prevention, protection and mitigation to
be presented to the Water Directors meeting in Athens in June 2003.

The document at hand concerns the “best practice document”, which is an update of the
United Nations and Economic Commission for Europe Guidelines (UN/ECE) on Sustainable
flood prevention (2000). The “best practice document” includes but is not limited to the re-

Best practices on flood prevention, protection and mitigation


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sults of a high level meeting which was held on flooding in Budapest on 30 November and 1
December 2002, and working-level meeting on flooding in Bonn on 5/6 February 2003, which
was prepared by Germany with the perspective of hosting a conference in the framework of
the UN/ECE in 2004.

This document aims to describe measures and best practices to prevent, protect and miti-
gate the adverse impact of flood events on human health and safety, on valuable goods and
property, and on the aquatic and terrestrial environment.

This best practice document concerns only river and flash floods. Marine and tidal floods are
not taken into account.

The character of the best practice document is strategic rather than technical.

A. GENERAL CONSIDERATIONS
A.1. Flood events are part of nature1 earth is undeniably growing warmer again.
Natural hazards and flood events are part Scientists reached agreement on this point
of nature. They have always existed and at a conference in Shanghai in early 2001.
will continue to exist. With the exception of The Intergovernmental Panel on Climate
some floods generated by dam failure or Change (IPCC) assumes that we will see
landslides, floods are climatological phe- an average of temperature rise in the 21st
nomena influenced by the geology, geo- century (1.4 to 5.8 degrees Celsius).
morphology, relief, soil, and vegetation Based on this assumption, the sea is ex-
conditions. Meteorological and hydrologi- pected to rise (9 cm to 88 cm by the year
cal processes can be fast or slow and can 2100). The precipitation pattern will also
produce flash floods or more predictable change. Humid areas will generally be-
slow-developing floods, also called riverine come more humid, and arid areas more
floods. arid. The amount of precipitation will also
fluctuate more sharply (Interreg Rhine
A.2. Society has become more vulnerable Meuse Activities best practices - IRMA -
to natural hazards 2003). In general, this means a greater
Although floods are natural phenomena, probability of flooding and extremely low
human activities and human interventions rivers during dry periods. The rising sea
into the processes of nature, such as al- level will make it more difficult for the riv-
terations in the drainage patterns from ers in the delta to drain into the sea. The
urbanisation, agricultural practices and impact of flooding increases: the impact of
deforestation, have considerably changed floods in terms of human health and eco-
the situation in whole river basins. In the nomic losses has risen, and the planning
same time, exposition to risk and vulner- of protection against floods can no longer
ability in flood-prone area have been grow- be limited to protecting some isolated as-
ing constantly. sets from certain types of danger.

A.3. The flood risk increases where risk is A.4. Flood protection is never absolute
defined as the probability of occurrence We will have to keep the unpredictability of
multiplied by its impact. nature in mind. Flood protection is never
The probability of flooding is expected to absolute and things can go wrong. The
increase: the earth’s climate is changing question regularly arises as to what safety
rapidly. Since the warm period in the Mid- is available at what price, and how much
dle Ages and after the Minor Boulder, the of the remaining risk has to be accepted
by society. Risk management will be the
1
Text in italics refers to the UN/ECE guidelines appropriate method to deal with this chal-

Best practices on flood prevention, protection and mitigation


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lenge. Emergency and disaster planning in Experience has shown that local flood pro-
case of extraordinary situations are impor- tection measures can have negative ef-
tant, also in respect of environmental ef- fects both downstream and upstream.
fects which can occur in case of flooding Therefore, it is important to take the whole
of industrial sites. river basin into account. On transboundary
rivers, international co-operation is
A.5. Rivers don’t recognise national bor- needed. This co-operation already exists
ders in several river basins in Europe.

B. BASIC PRINCIPLES AND APPROACHES


B.1. There is a number of basic principles flood prevention, protection and mitigation,
and approaches regarding sustainable viz.:
(a) As far as possible, human interference reduce the vulnerability of human be-
into the processes of nature should be ings and goods exposed to flood risk.
reversed, compensated and, in the fu-
(f) Nevertheless, structural measures
ture prevented. It is necessary to pro-
(defence structures) will remain impor-
mote and harmonise changes in water
tant elements and should primarily fo-
policies and land-use practices, as well
cus on the protection of human health
as environmental protection and nature
and safety, and valuable goods and
conservation, in order to improve flood
property. Requirements of nature con-
management in the frame of Integrated
servation and landscape management
River Basin Management.
should also be taken into account.
(b) This should cover the entire catchment
(g) The major part of population and
area of watercourses and promote the
goods are located in big urban areas
co-ordinated development, manage-
so efforts for avoiding flood problems
ment and conservation of actions re-
should also be focused on these urban
garding water, land and related re-
areas. River overflowing does not al-
sources. Such a holistic approach is
ways cause urban floods; they can
based on multilateral and even multi-
also be caused by high rain intensities
national co-operation, including inter-
over the city combined with inappropri-
disciplinary planning for the whole
ate sewer systems. Special attention
catchment areas.
should be taken to the present drain-
(c) Considering the evolution and trends, age of rainwater, for instance the ca-
the approach to natural hazards re- pacity of the sewer systems of our cit-
quires a change of paradigm. One ies.
must shift from defensive action
(h) Everyone who may suffer from the
against hazards to management of the
consequences of flood events should
risk and living with floods.
also take –if possible- his/her own pre-
(d) Human uses of floodplains should be cautions. To this end, appropriate in-
adapted to the existing hazards. Ap- formation and fore casting systems
propriate instruments and measures should be established by the compe-
should be developed to reduce the risk tent authority.
of flood damages.
(i) Solidarity is essential, one should not
(e) Mitigation and non-structural measures pass on water management problems
tend to be potentially more efficient in one region to an other. The appro-
and long term more sustainable solu- priate strategy consists of a three-step
tions to water-related problems and approach: retaining, storing and drain-
should be enhanced, in particularly to ing. (first make every effort to retain

Best practices on flood prevention, protection and mitigation


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rainfall at the spot, store excess water B.3. Prerequisites for proper action are :
locally, only then let the water be dis-
(a) Knowledge is required on potential
charged to the watercourse). Flood
threats. Flood prevention should not be
prevention has also to be based on the
limited to flood events, which occur of-
precautionary principle.
ten. It should also include rare events,
(j) In flood-prone areas, preventive as they mostly endanger human
measures should be taken to reduce safety.
possible adverse effects of floods on
(b) There is a need for reliable informa-
aquatic and terrestrial ecosystems,
tion, for example, to take the neces-
such as water and soil pollution.
sary precautions.
B.2. To implement the basic principles and (c) Moreover, there is a need for interdis-
approaches, co-operation at all govern- ciplinary co-operation regarding all
ment levels, and co-ordination of sectoral phases of risk management: risk as-
policies regarding environmental protec- sessment, mitigation planning and im-
tion, physical planning, agriculture, trans- plementation of measures.
port and urban development is needed. As (d) The answer to the question “which
regards transboundary waters, co- level of flood protection can we accept”
operation is required among the riparian presumes that one has examined what
countries to harmonise national policies could happen, i.e. that the risks were
and strategies, and to draw up concerted properly assessed.
action plans.

C. POLICIES AND STRATEGIES


C.1. The Water Framework Directive
(WFD) currently does not explicitly ad- C.3. For the development of policies and
dress precautionary flood protection. The strategies concerning sustainable flood
issue is, however, addressed indirectly prevention and protection the UN/ECE
given that the Directive demands that guidelines are as follows:
there’ll be no further deterioration of river
(a) All appropriate action should be taken
systems and that the achievement of good
to create legal, administrative and
ecological status and good chemical
economic frameworks that are stable
status shall be aimed at. Furthermore, a
and enabling and within which the pub-
stated goal of the Directive is to reduce the
lic, private and voluntary sectors can
impact of floods, though precautionary
each make their contribution to flood
flood protection measures are not specifi-
prevention, dam safety and the reduc-
cally prescribed.
tion of adverse impacts of dangerous
flood events on human health and
C.2. Apart from the WFD, the European
safety and valuable goods and prop-
strategy on flood protection must also erty, and on the aquatic and terrestrial
make use of and integrate other policy environment.
fields such as Common Agriculture Pol-
icy (CAP), transportation, shipping, ur- (b) Priority should be given to integrated
ban development, emergency manage- water management measures for the
ment, and especially nature conserva- whole catchment area rather than to
tion. Implementation of flood strategy the management of floods as such.
must be co-ordinated at local -regional - (c) The impact of all major human activi-
national - international level within the ties concerning flood prevention and
river basin. protection in the catchment area on

Best practices on flood prevention, protection and mitigation


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society as a whole should be properly (d) Physical planning as well as urban and
considered. All major undertakings rural development and construction
with the potential of adversely affecting should take into account the require-
human health or significantly affecting ments of flood prevention and reduc-
water quality or quantity, biological tion, including the provision of retention
communities, landscape, climatic fac- areas. The real development is to be
tors, architectural and archaeological surveyed by monitoring of urban set-
heritage, or the relationship between tlement in areas that may seriously be
them should be subject to Environ- affected by floods.
mental Impact Assessment (EIA) and –
(e) In setting up these frameworks local
if suitable e.g. because of the size or
problems, needs and knowledge, and
impact of the building activity –
local decision-making mechanisms
authorisation procedures. EIA should
should be duly taken into considera-
also be applied on an international
tion.
scale, in particular with regard to activi-
ties with a potential transboundary ef- (f) An information policy that covers risk
fect on health and aquatic ecosystems. communication and facilitates public
participation in decision-making should
be developed.

D. JOINT AND COORDINATED ACTION


D.1. There is a strong need for co- be completed quickly. The preparation of
operation and sharing of experiences risk analyses and flood forecasts at trans-
among international river basins and national level is one of the components of
Member and Accession States, Candidate this anticipatory approach. This will call for
Countries and other European states. This solidarity between upstream users and
is also agreed in Budapest Initiative on downstream users across national bor-
Strengthening international co-operation ders, for example in drawing up transfron-
on sustainable flood management. Docu- tier regional plans with designated flood
mentation, harvesting lessons from other zones.
countries and gathering of local best prac-
tices are needed for all aspects of flood D.3. There have been several initia-
prevention, preparation, and disaster tives/actions at global and European level,
management. Based on the results of joint viz. the Helsinki Convention on the Protec-
exercises in policy learning, all embracing tion and Use of Transboundary Water-
flood management plans should be devel- courses and International Lakes (Helsinki,
oped for river basins. 1992), the legal instruments or co-
operative programmes on such water-
D.2. It is absolutely necessary to promote courses and their river basins as the
flood defence measures on a catchment Rhine, Danube, Elbe, Odra, the UN/ECE
area basis cutting across regional bounda- Guidelines on Sustainable Flood Protec-
ries and country borders. This will be done tion, Global Water Partnership, 2nd and
in co-operation with the relevant organisa- 3rdWorld Water Forum, the World Summit
tions in the fields of regional planning, ur- on Sustainable Development (Johannes-
ban development, transport, river control, burg, 2002), the Declaration of Intent con-
hydrology and meteorology. Existing flood cerning co-operation in the field of Inte-
protection action plans will be examined to grated Flood Management in Deltas and
see how effective they are and, where Lowland River Regions (Kyoto,
necessary, further developed and action March2003), etc. Based on these broad
plans in the process of being drawn up will mechanisms and instruments, new multi-

Best practices on flood prevention, protection and mitigation


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and bilateral agreements have been where they do not yet exist. They should
elaborated, or the existing ones have been request these joint bodies to incorporate
modified or supplemented in order to at flood prevention and protection into their
least particularly deal with water related activities and entrust them with the devel-
risk management. For several rivers inter- opment of good management practice for
national river commissions have been flood prevention and protection.
formed. A number of them have formu-
These joint bodies, when developing this
lated or are busy formulating action plans
good management practice, should:
on flood protection like the international
commissions for Rhine, Meuse, Moselle (a) Draw up a long-term flood prevention
and Saar, Tisza, Danube, Odra and Elbe. and protection strategy that covers the
Several international projects and co- entire transboundary river basin and its
operation has targeted the sustainable entire water system rather than the
reduction of flood related risks with due transboundary watercourse as such.
regard to the natural resources like the (b) Include in the strategy at least such
IRMA, the ODER-REGIO, Tisza River Ba- major objectives as reduction of the
sin Forum on Flood Control, Joint Ukraine- risk to health and damage to property;
North Atlantic Treaty Organisation (NATO) reduction of the scales of floods; build-
Project on Flood Preparedness and Re- ing of flood awareness; and the set-
sponse in the Carpathian Region, Interna- ting-up or improvement of flood notifi-
tional Hydrological Programme of United cation and forecasting systems.
Nations Educational, Scientific and Cul-
tural Organisation (UNESCO), etc. The (c) Draw up an inventory of all structural
process of European integration will offer and non-structural measures to pre-
improved conditions for more effective vent, control and reduce floods; ana-
concerted actions. lyse the existing scope of flooding and
human activities based on a risk
D.4. The role of the EU at present con- analysis that goes beyond national
cerns mainly financial instruments (solidar- borders in the catchment area; and
ity fund, structural funds, “L’ Instrument identify the inadequacies of the exist-
Financier pour l’Environnement” LIFE- ing scope of the technical and non-
programme) and research. The European technical flood control and preventive
Commission is developing a horizontal measures.
action on prevention, preparedness and (d) To achieve the long-term goals of
response to natural, man-made and other flood-related risk management, draw
risks. up an action plan that contains all the
measures (as well as their costs and
D.5. Greater use must be made in the fu- effects) that came up as a result of
ture of the European Union's offer to share there view and have been ranked ac-
the funding of projects aimed at improving cording to their relative importance and
risk analyses, flood defences, forecast timetables.
within the framework of the Council Regu-
lation on Support for Rural Development B. Provision of information
and within the scope of the INTERREG III To control and reduce the risks originating
B Community Initiative for now and IN- from floods, dam failures and ice hazards,
TERREG IV in the future. arrangements should be made to:
D.6. The UN/ECE guidelines concerning (a) Inform without delay each downstream
joint and co-ordinated action read: country likely to be affected by floods,
critical water levels or ice drifts.
A. Joint bodies (b) Provide forecasts of water levels, run
Governments should set up joint bodies, off and ice hazards.
such as international river commissions,

Best practices on flood prevention, protection and mitigation


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(c) Inform the public about the authorised operation between meteorological and
institution that is expected to issue re- hydrological products and services.
liable information on floods.
Flood warnings, information and fore- C. Critical situations and mutual assis-
casts should be forwarded and circu- tance
lated in real time between the riparian Comprehensive national and local contin-
countries following an agreed proce- gency plans to respond to flood events
dure. should be properly prepared in due time.
The authorities should have the capacity
Relevant information should also be to respond to such events, in accordance
made available to the public through with the relevant contingency plan.
the media, the Internet or other appro-
priate means. This should include in- Where appropriate, joint exercises to re-
formation what the public should do. spond to floods and dam failures should
be arranged.
Free and unrestricted provision and
transfer of meteorological and hydro- Riparian countries, when drawing up and
logical data and products, as defined agreeing upon procedures for mutual as-
by World Meteorological Organisation sistance in critical situations, should spell
(WMO) in its resolutions 40 and 25 of out formalities to facilitate the travel of
the twelfth and thirteenth World Mete- flood response personnel from abroad
orological Congress, respectively, (whether by plane, boat or on land) during
should be secured by close co- flood events.

E. FINANCIAL SUPPORT TOOLS AT EUROPEAN LEVEL


E.1 Structural Funds the EU territory support for cross-border,
transnational and interregional co-
The European Regional Development
operation, through the Interreg III initiative.
Fund (ERDF)
Particular examples of ERDF support for
The ERDF2 was created to reduce regional
flood prevention and remediation already
disparities in the Union, while at the same
finalised are initiatives within Interreg IIC.
time encouraging the development and
conversion of regions: Its fields of applica- • IRMA programme3 (Interreg Rhine
tion are, inter alia, in Objective 1 regions: Meuse Activities) jointly submitted by Bel-
investment in infrastructure, and environ- gium, France, Germany, Luxembourg and
mental protection; in Objective 2 regions: the Netherlands.
regeneration of industrial sites and de-
pressed urban areas; improved access to • Programme for combating floods in
and revitalisation of rural areas or those France (Languedoc-Roussillon, Rhône-
dependent on fisheries through spatial Alpes, Provence-Alpes-Côte d'Azur and
planning, regeneration, construction, envi- Corsica) and Italy (Val d'Aosta, Piemonte,
ronmental protection and investment in Liguria)4 whilst flood-related programmes
infrastructure and facilities, and throughout funded under Interreg IIIB are still ongo-
ing5.
2
Regulation (Economic Commission EC) 1260/1999
3
of 21.06.1999 laying down general provisions on the http://www.irma-programme.org and
Structural Funds, Official Journal L 161/1999 of http://europa.eu.int/comm/regional_policy/reg_prog/
26.06.1999. Regulation (EC) 1783/1999 of the po/prog_663.htm
4
European Parliament and of the Council of
12.06.1999 on the European Regional Development http://europa.eu.int/comm/regional_policy/reg_prog/
Fund, Official Journal L 213/1999 of 13.08.1999; po/prog_697.htm
5
further information available on
http://europa.eu.int/comm/regional_policy/funds/pror http://europa.eu.int/comm/regional_policy/interreg3/i
d/sf_en.htm ndex_en.htm and http://www.nweurope.org/

Best practices on flood prevention, protection and mitigation


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The European Agricultural Guidance innovative technologies and procedures for


and Guarantee Fund (EAGGF) protecting the environment are widely ap-
Within the framework of EU economic and plied. The budget for LIFE-Environment
social cohesion policy, the EAGGF6 sup- amounts to approximately 300 million EUR
ports rural development and the improve- for the period 2000-2004.
ment of agricultural structures. Fields of
application are, inter alia E.3 The European Union Solidarity fund
(EUSF)
• Agri environmental measures
Following the recent flood events, the EU
• Development and optimal utilisation of has created a specific financial instrument
forests to give immediate financial assistance in
the event of a major disaster to help peo-
• Development of rural areas through the
ple, regions and countries concerned to
provision of services, support for the local
return to living conditions that are as nor-
economy, encouragement for tourism and
mal as possible – the European Union
craft activities, etc.
Solidarity Fund8.
E.2 The LIFE Financial Instrument for • Intervention can take place to help fi-
he Environment nance measures alleviating non-insurable
LIFE7 has been created to contribute to the public damage. The EUSF can not be util-
development of innovative techniques and ised to fund long-term preventive meas-
methods by co-financing demonstration ures.
projects. The defined five areas eligible for
funding (land-use development and plan- • In the context of disasters eligible for
ning; water management; reduction of the EUSF assistance the funding of preventive
environmental impact of economic activi- measures is only permissible in the case
ties; waste management; reduction of the of essential emergency operations for the
environmental impact of products through mediate securing of preventive infrastruc-
an integrated product policy) cover also tures and measures of immediate protec-
innovative measures for flood prevention tion of the cultural heritage.
and flood protection are in principle eligi- • Future preventive measures: The report
ble. LIFE-Environment does, however, not to be submitted after reception of EUSF
finance research or investment in existing assistance will, inter alia, have to detail the
technologies or infrastructure. The pur- preventive measures introduced or pro-
pose of the programme is to bridge the posed in order to limit damage and to
gap between research and development avoid, to the extent possible, a recurrence
results and their large-scale application. of similar disasters.
To this end, demonstration projects based
on the results of projects that have been
supported under past or ongoing techno-
logical research and development pro-
grammes are encouraged. The dissemina-
tion of results is essential for ensuring that

6
General regulation see footnote above on ERDF;
on EAGGF: Council Regulation (EC) 1257/1999 of
17.05.1999 on support for rural development from
the European Agricultural Guidance and Guarantee
Fund (EAGGF) and amending and repealing certain
8
Regulations, Official Journal L 160 of 26.06.1999 Regulation (EC) 2012/2002 of 11.11.2002 estab-
7
Regulation (EC) 1655/2000 of 17.11.2000 con- lishing the European Union Solidarity Fund, Official
cerning the Financial Instrument for the Environ- Journal L 311 of 14.11.2002; further information
ment (LIFE), Official Journal L 192 of 28.07.2000; available on
further information available on http://europa.eu.int/comm/regional_policy/index_en.
http://europa.eu.int/comm/environment/life/home.ht htm and
m http://europa.eu.int/scadplus/leg/en/lvb/g24217.htm

Best practices on flood prevention, protection and mitigation


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F. RESEARCH, EDUCATION AND EXCHANGE OF KNOWLEDGE


Research agement is necessary to support a variety
of activities.
F.1. In the Budapest Initiative on‘
Strengthening international co-operation
F.5. This need is met through national
on sustainable flood management’
programmes of research and the Euro-
(30November – 1 December 2002) the
pean level research. The EC funded re-
Heads of Delegations agreed that the bet-
search between 1986 and 2003 has tack-
ter understanding of the climatological,
led many issues of relevance to flood
hydrological, ecological and landscape
management. The number and scope of
context of floods is of utmost importance in
the projects has increased in the past
flood management and especially in the
decade, driven partly by the need to ad-
flood prevention strategies.
dress the real and apparently increasing
needs of the citizens of Europe for protec-
F.2. More research on floods is necessary
tion from floods. This research has been
for a better understanding of effective
set mostly within the context of a broader
measures for preventing and managing
programme of science on understanding
floods. This research should include mod-
natural hazards and hydrogeological risks.
elling and data sharing as well as forecast-
ing. There is a clear need for a better defi-
Education
nition of interfaces between different data
sources and specific requirements for data F.6. Research outputs are of little value to
exchange. Existing models and modelling the citizens of Europe unless the knowl-
practices should be compared by applying edge and understanding is implemented in
and evaluating them within the same river practice. Thus the EC and national re-
basin. search project founders have placed em-
phasis on the implementation of research
F.3. Structured analyses should review project knowledge. All EC Fifth Framework
best practice approaches, measures, and projects and done in the Fourth Frame-
experiences to prevent and fight floods. work developed Technology Implementa-
Efforts should focus on forecasting, tion Plans, which considered how the re-
protection, prevention as well as mitigation search knowledge and advances would be
during times of no floods. More interna- developed beyond the timescale of the
tional co-operation, sharing of experiences project. One means of achieving this is the
and opportunities to learn from each other involvement of executive agencies in the
are needed. Forecasting and early warn- project with a programme of pilot testing
ing systems must be better linked to- the research.
gether. Based on information won from
these systems, best practice measures F.7. The integration of new knowledge into
should be developed and established. To graduate and post-graduate education
this end, a strong horizontal and vertical programmes is essential and facilitated by
co-operation between stakeholders and the strong involvement of university re-
different administrative levels will be re- search teams within the national and EC
quired. funded research programmes. The Inter-
national Association of Hydraulic Engi-
F.4. The management of flooding takes neering and Research (IAHR) has formed
place in the context of continual change in a loose programme of graduate level stud-
the “drivers” of the flooding system (gen- ies through short courses offered at a
eration of floods, cause and scale of socio- number of European Universities. In addi-
economic and ecological impacts). Thus tion, the EC promotes Advanced Study
multi-disciplinary research on flood man-

Best practices on flood prevention, protection and mitigation


12

Courses (ASC) on a variety of topics with at national as well as at international level.


issues of flood management. The international membership-based or-
ganisations involved in flooding issues
F.8. Training for professional engineers, include the IAHR, the International Asso-
scientists, technologists, economists, ciation of Hydrological Sciences (IAHS)
ecologists, etc. involved in their careers in and the European Geophysical Society
flood management is much more diffuse, (EGS); these hold conferences on a regu-
but some professional bodies require an lar basis and the IAHR maintains an e-mail
annual programme of Continuing Profes- forum called “rivers-list”.
sional Development (CPD) to be under-
taken as a part of registration. There are F.10. The EC has promoted at least four
many CPD courses, seminars and confer- actions to consolidate and disseminate
ences available internationally. Staff of the knowledge on flooding issues from its re-
local authorities, land use planers and res- search programme: River Basin Modelling
cue services should also be included in (RIBAMOD), Risk of Inundation Planning
training and education programmes. And Response Interactive User System
(RIPARIUS), Mitigation of Climate Induced
Exchange of knowledge Hazards (MITCH) and Achieving Technol-
ogy Innovation in Flood Forecasting (AC-
F.9. Exchange of knowledge is one of the
TIF).
roles of professional bodies and societies

G. PUBLIC AWARENESS, PREPAREDNESS AND PARTICIPATION


Awareness individual planning and preparation of all
actions to reduce damage in case of a
G.1. It is essential that people recognise
flood.
flooding as part of their environment.
Communities must be aware of being at
G.4. The planning of potential actions
risk. To be aware of a risk means to have
must be adapted to warning lead time and
recognised it, to know about it, not to for-
the acting forces. It is recommended to be
get or to repress it and to take it into ac-
prepared even for the worst case. Training
count appropriately when acting. If there is
is a prerequisite for correct conduct in
no hazard awareness, even incentives will
case of floods.
not be of any help. If persons concerned
have not yet experienced flooding, knowl-
G.5. Well-structured emergency organisa-
edge about the risk must be passed on
tion is vital in order to be able to cope with
with the help of the flood hazard maps,
flood emergencies. Evacuation and rescue
other information and education.
services prevent casualties. Flood fighting
by temporary structures reduces the prob-
G.2. Knowing about the danger, including
ability of damage. This type of risk preven-
all important parameters, such as type of
tion is of great importance for areas with
flooding (static, dynamic) as probability,
great flood depth.
intensity (flooding depth, flow velocity) and
extent of impact is a prerequisite. This
G.6. The UN/ECE guidelines read:
knowledge must be imparted convincingly
on all actors. (a) To reduce the potential for damage,
both the public concerned and the au-
Preparedness thorities should closely interact. Cor-
rect flood warnings and forecasts are
G.3. Preparedness is a result of aware-
important elements for adequate be-
ness and is based on the necessary in-
haviour of the public during flood
formation to make the individual recognise
events. To ensure the commitment of
his possibilities of action. It includes the

Best practices on flood prevention, protection and mitigation


13

both the authorities and the public, the cerned is a cornerstone of successful
authorities should develop an informa- implementation of these plans.
tion policy that covers risk communica-
tion and facilitates public participation
(e) The authorities should ensure that the
information concerning flood preven-
in decision-making.
tion and protection plans is transparent
(b) The public should be informed by the and easily accessible to the public.
competent authority and/or other ap- The information should be dissemi-
propriate entity that floods are a natu- nated early and actively, not just on
ral component of the hydrological re- request. It should be accompanied by
gime of watercourses. Thus, the public the envisaged procedures for public
should become aware that there is a participation.
need to restrict uses, such as for in-
dustrial, agricultural, tourist or private Participation
purposes, in areas at risk of flooding to
reduce the potential for damage. In- G.7. The UN/ECE guidelines read:
formation about restrictions construc- (a) Public participation in decision-making
tion in flood areas should be easily ac- concerning flood prevention and pro-
cessible. Information about risk as- tection is therefore needed, both to im-
sessments should be easily under- prove the quality and the implementa-
stood, for example, clear flood maps tion of the decisions, and to give the
and, where appropriate, information public the opportunity to express its
based on Geographic Information Sys- concerns and to enable authorities to
tems (GIS) should be distributed. take due account of such concerns.
(c) The public should be encouraged to (b) All measures linked to public informa-
take their own flood prevention meas- tion and awareness raising are most
ures and be informed about how to act effective when they involve participa-
during flood events. This requires, inter tion at all levels, from the local com-
alia, that forecasts and related informa- munity through the national govern-
tion are easily accessible and that real- ment to the regional and international
time media coverage is ensured. Me- level.
dia plans should be prepared together
with the riparian countries and a citi- (c) The Convention on Access to Informa-
zens' information desk could be useful tion, Public Participation in Decision-
in some countries. making and Access to Justice in Envi-
ronmental Matters, done at Aarhus,
(d) All envisaged measures concerning Denmark, on 25 June 1998, gives an
flood prevention and protection should extensive framework in which the
be compiled in a comprehensive action above recommendations on public par-
plan. Such action plans can cover sev- ticipation fit. This convention on inter
eral years, sometimes up to 15 years. alia provides for making environmental
Most measures represent a consider- information available to the public, for
able environmental impact. A sustain- the participation of the public during
able commitment of the public con- the preparation of plans and pro-
grammes.

Best practices on flood prevention, protection and mitigation


14

Part II . BEST PRACTICES

It is necessary to distinguish between different kinds of flooding and the environmental condi-
tions that contribute to the problem. For instance, there are significant differences between
on the one hand sudden flooding in upstream or headwater areas where mitigating risk in-
volves a wide range of innovative small-scale solutions and on the other hand low land flood-
ing where warning periods and the duration of flood events are longer and large-scale meas-
ure have to be taken. Therefore, the effectiveness of the best practices described in BH de-
pends on among other hydrological and environmental circumstances.

A. INTEGRATED RIVER BASIN APPROACH


Need of a river basin approach dangered activities and buildings may be
advisable. Development of preliminary
A.1. Experience has shown that effective
flood protection strategy should include
measures for flood prevention and protec-
respectively evaluation of associated
tion have to be taken in the level of river
costs, technical feasibility assessment,
basins and that it is necessary to take into
environmental impact assessment, social
account interdependence and interaction
acceptability and thus in a sustainable way
of effects of individual measures imple-
by taking a river basin integrated and long
mented along water courses.
term view, probably of the order of 50 or
100 years.
A.2. It is absolutely necessary to organise
the water management systems and im-
A.4. The Water Framework Directive, and
prove forecasting, flood defence measures
the 11 water-related Directives associated
and crisis management on a river basin
to it, could be considered as a support to
basis, cutting across regional boundaries
implement a floodplain regulation in the
and country borders. This will be done in
development of River Basin Management
co-operation with the relevant organisa-
Plans, based on an as good as possible
tions in the fields of hydrology and mete-
ecological and chemical status of wetlands
orology, mitigation planning, river control,
and floodplains.
civil protection and crisis management
units.
A.5. The reduction of flood risks has to be
based on the principles of solidarity and
Need of an integrated approach
precaution by not passing on water man-
A.3. For flood prevention, protection and agement problems, and not passing on
mitigation, a good combination of struc- administrative responsibilities.
tural measures, preventive measures and
operative measures during flood events A.6. There is a need for interdisciplinary
are necessary: building codes and legisla- co-operation at all government and local
tion to keep structures away from flood- levels for a co-ordination of sectoral poli-
prone areas, appropriate land use, ade- cies regarding environmental protection,
quately designed floodplains and flood- physical planning, land use planning, agri-
control structures planning, mitigation, culture, transport and urban development,
early-warning systems, correct risk com- and a co-ordination regarding all phases of
munication and preparedness of the popu- risk management: risk assessment, mitiga-
lations how to act during floods. In some tion planning and implementation of
cases even relocation of extremely en-

Best practices on flood prevention, protection and mitigation


15

measures. Therefore, a holistic approach regulation enterprises and other interested


is necessary throughout the river basin. parties, for example by creating a local
water commission, is more than needed
A.7. This would contribute to the imple- for a regional co-ordination and the im-
mentation of a holistic approach with in- plementation of a holistic approach.
creased knowledge about responsibility,
function and capacity of the concerned Need of international and transbound-
parties, better understanding, and a better ary co-operation
support for decision making.
A.11. Strengthening international co-
operation aiming at securing a sustainable
A.8. Societal developments and expansion
future for the river basin, especially in
of water management policy demand new
terms of shared approaches to river basin
knowledge including new insights into so-
management, preparation of risk analyses
cial studies, spatial planning and public
and flood forecasts at transnational level,
administration. In this way, societal and
improving the co-ordination of the existing
administrative aspects, in addition to tech-
forms of assistance9, sustainable use of
nological solutions, can be investigated
biodiversity, are one of the components of
and the social support for the solutions
an anticipatory approach.
can be assessed in advance.
A.12. Progress has been achieved by ex-
Need of an integrated and comprehen-
isting river commissions in developing joint
sive action plan
strategies involving aspects of regional
A.9. All envisaged measures concerning planning and land use regulation. The ob-
flood prevention and protection should be jective of an international co-operation is
compiled in a comprehensive action plan to develop joint documents specifying
covering up to several decades. An inte- strategies and action programmes aimed
grated action plan for reducing flood dam- at improving protection against floods.
age must:
Need of financial instruments
(a) draw long-term conclusions for preven-
tive action in water management, land A.13. Relevant projects could financially
use, settlement policy and finance, be supported from programmes and funds
of European Union, such as Common Ag-
(b) define the scope of responsibilities in
riculture Policy, PHARE Cross Border Co-
the flood protection system at levels of
operation (CBC), INTERREG, European
the government and local administra-
Regional Development Fund, Special Ac-
tion, responsibilities of public (individu-
tion Programme for Agriculture and Rural
als) and business companies.
Development (SAPARD), EU solidarity
Such a plan is a tool which: fund or LIFE, however, actions of individ-
(c) ensures permanent and integrated ual co-operating countries and sectors
planning of functions and use of the have to be co-ordinated.
river basin,
A.14. A financial instrument that can both
(d) specifies principles for its organisation reduce the financial risk for individuals,
and co-ordinates investment activities enterprises and even whole societies and
and other activities affecting the river increase the awareness of being at risk, is
basin. It should also form conditions for flood insurance.
ensuring permanent harmony of all
natural, civilisation and cultural func-
tions in the basin.
9
Mainly among the organizations responsible for
A.10. An effective co-operation between the emergency operation of the defenses and or-
state authorities, the communities, water ganizations responsible for civil protection as well as
aid organizations.

Best practices on flood prevention, protection and mitigation


16

A.15. The establishment of national funds damage of floods.


could be considered to partially cover

B. PUBLIC AWARENESS, PUBLIC PARTICIPATION AND INSURANCE


Public awareness easily accessible to the public. This can
achieve by:
B.1. It is the personal responsibility of
anyone who lives and works by or on the (a) Flood hazard maps point out areas at
river, and broader in the potential flooded risk and are necessary for planning.
area, to adapt his use of the water and all Maps must be easily readable and
activities to flood risks. So, every one must show the different hazard levels. They
know the risk and take it into account ap- are necessary for the co-ordination of
propriately when acting. different actions. They are a planning
tool and ascertain that all actors have
B.2. Problems associated with floods are the same information on spatial extend
often not sufficiently recognised and ac- of a certain hazard. Flood maps should
knowledged. Communication plan to offer be used for the reduction of damage
individuals an understanding of the nature potential by integrating its outputs into
and scope of these risks should be devel- spatial planning and emergency plan-
oped. Regional and municipal authorities ning. Both type of utilisation requires
will see to its continued and permanent that the flood hazard / zoning / risk
implementation at the regional and local maps should include the worst-case
level in order to involve owners and ad- scenario as well.
ministrators of properties, including or-
(b) Information based on Geographic In-
ganisations at levels of regions, districts,
formation Systems (GIS) should be
municipalities or individuals, and enable
widely diffused and explained. Media
them to take preventive and protective
plans should be prepared following an
actions by themselves and offer their opin-
agreed procedure.
ions about the implementation of preven-
tive measures for reduction of flood dam- (c) Information and education must keep
ages. alive flood awareness. Flood marks
placed in the communities and land-
B.3. All measures linked to public informa- scape remind the public of the danger
tion and awareness raising are most effec- and helpful for those not used to read
tive when they involve participation at all maps. Citizens 'information desks, risk
levels. Public participation in decision- education in schools, flood marks on
making is a cornerstone of successful im- buildings and signs are also proved to
plementation of integrated and compre- be very helpful in many cases.
hensive action plans, both to improve the (d) The information should be dissemi-
quality and the implementation of the deci- nated early and actively, not just on
sions, and to give the public the opportu- request and be accompanied by the
nity to express its concerns and to enable envisaged procedures for public par-
authorities to take due account of such ticipation
concerns.
B.5. The public should become aware that
Public participation there is a need to adapt or even restrict
B.4. The authorities should ensure that the uses, such as for industrial, agricultural,
information concerning flood prevention tourist or private purposes, in areas at risk
and protection plans is transparent and of flooding to reduce the potential for
damage. It will be essential to outline the

Best practices on flood prevention, protection and mitigation


17

likelihood of flooding and possible weak consequence, usually less concerned,


links in each flood protection measure and often somewhat indifferent and sometimes
therefore increase the awareness of per- even welcoming the destructive event.
sons potentially at risk. While the latter observation is not neces-
sarily widespread it is certainly far from
Information about special measures re-
being absent. With adequate incentives,
quired and restrictions on construction in
however, insurance is a powerful means of
flood areas should be easily accessible
motivating the insured to take measures
and easily understood. Competent authori-
aimed at loss reduction. Incentives can be
ties should therefore provide information
an increase of premium or deduction of
on natural risks to be used in the context
refunds in case certain precautionary
of real estate transactions, whether for
measures are not implemented. The goal
sales or rentals.
is to reduce the vulnerability of objects
located in flood exposed areas by ade-
B.6. The public should be encouraged to
quate measures.
take their own flood prevention measures
and be informed about how to act during
B.9. With prior risk inspections, but also
flood events to protect oneself and one’s
with post-event appraisals, insurance
belongings. Practical guides for private
companies make a contribution to better
individuals and municipalities should be
arrangements so that future events will be
published and disseminated on how to
less harmful. Finally, they contribute –
behave in that way. Moreover, in areas
through publications, seminars and lec-
that are particularly threatened by flooding,
tures – towards education and towards
a specific preparedness to alert, rescue
creating awareness among the public, the
and safety measures should be planned
decision makers and the technical experts.
and implemented at all levels by maintain-
ing regular basic and continuous ongoing
B.10. Various countries have already es-
training actions and a constant information
tablished insurance schemes for this type
strategy. This requires also that forecasts
of hazard, some in the form of insurance
and related information are easily accessi-
pools, others on an individual basis. The
ble and that real-time media coverage is
types of contract range from obligatory to
ensured.
completely voluntary coverage, and from
all-risk policies to flood-only policies.
Insurance
There are advantages and disadvantages
B.7. Besides public and individual meas- in all these concepts and none can be de-
ures, insurance can be an important factor clared the best. It is certainly advisable,
in increasing the awareness and reducing however, to offer multi-hazard packages,
the financial risk for individuals, enter- thus combining the flood risk with other
prises and even whole societies where risks such as earthquake, landslide, wind-
natural hazards are concerned. Proper storm, hail, subsidence, snow-load, etc. to
insurance can considerably mitigate the avoid adverse selection.
effects that extreme events have on them
and can prevent them from being ruined. B.11. Parallel to the primary insurers that
need risk zoning for the purposes of ac-
B.8. One very important contribution the quisition and designing a premium struc-
insurance companies can make towards ture, re-insurers – as part of their service
loss reduction is to raise the willingness of to the primary insurance companies and in
home and business owners to defend their the interest of their own business – need
property against flood damage. At a first hazard zoning to calculate the expected
glance, insurance may not seem to en- losses that the insurance industry might
hance this willingness. On the contrary, face as the result of an extreme event
being insured makes people themselves threatening a company's existence. A co-
believe to be less vulnerable, and, as a

Best practices on flood prevention, protection and mitigation


18

operation with the competent state and of interest and lower the rates if buildings
municipal authorities is advisable. are enforced effectively against flood
damages.
B.12. Credit institutions should use flood
plan mapping or zoning to verify their rates

C. RETENTION OF WATER AND NON-STRUCTURAL MEASURES


C.1. Every cubic meter of water not
drained away immediately to the next body C.5. Maintain and expand the forest popu-
of water is a gain for the water regimen lation in the river basin by semi-natural
and it also takes away some of the burden reforestation, particularly in mountain and
in floods. hilly ranges.

C.2. The storage effect of vegetation, soil, C.6. Conserve, protect effectively and,
ground and wetlands has an important where possible, restore degraded wet-
mitigating effect particularly in minor or lands and floodplains, including river me-
medium-scale floods. Each of these stor- anders, oxbows, and especially reconnect
age media is capable of retaining certain rivers with their floodplains. The mainte-
quantities of water for a certain length of nance of the vegetation edging a water-
time. A large natural storage capacity pro- way is however necessary in a way that is
vides slow rises in water levels and com- both respectful of the wealth, biodiversity
paratively minor floods. Retaining water on of these environments, and effective
the natural media should have priority over against the risk of flood damage.
swift water run-off. In some cases, in the
event of heavy and lasting rainfall, natural C.7. Improve land reclamation including
storage impact is less relevant as regards reducing the drainage of the landscape,
the reduction in flow, but is still extremely reversing the straightening of water-
beneficial when it comes to reducing courses and bank reinforcement: “let rivers
sediment yield. spread”. All work relating to draining
swamp lands and drying damp and un-
C.3. A strategy to manage floods in an sanitary land shall be considered as con-
ecological manner should be based on trary to the objective of flood prevention.
improving river basin land-use, prevent in
rapid run-off both in rural and urban areas, C.8. Reclaim former flood plains and
and improving a transnational effort to re- lakes, when possible, for example by relo-
store rivers' natural flood zones. It tends to cating dykes, opening natural levees by
reactivate the ability of natural wetlands creating inlets at the deepest terrain sec-
and floodplains to alleviate flood impacts. tions, in order to reincorporate these areas
Besides flood mitigation, this leads to eco- as natural retention areas into the dis-
logical benefits in the form of maintaining charge dynamic.
biodiversity, often recharging underground
aquifers and cleaner water for drinking, C.9. Discharge excess water into natural
areas for recreation, opportunities for tour- and artificial flood retention areas (which
ism and so on. will, in principle, only be used temporarily)
in a controlled manner rather than to let
The main preventive non-structural water take its course.
measures should be to:
C.10. Ensure land uses that are appropri-
C.4. Conserve, protect effectively and,
ate to areas prone to flood and erosion,
where possible, restore vegetation and
enhance soil conservation by avoiding
forests in mountainous areas, riparian
excessive soil compaction and erosion,
woodland and meadows.

Best practices on flood prevention, protection and mitigation


19

develop a network of agricultural roads attention should be taken to the drainage


and practices such as contour tillage of rainwater, for instance the capacity of
which would take into account water reten- the sewer systems of major cities. A spe-
tion objectives and ecological require- cific risk assessment and a feasibility
ments, and change the vegetation cover study might be needed to define the de-
(grassing of river banks and flood plain sign sewer system protection level, taking
areas, convert arable land into pasture- into consideration possibilities of rain wa-
land). This leads at the same time to a ter re-infiltration, de-coupling of waste wa-
reduction in nutrient and pesticide input ter and rain water drainage systems, and
into rivers. the augmentation of storage capacities
within the drainage system.
C.11. Develop manageable flood polders,
which should preferably be used as exten- C.15. Follow in each case, a holistic ap-
sive grassland or to restore alluvial forests, proach to take due account of the whole
at selected locations of former floodplains catchment area. In some river basins, this
to lower flood peaks. should be applied particularly to technical
structures designed to manage water flow
C.12. Increase the flood conveyance ca- in retention areas and their operation. The
pacity of the flood bed in the middle and management of these retention areas
lower river sections where natural slope of should not exclusively serve the purpose
the river is too little by making every pos- of local flood reduction but also flood re-
sible effort to dismantle manmade obsta- duction in the whole affected area. Organ-
cles of flow, by encouraging appropriate isational schemes in accordance with this
land uses, e.g. rehabilitation of pastures goal are to be developed.
and mosaic type floodplain forests in the
floodway, by creation of bypassing chan- C.16. Develop and improve new pro-
nels in the flood bed (where possible and if gramme of enticement measures, which
necessary), by increasing the flow capac- could become mandatory if necessary, in
ity of bridge sections. the form of concerted action programmes
aimed at: developing artificial flood reten-
C.13. Measure the effectiveness of actions tion areas or polders, limiting or prohibiting
on flood wave run-off, particularly dyke agricultural practices which could cause
relocation and the development of flood land erosion and accelerate the flow of
polders. surface runoff, limiting soil sealing in urban
areas, and enabling to acquire threatened
C.14. Limit soil sealing as part of urbanisa- property or expropriation due to major
tion (e.g. built-up land in residential areas natural risks endangering human life.
and on industrial and business estates,
and the construction of traffic routes and C.17. Economic disadvantages, beyond a
areas). Unsealing measures promote certain level, suffered as a result of meas-
rainwater infiltration. Indeed, floods can be ures against flooding or erosion may be
caused by river overflowing but also by offset by providing compensation schemes
high rain intensities over the city combined as well as terms and condition of use.
with inappropriate sewer systems. Special

D. LAND USE, ZONING AND RISK ASSESSMENT


D.1. In Nature, there is no flood damage. the flood basin is used, the greater the
Floods only lead to damage when uses by potential for damage and then the actual
human beings are detrimentally affected. damage when the flood occurs.
The more intensively and the less suitably

Best practices on flood prevention, protection and mitigation


20

D.2. The water management policy and


spatial planning efforts in the long run D.5. Immediate flood plains should be
must concentrate towards attaining an identified and designated by law as priority
equilibrium stage between economic de- sites for flood retention or to restore, as far
velopment and urbanisation on the one as reasonable, mobility to waterways. The
hand and the needs to allocate more purpose is to discourage protective bank
space to water for flow retardation and construction, embankments, impoundment
water retention on the other hand – space and undermining, constructions or installa-
that must be earmarked now. The exigen- tions and, in general, any construction or
cies of flood prevention must become one works likely form an obstacle to the natural
of the guiding principles in spatial plan- flow of waterways that cannot be justified
ning. by the protection of densely populated
areas.
Risk assessment means:
D.6. Stopping building development in the
D.3. Improve knowledge concerning extent
immediate areas at risk of floods, land-
and evolution of floods and water related
slides or dam failures if an unacceptable
problems10, simulate different high water
risk to human lives or material damage
incidences, study and compare zoning
exist, should be regulated. Exceptions
scenarios, and integrate this risk assess-
should be restricted to those uses which
ment, via identification and mapping of
are of stringent necessity. Adapting uses
hazards11 and high-risk areas into land-
to the hazards in the potential flood plains
use, emergency and rescue planning poli-
(dyke or dam-protected areas) in order to
cies. Simultaneously, this would allow to
minimise the damage potential. Monitoring
assess effectiveness, thus priority. of the
the building development in these areas
flood protection measures along the whole
and publishing the results in comparison
longitudinal profile of a river, in view of
with the former situation should be real-
informing the frontage population of the
ised regularly.
potential risks including remaining risks
that occur, for example, as a result of a
D.7. Major installations, works, construc-
dam break, ice-jams or dyke break.
tion work and hazardous or hazard-prone
activities and uses in designated areas
Preventive land use means
should be subject to administrative permits
D.4. When identifying and designating or authorisations. Adaptation require-
areas prone to flooding, it should be borne ments, restrictions and prohibitions should
in mind that they may require multipurpose be based on among others risk assess-
and/or cross-sectoral action such as flood ments. Moreover, incorporation of an ac-
protection, nature conservation and pro- tivity may not impede the retention, stor-
tection, protection of specific habitats and age or drainage of water in the catchment
protection of sources of drinking-water area and should be guided by the underly-
supply. It is, therefore, necessary to con- ing principle that water-related problems
sider everything that is in need of protec- may not be passed downstream or from
tion. one part of the river basin to another.

10
D.8. Vulnerability diagnoses should be
E.g. risks related to frequency and intensity of
generalised to existing industrial and
flooding, rising groundwater tables, erosion, debris
flow, mass deposition, landslides, ice flows, pollu- commercial companies, real estate devel-
tion, etc. opment managers, drinking water produc-
11
The flood hazard maps include historic as well as tion or water treatment facilities, farms, etc
potential future flood events of different probability, located in flood-prone areas in order to
illustrating the intensity and magnitude of hazard in
a selected scale and are at the basis of considera-
assess the consequences of high-water
tions and determinations in land use control, flood incidences and to propose measures ena-
proofing of constructions and flood awareness and bling their reduction, produce flood emer-
preparedness.

Best practices on flood prevention, protection and mitigation


21

gency plans and develop the prepared-


ness to the risk by training exercises. D.12. Identify and reduce the vulnerability
of existing infrastructures and all networks
D.9. The most sensitive establishments, located in flood-prone areas (water sup-
such as buildings, facilities and installa- plies, energy systems, transportation and
tions whose operation is fundamental to communication networks, public facilities,
civil safety, defence or maintaining public etc), and particularly transport network
order, or whose failure presents a high risk which may suffer massive interruptions or
to humans or presenting the same risks hinder the evacuation and the arrival of
due to their socio-economic importance, emergency services.
must be implemented on the nearest no-
risk-prone areas. Only activities that are
inextricably tied to the water management
system or cannot be implemented else-
where for reasons of important societal
interest should be permitted.

D.10. If, after an integrated assessment, a


decision is made that has adverse conse-
quences for (future) safety or exacerbates
water-related problems, the measures that
are required to keep the water manage-
ment system in working order and offset
the adverse effect of the measure under
examination must be identified. The costs
of these measures will in principle be
borne by the initiator of the proposed activ-
ity.

D.11. Existing constructions at risk of


flooding should be made flood-
compatible12 for all water-related prob-
lems13. In many cases construction and
reactive measures, with economic
justification, can contribute more to
damage reduction than all the natural
water retention measures and technical
flood protection together. In potential flood
plains, the forward planning and approval
stages of further construction work should
take account of new and relative
construction methods that incorporate the
need to maintain space for water and
address water-related problems. Thus
could finally lead to establish mandatory
construction standards for flood risk area.

12
Raising floors, moving the most vulnerable
equipment(indoor heating, power and telecommuni-
cations systems, electrical and computer installa-
tions etc), selecting the appropriate materials for the
flood contingency, making cellars waterproof etc.
13
Flooding, rising groundwater tables, sewage net-
work disruption, erosion, mass deposition, land-
slides, ice flows, pollution, etc.

Best practices on flood prevention, protection and mitigation


22

E. STRUCTURAL MEASURES AND THEIR IMPACT


E.1. Flood events of the recent past have control works, hydraulic structures and
shown the vulnerability of the flood other water-construction works in order to
protecting structures and that of the emer- ensure that they are safe and provide a
gency organisations in some cases. Ex- sufficient level of flood protection, in keep-
amples vary in a broad range. Some prac- ing with applicable construction standards
tice shows that in those cases where flood or the best available technology. This
defences were developed to withstand the should be done with a long term insight
1/100 years floods, simultaneously the and by taking into consideration the impact
lead time of the forecast was sufficient and of climate change on river run-off.
adequately trained and prepared organisa-
tions defended those against even 1/300- E.4. Take upstream, downstream and en-
1/500 years floods. The performance of vironmental consequences into considera-
the defences could be extended success- tion. The risk of flooding, landslides and
fully by appropriate countermeasures such dam failures should not be increased if
as the erection of temporary heightening developing a flood-control work.
and supporting structures to avoid over-
topping, to stability loss and hydraulic fail- E.5. Carry out multi-criteria analysis for the
ure of the foundation soil of the defences. flood and erosion defence measures in
On the other hand, efficient dams and order to prove their effectiveness and play
dykes cannot provide reliable safety a role in deciding for or against funding
against floods which exceed their de- and planning assistance. Non-monetary
signed capacities. Contrary to this, near impacts should also be factored into this.
dam or dyke-protected areas, a false
sense of security is given to populations E.6. Major storage dams in headwaters
and properties “encouraged” locating on may contribute considerably to reducing
surrounding floodplains, thus causing dis- the risk of flood damage downstream es-
asters. Nevertheless, even after all the pecially when floodplains have a low flood-
non-structural measures have be en im- dampening effect significance. Dam
plemented there is still a natural risk of safety, the operation of dams during flood
floods that might be reduced by means of events and the legal framework concern-
technical flood protection. ing the operation of dams during flood
events should be taken into consideration.
E.2. However, flood protection is never Interdisciplinary co-operation within a river
absolute; only a certain level of protection basin should also include owners and op-
against flooding can be reached. The con- erators of such dams.
cept of residual risk should therefore be
taken into consideration for each flood- E.7. Take into consideration the flood
control structure. That means clearly de- situation in the whole river system, includ-
fine the design level of protection to which ing other riparian countries when operating
the flood-control structure might be reliably dams and flood retention basins during
defended, or local conditions that might flood events, and not only the local or na-
weaken it, determine flood risks in pro- tional conditions.
tected floodplain basin related to the
performance characteristics, the E.8. Consider within the long term strat-
overtopping and failure probability of the egy, relocation of dykes or other water-
flood defence structures and explain it to construction work when deciding on reha-
the public. bilitation measures for flood-related struc-
E.3. Build, maintain and rehabilitate, tures.
where necessary, dams, flood ways, by-
passing channels, dykes and other flood-

Best practices on flood prevention, protection and mitigation


23

E.9. Complement the flood protection in bility and increased opportunities for effec-
residential areas with limited space and tive management of a wide range of flood
where necessary, by flood protection events. The level of deployment depends
walls, mobile closures, superstructures or on the length of the warning and the ca-
simple sandbags, bearing in mind that pacity available for storage, transport and
their implementation must refer to a sys- erection capacities without any deteriora-
tematic planning co-ordination. The use of tion of the evolution of floods in the down-
non-permanent forms of barrier for flood stream direction.
protection can provide much needed flexi-

F. EARLY WARNING AND FORECAST SYSTEMS


F.1. The possibility of climate change in in conformity with the national customs
decades to come further emphasises the using efficient information technologies.
need for early warning and flood forecast-
ing particularly in flood plain areas at im- F.6. Use historical information and experi-
mediate and high risk. ence to the maximum potential. Doing so
can save lives, face and resources.
F.2. Flood forecasting can be effectively
combined with other measures for flood F.7. A timely and reliable flood warning
prevention such as retention, land use and and forecasting system, depending upon
structural Measures, flood emergency and consistent hydro-meteorological basins
public awareness reported in points A, B, rather than on sectors, is one of the basic
C, E and G respectively. conditions for an improvement of the pro-
tection against floods.
F.3. A major risk in operating early warn-
ing systems lies in the possibility of false F.8. An effective early-warning and fore-
alarms, due to either under- or over casting system for extending the reaction
prediction of the hazard. The uncertainty time should be supported by meteorologi-
originates form the possible choice of pa- cal information and the earliest possible
rameter values in the hydrological as well warning of extreme weather conditions.
as river routing models and in the often
scarce knowledge of antecedent condi- F.9. An European Flood Alert System
tions in the river basins. Historical records (EFAS) and an European Flood Forecast-
need to be maintained. ing System are being developed covering
a large part of Europe. Considerable pro-
F.4. Traditional measuring instruments gress is expected by 10 days’ early warn-
such as rain gauges should play a funda- ing via the LISFLOOD14 system, which not
mental role as far as possible. Broader intends to replace national or regional
information provided by innovative tech- forecasting systems. It needs support by
nologies, such as radar and numerical the countries in validation and calibration
weather forecasts, will become more ac- in each river basin or sub-basin.
cessible. The traditional and the new tech-
nologies should coexist in an efficient F.10. Teams of forecasters should be,
manner and be used for mutual data veri- where possible, composed of meteorolo-
fication and comparison. gists, hydrologists, hydraulicians and even

F.5. Dissemination of information is a 14


highly diversified activity that requires sig- LISFLOOD simulates runoff and flooding in large
river basins as a consequence of extreme rainfall.
nificant experience under local conditions. LISFLOOD is a distributed rainfall-runoff model
The dissemination needs to be carried out taking into account the influences of topography,
precipitation amounts and intensities, antecedent
soil moisture content, land use type and soil type.

Best practices on flood prevention, protection and mitigation


24

crisis managers, capable of providing 24- efforts must be taken for achieving reliable
hour a day, 365-day a year monitoring and warning levels based on real time meas-
forecasting. ures of rain intensities and water levels in
main sewer trunks combined with a deep
F.11. A compatible meteorological and knowledge of the sewer system of the city.
hydrological information system and data-
base, if possible with a fully automated F.16. Monitoring, research and forecast of
data communication system, should be the preconditions of ice jam development
created for the entire river basin. However, and ice break-up, including morphological
experience shows that there is a need for examination of river reaches prone to
redundancy in measuring and communi- jamming, as well as methodology and
cations systems, particularly because of manual of ice jam prevention should be
the adverse conditions encountered just developed jointly.
during the most extreme events.
F.17. An automatic information system,
F.12. In cases, that forecast model does providing and exchanging data about the
not cover the whole catchment area, but operation of relevant water storage reser-
separate models or sub-models are devel- voirs and other hydraulic structures,
oped for various parts of the catchment for should be set up and operated together
technical, scientific or even administrative with the flood warning services and other
reasons, it is of the utmost importance to participants involved in the flood protec-
ensure a proper link between the models tion, mainly administrators of watercourses
covering the various sub-basins. and operators of hydraulic structures. This
is a prerequisite for a due real-time opera-
F.13. Flood forecasting models should be tion of dams and retention basins in the
worked out, verified and adopted and, if event of floods, as required under E7.
appropriate, harmonised by riparian coun-
tries, introduced and regularly improved F.18. An effective and reliable system of
for the catchment area of the main water- flood forecasting and warning dissemina-
course and its most important tributaries. tion should be set up to inform, at respec-
That means particularly to harmonise the tive level, flood authorities and citizens in
technical procedures for hydrological and threatened areas. Classical and new me-
meteorological forecast, the procedure of dia such as official warnings, state and
use, store and exchange data between private broadcasting services, satellite-
neighbouring countries. based communication system, alarm calls
on the radio (switching on radios by re-
F.14. Because of the short reaction time in mote control), mobile telephones, the
the event of flash floods in mountainous Internet and teletext etc should be used,
areas, the warning of flash floods should tested and performed according to techno-
be based on real-time information from an logical progress. Alarm and action plan
automatic precipitation gauges network must be adapted to local conditions.
combined with quantitative radar precipita-
tion data and supported by quantitative F.19. For large basins the benefit of the
rainfall forecasts. The system of the flood most advanced flood forecasting system
warning services should be decentralised, will rarely outperform a good exchange of
and capable of providing local warnings information between upstream and down-
with a time advance which would be im- stream water management authorities and
possible to be ensured by using central relevant communities. Entertaining good
systems. relationships and ongoing collaboration
with neighbours should thus be seen as an
F.15. Similar short reaction time occurs in optimal investment and essential instru-
flash floods in urban areas. Because of the ment in practical flood forecasting and
high impact of floods in urban areas, big early warning.

Best practices on flood prevention, protection and mitigation


25

G. FLOOD EMERGENCY
G.1. Comprehensive national and local the conditions and capacity of the de-
contingency plans to respond to flood fences not only during emergency but they
events should be properly prepared in due serve basic information for the justification
time and maintained in operational status and prioritisation for development planning
everywhere flooding might occur due to as well. The integrated flood defence
direct flooding, dam or dyke-break or other plans should be available at the local, re-
water-related problems15, etc, even in a gional and national emergency operation
very rare event case, in order to increase centres and should be regularly updated.
response capabilities and preparedness of
organisations obliged to perform flood G.5. Confinement (localisation) plans
fighting activities. should be prepared in advance, for each
separate floodplain basin and for the con-
G.2. These plans should cover the crisis tingency of a breach in the defences in
management before, during and after the order to secure successful control of the
flood event: organisational schemes with a spreading of water inundating the flood-
clear allocation of responsibilities and au- plain either by retention in flood plain cas-
thorisations on each level (flood plain ba- settes, or by flow control on the boundary
sin or flood defence section – river basin of the cassette.
authority / county or prefecture / national),
preparation and provision of information G.6. Evacuation plans should be based on
for the crisis management of large-scale the information given in the confinement
and local disasters; sources of and access plan to support effective measures in sav-
to real-time information on situation devel- ing lives, movables, livestock, to remove
opment; potential risks; provision of exper- hazardous materials in order to save the
tise/experts/resources; advice to the public environment from accidental pollution.
about what to do before, during and after
the flood; information on preparations that G.7. The personnel of the organisation
can be made for evacuating homes and that is responsible for the maintenance
sensitive properties such as hospitals, and the operation of defences should es-
elderly homes and so on, making provision tablish, maintain and train an effective or-
for emergencies; self-protection and self- ganisation of flood emergency operation.
help. The organisation should be structured task
wise at each (local/regional/national) level,
G.3. The authorities should have the ca- the personal responsibilities and the dele-
pacity to respond to such events with a gations of powers should be clearly de-
complete co-ordination of information sys- fined, securing that he emergency opera-
tems and existing forms of assistance, in tions of a defence section providing flood
accordance with the relevant contingency prevention for a separated floodplain ba-
plan. sin, are conducted by an experienced and
trained manager. Similarly structured
G.4. The integrated flood defence plans emergency organisation is needed to
should collect all important technical and serve as logistical basis for those operat-
other relevant data on the floodplain and ing the defences and to be prepared to
the defence structures as well as possibili- perform disaster management in the
ties to defend them recorded in appropri- floodplains (both in open and protected
ate forms and system. Such plans are es- ones).
sential for the engineering assessment of
G.8. A system of regular inspections and
15
following action planning should be oper-
Rising groundwater tables, sewage network dis- ated to improve maintenance and prepar-
ruption, erosion, mass deposition, landslides, ice
flows, pollution, etc. edness. At local level, personnel of the

Best practices on flood prevention, protection and mitigation


26

organisation that is responsible for the ice jams is the heavy icebreaker equipped
maintenance and the operation of de- with rotating excenter forcing the ice-
fences should be aware of and should breaker to a nodding motion thus ramming
record in the defence plans every im- the ice jam. In case of fighting against firm
provement, development or rehabilitation ice jam, blasting may also become neces-
works along his section and about any sary.
interference (crossing structures, etc.)
along the section that may have an impact G.12. Regular joint exercises should be
on the circumstances of the emergency systematically arranged, especially in
operation. transboundary areas, to respond to floods,
dam failures and other water-related prob-
G.9. An effective system and technology lems in order to strengthen the training of
of emergency supervision of the perform- crisis management teams working and
ance of the flood defences, especially people concerned. It would enable to test
earthen embankments during floods co-operation between local water authori-
should be developed and utilised in due ties, rescue services, police, road admini-
time in order to enable the observation of stration, military forces, hydropower com-
any hazardous phenomena that may bring panies and local industry and to network
negative consequences on the integrity of and exchange knowledge with a view to
the defences. carrying out risk analyses as a basis for
effective disaster preparedness, planning
G.10. Most effective practice of ice jam to draw up regionally a compatible meth-
prevention includes river training that im- odology for such analyses and to make
proves ice conveying conditions and ca- this information available through semi-
pacity in ice jam prone reaches of the nars i.e, bringing together academics, re-
river. River training has to extend on an searchers, practitioners. This would lead
entire reach of the river forming a natural finally to carry out evaluations and imple-
unit and within that has to cover both ment recommendations in order to perform
mean river bed and flood bed. Special the system.
attention must be paid to fords, bottle-
necks and overdeveloped river bends. G.13. In order to react properly to natural
flood damage, stakeholders should antici-
G.11. Emergency methodologies in case pate and prepare the relief for the immedi-
of navigable rivers rely on ice breaker ate needs affected by the disaster, recon-
fleet, task of which in case of primary ice struction of damaged buildings, infrastruc-
drift is to keep ice floes in motion as long ture and flood defences, recovery and re-
as possible to enhance the development generation of the environment and the
of a rather smooth ice cover without jam- economic activities in the flooded area, by
ming. Than the fleet has to create and means of operational and technical meas-
maintain a corridor in the ice sheet in the ures, economic tools, and bearing in mind
streamline of the river to secure smooth that everything should be done less vul-
distribution of ice. Ice break up circum- nerable than previously.
stances can be rather easy if warming up
arrives from downstream but are critical in G.14. After a flood event, experience
case the warming air masses reach the feedback should be organised by mobilis-
headwater catchment first. In case the ing experts from different ministries or
weather forecast indicates the develop- countries, who meet with the various par-
ment of the latter situation, icebreaking ties involved in the catastrophe, including
should start from the downstream edge of those managing it as well as its victims,
the ice sheet by the widening of the corri- and after consultation, produce a status
dor immediately to secure as long ice free report including recommendations for im-
river reach for the arriving ice mass as provements and usually a proposal for
possible. Most effective tool against firm

Best practices on flood prevention, protection and mitigation


27

short and mid-term action: revise rescue


plans and organisation etc.

G.15. Riparian countries, when drawing up


and agreeing upon procedures for mutual
assistance in critical situations, should
spell out formalities to facilitate the travel
of flood response personnel from abroad
and interoperability of emergency services’
equipment (whether by plane, boat or on
land) during flood events. A Community
mechanism has been established by the
Council Decision in 2001, in order to facili-
tate reinforced co-operation and co-
ordination between the Community and
the Member States in Civil Protection as-
sistance intervention in the event of major
emergencies which may require urgent
response action16.

G.16. Regardless of the precautions


taken, the flood event always creates deep
psychological trauma suffered by the vic-
tims. Victim assistance and rescue should
systematically include psychological sup-
port administered by operational skilled
units, whose activity should extend
throughout several months subsequent to
the event.

16
The mechanism consists of a series of elements
and actions, including the identification of interven-
tion teams and other intervention support available
in Member States for assistance intervention in the
event of emergencies, a training program, work-
shops, seminars and pilot projects, assessment
and/or co-ordination teams, a Monitoring and Infor-
mation Centre and a common emergency commu-
nication and information system. Where an emer-
gency occurs within the Community, a Member
State may thus request assistance from the other
Member States. Any Member State to which a re-
quest for assistance is addressed shall promptly
determine whether it is in a position to render the
assistance required. The requesting Member State
shall be responsible for directing assistance inter-
ventions.

Best practices on flood prevention, protection and mitigation


28

H. PREVENTION OF POLLUTION
H.1. The impact of floods has considerable ecotoxicity. The best precautionary meas-
environmental and health consequences, ure is to stock hazardous substances out-
in particular given the very specific vulner- side the flood risk area or to elevate stock-
ability of domestic water supplies and the ing areas. All depending on the type and
physical infrastructure necessary for sani- amount of substances concerned and the
tation. The disruption of water distribution conditions of operation, individual solu-
and sewage systems during floods con- tions must be sought for. Experience
tribute greatly to severe financial and shows that oil-fuelled heating systems
health risks. Preventive measures should tend to pose a considerable threat when
be taken to reduce possible adverse ef- not installed in a flood-proof manner. In
fects of floods on these infrastructures. quite a number of cases, this proved to be
Alternative solutions should be planned a major problem for re-establishing sound
and implemented to guarantee the opera- living conditions in flood-stricken buildings.
tion of water distribution and sewage sys-
tems. H.4. Emergency management planning
and operation against the harmful impacts
H.2. In flood-prone areas, preventive of water pollution on ecosystems during
measures should also be taken to reduce minor and major floods should be properly
possible adverse effects of floods on prepared in due time and maintained in
aquatic and terrestrial ecosystems, such operational status, particularly to support
as water and soil pollution: i.e. minimise effective measures and evacuation plans
diffuse pollution arising from surface water to secure or remove hazardous materials
run-off, minimise the amount of surface where appropriate. The co-ordination of
water runoff and infiltration entering foul information systems and existing forms of
and surface water sewerage systems, and assistance, i.e. mainly authorities, fire ser-
maintaining recharge to groundwater sub- vices, and aid organisations is needed,
ject to minimising the risk of pollution to regular training should be implemented.
groundwater.
H.5. International and regional monitoring,
H.3. Stocked goods in industry areas, but reporting and warning specific systems
also in housing areas (oil, sewerage) and should be put into operation and aimed at
in agriculture (pesticides, fertilisers), must ensuring timely warning in case of trans-
be judged by their toxicity, their inflamma- boundary pollution in the same case that
bility and explosiveness as well as their floods and ice formation.

Best practices on flood prevention, protection and mitigation


29

Part III . CONCLUSIONS

Flood events in recent years resulting in life losses, huge damages, demand urgent reaction.
The emergency is also stressed by the fact that we face the threat of climate change.
Success can only be reached if an interdisciplinary approach is adopted.
Heavy precipitation cannot be managed neither can extreme floods. The message of the
latest flood events is the following: “We have to learn to live with those events”.
We have to do everything to avoid anthropogenic augmentation of floods, to behave in a
manner to mitigate potential risks for people and valuable goods. We have to make people
aware of potential and actual risks in order to induce their precautionary actions. Further-
more, fight against flood damages can have positive effects in different other policy fields like
nature conservation for instance.
It is necessary and urgent to implement experiences of the European countries presented in
this document. For transboundary river basins, actions on international level have to be de-
veloped.
For each river basin, a flood management plan should be developed. In setting up such a
plan, consideration should be given to the aspect of solidarity within the river basin that is to
prevent as much as practicable the passing on of problems in one geographical area into
another one.
The plan should be based on an integrated approach covering all relevant aspects of water
management, physical planning, land use, agriculture, transport and urban development,
nature conservation, at all levels (national, regional and local). In the development of a flood
management plan, decision makers at all levels (local, regional, national and international) as
well as stakeholders and civil society should be involved.

Where applicable, the best practices described in this document should be taken into ac-
count, in particular on:
Integrated river basin approach
Public awareness, public participation and insurance
Research, education and exchange of knowledge
Retention of water and non-structural measures
Land use, zoning and risk assessment
Structural measures and their impact
Flood emergency
Prevention of pollution

On September 25th 2003

Best practices on flood prevention, protection and mitigation

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