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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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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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xi
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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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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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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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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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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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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Social Aspects o Flood Risk Reduction
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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Social Aspects and Stakeholder Involvement in Integrated Flood Management
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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Social Aspects o Flood Risk Reduction
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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Social Aspects and Stakeholder Involvement in Integrated Flood Management
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