Land Use Policy 97 (2020) 104732

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Land Use Policy

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Water safety plan integrated to the land use and occupation measures: T
Proposals for Caraguatatuba-SP, Brazil
Francisco Fabbro Netoa,*, María Belén Gómez-Martínb
a
Department of Civil Engineering of Instituto Federal de Educação, Ciência e Tecnologia de São Paulo, Campus Caraguatatuba, Av. Bahia 1739, Caraguatatuba, SP, 11.
665-071, Brazil
b
Department of Geography, University of Barcelona, 08001, Barcelona, Spain

A R T I C LE I N FO A B S T R A C T

Keywords: Water Safety Plan is an international tool developed by the World Health Organization to enable the im-
Water plementation of better water quality guarantees regarding human health issues. This current tool´s template
Conflicts deals with water quantity suring the occurrence of floods and droughts only as emergency situations. The key
Drought plan issues of this paper are how we may integrate proactive drought and flood planning into the so-called Water
Flood plan
Safety Plans. The city of Caraguatatuba, north coast of the State of São Paulo, Brazil, has a large tourist flow a
Spatial guidelines
Brazil
high rate of population growth, and is currently drafting the Water Safety Plan. This article aims to analyze the
Caraguatatuba Water Safety Plan and compare its elaboration steps and respective contents to the international
practices related to the management of water conflicts with spatial guidelines in order to propose improvements.
The methodology starts with an overall view of the Brazilian water system and steps and procedures of
Caraguatatuba Water Safety Plan. The case of Caraguatatuba was compared with international practices, and
more detailed comparison with a Spanish practice. The key findings were: the need of establishing a legal
framework to ensure the plans’ successful implementation and accomplishment of recording the occurrence of
extreme water events and its incorporation in the diagnostic step in the planning system, and the elaboration of
multiple progressive scenarios establishing land use and occupation guidelines. The spatial guidelines im-
provements are: specific construction criteria for flood zones, targeting activities compatible with flood zones,
patrimony insurance for flood management and creation of catchment points for temporary supply, limitation of
non-essential uses as swimming pool and car washers, reduce irrigated land for agricultural crops, adoption an
exchange bank for the granting of water resources, proportional fee by water quality and improve water use in
industrial processes for drought management.

1. Introduction
According to the Global Water Partnership (GWP) and the
Organization for Economic Cooperation and Development (OECD),
water insecurity has an estimated annual cost to the global economy of
US$500 billion, not taking into account the environmental risks (Sadoff
et al., 2015). In South America, droughts and floods cause huge eco-
nomic losses, especially in Brazil, which has the biggest figures. The
Integrated Disaster Information System run by the Brazilian Ministry of
Integration showed that 2680 (48%) of the country’s 5570 town
councils declared an “Emergency Situation” or a “State of Public Ca-
lamity” due to flooding between 2003 and 2017. Almost 89% of these
towns were located in the Northeast, South and Southeast of the
country. Droughts are also a problem as almost 51% of Brazilian town
councils declared a drought-related “Emergency Situation” or “State of
Public Calamity” over this same period. In this case, the worst affected
regions were the Northeast and Southeast. Year after year, drought and
flooding have a harmful impact on safety and productivity in Brazil,
having a negative effect on water supply for human consumption and
for the energy, industrial and agrarian sectors (Paredes et al., 2015;
World Bank, 2016). The probability of drought, flooding and other
extreme climate events within the context of climate change could lead
to a considerable increase in water insecurity in Brazil, giving rise to
conflicts over the control of this resource, tensions with regard to en-
ergy supply and food shortages, as well as the direct harm they cause to
people and economic interests (IPCC, 2013).
Water safety has been defined as the reliable availability of an ac-
ceptable quantity and quality of water for health, livelihoods and pro-
duction, coupled with an acceptable level of water-related risks (Grey
and Sadoff, 2007). From an overall perspective, water safety guarantees

⁎
Corresponding author.
E-mail addresses: ffneto@ifsp.edu.br (F. Fabbro Neto), bgomez@ub.edu (M.B. Gómez-Martín).

https://doi.org/10.1016/j.landusepol.2020.104732
Received 23 September 2019; Received in revised form 20 March 2020; Accepted 4 May 2020
Available online 17 May 2020
0264-8377/ © 2020 Elsevier Ltd. All rights reserved.
F. Fabbro Neto and M.B. Gómez-Martín Land Use Policy 97 (2020) 104732

Fig. 1. Caraguatatuba location. Source: prepared by authors.

that individuals have secure access to water at an affordable cost to elaboration of the so-called Water Safety Plan - WSP for the city of
enable them to live healthy and productive lives. It also guarantees Caraguatatuba. Due to the lack of published national guidelines, the
protection against waterborne contamination and water-related dis- Caraguatatuba WSP adopted the guidelines of the World Health Orga-
asters (Honkonen, 2017; Mason and Calow, 2012; OCDE, 2013; ONU- nization Guidelines for Drinking-Water Quality (World Health
Agua, 2013; Scott et al., 2013; Zeitoun et al., 2016). Organization and International Water Association, 2009), with a special
This broad-based approach to water safety (Cook and Bakker, focus on the organization of water supply systems. The WSP is an in-
2012), which contrasts with other more limited, reductionist perspec- ternational practice applied in Europe, Australia, Latin America and the
tives (Grey and Sadoff, 2007; Jansky et al., 2008; Witter and Whiteford, Caribbean. The WSP current focus is on water quality and deals with
1999; Xia et al., 2007) is increasingly being adopted at different levels water quantity only as emergency situations such as periods of drought
by organizations and institutions that take decisions in relation to the or flooding occur. The water safety plan could be improved to include
different uses of water and the various conflicts generated by a lack of deeper water quantity issues towards a pro-active management of
water safety. In Latin America and the Caribbean, four priority areas floods and droughts (Paneque, 2015).
have been identified to achieve the goal of water safety: a) an accessible This article aims to analyze the Water Safety Plan of Caraguatatuba-
supply of water of sufficient quality and quantity for human con- SP, Brazil, and compare its elaboration steps and respective contents
sumption; b) an accessible supply of water of sufficient quality and with the international practices related to the management of water
quantity to ensure sustainable productive development; c) bodies of conflicts with the land use and occupation, in order to come up with
water of sufficient quality and quantity to guarantee human health, the some improvements.
environment and different uses; and d) risk reduction practices related
to extreme weather episodes (Peña, 2016).
2. Materials and methods
In Brazil, the National Water Safety Plan also covers these four
priority areas, focusing particularly on the territories with the highest
2.1. Study area: Caraguatatuba, São Paulo North Coast, Brazil
risk of flooding and drought. In 2014, the Ministry of National
Integration of Brazil, through the Secretary of Water Infrastructure, and
The North coast of the State of São Paulo is a Water Basin
the Ministry of the Environment, through the National Water Agency,
Management Unit, which encompasses the cities of Caraguatatuba,
established a partnership with the World Bank to coordinate and ela-
Ilhabela, São Sebastião and Ubatuba. This region is classified as a set of
borate the National Water Safety Plan - NWSP. The objective of the
river basins intended for the conservation of natural resources, and
study is to define the main structuring and strategic interventions of
about 80% of its territory is protected as a conservation unit of full use
water resources for the whole country, such as dams, adductor systems,
in the form of a natural park, which restricts the availability of areas for
channels and integration axes, which are necessary to guarantee the
urbanization (Instituto de Pesquisas Tecnológicas, 2009).
water supply for humans and for the use in productive activities (ANA &
The diversity of natural resources and intense real estate speculation
Ministério da Integração, 2019). The national coverage plan takes into
is a characteristic of the North coast. Its economy is marked by the
account the different climatic aspects of Brazil, and focuses on critical
seasonality resulted from the predominance of summer tourism
areas susceptible to droughts, such as: Northern Northeast, São Paulo
(Secretaria do Meio Ambiente & Coordenadoria de Planejamento
and Rio de Janeiro, South, Eastern Bahia and Northern Minas Gerais
Ambiental, 2005). Caraguatatuba’s location is shown in Fig. 1. The city
(Ministério do Desenvolvimento Regional, 2019; Ministério da
currently has 113,208 inhabitants with a population growth rate of
Transparência e Controladoria-Geral da União, 2018).
1,48% per year, well above São Paulo State average – the 0,82%
The year 2014, the beginning of the NWSP, was marked by severe
(Dados, 2019 SEADE - Fundação Sistema Estadual de Análise de Dados,
drought in the Southeast region of Brazil. Between 2014 and 2015, the
2019).
flows decreased in several rivers of the States of Minas Gerais, São
In Caraguatatuba, the main issue related to water resources is the
Paulo and Rio de Janeiro. This fact, allied to weaknesses in water
lack of environmental sanitation, which allows the inappropriate dis-
management, led the State of São Paulo to face an unprecedented water
posal of effluents directly into rivers and urban channels (Tetraplan,
crisis, which contributed greatly to the reduction of water supply in the
2010). According to Fundação Sistema Estadual de Análise de Dados
region. However, for some experts, the water crisis in Brazil is much
(SEADE) (SEADE - Fundação Sistema Estadual de Análise de Dados,
more about a lack of management than a real crisis of scarcity and stress
2019), the sewage network in Caraguatatuba serves 57,94% of the city,
(Ministério da Transparência & Controladoria-Geral Da União, 2019).
well below the average of the State of São Paulo, which is 89,75%.
In the same year, the State of São Paulo, through the Committee of
Currently, apart from summer tourism, the city is also characterized
Hydrographic Basins of the North Coast, began the process of
by urban growth potential that can occur in a short period of time due

2
F. Fabbro Neto and M.B. Gómez-Martín
to the pressures generated by offshore oil and natural gas exploration in
the region, called pre-salt (Farias et al., 2013). Population growth is one
of the most used scenarios in predicting trends in land use (Geneletti,
2012; Petrov et al., 2009; Shearer, 2005; Pettit and Pullar, 2004). The
accelerated urban growth is related to the increase of the demand for
water use and respective conflicts of land use and occupation, according
to Carter et al. (2005).
The economic activities transformation has been promoting a
change in the urban development pattern of Caraguatatuba. The North
coast has, historically, the highest percentage of occasional households
in the total household composition based on a second residence for
tourism purposes only. However, Caraguatatuba currently has de-
creasing percentages of this type of occupation. In this process, the
places intended for fixed dwelling have been growing more intensely
than those for occasional use, which indicates changes in the functions
that the territory has been assuming (Marandola et al., 2013).
This change in the urban growth profile, shifting from the occa-
sional tourist use to the search for job opportunities, results in the oc-
cupation and valuation of different areas. If the tourist expansion
spreads over several kilometers of the coast, searching for nearby spaces
or with easy access to the beaches, the urbanization is currently focused
in and around cheaper areas, which have been areas covered by re-
strictions of use. In the case of Caraguatatuba such areas of sprawl are
precisely in areas of environmental risk (Marandola et al., 2013).
Currently, 18 environmental risk areas have been mapped in Car-
aguatatuba, 16 of which are in urban areas and only 2 are in rural areas.
The areas of environmental risk are illustrated in Fig. 2.
Historically, in Caraguatatuba, there is an intensive process of in-
formal occupation of vulnerable areas with environmental fragility, due
to the scarcity of areas suitable for urban occupation in the region (). In
1967, there was a natural disaster in Caraguatatuba caused by a wa-
terspout. The precipitation drenched the slopes, causing the slide of
Serra do Mar scarps, the disappearance of 23% of the houses and dis-
placing 20% of the population of that time (Marandola et al., 2013).
The undesirable creation of informal urban settlements has been the
object of public concern, both because of its nearness to the natural
park and because of its impacts on the quality of water resources, which
includes the deterioration of the quality of beaches in the region which
Fig. 2. Environmental risk areas in Caraguatatuba. Source (Marandola et al., 2013).
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Land Use Policy 97 (2020) 104732
ensures tourism and moves the local economy (Tetraplan, 2010).
2.2. Methodology
The research was carried out in three methodological steps, de-
scribed in this section. The first of them contemplated the analysis of
the Brazilian system of water resources management, detailing the
Caraguatatuba case. The second of them addressed international prac-
tices of drought and flood management plans. The third and final step
was a comparative analysis between the model adopted in
Caraguatatuba and the results of the international practices.
The first step of this research bases on the Brazilian legal framework
on the management of water resources, followed by the analysis of the
context and history of droughts in Brazil, in the State of São Paulo, and
the water conflicts in Caraguatatuba. The city of Caraguatatuba, located
on the north coast of the State of São Paulo, was selected because a
Water Safety Plan is being developed there. For this purpose, the
National Policy on Water Resources - Federal Law 9433/97 and the
National Policy on Civil Protection and Defense - Federal Law 12,608/
12, Brazil's National Water Safety Plan and the Caraguatatuba Water
Safety Plan were analyzed.
As the two selected Water Safety Plans were in the process of ela-
boration during the research, the audit report of the National Water
Safety Plan (Ministério da Transparência & Controladoria-Geral Da
União, 2019) and the meeting minutes of the Water Safety Plan of
Caraguatatuba (Comitê de Bacias Hidrográficas do Litoral Norte,
2014a; Comitê de Bacias Hidrográficas do Litoral Norte, 2014b; Comitê
de Bacias Hidrográficas do Litoral Norte, 2014c; Comitê de Bacias
Hidrográficas do Litoral Norte, 2014d; Comitê de Bacias Hidrográficas
do Litoral Norte, 2014e) were adopted. The National Water Safety Plan
was published in 11th April of 2019. The fact that the Water Safety Plan
of Caraguatatuba is in the process of elaboration makes this analysis
timely, since it allows the incorporation of suggestions for improvement
in its final product. In the Caraguatatuba Water Safety Plan, the pre-
paration and content of the steps were analyzed: definition of objec-
tives, diagnosis, establishment of indicators, elaboration of action sce-
narios with respective action strategies, establishment of a legal
framework and mechanisms for monitoring the plans.
F. Fabbro Neto and M.B. Gómez-Martín
The second step of this research focused on analyzing international
cases of water conflicts management published in scientific papers. The
cases analyzed occurred in countries like Australia (Cadaval et al.,
2015), Israel (Morote et al., 2019), the United States of America
(Cadaval et al., 2015), Mexico (Cadaval et al., 2015), Malta (Morote
et al., 2019), Cyprus (Morote et al., 2019) and Spain (Rico et al., 2014;
Cadaval et al., 2015; Morote et al., 2019; Paneque, 2015). After having
an overview on the international panorama, we carried out a more
detailed study of specific tools of water conflicts planning. The Spanish
system managing water resources conflicts was selected for having
practical experiences, formalized since the 1980s (Rico et al., 2014).
Two tools specifically designed to manage the conflict of water re-
sources were selected, notably the Flood Risk Management Plan de-
veloped for the Júcar Hydrographic Basin (Confederación Hidrográfica
del Júcar, 2015) and the Special Plan for Alert and Eventual Drought in
the Júcar Hydrographic Basin (Confederación Hidrográfica del Júcar,
2006). In both plans for the Júcar Basin, we analyzed the same criteria
in the Caraguatatuba Water Safety Plan: steps of goal setting; diagnosis;
establishment of indicators; elaboration of action scenarios with re-
spective action strategies; and establishment of legal framework and
mechanisms of monitoring of plans.
The last step of this research was the comparison between the
planning tool analyzed in Caraguatatuba, Brazil, with the international
practices and the planning tools applied in the Júcar Basin, Spain
(Confederación Hidrográfica del Júcar, 2015; Confederación
Hidrográfica del Júcar, 2006). The comparison made it possible to
identify significant differences in the procedures adopted in the steps of
diagnosis, elaboration of scenarios and definition of legal framework.
From the differences found, it was possible to identify opportunities for
improvements in the procedures adopted in the Brazilian practice, with
emphasis on the strategies of land use and occupation actions.
It was decided to take the Spanish case as a reference because floods
are the natural risk that have caused the greatest material and im-
material damages in this country, so much so that the fight against the
negative effects of these events has always been an important part of
civil defence and water policy. As regards the action taken in the
planning for and prevention of emergencies caused by flooding, Spain is
one of the 12 countries in the European Union that have approved both
the second cycle Hydrological Plans (for the period 2015–2021) for the
different catchments and the Flood Risk Management Plans, in line with
the schedules established by the Water Framework Directive (Directive
2000/60/CE). In addition, Spain was one of the first member states to
send the European Commission the detailed content of the Flood Risk
Management Plans approved by the Government in 2016. This was very
much appreciated by the Commission which chose Spain as a model for
the other countries to follow. At the other extreme, as regards Drought,
in Spain the Special Plans for Drought are currently being reviewed in
accordance with the provisions of the Royal Decree of 2016 on second
cycle Hydrological Plans. The new plans have been adapted to the new
context and to the information in the second cycle hydrological plans
(on aspects such as resources, ecological flows, the factors affecting
climate change, demands, etc.), and distinguish between situations of
drought (as a natural phenomenon that is not related with human water
use) and situations of scarcity, related with temporary problems of
meeting the demand for the different socioeconomic uses of water. The
geographic area referred to here, which covers part of the coastal
tourist destinations in the province of Alicante, has undergone similar
changes to the functional and socioeconomic transformations that have
taken place in Caraguatatuba, in particular in terms of the rapid shifts
in land use produced by the expansion of towns and cities as a result of
often unplanned tourism development.
4
Land Use Policy 97 (2020) 104732
3. Results
3.1. Water safety plan of Caraguatatuba
The WSP follows the Guidelines for Drinking-Water Quality of the
World Health Organization (World Health Organization and
International Water Association, 2009), with a special focus on the
organization of water supply systems. The WSP approach should con-
sider managing the risks that can influence water quality and avail-
ability, in relation to the continued supply of drinking water. Sig-
nificant risks that are not being controlled should be mitigated, and
may include short, medium and long term implementation measures
(World Health Organization and International Water Association,
2009).
The WSP of Caraguatatuba is being drafted by the Water Basins
Committee of the North Coast of the State of São Paulo since 2014. The
Water Basin Committees in the State of Säo Paulo were created by the
São Paulo State Law 9034 of 1994, which divides the São Paulo State in
22 management units called Water Basin Committee. Each Water Basin
Committee should rank the priorities uses of the water and the re-
spective investments as well, based on the quality goals and annual
reports of water resources situation (Fabbro Neto and Souza, 2017).
The WSP of Caraguatatuba is a document that seeks to identify and
prioritize the potential risks that can be verified in a water supply
system, from the water collection steps to the distribution to the con-
sumer's tap. To this end, it establishes control measures to reduce or
eliminate negative impacts to water resources, establishing processes to
verify the management efficiency of the control systems and the quality
of the water produced. The general objective of the WSP of Car-
aguatatuba is to ensure the quality of water for human consumption
through the use of good practices in the supply system (Comitê de
Bacias Hidrográficas do Litoral Norte, 2014a).
As a diagnosis of the WSP of Caraguatatuba, the identification of the
current activities of land use and occupation that can generate hazards
to the quality of the water, as well as the description of the system of
supply and its possible faults are carried out, being such aspects con-
sidered as hazards. After hazard identification, the risk characterization
and classification (Comitê de Bacias Hidrográficas do Litoral Norte,
2014c) is performed. Risk classification is performed by analyzing the
probability of occurrence (once a day, once a week, once a month, once
a year or once in ten years), and severity (lethal for more than 10% of
population, lethal to less than 10% of the population, harmful to more
than 10% of the population, harmful to less than 10% of the population
or with no significant negative impact) (Comitê de Bacias Hidrográficas
do Litoral Norte, 2014e).
In Caraguatatuba was selected the water supply system which
covers the most populous area, called Porto Novo Water Treatment
Station, with a flow of 1998 m3/h, which uses the river Claro as a spring
(Comitê de Bacias Hidrográficas do Litoral Norte, 2014b). A char-
acterization of land use and occupation was carried out in the Claro
river basin, with the delimitation of the risk assessment in a marginal
range of 150 m along the river (Comitê de Bacias Hidrográficas do
Litoral Norte, 2014d; Comitê de Bacias Hidrográficas do Litoral Norte,
2014e). In order to control the quality of raw water, quality indicators
were adopted: turbidity, color, pH and alkalinity, during drought and
rainy periods, to capture the upper and lower river Claro (Comitê de
Bacias Hidrográficas do Litoral Norte, 2014b). After the diagnosis and
establishment of the indicators, the operational monitoring step is
foreseen but not carried out yet. This step includes the definition of
critical limits, monitoring procedures and definition of corrective ac-
tions (Comitê de Bacias Hidrográficas do Litoral Norte, 2014a).
The next step would be the establishment of so-called Management
Plans, where procedures for routine management and management in
exceptional situations should be defined, with the definition of com-
munication documents and protocols. The Management Plans in
Exceptional Conditions should contemplate natural disasters, such as
F. Fabbro Neto and M.B. Gómez-Martín
hydrologic phenomena of drought and flood, with the realization of
Emergency Plans. Emergency Plans should specify those responsible for
coordinating proposed measures, alternative schemes for water supply
and communication plans to alert and inform affected consumers
(Comitê de Bacias Hidrográficas do Litoral Norte, 2014a). In this way, it
can be considered that the WSP of Caraguatatuba does not have mul-
tiple progressive scenarios of action, but it does contain Routine Man-
agement Plans and Emergency Plans with respective actions for phe-
nomena of drought and flood.
There is no specific legal framework for the WSP of Caraguatatuba,
however, since the preparation of Emergency Plans for Droughts and
Floods is prepared in advance, the National Policy on Water Resources -
Federal Law 9433 of 1997 and the National Policy on Civil Protection
and Defense - Federal Law 12,608 of 2012 could be applied. The
National Policy on Water Resources - NPWR is a Federal Law created in
1997, which defines the National System of Water Resources
Management with the water basin as management unit, in accordance
with the São Paulo State Law 9034 of 1994. The water management
should be carry by decentralized management with engagement of
government, water users and local communities (Fabbro Neto and
Souza, 2017). The NPWR, in article 1, item IV, establishes that water
management must always provide for the multiple use of water, and in
its section III, states that in situations of scarcity, priority use of water
resources is the human consumption and the watering of animals. The
NPWR, in article 2, item III, establishes among the objectives the pre-
vention and defense against critical hydrological events of natural
origin or due to inappropriate use of natural resources (Lei no 9.433, de
8 de janeiro de, 1997).
The National Policy on Protection and Civil Defense - NPPCD is a
Federal Law created in 2012, which aim to integrate the local spatial
planning with the water basin management defined by the NPWR
(Fabbro Neto and Souza, 2017). The NPPCD in its Article 2, establishes
as a duty of the Union, States, Federal District and Municipalities to
adopt measures necessary to reduce disaster risk. In its article 3, single
paragraph, NPPCD is expected to be integrated with spatial planning,
urban development, environment, climate change, water resources
management, among other sectorial policies. In its article 5, item IV,
establishes as one of the objectives of the NPPCD the incorporation of
disaster risk reduction among the elements of spatial management,
being the municipal competence, according to Article 8, the in-
corporation of the actions of protection and civil defense in local spatial
planning (Lei n° 12.608, de 10 de abril de, 2012).
NPPCD, in article 22, establishes the national registry of cities with
areas susceptible to high impact landslides, sudden floods or related
geological or hydrological processes. In the same article, item 2, it will
be up to the registered cities to draw up a Contingency Plan for Civil
Protection and Defense and the creation of control and inspection
mechanisms in order to avoid building in critical areas (Lei n° 12.608,
de 10 de abril de, 2012).
However, according to Agência Câmaras de Noticias (Câmara Dos
Deputados. Agência Câmara de Notícias, 2017), this registry was not
regulated. In this way, as such cadaster is not regulated, nor is it
guaranteed the inclusion of Caraguatatuba in such cadaster, the
guidelines stipulated by the WSP of Caraguatatuba and respective
Emergency Plans are recommendations that may or may not be in-
corporated into the local spatial planning of Caraguatatuba.
Regarding monitoring, the last step of preparation of the WSP of
Caraguatatuba would contemplate the verification of its implementa-
tion and validation of the Plan by monitoring the evolution of the in-
dicators adopted (Comitê de Bacias Hidrográficas do Litoral Norte,
2014a). Table 1 summarizes the fundamental steps for the accom-
plishment of the WSP of Caraguatatuba with its main contents. It shows
that WSP of Caraguatatuba is limited to water quality issues, uses only
current information on land use and occupation to characterize possible
damages, uses qualitative hydrological indicators, does not elaborate on
multiple progressive scenarios (choosing Plans of Routine Management
5
Land Use Policy 97 (2020) 104732
and Emergency Plans for drought and flood), as there is no regulation of
its previous legal structure it is configured as a set of recommendations
and provides a monitoring system to verify its implementation and
validation.
4. Discussion
4.1. Improvement proposals
In this section, we will compare the results obtained by the analysis
of the Caraguatatuba WSP with the international practices, related to
the water conflict planning tools and strategies for land use and occu-
pation, with their respective main contents.
In Caraguatatuba case, the main content of the steps of goal setting,
indicator establishment and monitoring systems are intrinsically linked
to the scope of planning tools. The scope of the WSP applied in
Caraguatatuba is to guarantee the quality of the water, therefore, it has
a qualitative direction. The scope definition (quantitative or qualita-
tive) of water resource planning tools influences directly the selection
of indicators and their monitoring systems.
However, the steps of diagnosis, scenario preparation and estab-
lishment of legal framework not only relate to the scope of planning
tools, but also have elaboration procedures that are fundamental to
improve the efficiency of expected results in planning tools. Thus, the
content of these steps were compared with international practice in
order to identify possible improvements.
The system adopted in Australia, Mexico and Spain (Cadaval et al.,
2015; Morote et al., 2019) has a prior legal framework that ensures that
the guidelines proposed by the drought plans are applied. In the case of
Caraguatatuba WSP, the lack of regulation of current legislation makes
its directives not compulsory, that is, they may or may not be in-
corporated into the spatial planning system.
To be effective, a tool to support strategic decisions must be asso-
ciated with the development of policy regulation and formal decision-
making procedures. The absence of these characteristics can turn it into
another bureaucratic activity (Gallardo and Bond, 2011).
For the diagnostic step, the system applied in Mexico, the United
States of America and Spain (Cadaval et al., 2015) adopts the spatial
coverage mapping and historical information related to the occurrence
of drought and flood events, that is, it uses current and historical data of
the occurrence of events. The Caraguatatuba WSP uses the spatial
mapping and only current data of the activities that can impact the
water quality. According to Therivel (2004), past trends can support the
planning of future actions. The incorporation of historical data in the
elaboration of the Caraguatatuba WSP diagnosis can contribute to the
improvement of the evaluation and mitigation on the impacts, once the
technical evaluation can suppress aspects that, at first, do not seem
significant, or do not incorporate the environmental perception of the
affected population about the damages caused. Such differences can
modify the assessment of impacts, and consequently, the selection of
those that should be prioritized and mitigated.
For the elaboration of scenarios step, the system adopted in Spain
incorporates the elaboration of multiple progressive scenarios with re-
spective strategies of action (Paneque, 2015). Caraguatatuba WSP does
not elaborate multiple progressive scenarios, but Management Plans for
normality and extreme events. The use of multiple progressive sce-
narios allows action strategies to be incorporated into spatial planning
systems, since in extreme events the priority is for pressing measures
(Paneque, 2015). As Caraguatatuba WSP does not incorporate multiple
progressive scenarios, such as the case of pre-alert and alert for drought
events, or short, medium and long-term flood return time, important
measures of land use and occupation are no longer incorporated in the
system, leaving the population more vulnerable to the negative impacts
of such events. The adoption of multiple progressive scenarios is related
to the respective action strategies. Table 2 summarizes the findings of
international practices in water conflicts management with the current
F. Fabbro Neto and M.B. Gómez-Martín Land Use Policy 97 (2020) 104732

Table 1
Summary of the main procedures for the preparation of the Caraguatatuba Water Safety Plan.
Fundamental steps Main content

objectives Ensure the quality of water for human consumption through the use of good practices in the water supply system
diagnosis Identification of current land use and occupation activities that may generate hazards to water quality, as well as a description of the water supply system
and its possible failures
indicators Turbidity, color, pH and alkalinity
scenarios There is no elaboration of multiple progressive scenarios, but of Routine Management Plans and Emergency Plans for drought and flood
legal framework The National Policy on Protection and Civil Defense - Federal Law 12,608 of 2012, in article 22, establishes the national registry of cities with areas
susceptible to high impact landslides, sudden floods or related geological or hydrological processes, but not regulated yet.
monitoring Monitoring the evolution of indicators

Caraguatatuba WSP steps elaboration and procedures. Table 3

Table 2 identifies how the water conflicts management system
adopted in international practice and the WSP of Caraguatatuba have
similar fundamental steps (Martínez-Ibarra, 2012; Martínez-Ibarra,
2015; Morote-Seguido, 2015; Olcina Cantos et al., 2010). However the
main content of these steps present significant differences and action
strategies.
Such strategies may directly involve conventional and non-con-
ventional water resources, such as the reuse of treated water and de-
salinated water (Morote et al., 2019; Rico et al., 2014). The re-use of
treated water is a practice adopted in Spain, Malta and Cyprus, allowing
the water cycle to be extended (Morote et al., 2019; Rico et al., 2014).
The use of desalinated water is a practice adopted in Israel and in some
coastal regions of Spain, the United States of America and Australia
(Morote et al., 2019; Rico et al., 2014). Caraguatatuba WSP foresees the
need to identify alternative schemes for water supply, but does not
described definitions or solutions of what would be such schemes, nor
whether they involve conventional or non-conventional water resources
as water purification and water desalination units.
With regard to conventional water resources, the Spanish practice
adopts measures related to land use and occupation for both drought
and flood. In the case of the Flood Risk Management Plan developed for
the Júcar Hydrographic Basin (Confederación Hidrográfica del Júcar,
2015), the patrimony insurance is adopted (Paneque, 2015;
Confederación Hidrográfica del Júcar, 2015), specific construction
criteria for flood zones and compatibilization of activities with flood
zones (Confederación Hidrográfica del Júcar, 2015).
For the case of the Special Plan for Alert and Eventual Drought in
the Júcar Hydrographic Basin (Confederación Hidrográfica del Júcar,
2006), in Spain, they adopt an exchange bank for the granting of water
resources (Paneque, 2015; Confederación Hidrográfica del Júcar,
2006), proportional fee by water quality (Rico et al., 2014), limit non-
Contributions of water conflicts management system with the spatial issues
adopted in Júcar Hydrographic Basin, Spain, for the Caraguatatuba Water
Safety Plan.
Measures Event
1 patrimony insurance Flood
2 constructive criteria for flood zones
3 directing activities compatible with flood zones
4 bank for the exchange of water resources Drought
5 proportional fee by water quality
6 limitation of non-essential uses: swimming pools and car washes
7 creation of catchment points for temporary supply
8 Reduce the amount of irrigated land used for agricultural crops
9 improve water use in industrial process
essential uses (swimming pools and car washes), creation of catchment
points for temporary supply, reduce the amount of irrigated land used
for agricultural crops, and improve water use in industrial processes
(Confederación Hidrográfica del Júcar, 2006). Table 3 summarizes the
improvements from Júcar Hydrographic Basin experiences to Car-
aguatatuba WSP.
Table 3 identifies 9 measures established in water conflicts man-
agement system with spatial issues adopted in Júcar Hydrographic
Basin, Spain, that could be incorporate in the WSP guidelines of Car-
aguatatuba. The first three items of Table 3 are guidelines present in the
Flood Risk Management Plan developed for the Júcar Hydrographic
Basin (Confederación Hidrográfica del Júcar, 2015). The other six items
in Table 3 area guidelines present in the Special Plan for Alert and
Eventual Drought in the Júcar Hydrographic Basin (Confederación
Hidrográfica del Júcar, 2006).
From the comparative analysis with the international practices,
some opportunities to improve the Caraguatatuba WSP were found.

Table 2
Comparison among the international practices for the steps elaboration and procedures of water conflicts management system with the Caraguatatuba Water Safety
Plan.
Steps Main content

International practice Caraguatatuba

Countries Procedures

Diagnosis Mexico, Spain and The Spatial coverage mapping and historical information related to Identification of current land use and occupation activities that
United States of the occurrence of drought and flood event (updated hazard and may cause hazards to water quality.
America risk mapping)
Scenarios Spain Elaboration of multiple progressive scenarios such as the case Elaboration of routine and emergency scenarios.
of pre-alert and alert for drought events, or short, medium and
long-term flood return time with respective action strategies,
which involve conventional or non-conventional water
resources.
Legal Framework Australia, Mexico and Prior legal framework and policy regulation that allows the National Water Resources Policy - Federal Law 9433 of 1997 and
Spain application of the planning tool. The National Policy on Protection and Civil Defense - Federal Law
12,608 of 2012, in article 22, establishes the national registry of
cities with areas susceptible to high impact landslides, sudden
flood or related geological or hydrogeological processes, but not
regulated yet.

6
F. Fabbro Neto and M.B. Gómez-Martín
These proposals for improvements could contribute to Caraguatatuba
WSP adopting integrated planning in addressing deeper water quantity
issues, incorporating land use and occupation actions related to water
conflicts management if implemented.
5. Conclusions
It is necessary to accept that the occurrence of extreme water events
is gradual and unavoidable, since the existence of the natural hydro-
logical cycle, coupled with the growth of demands for water resources,
is enhanced by the perspective of climate change. In this way, the
spatial planning integrated into the management of extreme water
events allows cities and regions to reconcile economic activities and
infrastructure with the natural conditions of the environment, avoiding
or minimizing the negative impacts of the occurrence of disasters.
As some experts in the sector consider that the water crisis in Brazil
is actually a water management crisis, improving the planning tools for
water conflicts is of great importance and will contribute greatly to
minimizing the negative effects of the crisis.
By comparing the international practice of water conflicts man-
agement with the Caraguatatuba WSP, it was possible to identify op-
portunities for improvement. These improvements are related to the
following requirements: establishing a legal framework to ensure the
implementation of the plan as done in Australia, Mexico and Spain;
recording the occurrence of extreme water events and incorporate it
into the diagnostic step in the planning system as done in Mexico, The
Unites States of America and Spain; and preparing multiple progressive
scenarios with regards to the establishment of land use and occupation
guidelines as done in Spain at Júcar Hydrographic Basin practice.
By detailed comparing the Júcar Hydrographic Basin practice, it
was possible to identify spatial guideline improvements as: specific
construction criteria for flood zones, targeting activities compatible
with flood zones, patrimony insurance for flood management and
creation of catchment points for temporary supply, limitation of non-
essential uses such as swimming pools and car washes, reduce amount
of irrigated land used for agricultural crops, adoption an exchange bank
for the granting of water resources, proportional fee by water quality
and improve water use in industrial processes.
The current Brazilian legal framework on the management of water
resources have focus on water quality and the NPPCD aims the integrate
management with water resources and local spatial planning. However,
the international practice analyzed in this paper identified the water
quantity issues as a tool for land use and occupation measures. In this
way, to include deeper water quantity issues on the Caraguatatuba WSP
helps to improve the aims of NPPCD.
Thus, it can be concluded that the study contributes to directing the
management system of water conflicts adopted in Caraguatatuba, in
order to incorporate climate changes in land use and occupation ac-
tions. The strategies adopted in international cases could promote im-
provements in the implementation of the Caraguatatuba WSP, making
it an integrated planning tool for the water resources and land use and
occupation sectors, in line with international practice.
Further research about more international practices by detailed
comparing as done in this paper with Júcar Hydrographic Basin prac-
tice could bring other improvement to the Caraguatatuba WSP. Also,
future research about assessment of impacts of land use and occupation
policies regarding water conflicts could be done to indicate evidences of
successful management integration between the water resources and
spatial planning.
Funding
We acknowledge São Paulo Research Foundation – FAPESP (Process
number 2017/09617-1) for funding a post-doctorate study abroad,
which made this work viable. Also, our acknowledgements to the
Federal Institute of Education, Science and Technology of São Paulo,
7
Land Use Policy 97 (2020) 104732
the research group 2017SGR-25 of Generalitat de Catalunya and to the
University of Barcelona for their support.
CRediT authorship contribution statement
Francisco Fabbro Neto: Conceptualization, Methodology,
Validation, Formal analysis, Investigation, Writing - original draft,
Writing - review & editing. María Belén Gómez-Martín:
Conceptualization, Resources, Writing - original draft, Writing - review
& editing, Supervision.
Declaration of Competing Interest
The authors declare no conflict of interest.
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