ifm social aspects

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LOOD MaNaGeMeNT POLIcY SerIeS

Soil aspts nd

Stkhold Involvmnt in

Intgtd lood Mngmnt


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Social Aspects andStakeholder Involvement in

Integrated Flood Management

ASSOCIATED PROGRAMME ON FLOOD MANAGEMENT

WMO-No. 1008

Geneva, SwitzerlandAugust 2006


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The Associated Programme on Flood Management (APFM) is a joint initiative o the

World Meteorological Organization and the Global Water Partnership. It promotes

the concept o Integrated Flood Management (IFM) as a new approach to ood

management. The programme is fnancially supported by the Governments o Japanand the Netherlands.

The World Meteorological Organization (WMO) is a specialized agency o the United

Nations. It coordinates the activities o the meteorological and hydrological services o

187 countries and territories and as such is the centre o knowledge about weather,

climate and water.

The Global Water Partnership (GWP) is an international network open to all organizations

involved in water resources management. It was created in 1996 to oster Integrated

Water Resources Management (IWRM).

TheAsian Disaster Prepardness Center (ADPC) is an independent, non-proft oundation,

serving as an international ocal point or disaster prepardness and mitigation in the

Asia and the Pacifc regions, with the vision o saer communities and sustainable

development through disaster reduction.

This publication orms part o the Flood Management Policy Series published within the ramework o the

WMO/GWP Associated Programme on Flood Management. The series comprises publications on various

aspects o ood management policy, including economic, environmental, legal and institutional, and social

aspects. The series as such supplements an in-depth perspective to the Integrated Flood Management-

Concept Paper (APFM 2003). The series is based on expert groups ormed or each publication to guide

and advise the preparation process, and on a wide review and consultation process in the ramework o

conerences and direct correspondence with leading sector proessionals in the area o natural resource

management and development policy. The series is published in English, French and Spanish.

APFM Technical Document No. 4, Flood Management Policy Series

World Meteorological Organization, 2006

ISBN: 92-63-11008-5

NOTE

The designations employed and the presentation o material in this publication do not imply the expression o

any opinion whatsoever on the part o the Secretariat o the World Meteorological Organization concerning

the legal status o any country, territory, city, or area, or o its authorities, or concerning the delimitation o

its rontiers or boundaries.

Cover photo credits: Right: (top) 2004 April Thompson, Courtesy o Photoshare;

(bottom) 2004 David Sack/ICDDRB, Courtesy o Photoshare


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iii

Preace

Since time immemorial, civilizations have prospered on ood plains, deriving benefts rom oods.At the same time ooding has resulted in untold miseries or millions o people around the world.

Despite enormous environmental and economic benefts, oods continue to be the leading natural

disaster causing loss o lie and aecting sustainable development. Flood management measures in the past

have largely been successul in mitigating the adverse impacts o oods but have oten created disparities

owing to inappropriate policies and inadequate attention paid to social issues. In many countries, in certain

areas that are requently ooded, living with oods has been a major strategy. However, the benefts o

overall economic development in other parts o these countries have yet to reach such requently ooded

areas.

Integrated ood management (IFM) is based on the principle o reducing vulnerability through building

resilience and developing a culture o prevention through preparedness rather than reactive responses

alone. The multidimensional nature o ood management options owing to constraints, risks, uncertainties

and conicting objectives poses challenges and opportunities or the participatory approach towards

decision-making, as such options should not only be technically appropriate but should also address broader

socio-political issues. The need to deal with social concerns and involve experts and civil society in the

decision-making process is key to IFM. These concerns can be qualitatively incorporated through the active

participation o all stakeholders, including civil society at various decision-making levels and stages and

through the implementation o ood management measures. Multi-stakeholder engagement is key to the

success o IFM as it ensures strong stakeholder support and is a catalyst or proactive engagement in ood

issues.

Community-based disaster risk management has been acknowledged and used successully in many regions

around the world. However, the participation o stakeholders and civil society in decision-making with regard

to policy, planning and implementation is rarely envisaged. Stakeholder involvement is a time-consuming,

resource-intensive exercise and requires strong skills. It calls or a judicious approach to the identifcation

o appropriate stakeholders, building their awareness o the issues under consideration and enabling their

participation through an equitable, air, accountable and transparent process. This paper is an attempt in

this direction and lays down a ramework or a rational approach. It introduces the elements o stakeholder

and society participation in decision-making and addresses the need or an enabling environment in which

appropriate laws and institutional rameworks make or eective participation.

The WMO/GWP Associate Programme on Flood Management (APFM) and the Asian Disaster PreparednessCenter (ADPC) have worked together on this paper, mobilizing available knowledge and experience. We

hope ood managers will be able to re-orient ood management policy and planning and help create a ood-

resilient society by actoring these social concerns into the decision-making process.

Suvit Yodmani Avinash C. Tyagi

Executive Director Director

Asian Disaster Preparedness Center Hydrology and Water Resources Department

World Meteorological Organization


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v

cONTeNTS

PREFACE .................................................................................................................................... iii

EXECUTIVE SUMMARY .............................................................................................................ix

ACKNOWLEDGMENTS ............................................................................................................ xiii

ACRONYMS ..............................................................................................................................xv

INTRODUCTION ......................................................................................................................... 1

From ood control to integrated ood management .............................................................. 1

Purpose and scope o the publication and target audience ..................................................... 2

Linkages to other Flood Management Policy Series under the Associated Programme

on Flood Management (APFM) .............................................................................................. 4

1. EPEOPLE AND FLOODS ........................................................................................................ 5

1.1 Nature and causes o oods ............................................................................................ 5

1.2 Positive and negative impacts o oods .......................................................................... 5

1.2.1 Benefcial aspects o oods ................................................................................................6

1.2.2 Negative socio-economic impacts o oods ........................................................................7

1.3 Understanding ood risks ................................................................................................ 8

1.4 Risk perceptions ........................................................................................................... 10

1.5 Understanding vulnerability ........................................................................................... 11

1.5.1 Contributing actors ...........................................................................................................12

2. SOCIAL ASPECTS OF FLOOD RISK REDUCTION .............................................................. 15

2.1 Reducing exposure ....................................................................................................... 15

2.1.1 Enhancing structural resilience: ood-proofng ..................................................................15

2.1.2 Land use planning and regulation ......................................................................................16

2.1.3 Flood emergency measures ..............................................................................................20

2.2 Flood emergency management ................................................................................... 21

2.2.1 Flood emergency preparedness .......................................................................................21

2.2.2 Flood emergency response ..............................................................................................24

2.2.3 Post-ood recovery and rebuilding .....................................................................................26

2.3 Reducing vulnerability and enhancing resilience ........................................................... 27

2.3.1 Enhancing resilience o and through livelihoods ................................................................27

2.3.2 Flood insurance ..................................................................................................................30


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3. STAKEHOLDER INVOLVEMENT IN INTEGRATED FLOOD MANAGEMENT ....................... 31

3.1 Stakeholder involvement in ood management ............................................................ 31

3.1.1 Objectives .........................................................................................................................31

3.1.2 Benefts .............................................................................................................................32

3.1.3 Potential pitalls ..................................................................................................................32

3.1.4 Stakeholder analysis ..........................................................................................................33

3.1.5 Participatory mechanisms ..................................................................................................35

3.2 Participatory planning: responding to the challenge ...................................................... 36

3.2.1 National ood management policy .....................................................................................36

3.2.2 Basin ood management plan ...........................................................................................38

3.2.3 Project planning ................................................................................................................40

3.2.4 Flood emergency planning .................................................................................................42

3.3 Institutional structures ................................................................................................... 44

3.3.1 River basin organizations (RBOs) .......................................................................................44

3.3.2 Disaster management committees (DMCs) at the national, state and district levels ........45

3.3.3 Community-based organizations (CBOs)39 .......................................................................46

3.3.4 Non-governmental organizations (NGOs) ...........................................................................46

3.4 Learning lessons rom participatory planning in other sectors ...................................... 47

3.4.1 Environmental and natural resource management ...........................................................47

3.4.2 Agriculture and irrigation development .............................................................................48

3.4.3 Community-based disaster risk management (CBDRM) ...................................................49

4. ENHANCING STAKEHOLDER INVOLVEMENT .................................................................... 51

4.1 Opportunities ................................................................................................................. 51

4.2 Challenges ..................................................................................................................... 52

4.2.1 Launching the participatory process ..................................................................................52

4.2.2 Maintaining the participatory process ................................................................................53

4.2.3 Political and governance issues .........................................................................................53

4.3 Stakeholder capacity-building ....................................................................................... 54

4.3.1 Capacity-building needs at dierent levels.........................................................................54

4.3.2 Capacity-building areas ......................................................................................................55

4.3.3 Capacity-building mechanisms ..........................................................................................56

4.4 Legal and institutional ramework ................................................................................ 58

4.4.1 Harmonized legal ramework .............................................................................................58

4.4.2 Provision o conict management mechanism ..................................................................59

ANNEX I: TYPES OF FLOODS AND THEIR IMPACTS ............................................................. 61

ANNEX II: STAKEHOLDERS INVOLVED IN IFM ....................................................................... 63

ANNEX III: THE ASIAN DEVELOPMENT BANKS GUIDING PRINCIPLES

FOR EFFECTIVE FLOOD MANAGEMENT ............................................................. 69


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ix

eXecUTIVe SUMMarY

Floods are a natural phenomenon and should not be considered a hindrance to economic development.Flood disasters result rom the interaction between extreme hydrologic events and environmental,

social and economic processes. Floods not only have negative consequences but positive impacts

as well. They provide valuable natural resources, thereby supporting livelihoods and economic activities.

Unortunately, emphasis is generally placed on their destructive nature. Thereore, an integrated approach

to ood management can play an important role in sustainable development and poverty reduction.

Integrated Flood Management (IFM) is a concept that addresses issues on human security and sustainable

development rom a ood management perspective within the ramework o Integrated Water Resources

Management (IWRM). IFM requires an understanding o societal vulnerability to ood hazards, o

characteristic o ood risks and o societys perception o those risks. This publication presents approaches

that help address the social issues in IFM and the need or stakeholder involvement in the process, targetting

ood managers in particular.

IFM aims to reduce ood risks through a judicious combination o measures dealing with the magnitude

o the hazard and the communitys exposure and vulnerability to it. A clear understanding o existing and

potential ood risks is necessary to establish proactive and preventive risk reduction measures, which make

up the IFM approach. Local energies or preventive measures can be mobilized to build societal resilience i

the risks the society aces are ully appreciated.

At the same time, various social actors determining a communitys capacity to anticipate, cope with, resist

and/or recover rom the impacts o ooding must be clearly understood. A communitys vulnerability is

determined by a combination o prevailing social conditions and actors such as poverty and livelihoods.

The eectiveness o ood management measures to reduce vulnerabilities and build disaster-resilient

communities can be ensured by identiying the underlying actors contributing to ood risks. To enhance

resilience it is necessary to make livelihoods more secure by adapting to likely ood risks and strengthening

the communitys natural resources base.

Exposure to ood risks has been handled largely through structural measures in the past. Land use

regulations have also been attempted with some success. However, experience has shown that absolute

saety rom ooding is neither economically easible nor environmentally desirable. Contingency plans or

meeting situations where protected areas experience oods beyond expected ooding should be drawn to

tackle such residual risks. One o the best means o reducing exposure to residual ood risks and adoptinga strategy o living with oods is the eective implementation o ood emergency management plans.

Participatory planning, which brings together all parties concerned at various levels, is essential. This

emergency response mechanism requires cooperation across various sectors and administrative levels;

well-honed preparedness plans; resource mobilization; and the continuous, timely and accurate ow o

inormation. The post-ood recovery and reconstruction phase, a key component o such a plan, should

learn rom past mistakes and requires the understanding and cooperation o the aected community which

can be ensured through its active participation. At the grass-roots level, community ood management

committees can prove eective in preparing and planning community response to emergencies.

A shared consensus has emerged in the past decade on the importance o participatory planning in disaster

management. The broad acceptance o the community-based disaster risk management concept is based


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on a communitys engagement to ensure the eectiveness and efciency o ood mitigation measures.

Individual and community ownership, commitment and concerted disaster mitigation measures produce

a wide range o appropriate and innovative cost-eective, sustainable solutions. However, this is not the

case in the ormulation or implementation o ood management policies. I at all, such participation inthe ormulation and implementation o ood management policies is at best peripherial. This publication

ocuses on stakeholder and civil society participation in IFM and highlights issues, such as stakeholder

identifcation, understanding engagement mechanisms and awareness o potential pitalls, that need to be

tackled in designing the participatory decision-making processes in policy ormulation, drawing up o basin

plans and implementing ood management measures.

Stakeholder involvement programmes should include clear objectives and show an understanding o the

benefts and pitalls, as it is perceived dierently by dierent people. An analysis o the stakeholders, their

respective roles and the mechanism o their engagement should aim to ensure the sustainability o the

process. The level o involvement o each stakeholder varies according to the given institutional ramework

and should be defned. Dierent groups o stakeholders have dierent needs and requirements depending

on their areas o interest and respective roles and responsibilities, and thereore must be engaged through

dierent methods. I not undertaken with due care and sensitivity, the participatory process can reveal

inherent or perceived conicts o interests that may stall the development process. Those conicts o

interest need to be anticipated and addressed rom the outset.

Flood management policy transcends ood management agencies or departments involving various

development agencies not confned to the water sector but beyond, such as land use planning. Various

development activities have the potential to exacerbate the intensity and severity o oods. Poor land use

planning o urban areas under development or example, can signifcantly increase ood magnitudes. Land

use regulations restricting development activities that may heighten the risks can help reduce exposure

o economic activities to ooding and mitigate ood risks. Such measures should be supported by an

appropriate legal and institutional ramework, along with suitable economic incentives and disincentives.

Since the community is aected directly by such measures, it is best positioned to enorce them.

The key to IFM is the river basin approach. A basin ood management plan starts with setting goals that

are largely guided by regional development objectives and driven by the need to reduce ood risks, secure

livelihoods, sustain economic development and preserve environmental quality. The objectives and scope o

the basin plan are set according to an evaluation o the problems and a detailed ood risk assessment, and

various options or ood mitigation are worked out. It is important to understand that the river basin should

be considered a ood management planning unit since ood risks are easily transerable and development

activities within a basin have the potential to increase them. Further, the equity principle in developmentrequires that ood management options be debated at the basin level and carried out under a exible but

well-defned basin ood management plan.

Implementation o a basin ood management policy and project-level planning requires the identifcation o

priority action areas based on various fnancial assessment procedures coupled with an environmental and

social impacts assessment. Evaluating the costs and benefts o various options through consultation with

and the participation o civil society helps to establish local ownership and accountability.

IWRM has advocated the use o enabling mechanisms and the setting up o an institutional ramework at the

basin level to acilitate the process. As a subset o IWRM, IFM should make use o these institutions. River

basin organizations, disaster management committees at various levels, community-based organizations


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and non-governmental organizations are the basic elements o such a ramework designed to urther

dialogue and negotiations between various stakeholders. River basin organizations can be used as platorms

or stakeholder engagement at the basin level or IFM.

There are certain prerequisites or ensuring the successul and sustainable involvement o stakeholders

under any given situation. The most important o all is the need to build trust through inormation sharing

and repeated interaction. Commitment, accountability, transparency o action, application o equality

principles and tolerance or dissent are actors that determine, encourage and promote public participation.

Good governance is the key to success o the participatory process and integrated ood management. At

the national level, weak governance, characterized by unclear policies, ambiguous roles and responsibilities

among line agencies results in overlapping responsibilities and gaps in task distribution. While the

Government provides incentives, acilitates and establishes policies and regulations or the participatory

approach, stakeholder groups must take certain initiatives and responsibilities.

The nature o the IFM approach requires extensive coordination between various stakeholder groups.

Inormation sharing and networking is essential in order to ensure the efciency and soundness o the

approach and to anticipate and manage conicts and enhance cooperation across jurisdictions and sectors.

This requires an enabling institutional ramework which acilitates eective coordination, cooperation and

collaboration across jurisdictional boundaries, departments, institutions, disciplines, users and uses. An

institutional ramework defnes the recognized roles o all IFM stakeholders and oers a coordinating

mechanism or organizations and institutions. Since stakeholders have dierent sectoral, regional and local

perspectives, and their institutional set-ups, cultural backgrounds and socio-economic conditions vary, it is

necessary to provide capacity-building in areas commensurate with their role in the participatory process.

Clearly, there are no universal solutions acilitating the involvement o all stakeholders and civil society

in making ood management decisions. It is crucial to adopt practices that suit particular circumstances

under a given socio-economic setting.; Thereore, this publication does not attempt to provide guidelines or

prescribing certain procedures, but rather a rational approach to community involvement.


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acKNOWLeDGMeNTS

This publication was developed through the platorm o the WMO/GWP Associated Programme onFlood Management (APFM), in a joint eort with the Asian Disaster Preparedness Center (ADPC)

and in consultation with a wider group o experts on the social aspects o ood management. This

endeavour thereore owes a considerable debt to a number o people.

Case studies on ood management practices around the world collected by APFM pinpointed gaps in

social inputs to ood management practices and provided the incentive or taking up this publication.

Experience gained rom the pilot projects on community approaches to ood management in South Asia

and reducing vulnerability to ash oods in Central Europe were extremely useul in clariying a number o

intricate issues such as the need or the capacity-building to achieve successul stakeholder engagement

in ood management. Particular thanks are due to Mr Q.K. Ahmad o Bangladesh Unnayan Parishad (BUP),

Bangladesh; Mr Kamta Prasad o the Institute or Resource Management and Economic Development

(IRMED), India; and Mr Pradeep Mathema o Jalsrot Vikas Sanstha (JVS), Nepal, who were instrumental in

developing the concept o Community Flood Management Committees established and tested under the

pilot project in South Asia.

The ollowing people contributed to this paper:

Mr Aloysius J. Rego, Asian Disaster Preparedness Center;

Ms Hnin Nwe Win, Asian Disaster Preparedness Center;

Mr Avinash C. Tyagi, World Meteorological Organization;

Mr Hisaya Sawano, Technical Support Unit, WMO/GWP Associated Programme on Flood Management.

Valuable input that determined the present shape o the publication was provided at a meeting o experts

held in Geneva in November 2005. Members o the expert group are as ollows:

Mr Angel Luis Aldana Valverde, Centro de Estudios y Experimentacin de Obras Pblicas, Spain;

Mr Eelco van Beek, Delt Hydraulics, the Netherlands;

Mr Kenji Okazaki, National Graduate Institute or Policy Studies, Japan;

Mr Simon McCarthy, Flood Hazard Research Centre, Middlesex University, UK.

The drat version o the paper was circulated to a number o experts and posted on the WMO website.

Insightul comments were provided by many, in particular Mr Santosh Kumar, National Institute o Disaster

Management, India, and Mr Jerome Delli Priscoli, Institute or Water Resources, US Army Corps o

Engineers, USA. The support o the Japan Institute o Construction Engineering during the preparationo this publication by providing substantial inputs based on its wide experience is highly appreciated. In

addition, the paper has drawn rom the works o several organizations and experts, which are listed in

the reerences. Last but not the least, acknowledgement is due to the Hydrology and Water Resources

Department o WMO or sharing their thoughts on the issues and bringing them into perspective.


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xv

acrONYMS

ADB Asian Development Bank

ADPC Asian Disaster Preparedness Center

ADRC Asian Disaster Reduction Center

APFM Associated Programme on Flood Management

CBA Cost-beneft analysis

CBDRM Community-based disaster risk management

CBO Community-based organization

CFMC Community Flood Management Committee

DMC Disaster Management Committee

EDCC Emergency day care centre

EIA Environmental Impact Assessment

ESCAP Economic and Social Commission or Asia and the Pacifc

FAO Food and Agriculture Organization o the United Nations

FEMA Federal Emergency Management Agency

GWP Global Water Partnership

IFM Integrated ood management

IFRC International Federation o Red Cross and Red Crescent Societies

ISDR International Strategy or Disaster Reduction

IWRM Integrated water resources management

MCA Multi-criteria analysis

NGO Non-governmental organization

RBO River basin organization

UN United Nations

UNCRD United Nations Centre or Regional Development

UNDP United Nations Development Programme

UNECE United Nations Economic Commission or Europe

UNEP United Nations Environment Programme

UNESCO United Nations Educational, Scientifc and Cultural Organization

UNICEF United Nations Childrens FundVCA Vulnerability and capacity assessment

WB World Bank

WMO World Meteorological Organization


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1

Introduction

INTrODUcTION

Bkgound

Historically, ood plains have been a preerred place or human settlement and socio-economic

development because o their proximity to rivers, guaranteeing rich soils, abundant water

supplies and means o transport, and because oods replenish wetlands, recharge groundwater

and support fsheries and agriculture systems. At the same time, ood hazards produce the

most severe impacts on the economy and peoples saety. There is clear evidence that economic

losses caused by ooding are increasing at the global level .1* This, in part, is a reection o

sharp population increases, expanding economic growth and development, greater investment

in inrastructure, inadequate understanding o ood risks and a largely top-down approach to

decision-making.

In response to rising ood damages and the adverse impact o oods on water resources

management and sustainable development, there is a slow, but steady realization that a shit

rom ood control to ood management is inevitable. Reducing these risks by restricting the

occupation o ood plains, however, limits the potential o these areas or socio-economic

development.2 In recent years the need to address both the negative and positive characteristics

o oods through a judicious combination o structural and non-structural measures has been

recognized. The result is the Integrated Flood Management (IFM) approach, which ocuses on

the physical, social, environmental and economic aspects o oods.

om ood ontol to intgtd ood mngmnt

Flood control and protection measures have played an important role in protecting people

and socio-economic development rom ooding. Until recently, they have been engineering

centred, with little or no consideration being given to the social, cultural and environmental

eects o the chosen strategy or to long-term economic sustainability. They have largely

relied on structural solutions, such as embankments, bypass channels, dams and reservoirs.

Although structural ood control measures over the last 50 years have been complemented

with non-structural measures, such as ood orecasting and land use regulations, the need

or a paradigm shit rom ood control to ood management has been recognized only during the

past decade.

This shit is enshrined in the IFM concept: a process promoting an integrated approach to ood

management aimed at maximizing the net benefts o ood plains and minimizing the loss o lie

rom ooding in a river basin within the ramework o Integrated Water Resources Management

(IWRM).

IFM aims at a undamental re-orientation o social perception o oods rom the need to control

to the need to manage by shiting the ocus rom a reactive to a more proactive response.

Flood plain occupants are no longer viewed as hapless victims: they play an important role in

* Superscripts indicate the number o the endnotes given rom page 71 onwards.


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2

Social Aspects and Stakeholder Involvement in Integrated Flood Management

helping themselves and actively participate in tackling the problem caused by oods. The agenda

o disaster and emergency management agencies has also shited rom providing a response

to a ood emergency situation to a more comprehensive approach in which the recovery phase

incorporates mitigation and preparedness measures or the uture.

IFM is a subset o IWRM and addresses the interplay between the benefcial use o oods, on

the one hand, and risks posed by extreme events to the sustainable development in ood-prone

areas, on the other. The basic tenets o IFM are described in the Concept Paper 3 and its

components include the ollowing:

Adopting a basin approach to ood management;

Bringing a multi-disciplinary approach to ood management;

Reducing vulnerability and risks due to ooding;

Enabling community participation;

Preserving ecosystems.

Flood issues are inuenced not only by the physical causes o ooding but the overall social

economic and political setting o the area concerned. Thereore, those issues should be addressed

within the ramework o social and economic development planning, particularly water resources

development. The social aspects and involvement o all stakeholders including civil society in

integrated ood management activities rom planning to implementation to ensure sustainability

is an integral part o the IFM process.

Living harmoniously with oods is an important strategic option in IFM. Over the centuries people

have been living with oods. Unortunately, such areas have not seen much economic prosperity

and improvement in the quality o lie, compared to those where ood protection has been

provided. There are two major concerns: ensuring minimum disruption and disturbance to socio-

economic activities and livelihoods as well as equitable development in ood-stricken areas by

improving the quality o lie.

Pupos nd sop o th publition nd tgt udin

The main objective o this publication is to help understand the importance o social aspects

o and the need or stakeholder involvement in IFM and to help make society more resilient

to ood risks while recognizing and deriving benefts rom oods. The publication is primarilyaimed at ood managers, its purpose being to enable them to understand the ull range o

social issues involved in ood management. At the same time, it provides useul inormation or

policymakers, river basin managers, practitioners, civil society, NGOs and national, state, district

and local government ofcials responsible or disaster management, to help them understand

the intricacies o stakeholder participation in IFM.

Since stakeholder involvement is an intensive long-term process requiring dedicated fnancial

resources, special attention is given to developing countries. At the same time, it has to be

appropriately linked with similar stakeholder involvement in IWRM within a basin. This publication

does not intend to provide a detailed explanation o the technical aspects o various measures

but addresses the basic concepts o stakeholder involvement in ood management and issues


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3

Introduction

related to building community capacity so that communities can participate eectively in various

phases o ood management, including decision-making. Geneva.

Given the importance o improved understanding o the social aspects o ood issues ando incorporating the concerns o all stakeholders and needs o ood plain inhabitants in the

implementation o IFM, this publication highlights the issues that need to be tackled in ood

risk reduction and explores the means o acilitating the engagement and participation o all river

basin stakeholders in the decision-making process.

Since IFM is a subset o IWRM, the social issues presented in this publication are addressed

within the ramework o IWRM. This publication does not intend to develop a parallel process

o stakeholder involvement in ood management, but relies largely on the experience gained

in IWRM, duly addressing special ood-related issues, wherever necessary. It attempts to

answer questions relating to oods in the river basins and interactions with human security and

environment preservation to ensure livelihoods and economic development or the well-being inthe basin:

How can the benefcial eects o oods be recognized and enhanced?

What are the main causes o ood plain communities increased vulnerabilities?

What measures can be undertaken to reduce the vulnerabilities and risks o ood plain

communities?

How can various stakeholders be involved in the decision-making process rom the policy

planning stage to avoid likely conicts?

What role can civil society play in reducing ood risks?

Why are participatory planning and management imperative in river basin management?

How can they be sustained over time?

What difculties can be anticipated in implementing these measures?

What kind o mechanism and enabling environment are required to develop a successul

participatory approach?

To address the above-mentioned questions, the publication is divided into our parts: People

and oods, Social aspects o ood risk reduction, Stakeholder involvement in integrated ood

management and Enhancing stakeholder involvement. Chapter 1, People and oods, looks

into the positive and negative eects o oods. Conditions responsible or and actors that

contribute to the vulnerability o societies are discussed briey or the beneft o non-specialist

social scientists. Societal or community perceptions o risks that determine to a large extent themotivation to participate in the process are discussed briey.

Chapter 2 on the social aspects o ood risk reduction covers various actors contributing to

enhanced ood risks caused by development activities, ood reduction and mitigation measures

and how participatory processes can contribute to ood risk reduction by means o preventive

and preparedness measures.

Chapter 3 discusses the importance o stakeholder involvement in IFM, constraints and

precautionary measures required in designing the participatory process rom the onset, that

is, rom national ood policy development to basin management planning, project planning

and emergency planning and implementation. Each step requires the proper identifcation


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o stakeholders, an analysis o the roles each has to play and a discussion o how the

participatory process can be sustained. Possible institutional mechanisms have been identifed.

Participatory approach experiences rom similar areas o development activities have also

been explored. Chapter 4 addresses various enabling mechanisms or successul stakeholderinvolvement.

Linkgs to oth lood Mngmnt Poliy Sis und

th assoitd Pogmm on lood Mngmnt (aPM)

IFM aims to address the ood issues and related contributing social, economic and environmental

actors. To urther elaborate the concept, the Flood Management Policy Series ocusing on specifc

aspects o ood management is compiled with a view to acilitating the implementation o IFM

principles. Apart rom the present publication, three other publications in the Flood Management

Policy Series deal with legal and institutional, environmental and economic aspects o IFM.

The publication, Legal and Institutional Aspects o Integrated Flood Management,4 stresses

the need or an appropriate legal ramework or IFM in particularly addressing ood issues

or proessionals working as an interace between the legal world and natural resources

management. It also discusses the enabling legal mechanism or community participation in

ood management. Environmental Aspects o Integrated Flood Management5 advocates a

balanced approach, preserving ecosystems while addressing a societys development needs and

actoring in ood risks. The publication highlights the importance o stakeholder participation in

the decision-making process. Economic Aspects o Integrated Flood Management6 identifes

the role that economic instruments can play in making choices within the overall IFM concept,

including economic evaluation methods or dierent ood management scenarios.

IFM is based on the active and inormed participation o all stakeholders. It is anticipated that IFM

will employ the participatory process in planning, implementation and evaluation. The present

publication complements the other three by assessing the relationship between development

and ood disasters and their impacts on basin inhabitants social status and explaining how to

take decisions that meet societal objectives o poverty alleviation, sustainable development, risk

reduction and preservation o ecosystems.


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People and Floods

1. PeOPLe aND LOODS

Floods are a natural phenomenon. However, ood disasters are the results o interactionbetween this natural phenomenon with the environmental, social and economic processes.

An integrated approach to ood management thereore requires an understanding o

societal vulnerability to ood hazards as well as a knowledge o the hydrological characteristic o

ood risks and how the society perceives them.

1.1 Ntu nd uss o oods

The hydrological cycle, driven by solar energy, provides reshwater resources to the earth

through annual precipitation, which is constant in a given location over long periods o

times but varies rom year to year. Part o the precipitation infltrates into the ground andis stored as groundwater. Depending on the spatial and temporal distribution and intensities o

these precipitations, annual ood pulses are generated in rivers and streams. The reshwater

received in that manner is a lieline or the survival o human beings, ora and auna.

When the ows in rivers and streams surpass their carrying capacity, the water spills over to the

adjacent lands, causing inundation, also called ooding. Thereore, ooding results rom excessive

rainall or snowmelt or a reduction in a rivers conveyance capacity owing to siltation, ice jams or

inadequate design o waterways or cross-drainage works. Various other types o ooding and

their potential impacts are briey explained in Annex I. Anthropogenic changes in the catchment

area and ood plains also aect the natural requency, intensity and characteristics o ooding.

Various meteorological, hydrological and human actors that contribute to ooding are listed in

Table 1 below.

A river basin can be divided into three parts according to topographical and river channel

characteristics: upper reaches, middle reaches and lower reaches. Upper reaches are the main

water source and have steep sloping channels, which are generally confned within valleys and

are prone to landslides and mudows. The percentage o surace runo rom rain depends on

a number o actors such as watershed gradient and geology and soil characteristics. Middle

reaches, with broad valleys and generally stable channels, orm narrow ood plains and are

marked by ast moving, or ash oods. The lower reaches cover mainly the low elevation ood

plains surrounding the mainstream and its tributaries and the river mouth where the river meetsthe sea. These ood plains can be narrow strips o land along the river channel extending a ew

tens to hundreds o meters or tens o kilometres, and sometimes a hundred kilometres in the

alluvial reaches. The surace runo rom rivers and streams is drained into the oceans and seas,

orming estuaries and conuence o rivers.

1.2 Positiv nd ngtiv impts o oods

When speaking o oods and their impacts, emphasis is generally placed on their

destructive nature. Flood hazards are unique in the sense that they have not only harmul,

but benefcial impacts. In IFM, it is important to look at the positive and negative impacts o oods


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and consider the ooding o river basins to be a natural process rather than natures intererence

and a hindrance to economic development.

1.2.1 Bnfil spts o oods

Historically, ood plains have been a magnet or humans and have helped transorm them rom

ood gatherers to settlers. Floods provide a variety o services and help to develop ulfllinglivelihoods and meet the nutritional needs o human beings. The benefcial aspects o oods,

which provide crucial water resources, rich biodiversity, abundance o fsh and ertility o soil to

the ood plains, are taken or granted, overlooked or oten orgotten. These benefts are briey

discussed below or inclusion in the context o IFM.

Recharging water sources: Floods are natural hydrologic processes and provide variable river

ows and are an intermittent source o reshwater supply, flling natural depressions and

recharging groundwater. Inundation o the ood plains helps recharge the groundwater, which

is an important source o drinking water and is essential or agriculture. They are an important

source or restocking local man-made water sources such as ponds, reservoirs, dams and

irrigation channels, meeting round-the-year demand.

Tbl 1. tos ontibuting to ooding7

Mtoologil

tosHydologil tos Humn tos

Rainall

Cyclonic storms

Small-scale storms

Temperature

Snowall and

snowmelt

Cyclones

Soil moisture level

Groundwater level prior to storm

Surace infltration rate aected by

vegetation, soil texture, density,

structure and soil moisture.

Presence o impervious cover such as

snow and ice

Channel cross-sectional shape and

roughness

Presence or absence o over bank ow,channel network

Synchronization o run-os rom various

parts o watershed.

Land-use activities such as

urbanization increase run-o

volume and rate

Occupation o the ood plain

obstructing ows

Structural ood control

measures such as

embankments in the upstream

Greenhouse gas emissions

which may aect climate

change and requency andmagnitude o precipitation

events

Decrease in conveyance o

the river channels owing

to build up o river debris,

restriction o waterways,

dumping o mineral, wastes

and rubbish

Mining and other industries

alter water regimes, pollute

water channels and aect

ecosystems; can also alter

water courses


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People and Floods

Agriculture: Floodwaters carry nutrients and sediments, which are deposited on ood plains,

enriching the soil; artifcial nourishment such as ertilizers is not required. Rice paddies are

sometimes ooded deliberately to take advantage o this natural ertilization process.

Fishery: A river basin is an ecological unit interconnecting upstream spawning habitats with

downstream rearing habitats or a variety o species and other aquatic systems. Seasonal habitats

on the ood plain, created by variable ow regimes, are essential or various stages o the lie

cycle o species. Floods provide an ecological trigger or both the spawning and migration o

certain species. Some species spawn on the ood plain itsel, whereas others migrate upstream

to spawn in the river channel, providing an abundant supply o fsh and alternative income sources

at the household level.8

Rejuvenation o the river ecosystem: The river ecosystem is a critical habitat or the biota: fsh,

wildlie and waterowl. Seasonal variability and variable sediment and ow regimes help maintain

ecological biodiversity9 in rivers and ood plains. Wetlands or swamps located in ood plainsserve as natural buer zones or excessive ood ows and play host to many birds, fsh and

plants. Supplementary livelihoods in the orm o recreational and eco-tourism activities can be

made possible by the presence o the rich river ecosystem, bestowed with abundant ora and

auna. Surace runo and ooding can help wash down pollutants and contaminants deposited

on land caused by the intensive use o pesticides and ertilizers. They also ush out accumulated

organic substances brought by untreated drainage water rom armlands, stockyards, actories

and domestic use and restore the ecological health o stagnant rivers and streams by diluting

them and providing clean water.

1.2.2 Ngtiv soio-onomi impts o oods

Flooding o areas used or socio-economic activities produces a variety o negative

impacts. The magnitude o adverse impacts depends on the vulnerability o the activities and

population and the requency, intensity and extent o ooding. Some o these actors are

discussed below.

Loss o lives and property: Immediate impacts o ooding include loss o physical lie, damage

to property, destruction o crops, loss o livestock, non-unctioning o inrastructure acilities and

deterioration o health condition owing to waterborne diseases. Flash oods, with little or no

warning time, cause more deaths than slow-rising riverine oods. In monetary terms, damages

caused by oods are directly proportional to the extent, depth and duration o ooding, the velocitieso ows in the ooded areas and the vulnerabilities o economic activities and communities. The

more extensive the damages, the greater the rehabilitation and recovery costs, thereby depriving

the society o development and welare activities.

Loss o livelihoods: As communication links and inrastructure are damaged and disrupted,

economic activities come to a standstill, resulting in dislocation and the dysunction o normal

lie or a period much beyond the duration o the ooding. Closure o actories and businesses

throw urban workers out o work. In rural communities, those depending on agricultural activities

are the hardest hit. Agricultural labourers are put out o work or long periods owing to the

loss o crop seasons. The spillover eects o the loss o livelihoods can be elt in business and

commercial activities in adjacent non-ooded areas as well.


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Decreased purchasing and production power: Damage to inrastructure also causes long-term

impacts, such as disruptions to clean water and electricity, transport, communication, education

and health care. Loss o livelihoods, reduction in purchasing power and loss o land value in

the ood plains lead to increased vulnerabilities o communities living in the area. Productionin agriculture, manuacturing and other sectors may suer owing to the direct impact o

ooding or to physical inability o the workorce to attend the workplaces, or due to ill health.

Loss o livelihoods urther reduces purchasing power and may indirectly aect production.

Flooding can also result in loss o sales and trade. The additional cost o rehabilitation, relocation

o people and removal o property rom ood-aected areas can divert the capital required or

maintaining production.

Mass migration: Frequent ooding, resulting in loss o livelihoods, production and other

prolonged economic impacts and types o suering can trigger mass migration or population

displacement. Migration to developed urban areas creates overcrowding in the cities.

These migrants swell the ranks o the urban poor and end up living in marginal lands in cities thatare prone to oods or other risks. Selective out-migration o the workorce may create complex

social problems. In a majority o cases where able-bodied males members are orced to migrate,

the saety o women, children, the elderly and the disabled who are let behind becomes an

important issue. It may damage the community unction and social structure and urther increase

the vulnerability o the population.

Psychosocial eects: The huge psychosocial eects on ood victims and their amilies can

traumatize them or long periods o time. The loss o loved ones can generate deep impacts,

especially on children. Displacement rom ones home, loss o property and livelihoods and

disruption to business and social aairs can cause continuing stress. The stress o overcoming

these losses can be overwhelming and produce lasting psychological impacts.

Hindering economic growth and development:10 The high cost o relie and recovery may adversely

impact investment in inrastructure and other development activities in the area and in certain

cases may cripple the rail economy o the region. Recurrent ooding in a region may discourage

long-term investments by the government and private sector alike. Lack o livelihoods, combined

with migration o skilled labour, may have a negative impact on a regions economic growth. Loss

o resources can lead to high costs o goods and services, ination and loss o economic growth

o the region or the country at large, delaying its development programmes.

Political implications: Ineective response to relie operations during major ood events maylead to public discontent or loss o trust in the authorities or the state and national governments.

Lack o development in ood-prone areas may cause social inequity and even social unrest. Such

disparities and unequal economic growth can produce regional, social, economic and political

tensions.

1.3 Undstnding ood isks

IFM aims to reduce ood risks, which are defned as the expected losses rom given ood events

over a specifed time period. It is imperative to understand the construct o ood risks which

consists o:


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People and Floods

The magnitude o the ood hazard expressed in terms o requency and severity (depths o

inundation and related velocities);

The exposure o human activities to ooding;

The vulnerability o the elements at risk. (See Figure 1).

Most oten, when defning risks, exposure to hazard and vulnerability are combined and expressed

as vulnerability. In this publication, when defning ood risks, a clear distinction between the two

is considered essential to analyse the ood problem, clearly distinguishing between strategies

that can be adopted rom an engineering perspective rom those that require consideration o

social issues. A thorough risk analysis, which includes an assessment o hazards, community

vulnerability and development requirements or building societal resilience, must be carried out.

IFM aims at reducing the ood risks through a judicious combination o measures that address

the magnitude o the hazard, exposure and vulnerability. Flood risk reduction measures must

be undertaken in conjunction with water resources management and development activities in

the basin and regional and national spatial planning. In order to reduce the risks, changes in theupper, middle and lower reaches o the river caused by development activities should be taken

into consideration. As such, the entire river basin should be taken as a single entity and managed

according to its hydrological, rather than administrative or political boundaries. These measures

need to be consciously designed to cause minimum impacts on the environment.

Hazards

VulnerabilityExposure

Flood risk mitigation measures

Risk

igu 1. constut o ood isk nd its dution

Floods are generally an outcome o a complex interaction between natural random processes in

the orm o precipitation and temperatures with basin/watershed characteristics. While normally

the rainall characteristics do not change substantially over time, watershed characteristics

undergo a continuous change due to human activities and can thereore eect a change in ood

magnitudes. Urbanization in the upper catchments induces higher runo and thereby increases

ood hazard magnitudes. This phenomenon is particularly evident in smaller catchments.

Canalization and continuous embankments in the upstream reaches can also increase the ood


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magnitudes in the downstream reaches o the river. Similarly, blockage o carrying capacity o the

waterways downstream due to constriction caused by bridges across waterways is also likely

to aect ood magnitudes in the immediate upper reaches. Dams and reservoirs can reduce

the severity o ood hazard in their downstream by detaining oodwater during ood peaks.Development activities and ood management measures must thereore be designed in such a

way that development activities do not contribute to an increase in ood magnitudes.

1.4 risk pptions

Planning or risk reduction in IFM requires a clear understanding and awareness o existing and

potential ood risks. Unless the population is aware o the risks it aces, local energies cannot

be mobilized to build resilience. Being aware o risks is an essential requirement or undertaking

precautionary actions. As such, understanding o risks should be viewed as the frst essential step

in drawing up an action plan. For eective community participation in IFM including emergencypreparedness, it is essential that the community is made aware o the ood risks and the actors

that determine them.

Risk perception created by ooding among communities and within a community diers

considerably. The new settlers/migrants or reugees in a ood plain may not be aware o the

causes, requency and likely magnitude o ooding in a given area and are vulnerable because

o their lack o knowledge. People living in areas subject to inrequent or ash oods with a

return period o more than a lietime lack such knowledge. The demographic composition o the

population, or example elderly citizens who may have experienced the strongest ooding in the

region, also reects on how the community perceives these risks. Perception about risks and

corresponding responses within a community can also vary according to their relative educational

level, economic status and political clout.

It is also necessary to be aware o the man-made actors that can add to the intensity and

severity o oods, thereby increasing ood risks. Poor land use planning o urban areas under

development can signifcantly reduce open spaces and prevent infltration when the natural

ground is covered with impervious material. This has eects on infltration and the grounds

natural retention, thereby increasing the runo volumes in downstream reaches. Deorestation

in the upper catchments areas changes the basins sediment response causing land erosion,

siltation and raised riverbeds. Certain agricultural practices also aect the river basins hydrologic

response and consequently, ood risks. Similarly, ood control measures or developmentprojects undertaken in the upstream areas can have serious impacts on the downstream areas.

High embankments built to protect ood-prone areas cause a signifcant rise in water level within

the river channel. These higher ood levels are transmitted over long distances along the river,

sometimes hundreds o kilometres, and thereby increase the risks due to ooding in downstream

areas.11 It is important to understand the pros and cons o various development projects and all

planned ood management options relating to the risks.

Where large-scale structural ood control measures, such as dykes, reservoirs, levees and

oodwalls have been constructed, protected communities generate a alse sense o security

over a period o time. These structures are usually built to provide protection rom a certain ood

magnitude. I a ood larger than the designed ood occurs or certain conditions undermine the


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People and Floods

stability o the ood protection structure, protection measures are likely to ail. Thereore, it is

vital or the protected community to recognize the limitations and level o the protection that

these structures can oer and be aware o residual risks. Contingency plans or meeting such

situations are thereore essential to respond and prepare or such residual risks.

1.5 Undstnding vulnbility

Vulnerability to oods is a communitys proneness to be impacted adversely by ooding and is

represented by the inability or incapacity o a community or a group to anticipate, cope with,

resist and/or recover rom its impacts. It is the condition that determines the transormation o a

hazard into a disaster. It not only impedes appropriate response but accentuates the severity o

the impact that may be urther exacerbated long ater a disaster has struck. Vulnerability to oods

is a combination o complex, dynamic and interrelated mutually reinorcing conditions that can be

divided into three major groups as ollows:

Physical or material;

Constitutional or organizational;

Motivational or attitudinal.

Conditions o vulnerability are outlined in Box 112 below.

Box 1. Vulnbility onditions

Physical/material conditions

Initial well-being, strength and resilience (high mortality rates, malnutrition, disease)

Weak inrastructure, such as buildings, sanitation, electricity supply, roads and transportation

Occupation in a risky area (insecure/ risk-prone sources o livelihood)

Degradation o the environment and inability to protect it

Constitutional/organizational conditions

Lack o leadership, initiative, or organizational structure

Lack o or limited access to political power and representation

Lack o or poorly resourced national and local institutionsUnequal participation in community aairs

Inadequate skills and educational background

Weak or non-existent social support networks

Limited access to outside world

Motivational/attitudinal conditions

Lack o awareness o development issues, rights and obligations

Certain belies and customs and atalistic attitudes

Heavy dependence on external support


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1.5.1 contibuting tos

Social actors contribute to or inuence these conditions to determine community vulnerability.

Some o these that are relevant to ood management such as poverty, livelihood opportunities,

cultural belies, human rights, gender inequalities, and special needs o weaker social groups arebriey discussed below.

Poverty: The widening gap between rich and poor, rural and urban incomes and hence the

disparity in living standards can be witnessed in the ood plains o developing countries. For

small landowners with marginal degraded ood-prone lands, requent ooding can decrease the

returns rom working the land. In some areas, contaminated waters and deteriorating soil quality

are causing lower crop yields, thus reducing ood security and earning potential o marginalized

landholders ater a devastating ood. The rural poor who depend on incomes rom arming or

other agricultural activities or make a living as hired arm labourers, with no reserves to put them

back on their eet or pay or basic needs, are obliged to migrate to the cities and usually drive

themselves into debt. Newcomers to an urban setting, not being able to aord sae, expensive,economically strategic locations in the city, are obliged to settle in makeshit dwellings in inormal

settlements on marginal lands near the river or other drainages and are subject to requent

ooding. Such settlements with temporary structures oten lack public service inrastructures

such as drinking water, sanitation and health acilities and are extremely vulnerable to ooding.

Livelihoods: The principal livelihoods o communities living in rural ood plains are mainly arming

and fshing. However, recurring oods threaten the stability o the their livelihoods owing to the

loss o arm products or limited access to the markets or their products in the absence o adequate

transport inrastructure. The landless poor, working as hired labourers, particularly during long

ood seasons, have trouble fnding jobs to meet their basic needs. Alternative livelihood options,

such as traditional handicrats or women, seasonal fshing and shrimp arming, commercial and

small-scale plantations o water-resistant plants or trees such as bamboo or banana to supplement

their incomes and or other uses as well, can greatly reduce the vulnerabilities o ood plain

communities.

Cultural belies: Some cultural belies and atalistic attitudes towards lie and a general resistance

to adapt to new realities contribute to a communitys vulnerability. In many societies, natural

disasters are considered to be acts o God and there is nothing human beings can do to prevent

it. Lack o aith in the social system and lack o confdence in themselves to be able to manage

the change maniests itsel in resistance to any such change. Sometimes mitigation measures

are developed without accounting or the diverse culture, religious belies and customs o ethnicminority groups. Cultural belies entrenched in respect o nature, or example, rivers and trees,

can be conducive to the adoption o certain measures such as living with oods. Education

can play an important role in creating awareness and changing behaviour commensurate with

time. It is important to acknowledge native customs and belies and indigenous knowledge,

ability and willingness to read and heed nature. Oten it is not sufciently recognized that old

traditions and experience rom the past were maniestations o certain given conditions. With

mounting development demands on natural resources, the response o the natural elements is

changing and uture behaviour may not always match the results experienced in the past. As

such, limitations o indigenous knowledge due to changing risk scenarios and availability o new

options based on technological advances should be kept in mind.


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People and Floods

Human rights: Unequal distribution o resources and access to human rights can lead to conicts

and discontent, and in turn, the deterioration o social systems. For example, individuals who

are denied the right to reedom o association and access to inormation may be precluded

rom discussing issues related to ood preparedness and mitigation planning, receiving essentialundamental services and taking preventive measures to protect themselves rom ood hazards.

At the same time, suitable response and recovery programmes can be designed and implemented

i the aected communities enjoy the rights to express their concerns and needs to enable them

to participate in decision-making processes.

Gender: In societies where the decision-making power resides solely in the men o the amily,

ignoring the wisdom and experience o women and denying or limiting them the adequate access

to knowledge and capacity development schemes, which otherwise may be available to men,

can deny the society the use o such human resources and contribute to womens vulnerability

to security, health and well being, economic security and livelihoods. In the context o oods,

there are specifc vulnerability and impacts on women: additional stress and atigue caused bycontinued responsibilities or cooking, water collections and distribution; child and aged care in

limited spaces; and limited availability o uel, ood and supplies. In addition, women ace loss

o privacy while living in shelters or camps, constrained acilities or sanitation, threats o sexual

abuse and trauma.

It has not been adequately recognized that the continuous stay o women at home gives them

a special stake in protecting the house and the amily properties. Together with the intimate

knowledge o the surroundings and ability to monitor the ood situation, it can be put to benefcial

use in developing preparedness strategies at the household level. Women are more likely to

share inormation, ideas and resources as they build networks o amilies and riends at work,

in schools and in their neighbourhoods. Oten women groups take the lead in helping rebuild

community solidarity ater a disaster.13

Weaker social groups: In a society made up o various social groups, the needs o each group dier.

Children, women, elderly and disabled people who are not able to overcome adverse physical

situations have unique group eatures that add to their vulnerabilities. The majority o casualty

fgures during ooding are made up o children who get drowned, bitten by poisonous insects

or snakes, carried away by high oods or electrocuted. Special requirements and capabilities

o children during emergency situations should be incorporated into ood preparedness and

management strategies. Exclusive programmes targeting children to reduce their vulnerabilities

can be included in educational activities, the publication o picture books on what to do andwhat not to do and more practical activities such as teaching them how to swim. Similarly, the

evacuation o old people and the provision o special medical care should be regarded as a priority

during any emergency response. On the other hand, they are a valuable source o community

memory and history.

Minority and ethnic groups that may not be woven smoothly into the abric o the society have

special needs. They sometimes tend to segregate themselves rom others and are not in contact

with those in the know, limiting their awareness o ood risks. Thereore, it is imperative

to consider the roles and needs o various social groups within the disaster risk management

ramework and the long-term impacts o ood events on each group.


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Social Aspects o Flood Risk Reduction

2. SOcIaL aSPecTS O LOOD rISK reDUcTION

As discussed earlier, ood risks can be reduced by decreasing the magnitude o hazards,preventing exposure o people and their activities to ooding and diminishing the

vulnerability o ood-prone communities. This chapter discusses means o preventing

exposure to oods and measures aimed at reducing vulnerability.

2.1 rduing xposu

Exposure to ooding can be generally reduced through:

Structural ood mitigation works;

Land-use planning and regulation;Flood emergency measures.

Structural measures include the construction o levees, oodwalls and bypass channels. These

measures reduce the probability or degree o exposure to ooding but are not discussed urther

in this publication as they all outside its scope. Structural measures such as ood-proofng, are

discussed later, as their implementation requires the active involvement o civil society. Land use

regulations attempt to reduce exposure to ooding by keeping people away rom ooded areas.

Peoples exposure to impending oods can be prevented through ood emergency measures

that involve moving them away rom the ooded areas to avoid casualties caused by drowning

or the spread o disease. Economic activities that are likely to be adversely aected by ooding

can also be halted through early warning.

2.1.1 enhning stutul silin: ood-poofng

Flood proofng is the provision o semi-structural measures to mitigate or minimize the damaging

impact o ooding by avoiding exposure to oodwaters. Flood-proofng solutions can also be

applied at the individual household or community level. Flood-proofng measures or individual

houses and important inrastructures such as public buildings, hospitals and schools that attempt

to keep water away rom people and economic activities are also known as semi-structural

measures. These measures provide possible options o living with oods and acilitate the active

participation o communities. Flood-proofng has been practiced in many parts o the world or along time and has become popular in recent years through a combination o traditional and new

technology-based measures. It can create sae living conditions or individuals or communities

that, owing to their strong attachment to the areas in which they live, do not wish to move to saer

places. These measures eature low maintenance costs and should conorm to local conditions.

There is also a need to provide training to the communities to maintain these systems.

Key public inrastructures such as schools and community health care acilities which are also

used as temporary shelters should be ood-prooed. Communication links and water supply

sources, as well as buildings used to store emergency supplies, should undergo appropriate

ood-proofng. One o the most common approaches to ood-proofng is raising the plinth level

o buildings and homesteads. Raised homesteads allow oodwaters to ow under or around a


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building, causing little or no damage. In certain situations entire villages are raised above ood

level, or oodwalls are erected around the village. The level o raised plinths must be sufcient

to ensure that the building remains above ood level. Emergency ood-proofng methods involve

erecting temporary structures, building sandbag walls and protecting damageable contents. Flood-proofng easibility and the decisions as to which method should be applied take into account

costs, type o building, inrastructure location, ooding characteristics and the level o exposure

to ooding. The United States Federal Emergency Management Agency (FEMA) breaks ood-

proofng down into fve groups:14

1. Relocation: moving away rom the ood-prone area;

2. Elevation: raising the building above the ood level, either on piles or on a mound;

3. Floodwalls: concrete or steel walls to keep the ood out;

4. Dry ood-proofng: making the building water-tight;

5. Wet ood-proofng: allowing basement and ground oor to ood while keeping habitable

portions o the building above ood level.

Table 2 outlines some ood-proofng methods.

It is advisable that ood-proofng techniques be ormulated, designed and implemented under the

supervision o experienced personnel to ensure adequate consideration o all actors that could

have a bearing on saety and the eectiveness o techniques. Maintenance must be perormed

on a regular basis. It is important to remember that oods may exceed the level o ood-proofng

protection provided. Thereore, securing property and vacating premises during severe ood

events should be planned in advance and orecasts and ood warnings constantly monitored.

2.1.2 Lnd us plnning nd gultion

Land use regulation combined with building and inrastructure codes and design practices can

help reduce the exposure o economic activities to ooding. Land use legislation enables the

establishment o standards or the use, development and protection o land in such a way as

to minimize the risk to the population and prevent the natural resources rom being destroyed

during the ooding. Flood plain zoning, where the degree o ood hazards within the catchment

area is careully matched with appropriate landuse measures, is a major non-structural measure

that can prevent hazards rom turning into disasters. Flood hazard and ood risk maps, which

provide inormation on the past history o ooding and the likely or potential extent o uture

ooding in combination with other related inormation, are decision-making aids or use in IFM.For example, communities already settled in ood-prone areas will require certain incentives to

move out o the oods way: assistance in moving to saer areas oering appropriate livelihoods

and/or good transportation connectivity to their arms or other means o business.

In regions undergoing rapid urbanization, policies related to land use management, integrating

management and protection o natural resources, such as land, water and vegetation, and

human activity, are particularly important. Development activities, i not undertaken careully, can

interere with natural drainage, destroy ood retention systems such as wetlands and swamps

and decrease the infltration o rain water into the ground due to urbanization. Regulating

development works or public inrastructures, such as the pavement o roads on a ood plain

through specifed regulations, is thereore essential. Urban development planning should be


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Tbl 2. lood-poofng thniqus1516

Individul houss/publi buildings

loodinghtistis

Typ o ood-poofng

Typ o building Dsiption

Deep ooding Elevated buildings over

earth flling/piles/poles/

stilts

Bamboo or wooden

houses or houses

made o easily

disassembled

materials or concrete

building with frm

pillars

The elevation height should be

sufcient to ensure that the

lowest oor level is higher than

the expected oodwater level

and allows ree passage or

oodwater, without damaging

the interior o the building.

Floating houses Bamboo or wooden

houses

This is applicable in cases o

low ow velocity.

Constructing barriers/

oodwalls between

buildings and

oodwaters

Brick or concrete

buildings

Watertight barriers (berms,

levees or reinorced ood

walls) are built around or on

the side o the building to stop

oodwaters rom reaching

the damageable portions o

structures. The barriers can

be made o earth, concrete,

masonry or steel.

All areas below the oodprotection level are made

watertight; walls are coated

with a waterproofng

compound or plastic sheeting.

Openings, such as doors,

windows, sewer lines and

vents, are protected with

sandbags or removable

closures or shutters to secure

the building against the entry

o oodwaters. This technique

may not be appropriate or

homes with basements since

they are more prone to under

seepage.


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18


looding

htistis

Typ o ood-

poofngTyp o building Dsiption

Shallow ooding Dry ood-proofng or

sealing

Brick or concrete

buildings

The building is sealed so that

oodwaters cannot get inside.

All areas below the oodprotection level are made

watertight. Walls are coated

with waterproofng compounds

or impermeable sheeting. The

design should consider the

buoyancy eect caused by

the sealed basement. In some

cases, basements could be

wet ood-prooed to allow the

water in to avoid buoyancy.

Openings such as doors,

windows, sewer lines,and vents are closed with

permanent closures or

removable shields, sandbags

and valves. This technique

is not as successul in crawl

spaces or basements o

buildings since those structures

are difcult to protect rom

under seepage. Dry ood-

proofng is requently used

where there is insufcient

space or a berm or levee.

Wet ood-proofng Brick or concrete

buildings with

available areas

above ood level or

basement

Wet ood-proofng allows

the oodwaters to enter the

structure. The building is

modifed so that utilities and

urnaces are protected or

relocated to an area above the

anticipated ood level. Wet

ood-proofng is oten used

when dry ood-proofng is not

possible or is too costly.

Flood o any

intensity

Temporary removal o

goods

Goods,

equipment,supplies

Goods removed to higher

ground or saer areas or

substantial reduction o

damages.

Watertight storage

acilities

Storage tanks to keep

goods, equipment,

water or ood

Storage tanks ftted with

watertight caps to prevent

goods and equipment rom

ood damage.


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19


controlled through regulations, disincentives or incentives or developers. Developers who are

prepared to include eatures in their town planning that would reduce peak ows could be given

discounts on land taxes based on planning and design endorsed by the authorities.

Deorestation and loss o vegetation in the watershed is known to increase the incidence

o mudows, shallow landslides and sheet erosion, thereby causing higher sediment yield

which results in the siltation o detention reservoirs and sedimentation in river reaches and

in turn decreasing their conveyance capacity. Watershed management and appropriate orest

management practices can help prevent these conditions as shown in Box 2. Farmers adopting

slash and burn cultivation can be made aware o the adverse impacts o their actions on

downstream communities. With the assistance o the government and other relevant agencies,

alternative livelihood arrangements or them can be made. In some cases, oering incentives

and trade-os can be more eective.

These measures can be successul only i an appropriate legal and institutional ramework,

along with suitable economic incentives and disincentives, are put in place and are eectively

implemented on the ground. Good governance is an essential ingredient. Proper law enorcement

requires political will and can signifcantly help restrict unlawul development activities, such as

the illegal reclamation o lands rom water bodies. The involvement o stakeholders in deciding

the kind o land use management measures that should be adopted can also acilitate their

implementation since they are the ultimate benefciaries and can thereore be useul allies in

implementing regulations. The right blend o law enorcement, education and incentive schemes

is vital.

looding

htistis

Typ o ood-

poofngTyp o building Dsiption

Proper anchorage Buoyant materials

or structures, such

as lumber, plastic orurniture

Anchoring structures that

can be carried away by

oodwater not only to reducelosses but also to prevent

possible wreckage and debris

downstream.

Utilities service

protection

Water supply, water

distribution system

Utility systems checked or

leakages and repaired regularly

to prevent any contamination.

Extra coating/

installation o use/prop

up using poles

Electric wires,

electrical systems,

electricity lines

Proper use protection or

individual buildings, additional

coating or exposed wires andpropping up o electricity lines

in public places to keep them

away rom water can reduce

the likelihood o fre caused

by electric short circuits and

electrocution.


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20


Box 2. Soil onsvtion in th Loss Pltu o chin1718

The Loess Plateau in the upper and middle reaches o the Yellow River is one o the most severely

eroded areas in the world. Soil and water loss in the plateau is the outcome o a number o naturaland human activities. Soil and water conservation techniques or large-scale soil loss control were

developed and undertaken at high priority. These soil conservation measures consist mainly o

engineering and biological measures and conservation arming.

Engineering measures:

Slopes: terraces, ponds and land levelling or aorestation

Gullies: interception banks to protect gully heads, check dams, silt trap dams and small

reservoirs

Farmland: terracing and silt trap dams to increase agricultural output

Formerly cultivated sloping land: restoration o orest and grass on slopes

Biological measures:

Improvement/restoration o vegetation covers by introducing suitable species o trees, grass

and bushes in appropriate combinations

Development o grass and orest areas to conserve soil and water

Development o anima

ifm social aspects

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