Main Report An EPIC Innovative Governance for Flood and Drought Response: Risk Management GREG BROWDER, ANA NUÑEZ SANCHEZ, BRENDEN JONGMAN, NATHAN ENGLE, EELCO VAN BEEK, MELISSA CASTERA ERREA, STEPHEN HODGSON About the Water Global Practice Launched in 2014, the World Bank Group’s Water Global Practice brings together financing, knowledge, and implementation in one platform. By combining the Bank’s global knowledge with country investments, this model generates more firepower for transformational solutions to help countries grow sustainably. Please visit us at www.worldbank.org or follow us on Twitter at @WorldBankWater. About Deltares Deltares is an international research institute focused on climate-resilient water resources management. Throughout the world, Deltares works on smart solutions, innovations, and applications for society and the environment in deltas, coastal regions, and river basins. Deltares works closely with governments, the private sector, research institutes, and civil society organizations. Our mission is to Enable Delta Life Please visit us at https://www.linkedin.com/company/deltares About GWSP This publication received the support of the Global Water Security & Sanitation Partnership (GWSP). GWSP is a multidonor trust fund administered by the World Bank’s Water Global Practice and supported by Austria’s Federal Ministry of Finance, the Bill & Melinda Gates Foundation, Denmark’s Ministry of Foreign Affairs, the Netherlands’ Ministry of Foreign Affairs, the Swedish International Development Cooperation Agency, Switzerland’s State Secretariat for Economic Affairs, the Swiss Agency for Development and Cooperation, and the U.S. Agency for International Development. Please visit us at www.worldbank.org/gwsp or follow us on Twitter #gwsp. About GFDRR The Global Facility for Disaster Reduction and Recovery (GFDRR) is a global partnership that helps developing countries better understand and reduce their vulnerabilities to natural hazards and adapt to climate change. Working with over 400 local, national, regional, and international partners, GFDRR provides grant financing, technical assistance, training and knowledge sharing activities to mainstream disaster and climate risk management in policies and strategies. Managed by the World Bank, GFDRR is supported by 34 countries and 9 international organizations. Please visit us at www.gfdrr.org or follow us on Twitter @GFDRR An EPIC Innovative Governance for Flood and Drought Response: Risk Management GREG BROWDER, ANA NUÑEZ SANCHEZ, BRENDEN JONGMAN, NATHAN ENGLE, EELCO VAN BEEK, MELISSA CASTERA ERREA, STEPHEN HODGSON © 2021 International Bank for Reconstruction and Development / The World Bank 1818 H Street NW, Washington, DC 20433 Telephone: 202-473-1000; Internet: www.worldbank.org This work is a product of the staff of The World Bank with external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. Rights and Permissions The material in this work is subject to copyright. Because The World Bank encourages dissemination of its knowledge, this work may be reproduced, in whole or in part, for noncommercial purposes as long as full attribution to this work is given. Please cite the work as follows: Browder, Greg, Ana Nunez Sanchez, Brenden Jongman, Nathan Engle, Eelco Van Beek, Melissa Castera Errea, and Stephen Hodgson. 2021. “An EPIC Response: Innovative Governance for Flood and Drought Risk Management—Executive Summary.” World Bank, Washington, DC. Any queries on rights and licenses, including subsidiary rights, should be addressed to World Bank Publications, The World Bank Group, 1818 H Street NW, Washington, DC 20433, USA; fax: 202-522-2625; e-mail: pubrights@worldbank.org Design: Miki Fernandez Cover photos: top/Capstoc; bottom/Heyfajrul An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● iii Foreword F loods and droughts are some of the most tangible – and Critical to the framework is its “whole of society approach”, devastating – consequences of the climate crisis. They inclusive and representative of the needs of all of society. increasingly affect communities across the planet. The This means more effective public participation, and greater toll in human suffering and in economic costs is staggering. It government effort to absorb citizens’ views, especially those is crucial that societies adapt and that governments prioritize, who are systematically underrepresented, such as women, accelerate, and scale up their response mechanisms in the minorities, elderly, and the poor. Floods and droughts typically coming decade. hit groups in vulnerable situations the hardest. Traditionally, loss of assets or reduction in GDP are the measures of impact. Societies have long struggled to prepare for and respond to But the poor have few assets and are underrepresented in floods and droughts - two hydrological extremes that can this calculus. The EPIC Framework calls for a broader view happen to the same country and at the same time. Climate that also considers their loss of “well-being” and potential change is driving more moisture into the atmosphere, resulting intergenerational consequences. in ‘hyper-charged’ storms, heavy rains, and more intense dry spells. In many parts of the world, these changes to the We hope that governments, along with the countless individuals hydrological cycle mean stronger and longer flood and drought and organizations working on adaptation and resilience to periods, and in other areas, individuals are experiencing climate change and disaster risk management, will find the EPIC these hazards to a significant degree for the first time in Framework useful to meet their rising resilience challenges. living memory. Worldwide, it is difficult to point to a region We also hope that it serves as a rallying cry for governments or country that will not face more challenges managing these and other development partners to focus on managing these extremes in the years to come. risks in tandem across the hydrological spectrum and reaping the benefits of this innovative governance approach along the Countries can harness the power of water for development way. This is not to say that implementing the EPIC Response while avoiding the human suffering, economic losses, and Framework will be easy. Far from it. But the way forward is to ecological degradation that is associated with the hydrological invest in strong partnerships and cooperation, at all levels, to cycle on overdrive. And societies can learn how to embrace the stimulate the exchange of knowledge, tools, and resources to inevitability of floods and droughts, and the drastic alternations systematically prepare for and respond to floods and droughts between them. This requires innovative governance and risk in the coming decades. management approaches that navigate uncertainty, protect communities, economies, and ecosystems, reduce duplication, So, while climate change and COVID-19 are compounding many and improve efficiency of public resource use. challenges, they also present an unprecedented opportunity. Amid record spending to spur a recovery from the pandemic, The EPIC Response Framework presented in this report offers we have a chance to leverage these investments towards a path forward for governments to manage these risks more green, resilient, and inclusive development that reduces rather comprehensively and systematically. It prioritizes the need than further exacerbates our societies’ vulnerability to climate for a “joined-up” government effort – one that does not rely risks. Let’s seize that opportunity. on a single national lead agency and that does break siloes of single agencies mandated to address isolated parts of the interrelated challenges of floods and droughts. Kitty van der Heijden Juergen Voegele Director General for International Cooperation Vice President for Sustainable Development Ministry of Foreign Affairs The World Bank The Netherlands Acknowledgements T his report was prepared through a partnership between We would also like to thank the following WB staff who the World Bank (WB) and Deltares. The WB team was contributed to the report: Roohi Abdullah, Diego Arias, Sarah led by Greg Browder, Brenden Jongman, and Nathan Keener, Toyoko Kodama, Virginie Laroche, Niels Holm-Nielsen, Engle and includes Melissa Castera Errea, Stephen Hodgson, Jason Russ, Marie-Adele Tchakounte Sitchet, Toshiro Sonoda, Natalia Limones, Sandra Knight, and John Carrey. The Deltares and Monika Weber-Fahr. Key contributors from Deltares team was led by Ana Nunez Sanchez and Eelco van Beek, and include Arno Nolte, Marcel Marchand, Jarl Kind, Kymo Slager, includes Herman van de Most and Patricia Trambauer. David and Bregje van Wesenbeeck. Rogers provided key insights and guidance throughout the Miki Fernandez provided the layout and design for the report study. and Stephanie Ijff supported with conceptual illustrations. The report benefitted greatly from the strategic direction Meriem Gray, Pascal Saura, Ayse Boybeyi, Eric Barrett, Li provided by WB management, including Jennifer Sara (Water Lou, and Erika Vargas (WB) and Jaqueline Vink and Brigitte Global Director), Sameh Wahba (Urban, Resilience, and Verhagen (Deltares), provided invaluable support for the Land Global Director), and Richard Damania (Sustainable production and dissemination of this report. Development Chief Economist). From Deltares, strategic We are pleased to recognize the generous funding provided direction was provided by Annemieke Nijhof (Managing through the Global Water Security and Sanitation Partnership Director), Toon Segeren (Director of Deltares International), (GWSP) to produce this report, as well as the support of the and Bianca Peters (Resilience and Planning Department Head). Global Facility for Disaster Reduction and Recovery (GFDRR). The team appreciates the detailed reviews provided by the following WB staff: Stephane Hallegatte (Climate Change); About the Authors Erwin de Nys, Yukio Tanaka, and Satya Priya (Water); Ana Greg Browder, is a Lead Water Resources Management Campos and Oscar Ishizawa (Disaster Risk Management); Specialist at the World Bank. During the preparation of the Paola Agostini (Environment); and Asa Giertz, Holger Kray, and report he served as the Global Lead for Water and Resilience. Ademola Braimoh (Agriculture). Ana Nunez Sanchez, J.D. is a Planning and Institutional We are grateful to the following partners in reviewing and Expert at Deltares and leads the Deltares’ Adaptation and shaping the report: Robert Stefanski (Integrated Drought Implementation Research Program. Management Program, WMO); Giacomo Teruggi (Associated Program on Flood Management, WMO); Valentin Aich Brenden Jongman is a Senior Disaster Risk Management and Danielle Gallard Picher (Global Water Partnership); Specialist at the World Bank and leads the World Bank’s Cody Knutson and Mark Svoboda (U.S. National Drought Community of Practice for Nature Based Solutions. Mitigation Center, University of Nebraska-Lincoln); Toshio Nathan Engle is a Senior Climate Specialist at the World Bank Koike (International Centre for Water Hazard and Risk and co-leads the World Bank’s Drought Resilience Community Management, ICHARM); Daniel Tsegai (Secretariat to United of Practice. Nations Convention to Combat Desertification, UNCCD); Jeroen Eelco van Beek is a Water Resources Management Expert Aerts and Joyeeta Gupta (University of Amsterdam); Andrew at Deltares and Emeritus Professor at the Delft University of Allan (University of Dundee); Willem Ligtvoet (Netherlands Technology and the University of Twente, in the Netherlands. Environmental Assessment Agency); and Jos Timmerman and Paul Sayers. Stephen Hodgson, J.D. is an independent environmental lawyer based in Belgium. Support for the case studies presented in the report include Melissa Castera Errea is the Coordinator for the Water Candido Cabrido and Joop Stoutjesdijk (Philippines); and Resources Global Solutions Group at the World Bank. Onesmo Sigala, Jacqueline Tront, and Yohannes Kesete (Tanzania). An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● v Photo: BassittART Table of Contents List of Terms, Acronyms and Abbreviations............................................................................................ xi Introduction: Innovative Governance for Accelerating Hydro-Climatic Risks................................................................................................................. 1 1.1 The Wicked Problem of Hydro-climatic Extremes............................................................................ 2 1.2 Innovative Governance: Joined-up Government Leading a Whole-of-Society Approach.....................5 1.3 Report Structure............................................................................................................................8 1.4 Report Audience and Purpose......................................................................................................10 Navigating the Report............................................................................................................. 13 2.1 Overview..................................................................................................................................... 13 2.2 Key Terminology.......................................................................................................................... 16 2.3 Summary EPIC Response Programs.............................................................................................. 16 National Sector Frameworks................................................................................................ 27 3.1 Synchronizing National Sector Frameworks..................................................................................28 3.2 The National WRM Sector Framework........................................................................................... 31 3.3 The National DRM Sector Framework............................................................................................34 3.4 Overarching National Drought Risk Management Framework.........................................................36 3.5 Overarching National Flood Risk Management Framework............................................................39 3.6 The Importance of Interlocking WRM, DRM, and Drought Strategic Plans...................................... 41 vi ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Facilitating a Whole-of-Society Approach.....................................................................43 4.1 Local Government........................................................................................................................44 4.2 Public Participation and Stakeholder Engagement........................................................................44 4.3 Social Inclusion...........................................................................................................................46 4.4 Flood and Drought Education and Risk Communication.................................................................48 4.5 Scientific Collaboration................................................................................................................49 4.6 Open Data...................................................................................................................................49 4.7 National Sector Frameworks and Key Agency Actions....................................................................50 4.8 Key Resources............................................................................................................................. 51 Hydrological and Meteorological Services.................................................................... 53 5.1 Hydro-met Services...................................................................................................................... 55 5.2 Co-production of Hydro-met Services.......................................................................................... 60 5.3 Key Resources.............................................................................................................................63 Flood and Drought Risk Mitigation and Contingency Planning...........................65 6.1 River Basin Plans.........................................................................................................................68 6.2 Coastal Zone Management Plans.................................................................................................. 71 6.3 Urban Water Supply Plans............................................................................................................ 73 6.4 Irrigation Water Supply Plans...................................................................................................... 75 6.5 Key Resources............................................................................................................................. 77 Healthy Watersheds..................................................................................................................79 7.1 Agricultural Policies and Climate-Smart Agriculture Programs...................................................... 81 7.2 Forest Management.....................................................................................................................85 7.3 Wetlands Management.................................................................................................................88 7.4 Watershed Management.............................................................................................................. 90 7.5 Key Resources.............................................................................................................................94 Water Resources Infrastructure..........................................................................................95 8.1 WRI investment policies..............................................................................................................97 8.2 Dam Safety..................................................................................................................................99 8.3 Flood Control Infrastructure Safety............................................................................................ 102 8.4 Key Resources........................................................................................................................... 105 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● vii Water Allocation and Groundwater Management.................................................... 107 9.1 Adaptable Water Allocation........................................................................................................108 9.2 Conjunctive Groundwater Management.......................................................................................111 9.3 Key Resources........................................................................................................................... 114 Floodplain Management......................................................................................................115 10.1 Floodplain Mapping.................................................................................................................. 118 10.2 Floodplain Regulation............................................................................................................... 120 10.3 Flood Risk Mitigation Planning................................................................................................. 123 10.4 Key Resources.......................................................................................................................... 125 Drought Monitoring, Response, and Recovery.......................................................... 127 11.1 Drought Monitoring................................................................................................................... 128 11.2 WRM Drought Response............................................................................................................. 132 11.3 Agriculture Natural Hazard Response......................................................................................... 133 11.4 Social Protection Drought Response........................................................................................... 135 11.5 Key Resources........................................................................................................................... 137 Flood Monitoring, Response, and Recovery............................................................... 139 12.1 Flood Forecasting and Warning.................................................................................................. 141 12.2 Flood Emergency Preparedness, Response, and Relief................................................................ 143 12.3 Flood Disaster Recovery............................................................................................................. 147 12.4 Key Resources............................................................................................................................151 Disaster Risk Financing........................................................................................................ 153 13.1 Disaster Risk Financing Instruments.......................................................................................... 154 13.2 National Sector Framework and Key Agency Actions................................................................... 156 13.3 Key Resources...........................................................................................................................160 Summing Up.............................................................................................................................. 161 Appendix A: Primer on Floods and Droughts and their Socioeconomic Impacts.......................... 165 Bibliography................................................................................................................................................171 viii ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management List of Figures Figure 1.1 Hydro-Illogical and Disaster Risk Management Cycles...................................................................6 Figure 1.2 EPIC Response Framework............................................................................................................ 7 Figure 3.1 National Sector Frameworks within the Epic Response Framework............................................... 27 Figure 3.2 An Overview of the Public Policy Process....................................................................................30 Figure 3.3 Strategic Water Planning in the State of California...................................................................... 33 Figure 3.4 General Scope of the Philippines National Disaster Risk Reduction and Management Plan........... 35 Figure 3.5 Interlocking Laws related to Flood Risk Management in Japan.....................................................39 Figure 4.1 EPIC Response Framework and Whole-of-Society Approach.........................................................43 Figure 4.2 Local Government Authorities for Disaster Risk Reduction...........................................................45 Figure 4.3 Public Participation Spectrum....................................................................................................46 Figure 5.1 Hydro-met Services in the EPIC Response Framework.................................................................. 53 Figure 6.1 Planning in the EPIC Response Framework..................................................................................65 Figure 6.2 Overview of Plans for Hydro-Climatic Risk Management.............................................................. 67 Figure 7.1 Healthy Watersheds in the EPIC Response Framework ................................................................ 79 Figure 7.2 Global Land Use Distribution..................................................................................................... 80 Figure 8.1 Water Resource Infrastructure in the EPIC Response Framework.................................................95 Figure 9.1 Water Allocation and Groundwater Management Programs in the EPIC Response Framework..... 107 Figure 9.2 Key Elements of a Water Allocation System...............................................................................109 Figure 10.1 Floodplain Management in the EPIC Response Framework..........................................................115 Figure 10.2 Strategic Options for Floodplain Management............................................................................117 Figure 11.1 Drought Monitoring, Response, and Recovery in EPIC Response Framework............................... 127 Figure 12.1 Flood Monitoring, Response, and Recovery in the Epic Response Framework............................. 139 Figure 12.2 Key Elements of a Flood Monitoring, Response, and Recovery System........................................ 141 Figure 12.3 Flood Forecasting and Warning Linkages................................................................................... 142 Figure 13.1 Disaster Risk Financing in the Epic Response Framework.......................................................... 153 Figure 13.1.1 Cat DDO Projects by Region (2008-2020)................................................................................. 158 Figure 13.1.2 GFDRR’s Initial Support to COVID-19 response.......................................................................... 159 Figure 14.1 Summary of Agency Roles......................................................................................................... 162 Figure 14.2 The EPIC Response Framework................................................................................................. 163 Figure A.1 Köppen-Geiger Climate Classification........................................................................................ 165 Figure A.2 Global Climatic Impacts of El Niño (left- and La Niña (right)...................................................... 166 Figure A.3 Defining Water Security, Scarcity, Drought, and Related Concepts ............................................. 168 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● ix List of Boxes Box 1.1 Climate and Climate Zones................................................................................................................. 2 Box 1.2 Integrating Flood and Drought Risk Reduction (DRR) Measures...........................................................5 Box 1.3 Standing on the Shoulders of Giants: How the EPIC Response Framework Builds from Other Frameworks......................................................................................................................8 Box 2.1 Disaster Risk Management Concepts and Terminology...................................................................... 17 Box 3.1 National Adaptation Planning..........................................................................................................28 Box 3.2 National Frameworks Under Federal Systems....................................................................................29 Box 3.3 Tanzania’s Water Resources Law...................................................................................................... 32 Box 3.4 The Philippines DRM Law................................................................................................................. 35 Box 3.5 California: Interlocking WRM, DRM, and Drought Plans..................................................................... 41 Box 5.1 Hydro-met-Related Services in The Philippines.................................................................................56 Box 5.2 Economic Value of Hydro-met Services.............................................................................................58 Box 5.3 Co-production of Hydro-met Services in the Netherlands: An International Approach........................ 61 Box 6.1 Adaptation Economic Concepts........................................................................................................68 Box 6.2 Tanzania WRM Planning - Resilience in an Uncertain Future..............................................................69 Box 6.3 River Basin Management Planning in the Philippines........................................................................70 Box 6.4 California Urban and Agriculture Water Plans................................................................................... 74 Box 7.1 Environmental Sustainability in the European Union’s Common Agricultural Policy (CAP).................83 Box 7.2 Forest Management in the Philippines..............................................................................................86 Box 7.3 Principles of Landscape/Watershed Management............................................................................. 91 Box 7.4 California Resource Conservation Districts....................................................................................... 91 Box 8.1 Key Provisions in the U.S. 2007 Water Resources Development Act...................................................98 Box 8.2 WRM and Infrastructure in the Netherlands.................................................................................... 103 Box 9.1 Informal Water Tenure...................................................................................................................108 Box 9.2 Groundwater Management Act in California.....................................................................................113 Box 10.1 Room for the River Program in the Netherlands...............................................................................117 Box 10.2 Low Income Communities Living on Floodplains in the Philippines: the Pasig River Case.................121 Box 10.3 California Local Hazard Mitigation Plans........................................................................................ 123 Box 11.1 The Netherlands National Coordination Commission for Water Distribution..................................... 129 Box 11.2 Composite Drought Indicator Taking Root in Southern Africa.......................................................... 130 Box 11.3 Cautionary Tale...............................................................................................................................131 Box 12.1 California Flood Emergency Response............................................................................................ 144 Box 12.2 Philippines Recovery Program from Yolanda – the Tacloban Case.................................................... 148 Box 12.3 Tanzania’s first PDNA..................................................................................................................... 149 Box 13.1 Disaster Risk Financing in the Philippines...................................................................................... 154 Box 13.2 Africa Disaster Risk Financing (ADRF)............................................................................................ 157 Box 13.3 Cat-DDO – A World Bank Financing Instrument for Disasters as a Contributor towards Hydro-Climatic Risks Management................................................................................................. 158 Box A.1 Climate, weather, and their variations............................................................................................ 166 x ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management List of Tables Table 2.1 Detailed EPIC Response Framework................................................................................................. 14 Table 2.2 Generic Program Development Table................................................................................................ 15 Table 3.1 Generic Evolution of the WRM Sector Framework.............................................................................. 33 Table 3.2 Evolution of the DRM Framework......................................................................................................36 Table 3.3 Evolution of the DRM Sector Framework...........................................................................................38 Table 3.4 Evolution of the Overarching Flood Risk Management Framework.................................................... 40 Table 4.1 Common Inclusion Issues in EPIC Response Framework Programs Areas...........................................47 Table 5.1 The NMS Governance Generic Evolution: Legal Framework, Financing, and Management...................59 Table 5.2 Generic Evolution of Co-production of Hydro-met-related Services....................................................62 Table 6.1 Generic Evolution of River Basin Plans Incorporating Flood and Drought Risk Management............... 71 Table 6.2 Generic Evolution of Integrated Coastal Zone Management Plans Incorporating Flood Risk Management................................................................................................................... 73 Table 6.3 Generic Evolution of Urban Water Supply Plans Incorporating Drought Risk Management.................. 75 Table 6.4 Generic Evolution of Irrigation Water Supply Plans Incorporating Drought Risk Management............ 76 Table 7.1 Generic Evolution of Agricultural Policies and Programs...................................................................84 Table 7.2 General Forest Management Approaches..........................................................................................85 Table 7.3 Evolution of Forest Programs........................................................................................................... 87 Table 7.4 General Wetland Management Approaches.......................................................................................89 Table 7.5 Generic Evolution of Wetlands Programs......................................................................................... 90 Table 7.6 Generic Evolution of Watershed Management Programs....................................................................93 Table 8.1 Generic Evolution of WRI Investment Policies..................................................................................99 Table 8.2 Generic Evolution of Dam Safety Programs..................................................................................... 102 Table 8.3 Generic Evolution of Flood Infrastructure Safety Programs.............................................................104 Table 9.1 Generic Evolution of Water Allocation Programs..............................................................................111 Table 9.2 Generic Evolution of Conjunctive Groundwater Management........................................................... 114 Table 10.1 Generic Evolution of Floodplain Mapping....................................................................................... 120 Table 10.2 Generic Evolution of Floodplain Regulations.................................................................................. 122 Table 10.3 Generic Evolution of Local Flood Mitigation Plans.......................................................................... 124 Table 11.1 Generic Evolution of Drought Monitoring Programs.........................................................................131 Table 11.2 Generic Evolution of WRM Drought Response................................................................................. 133 Table 11.3 Generic Evolution of Agriculture Drought Response........................................................................ 135 Table 11.4 Generic Evolution of Social Protection Drought Response............................................................... 137 Table 12.1 Generic Evolution of Flood Forecasting and Warning Programs....................................................... 143 Table 12.2 Generic Evolution of Flood Emergency Preparedness, Response, and Relief Programs..................... 147 Table 12.3 Generic Evolution of Flood Disaster Recovery Programs.................................................................. 150 Table 13.1 General Applicability of Financing Instruments according to Disaster Type..................................... 155 Table 14.1 Generic Program Development Table.............................................................................................. 164 Table A.1 Flood Types and Description.......................................................................................................... 167 Table A.2 Estimates of Impacts from Floods, Droughts, and Storms during 2000-2019................................... 168 Table A.3 Growth Effect of a “Typical” (Median) Disaster............................................................................... 169 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● xi List of Terms, Acronyms and Abbreviations APFM Associated Program for Flood Management AWMP Agricultural Water Management Plan CDI Composite Drought Index CSA Climate-Smart Agriculture DMP Drought Monitoring Program DRM Disaster Risk Management EMS Emergency Management System ENSO El Niño-Southern Oscillation EOC Emergency Operations Centre GEF Global Environment Facility GIS Geographic Information Systems GTS Global Telecommunications System GwMO Groundwater Management Organization ICZM Integrated Coastal Zone Management IDMP Integrated Drought Management Programme IWRM Integrated Water Resources Management IWSP Irrigation Water Supply Plan NAP National Adaptation Plan NCA National Climate Assessment NDC Nationally Determined Contributions NHS National Hydrological Service NMS National Meteorological Service PES Payment for Environmental Services PDNA Post Disaster Needs Assessment RBO River Basin Organization UWSP Urban Water Supply Plan WaMO Watershed Management Organization WMO World Meteorological Organization WRI Water Resources Infrastructure WRM Water Resources Management WSCP Water Shortage Contingency Plan xii ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Droughts are often referred to as misery in slow motion. People gather to get water from a huge well in the village of Natwarghad in the western Indian state of Gujarat. Photo: REUTERS / Alamy Stock Photo 1 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 1 Introduction: Innovative Governance for Accelerating Hydro-Climatic Risks F loods and droughts take a staggering toll both in human through the same hydro-climatic management lens and suffering and in economic costs. Over the last decade, addressed together; and (3) national agencies managing key these natural disasters have killed tens of thousands of functions like disaster responses or water resources can no people around the world, affected the lives of billions, and longer work alone, exclusively pursuing their own independent caused damages of more than a trillion dollars (US). mandates, as they are interconnected and complementary to each other. Instead, agencies must coordinate and collaborate Moreover, the threats from floods and droughts are increasing through “joined-up” government aimed at presenting a unified because of climate change. Storms and rainfall events are face to the citizens they serve by operating as a single unit to becoming more extreme and deadly, while droughts are manage complex and interrelated problems. hotter and more intense. At the same time, more and more people are in harm’s way, as populations grow. This report presents a new framework for creating a more effective system of managing hydro-climatic risks, a system Yet the sobering truth is that the world’s governments are that has the potential to dramatically reduce the future human failing to cope with the increasing risks from extreme events and economic toll from these events. The five key elements that involve too much or too little water on a warming planet— of that new framework can be represented by the mnemonic what this report calls “extreme hydro-climatic events.” To cite term “EPIC Response,” and are described as follows: just one of many current limitations, droughts and floods are typically managed by agencies that rarely collaborate or even ■ Enabling environment of policies, laws, agencies, communicate. That siloed approach makes it much harder to strategic plans, participation, and information. exploit measures that can protect against both threats, such ■ Planning at multiple and nested geographical levels restoring upstream forests to soak up stormwater flows, to ensure that mitigation measures become higher thus reducing the threat of flooding, while also recharging priorities. groundwater and offering more life- and crop-saving water in times of drought. ■ Investing in healthy watersheds and water infrastructure to reduce hazards from both floods and droughts. A new approach thus is urgently needed to manage the large and growing risks associated with extreme hydro- ■ Controlling water use and floodplain development to climatic events. This report offers that new approach. It reduce exposure and to minimize vulnerabilities. sets out a vision of how national governments can deal with ■ Responding better to floods and droughts through more these challenges through innovative governance, offering a effective monitoring, response, and recovery. comprehensive path towards a safer, more prosperous future An EPIC Response also will require actions taken in eleven for the world’s 7.7 billion people. different program areas. This introductory chapter provides This introductory chapter describes the enormity of the an overview of those program areas—each organized as challenge and the three overarching governance principles single chapter in the report. Each sector agency responsible that will make it possible to meet that challenge: (1) engaging for program implementation will have its own critical all parts of society, from government agencies and universities programs that inevitably overlap or interact with those of to the private sector and individuals from marginalized other agencies; thus, interagency collaboration—and the communities in a “whole-of-society” approach, is crucial joined-up government that results—is vital for achieving to managing risks; (2) floods and droughts must be viewed more effective hydro-climatic risk management. 2 ● Chapter 1—Introduction: Innovative Governance for Accelerating Hydro-Climatic Risks This report is intended to bring awareness of this enormous climate system is complex and is influenced by inter-annual challenge and the potential solutions to a broad audience, (weather across multiple years) phenomena that affect global as well as offering a practical and detailed guide to help weather patterns. The most notable example is the El Niño- governments improve their flood and drought management Southern Oscillation (ENSO) in the Pacific Ocean, which systems. changes rainfall patterns and temperatures around the globe. Inter-annual variation can produce hydro-climatic extremes, 1.1 The Wicked Problem of where precipitation amounts and temperatures are vastly Hydro-climatic Extremes different from what would be expected in an average year, generating potentially dangerous floods and droughts. Every The wide world of hydro-climatic risks. Hydro-climatology climate zone has its own unique pattern of hydro-climatic is a rapidly evolving field that looks at the inseparable hazards, and it is important to remember that humid regions relationship between climate and hydrology.1 Driven by can suffer from major droughts and arid regions can suffer the sun, modulated by the Earth’s orbit, and influenced from floods. by geography, the climate varies around the world. With climate change, the patterns and severity of the hydro- Mediterranean climates enjoy dry summers and suffer through wet winters; tropical monsoon climates have long climatic extremes are also changing compared to the past hot dry periods which are suddenly interrupted with the record, bringing increasingly frequent and potentially torrential downpours of the monsoon; and desert climates devastating hazards, and requiring a new approach for have long periods of extreme dryness that are occasionally coping with those hazards, as this report describes. interrupted by brief but intense storms. The well-known There are many different types of hydro-climatic extremes Köppen climate classification system has identified more and an overview is provided in Annex 1. In the broadest sense, than 30 different climate zones around the world, each with a flood occurs when water unexpectedly pours over the land, distinct weather and vegetation characteristics. Box 1.1 potentially inundating homes, roads, and businesses, and provides more information on the concepts of climate and putting people and assets at risk. Rivers may spill over their climate zones. normal banks, for example, or seawater may surge into low- Each region has its average intra-annual (within a year) lying coastal areas during storms. Droughts are abnormally weather and hydrological patterns that ecosystems and dry periods, caused by some combination of low precipitation societies have adapted to over time. However, the Earth’s and high temperature, that may cripple crops or bring water Box 1.1 Climate and Climate Zones Climate is the average course of weather conditions for a given location and time of the year, over a period of many years. At the simplest level, the weather is what is happening to the atmosphere at any given time (temperature, humidity, wind, rainfall). Climate in a narrow sense is usually defined as the “average weather,” or more rigorously, as the statistical description in terms of the mean and variability of relevant quantities over a period of time (WMO 2020). Climate zones go beyond weather. Climatic zone classification is often based on rainfall, temperature, crop ecology, humidity, vegetative and geographic criteria or a combination of criteria. The most popular, the Köppen climate classification system, categorizes climate zones throughout the world based on local vegetation, assuming strong interlinkages between vegetation, weather, and hydrology.a For more information about the Köppen Climate Classification System, see National Geographic’s website at https://www.nationalgeographic.org/ a. encyclopedia/koppen-climate-classification-system/. Key issue: Climate zones are a powerful concept for understanding hydro-climatic risks because they are closely correlated with weather, watersheds, and water conditions. Each climate zone will have its own unique flood and drought hazards. Climate change and land degradation are modifying climate zones around the world. 1 Hydro-climatology was defined by Langbein (1967) as the “study of the influence of climate upon the waters of the land.” It includes hydrometeorology as well as the surface and near surface water processes of evaporation, runoff, groundwater recharge, and interception. The total hydrologic cycle, then, is the basis for a discussion of hydro-climatology. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 3 shortages. Floods are generally rapid onset hazards that Similarly, the rural poor are often those most severely emerge and disappear quickly. In contrast, droughts are affected by droughts. Many poor rural households rely upon typically slow onset hazards that develop gradually and last rain-fed agriculture or small livestock herds which can be longer. This general characterization, however, is not always devastated by severe droughts. Rural water supplies can run true: some river floods may take months to fully develop, dry. Droughts can also cause a deep and sustained drop in while short bursts of extreme dryness can cause localized the social capital of poor families, often affecting a family’s flash droughts that have devastating agricultural impacts. wealth and health for generations. For example, droughts Each region will have its own unique set of hydro-climatic have been shown to impair the health of children and reduce hazards that it must grapple with, and it will need to develop their educational attainment, helping to perpetuate a cycle its own fit-for-purpose governance systems to address these of poverty (Damania and others 2017). risks. The effects of droughts can extend far beyond the specific The beneficial and devastating impacts of floods and regions struck by the droughts, with cumulative impacts that droughts. Hydro-climatic extremes play important roles only become apparent over time. Often referred to as misery in shaping and sustaining the natural environment. Floods in slow motion, droughts can cause famines that trigger large- deposit rich silt on floodplains, creating fertile soil and scale migrations. In addition, droughts that cut crop yields in productive farmland. Droughts can create the conditions one region can lead to global shortages and soaring prices for needed for wildfires that reduce forest understory and that crop, causing economic pain and even food riots around rangeland brush, and that are required for seeds to germinate, the world. The full toll from drought may be much higher than stimulating new growth. But when floods and droughts occur the official figures, because drought monitoring and impact where people live and work, or where strategic assets are assessment systems are generally weak throughout the placed, natural hazards can be a source of harm—in other world, particularly in developing countries, most probably words, a natural hazard turns into a potential natural leading to a systematic underreporting of the economic and disaster. The overall risks posed by flood and drought hazards social impacts (Mapedza and others 2019). will depend not just on their magnitude and frequency, but It is important to add, however, that economic impacts of also on how many people and key assets are exposed to the hydro-climatic extreme events, especially floods, can be both hazards and on the vulnerability of the exposed populations negative and positive as these events ripple through society and assets. Chapter 2 provides more information on disaster and the economy, as a closer inspection of the economic risk management terminology. dynamics reveals (Damania and others 2017). Flooding From a global perspective, countries have generally not obviously can have devastating direct impacts, including managed their hydro-climatic risks well. Between 2000 and loss of life and property damage, and high indirect impacts, 2019, 1.65 billion people were adversely affected by floods such as those associated with lost productivity and impaired and 1.43 billion by droughts, wreaking social and economic public health. On the other hand, building back damaged havoc across the globe. Droughts and floods caused infrastructure after a flood can provide an economic stimulus. US$764 billion in recorded damages in the period 2000- In addition, heavy precipitation can raise agricultural yields 2019. Meanwhile, storms alone caused US$1,390 billion in and increase generation of hydro-electric power. One study damages, much of it from storm-related flooding (CRED and found that after a median flood event, a country’s gross UNDRR 2020). In addition to these direct costs, floods and domestic product (GDP) rises by around 1 percent. That very droughts can have a wide range of other damaging impacts, same study, however, found that after a median drought such as losses of ecosystem services, disruptions of global event, GDP decreases by -0.6 percent (Loayza 2009). supply chains, and increased incidences of disease and other Global warming is a game changer. A warming world resulting public health costs (He and others 2020). from increased concentrations of atmospheric greenhouse Moreover, poor and marginalized populations are often gases is a game changer on multiple fronts. Since the end of disproportionately affected by hydro-climatic extremes the last ice age, around 10,000 years ago, the Earth’s climate (Winsemius and others 2015). Poor people in cities are has been relatively stable, allowing agriculture to flourish and more likely to live in flood-prone areas that have lower land great civilizations to emerge. The global population surged values; in many developing countries, informal settlements from a few million at the end of the last ice age to 1.2 billion in on floodplains or on hillsides vulnerable to landslides offer 1850. Since 1850, emissions from industry and other human the only viable housing available to the poor. The urban activities have increased CO2 levels from about 280 ppm to poor also typically have fewer resources to recover from 417 ppm in 2021, with the global population approaching 8 floods and are unable to access formal flood relief programs. billion. The symbolically important milestone of doubling 4 ● Chapter 1—Introduction: Innovative Governance for Accelerating Hydro-Climatic Risks Floods occur rapidly and can have devasting impacts on the poor. Rizal, Philippines: Flood inpacts on a community in Rizal, Philippines. Photo: © Leakeem | Dreamstime.com pre-industrial 1850 CO2 levels to 560 ppm will most likely be also lead to tipping points in various Earth systems. For reached sometime in the second half of the 21st century. This example, the rapid release of methane gases from melting will put the Earth at CO2 levels not seen for 35 million years, permafrost or the collapse of the Antarctic ice sheet could the last time that Antarctica was ice-free (Brooke and others cause irreversible (in the geological near term) jumps in 2019). A recent study estimated that there is a 66 percent global temperatures or sea levels (Lenton and others 2020). chance that doubling pre-industrial CO2 levels (to 560 ppm) Climate change means that traditional hydro-climatic will increase global average temperatures between 2.6 and risk management no longer works. Under stable climate 3.9°C (Sherwood and others 2020). conditions, annual weather patterns in a specific region Increasing global temperatures will have dramatic, but are variable but statistically stable over time—a condition difficult to accurately forecast, impacts on regional climates. known as statistical stationarity. This means that if enough From a global perspective, higher temperatures enable the historical information is available, we could predict with a atmosphere to hold more water vapor while also increasing high degree of confidence the magnitude of a storm, flood, or evaporation from oceans and land surfaces, resulting in drought that would occur every 100 years on average. With a higher levels of precipitation. More evaporation over land changing climate, stationarity no longer holds, and the past will potentially increase aridity in some regions. Meanwhile, is no longer a guide to the future. This places a premium on higher temperatures will melt more ice stored in mountain being able to successfully cope with a wide range of potential glaciers and polar icecaps and cause seawater to expand, hydro-climatic extremes, an ability known as climate causing sea levels to rise. The global atmospheric and resilience. Strategies that increase climate resilience include oceanic circulation patterns will most likely be affected by preparing in advance for climate shocks, seeking robust a warming world, resulting in changing regional weather approaches that will work across a range of potential climate patterns. Finally, the rate of increase of greenhouse gas futures, and creating enough flexibility to make it possible emissions is uncertain and dependent on how quickly the to adjust quickly as we see which way the wind is blowing. world acts to reduce those emissions. Climate change may Those strategies will need to be ingrained into our DNA. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 5 As the world warms, the global map of climate zones will be A joined-up national government effort is needed to constantly changing. Watersheds throughout the planet also provide leadership. The report is targeted primarily at will change as the land adjusts to new conditions, resulting national governments, working through their sector agencies, in profound impacts on regions’ hydrology and their hydro- as they must provide the leadership to help coordinate a climatic extremes. There is evidence that these impacts are whole-of-society approach. It provides a framework that can already occurring. A survey of recent research concluded help inform decisions regarding laws, institutions, strategic that the tropics appear to be expanding at the rate of 50 plans, programs, regulations, and critical agency tasks. It kilometers per decade, that the Sahara Desert has grown highlights what needs to be done and by whom. The report by 10 percent since 1920, and that the permafrost line in uncovers many of the hidden connections between the Canada has retreated 80 miles north over the last 50 years. mandates and programs of different agencies and shows that a joined-up government approach will result in more effective hydro-climatic risk management. 1.2 Innovative Governance: Joined-up Government Leading a Whole-of- Looking at floods and droughts as flip sides of the same Society Approach climatic coin. The report is also about taking a step back and looking at floods and droughts together through the Responsibility for managing hydro-climatic risks needs to same lens, one that clearly sees the often under-appreciated be shared. Addressing the daunting challenges of flood and relationships between the two. Although floods and droughts drought management is a shared responsibility that requires are at the opposite ends of the hydro-climatic spectrum, it is a whole-of-society effort involving national governments, still the same spectrum. Consequently, the same principles, local governments, businesses, academia, farmers, schools, and many of the same actions, can be applied to reduce civil society, and households, including those marginalized. risks for both. As shown in Box 1.2, there is increasing This whole-of-society approach requires vertical integration understanding of the need to integrate flood and drought risk among different political jurisdictions: international, reduction actions. national, regional, and local. It also requires horizontal coordination among different sectors and groups. It is one Moreover, the same national agencies—WRM, DRM, hydro-met, of the most important and complex governance challenges agriculture, natural resources management, social protection, that the world faces in the 21st century, particularly with the finance, and others—need to respond to both floods and mounting threats posed by climate change. droughts. This year it may be a drought and next year it may Box 1.2 Integrating Flood and Drought Risk Reduction (DRR) Measures A recent article (Ward and others 2020) notes that most research on hydrological risks focuses either on flood risk or drought risk, while floods and droughts are actually two extremes of the same hydrological cycle. To better design disaster risk reduction (DRR) measures and strategies, it is important to consider interactions between these closely linked phenomena. The article provides examples of: (a) how flood or drought DRR measures can have (often unintended) positive or negative impacts on the risk of the opposite hazard; and (b) how flood or drought DRR measures can be negatively impacted by the opposite hazard. The article provides examples related to dikes and levees, dams, stormwater control and upstream measures, subsurface storage, migration, agricultural practices, and vulnerability and preparedness. Consider the example of levees that are primarily constructed for flood risk management along rivers. A levee may reduce groundwater recharge in floodplains, thus reducing the amount of groundwater available to neighboring communities during a drought. Conversely, heat and dryness during droughts may undermine the structural integrity of levees, making them more likely to collapse during flood events. Another example is the need to manage multi-purpose reservoirs in a manner that balances the need for flood control with water storage for drought mitigation. Key issue: The interlinkage between DRR measures shows that it is best to consider both flood and drought mitigation measures through a single river basin planning approach as highlighted in Chapter 6. 6 ● Chapter 1—Introduction: Innovative Governance for Accelerating Hydro-Climatic Risks FIGURE 1.1 Hydro-Illogical2 and Disaster Risk Management Cycles Flood or Preparedness Drought Prevention and DISASTER Apathy Hydro-Illogical Panic Mitigation Disaster Risk Cycle Management Cycle Reflex Rehabilitation Response and Response Recovery Source: World Bank; UN-SPIDER 2020. be a flood, potentially resulting in whiplash and ineffective The shortcomings of falling into the “hydro-illogical cycle” responses unless the agencies are prepared to deal with are well known, and a new paradigm has emerged which either floods or droughts at any given time. There is evidence focuses on proactive risk management as depicted on that climate change will intensify these “seesaw” events of the right side of Figure 1.1. This modern approach to risk alternating floods and droughts, resulting in feedbacks that management, which can be applied to any type of natural intensify the hazards (He and others 2020). An example of disaster, was most famously encapsulated in the Sendai this phenomenon is how a drought can reduce vegetation, Framework for Disaster Risk Reduction 2015-2030 which sometimes by provoking wildfires, which can then increase the stresses four principles: (1) understanding disaster risk; impacts of flooding in the subsequent season. (2) strengthening disaster risk governance to manage disaster risk; (3) investing in disaster reduction for resilience; and From a reactive to a proactive response. Historically, (4) enhancing disaster preparedness for effective response governments have reacted to hydro-climatic risks by and to “build back better.” responding to flood or drought emergencies without trying to address the underlying causes of how natural hazards turned Integrating government agency programs through an EPIC into human disasters. This has often led to what is referred Response Framework. The report builds upon general DRM to as the “hydro-illogical cycle” as depicted in the left side and WRM concepts and presents a comprehensive framework of Figure 1.1. During a flood or drought, there is typically a to help governments lead their societies in addressing flood flurry of activity as urgent response and relief measures are and drought risks. As described in the introduction to this undertaken—often independently by different government chapter, the term “EPIC Response” is a mnemonic device that agencies—such as dikes shored up, shelter provided, or highlights the overarching elements of an effective hydro- food distributed. Typically, reflexive government responses climatic risk management system as follows: to the public uproar are to rapidly approve new water ■ Enabling environment consisting of laws, agencies, infrastructure, such as reservoirs or river embankments, to strategic plans, participation, and information. commit to improve forecasting and early warning systems, ■ Planning at multiple and nested geographical levels and to promise to fund the recovery of flood-damaged assets to ensure that mitigation measures become higher and drought-savaged landscapes. And then, as the memory priorities. of the traumatic event fades over time, anxiety subsides and normal life resumes. The promised actions are forgotten as ■ Investing in watersheds and water infrastructure to more pressing issues dominate the political agenda. reduce the hazards from floods and droughts. 2 The term hydro-illogical cycle was originally used in Wilhite, D. (2002). An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 7 ■ Controlling surface and groundwater water use and are functioning well, a country should be well positioned floodplain development to reduce exposure and mini- to handle the risks when an extreme event strikes through mize vulnerability. effective early warning, response, and recovery programs. ■ Responding to floods and droughts through effective National government agencies need to work collaboratively in early warning, response, and recovery. a joined-up effort to implement an EPIC Response Framework. Each government agency will have its own sectoral programs, A central tenant of the EPIC Response Framework is that which inevitably overlap or interact with the responsibilities of there is a general downward cascading influence among the other agencies. This report defines a program as a continuous main elements, though there sometimes can be influences in set of activities undertaken by a national agency, authorized both directions. Without an enabling environment it is very through national legislation with well-defined objectives, and difficult to make progress in other elements of hydro-climatic funded by the national government. The general program areas risk management. Planning helps to prioritize investments for managing hydro-climatic risks are highlighted in Figure 1.2, to mitigate risks and provides a roadmap for managing the EPIC Response Framework (sometimes hereafter referred land and water resources. Managing land and water in turn to as the Framework). Box 1.3 describes how the Framework helps to reduce the exposure and vulnerability of people and corresponds with other frequently used frameworks in the assets at risk from floods and droughts. If the EPIC elements flood and drought community. FIGURE 1.2 The EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 8 ● Chapter 1—Introduction: Innovative Governance for Accelerating Hydro-Climatic Risks Box 1.3 Standing on the Shoulders of Giants: How the EPIC Response Framework Builds Upon Other Frameworks The World Meteorological Organization (WMO), with support from the Global Water Partnership, houses two programs that deal with hydro-climatic risk management—the Integrated Drought Management Programme (IDMP) and the Associated Programme on Flood Management (APFM).a The EPIC Response Framework is inspired by the APFM’s “Integrated Flood Risk Management Cascade” which emphasizes a downward cascading risk reduction impact through the following interventions: (1) reducing flood hazards with watershed interventions; (2) protecting against floods through infrastructure; (3) regulating land use; (4) preparing for floods; and (5) residual risk mitigation through emergency response and recovery. These interventions correlate closely with the investing (I), controlling (C), and responding (R) elements of the EPIC Response Framework. The IDMP framework revolves around the three pillars of drought management: (1) drought monitoring and early warning systems; (2) vulnerability and impact assessment; and (3) drought preparedness, mitigation, and response. Drought monitoring, impact assessment, and response fall mainly under the responding (R) element in the EPIC Response Framework. Drought preparedness and mitigation cover a broad range of activities which are included in the rest of the EPIC Response Framework. a. Information on the IDMP and APFM programs can be found at https://www.droughtmanagement.info/ and https://www.floodmanagement.info/. Key issue: The EPIC Response Framework combines existing flood and drought approaches into a unified framework that allows hydro-climatic risks to be synergistically managed and promotes collaboration between agencies. The Framework should be considered a system, with the Framework are provided. The reader is encouraged to read different program areas interacting and complementing this chapter in its entirety and then utilize the hyperlinks to each other in complex ways—with a general downward go to program areas of specific interest. Program descriptions cascading influence—and ultimately determining how well a are intended to inform non-experts with the objective of country can manage the social, economic, and environmental facilitating understanding of how the different programs impacts of floods and droughts. Some of the program areas areas fit together into an EPIC Response Framework for relate primarily to either floods or droughts, but many of hydro-climatic risk management. them address both ends of the hydro-climatic spectrum. Chapter 3: National Sectoral Frameworks. All the programs in the Framework are rooted in national laws which create 1.3 Report Structure the different sector agencies, authorize the programs, and provide the budgets for their implementation. The chapter The report chapters are structured around the eleven first examines the national sectoral frameworks for WRM and program areas in the Framework. A general summary of DRM. The overarching structure for drought and flood risk each program area is presented in the paragraphs below. management, which is composed of many different sectors, Specific individual programs are discussed in each chapter. is then presented. Institutional responsibilities will of course vary from country Chapter 4: Facilitating a Whole-of-Society Approach. to country, and thus the report uses a generic terminology National agencies need to provide leadership in hydro- for national agencies, specifically: WRM, DRM, hydro-met, climatic risk management, but ultimately the decisions agriculture, natural resources management, social protection, and actions of society will determine the effectiveness of and finance. Each of these agencies is responsible for the government efforts. This report argues that agencies need to implementation of its own set of programs, yet they must equally prioritize technical expertise with social engagement also work together collaboratively in a joined-up government through dedicated programs to promote stakeholder response to lead a whole-of-society approach. participation, social inclusion, communication, education, research, and ensuring public access to information. Chapter 2: Navigating the Report. This chapter provides a summary overview of the 43 programs that are presented in Chapter 5: Meteorological, Hydrological, and Climate the report. Key terminology and guidance on how to use the Services. These services are the fundamental prerequisite An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 9 for hydro-climatic risk management. The chapter looks at the WRM agencies to develop conjunctive groundwater manage- role of meteorological and hydrological agencies in providing ment programs. information for planning and management, water resources Chapter 10: Floodplain Management. As some degree of infrastructure design, and flood and drought monitoring. It flooding in river and coastal flood plains is inevitable, this highlights the changing role of national meteorological services chapter presents three programs that can help to manage from being sole providers of weather information to facilitators floodplain risks. These are national floodplain mapping, for leveraging the benefits of the global weather enterprise— regulating floodplain development, and local flood mitigation including international initiatives, the private sector, and planning. academia as well as the importance of co-production. Chapter 11: Drought Monitoring, Response, and Recov- Chapter 6: Flood and Drought Mitigation and Contingency ery. National governments need to establish multi-sectoral Planning. Water resources planning at the river basin level drought monitoring programs that can assess the evolution is a cornerstone of hydro-climatic risk management. Basin and risks of droughts as they develop over time. WRM agen- planning also provides the platform for basin-level flood and cies can oversee and help implement drought contingency drought contingency plans. Large water users, such as urban plans—including conservation and reallocation of water— water utilities or irrigation agencies, should also have their at the basin, city, and irrigation scheme levels. Agriculture own planning processes to improve water use efficiency as agencies should have programs ready to provide support well as to prepare for drought contingencies. These plans for farmers and livestock producers to help them respond need to be compatible with, and nested under, the overall and recover to droughts. Finally, social protection agencies basin plan. Coastal zone planning is also touched upon in the should have in place scalable programs to help the most vul- chapter, as it can help guide coastal floodplain management. nerable groups cope with droughts. The important issue of local flood mitigation planning is addressed in the floodplain management chapter. Chapter 12: Flood Monitoring, Response, and Recovery. Countries must also be prepared to respond to flooding. Chapter 7: Healthy Watersheds. This is the first line The starting point is a flood forecasting program which of defense in reducing hydro-climatic hazards. Forests, typically requires close interagency cooperation. Next is wetlands, floodplains, healthy rangeland and cropland, the implementation of a flood emergency preparedness and and coastal barriers all have important roles to play in response program that addresses such matters as evacuations mitigating flood and drought hazards. Sound agricultural and the provision of immediate relief. Then, countries need policies and climate-smart practices not only contribute multi-sectoral flood impact assessments to help inform relief to healthy watersheds but also improve the resilience and and recovery efforts in the aftermath of a flood emergency economic well-being of farmers. The chapter also discusses and to ensure that flood recovery programs help communities the importance of establishing local watershed management “build back better.” Finally, a post-flood assessment should organizations as well as engaging in periodic watershed be undertaken to document lessons learned and help prepare assessment and planning. the country for the next flood. Chapter 8: Water Resources Infrastructure. The role of Chapter 13: Disaster Risk Financing. The ability of a country infrastructure, such as dams and dikes, in reducing flood and to respond to and recover from hydro-climatic emergencies drought risks is well known and clearly understood by policy will depend upon its ability to manage the economic and fiscal makers. This chapter calls upon WRM agencies to develop impacts of natural disasters. A disaster risk financing strategy clear policies to guide infrastructure investments to ensure and related programs that match the country’s risk profile efficiency and sustainability. The chapter also highlights the and fiscal capacity should be developed. A multi-layered critical role of WRM agencies in dam and flood infrastructure approach should generally be pursued with the impacts of safety programs. frequent and low-intensity events, such as seasonal floods or droughts, being absorbed through a national disaster fund Chapter 9: Water Allocation and Groundwater Manage- or budget reallocations while instruments such as contingent ment: While water resources infrastructure can help store disaster loans or sovereign catastrophe (CAT) bonds may be water and convey it across long distances, WRM agencies used for less frequent but more severe events. The strategy also need to develop programs to allocate available water may also include actions to help create or strengthen natural supplies to promote equity and efficiency, as well as deal disaster insurance programs. with droughts. The chapter presents basic principles that should be incorporated into water allocation programs and Chapter 14: Moving Forward. This chapter summarizes stresses the need, as well as the complexities involved, for the roles of different national government agencies in 10 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Droughts exacerbate wildfire risks. Wildfire affecting a housing development in Santa Clarita, California. Photo: © Wirestock | Dreamstime.com implementing the EPIC Response Framework programs. It It views floods and drought through the lens of hydro- highlights the key areas in which different agencies must climatic risk management, helping to bring together two collaborate with each other to be effective. The chapter normally disparate communities. The report provides the presents recommendations for ensuring that the hydro- most comprehensive presentation of flood and drought climatic risk management system continuously evolves, programs that currently exists in the literature, drawing including constant program evaluation and periodic national upon more than 100 key references and four case studies. It strategic planning for water resources management, disaster hopefully provides new insights and inspiration for national risk management, and drought management. governments, international organizations, civil society, and the research community. 1.4 Report Audience and Purpose Assessment Framework. The report also provides an ideal framework for engaging in broad policy discussions in a The report can be used by a broad audience for a variety of structured manner. This approach was piloted in two of the purposes, including as a global knowledge product as well case studies, the Philippines and Tanzania, with encouraging as an assessment framework for flood and drought risk results. Each country-relevant program in the Framework can be systematically reviewed and categorized into one of the management. four levels of development: nascent, engaged, capable, and Global Knowledge Product. The report is intended to effective. Following this program-by-program assessment, serve as a global knowledge product for a wide audience. the full Framework can be considered in a holistic manner An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 11 and the gaps, constraints, and opportunities for advancing countries and their sectoral agencies. International a country’s hydro-climatic risk management system can be development organizations that support developing discussed in a systematic manner with a broad range of countries to enhance their climate resilience will also find stakeholders. the report useful. The report can help guide specific tasks including: Countries will obviously be at different levels in their capacities to manage flood and drought risks depending on ■ Informing a country’s national climate adaptation plan. many factors. Using the report as an assessment framework is ■ Structuring discussions for policy loans offered by intended to help structure analysis, generate policy options, multi-lateral development banks that focus on climate and hopefully allow countries to make progress. Certainly, resilience and disaster risk management. much more detailed analysis at the program level would be required to give country-specific guidance on the necessary ■ Providing a framework for national strategic plans, policy and institutional reforms. This is particularly true with particularly for water resources, disaster risk respect to issues related to agency budgets, capacities, and management, and drought management. management—which are often the key constraints to effective ■ Assisting in project appraisal by identifying connections program performance. This will be a never-ending process, outside a particular sector that can affect the particularly as the climate changes and countries evolve. performance of that project. Supporting International Development. The report should be of particular value to national governments in developing The different EPIC Response programs, implemented by a variety of agencies, interact together and ultimately determine the final social, economic, and environmental impacts caused by extreme hydro-climatic events. Aftermath of a flooding event in Lismore, Australia. Photo: Davidf 2 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 13 Navigating the Report 2.1 Overview all levels to prioritize risk mitigation measures; Invest in watersheds and water resources infrastructure; Control The EPIC Response Framework. This report presents water use and floodplain development to reduce exposure a new perspective aimed at supporting governments to and vulnerability; and Respond better to extreme events. The improve their hydro-climatic risk management systems. second level consists of eleven different program areas that This new perspective is operationalized through a practical correspond to the report chapters. The third level consists of and detailed framework, the EPIC Response Framework. the 43 individual programs that are presented in the report. The Framework identifies the main national government programs with roles in flood and drought risk management This chapter aims to help the reader navigate the extensive and describes how their interaction ultimately determines content of the report. The goal is to briefly summarize each of the final social, economic, and environment impacts. the programs presented as part of the Framework, and then allow the reader to hyperlink to the programs of interest. The report is structured around the EPIC Response The programs are presented in a general manner aimed at Framework as summarized in Table 2.1. There are three non-experts in a particular field—precisely to facilitate an levels to the Framework. The first level corresponds to the understanding of how the different programs synergistically five basic principles of the Framework: Enable a whole-of- interact. society effort to manage hydro-climatic risks with policies, laws, agencies, strategic plans, and information; Plan at But the key message of this report is that dealing with hydro-climatic risks is not an insurmountable challenge. The hope is that the EPIC Response framework will help government develop more effective responses to the growing risks of floods and droughts There are hyperlinks embedded in this chapter to help the reader navigate the report. The hyperlinks are identified by “orange” text. All the programs in Table 2.1 can also be accessed through a hyperlink. 14 ● Chapter 2—Navigating te Report TABLE 2.1 Detailed EPIC Response Framework Level 1 Level 2 Level 3 EPIC Response Principles Chapters/Program Areas Programs Water Resources Management Disaster Risk Management National Sectoral Frameworks Drought Risk Management Flood Risk Management Local Government Public Participation & Stakeholder Engagement Social Inclusion Whole-of-Society Approach Education & Risk Communication Enable Scientific Collaboration Open Data National Framework for NMS/NHS Services National Water Data Program Drought Monitoring and Impact Assessment Hydrological and Meteorological Services Flood Forecasting and Warning Agrometeorological Advisory Services National Climate Assessment Integrated River Basin Planning Coastal Zone Management Planning Flood and Drought Risk Mitigation and Plan Urban Water Supply Planning Contingency Planning Irrigation Water Supply Planning Local Flood Risk Mitigation Planning Agriculture Policies and Climate-Smart Agriculture Forest Management Healthy Watersheds Wetlands Management Local Watershed Management Organizations Invest Watershed Planning Water Resources Investment Policy Water Resources Infrastructure Dam Safety Flood Infrastructure Safety Flexible Water Allocation Water Allocation and Groundwater Management Conjunctive Groundwater Management Control Floodplain Mapping Floodplain Management Floodplain Regulation Local Flood Mitigation Planning Drought Monitoring Program WRM Drought Response Drought Monitoring, Response, and Recovery Agriculture Drought Response Social Protection Drought Response Flood Forecasting and Warning Respond Flood Emergency Preparedness, Response, and Flood Monitoring, Response, and Recovery Relief Flood Disaster Recovery Disaster Risk Financing Instruments Disaster Risk Financing Disaster Risk Financing National Sector Framework Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 15 The EPIC Response Framework emphasizes that the whole implement fully effective programs as presented in the hydro-climatic risk management system is more important report. Providing the key elements of a fully effective that its component parts, and that for the entire system to program, however, allows for a better appreciation of deliver optimal results, programs often need to feed into or gaps, constraints, and opportunities, which can then be receive support from another program in the Framework. As addressed in the context of specific countries. will be described in Section 2.3, the different programs in the ■ Linkage to sectoral frameworks. Each program in the Framework usually interact together in a general downward Framework is authorized through national legislation, cascading influence—although the influences are complex typically tied to a specific sector, such as WRM, DRM, and at times can move in both directions. hydro-met, agriculture, natural resources, social The programs contained in the Framework are considered protection, and finance. The premise is that a well- the most relevant for hydro-climatic risk management. There developed sectoral framework is necessary but not may be other important programs which are not included sufficient condition for an effective program. in the Framework. For example, the Framework programs are discu ssed in the context of a unitary state with a ■ Key agency actions. This section provides a list of national government and local governments to simplify the important functions that the responsible sector agency presentation and to focus on key principles. The important should undertake to ensure an effective program. Many but complex issues of transnational water management or countries have well-developed national legislation, but hydro-climatic risk management in a federal country are implementation may be lacking at the agency level. The not directly addressed. However, the general principles list is meant to be illustrative, but also serves as a guide embedded in the unitary government examples can be to help assess the status of program implementation. adapted for federal or transnational situations. ■ Generic program evolution. Recognizing that program Not all programs will be relevant for all countries—for development is an evolutionary process, four levels example, landlocked countries do not require integrated are described for each program, using the general coastal zone management programs. Finally, the agencies categories shown in Table 2.2.3 This table can be used to tasked with the implementation of a particular program help evaluate program status. will vary depending on each country. For example, the WRM ■ Key references. Given the breadth of the report, it is agency could be a ministry of water resources, a water not possible review each program in depth. Thus, resources department under another ministry, or a semi- each program includes references which provide more autonomous water resources management agency. Therefore, detailed information. this report uses the term “agency” in a generic sense, to refer to the institution responsible for the implementation of a Case Studies to Illustrate Program Evolution. The report program. presents four case studies—Tanzania, Philippines, the Netherlands, and the State of California—illustrating the Program Presentation. Most of the programs are presented status of programs at different stages in their evolution using the following five sections: to capture some key lessons learned in specific country ■ Program description. This is a general overview contexts. The case studies examine the status and evolution highlighting key elements of an effective program of each government’s hydro-climatic risk management based on global experience. Each program is presented system, using both a latitudinal (looking across cases) and in a stylized manner, generally representing global a longitudinal (looking at the evolution over time) approach. best practice. Most countries are currently not able to The report includes examples from the cases presented in TABLE 2.2 Generic Program Development Table Nascent Engaged Capable Effective No legal framework or formal Legal framework authorizes the Program is operational Legal framework has been program, ad hoc approach. program, but program not yet but still in early stages of refined based upon experience, operational. implementation. with mature program implementation. Source: Authors. 3 This terminology is based on the one used in ADB (Asian Development Bank) 2020. 16 ● Chapter 2—Navigating te Report boxes to illustrate specific programs and key lessons. The adjustments to the policies, laws, interagency collaboration, full background case studies are available as an internet programs, regulations, or funding to ensure continuous resource at the World Bank Water Practice webpage (https:// advancement. A national strategic plan does not necessarily www.worldbank.org/en/topic/water). mandate actions or make project-specific recommendations, but rather provides a roadmap for policy makers and agencies to make program adjustments and to appropriate 2.2 Key Terminology the necessary funds. This report is about national level governance to manage Policy is used in a broad sense to refer to important decisions hydro-climatic risks. The term “governance” is used in a taken by the government in the formulation of laws, agencies, broad sense to include important government actions. The national strategic plans, programs, regulations, and guidelines. following set of terms are used throughout the report to refer In some cases, there may also be standalone policy documents to important governance dimensions: (such as a water policy) which provide overarching sets of National sector framework refers to national level laws, principles and establish general plans of action. agencies, strategic plans, and policies pertaining to a specific The report also uses several terms utilized by the disaster sector. risk management community. These are summarized in Box Law is used to mean a set of laws, acts, or codes adopted by 2.1. the legislature (such as the national assembly or parliament) on a topic (such as WRM, DRM, or drought management). 2.3 Summary EPIC Response Programs It also refers to a decree or formal decision relating to a program adopted at a high executive level (for example, by A key insight of the EPIC Response Framework is that the the president) above the level of the agency responsible for different programs, implemented by a variety of agencies, that program. interact together and ultimately determine the final social, economic, and environmental impacts caused by extreme Agency is used in a generic sense to mean the government hydro-climatic events. The following paragraphs summarize or public entity that is responsible for the implementation the various programs and provide hyperlinks to the specific of a law or a program. Such an entity could be a ministry, program sections in the report. a department within a ministry, or a specialized agency or authority. For example, depending on the country, the WRM Chapter 3: National Sectoral Frameworks – National agency could be the ministry of water resources, a water sectoral frameworks are composed of laws, agencies, and resources department in another ministry (such as a ministry strategic plans that enable the various programs in the EPIC of natural resources) or a semi-autonomous water resources Response Framework to function effectively. Hydro-climatic management agency. risk management does not have a standalone national framework, rather it is a combination of different national Program is a continuous set of activities undertaken by a sector frameworks—hence the need for close collaboration national agency, authorized through national legislation among different sector agencies. This chapter first presents with well-defined objectives, and funded by the national the national sector frameworks for WRM and DRM, since the government. majority of the programs are linked to these two frameworks. Regulations and technical guidelines are issued by the The overarching structures for drought risk management responsible sector agency to help implement specific and flood risk management are then presented. The national programs. Regulations create legal rules that are legally sector frameworks for other relevant sector programs are binding while technical guidelines are not. Regulations discussed in the relevant chapters. and technical guidelines address technical issues such as WRM Sectoral Framework. The legal framework for WRM procedures, standards, and incentives. They may apply to is typically contained in a water resources law that stresses local or sub-national governments, businesses, or individuals, integrated water management. It typically applies both to and may, in certain circumstances, apply to national other surface and groundwater and addresses issues of water agencies. allocation, water quality, water-related environmental National strategic plan helps direct and coordinate sustainability, water pollution control, and of course flood the medium-term goals and objectives of a sector. The and drought risk management. The responsibility for the development of national strategic plans often follows the implementation of the law resides with the WRM agency, which process of reviewing sector performance and proposing might take many different forms (such as a ministry, a national An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 17 Box 2.1 Disaster Risk Management Concepts and Terminology The United Nations International Strategy for Disaster Reduction (UNISDR) uses the graphic below to indicate the three main elements contributing to disaster risk:a (1) hazard magnitude and frequency; (2) number of people or assets exposed to the hazard; and (3) the vulnerability of the people or assets exposed to the hazard. Some other key terms, as used in this report, are described below: Figure B1.2.1. Understanding Disaster Risk RISK HAZARD x EXPOSURE x VULNERABILITY Source: PreventionWeb. Mitigation and Disaster Risk Reduction: Mitigation encompasses activities that reduce or eliminate (or prevent) one or more of the three key disaster risk components: hazard, exposure, and vulnerability. The term disaster risk reduction (DRR) is sometimes used instead of mitigation. Once a hazard event takes place or is imminent, subsequent actions are considered response actions and are not called “mitigation.” Disaster mitigation is different than climate mitigation, which focuses on reducing greenhouse gas emissions. Residual Risk: This refers to the risk that remains after all mitigation measures have been implemented. The more effective and comprehensive the mitigation measures, the lower the residual risk. Disaster response and recovery need to deal with the residual risk. Preparedness: These are activities that build organizational resiliency and/or organizational capacity and capabilities for response to and recovery from hazard events. It includes activities that establish, exercise, refine, and maintain systems used for emergency response and recovery. Disaster Response: These activities directly address the hazard event, including actions taken in anticipation of an impending event (for example, storm, flood, and drought) and actions during and shortly after an event has occurred. Recovery: These activities help restore the community to normal after a major event, and hopefully enable the community to be better prepared for future hazards by “building back better.” As a recovery progresses, there is a gradual transition back to regular hazard mitigation activities. Disaster Impact: These are the final social, economic, and environmental impacts of a hazard event and are a product of the combined mitigation, response, and recovery activities. a. For more information about disaster risk management concepts and terminology, see PreventionWeb’s website at https://www.preventionweb. net/disaster-risk/risk/disaster-risk/. water resources committee, or an authority) depending on planning, water resources infrastructure, water allocation, and the country. Modern water resources laws typically provide groundwater management. for management at the level of river basins (or sub-basins) DRM Sectoral Framework. A DRM law is a fundamental part or individual aquifers, resulting in the creation of specific of an overall system of risk governance that includes different river basin, sub-basin, or aquifer management organizations, laws and local government mandates to address a wide together with stakeholder participation mechanisms. Modern spectrum of natural (and sometimes human-induced) hazards laws typically require the periodic formulation of National such as earthquakes, fires, storms, floods, and droughts. The Strategic WRM Plans that provide a roadmap for policy makers law typically confers specific powers on a specialized DRM and agencies to help advance integrated water resources agency that is usually under the direct supervision of the management. Many of the programs identified in the upper government at a high political level, such as the president or part of the EPIC Response Framework fall under the general prime minister, due to the need for inter-sectoral cooperation domain of water resources management, including river basin and rapid response during an emergency. DRM laws typically 18 ● Chapter 2—Navigating te Report require the periodic formulation of a National Strategic DRM able associates of national agencies in hydro-climatic risk Plan that lays out a roadmap for managing disaster risks management. For every program in the Framework, local gov- and is an ideal mechanism for helping to foster interagency ernments are key stakeholders, and for many programs, local collaboration and a holistic approach to disaster risk governments play a critical role in program implementation. management. Many of the programs identified in the lower part National agencies should work in partnership with local gov- of the EPIC Response Framework fall under the general, but not ernments, and as appropriate, assist them through capacity necessarily exclusive, domain of the DRM sector framework, development, technical assistance, or grant funding. National including floodplain management; flood monitoring, response, agencies can also support legal and regulatory reforms that and recovery; and disaster risk financing. devolve an appropriate level of authority and responsibility to local governments. Drought Overarching Framework. In most cases, existing laws define some of the roles and responsibilities of sector Public Participation. The aim is to encourage the public and agencies relating to drought management, particularly for stakeholders to have meaningful input not only on program WRM, DRM, hydro-met and agriculture agencies. A drought legal design and implementation (such as participation in river overarching structure, however, goes beyond the sector specific basin planning or social protection programs), but also in laws and seeks to coordinate and synergize the efforts of several the overall public policy process to monitor, evaluate, and different entities. A law, decree, or decision should typically: (a) improve the performance of the program. Agencies should set out a general policy on drought risk management, with an have dedicated public outreach staff who should work closely overall strategy of moving from crisis management to proactive with technical staff to ensure meaningful participation. drought risk management; (b) establish an interagency “Drought Committee” specifying its functions, membership, and Social Inclusion. Socially excluded individuals or groups— secretariat; and (c) require the preparation and periodic revision which could consist of women, ethnic or religious minorities, of a National Drought Strategic Plan. Within the framework of the poor, the elderly, people with disabilities, or other the Drought Committee, it will also be important to include groups—are typically the most vulnerable to hydro-climatic local governments, particularly those relating to affected areas, risks. Agencies need to have dedicated social units that are as well as other stakeholder groups, such as water utilities, trained and that preferably consist of staff from marginalized farmers, and industry. groups to help ensure social inclusion. Agencies should also have structured processes for ensuring social inclusion, Flood Overarching Framework. In most cases, the combina- including undertaking steps to identify and understand who tion of WRM and DRM sectoral frameworks—if properly synchro- these individuals and groups are, and then targeting efforts nized—should address most issues related to flood risk manage- to ensure that these individuals or groups can benefit from ment. The WRM agency typically focuses more on reducing flood hydro-climatic risk management programs. hazards, while the DRM agency concentrates on reducing flood exposure and vulnerability, as well as responding to floods. Education and Risk Communication. Ensuring broad However, some more advanced countries have also found it understanding of flood and drought risks at all levels of society useful to adopt additional flood management specific laws or helps people to make better informed decisions to enhance national policies to help bind the WRM and DRM frameworks their climate resilience. That, in turn, helps ensure public more closely together. To achieve synergy between WRM and safety, protect livelihoods, and safeguard assets. Agencies DRM agencies, it is important that they work together on almost should have dedicated programs to promote education among all dimensions of flood risk management, including preparation the general public, along with targeted campaigns to provide of national strategic WRM and DRM plans. flood and drought risk information to relevant stakeholders. Scientific Collaboration. In addition to collaborating across Chapter 4: Whole-of-Society – Programs to reduce national agencies, governments also need to collaborate flood and drought risks are most effective when they represent with the scientific community, tapping into both scientific the needs of all of society. National sector agencies should organizations and private sector technical expertise. The strive to develop an organizational culture that puts social goal should be to have both science-informed policy and expertise on an equal footing with technical knowledge and policy-informed science. There is also a need for more ensures that agencies are able to work with and respond to integrative and transdisciplinary hydro-climatic research the needs of society. A whole-of-society approach will have a that can feed into the policy-making process. Agencies cascading influence, helping to better design and implement should have a reserved budget for collaboration with the all programs in the EPIC Response Framework. scientific community, including undertaking joint research Local Governments. Local governments are the indispens- projects when appropriate. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 19 Open Information. Information that governments produce, National Water Data Program. The NHS usually does not collect, or pay for acts as the currency for hydro-climatic risk have a monopoly on water data as surface water, groundwater, management. Examples include geographical information, and water quality data are often collected and stored by data collected from remote sensing and monitoring networks, different national agencies. The NHS should ensure that all or reports from publicly funded research projects. Access to high-quality water data are freely available and accessible this information will help agencies perform their tasks and to all users, ideally through a single water data platform. collaborate with each other, enhance scientific research, and Such data will produce value for every program in the EPIC enable citizens to better engage in the public policy process. Response Framework. National governments can adopt legislation that requires open Co-production of Drought Monitoring and Impact access to public information, and agencies should develop Assessment Services. The NMS/NHS should play a pivotal regulations to ensure the most appropriate manner of making role in drought monitoring and impact assessment as part of their information available to serve the public interest. its collaborations with the NMS/NHS, WRM, Agriculture, and DRM agencies. The subject of drought monitoring is covered Chapter 5: Hydrological and Meteorological in detailed in Chapter 11. (Hydro-Met) Services – Information related to weather, Co-production of Flood Forecast and Warning Services. In water, and climate is fundamental to managing hydro-climatic a similar manner, the NMS/NHS has a critical role to play in risks. Hydro-met-related programs sit near the top of the EPIC flood forecasting and warning as part of its collaborations Response Framework as hydro-met information provides with the NMS/NHS, WRM, and DRM agencies. The subject the foundation for all forms of water-related planning, water of flood forecasting and warning is covered in detailed in infrastructure design and operation, and water management. Chapter 12. Hydro-met information helps to delineate floodplains to better enable floodplain management. Monitoring and forecasting Co-production of Agrometeorological Advisory Services. of floods drive emergency management responses. Drought Farmers are particularly affected by weather fluctuations forecasting enables drought managers to zero in on potentially and extreme events. The NMS/NHS can team up with the affected areas to better assess impacts and identify vulnerable agriculture agency to provide weather and seasonal forecasts populations. Hydro-met information also serves to inform flood in a manner that is accessible and actionable by farmers. and drought recovery programs, including the structuring of Co-production of the National Climate Assessment (NCA). insurance programs and other disaster risk financing programs. The NMS/NHS typically plays a key role in periodically The quality of hydro-met services is of such critical importance producing a NCA, which provides an overview of existing and to a country’s hydro-climatic risk management that it should potential future climate scenarios and their social, economic, be featured front and center in each of the strategic plans and environmental impacts. This assessment helps guide discussed in Chapter 3: WRM, DRM, and Drought. adaptation actions across multiple sectors and reduce hydro- In some countries, the national meteorological service (NMS) climatic risks. and the national hydrological service (NHS) are combined, and in other countries they operate as separate agencies; Chapter 6: Flood and Drought Risk Mitigation and this report therefore adopts the convention “NMS/NHS” to Contingency Planning – Flood and drought planning account for both possibilities. establish a roadmap for many of the other programs in the lower parts of the EPIC Response Framework. Planning can National Framework for NMS/NHS. The legal framework guide investments in healthy watersheds and water resourc- for NMS/NHS should ensure that the agency can serve as a es infrastructure and help set parameters for water resources facilitator, as opposed to a monopoly provider, of weather, management and floodplain management programs. Final- water, and climate services. The NMS/NHS needs to tap into ly, contingency planning provides a basis for responding to the global “Weather Enterprise,”4 a broader network of global flood and drought events at multiple levels. and regional centers, the weather industry, other specialized agencies, and research organizations, to deliver the best This chapter highlights several important relationships in possible services for the country. If the NMS and NHS are the planning process. First, planning for flood or drought separate agencies, the legal framework also needs to ensure mitigation takes place within a broader planning process, that the two agencies can collaborate in a seamless manner. such as a river basin plan, an urban water utility plan, or an 4 For more information on the weather enterprise, see the following: Thorpe, Alan, and David Rogers. 2018. “The Future of the Global Weather Enterprise: Opportunities and Risks.” Bulletin of the American Meteorological Society 99 (10). https://doi.org/10.1175/BAMS-D-17-0194.1. 20 ● Chapter 2—Navigating te Report irrigation scheme plan. Second, the plans should be connected can help facilitate this process by developing regulations or at different scales to ensure compatibility; for example, the technical guidelines, providing technical assistance, and in river basin plan needs to be synchronized with the plans some cases, offering financial assistance to water utilities. of the water utilities and the irrigation service providers. Irrigation Water Supply Planning. Like water utilities and Third, planning will help to define potential scenarios for as part of their overall planning process, irrigation service contingency planning and thus the two are closely linked. providers need to develop both structural and non-structural Fourth, like national strategic planning discussed in Chapter approaches to drought mitigation, such as developing new 3, the plans should be periodically updated. supplies, reducing system losses, and promoting climate- Finally, it is important to explicitly integrate climate change, smart agriculture. Of particular importance is the need to and its inherent uncertainties, into the various plans. measure and control canal flows, as well as to monitor and Planning for climate change requires a shift from what are control groundwater use. The irrigation service providers usually traditional planning approaches that drive towards also need to develop drought contingency plans, so that when one outcome, towards an adaptive approach that considers water supplies become scarce, they are ready to respond. multiple possible outcomes and allows for the exploration WRM or agriculture agencies can help facilitate this process of the robustness and flexibility of various decisions across by developing regulations or technical guidelines, providing those multiple futures. The chapter presents five types of technical assistance, and in some cases, providing financial plans as summarized below. The relative importance of the assistance to water utilities. plans will depend upon the context of the country. Local Flood Risk Mitigation Planning. As part of their Integrated River Basin Planning. This is a broad water overall land use planning process, local governments need to resources management plan that addresses many different develop plans to help reduce their flood risks, including both topics in an integrated manner, including both flood and structural and non-structural measures. These flood risks can drought risk management. The plan identifies both structural come from overflowing rivers or coastal storm surges and and non-structural approaches to reducing hydro-climatic thus local flood risk mitigation plans are closely linked to risks. As part of a river basin plan, or in parallel to the the broader river basin plans and coastal zone management plan, basin flood and drought contingency plans should be plans. (Stormwater drainage is considered outside the scope developed to help prepare for and respond to a variety of of this report.) The DRM agency, with support from the WRM extreme hydro-climatic scenarios. The WRM agency has agency, plays an important role in helping local governments important role to play in either leading or facilitating the mitigate flood risks. Local flood risk mitigation plans are basin planning process. discussed in detail in Chapter 10: Floodplain Management. Coastal Zone Management Planning. This is a broad environmental and land use plan that promotes the Chapter 7: Healthy Watersheds – Healthy watersheds sustainable management of fragile coastal areas and are the first physical line of defense in the EPIC Response addresses many different topics in an integrated manner. Due Framework because they can help to reduce flood and drought to the coastal flood risks associated with storm surges, rising hazards through natural processes. These “nature-based sea levels, and more severe storms due to global warming, solutions” in turn can help reduce the demands on water flood risk management should be an important element of resources infrastructure by providing eco-based services that any coastal zone management plan. Typically, but not always, reduce flood peaks, increase base flows, and improve water an environment or natural resources agency plays a leading quality (UNESCO 2018). Healthy watersheds not only help role in facilitating coastal zone planning. reduce hydro-climatic hazards, but they often also generate many other benefits, such as improved livelihoods, greater Urban Water Supply Planning. As part of their overall biodiversity, and broader ecosystem services. master planning process, urban water utilities should develop both structural and non-structural approaches On a global basis, agriculture and forests account for most to drought mitigation, such as developing new supplies, of the habitable land use; even shrub land is often used for reducing leakage, and promoting water conservation. marginal livestock grazing activities. The ways we manage They also need to develop drought contingency plans in forests and wetlands and practice agriculture determine in collaboration with local governments, so that when water large measure the health of watersheds. Land degradation supplies become scare, they are ready to respond. The water is a global challenge that affects everyone through food utility drought contingency plans should be consistent with insecurity, higher food prices, climate change, increased the overall basin drought contingency plan. WRM agencies hydro-climatic hazards, and the loss of biodiversity and An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 21 ecosystem services. Globally, about 25 percent of the Local Watershed Management Organizations. In large total land area has been degraded, and this percentage is measure, all the programs highlighted in this chapter rely increasing at an alarming rate. This chapter focuses on the upon active community engagement. Communities are role that agriculture and natural resources agencies play in typically most knowledgable about their local challenges and ensuring healthy watersheds and reducing hydro-climatic sustainable approaches. Agriculture and natural resources risks. Natural resources agency is a general term, and can agencies should thus help create and sustain local watershed include environmental agencies, forest agencies, and others, management organizations that work in partnership in the depending upon a country’s institutional context. implementation of the various programs. Agriculture Policies and Climate-Smart Agriculture. Watershed Planning. Natural resources agencies, working Agricultural subsidy policies have profound impacts on land in close collaboration with other agencies and a broad group and water use, and can reduce sustainability. For example, of stakeholders, should periodically prepare an overall subsidized irrigation water pricing may result in overuse of assessment and strategic plan for improving watershed health. water in agriculture, and price supports for certain crops may This includes examining overall watershed quality and the encourage farmers to overproduce crops ill-suited for a given performance of various natural resources management and hydro-ecological zone. Governments thus need to adopt agricultural programs in that specific watershed. The watershed agricultural policies that promote not only food security and management planning should be closely linked and serve as nutrition, but also environmental stewardship. Agriculture input into the river basin plans highlighted in Chapter 5. agencies should also administer programs that help farmers adopt climate-smart practices that reduce soil erosion, Chapter 8: Water Resources Infrastructure – Water increase soil water retention, increase climate resilience, resources infrastructure (WRI) broadly refers to assets such and reduce greenhouse gas emissions. These programs can as dams and their reservoirs, regional bulk water systems, provide technical assistance and, in some cases, financial flood control structures along rivers and coasts, and regional incentives. Crop and rangeland management is particularly drainage channels and floodways. In broad terms, it is the important in arid or mountainous regions, which are more infrastructure that the WRM agency normally operates or susceptible to land degradation. regulates. This infrastructure is used to help control blue water Forest Management. In many countries, the upper flows through the watershed and is an important tool in the elevations of a watershed are covered by forests. Such arsenal to reduce hydro-climatic hazards.5 Chapter 6 reviewed forests play a critical role in reducing downstream peak flood how river basin planning can help define the investment needs discharges and sediment flows. Forests along rivers and for WRI. Investing in green infrastructure through healthy coastlines also provide important lines of protection against watersheds and nature-based solutions is an important floods. Managing these forests in a sustainable manner is, complement to traditional gray infrastructure—resulting in in many countries, a critical flood risk management activity. integrated green-gray approaches. The natural resources agency must fashion fit-for-purpose Hydrological processes are dictated by the weather and programs that balance competing interests, such as forest watersheds. WRI can only temper—and not fully control— conservation and the needs of local communities and timber hydro-climatic hazards. Degraded watersheds can quickly harvesters. overwhelm WRI functionality, for example by increasing sedimentation in reservoirs or reducing base flows. This Wetlands Management. Wetlands also play an important underscores the importance of WRM agencies working with role in both flood and drought management. In periods of natural resources management and agriculture agencies to high rainfall, wetlands soak up water that could otherwise prioritize healthy watersheds. cause floods elsewhere. They also store water and provide it to aquifers or streams to help reduce drought hazards. Chapter 8 examines two key elements related to WRI. The Protecting these wetlands from agricultural or urban first is the idea that WRI investment policy can promote— development is typically a core mandate for the natural or distort—good decisions on infrastructure. The second is resources agency, which can use a variety of instruments the important issue of infrastructure safety. WRI can be a such as permitting requirements or working with local dual-edged sword. When it works well, it can reduce flood governments and communities. and drought hazards. But it can also fail, increasing those 5 This report does not address water infrastructure used to directly delivery water services, such as water supply and sanitation or irrigation and drainage. WRI helps provides the general enabling conditions for this class of infrastructure. Infrastructure needs for water service providers should be defined through the planning processes described in Chapter 5. 22 ● Chapter 2—Navigating te Report hazards. For example, the collapse of a dam constructed to manage drought risks by drawing upon programs for flexible reduce flood hazards and store water for use in dry seasons water allocations and conjunctive groundwater management. can result in immediate catastrophic flood damages and These programs are closely linked to drought monitoring, increase drought risks. response, and recovery as discussed in Chapter 11. However, these programs must be in place and functioning smoothly WRI Investment Policy. Historically, WRI has generally prior to the onset of a drought. been considered a public good with costs borne almost entirely by national governments. This often distorts Flexible Water Allocation. WRM agencies should manage investment decisions, resulting in overinvestment and water allocations to ensure that water is not overallocated undermaintenance. Thus, WRM agencies should strive to and there is enough slack in the system to help mitigate improve their economic analysis, allocate a higher percentage drought impacts. When a drought does strike, there should of costs to users, and ensure appropriate cost-sharing by be a formal system for adaptable water allocations whereby local governments. National government support for WRI water can be transferred from lower value users to higher investment can also be used as an incentive to encourage value users, for example through administrative decisions, non-structural measures to reduce risks, such as improved negotiated settlements, or water markets. land management and water conservation. Conjunctive Groundwater Management. This program Dam Safety. Unsafe dams can increase flood and drought involves balancing surface and groundwater use, including risks. These dams are often owned and operated by a wide managed groundwater recharge where possible, and ensuring range of entities, including WRM agencies, local governments, that groundwater is available as a strategic reserve to help other sector agencies such as agriculture and energy, water meet demand during droughts. Where groundwater aquifers utilities, and the private sector for hydropower. Thus, WRM exist, they provide an ideal water storage option. Too often, agencies need to ensure comprehensive national programs however, aquifers are overexploited, resulting in unsustainable in which WRI owners are responsible for WRI safety and yields and diminishing their effectiveness as strategic sources in which WRM agencies ensure compliance. Dam safety of water during droughts. WRM agencies should take the programs are particularly important in the face of climate lead, working in close collaboration with communities, in change and evolving safety criteria. developing sustainable groundwater management programs. Flood Infrastructure Safety. Non-dam flood infrastructures such as levees, dikes, flood control gates, and pump stations Chapter 10: Floodplain Management – River and all play important roles in reducing flood hazards. As in the coastal floodplains are often convenient places for the case of dams, however, the failure of a critical component establishment of cities, farms, and industrial sites. Easily of flood control infrastructure can increase risks. Flood accessible waterways facilitate commerce, rich river control infrastructure is also typically owned by a wide range floodplain soils increase agricultural production, and rivers of entities, including local governments, different national offer readily available sources of freshwater. The challenge is agencies, and the private sector. WRM agencies need to that floodplains are also prone to inundation, putting people ensure comprehensive programs for flood safety. and assets at risk. Floodplains are influenced by healthy watersheds and WRI, both Chapter 9: Water Allocation and Groundwater of which can help reduce flood hazards and shape floodplain Management – This chapter focuses on two key programs physical characteristics. This chapter focuses on floodplain management, allowing people to live in harmony with river and for reducing drought risk: adaptable water allocations and coastal floods, and making room for the river and the sea while conjunctive groundwater management. These programs are also reaping the benefits of living close to water. influenced by the state of the watersheds as well as by the stock of water resources infrastructure. Healthy watersheds There are four broad strategic options for managing floodplains. can help store water in soils, aquifers, and wetlands, thereby These options are “protect, accommodate, retreat, and avoid.” increasing base flows during dry periods. In a similar manner, “Protect” implies the use of WRI, such as river embankments WRI such as multi-purpose reservoirs can help store water. and sea dikes. “Accommodate” refers to the practice of reducing Regional water conveyance systems serve to redistribute water the vulnerability of structures and facilities, such as by raising supplies to help address variabilities in local water supplies. building elevations. “Retreat” involves removing assets at risk, There are, however, limits on the extent to which WRI can for example by removing structures that are repeatedly flooded. store and redistribute water. When periods of extreme dryness Finally, “Avoid” means not putting assets in floodplains in the occur, the WRM agency can play a pivotal role in helping to first place. Floodplain management is the science and art of us- An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 23 ing these strategic options in an appropriate manner given the In some cases, the DRM agency may be legally mandated to specific circumstances of a river or coastal area. oversee local government flood mitigation plans. Since many floodplains were inappropriately developed before the risks of flooding were fully understood and before Chapter 11: Drought Monitoring, Response, and climate change increased the risks in some areas, floodplain Recovery – Droughts are an inevitable part of the hydro- management is typically a long-term and continuous process climatic cycle and the goal of proactive management is to of constantly reducing exposure and vulnerability over time. prepare for a drought, monitor the drought as it evolves, and In most cases, it offers an economical and resilient option then help reduce the impact of the drought on people, the that is a core pillar for reducing flood risks. economy, and the environment. Actions taken to promote healthy watersheds, develop water resources infrastructure, Floodplain Mapping. In order to properly manage river and and manage water better should contribute to reducing drought coastal floodplains, the hazards should be well understood risks. This chapter focuses on programs to monitor, respond to, and communicated to local governments and the public. This and recover from droughts to further reduce impacts. is an enormously complex and continuous process that the DRM or WRM agency typically manages due to the technical The distinguishing characteristic of a drought as a hazard is challenges involved. It cannot be done quickly and needs to that it typically evolves over time, in some cases years, with be constantly updated as flood hazards change over time due each drought event being unique in terms of its geographical to climate change, watershed development, and new water scope and social, economic, and environmental impacts. resources infrastructure. Droughts are driven by meteorological conditions that produce an abnormally high level of dryness in comparison Floodplain Regulation. Floodplain regulation helps to to some “normal” level for that specific region. This period reduce the exposure and vulnerability of people and of dryness can impact agriculture by reducing soil moisture, assets and has two dimensions: (1) a permitting process to thereby putting stress on plants and reducing their authorize development and activities; and (2) standards and productivity. As the dryness persists, it can have hydrological codes to reduce the vulnerability of buildings and facilities. and eventually ecological impacts, reducing the amount of Land use management is generally a local government water available for cities, irrigated agriculture, industry, and responsibility, and local governments should have their own the environment. specific floodplain management units. Some countries have even created multi-jurisdictional floodplain authorities to Chapter 3 highlighted the importance of having a national manage entire river or coastal stretches. The DRM agency framework for drought management, consisting primarily of a has an important role to play in helping local governments permanent, multi-sectoral Drought Committee and a periodical- by defining permitting guidelines and developing uniform ly updated National Strategic Drought Plan. The National Stra- standards. In some cases, the DRM agency may be legally tegic Drought Plan helps ensure a clear definition of institution- mandated to oversee the implementation of local government al responsibilities and procedures for responding to droughts. floodplain regulations. Nevertheless, since each drought unfolds in its own unique manner, the Drought Committee needs to be proactive and flex- Local Food Mitigation Planning. River basin and coastal ible to tailor the response appropriately. After every significant management planning are the tools generally used to drought event, the Drought Committee should undertake a Post- reduce overall flood hazards at the regional level with a Drought Assessment. The assessment report should look the evo- focus on watershed health and large-scale water resources lution, responses, and impacts associated with the drought and infrastructure. Local flood mitigation planning plays an distill lessons learned. This will help inform the next iteration of important complementary role to basin planning, and may the National Drought Strategic Plan, as well as the specialized often be part of a broader multi-hazard local government programs supporting drought risk management. mitigation plan that includes other potential threats, such as earthquakes, landslides, and fires. Local flood mitigation Drought Monitoring Program (DMP). This program should plans go beyond regulation to proactively manage risks by ideally be multi-sectoral but anchored in a specialized agency identifying priority actions, such as refining land use plans and (such as the NHS/NMS or WRM agencies). The program regulations, identifying infrastructure projects, conserving should be constantly providing drought assessments to the and restoring natural systems, and implementing educational Drought Committee, local governments, and the public on and awareness programs. The DRM agency has an important drought status throughout the country. As a drought emerges role in providing guidelines and technical assistance to local and evolves, the Drought Committee should mobilize a governments in the formulation of flood mitigation plans. standing or ad hoc Impact Assessment Group (IAG) with 24 ● Chapter 2—Navigating te Report the membership and scope adjusted to the circumstances Chapter 12: Flood Monitoring, Response and in a specific region. These IAGs should be composed of Recovery – Like droughts, floods are an inevitable part of the representatives from specialized national agencies, local hydro-climatic cycle, and the goal of proactive management is governments, the private sector, civil society, and others as to prepare for floods, forecast and monitor them, and respond appropriate, and provide publicly available situation reports. effectively through emergency action and immediate relief The DMP should classify and report on the level of drought for affected communities. Recovering from floods by building for specific regions of the country. The designations often back better and smarter is the final step in the process of range from 1 to 5, from a low level (1) of “abnormally dry” minimizing the social, environmental, and economic impacts. to the highest level (5) of “an exceptional drought”. The Flooding is a natural phenomenon that brings important designation of a drought level is important because it should ecosystem benefits. The delicate balancing act is maintaining help communicate the relative severity of the drought to these benefits while also minimizing the impact of floods on different parts of the country and trigger actions identified in people and the economy. Actions taken to promote healthy the National Drought Plan. watersheds, develop water resources infrastructure, and WRM Drought Response. Chapter 6 highlighted the manage floodplains all contribute to reducing flood risks. importance of having drought contingency plans at the This chapter focuses on programs to monitor, respond to, and basin, city, and irrigation scheme levels. As different levels recover from floods to further reduce the overall risk. of drought are declared, this should help trigger actions There are many different types of floods and each flood event outlined in specific river basin plans, urban water supply has its own unique characteristics in terms of geographical plans, and irrigation water supply plans. In some cases, it scope, duration, and physical characteristics. Chapter 12 focus- may be necessary to truck in or provide bottled drinking water es primarily on river and coastal flooding, although many of the for communities that are suffering severe water shortages. same principles apply to other types of floods. In contrast to The WRM agency should help support, monitor, and report droughts, floods are relatively short-duration hazards, generally on the implementation of these plans as part of its overall lasting from days to weeks with immediate and often devasting responsibility within the Drought Plan and membership in impacts—making emergency response and relief of paramount the Drought Committee. concern. Floods are often, but not always, driven by other mete- Agriculture Drought Response. Rural populations depend orological hazards such as storms or hurricanes, often resulting on agriculture for their livelihoods, including both crops in multiple-hazard disasters occurring at the same time. and livestock, and are particularly vulnerable to droughts. This is especially true in low-income countries that may not Flood Forecasting and Warning. A multi-agency approach, have well-developed water infrastructure to help buffer the dependent on the circumstances of the country, is typically impacts of dry periods. Chapter 7 highlighted the importance required for flood forecasting. As highlighted in Chapter 5, the of climate-smart agriculture programs for helping to mitigate NMS/NHS plays a key role in facilitating weather forecasts; drought hazards. When a severe drought does strike, the it generally provides the flood forecasts for coastal and agriculture agency should have drought support programs in localized flash flooding. For river flooding, the WRM agency place to help farmers respond to and recover from droughts. typically provides the flood forecasts if there is extensive flood The agriculture agency should administer and report on infrastructure; for unregulated rivers, the NHS (which may be the implementation of these programs as part of its overall embedded in the WRM agency or part of the NMS) typically responsibility within the Drought Plan and membership in provides the forecasts. the Drought Committee. Ideally, there should be impact-based warnings based on the Social Protection Drought Response. These programs help flood forecasts that provide information on potential impacts. vulnerable populations, particularly in rural areas, cope with This information is generally derived from the floodplain droughts and can include measures such as cash transfers, mapping discussed in Chapter 10. Generally, the DRM agency temporary labor, and in extreme cases, camps for displaced is best placed to take the flood forecasts issued by the NMS/ people. It is important that the social protection programs be NHS and provide flood warnings, utilizing its multi-hazard pre-planned and scalable to help meet the specific needs of the emergency communications system and disseminating the drought. The Drought Committee has an important role in ensur- information through various channels. ing the effectiveness of social programs, and social protection Flood Emergency Preparedness, Response, and Relief. agencies should be members of the Drought Committee. Emergency response also requires a multi-agency effort under the leadership of the DRM agency, which is responsible for An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 25 coordinating overall disaster preparedness, responses, and Chapter 13: Disaster Risk Financing – The programs recovery efforts for natural hazards like floods, storms, and for flood and drought relief and recovery depend on adequate earthquakes. For floods, and in cases where there is extensive funding. This chapter explores how national governments flood control infrastructure, the DRM agency needs to work can adopt a multi-layered risk financing approach to meet closely with the WRM agency. The WRM agency may operate a this challenge. Disaster risk financing sits at the bottom of flood control center that monitors conditions and coordinates the EPIC Response Framework. If all the programs in the flood infrastructure operations and flood fighting efforts. In Framework are effectively implemented, then the overall parallel, the DRM agency may need to activate its emergency disaster risk financing burden can be significantly reduced, response system to oversee evacuation and relief efforts. but of course never eliminated. Effective mitigation measures, such as healthy watersheds, water resources infrastructure, Flood emergency preparedness is critical to an effective watershed management, and floodplain management, all help response. The DRM agency should have multi-hazard to reduce the overall risk. When an extreme event occurs, the emergency operations plans in place to respond to a variety programs for disaster response, relief, and recovery can help of natural hazards. These emergency operations can be to minimize the final social, economic, and environmental utilized as a foundation for developing flood emergency impacts—provided that funding is available to implement plans in collaboration with the WRM agency, particularly for these programs. river flooding. The DRM agency will need to work in close collaboration with local governments and civil defense Disaster Risk Financing Instruments. There are a variety of authorities to prepare for local flood emergencies. risk financing instruments, each with specific characteristics that make it well-suited to address certain situations and less A structured post-flood assessment process informs relief and effective in others. The optimal mix of instruments depends recovery efforts at three critical junctures. In the immediate on the overall fiscal situation of the country as well as its aftermath of a flood, the DRM agency, in collaboration with disaster risk profile. The following disaster risk financing local governments, needs to undertake a Rapid Impact instruments are described in the chapter: a national disaster Assessment (RIA) to ascertain critical relief needs. The fund, insurance programs, budget allocations, international second assessment comes after the emergency has subsided aid, contingent disaster credit, and sovereign catastrophe and involves a Post-Disaster Needs Assessment (PDNA) that (CAT) bonds. defines medium- and longer-term recovery efforts with an aim of “building back better”. It examines causes of, and Disaster Risk Financing National Sector Framework. responses to, the flood event to inform future policies. The Two sets of laws provide the foundation for the legal and final assessment should come near the end of the recovery regulatory framework for disaster risk finance: budgetary period to assess the effectiveness of the recovery program laws and DRM laws. The budgetary law should explicitly and the final social and economic impacts of the flood event. authorize the finance agency to develop and implement a disaster risk financing strategy. The DRM law should mandate Based upon the RIA, the DRM agency should work in the DRM agency to work with the finance agency to develop collaboration with other agencies and local governments a disaster risk financing strategy. The role of the DRM agency to ensure an effective flood relief effort, including ensuring in administering or overseeing disaster funds should be adequate food and shelter for vulnerable populations, flood outlined in the DRM or budget law. The law should require aftermath cleanup, and resumption of critical infrastructure the DRM agency to develop procedures for recommending and public health services. The DRM agency should have or declaring a state of national emergency, as this may be immediate access to disaster relief funds from its national used to trigger contingent credit lines or provide access to a government to provide the necessary support. national disaster fund. Flood Disaster Recovery. Recovery is about ensuring that households, businesses, and communities are at least better Chapter 14: Summing Up – This chapter summarizes off than they were before the flood and that their future the roles of different national government agencies in flood risk is significantly reduced. The DRM agency should implementing the EPIC Response Framework programs and channel disaster relief funds through programs that help presents recommendations for ensuring that the hydro- local governments and impacted populations make strategic climatic risk management system continuously evolves, decisions following the principles in Chapter 9 on floodplain including constant program evaluation and periodic national management: protect, accommodate, retreat, and avoid. strategic planning for water resources management, disaster risk management, and drought management. 26 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management An young boy sits atop a government water supply truck as residents fill water containers in New Delhi, India. Photo: ertyo5 3 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 27 National Sector Frameworks National sector frameworks, which are composed of laws, The four sector frameworks addressed in this chapter are agencies, and strategic plans, help create the enabling summarized below, and then presented in more detail. environment for hydro-climatic risk management. Each Other important sector frameworks, including hydro-met, program in the EPIC Response Framework is authorized environment, agricultural, social protection, and finance, are through a national law and typically receives its funding presented in the relevant chapters. through a national budgeting process. National sector agencies are responsible for implementing the programs, ■ WRM Sector Framework. WRM agencies are responsible and national strategic planning provides an opportunity for overseeing or implementing the planning, construction, to assess overall sector performance and opportunities and operation of water resources infrastructure that help for improvements. As shown in Figure 3.1, national sector to mitigate flood and drought hazards. WRM agencies frameworks sit atop the EPIC Response Framework. can also play critical roles in responding to droughts by FIGURE 3.1 National Sector Frameworks within the EPIC Response Framework PROGRAM AREAS National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services Water Resources Management Disaster Risk Management Drought Risk Management P LAN • Flood and Drought Risk Mitigation and Contingency Planning Flood Risk Management I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 28 ● Chapter 3—National Sector Frameworks promoting water conservation, adaptively allocating typically play dominant roles. By following a joined-up water, and conjunctively managing groundwater. They government approach, these agencies—working within are also instrumental during floods, often acting as the their own sector frameworks—may be able to naturally nerve center for flood operations and for actually fighting collaborate to address flood hazards. It may prove useful, floods. Hydro-climatic risk management, however, is only however, to have supplemental laws that ensure a more one of many functions embedded in an integrated WRM integrated approach to flood risk management and framework, which deals with a broad range of water and facilitate interagency cooperation. water-related environmental issues. ■ DRM Sector Framework. DRM agencies are responsible 3.1 Synchronizing National Sector for leading a joined-up government effort to prepare Frameworks for, respond to, and recover from flood, and sometimes drought, disasters. They also play key roles in leading The Importance of a Joined-Up Government Approach. A a whole-of-society effort to mitigate flood and drought key tenet of this report is that a joined-up government effort hazards. Like WRM, flood and drought risk management is is necessary for effectively managing hydro-climatic risks. only of the many functions embedded in a DRM framework This requires workable linkages between the different sector that must deal with the full range of potential natural and frameworks, but also raises challenges of policy coherence. human-induced disasters. This requires that national laws follow the same direction and are clear in assigning agency responsibilities for different ■ National Drought Overarching Framework. This programs in order to reduce overlapping and potentially overarching framework requires the collaboration of conflicting mandates. There may also be omissions in national multiple sector agencies. Each agency must operate within laws where there is no agency designated to address a specific the parameters of its own national sector laws, but it is issue. Hopefully these inconsistencies and omissions are also indispensable to create an overarching framework of addressed as the national sector frameworks evolve based complementary laws, institutions, and national strategic upon practice and experience. The role of national strategic plans to facilitate the collaboration and synergy among planning is critical in helping countries address these issues the various agencies. This typically includes a national over time. As discussed in Box 3.1, national climate adaptation drought law, a National Drought Committee, and a National planning offers an opportunity to see how the different sectors Drought Strategic Plan. are interacting to reduce overall hydro-climatic risks. ■ National Flood Overarching Framework. Flood risk At a deeper level, it also requires a culture of governance management also requires the collaboration of multiple that fosters collaboration between different agencies, even sector agencies, although the WRM, DRM, and NHS/NMS if there are overlaps or gaps. In this regard it is important to Box 3.1 Climate Adaptation Planning The importance of climate adaptation was emphasized in the Paris Agreement,a which included a call for all countries to engage in national adaptation planning. The goals of these plans are for countries to build resilience to the impacts of climate change through medium- to long-term planning, and to integrate adaptation considerations into all relevant policies and strategies. While a detailed analysis of national adaptation plan (NAP) policies and institutions is beyond the scope of this report, it is important to recognize the close linkages between the NAP process and hydro-climatic risk management. Not only does the NAP process provide an ideal opportunity to examine and propose adjustments to the national sector frameworks for hydro-climate risk management (WRM, DRM, flood and drought risk management) with a specific focus on the impacts of a changing climate, it can also be used to reinforce the concept of a unified framework for hydro-climatic risk management as presented in this report. For more information about the Paris Agreement, see UNFCC’s website at https://unfccc.int/files/essential_background/convention/application/ a. pdf/english_paris_agreement.pdf. Key Issue: The NAP process is undertaken primarily in response to Paris Agreement requirements and is usually led by a country’s environmental agency. In some cases, there may be weak linkages between the NAP and core sector agencies such as WRM, DRM, agriculture, and NMS/NHS. These weak linkages may reduce the usefulness of the NAP. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 29 make the distinction between collaboration and coordination, evident transboundary implications in terms of planning, risk where collaboration implies a degree of equality among the assessment, infrastructure, and water allocation (including contributing agencies, while coordination is prone to the navigation). Depending on the scope of different programs, domination of more powerful agencies and runs the danger of commitments made at the international level may need to be becoming merely ritualized consultation (Alford and O’Flynn implemented through the adoption of national laws. 2012). True collaboration is not easy to achieve, particularly Speeding Up the Public Policy Process. National sector in many developing countries where overall governance frameworks and their associated programs evolve over time may be weak, budgets are scarce, and agencies compete for resources and relevance. as lessons are learned, the economy grows, and society’s priorities change. A warming planet will not only speed up Dealing with Federal and Transnational Situations. As the hydrological cycle, but it should also speed up the public shown in box 3.2, the concept of a “national framework” policy cycle as countries grapple with more severe and can be complicated in countries with federal constitutions. frequent storms, floods, and droughts. In order to simplify the analysis, this report will assume a unitary government system, with only national and local As defined in Chapter 2, the term “policy” is used in a broad government levels. sense to refer to important decisions taken by the government in the formulation of laws, agencies, national strategic plans, While the focus of this study is on national frameworks, it is programs, regulations, and guidelines. In some cases, there important not to overlook relevant transnational frameworks. may also be standalone policy documents (such as a water At the international level, the scope for developing and policy) which provide overarching sets of principles and implementing water resources transboundary frameworks establish general plans of action. This report provides a set will depend on the existence of an international agreement of policy considerations that the span the full spectrum of the relating to the concerned transboundary river basin, and EPIC Response Framework. on the mandate of the relevant river basin organization or commission. Priority program activities will typically focus on Figure 3.2 presents an overview of the general public policy the collection and sharing, on a mutual basis, of information cycle adapted for flood and drought risk management. in the context of routine hydro-met data as well as flood The policy cycle helps us understand how national sector and drought warning mechanisms. Thereafter, programs frameworks and their associated programs can evolve over will more likely tend to focus on matters that have more time. Each step of the process is discussed below. Box 3.2 National Frameworks under Federal Systems The scope and content of national frameworks for flood and drought risk management in a federal context will depend on the constitution of the country. This will determine whether or not legislation on WRM and DRM can be adopted at the federal level or the state or province level, or a combination of both. In some federal countries, for example, WRM is entirely a state or province level responsibility. Elsewhere, the reach of the federal legislature may extend to interstate rivers. Alternatively, the constitution may recognize the fact that water resources do not recognize internal boundaries and provide that WRM is a federal responsibility. In some federal countries, the jurisdiction of the federal government over aspects of WRM has emerged from a broader environmental competence or, in a transboundary context, as a result of federal authority over international relations. However, even if the federal legislature lacks the authority or competence to legislate on WRM or DRM in terms of flood and drought risk management, this does necessarily mean that the federal government is precluded from adopting policies on the topic or of funding programs that may be implemented at a state or province level. While a federal system is inherently more complex than in a unitary state, the EPIC Response Framework can still be applied, although more analysis will certainly be required. Key Issue: Federal systems add an additional level of complexity to interagency collaboration as federal agencies need to interact with provincial agencies. In the United States, state governments generally bear primarily responsibility for flood and drought risk management, but state agencies need to collaborate with federal agencies for two reasons. First, the federal government provides substantial funding to help mitigate and respond to hydro-climatic risks. Second, some federal laws influence state water decisions, for example the federal Endangered Species Act. 30 ● Chapter 3—National Sector Frameworks FIGURE 3.2 An Overview of the Public Policy Process 1. Agenda Setting A major flood or drought disaster and/or policy evaluation studies help set the agenda. 5. Policy Evaluation 2. Policy Formulation Policy analysts in government and other organizations Options for adjusting laws or asses whether a law or program is effectively addressing the programs are considered by problem and if progress in implementation is being made. government in consulatation They may recommend revisions to the laws or programs. with stakeholders. 4. Policy Implementation 3. Policy Adoption National agencies implement Legislature or Executive the revised laws or modified amend national laws, and/ programs, with budget or agencies modify program supports as required. design. Source: Authors, adapted from Howlett and Ramesh 1995. ■ Agenda Setting. A major hydro-climatic event, such as international experience. The set of programs in the widespread flooding or a devastating drought, can help EPIC Response Framework can be considered a menu of propel the topic to the top of the political agenda. Public options to help inform the policy formulation process. pressure exerted through various interest groups can also ■ Policy Adoption. If major changes are required, then compel politicians and national agencies to reevaluate the national government may need to modify the legal their policies. International agreements can also spur framework, either through a legislative change or an national policy development. National agencies, or other executive decree; this may involve the creation of a new stakeholder groups, can also use this opportunity to shape program or major adjustments to an existing program. the agenda based upon their policy evaluations. In other cases, existing programs may only need to be ■ Policy Formulation. During this step, there is a search for tweaked, and the responsible national agency can make solutions to address problems that have bubbled to the the necessary regulatory or strategic modifications. top of the political agenda. Policy evaluation conducted ■ Policy Implementation. During this stage, the by national agencies, as well as other organizations, national agency gets down to work implementing the generate different options that are vigorously debated. policy, including developing detailed procedures, These options generally revolve around changing preparing guidelines, and providing funding to program national laws to include new or modified hydro-climatic participants. For most of the programs presented in this risk management programs. There may be differences report, key agency actions for effective implementation of opinion on the efficacy of different solutions, the are highlighted. Having access to enough budget is economic costs, and distributional impacts. This report critical for successful program implementation. provides a comprehensive set of programs to address hydro-climatic risks, along with a brief description ■ Policy Evaluation. This is an important step in the of an effective program based upon the literature and policy process and can take place at multiple levels and An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 31 feeds into the agenda setting and/or policy formulation (such as water supply, agriculture, industry, and power steps. Periodic National Strategic Plans for WRM, DRM, generation) and water users. It promotes the development and Drought offer an ideal opportunity to holistically of water resources while also seeking to prevent or minimize evaluate how the flood and drought management water pollution and to ensure appropriate water quality. systems are operating. In addition, each agency should It sets and enforces minimum or environmental flows to periodically undertake its own program level evaluation. enable people to meet basic needs and to protect aquatic This evaluation should look at effectiveness, adequacy of ecosystems and the livelihoods of those who depend on budget and human resources, and potential constraints those ecosystems. Many of the programs identified in the and include recommendations for improvement. In some upper part of the EPIC Response Framework fall under the cases, the national government may also wish to have an general, but not necessarily exclusive, domain of the WRM independent program evaluation.6 framework, including river basin planning, water resources infrastructure, and adaptable water allocation. It follows The EPIC Response Framework contains many different that an effective national framework for hydro-climatic risk programs which are mapped to various national sector management system generally requires a functional and frameworks. It is important for the responsible agency—and comprehensive national framework for WRM. occasionally an independent entity—to periodically evaluate and report on the performance of each program. This evaluation should cover topics such as program achievements Legal and Institutional Framework and effectiveness, adequacy of budget and human The legal framework for WRM is typically contained in a water resources, potential constraints, and recommendations for resources law that applies both to surface and groundwater improvement. Programs constantly need to be adjusted to and which addresses issues of water allocation, water respond to changing circumstances and lessons learned. quality, water-related environmental sustainability, and water Some types of program adjustments can be undertaken pollution control. Many countries have recently adopted directly by the agency concerned while others require a new water resources laws to implement IWRM or are in the change in the relevant law. Program evaluations should be process of doing so. However, there are exceptions. In some made publicly available and are also useful for informing the countries, different aspects of WRM are addressed in separate National Strategic Plans. laws (for example, on groundwater management, irrigation, or water pollution). Moreover, while water resources laws in 3.2 The National WRM Sector many countries have long addressed the “harmful” effects Framework of water, it is usually only relatively recently that they have taken a comprehensive approach to floods and droughts. WRM General Description programs, in the sense used in this study, are typically based on the provisions of such a water resources law. The dominant paradigm for WRM is “integrated water resources management (IWRM)”. While there is no official Institutional Arrangements for Water Resources Man- definition of IWRM, a commonly used definition is that it is “a agement. Responsibility for the implementation of a water process which promotes the coordinated development and resources law is usually conferred upon a ministry, such as management of water, land and related resources in order a water and natural resources ministry or an environment to maximize economic and social welfare in an equitable ministry, or on a national water resources management com- manner without compromising the sustainability of vital mission or authority which may be established on the basis ecosystems and the environment” (GWP 2000). Recognized of the water resources law itself. In this report, irrespective at the international level more than 30 years ago at the 1992 of the approach taken, this entity is referred to as the WRM Earth Summit in Rio de Janeiro, Target 6.5 of Sustainable agency. Development Goal 6 on Clean Water and Sanitation calls for Water resources laws often provide for the establishment of the implementation of IWRM at all levels by 2030. a high-level inter-ministerial body, such as a National Water The basic objective of WRM is the management of water as Council or National Water Resources Committee, to ensure a natural resource, the use of which is fundamental to all inter-sectoral coordination and participation in decision socioeconomic activities, but which at the same time plays a making. Alternatively, they may confer such a role on the vital ecological function that needs to be protected. As such, government (cabinet) itself. WRM seeks to allocate water among different user sectors 6 An example is the Congressional Research Service (CRS), which is a public policy research institute of the United States Congress. 32 ● Chapter 3—National Sector Frameworks Box 3.3 Tanzania’s Water Resources Law Tanzania’s Water Resources Management Act, 2009 was adopted to give effect to the 2002 National Water Policy and provides a good example of a modern water resources law. It sets out several principles and objectives for WRM before reaffirming that water resources belong to the country’s citizens with the President acting as the trustee. The lead WRM agency in Tanzania is the Ministry of Water and Irrigation. The Act next sets out the powers of the Minister, the national level Director of Water Resources, the National Water Board (whose members are appointed by the Minister), and the Basin Water Boards, which have legal personality and which are to be established for each river basin, as well as catchment and sub-catchment water committees. The Act next requires the preparation of a national IWRM plan which must be based on the IWRM plans prepared by the Basin Water Board and catchment committees. With regard to water resources protection, the Act provides that the Minister may classify water resources for water quality purposes, determine a “reserve” to satisfy basic human needs and protect aquatic ecosystems, establish “Protected Zones” and “Ground Water Controlled Areas”. It also provides for the imposition of restrictions on water use in times of drought and natural disasters and contains provisions on the prevention of pollution. As regards water abstraction and use, the Act provides that this is to take place on the basis of use permits (with transitional provisions for unregistered and customary water rights and an exception for small scale domestic uses), groundwater permits for the construction or enlargement of wells and boreholes, and discharge permits for the discharge of effluents and pollutants to surface or ground water. Subsequent provisions provide for the establishment of water user associations and public infrastructure for water resources development. The Act also contains extensive provisions on dam safety as well as provisions on flooding that confer powers upon the Minister to prohibit or authorize the construction of dikes and other flood defense structures or if necessary to order their demolition, to cooperate with local governments on the identification of flood plans, and to adopt, in consultation with the minister responsible for local government, regulations providing for the control and management of stormwater within municipal areas. The Act also sets out provisions on water abstraction charges, and how they are to be used, as well as on transboundary water before concluding with provisions on offences, penalties, enforcement, appeals, and miscellaneous and final matters. Key Issue:The Act sets out a sound legal framework for WRM. As always, implementation is the true challenge. Key Issue:The Act sets out a sound legal framework for WRM. As always, implementation is the true challenge. Because water resources do not respect administrative National Strategic WRM Plan boundaries, modern water resources laws typically provide for water resources management at the level of river basins Modern water resources laws typically require the periodic (or sub-basins) or individual aquifers, resulting in the creation formulation of a National Strategic WRM Plan that lays of specific river basin, sub-basin or aquifer management out a roadmap for future activities. Such a plan can help a organizations (hereafter “basin agencies”) together with new country chart a path towards sustainable, equitable, and stakeholder participation mechanisms at basin or sub-basin long-term WRM, and result in a broad and diverse portfolio levels such as “river basin committees”. In practice, river of recommended actions to address critical, systemic, and basin agencies can take a number of forms depending on a institutional challenges. The formulation of the plan is range of factors (including the size and relative development usually led by the WRM agency but should involve the active of the river basin). The agencies can be little more than participation of all other relevant agencies, including DRM, offices or departments in the WRM agency. Or they can be agriculture, natural resources management, and hydro- organizations with their own legal authority established on met. A broad spectrum of other stakeholders should also the basis of the water resources law. Or they can be largely participate in the process including local governments, the self-funding quasi-autonomous river basin organizations private sector, academia, civil society, and the general public. in which the river basin committee is effectively also the The National Strategic WRM Plan provides a roadmap for management board of the basin organization. policy makers and agencies to help the sector advance and is an ideal mechanism to help foster interagency collaboration and a holistic approach to WRM. It provides an opportunity to assess how the country is performing with respect to flood An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 33 and drought management, and to propose adjustments to Generic Evolution the policies, laws, agencies, programs, and funding to ensure continuous advancement. The National Strategic Plan does Table 3.1 shows the generic evolution of a WRM framework. not identify measures or make specific investment decisions. At the outset (Nascent), the focus is often on the development Figure 3.3 provides a conceptual vision of strategic water of water resources through the construction of infrastructure planning in California. (for such purposes as irrigation, industry, power generation, and water supply) or specific aspects of WRM (such as water FIGURE 3.3 Strategic Water Planning in the pollution) with such activities being the subject of sectoral or State of California narrowly focused laws (such as an irrigation law or a water pollution law). At this stage, little consideration is typically given to the management of water as a resource or the health of aquatic ecosystems. ECOSYSTEM Over time (Engaged), the limitations of the uncoordinated approach become clear and a water resources law is adopted. However, a key challenge for water resources FLOOD GROUNDWATER legislation is implementation, in terms of both human and Multi-Sector Collaboration financial resources. It can take time for the necessary funding Multi-Discipline Planning to be made available so that the law can be effectively implemented. SUSTAINABILITY At this point (Capable), the process of effective implementation Multi-Benefit Projects of the water resources law begins with funding made WATER Multi-Fund Investments WATER available to the WRM agency and the river basin agencies. A QUALITY SUPPLY strategic planning process is usually initiated at this phase, RELIABILITY but it may be driven by the WRM agency with limited input from other sectoral agencies and limited participation, and PEOPLE as a result may be unable to deal with the complexities of AND WATER flood and drought risk management. At the most advanced level (Effective), the country has Source: California Department of Water Resources. gained more experience with WRM and its water resources TABLE 3.1 Generic Evolution of the National WRM Sector Framework Dimension Nascent Engaged Capable Effective National laws and No water resources A standalone water Water resources law Well-established and policies law. Water resources resources law is adopted adopted but not fully fully implemented addressed in sectoral but implementation is in implemented; river basin water resources law Source: California Department of Water Resources. laws that focus on their the early stages. approach to management with evolutionary development. embraced but with amendments. limited inter-sectoral cooperation. National agencies No national WRM agency. National WRM agency National WRM agency is National WRM Agency designated on paper. funded and in operation collaborating with but with limited other sectoral agencies interaction with other including the DRM agency sectoral agencies. and Drought Committee. National Strategic Plan No Strategic Plan. Strategic Plan not Basic National Strategic National Water prepared. Plan created with Resources Strategic Plan limited links to other coordinated with national sectors and low levels of DRM, drought, and flood implementation. plans. Source: Authors. 34 ● Chapter 3—National Sector Frameworks law has evolved to incorporate lessons learned with multiple often, provision is made for the establishment of an apex amendments or even complete revisions. The national WRM body, such as a National Disaster Committee, to ensure agency has close links with other relevant agencies, including coordination between state actors, civil society, and the those responsible for natural resources management, international community. Often too, provision is made for agriculture, and DRM. This collaboration is reflected in sub-national emergency committees, and a key role of a DRM broad and comprehensive national strategies which directly law is to provide the necessary linkages at the sub-national address flood and drought risk management issues. level among different actors. Nevertheless, a DRM law cannot by itself fully address disaster 3.3 The National DRM Sector Framework risk reduction. DRM laws should be viewed as part of an overall system of risk governance that includes different laws General Description and local government mandates that can reduce exposure DRM is a broad topic that has seen significant evolution and underlying vulnerabilities, particularly by preventing the over recent years, encapsulated by the recent Sendai creation of new risks. DRM laws can be used to create formal Framework for Disaster Risk Reduction 2015-2030. Among links between the mandates and institutions created by DRM the four priorities of the Sendai Framework is Priority laws and sectoral and local government laws, for example 2: “Strengthening disaster risk governance to manage building codes and land use management. Such an approach disaster risk”. This priority notes “the vital role of disaster can help encourage joint policy approaches and put better risk governance at the national, regional and global levels mainstream DRM concepts into practice. in terms of the management of disaster risk reduction and Many of the provisions in a DRM law are related to flood ensuring the coherence of national and local frameworks of and drought risk management, either directly or indirectly, laws, regulations and public policies that, by defining roles as floods and droughts are common disasters confronted by and responsibilities, guide, encourage and incentivize the most countries. The degree to which floods or droughts are public and private sectors to take action and address disaster directly addressed in a DRM national framework is related to risk.”7 their hazard level in the country concerned. Floods and droughts are invariably included among the types of natural hazards that are subject to a disaster National Strategic Plan risk management (DRM) framework along with storms, earthquakes, volcanoes, and disease outbreaks, as well as DRM laws typically require the periodic formulation of a anthropogenic hazards such as transportation and industrial National Strategic DRM Plan that lays out a roadmap for accidents. It follows that, as with WRM, an effective national managing disaster risks. Such a plan typically has four framework for hydro-climatic risk management includes the elements which follow the general DRM cycle: (1) prevention need for an effective, functional, and comprehensive national and mitigation; (2) preparedness; (3) response; and (4) DRM framework. recovery. The plan can help a country chart a path towards a more resilient future and result in a broad and diverse portfolio of recommended actions to address critical Legal and Institutional Framework systemic and institutional challenges. The formulation In an increasing number of countries, the legal framework of the plan is led by the DRM agency but should also for DRM is contained in a specific DRM law (IFRC and UNDP involve the active participation of other relevant agencies, 2015). DRM programs are typically established based on including WRM, hydro-met, agriculture, natural resources the provisions of such a law. Reflecting developments at the management, social welfare, and finance. A broad spectrum international level, the focus of such legislation has shifted of other stakeholders should also participate in the process, from disaster risk response to DRM. including local governments, the private sector, academia, civil society, and the general public. A DRM law typically confers specific powers on a specialized DRM agency that is usually under the direct supervision of The National Strategic DRM Plan is an ideal mechanism to the government at a high political level, such as the president help foster interagency collaboration and a holistic approach or prime minister, due to the need for inter-sectoral to disaster risk management. It provides an opportunity to cooperation and rapid response during an emergency. Very assess how the country is performing with respect to flood 7 The other priorities are understanding disaster risk, investing in disaster risk for resilience, and enhancing disaster preparedness for effective response, and to “build back better” in recovery, rehabilitation, and reconstruction. The framework also sets out seven targets for achievement by 2030. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 35 and drought management, and to propose adjustments to a roadmap for policy makers and agencies to better manage the policies, laws, agencies, programs, and funding to ensure disaster risks. Figure 3.4 shows the general scope of the continuous advancement. The Plan does not mandate actions Philippines National Disaster Risk Reduction and Management or make specific investment decisions, but rather provides Plan, and Box 3.4 describes the country’s DRM law. FIGURE 3.4 General Scope of The Philippines National Disaster Risk Reduction and Management Plan Disaster Preparedness Disaster Response Establish and strengthen capacities of Provide the preservation and meet the basic communities to anticipate, cope with, subsistence needs of affected populations and recover from the negative impacts of based on acceptable standards during or emergency occurrences and disasters immediately after a disaster Safer, adaptive, Disaster Rehabilitation Disaster Prevention and disaster-resilient and Recovery and Mitigation Restore and improve facilities, livelihood Avoid hazards and mitigate their potential Filipino communities and living conditions and organizational impacts by reducing vulnerabilities and that move towards capacities of affected communities, and exposure and enhancing capacities of sustainable reduced disaster risks in accordance with communities development the “building back better” principle Source: The Philippines National Disaster Risk Reduction and Management Plan (NDRRMP) 2011-2028. Box 3.4 The Philippines DRM Law The Philippines Disaster Risk Reduction and Management Act of 2010 was adopted in 2010 to strengthen the disaster risk reduction and management system. It replaced an earlier Presidential Decree on disaster control and community preparedness. The National Disaster Risk Reduction and Management Council is chaired by the Secretary of the Department of National Defense. It has some 40 members, including senior officials from the national government, the armed forces and police, and regional and local governments, as well as a broad range of civil society representatives. The Council has broad policy making, coordination, integration, supervision, monitoring, and evaluation functions. The Council chairperson can call on government and non-government “instrumentalities and entities” to provide assistance in connection with disaster risk reduction and response, as well as the power to call on the military reserve. The Office of Civil Defense (OCD) is an organization within the Philippines’ Department of National Defense and serves as the implementing arm of the National Disaster Risk Reduction and Management Council. The national DRM plan is prepared by the OCD. Regional DRM councils are also established for each region and these are chaired by civil defense officers of the OCD. Each regional council must, among other matters, establish a Regional Center to coordinate, integrate, supervise, and evaluate the activities of local DRM councils. The members of the local councils are public officials and civil society representatives, and their main tasks are to approve, monitor, and evaluate the implementation of local DRM plans. They can also recommend the implementation of forced or preemptive evacuation of residents, if necessary. Each local council is supported by a local DRM office, the tasks of which are set out in some detail in the Act. The local DRM offices take the lead in preparing for, responding to, and recovering from the effects of any disaster. The Act sets out funding mechanisms, including the National Disaster Risk Reduction and Management Fund, which is funded from the budget and from which up to 30 percent can be allocated as a “Quick Response Fund” and supervised by the national Council. Key Issue: The Act is very good example of a modern DRM law and also clearly demonstrates the institutional complexity of addressing DRM at multiple levels of government. 36 ● Chapter 3—National Sector Frameworks TABLE 3.2 Evolution of the DRM Framework Dimension Nascent Engaged Capable Effective Law No DRM law exists. DRM law focuses on DRM law updated to focus Well-established DRM law with Ad hoc response to disaster response. on disaster risk reduction evolutionary amendments and clear disasters. and DRM. linkages to the legislation of other national sector frameworks. National No national entity DRM coordination Establishment of designated Comprehensive Plan with focus on agencies responsible for DRM. committee national DRM agency. hazard mitigation and synchronized established to with WRM and drought plans. respond to disasters. National Plan No Plan. Emergency response Basic National Pan but Comprehensive plan with focus on plans only. limited coordination across hazard mitigation and synchronized sectors and low levels of with WRM and drought plans. implementation. Source: Authors. Generic Evolution broad and comprehensive National Plans that emphasize the role of hazard mitigation and “building back better”. Table 3.2 provides an overview of how a DRM framework might evolve over time. In the beginning (Nascent), a country might focus on primarily on disaster response with limited 3.4 Overarching National Drought Risk attention to hazard reduction, preparedness, or recovery. Management Framework Typically, there is no national legal framework in place, and the civil defense authorities are primarily responsible for General Description helping communities respond to emergencies. Drought risk management is a complex endeavor that requires Over time (Engaged), the country may develop a national both WRM and DRM perspectives, but also necessitates going policy that includes a national DRM coordination entity, beyond these traditional domains. International recognition focused primarily on ensuring disaster preparedness and of the importance of droughts was reflected in the 1994 response, and ensuring coordination of various national and United Nations Convention to Combat Desertification local entities. (UNCCD) which calls upon decision makers and water and land managers to take a proactive, coordinated, and holistic The limits of this approach may become apparent as disasters approach to drought risk management.8 increase, both in terms of frequency and magnitude. At this point (Capable), the country rallies and creates a DRM law The modern conception of WRM includes both “blue” and that takes a more comprehensive view of reducing multi- “green” water. Blue water is mainly water stored in rivers, hazard disaster risks, including hazard mitigation and an reservoirs, lakes, and accessible groundwater aquifers, and approach to recovery that aims to “build back better”. is available for uses such as hydropower, water supply, and Typically, a national DRM agency is created, and DRM entities irrigation. Green water refers to the water that originates at the sub-national and local entities are also created. The from precipitation, is stored in unsaturated soil, and is DRM law calls for the preparation of periodic National DRM absorbed and undergoes transpiration by plants or is Plans, but there may be low levels of coordination among the evaporated directly from the soil. Green water plays an various entities and many implementation challenges. irreplaceable role in global ecosystems and food production, accounting for around 80 percent of global food production At the most advanced level (Effective), the country has and exclusively sustaining grassland and forest ecosystems gained more experience with disaster risk management, (Liu and Yang 2010). and its DRM law has evolved to incorporate lessons learned with multiple amendments or even complete revisions. The WRM policies, institutions, and infrastructure have, however, national DRM agency has close links with other sectoral historically evolved to manage primarily blue water. Drought agencies and local governments with clearly defined and not only affects traditional blue water uses, but also has executed national policies. This collaboration is reflected in a profound impact on green water, particularly as regards 8 For more information about this topic, see UNCCD’s website at https://www.unccd.int/. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 37 agriculture and natural resources management. These management. This might be an actual law approved by the domains thus must also be explicitly incorporated into drought legislature. Alternatively, it may a presidential decree or a risk management systems. Healthy land provides natural government (cabinet) decision that can directly coordinate storage for fresh water. If it is degraded, it cannot perform that the activities of different agencies concerned with aspects of function. Managing land better and massively scaling up land drought risk management. rehabilitation are essential for building drought resilience and A law, decree, or decision should typically do three things. First, water security. Land restoration is the cheapest and often the it should set out a general policy on drought risk management, most effective solution to improving water storage, mitigating with an overall strategy of moving from crisis management to impacts of drought, and addressing biodiversity loss. proactive drought risk management. Second, it should establish DRM evolved primarily in response to immediate and an interagency Drought Committee specifying its functions, devastating natural shocks such as earthquakes, storms, membership, and secretariat. Third, it should require the floods, and landslides. Drought, in contrast, is generally a slow- preparation and periodic revision of a National Drought Strategic moving natural disaster in which the extent of the impact only Plan. Within the framework of the Drought Committee, it will emerges over time, sometimes years, and the understanding also be important to include local governments, particularly of future impacts is limited by the accuracy of weather and those overseeing affected areas, as well as other stakeholder climate forecasts and socioeconomic drivers. Some of the groups such as water utilities, farmers, and industry. elements of a DRM framework, such as efforts to mitigate The Drought Committee also usually includes specific working hazards and the activation of emergency support systems, can groups, for example to provide drought monitoring and also naturally be applied to drought risk management. assessment, and to prepare the National Strategic Drought In summary, although WRM and DRM are intimately linked Plan. The Drought Committee is essentially responsible for to drought management, it is generally necessary to develop overseeing all the drought-related programs in the EPIC a specific drought framework that incorporates the unique Response Framework and ensuring their continuous and elements of drought monitoring, impact assessment, and synergistic development. Finally, the Drought Committee risk characterization, in addition to providing the basis for should always be active, even during non-drought periods, drought agricultural response and recovery programs. In some although meetings of the Committee may be less frequent in poorer countries with large rural populations, WRM and DRM such circumstances. frameworks may not even exist or may be underdeveloped, Most of the programs related to drought risk management and in such cases the burden of managing droughts may fall are mapped to the WRM, DRM, hydro-met, and agriculture primarily on the agriculture agency and local governments. frameworks and these are typically the most active agencies in the Drought Committee. Typically, one of the agencies will Legal and Institutional Framework serve as the “anchor agency” or secretariat for the Drought Committee. In countries with well-developed water resources In most cases, existing laws define some of the roles and management systems, it is usually the WRM agency; in other responsibilities of sectoral agencies relating to drought countries, it may be the agriculture agency. management. For example, a water resources law may require the WRM agency to plan for and respond to droughts. A DRM law may authorize the DRM agency to take certain National Strategic Plan actions during a drought. At the same time, an agriculture The drought legal framework should require the National law may provide the agriculture agency with the authority Drought Committee to prepare, and periodically update, a to help farmers and livestock producers prepare for and National Strategic Drought Plan. This plan is conceptually respond to drought. A drought legal framework, however, different to a WRM Plan or a DRM Plan in that it is operationally goes beyond the sector-specific laws and seeks to coordinate focused on a single hydro-climatic risk: drought. Both the and synergize the efforts of several different entities. WRM and DRM Plans should address droughts, albeit from There are various legal instruments that can be used to different perspectives. The scope of a National Strategic facilitate the establishment of a legal framework for drought Drought Plan depends on a country’s physical as well as risk management. A drought law can be adopted to provide institutional context, but a well-formulated Plan should do a stable, long-term foundation for improving drought risk the following: 9 9 For more detailed discussion on drought national plans and policies, see the WMO/GWP Integrated Drought Management Programme (IDMP) website at https://www.droughtmanagement.info/find/guidelines-tools/guidelines/. 38 ● Chapter 3—National Sector Frameworks ■ Understand drought risks. The Plan should examine ■ Improve drought response and recovery. The Plan should vulnerabilities that result in social and economic impacts ensure that national agencies and local governments are from recent droughts, characterize risks, and inventory coordinated properly and sufficiently resourced to provide resources at risk. It should also identify trends in hazards, effective and timely relief from droughts. This includes vulnerabilities, and exposure, taking account of uncertain- reviewing the effectiveness of programs to respond to ties in order to provide the overall context for the Plan. droughts, including water conservation, water allocation, and emergency water supply for cities and towns; ■ Improve interagency and inter-governmental agricultural support programs, including insurance, coordination. The Plan should improve who does what contingency financing, and disaster relief; and social and when within the drought management system, and safety nets when vulnerable people lose their livelihoods consider opportunities for improving the policies and or in extreme cases, when they face starvation. institutions for drought management. Prepare for and mitigate drought hazards. The Plan ■ Generic Evolution should identify opportunities for reducing drought hazards by improving management of water resources, Table 3.3 provides an overview of how a drought risk agricultural systems, and natural resources. That will management framework might evolve over time. In the include management planning, programs, and projects. beginning (Nascent), a country focuses primarily on ad hoc responses to drought events with limited attention to drought ■ Refine drought monitoring and forecasting. The hazard reduction or preparedness. Generally, there is no Plan should recommend improvements for long-term national legal framework in place, and national agencies and monitoring, forecasting, and data collection systems, local governments respond in a reactive and delayed manner and systems for tracking the real-time and potential to an evolving drought. impacts on cities, farms, industry, and the environment as droughts evolve and recede. The Plan also should Over time (Engaged), the country develops an implicit drought review and refine the drought categorization or indicator management policy where each sector agency incorporates system to track the onset of droughts and to help clearly drought issues into its mandates, plans, and operations. communicate the severity of drought conditions. Ad hoc Drought Coordination Committees are convened to respond to drought emergencies. Deficiencies may become ■ Ensure effective drought communication and increasingly apparent as drought impacts continue or even education. The Plan should assess the effectiveness of potentially increase. public education campaigns to keep stakeholders and the general public informed of drought risk and efforts At this point (Capable), the country adopts a national to mitigate the hazard. It should also conduct drought drought policy or law that calls for a more comprehensive response workshops and planning exercises with and proactive approach. A National Drought Committee different government agencies and local governments to is created but its focus is primarily on drought monitoring prepare for droughts. and response. A National Strategic Drought Plan process is started but is still very rudimentary. TABLE 3.3 Evolution of the DRM Sector Framework Dimension Nascent Engaged Capable Effective National laws No drought No drought law, but National drought law adopted. Well-established drought law and policies law or policy sector laws incorporate or policy with evolutionary adopted. drought mandates. amendments. National No drought Ad hoc drought Multi-disciplinary Drought Committee Drought Committee functioning agencies committee in coordination committees established. well, with effective working place. convened during groups and interagency droughts. cooperation. National No Plan. Drought emergency Basic drought preparedness and Comprehensive Plan covering all Strategic Plan response plans only. response plan but primary focus on three drought pillars with high monitoring and response. Limited level of implementation. coordination and low implementation. Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 39 At the most advanced level (Effective), the country has gained However, some more advanced countries have also found it more experience with drought risk management, the Drought useful to adopt additional flood management specific laws or Committee is functioning well and sustained during non- national policies to help bind these sector frameworks more drought periods, and there have been multiple revisions of closely together. Some examples are provided below: the National Strategic Drought Plan. A more comprehensive The European Union’s Water Framework Directive10 and and multi-disciplinary view of proactive drought management Floods Directive11 between them require member states to has solidified which focuses on drought hazard mitigation as adopt a common approach to river basin management and well as drought preparedness, response, and recovery. flood risk assessment and management planning. As shown in Figure 3.5, in Japan there are three major interlocking laws 3.5 Overarching National Flood Risk related to flood risk management, the DRM Act, the River Act Management Framework (which acts as a water resources law), and a specific Flood Protection Act. In the United States, the Federal Interagency Description and Legal Framework Floodplain Management Task Force helps bring together all In many countries, the combination of WRM, DRM, and water-related agencies and was established under the 1975 Hrydro-Met sector frameworks—if properly synchronized— Water Resources and Development Act.12 should address most issues related to flood risk management. FIGURE 3.5 Interlocking Laws related to Flood Risk Management in Japan Disaster Measures Basic Act Establishes systems necessary for disaster prevention. Clarifies where the responsibility for disaster prevention lies. Stipulates basic requirements for disaster prevention planning and necessary basic disaster prevention measures such as emergency measures. River Act Flood Protection Act Aims to make comprehensive Aims to prepare people for floods management of rivers so as to and storm surges, protect people prevent river-related disasters such from them and mitigate damage as floods and storm surges. due to floods and storm surges. Source: Adachi 2009. 10 See EC (2000). Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy. OJ L327, 22.12.2000. 11 See EC (2007). Directive 2007/60/EC of the European Parliament and of the Council of 23 October 2007 on the assessment and management of flood risks. OJ L288, 6.11.2007. 12 For more information about the Federal Interagency Floodplain Management Task Force, see FEMA’s website at https://www.fema.gov/floodplain-management/ intergovernmental/task-force. 40 ● Chapter 3—National Sector Frameworks National Strategic Planning framework in place, and the civil defense authorities are primarily responsible for helping communities respond to Ideally, the National Strategic WRM Plan and the National flood emergencies. Strategic DRM Plan should address flood risk management in a parallel and synergistic manner. In this case, there may Over time (Engaged), the country may develop a national not be a need for a standalone National Strategic Plan for DRM policy that encompasses flood response and each flood risk management. While the WRM Plan may focus more WRM-related sector (agriculture, hydropower, water supply, on reducing flood hazards, and the DRM Plan may focus and sanitation) may have its own sector-specific law which more on reducing flood exposure and vulnerability, the two includes flood management. When a flood occurs, ad hoc plans should be mutually reinforcing with different areas national flood committees may be constituted to deal with of emphasis. To achieve this synergy, it is critical that the flood response and recovery. The limits of this approach may DRM agency participate in the formulation of the National become apparent as flood damage increases, in terms of both Strategic WRM Plan, and vice versa. This partnership may frequency and magnitude. come naturally through good governance at the national level, At this point (Capable), the country rallies and creates DRM or it may be enshrined in the country’s laws and regulations. and water resources laws that include flood risk management mandates that are implemented by specialized WRM and Generic Evolution DRM agencies. The evolution of the national framework for flood risk At the most advanced level (Effective), the country has gained management will typically closely track the development more experience and there may be a specific National Flood of the frameworks for WRM and DRM described above. As Policy which links the DRM and WRM frameworks, as well as shown in Table 3.4, in the beginning (Nascent), a country others, more closely together. The WRM and DR M agencies might focus primarily on flood emergency response with collaborate closely and prepare complementary National limited attention to hazard reduction, preparedness, or Strategic Plans that include flood risk management. recovery. Generally, there is no national WRM or DRM legal TABLE 3.4 Evolution of the Overarching Flood Risk Management Framework Dimension Nascent Engaged Capable Effective National laws and No DRM or water DRM law refers to flood Standalone DRM and Effective implementation policies resources laws. response. Water resources water resources laws of DRM and water law contains references include provisions on resources laws coupled to flood risk but not these flood risk management with adoption of National are not yet implemented. but implementation Flood Policy. patchy. National agencies No national entities. Ad Hoc national Designated National DRM National DRM and WRM committees during flood and WRM agencies with agencies collaborating to emergencies. FRM mandates. reduce flood risks. National Strategic No Plan. DRM has emergency Basic WRM and DRM Comprehensive and Plan response plans; no National Plans with coordinated WRM and basin-level flood risk limited attention to flood DRM Plans include flood management planning. risk management. risk management. Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 41 3.6 The Importance of Interlocking consistent approach to flood and drought management. WRM, DRM, and Drought Strategic Box 3.5 shows an example from the State of California. The Plans WRM Strategic Plan should, of course, be led by the WRM agency, but it should also include the DRM agency in matters As demonstrated in the report, many agencies have specific related to floods and droughts. In a similar manner, the DRM mandates related to floods and droughts that they must Strategic Plan needs to be led by the DRM agency, but the perform effectively. However, this is not enough; the agencies WRM agency should also actively participate in matters also must also collaborate when required. An important related to floods and droughts. The Drought Strategic Plan process for facilitating a joined-up approach is the periodic requires the active involvement of the WRM, agriculture, and preparation, approximately every five years, of strategic DRM agencies. Finally, the NMS/NHS needs to be intimately national plans for WRM, DRM, and drought management. involved in all three strategic plans. These strategic plans should be formulated through a multi-agency agency process to ensure an interlocking and Box 3.5 California: Interlocking WRM, DRM, and Drought Plans California has a set of interlocking plans dealing with flood and droughts that are led by the Department of Water Resources (DWR) and the Office of Emergency Services (OES), which serves as the DRM agency. The California Water Plan is the strategic plan for managing and developing water resources throughout the state. The Water Plan is mandated in the California Water Code, and DWR is required to update the plan every five years. The first Water Plan was developed in 1957 and focused on water supply development. The Water Plan has evolved over time, and the 2018 plan presents a broad and diverse portfolio of recommended actions that target the state’s critical, systemic, and institutional water-related challenges, including floods and droughts. The California Drought Contingency Plan was prepared in 2010 as mandated through an executive order of the Governor. DWR was the lead agency with support from more than 11 other agencies, including the OES. The objective is to minimize drought impacts by improving agency coordination; enhancing monitoring and early warning capabilities; preparing water shortage impact assessments; and developing preparedness, response, and recovery programs. The Plan identifies an integrated, regional approach to addressing drought, drought action levels, and appropriate agency responses as drought conditions change. The California State Hazard Mitigation Plan provides an evaluation of California’s hazards and sets the mitigation priorities, strategies, and actions. U.S. states are required to update their plans every five years to be eligible for disaster funding from the federal government. The Plan is an interagency effort led by OES, while DWR is an important contributor with respect to floods, dam safety, and droughts. OES also produces the State Emergency Management Plan, which communicates how the state government mobilizes and responds to emergencies and disasters, including floods, in coordination with partners in all levels of government, the private sector, non-profits, and community-based organizations. Key Issue: Producing a high-quality strategic plan is a lengthy, expensive, and complex process. The production of the three California plans required significant agency staff and financial resources; this level of effort is challenging in low- and middle- income countries, and development agencies may consider prioritizing assistance for this critical activity. 42 ● Chapter 3—National Sector Frameworks Stakeholder engagement can increase program effectiveness. Training of radar specialists and forecasters from the State Hydrometeorological Service of Moldova. Photo: R. Keene, Enterprise Electronics Corporation (EEC) 4 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 43 Facilitating a Whole-of-Society Approach Hydro-climatic risk management is a shared responsibility expertise. This chapter calls for an evolution of agency that requires a whole-of-society effort involving citizens, organizational culture so that technical and social expertise businesses, academia, farmers, civil society, the scientific are granted equal standing. In parallel, the agencies need community, and different levels of government. This chapter to embody an adaptive governance ethos whereby they are focuses on key principles and general actions that national dynamic and flexible, working with and responding to the agencies can take to facilitate this approach. As shown needs of society to help address changing hydro-climatic in Figure 4.1, a whole-of-society approach will have a risks (Cook and others 2011). cascading influence helping to better design and implement The programs that can help facilitate this whole-of-society all subsequent programs. Most agencies have a technocratic approach are summarized below and then presented in the culture as their mandates require a high level of technical subsequent sections. The chapter concludes by highlighting FIGURE 4.1 EPIC Response Framework and Whole-of-Society Approach PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE Facilitating a Whole-of-Society Approach • Hydro-Met Services Local Governments Public Participation Social Inclusion P LAN • Flood and Drought Risk Mitigation and Contingency Planning Education and Risk Communication Scientific Collaboration Open Information I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 43 44 ● Chapter 4—Facilitating a Whole-of-Society Approach actions that agencies can take to help transform themselves climatic risk management. Examples include geographical into enablers of a whole-of-society approach. Here are the information, data collected from remote sensing and summaries of the six programs: monitoring networks, and reports from publicly funded research projects. Access to this information will help ■ Local Governments. Local governments are the agencies perform their tasks and collaborate with each indispensable associates of national agencies in hydro- other, enhance scientific research, and enable citizens to climatic risk management. For every program in the better engage in the public policy process. EPIC Response Framework, local governments are key stakeholders, and for many programs, local governments play a critical role in program implementation. National 4.1 Local Governments agencies should work in partnership with local governments, and as appropriate assist them through Local governments play pivotal roles in responding to flood capacity development, technical assistance, and grant and drought disasters (World Bank 2019). As highlighted funding. National agencies can also support legal and in Chapter 12, local governments need to work in concert regulatory reforms that devolve an appropriate level of with national DRM agencies to respond to floods. They authority and responsibility to local governments. serve as one of many channels to warn about floods, to help evacuate residents, to ensure public safety, to provide ■ Public Participation. The aim is to encourage the relief to impacted people, and to help guide recovery efforts. public and stakeholders to have meaningful input not Chapter 11 notes how local governments can work in concert only on program design and implementation (such as with national agencies on drought issues; they can help participation in river basin planning or social protection disseminate information as the drought unfolds, implement programs), but also in the overall public policy process emergency drought measures, administer drought assistance, to monitor, evaluate, and improve the performance of and support social protection programs. the program. Local governments also play important roles in flood and ■ Social Inclusion. Socially excluded individuals or drought risk mitigation (Gencer 2017). Chapter 10 on groups—which could consist of women, ethnic or floodplain management highlights their central role in land religious minorities, the poor, the elderly, people with use planning, building regulations, and preparing local flood disabilities, and other groups—are typically most mitigation plans. They also oversee urban water supply vulnerable to hydro-climatic risks. Agencies should and drought contingency plans, as highlighted in Chapter first identify and understand who these individuals and 5. Local governments invest in localized water resources groups are and then make targeted efforts to ensure infrastructure to mitigate flood and drought hazards, that these people can benefit from hydro-climatic risk including stormwater drainage systems, local flood control management programs. projects, and water supply and sanitation systems (typically ■ Education and Risk Communication. Ensuring broad through their water utilities). understanding of flood and drought risks at all levels of The capacity and authority of local governments to contribute society helps people to make better informed decisions to hydro-climatic risk management varies considerably to enhance their climate resilience, including ensuring among, and sometimes within, countries. A 2017 survey public safety, protecting livelihoods, and safeguarding examined the authorities, capacities, and responsibilities assets. of 151 cities around the world with respect to disaster ■ Scientific Collaboration. In addition to collaborating risk reduction. The results are summarized in Figure 4.2. across national agencies, governments also need to The analysis indicates that most local governments are collaborate with the scientific community, tapping into constrained in their abilities to independently undertake both scientific organizations and private sector technical hydro-climatic mitigation actions. expertise. The goal should be to have both science- informed policy and policy-informed science. This also calls for more integrative and transdisciplinary hydro- 4.2 Public Participation and Stakeholder climatic research that can feed into the policy making Engagement process. Agencies need to engage with the public and stakeholders ■ Open Information. Information that governments to have effective programs for multiple reasons. First, the produce, collect, or pay for acts as the currency for hydro- information that stakeholders bring to the program design An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 45 FIGURE 4.2 Local Government Authorities for Disaster Risk Reduction Local Government Authorities, Capacities, and Resposibilities for DRR (%) (Full Authority, Capacity, and/or Responsibility) Legal authority to undertake DRR action 60 Responsible to carry 50 Authority to develop out this action 40 plans or policies 30 20 10 0 Own or operate assets Authority to develop or services partnerships Authority to access or Authority to develop and build data control budget Adequate and capable Source: Gencer and UNISDR 2017. technical staff is crucial to ensuring its success. Second, any program capacity and train staff, develop targeted and inclusive ultimately seeks to influence the decisions and actions participatory processes, and allocate the necessary time and of the impacted public and thus their understanding and budget. acceptance are necessary. Third, public monitoring and Figure 4.3 provides an overview of the “public participation participation generate incentives and pressure for the agency spectrum” developed by IAP2. The agencies will constantly to continuously improve the program. need to make strategic decisions about what level of public Ideally, public participation operationalizes a two-way participation is required for a specific situation. IAP2 communication avenue between agencies implementing has also developed a public participation toolbox which programs and the communities they serve where both can provides a list of principles and techniques for engaging inform, learn, and benefit from the process. The International with the public. Effectively calibrating the level of public Association for Public Participation (IAP2) has developed engagement required and using the right techniques requires core principles that should be internalized by all agencies a collaboration between the agency’s technical staff and its and incorporated into each program highlighted in this public engagement or social unit. report.13 National agencies can help build more effective partnerships While there are numerous advantages associated with public with local governments through various channels. They participation and stakeholder engagement, if not properly can provide technical assistance and grant funding to local structured and targeted, it may not be fully successful and governments to help build their capacities and abilities can even be counterproductive. For example, a substandard to manage hydro-climatic risks—this is a theme that is public participation process can amplify privileged voices and stressed throughout the report. They can help promote legal underrepresent marginalized groups, resulting in so-called and regulatory changes that appropriately devolve more elite capture. To implement effective public participation and authority and responsibility to local governments. Finally, stakeholder engagement, agencies must make it a priority, they can ensure that local governments are always engaged generate a robust knowledge base of the circumstances and as key program stakeholders through dedicated outreach conflicting interests of the communities they serve, build programs and special liaison officers. 13 For an overview of these core principles, see the IAP2 website at https://www.iap2.org/page/pillars. 46 ● Chapter 4—Facilitating a Whole-of-Society Approach FIGURE 4.3 Public Participation Spectrum INCREASING IMPACT ON THE DECISION INFORM CONSULT INVOLVE COLLABORATE EMPOWER To provide the public To obtain public To work directly with To partner with the To place final decision PUBLIC PARTICIPATION GOAL with balanced and feedback on analysis, the public throughout public in each aspect of making in the hands of objective information alternatives, and/or the process to ensure the decision, including the public. to assist them in decisions. that public concerns the development of understanding the and aspirations are alternatives and the problem, alternatives, consistently understood identification of the opportunities, and/or and considered. preferred solution. solutions. We will keep you We will keep you We will work with We will look to you for We will implement what PROMISE TO THE PUBLIC informed. informed, listen to and you to ensure that advice and innovation you decide. acknowledge concerns your concerns and in formulating solutions and aspirations, and aspirations are directly and incorporate provide feedback reflected in the your advice and on how public input alternatives developed recommendations influenced the decision. and provide feedback into the decisions to on how public input the maximum extent influenced the decision. possible. Source: IAP2 2018. 4.3 Social Inclusion excluding large groups of people can destabilize society, generating political unrest or civil strife. In every country, certain groups face barriers that prevent Table 4.1 illustrates common inclusion issues associated them from fully participating in the nation’s political, with some of the key programs highlighted in this report. economic, and social life. These groups may, to varying To simplify the presentation, while the term “marginalized degrees, be excluded from political processes, economic individual/group” is used, the meaning of this term will opportunities, and government services. Social inclusion depend on the specific context. The table highlights that has been defined as the process of improving the terms on marginalized groups are less likely to be engaged in planning which individuals and groups take part in society—improving processes, or to reap the benefits of healthy watershed the ability, opportunity, and dignity of disadvantaged people programs or water resources infrastructure. Social exclusion (World Bank 2020). Individuals or groups can be marginalized can also exacerbate exposure to flood and drought hazards, in terms of their socioeconomic status, age, gender, sexual for example in terms of the type and location of housing, orientation, race, ethnicity, religion, disability, or citizenship limited access to flood and drought preparedness programs, status, among other factors. Marginalized individuals and and limited access to early warnings or resources to groups can be found in all countries across the development evacuate (SAMHSA 2017). Social exclusion may also increase spectrum. vulnerability in terms of the extent to which individuals or communities can access coping mechanisms, such as finance, Social inclusion matters in and of itself, emanating from the social assistance, and stable and high-paying jobs (World principles of human rights and social justice. It also matters Bank forthcoming). Social exclusion may result not only in because social exclusion can carry substantial social, higher disaster risks and impacts to marginalized groups, political, and economic costs. Exclusion often has a negative but also in adverse long-term socioeconomic consequences impact on human capital, preventing individuals from (World Bank 2016a). achieving their full potential at multiple levels, resulting in lowered education levels and impaired health. There Every program in any country will almost always confront is ample evidence that human capital is closely correlated significant social inclusion issues that the relevant agency with economic development (World Bank 2013). Moreover, should address—even in more developed countries. A vivid An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 47 TABLE 4.1 Common Inclusion Issues in EPIC Response Framework Program Areas Program Area Illustrative Inclusion Issues for Marginalized Groups n Lack of organized stakeholder representation in planning process Basin, coastal, water utility, and irrigation n Inadequate cultural or language outreach to ensure effective participation planning n Lack of representation in planning agency n Lack of formal land tenure may restrict access to programs n Inability to meet cost-sharing requirements Healthy watersheds and climate-smart n Inadequate cultural or language outreach to ensure effective participation agriculture n Indigenous groups in remote locations may be excluded from programs n Lack of representation in natural resources management or agriculture agencies. n Limitations to participation in the design of WRI n Benefits of WRI may be directed to more influential and affluent groups Water resources infrastructure (WRI) n Potentially negatively impacted through land acquisition or construction activity n Access to natural resources, such as fisheries, may be negatively affected by WRI n Water rights may be restricted due to lack to land tenure Water resources management n Lack of representation in WRM organizations n Potentially not included in flood risk maps due to lack of land tenure n Lack of resources to comply with floodplain regulations Floodplain management n Limitations to participation in local flood mitigation planning n Inability to access flood mitigation support programs n Lack of representation in DRM agencies and local governments n Lack of income/livelihood to cope with drought shock n Difficulty accessing agro-hydro advisory services n Drought impacts may not be fully monitored and appreciated Drought monitoring, response, and recovery n May not receive emergency water supplies n May not be able to access agricultural or social protection programs n Lack of representation in drought committees n Lack of income/livelihood to cope with shock n Difficulty in receiving flood advisories n May not be able to evacuate during floods or access emergency shelters Flood monitoring, response, and recovery n Needs may not be recognized in post-flood needs assessment n May not be able to access flood relief and recovery programs n ßLack of representation in DRM agency and emergency response organizations Source: Authors. reminder of this can be seen in the impact Hurricane Katrina strategies to promote inclusion and equity. Fundamentally, had on New Orleans in the United States in 2005. The agencies should develop their organizational culture, hurricane had a disproportionate impact on low-income and policies, and program design, as well as their interaction minority communities, who also struggled the most to recover with the communities they serve, using an inclusion lens. (Shapiro 2005). Moreover, about 400 million indigenous As a starting point, it is important to identify the different people live in territories that are highly vulnerable to the groups of people impacted by a program and to assess impacts of climate change (UNESCO 2015)—yet they are their socially differentiated hydro-climatic vulnerabilities normally underrepresented in decision-making processes and and exposures. Incorporating a deeper understanding of underserved by hydro-climatic risk management programs. the unique and diverse needs of a population, including its Agencies need to develop specific methodologies suited to demographics, economic prosperity, culture, community the respective programs to tackle social equity and inclusion networks, access to resources, experience interacting issues. Although it unrealistic to change fundamental power with government, and overall vulnerability, will facilitate dynamics or political realities through specific programs, programs’ service delivery and design. This requires the it is important to recognize that they exist and to devise programs to put in place innovative mechanisms and 48 ● Chapter 4—Facilitating a Whole-of-Society Approach analysis methodologies, since many of the obstacles faced in partnership with professional organizations, universities, by marginalized groups might not be captured by standard schools, civil society, and businesses. The agency can provide assessments. For example, due to the higher levels of grants or technical assistance to its partner organizations to vulnerability experienced by poor households, the relative further support educational activities. benefits of risk reduction are likely to be higher for poorer than for richer households. This is also true within households, This report has highlighted how different agencies have where women, children, and the elderly can be more different responsibilities within the EPIC Response vulnerable to risks. Moreover, marginalized groups can also Framework and how their responsibilities extend beyond enhance a program service delivery. For example, following flood and drought risk management. Each agency should the 2004 Tsunami in the Indian Ocean and Hurricane Mitch develop standalone educational initiatives related to hydro- in Central America in 1998, women played a key role in the climatic risks in the context of climate change. For example, rehabilitation phase, carrying out such life-saving tasks as the agriculture agency should highlight how climate-smart providing food assistance, clearing roads, and organizing agriculture can help reduce flood and drought risks, as well targeted relief efforts at the community level. as providing guidance on good practices. In a similar manner, the WRM and DRM agencies should focus on how educational It is also important to assess dynamic human responses to activities address flood and drought risks. risks. Risk assessments often focus on how different groups are impacted by certain changes; however, people often Universities and professional organizations can also play do not simply suffer these impacts, but will also respond leading roles. For example, a consortium of European to them. For example, persistent flooding or droughts universities offers a master’s program on flood risk affecting marginalized (or other) groups may result in rural management that integrates science, engineering, and to urban migration or the exacerbation of tensions and socioeconomic disciplines.14 Ideally, a country should strive to conflicts. In addition, accelerating changes in society (such have a group of professionals with expertise in integrated flood as demographic trends or technological advances) affect risk management and integrated drought risk management. the ways in which individuals and groups perceive risks, and how they organize, prepare for, and respond to those Risk communication is often distinguished from emergency risks. Taking these factors into account may also help inform or crisis communication. Risk communication needs to be program design and implementation. done before a hazardous event occurs to inform the public about their potential exposure and to encourage them to Social inclusion has an important public participation engage in precautionary measures to avoid, reduce, and dimension. Achieving inclusiveness requires that the transfer these risks. Emergency communication is then used groups of people concerned are given culturally appropriate to inform people once the event is imminent or underway. opportunities to express what they need and how they can After the emergency or crisis, risk communication comes govern, and that they are involved in the identification of into play again to help present what occurred on the basis of problems and potential solutions. lessons learned (OECD 2016a). Drought and flood emergency communication is further discussed in Chapters 11 and 12. 4.4 Flood and Drought Education and Communicating hydro-climatic risk, especially in the context Risk Communication of a changing climate, is challenging. Estimating risks Each agency should strive to help educate the general embodies many complex concepts, including at its core the public and promote professional development. Educational probabilistic assessment of different hazard levels—which is programs increase public awareness and knowledge about typically beyond the level of most non-experts to fully grasp sector issues. In doing so, they provide the public and and act upon. Research on risk communication has shown professionals with the necessary evidence to make informed that risk is best understood when the communication is decisions and to take responsible action. Since education simple, tangible, relevant, and personal.15 Risk should be has strong public good characteristics, the agency should use communicated in a way that is not only clear and quantifiable, part of its budget and professional expertise for educational but also that leads people to recognize how they could be programs. These can be delivered directly by the agency or personally affected and that motivates them to act. 14 For more information about this flood risk master’s program, see the following website: https://www.floodriskmaster.org/. 15 For more information about communicating flood risk, see First Street Foundation’s website: https://firststreet.org/flood-lab/research/communicating-flood- risk/. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 49 Flood and drought risk communication share similar climate and how society and economies are addressing principles, but also significant differences. Floods are these changes is vital to inform flood and drought programs. generally rapid onset disasters, offering a clear division Scientific and research organizations are well suited to act between risk communication and emergency procedures. as external monitors of climate change impacts, providing Droughts are slow onset disasters that evolve over time in invaluable information to national agencies. an often-unpredictable fashion, thus blurring the distinction Collaboration between national agencies and the research between risk communication and emergency communication. community to generate science-informed policy and policy- Drought risks can and should be communicated during non- informed science is not an easy task. A recent framework drought periods, often through general education programs proposed by the Stockholm Environment Institute provides mentioned earlier. However, as a drought unfolds, it is some general guidelines. Key elements include: (1) necessary to provide event-specific information to potentially improving the way participants work together by designing affected groups so they can prepare for potential impacts. co-exploration and co-production processes that bring together different fields across the science-society interface; 4.5 Scientific Collaboration (2) working together to understand or define decision- relevant needs of the agency; and (3) increasing the capacity The scientific complexity of hydro-climatic risk management for collaboration by building strong networks (Daniels and is enormous. The expertise to address this complexity, others 2020). for both social and natural sciences, spans a broad range of organizations, including national agencies, research 4.6 Open Data institutes, international organizations, and the private sector. The traditional model of a “supplier” of scientific We are living in the “Information Age” where the access and information, such as a research institute, and a “user” of the control of information is the defining characteristic of our information, such as a national agency, is outdated. There time. This Age fosters disruptive technologies and new ways is a growing recognition of the need to have both science- of doing business that can both be chaotic and transforming. informed policy and policy-informed science to deal with The national agencies involved in hydro-climatic risk climate adaptation (Daniels and others 2020). In other management, including WRM, DRM, hydro-met, agriculture, words, scientific organizations and national agencies need to and natural resources management agencies, produce large effectively collaborate to generate effective science applied amounts of information. This information can take various to flood and drought risk management. forms, such as on-ground and space-based monitoring data, The structure of the EPIC Response Framework, with multiple GIS-based maps, model codes, and reports. Making this program areas and cascading impacts, underscores the information freely available to other agencies and the public importance of a transdisciplinary approach. An intervention can turbocharge advances in flood and drought management in one program area of the Framework may have unexpected through three pathways:16 impacts on other efforts to reduce hydro-climatic risks. Box First, since the different programs in the Framework are 1.2 highlighted how flood and drought disaster reduction interrelated, sharing information will allow agencies to do measures can physically interact. These measures can also their work better and collaborate more productively in a interact through social, economic, and political channels, joined-up manner. As an example, information on watershed often resulting in unexpected outcomes. Undertaking health collected by the natural resources agency serves as transdisciplinary research to better understand how physical a critical input to river basin planning exercises led by the and social factors interact can help to inform flood and WRM agency. These types of linkages exist throughout all drought management programs (Lemos and others 2019). programs highlighted in this report. Climate uncertainty is also driving the need for more Second, open data produces a better-informed public that transdisciplinary research to stay on top of a constantly can engage more effectively with national agencies, resulting changing environment. National agency monitoring programs in more effective programs. Since information is power, open can help provide data on a changing climate with standard data can be used to hold national governments and their parameters such as weather, hydrology, and land use. agencies more accountable and increase transparency. Open However, understanding the broader impacts of a changing data can also help different groups make better informed 16 The concepts of “data” and “information” are often used interchangeably, and refer to any content, whatever its medium. Open data usually requires that information be machine readable, for example reports that are digitized and suitable for computer scanning for content. 50 ● Chapter 4—Facilitating a Whole-of-Society Approach risk management decisions, ideally complemented with need to be worked out, sometimes guided by a lead national education and risk communication programs. agency. Each country will have its own evolutionary path towards a more open data environment, but clearly faster is Finally, open data can help drive innovation, economic better. growth, and environmental sustainability. As highlighted in the section on scientific collaboration, much of the expertise for managing flood and drought risks and adapting 4.7 National Sector Frameworks and Key to a changing climate exists outside of national agencies. Agency Actions Providing these scientific and research organizations with information will enable them to undertake more accurate The general principles and activities presented in previous studies and propose better solutions. As a corollary, sections are applicable to programs in the EPIC Response publicly-funded research should also be brought into the Framework and key implementing agencies, including WRM, public domain, and some private companies may also find it DRM, Hydro-met, agriculture, natural resources management beneficial to publicly share information. Open data will also and finance. Linkages to national sector frameworks and help the private sector to develop products that can help to important agency actions are presented below: reduce hydro-climatic risks. As an example, the insurance ■ Highlight the importance of the core social dimensions industry needs extensive information—much of it collected in sector laws. The laws governing the different programs by government—to formulate and properly price flood or in the EPIC Response Framework should highlight the drought insurance. importance of key elements for facilitating a whole- The generation and access to hydro-climatic information of-society approach, including public participation, is profoundly influenced by new technologies. Digital social inclusion, education, communication, scientific technologies provide the opportunity for collecting and collaboration, and open data. These elements should leveraging huge amounts of data at minimal costs. New also be incorporated into the national strategic planning disruptive technologies also have an important role in exercises for WRM, DRM, and Drought. National Strategic generating and making information accessible (such as Plans provide opportunities to analyze how effectively through SMS and interactive voice response system (IVRS)) these elements are being implemented and to identify and enabling a feedback loop between citizens and agencies. actions for improvement. For example, citizens can utilize a phone application to share ■ National Open Data Law or Policy. Since open data information or pictures documenting the situation after a is a cross-government issue, there should ideally be flood event, helping to inform impact assessments that guide a general open data law or policy providing general relief and recovery responses. principles for improving public access to information. Creating an open data environment has many challenges. The law or policy should designate a lead agency or National agencies often see their information as proprietary, organization, for example a science agency, to provide using it to expand their influence, supplement their budgets, guidelines to help sectoral agencies develop their own or to avoid accountability. There are complex issues specific open data programs. The lead agency could also associated with ensuring data quality and appropriate levels help establish cross-agency information platforms by of information classification. Issues of inter-operability creating standards for GIS, databases, and interagency between different databases and geographic information data exchanges. systems (GIS) between agencies, and even within agencies, ■ Establish and maintain a public engagement or social are common. Standardization and strong data management unit. There should be a dedicated unit in the agency in practices enable a more functional environment for data the form of a department or office that is responsible sharing. for ensuring that the core social dimensions of local Resolving these challenges requires action at multiple levels, government liaison, public participation, social inclusion, the most important of which is a national data sharing policy education, and communication are mainstreamed into or law that covers all sectors.. National agencies need to the agency operations. The unit should be sufficiently develop clear protocols for information classification—what staffed with social and communication experts to meet can be shared with whom and when—while adhering to the the specific agency needs. Ideally, the unit should have general principle of “open by design and default”. Finally, staff from marginalized groups that the agency needs to technical issues such as the inter-operability of databases involve, for example indigenous groups, ethnic minorities, and GIS systems between agencies, and public access portals or women. The agency should also strive to have An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 51 representation from marginalized groups throughout the 4.8 Key Resources organization through an equal employment opportunity program. The agency might also benefit from including a Local Governments community engagement help desk that citizens can have access to at any time to obtain information and to voice Gencer, Ebru A., and UNISDR (United Nations Office for suggestions or grievances. Disaster Risk Reduction). 2017. Local Government Powers for Disaster Risk Reduction: A Study on Local-level Authority and ■ Maintain a comprehensive internal training program. Capacity for Resilience. UNISDR. The technical units within an agency need to work collaboratively with the public engagement or social GFDRR (Global Facility for Disaster Reduction and Recovery). unit, and thus will need training with respect to social 2019. Guide to Engaging Local Actors in Disaster Recovery engagement. In many cases, it will be technical staffers Frameworks. Washington, DC: World Bank. who are directly interacting with the public and other ICLEI (Local Governments for Sustainability). 2008. Local stakeholders, so they need to be well equipped to Government and Integrated Water Resources Management manage the task. (IWRM): Parts I-IV. Freiburg: ICLEI. ■ Develop social guidelines for every program. There should be specific guidelines related to public Public participation and stakeholder participation and social inclusion that are tailored to the engagement needs of each program. The guidelines should provide EPA (U.S. Environmental Protection Agency). 2018. “Public guidance on which groups to interact with and how, and Participation Guide in Multiple Languages.” February 22, establish clear points for social engagement throughout 2018. https://www.epa.gov/international-cooperation/pub- the program. lic-participation-guide. ■ Have an education support plan. The agency should FEMA (Federal Emergency Management Agency). 2011. A clearly identify its priorities for public and professional Whole Community Approach to Emergency Management: Prin- education and how it will facilitate these efforts, for ciples, Themes, and Pathways for Action. Washington, DC: example direct delivery, partnerships, or funding. Education FEMA. activities related to climate adaptation and hydro-climatic risk management should be prioritized. Potential partners GWP (Global Water Partnership). 2017. “IWRM Toolbox: C5 include professional associations, universities and research Communication.” March 31, 2017. institutes, schools, and civil society. IAP2 (International Association of Public Participation). n.d. ■ Maintain a scientific advisory committee. The agency “Advancing the practice of public participation.” should assemble a group of high profile and influential experts from all relevant social and natural science Social inclusion disciplines into a scientific advisory committee. The committee should interact collaboratively with the Erman, Alvina, Sophie Anne De Vries Robbe, Stephan agency to help identify priority policy-relevant research Fabian Thies, Kayenat Kabir, and Mirai Maruo. 2021. Gender and to seek advice on key issues confronting the agency. Dimensions of Disaster Risk and Resilience: Existing Ideally, the agency would reserve part of its budget for Evidence. World Bank, funding the most important research. IFRC (International Federation of Red Cross and Red Crescent ■ Maintain an information unit. As part of the agency’s Societies). 2012. Community Early Warning Systems: Guiding overall information technology (IT) support, there Principles. Geneva: IFRC. should be a unit specifically for promoting open data, IRC (International Water and Sanitation Centre). 2019. for interacting with other agencies, and for establishing Quick Scan of Socially Inclusive Integrated Water Resources cross-agency data platforms as appropriate. Staff in this Management. IRC: The Hague. unit not only need to understand the IT issues, but also how the data are used and by whom. Karen Meijer, Caroline Sullivan, Judith Blaauw, Femke Schasfoort, Bouke Ottow, and Diana Morales, 2019. “Social Inclusiveness in Floods and Droughts: How Social Variations in Impacts and Responses Can Be Taken into Account.” Working Paper, Deltares, Delft. 52 ● Chapter 4—Facilitating a Whole-of-Society Approach UNESCO (United Nations Educational, Scientific and WMO (World Meteorological Organization) and GWP CEE Cultural Organization). 2015. “Reinforcing the Resilience (Global Water Partnership Central and Eastern Europe). of Indigenous Peoples and Sharing Knowledge to Address 2019. How to Communicate Drought: A guide by the Integrated Climate Change.” November 26, 2015. Drought Management Programme in Central and Eastern Europe, 2019. Geneva: WMO. Scientific Collaboration Open Data Daniels, Elizabeth, Sukaina Bharwani, Åsa Gerger Swartling, Gregor Vulturius, Karen Brandon. 2020. “Refocusing EU (European Commission). 2011. Communication from the the climate services lens: Introducing a framework for Commission to the European Parliament, the Council, the co-designing “transdisciplinary knowledge integration European Economic and Social Committee and the Committee processes” to build climate resilience.” Climate Services 19 of the Regions. “Open data: An engine for innovation, growth (100181). and transparent governance.” EU (European Commission). 2019. “EU Directive 2019/1024 Risk Communication of the European Parliament and of the Council of 20 June 2019 on open data and the re-use of public sector information.” OJ OECD (Organisation for Economic Co-operation and L 172, 26.6.2019, p. 56. Development). 2016. Trends in Risk Communication Policies and Practices. OECD Reviews of Risk Management Policies. GSA (U.S. General Services Administration). n.d. “Federal Paris: OECD Publishing. Crowdsourcing and Citizen Science Toolkit.” Shaw, Chris and Adam Corner. 2014. Communicating Drought World Bank. 2019. “Open Government Data Toolkit.” Risk in A Changing Climate. Oxford: Climate Outreach. Washington, DC: World Bank. 5 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 53 Hydrological and Meteorological Services Information related to weather, water, and climate is responses. Drought forecasting enables drought managers to fundamental to managing hydro-climatic risks for every zero in on potentially affected areas to better assess impacts program in the EPIC Response Framework. As shown in Figure and identify vulnerable populations. Hydro-met information 5.1, the hydro-met services program area sits near the top of also serves to inform flood and drought recovery programs, the Framework as hydro-met information provides the most including the structuring of insurance programs and other basic parameters for all forms of water-related planning, water disaster risk financing programs. The quality of hydro-met infrastructure design and operation, and water management. services is of such critical importance to a country’s hydro- Hydro-met information helps to delineate floodplains climatic risk management that it should feature front and to better enable floodplain management. Monitoring center in each of the National Strategic Plans discussed in and forecasting of floods drive emergency management Chapter 3: WRM, DRM, and Drought. FIGURE 5.1 Hydro-met Services in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach Hydro-Met Services National Framework for Hydro-Met Co-production of Services: National Water Data Program P LAN • Flood and Drought Risk Mitigation and Contingency Planning Drought Monitoring Flood Forecasting and Warning Agrometeorological Services I NVEST • Healthy Watersheds • Water Resources Infrastructure National Climate Assessments C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 54 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Accurate and timely climate, weather, and water information is the bedrock on which hydro-climatic risk management is built on. Satellite image of Atlantic storms Photo: NASA An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 55 This chapter starts off with a description of the core services ■ Co-production of the National Climate Assessment related to weather, hydrology, and climate. Then the national (NCA). The NMS/NHS typically plays a key role in framework for meteorological services (NMS) and national producing a periodic NCA, which provides an overview hydrological services (NHS) are discussed. In some countries, of existing and potential future climate scenarios and the NMS and NHS are combined, and in other countries they their social, economic, and environmental impacts. This operate as separate agencies; this report therefore adopts assessment helps to guide adaptation actions across the convention “NMS/NHS” to account for both possibilities. multiple sectors and reduce hydro-climatic risks. The next section looks at the need of NMS/NHS to work with other agencies in a joined-up manner in the co-production of 5.1 Hydro-met Services services. The six key topics in the chapter are: ■ National Sector Framework and Evolution of NMS/ General Description18 NHS. The legal framework for NMS/NHS should ensure Weather Services involve the provision of routine weather that the agency can serve as a facilitator, as opposed forecasts provided by both public and private weather to a monopoly provider, of weather, water, and climate services. The NMS is normally designated as the national services. The NMS/NHS needs to tap into the global authority with the exclusive competence to issue warnings “Weather Enterprise”,17 a broader network of global of hazardous weather and increasingly for warnings of the and regional centers, the weather industry, and other impact of hazardous weather. Weather services include: (1) specialized agencies and research organizations to maintaining a national meteorological observational network deliver the best possible services for the country. In the for weather and climate applications; (2) sharing national event that the NMS and NHS are separate agencies, the meteorological data with other WMO members through the legal framework also needs to ensure that two agencies Global Telecommunications System (GTS); (3) providing very can collaborate in a seamless manner. short-, short-, medium-, and long-range forecasts of various ■ National Water Data Program. The NHS usually does hazards, including heavy rainfall or snow, hail, excessive not have a monopoly on water data as surface water, heat or cold, storm surges, high winds, high waves, and bush groundwater, and water quality data are often collected and forest fires; (4) preparing and issuing warnings related and stored by different national agencies. Ensuring that all to high impact weather; (5) providing warnings of other high-quality water data are freely available and accessible phenomena, depending on national requirements, such as to all users, ideally through a single water data platform, tsunamis and other seismic hazards, landslides, avalanches, produces value for every program in the Framework. and space weather; and (6) contributing to a multi-hazard impact-based early warning system. ■ Co-production of Drought Monitoring and Impact Assessment Services. As highlighted in Chapter 11, the The provision of national services depends in large measure NMS/NHS should play a pivotal role in drought monitoring on international data sharing and on WMO global production and impact assessment as part of a collaboration nexus centers and regional consortia for numerical weather between NMS/NHS, WRM, Agriculture, and DRM agencies. prediction products. Some national services develop their own numerical prediction capabilities or work with ■ Co-production of Flood Forecast and Warning Services. neighboring countries to do so. However, the current trend is As highlighted in Chapter 12, the NMS/NHS has a critical to depend on large centers to provide probabilistic forecast role to play in flood forecasting and warning as part of a products with NMS/NHSs focusing more on scaling these collaboration nexus between NMS/NHS, WRM, and DRM products to their own specific needs. agencies. Co-production of services with the private sector is emerging ■ Co-production of Agrometeorological Advisory Ser- as a new trend to try to maximize the investment of both the vices. Farmers are particularly prone to be affected by public and private sectors and to harness their differentiated weather fluctuations and extreme events. The NMS/ skills to provide services to the public and to private clients. NHS can team up with the agriculture agency to provide weather and seasonal forecasts in a manner that is ac- Hydrological services involve the provision of information cessible and actionable by farmers. on the hydrological cycle and the status and trends of 17 For more information on the weather enterprise, see the following: Thorpe, Alan, and David Rogers. 2018. “The Future of the Global Weather Enterprise: Opportunities and Risks.” Bulletin of the American Meteorological Society 99 (10). https://doi.org/10.1175/BAMS-D-17-0194.1. 18 A detailed description of weather, hydrological, and climate services can be found in Rogers and Tsirkunov (2013), Rogers and others (2019), and various World Meteorological Organization publications. 56 ● Chapter 5—Hydrological and Meteorological Services a country’s water resources, including surface water, emergency responders; and (3) future climate forecasts groundwater, and water quality. Hydrological services and projections of climate conditions for use in mitigation, include: (1) operating and maintaining a hydrological planning, and adaptation. observational network to monitor major and some smaller While the NMS/NHS may be responsible for climate rivers; (2) taking and integrating hydrological observations forecasts, the generation of climate services is often a multi- from other parties; (3) maintaining an interoperable data disciplinary exercise requiring the close partnership and management system; (4) carrying out water level and flow monitoring; (5) providing short-term low flow forecasts, collaboration with other relevant agencies, users, and often flood forecasts, and hydrological data products for the design research institutes. The latter are frequently responsible and operation of water supply structures; and (6) providing for the generation of past climate information and climate seasonal stream flow outlooks and specialized hydrological change forecasts. Climate services are a relatively new area products. but are a key component of hydro-climatic risk management, particularly under the conditions of a changing climate. Climate Services are broadly defined as information and products that enhance users’ knowledge and understanding Space-Based Observations, such as remote sensing data about the impacts of climate on their decisions and based on satellite observations, have opened new frontiers in actions. They go beyond the standard meteorological and hydro-met monitoring. They allow for convenient and accurate hydrological services and provide products that meet the measurements of parameters such as evapotranspiration, specific requirements of end users. Some examples of soil moisture, and net primary productivity. This information climate services include: (1) past climate information, data is critical to understanding land-atmosphere interactions stewardship and rescue, reanalysis, and historical climate and helps to improve weather, climate, and hydrological summaries; (2) present climate observations, monitoring, services. Although the space-based observations are derived climate summaries, reports, and studies to estimate the from private or public satellites, the NMS/NHS and other type, range, and likelihood of variations of climate variables parties can use this information to help them improve the relevant for users such as farmers, water managers, and quality of their services. Box 5.1 Hydro-met-Related Services in The Philippines Situated in the typhoon belt, the Philippines is usually hit by around 20 tropical cyclones every year as well as monsoons that cause floods and landslides. The country is also affected by earthquakes, tsunamis, volcanic eruptions, and other natural hazards. This vulnerability to natural hazards has put hydro-met services at the forefront of DRM activities. The main government hydro-met service providers in the Philippines are the Philippine Atmospheric, Geophysical and Astronomical Services Administration (PAGASA) and the Nationwide Operational Assessment of Hazard (NOAH) Center, with important roles also being played by the Mines and Geosciences Bureau (MGB) and the Bureau of Research and Standards of the Department of Public Works and Highways (DPWH-BRS). PAGASA was established in 1972 and depends on the Department of Science and Technology (DOST). It is represented on the National Disaster Risk Reduction and Management Council (NDRRMC). PAGASA’s three main mandates are: (1) to provide data and information on atmospheric, astronomical, and other weather-related phenomena to better protect society from the impacts of natural hazards, including floods, landslides, and storm surges as well climate change; (2) to inform decision making on DRM, climate adaptation, and IWRM; and (3) to ensure compliance with related international obligations (for instance, to the WMO). The NOAH Center, which is managed by the University of the Philippines, is a national scientific research center tasked with generating science-based information for the purpose of climate change action and disaster risk reduction by providing timely, reliable, and readily accessible data and information, such as hazard risk maps, as a basis for action by warning and response agencies against possible disasters that may occur from floods, typhoons, and other natural hazards. Key Issue: Over the last decade, PAGASA’s role as NMS/NHS was strengthened significantly. However, there also have been ups and downs. Significant increases in government funding and in support from development agencies were needed to address issues around budget, operations and maintenance, and communication and dissemination. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 57 National Sector Framework for Hydro-met basic needs of the government and society for weather, Services water, and climate information. In part, this occurs because the various potential beneficiaries of hydro- Meteorological services are often governed by a national met services—national agencies, the private sector, meteorological law. If there is a combined NMS/NHS, then and the general public—do not coalesce into a strong the law also includes hydrological topics. In other cases, coalition that can demand better services and adequate hydrological issues are typically addressed through the government funding. One of the objectives of this report water resources law. In cases where there are separate is to show the broad and indisputable dependence of meteorological and hydrological laws, it is extremely effective hydro-climatic risk management on hydro- important to make sure that these two legal and regulatory met information. Box 5.2 provides an overview of the regimes are seamlessly integrated. economic value of hydro-met investments. The basic legal and regulatory framework for hydro-met ■ Ensuring Open Data. NMS/NHS agencies are sometimes services has been described in detail in a 2013 World Bank antagonistic to open data policies and an inclusive, report entitled “Weather and Climate Resilience” (Rogers competitive environment for weather and hydrological and Tsirkunov 2013). Some of the key topics to be addressed services. This apprehension is often driven by their include defining a clear mandate, including all relevant precarious financial condition. They may perceive actors beyond the NMS/NHS, open data principles, revenue legislation and regulation as a blunt instrument to generation, research and development, and authorization to protect their interests, rather than as a tool to help arrange for joint monitoring and forecasting of meteorological the country to address its weather and water-related and hydrological disasters among government agencies. challenges. This impediment is best addressed by Hydro-met laws need to evolve quickly to adjust to changing ensuring a high-level commitment from the national technology and to meet the increasing demands from users, government. The national strategic planning process for specifically from the WRM, DRM, and Drought Communities. WRM, DRM, and drought discussed in Chapter 3 can help Often there is an overemphasis on NMS/NHS functions provide a platform to advocate for sustainable funding with insufficient attention paid to the broader need of to help deliver essential hydro-met services. providing weather and hydrological services. This can ■ Collaboration with global initiatives. Agreements result in obligations and regulations imposed on others and brokered by the World Meteorological Organization insufficient accountability for what the NMS/NHS should (WMO) govern the international exchange of data and produce. Some of the critical policy issues that should be information, which is essential to provide high-quality addressed in the legal and regulatory framework include the national meteorological and hydrological forecasts and following: warnings. However, these agreements are not easily ■ Ensuring Public–Private Partnerships. Creating enforceable, and countries are not necessarily fully opportunities for the private sector should be addressed compliant with their obligations or at best meet only the in national laws and policies. A 2019 World Bank report, minimum requirements. This undermines the ability of “The Power of Partnership”, highlights the benefits of countries to meet their own needs for public weather, policies that promote private sector services in hydro- water, and climate services. met services, resulting in a win-win situation for both private and public sector clients (World Bank 2019a). Generic Evolution Unless carefully crafted, legislation may inadvertently The World Bank is in the process of developing a detailed inhibit public and private partnerships by reinforcing NMS/NHS governance model which has been adapted for the monopoly of government institutions, often to the this report and presented in Table 5.1. This table is more detriment of users of these services. comprehensive than the generic evolution table presented for ■ Providing adequate funding. Adequate public funding other programs in that it includes financing and management for public meteorological and hydrological services is dimensions. Given the importance of hydro-met services in an ongoing issue in most developing countries. This the EPIC Response Framework, it is important to ensure they continues to limit the public sector in meeting the most are functioning at the highest possible levels. 58 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Hydrological monitoring is often spread out over many agencies. Hydrometric probe to detect the height of the river and prevent floods. Photo: ChiccoDodiFC Box 5.2 Economic Value of Hydro-met Servicesa Understanding the full value of hydro-met services helps to focus public attention on the vital role that they play, as well as ensuring adequate government funding. The benefits of hydro-met services extend beyond the traditional financial bottom line (the cash flows) to a full suite of social, environmental, and economic benefits. Economists have identified a range of potential benefits, including the avoidance of damage, reduced mortality and morbidity, water and energy savings, and increased agricultural production. It has long been understood that hydro-met services provide significant benefits relative to their costs. However, the value of these benefits has been harder to quantify. Since 1950, economists have undertaken a number of studies on this subject, resulting in a wide range of benefit-cost ratios. The results depend on the specifics of each country, the valuation methodology (such as non-market valuation, economic modelling, avoided cost assessment, benefit transfer), the services assessed (whether the whole of hydro-met services or a specific service), and the beneficiaries considered (individuals, households, government, or a variety of sectors). Based upon these studies, a generic benefit-cost ratio of 10-1 is often used to help highlight the importance of hydro-met services. a. The following information was drawn from (World Bank 2013), (Jha and Stanton-Geddes 2013), and (WMO, World Bank, and USAID 2015). Key Issue: Investment in hydro-met systems by themselves however do not create this value. In many countries there have been significant investments in expanding hydrological and meteorological monitoring networks, often supported by development agencies in an uncoordinated manner, but the NMS/NHS may struggle to maintain this infrastructure. Equally important, the NMS/NHS needs to have dedicated professional staff who are appropriately compensated. Finally, the NMS/ NHS needs to produce services that generate benefits for users. When these conditions are in place, investments in hydro-met services generate enormous value and should be a priority for governments. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 59 TABLE 5.1 The NMS/NHS Governance Generic Evolution: Legal Framework, Financing, and Management Nascent Engaged Capable Effective Advanced Legal framework: Legal framework: Legal framework: The Legal framework: A Legal framework: A no legal framework, The government NMS/NHS has started meteorological law has been meteorological law, entity operates within and its NMS/NHS the process of creating adopted, which mandates which governs the the overall regulations recognize the need a meteorological the responsibilities of NMS/ provision and use of of government’s for a legal framework law which may NHS and may define the roles meteorological and administrative and regulations, include hydrology. and responsibilities of other hydrological services structure. which include The latter may also actors and provide a legal by all actors including defining the roles andbe included within framework for the production, the private sector, is in Financing: NMS/NHS a Water Law. It may responsibilities of the exchange, and sharing of data place. An advanced law does not have own NMS/NHS. also have established related to the provision of promotes and regulates budget. No annual regulations particularly meteorological services. Often the work of the private budget reviews. No Financing: Government for the provision the law may be restrictive sector alongside the explicit provision reviews allocation and of aeronautical and promotes a monopolistic provision of services for operations and method of financing meteorological position of the public sector by public entities. An maintenance (O&M). the NMS/NHS. It may, services. in the provision of services. advanced law supports Budget is allocated for example, give more The law should define the an open data policy. primarily for staff costs. autonomy by changing Financing: Budget is meteorological authority and the status from allocated to NMS/NHS Financing: Authority Management: Head of regulator for provision of department to agency. by government. NMS/ to establish subsidiary the service has little meteorological services, which NHS manages its own bodies, which may autonomy in decision Management: may or may not be the NMS/ financial allocation but operate commercially making concerning Authority delegated to NHS. The law should cover the remains a government and competitively. policy, strategy, and the head of NMS/NHS provision of public, private, department with Budget allocation from human resources; for policy, strategy, and and club goods (WMO 2015). little or no flexibility. government is sufficient decisions are made at human resources. Regulations related to the NMS/NHS has plans to support public service ministry level. provision of services should for or has initiated responsibilities of the follow from the Law. establishing an asset NMHS defined by law. register. Financing: Budget allocation Management: Year- is sufficient to cover operating Management: In on-year improvement expenses (OPEX). NMS/NHS addition to the in performance based has a high degree of autonomy inclusions in the two on targets and key from its parent ministry previous categories, performance indicators in budget decisions. Cost NMS/NHS has staff (KPIs). recovery for services provided hiring authority with by the NMS/NHS to other a financial and staff government departments and allocation ceiling. agencies is defined. The NMS/ NHS uses an asset register to depreciate capital equipment. Management: Performance targets are negotiated and agreed with government, and key performance indicators are used to manage the service. More financial autonomy is given to NMS/NHS. Cost- recovered services and revenue generated are applied directly to the NMS/NHS. Source: Kootval and Soares 2021. 60 ● Chapter 5—Hydrological and Meteorological Services 5.2 Co-production of Hydro-met Flood Forecasting and Warning. This topic is explored in Services depth in Chapter 12, which notes that different types of flood require different approaches. Flood forecasts and warning Program Descriptions require a cooperation nexus among the NMS/NHS, WRM, and DRM agencies. Clear interagency agreements and operational Basic weather and hydrological services are the foundation protocols need to be developed to ensure that this nexus for hydro-climatic risk management, but NMS/NHS also need operates efficiently. One option is to establish a National to collaborate with other agencies to offer services on top Flood Center which can foster collaboration and flexibility to of this foundation. Developing interagency collaboration is handle a variety of floods. The different types of floods and not an easy task but is fundamental to creating the necessary potential agency roles are described below: services for flood and drought management. The key areas for the co-production of services are presented below: ■ River Flooding with Infrastructure. If a country or river basin has an extensive stock of flood control National Water Data Program. The collection of hydrological infrastructure, such as reservoirs, river embankments, data is often spread out across multiple national agencies or flood control gates, then the NMS/NHS needs to that collect different types of information, for example surface collaborate closely with the WRM agency to generate water, groundwater, and water quality. Ideally, there would flood forecasts. This is ideally done through a Flood be a single (or potentially multiple) program to consolidate Center operated by the WRM agency with staff from the this information and make it freely and easily accessible NMS/NHS providing updated weather information and to the public. There are various approaches for doing this, forecasts. The DRM agency should liaison closely with including creation of hydro-informatics centers, open water the Flood Center to make it possible to quickly issue data initiatives, and the establishment of national water data warnings to affected communities and act through a systems. Ideally the NHS or natural resources management multi-hazard Emergency Management System (EMS). agency should be mandated to facilitate a national water data program and enter into interagency agreements and ■ River Flooding without Infrastructure. In some cases, operational protocols to ensure the smooth flow of high- rivers may be unregulated and without flood control quality data. This would generate enormous value added for infrastructure. In this case, the WRM agency has a more water-related planning, design of water infrastructure, and limited role to play. The NMS will need to work closely research. All agencies working working on hydro-climatic with the NHS (which may be embedded in the WRM risk management would benefit from combining their water- agency or a part of the NMS) to translate weather and related information through a national water data program. hydrological data into river flood forecasts. The NMS/ NHS should collaborate with the DRM agency to translate Drought Monitoring and Vulnerability Impact Assessment. flood forecasts into warnings for affected communities This topic is explored in depth in Chapter 11, which notes that through the emergency management system (EMS). droughts generally evolve gradually over time, cover large ■ Coastal Flooding. Most coastal flooding is associated areas, and have broad social, economic, and environmental with storm surges generated by cyclones.19 The NMS/ impacts. A national drought monitoring program is usually NHS plays the leading role in storm forecasting, and the best approach, requiring a nexus of cooperation among generally collaborates with the ocean or maritime agency NMS/NHS, WRM, agriculture, and DRM agencies. The NMS/ to forecast the extent of storm surges. The NMS needs NHS plays a critical role in monitoring drought hazards by to work closely with the DRM agency, often through a providing analysis on “dryness” conditions (World Bank Cyclone Center, to monitor and forecast storm impacts 2019). However, this hydro-met information is only part of and act through the EMS. In many cases, storms also the story, as droughts are assessed primarily by their impacts create inland river floods which interact with coastal on farmers, cities, and the environment. The NMS/NHS needs floods requiring a response for both river and coastal to work closely with the other agencies, local governments, flooding. and other parties to better understand vulnerabilities, risks, and appropriate drought response actions. The National ■ Impact-Based Flood Warnings. The value of flood Drought Framework discussed in Chapter 3 should help warnings can be significantly enhanced if the potential facilitate interagency agreements and operational protocols impacts are well understood. Chapter 10, Floodplain to ensure this nexus operates smoothly. Management, underscores the importance of river 19 The term cyclone covers a variety of storm types. A tropical cyclone is generally referred to as either a typhoon or a hurricane. A mid-latitude cyclone, in either the northern or southern hemisphere, is generally referred to as a storm. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 61 and coastal floodplain mapping and how, among the current status of the climate, and anticipated trends for other benefits, this can help inform flood warning and the future.20 It typically provides analysis of the effects of emergency response. climate change on the environment, agriculture, health, water resources, and coastal areas, and includes an analysis of flood Agro-Climate Advisory Services. As highlighted in and drought risks. An NCA can help guide adaptation actions Chapter 11, farmers are particularly prone to be affected across society by informing planning at all levels, influencing by fluctuations in weather and by extreme hydro-climatic private investment decisions, and spurring actions to enhance events, particularly droughts. It is estimated that 20-80 climate resilience. The development of an NCA needs to be percent of the inter-annual variability of crop yields is a collaborative effort with many national agencies, as well associated with weather phenomena, and 5-10 percent of as other stakeholders. Although lead responsibility for the national agricultural production losses are associated with formulation of an NCA will vary by country, in every case the climate variability (WMO 2019). The NMS/NHS can team with NMS/NHS needs to be front-and-center in the process as the agriculture agencies to help farmers better cope with climate leading authority on climate. variability and extreme events through the provision of agro- climate advisory services. Farmers receive information at An NCA is a complex undertaking and less-affluent countries different time scales to help them make informed decisions. may need international assistance. Global experience has For example, weather forecasts up to a week in advance can shown that the process of formulating an NCA and pondering help them make decisions regarding planting and harvesting, the manifold impacts of climate change and its attendant fertilizer application, and irrigation requirements. Seasonal risks is as important as the actual report—which in any forecasts on the order of months can inform cropping case needs to be periodically updated. The various national decisions and livestock strategies. agencies can build upon the knowledge gained through the NCA to develop more climate-sensitive sector strategies. Co-Producing National Climate Assessments (NCA). An NCA helps to inform the country about already observed changes, Box 5.3 Co-production of Hydro-met Services in the Netherlands: An International Approach Flood and drought management activities in the Netherlands are coordinated by the Netherlands Water Management Center (NWCN). The NWCN is housed within the Directorate-General for Public Works and Water Management, which in Dutch is called the Rijkswaterstaat. The Rijkswaterstaat is a semi-autonomous entity in the Ministry of Infrastructure and Water Management (MIWM). The NWCN combines meteorological information from the Royal Netherlands Meteorological Institute (KNMI), which is another agency of the MIWM, with actual and forecasted data on river discharges and (sea)water levels in the Netherlands. The KNMI bases its forecasts on data collected in cooperation with the European Center for Medium-Range Forecasts (ECMWF), the Network of European Meteorological Services (EUMETNET), and the European Organization for the Exploitation of Meteorological Satellites (EUMETSAT). The hydrological forecasts are based on models and data developed by the Rijkswaterstaat in cooperation with partner institutes in upstream countries. A special feature of the NWCN is that, in addition to providing hydro-met services, it also organizes the operational response to extreme hydrological conditions (floods and droughts) by bringing together the actual water managers of the Rijkswaterstaat and the water boards, the provinces, the DRM agency (safety regions), and the knowledge institutes. Based on prescribed procedures, they jointly decide on necessary actions. Besides short- and mid-term weather forecasts, the KNMI also provides science-based long-term climate scenarios for climate and sea level rise. This is done in cooperation with other national and international scientific institutes and the IPCC (Intergovernmental Panel on Climate Change). The activities and responsibilities of the KNMI and Rijkswaterstaat have a legal basis in national laws. Key Issue: A key feature of the hydro-met services in the Netherlands is the international cooperation, sharing data and information. But also a simple phone call from a sister institute upstream has proven to be very effective in providing timely responses to flood and drought events. 20 For an example of an NCA see the U.S. Global Change Research Program website: https://nca2014.globalchange.gov/. 62 ● Chapter 5—Hydrological and Meteorological Services National Sector Frameworks ■ Each agency has the means of inducing the others to act in manner that contributes to the realization of the value Ideally, specific programs for the co-production of services sought. should be included in the meteorological law, as well as the relevant WRM, DRM and Drought laws. The way the ■ Each agency and its potential partners judge that a agencies collaborate, however, needs to be further specified reasonable level of trust exists already or can be built among the agencies. This can take place through a variety of within a relevant time period. mechanisms, which are not mutually exclusive, including: (1) In some cases, the capacity of the different agencies may vary executive decisions compelling agencies to collaborate; (2) considerably, and the ability to co-produce services will be formal memoranda of understanding (MoU) or interagency constrained by the weakest agency. In all the cases, the NMS/ agreements; and (3) promulgation of agency regulations that NHS provides the primary inputs to these services and thus define how an agency will interact with another agency. the national government should prioritize the development of It is important to make the distinction between collaboration NMS/NHS. In the event the NHS/NMS is the weak link, the other and coordination, where collaboration implies a degree of agencies should also advocate for upgrading the NMS/NHS to equality among the contributing agencies, while coordination help them fulfill their own specific mandates. The strategic is prone to the domination of more powerful agencies and planning processes identified in Chapter 2 for WRM, DRM, runs the danger of becoming merely ritualized consultation. and Drought provide platforms for assessing the performance Implicit in this approach is the recognition that the co- of NMS/NHS and the quality of co-produced services and for production of services requires the exercise of the unique generating strategies for further development. capabilities of different agencies in an interdependent manner and that the objective cannot be achieved by any Generic Evolution agency acting on its own. This should not be assumed, but rather tested on a case by case, country-specific basis Table 5.2 provides an example of the generic evolution for demonstrating that the three tests below are met: interagency collaboration. ■ Production by the agencies acting together can create more value than each agency acting alone. TABLE 5.2 Generic Evolution of Co-production of Hydro-met related Services Nascent Engaged Capable Effective No coordination and No legal or regulatory Legal and regulatory framework Well-established legal and collaboration mechanisms exist. framework, but agencies in the in development. regulatory framework has process of developing formal evolved over time. Planning is conducted by each Agencies have formal coordination and collaboration agreements to coordinate and Agencies have formal and agency separately. mechanisms. collaborate. mutually beneficial agreements No legal or regulatory Planning is conducted by to coordinate and collaborate. framework for joined-up Clear, differentiated roles and each agency separately, but responsibilities of agencies. NMS/NHS engages in co- government thinking. cooperatively. production of flood forecasts Differentiated roles and NMS/NHS engages in co- Differentiated roles and and impact-based warning responsibilities of agencies production of flood forecasts responsibilities of agencies in issued by the DRM agency. unclear. with clear linkages to DRM progress. warnings. NMS/NHS provides drought No co-production of services. NMS/NHS engages in co- monitoring and forecasts, NMS/NHS provides drought production of flood forecasts allowing the Drought Committee monitoring and forecasts, but with weak linkages to DRM to monitor vulnerability and but with clear linkages to the agency. impacts. Drought Committee. NMS/NHS provides drought National water data program Rudimentary impact-based monitoring and forecasts, but allows free and easily accessible flood warning and impact-based with weak linkages to Drought data for all users. drought monitoring. Committee. NMS/NHS incorporated into Water data are public and Water data are maintained National Strategic WRM, DRM, shared among agencies, but no separately and exclusively by and Drought Plans. national water data program each agency. exists. Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 63 5.3 Key Resources World Bank. 2019.The Power of Partnership: Public and Pri- vate Engagement on Hydromet Services. Washington, DC: Rogers, David P., and Vladimir V. Tsirkunov. 2010. Global As- World Bank. sessment Report on Disaster Risk Reduction: Costs and Benefits WMO (World Meteorological Organization). 2015. “WMO of Early Warning Systems. United Nations International Strat- guidelines on multi-hazard impact-based forecast and warn- egy for Disaster Reduction (UNISDR) and World Bank. ing services.” WMO TD no. 1150. Rogers, David P., and Vladimir V. Tsirkunov. 2013. Weather WMO (World Meteorological Organization), World Bank, and and Climate Resilience: Effective Preparedness through Nation- USAID (United States Agency for International Development). al Meteorological and Hydrological Services. Directions in De- 2015. Valuing Weather and Climate: Economic Assessment of velopment. Washington, DC: World Bank. Meteorological and Hydrological Services. Geneva: WMO. Rogers David P., Vladimir V. Tsirkunov, Haleh Kootval, Alice Soares, Daniel Kull, Anna-Maria Bogdanov, and Makoto Suwa. 2019. Weathering the Change: How to Improve Hydromet Ser- vices in Developing Countries. Washington, DC: World Bank. 64 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Water conservation in irrigation and urban water supply is a key drought mitigation action. Celery field is watered and sprayed by irrigation equipment in the Salinas Valley, California USA. Photo: Pgiam 6 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 65 Flood and Drought Risk Mitigation and Contingency Planning As reflected in Figure 6.1, flood and drought planning Conversely, planning activities rely heavily on the enabling establishes a roadmap for many of the other programs in the programs higher up the Framework. The national sector lower parts of the EPIC Response Framework. Mitigation in frameworks for WRM, DRM, and drought provide authorization this report is broadly defined as actions to reduce the three and support for planning. Engaging with the whole-of-society disaster risk components presented in Chapter 2: (1) hazard ensures that the plans are well formulated and can be magnitude and frequency; (2) exposure to the hazard; and (3) implemented. Finally, hydro-met information provides vital vulnerability to the hazard. Planning can guide investments information to make informed planning decisions. in healthy watersheds and water resources infrastructure and help set parameters for water resources management The report presents five types of plans as summarized below. and floodplain management programs. Contingency planning The relative importance of the plans will of course depend provides a basis for responding to flood and drought events upon the context of the country. For example, coastal zone when they occur—the focus of Chapters 11 and 12. management plans are irrelevant for land-locked countries FIGURE 6.1 Planning in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating Whole-of-Society Approach • Hydro-Met Services River Basin P LAN Flood and Drought Risk Mitigation and Contingency Planning Coastal Zone Urban Water Supply Irrigation Water Supply I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 66 ● Chapter 6—Flood and Drought Risk Mitigation and Contingency Planning while irrigation water supply plans will be of less relevance promoting climate-smart agriculture. They also need to for countries that do not have large irrigation schemes. develop drought contingency plans so that when water supplies become scare, they are ready to respond. ■ Integrated River Basin Plan. This is a broad water resources management plan that addresses many ■ Local Flood Risk Mitigation Plans. Local governments different topics in an integrated manner, including need to develop plans to help reduce their flood risks, both flood and drought risk management. The plan including both structural and non-structural measures. identifies both structural and non-structural approaches These flood risks can come from overflowing rivers or to reducing hydro-climatic risks. As part of a river basin coastal surges depending on the location. Local flood plan, or in parallel, basin flood and drought contingency risk mitigation plans are discussed in Chapter 10 on plans should be developed to help prepare for and floodplain management. respond to a variety of extreme hydro-climatic scenarios. Figure 6.2 depicts several important relationships in the ■ Coastal Zone Management Plan. This is a broad planning process. First, planning for flood or drought environmental and land use plan that promotes the mitigation takes place within a broader planning process, sustainable management of fragile coastal areas and such as a river basin plan, an urban water utility plan, or an addresses many different topics in an integrated irrigation scheme plan. Second, the plans should be connected manner. Due to the coastal flood risks associated with at different scales to ensure compatibility; for example, the storm surges, rising sea levels, and more severe storms river basin plan needs to be synchronized with the plans of due to climate change, flood risk management should be the water utilities and the irrigation service providers. Third, an important element of any coastal zone management mitigation planning will help to define potential scenarios plan. for contingency planning and thus the two are closely linked. ■ Urban Water Supply Plan. As part of their overall Finally, like the national strategic planning discussed in planning processes, urban water utilities need to Chapter 3, the plans should be periodically updated on the develop both structural and non-structural approaches order of every five years. to drought mitigation, such as developing new supplies, It is important to explicitly integrate climate change and reducing leakage, and promoting water conservation. its inherent uncertainties into the various plans. Planning They also need to develop drought contingency plans, for climate change requires a shift from what are usually in collaboration with local governments, so that when traditional planning approaches that drive towards one water supplies become scare, they are ready to respond. outcome, towards an adaptive approach that considers ■ Irrigation Water Supply Plan. Like water utilities, as multiple possible outcomes and allows the exploration of the part of their overall planning process, irrigation service robustness and flexibility of various planning decisions across providers need to develop both structural and non- those multiple futures. Box 6.1 provides some highlights on structural approaches to drought mitigation, such as adaptation economics, and some of these approaches could developing new supplies, reducing system losses, and potentially be included into the planning process. Celery field irrigation in the Salinas Valley, California, United States. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 67 FIGURE 6.2 Overview of Plans for Hydro-Climatic Risk Management BASIN PLANNING DROUGHT RISK MITIGATION FLOOD RISK MITIGATION DROUGHT CONTINGENCY FLOOD CONTINGENCY WATER UTILITY PLANNING URBAN WATER SUPPLY PLAN DROUGHT CONTINGENCY IRRIGATION SCHEME PLANNING IRRIGATION WATER SUPPLY PLAN DROUGHT CONTINGENCY URBAN LOCAL PLANNING FLOOD RISK MITIGATION FLOOD CONTINGENCY FLOOD RISK MITIGATION FLOOD CONTINGENCY INTEGRATED COASTAL PLANNING Source: Authors. Illustration: Andrea Fernandez and Stephanie Ijff Flood and drought mitigation and contingency planning should be integrated into broader planning processes within a nested geographical context 68 ● Chapter 6—Flood and Drought Risk Mitigation and Contingency Planning Box 6.1 Adaptation Economic Concepts Economic thinking on adaptation has evolved from a focus on cost-benefit analysis and identification of “best economic” adaptations to the development of multi-metric evaluations including the risk and uncertainty dimensions in order to provide support to decision makers. Economic analysis is moving away from a unique emphasis on efficiency, market solutions, and cost-benefit analysis of adaptation to include consideration of non-monetary and non-market measures, risks, inequities and behavioral biases, barriers and limits, and consideration of ancillary benefits and costs. One role of economics is to contribute information to decision makers on the benefits and costs, including a number of non- monetary items, and on the equity impacts of alternative actions. It does not provide a final ranking for policy makers. A narrow focus on quantifiable costs and benefits can bias decisions against the poor, against ecosystems, and against those in the future whose values can be excluded or are understated. Sufficiently broad-based approaches, however, can help avoid such maladaptation. Indeed, the evidence shows that maladaptation is a possibility if the evaluation approaches taken are not comprehensive enough in this sense. Economics offers a range of techniques appropriate for conducting analysis in the face of uncertainties, and the choice of the most appropriate technique depends on the nature of the problem and the nature and level of uncertainty. Uncertainty is unavoidable in analyses of adaptation to climate change because of the lack of data, the efficacy of adaptation actions, and uncertainties inherent in forecasting climate change. Approximate approaches are often necessary. There is a strong case for the use of economic decision making under uncertainty, working with tools such as cost-benefit and related approaches that include time dimensions (real options techniques), multi-metrics approaches, and non-probabilistic methodologies. There are methodologies that can capture non-monetary effects and distributional impacts, and that can reflect ethical considerations. Sources: Chambwera 2014 Key Issue: The economics of adaptation is a complex and rapidly emerging field. In many cases, the ability of analysts to apply state-of-the-art approaches will be limited by the level of resources and expertise on the study team. Nevertheless, even using these concepts in a qualitative or semi-quantitative manner can add value and insight to the planning process. 6.1 River Basin Plans watershed management actions, the need for and location of new infrastructure, reservoir operations, Program Description and urban and agricultural water conservation and efficiency, as well as water allocation priorities. As River basin plans guide the development, management, part of, or in parallel to, the river basin management allocation, and use of water and related resources within plan, a Basin Drought Contingency Plan should also be a specific geographical area. Ideally, this is an actual river prepared that lays out specific actions to be taken at the basin, but in some cases the planning area may be limited basin level depending upon the level of drought severity. due to transboundary constraints or in order to ensure a Those actions could include mandatory conservation more tractable planning size. In some countries, a single measures, reallocation of water supplies, restrictions river basin is simply too large to plan as a single unit, so it is on agricultural production, different types of urban necessary to divide it into sub-basins. River basin plans are water use, or changes to reservoir operations. The typically integrated plans, addressing water quantity, water Basin Drought Contingency Plan should be informed by quality, surface water and groundwater, and the protection of assessments of risks and of vulnerable populations to water and aquatic ecosystems while enabling the integration help balance objectives and set priorities. of upstream and downstream interests. Basin plans should ■ Basin Flood Planning. A river basin management plan also include issues such as institutional responsibilities, should also identify the potential impacts of various implementation arrangements, budgets, and monitoring. It is flood scenarios and recommend water resources-related important that droughts and floods are addressed in a river mitigation strategies for minimizing flood risk, including basin plan as set out in the following paragraphs: watershed management actions, new water resources ■ Basin Drought Planning. A river basin plan should infrastructure, and protection of floodplains and identify the impacts of various drought scenarios wetlands as designated retention areas. As discussed and recommend water resources-related mitigation in Chapter 10, the river basin management plan should strategies for minimizing drought impacts, including inform land use planning and related decisions with An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 69 Box 6.2 Tanzania WRM Planning - Resilience in an Uncertain Future As of 2020, six of the nine Basin Water Boards (BWBs) in Tanzania had established IWRM plans in accordance with the 2009 Water Resources Act. As conceived, these comprehensive basin IWRM plans are well positioned to improve hydro-climatic risk management because they include flood risks as part of the basin plans’ water balance assessments. In practice, however, the plans do not yet incorporate key levers for reducing these risks, such as associated basin drought contingency plans. From a longer-term perspective, however, Tanzania is on the cutting edge. Three of the basins recently embarked on an innovative process for water infrastructure investment planning to improve resilience to droughts, floods, and other risks that are likely to appear in the future. Working with the World Bank and the Hydrosystems Group of the University of Massachusetts, Amherst, the Rufiji, Wami-Ruvu, and Pangani BWBs, and the Ministry of Water, utilized decision making under deep uncertainty approaches to identify investment portfolio mixes for each basin that are robust against multiple future conditions (both climatic and non-climatic, such as shifts in water demand and changes in technologies). The process relied on broad stakeholder input to identify key challenges and vulnerabilities, test assumptions, and develop shared visions for targets and performance metrics for each basin’s investments. This participatory process, backed by high-powered computing, has allowed the basins to identify a suite of investment options that have the greatest likelihood of improving water availability, bolstering resilience, and reducing tensions between various water users in the basins. The World Bank and other development partners are now working with Tanzania to implement key priorities that were identified through this investment strategy planning process. The approaches utilized can not only be scaled for use within the remaining six basins; the tools also were developed in “open-source” platforms and are thus transferable to other locations and contexts. respect to flood risks at the local level. As part of, or in (the cabinet) or by the high-level inter-ministerial body (if parallel to the Basin Plan, a Basin Flood Contingency one exists), such as a national water council or a national Plan should also be prepared. Such a plan should lay out water resources committee. Such a requirement should specific actions to be taken depending upon the level of enable the effective participation of agencies involved in flood severity. Those actions could include emergency hydro-climatic risk management, particularly as regards operations of reservoirs, decision rules on controlled the elements of primary concern to them (such as industry, flooding, and emergency actions such as mobilizing agriculture, power generation, and environment). flood-fighting teams and evacuating populations. The preparation of river basin management plans is typically the responsibility of the relevant river basin agency Linkage to the National Sector Framework (alternatively, the WRM agency if there is no river basin agency), with the participation and ideally under the supervision of The preparation and periodic revision (for example every five the river basin committee in which, as already mentioned, years) of a river basin management plan is typically required relevant stakeholders within the basin should be represented, by the water resources law. Such a law will also typically including agencies involved in aspects of hydro-climatic risk specify the minimum content of river basin management management. Only with sufficient buy-in from stakeholders is plans and their legal relationship with other relevant plans a river basin management plan likely to be effective. (such as which has priority). It also will specify the plans’ role in the implementation of the water resources law itself, The National Drought Plan, discussed in Chapter 3, provides for example in the setting of priorities and decisions on water the overall framework for managing droughts, assigning allocation as discussed in more detail below. responsibilities, ensuring a robust drought monitoring and assessment system, and overseeing the drought response. The water resources law will also typically set out the As a drought unfolds and different drought impact levels are procedure for the development of river basin management triggered, the Basin Plan Drought Contingency Plan provides plans, which given their cross-cutting nature should involve a foundation for WRM agencies to take appropriate actions. broad stakeholder consultation including with agencies Other actors, such as urban water utilities, agriculture service responsible for elements of the hydro-climatic risk framework. providers, national agriculture agencies, natural resources The law will also typically specify who is to adopt such a plan. management agencies, and disaster management agencies, Water resources laws typically require the plans to be should ideally also have their own drought management approved at a high level through adoption by the government plans. 70 ● Chapter 6—Flood and Drought Risk Mitigation and Contingency Planning Key Agency Actions ■ Establishing formal roles for other national agencies such as natural resources management, agriculture, The following activities are typically core responsibilities of disaster risk management, and hydro-met agencies. This WRM to ensure effective river basin planning: could include formal review processes or co-formulation ■ Fostering institutional arrangements, in terms of the of the basin plan with the WRM agency in coordination establishment of river basin agencies and river basin with the basin agency or committee. committees and ensuring they receive adequate funding ■ Ensuring public outreach and stakeholder engagement and training so that they effectively discharge their roles. by providing guidance on consultations, responding to ■ Issuing regulations regarding the basin planning feedback, and ensuring transparency. The process should process, covering topics such as how often a plan needs ensure all relevant stakeholder groups are meaningfully to be prepared, the general scope and format of the engaged, including local governments, significant plan, and the review and approval process. The role of water users (such as urban water utilities, agricultural the WRM agency in the basin planning process should be water providers, and power companies), civil society, clarified, in terms of technical and financial assistance. and the general public. Special efforts should be made to accomplish social inclusion by ensuring culturally ■ Providing technical planning guidelines for basin meaningful participation of marginalized groups. planning, including general methodology, sources of data, hydrological and hydraulic modelling approaches, ■ Ensuring the inclusion of all water resources linkages with other sectors, and other planning processes. infrastructure projects in river basin plans by requiring The guidelines should include specific guidance on that all major projects, such as multi-purpose reservoirs flood and drought mitigation and contingency planning, or flood control structures, have been incorporated into particularly taking climate change into account. the basin plan before permits or funding for the projects are provided. Box 6.3 River Basin Management Planning in the Philippines River basin planning in the Philippines is supervised by the River Basin Control Office (RBCO) of the Department of Environment and Natural Resources (DENR) in accordance with Executive Order 510 (2006). Regional Development Councils (RCDs) are supposed to be the main drivers behind integrated water planning. These RCDs are based on administrative boundaries, have little affinity with the water sector, and their capacity to supervise the planning is limited. There are only a few River Basin Organizations (RBOs) in the country and, where they exist, tend to be weakly organized and lack financial means to develop effective river basin plans. The RBCO has initiated, funded, and supervised the development of Integrated River Basin Master Plans (IRBMPs) for 17 main river basins and 3 principal river basins. The plans are developed by consultants and are endorsed by the RDCs.The quality of these plans varies as formal standards for such plans have not been established and the financial resources to develop them are limited. The plans describe the water resources system and its problems, and present a long list of possible interventions, mainly involving infrastructure, to solve the problems. The technical and economic analyses of alternative interventions is not undertaken, which makes the plans a kind of wish list. Flood and drought issues are addressed in the plans, but mainly as infrastructure investment needs for mitigation. The risk assessment in the plans is generally weak. None of the plans include drought or flood continency plans. In developing the plans, a participatory process is followed, but without resulting in clear commitments by the implementing agencies to follow up on the proposed and endorsed actions within their regular budgets. Key Issue: This first round of river basin planning in the Philippines shows that clear guidelines are needed on the content of the plans, the depth of the analysis to be carried out, and the institutional setting of the planning exercise. The World Bank has assisted the Philippine government in developing such guidelines. The guidelines emphasize the implementation of the plans (such as what is realistic and how to fund or finance), needed institutional arrangements, and ownership by the implementing agencies. These guidelines have been adopted by the main responsible agencies, DPWH (Department of Public Works and Highways) and DENR. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 71 Generic Evolution The generic evolution of river basin planning is summarized in Table 6.1. TABLE 6.1 Generic Evolution of River Basin Plans Incorporating Flood and Drought Risk Management Nascent Engaged Capable Effective No water resources law in place Water resources law in force Basin plans promote stakeholder Basin plans formulated with and so no river basin plans that requires preparation engagement through formal active engagement by all are prepared. Water resources of basin plans. Several mechanisms, such as basin stakeholders through formal development and management plans prepared but without committees or authorities. mechanisms. Adaptive planning takes place in an ad hoc and involvement of stakeholders, Drought and flood risk process utilized. Standalone uncoordinated manner. and do not comprehensively management are incorporated basin flood management and address flood and drought into basin plans or undertaken drought management plans risk management. No linkage in a parallel process. Some prepared and integrated into with water use (urban and linkage with water use (urban overall basin plan. Close agriculture) or local flood plans. and agriculture) and local flood linkages with water user and plans. local flood plans. Source: Authors. 6.2 Integrated Coastal Zone represents the terminus of a river basin, where freshwater Management Plans flows mix with seawater and bring sediments, nutrients, and pollutants that have a profound impact on coastal ecosystems. Program Description ICZM is also fundamentally intertwined with marine spatial planning by virtue of common geomorphological dynamics More than 600 million people, around 10 percent of the and the ecosystems providing services (such as flood global population, live in coastal areas that are less than 10 protection) and goods to coastal economies. meters above sea level (UN 2017). These areas are particularly vulnerable to flooding from storms and the associated storm Coastal zone management plans provide the overall surges that drive seawater onto coastal flood plains. Coastal framework for flood management programs operating in zones can also be vulnerable to water shortages and droughts coastal areas and should help inform local flood management with the additional risk of saline intrusion (and therefore plans for jurisdictions located along the coastline. They contaminated groundwater) as a result of groundwater over- also help in establishing priorities for investments related abstraction. Climate change also directly impacts coastal to coastal barrier management, including protection and communities due to rising sea levels and increasing storm restoration activities, and the prioritization of areas where frequencies and magnitudes in many areas. “hard” coastal defenses such as sea dikes or flood walls The most comprehensive paradigm for coastal zone may be necessary. Coastal zone management plans rely on management is Integrated Coastal Zone Management information provided by the coastal floodplain mapping (ICZM), a multi-sectoral, stakeholder-informed coastal zone programs discussed in Chapter 10, and conversely should equivalent of river basin planning, which seeks to promote also help to prioritize areas for in-depth flood risk mapping. economic development in the coastal zone while also It is important that coastal zone management plans are protecting valuable coastal ecosystems. These ecosystems used to mainstream flood risk management considerations are often important for tourism and fisheries, and act as into the overall development objectives of the coastal zone coastal barriers against storm surges. Unlike river basin and to ensure that the planning approach is tailored for the planning, ICZM has not been fully mainstreamed into most specific circumstances of each coastal stretch. A coastal countries’ planning processes, probably reflecting the zone management plan will normally address a variety of complexity of the exercise. technical issues, such as coastal erosion, sea level rise, land Particularly in countries or coastal areas with extensive subsidence, saltwater intrusion, pollution, management of deltas, coastal zone planning must of necessity be linked to coastal ecosystems, and coastal risk management associated river basin management planning. That is because the delta with storms and tsunamis. The impacts of climate change, 72 ● Chapter 6—Flood and Drought Risk Mitigation and Contingency Planning including changes in weather and sea levels, should also ■ Issuing regulations or guidance on coastal planning be considered in the plan to ensure robust and flexible processes, covering topics such as the appropriate approaches. Like river basin management plans, coastal zone coastal stretches for planning, how often a plan needs management plans should ideally be updated periodically to to be prepared, the general scope and format of the adjust to changing circumstances and to incorporate lessons plan, and the review and approval process. The role of learned. the natural resources management agency in the coastal planning process should clarified, in terms of technical and financial assistance. Linkage to the National Sector Framework ■ Providing technical planning guidelines for coastal Depending on the country concerned, the national framework planning, including general methodology, sources of for coastal zone management planning may derive from data, coastal modelling approaches, linkages with other a specific coastal zone management law, or as part of sectors, and other planning processes. The guidelines broader environmental law, land use planning law, or ocean should include specific guidance on coastal flood governance law. mitigation actions and contingency plans, particularly Irrespective of its title, the relevant law should set out the taking climate change and sea level rise into account. specific requirements for the preparation and periodic review ■ Establishing formal roles for other national agencies, of coastal zone management plans, for example every five such as water resources, agriculture, disaster risk years. The law should empower a national agency to facilitate management, and hydro-met agencies. These could the coastal planning process, which could potentially be include formal review processes or co-formulation of the drawn from many different sectors, to establish regulations basin plan with the natural resources management agency and technical guidelines for the preparation of coastal zone in coordination with the coastal planning authority or management plans. The law may also authorize the creation of committee. Coastal Planning Authorities that are responsible for preparing or overseeing the preparation of coastal zone management ■ Ensuring public outreach and stakeholder engagement plans. Coastal Planning Authorities can take on many forms, by providing guidance on consultations, responding to from an inter-governmental committee established for the feedback, and ensuring transparency. The process should purpose of the planning exercise to a less common permanent ensure all relevant stakeholder groups are meaningfully organization with its own budget and staff. engaged, including local governments and groups that rely on coastal resources (such as fisher people, the The water resources law should clearly indicate that the tourist industry, the shipping industry, civil society, WRM agency has the lead responsibility for permitting and and the general public). Special efforts should be made regulating, and in some cases constructing and operating, to accomplish social inclusion by ensuring culturally flood defense structures located along the coast, such as sea meaningful participation of marginalized groups. dikes, flood walls, storm surge barriers, and coastal groins. Ideally, the coastal zone management law should specify the ■ Requiring the inclusion of all major structural flood general functions of the national WRM agency in the coastal control infrastructure in coastal zone management zone planning process. plans, such as sea dikes, sluice gates, and dredging operations. These should be incorporated into the plan Key Agency Actions before permits or funding for projects are provided. Key actions for the agency responsible for coastal zone planning are similar to those for river basin planning and include the following: ■ Fostering institutional arrangements, in terms of the establishment of coastal planning authorities or regional coastal committees and ensuring that they receive adequate funding and training so that they effectively discharge their roles. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 73 Generic Evolution The generic evolution of this program can be summarized as follows: TABLE 6.2 Generic Evolution of Integrated Coastal Zone Management Plans Incorporating Flood Risk Management Nascent Engaged Capable Effective No coastal zone management Coastal zone management Coastal plans promote Coastal plans formulated law exists, and coastal law (or similar law) exists and stakeholder engagement through with active engagement by all development takes place in requires natural resources formal mechanisms, such stakeholders through formal an ad hoc and uncoordinated management agency (or similar as regional coastal planning mechanisms. Adaptive planning manner. agency) to prepare coastal committees or authorities. Flood process utilized. Standalone plans. Limited involvement of risk management incorporated coastal flood management with other sector agencies and local into coastal plans. Some linkage close linkages to local flood communities. Coastal plans do with local flood management management plans. not explicitly consider food risk plans. management. Source: Authors. 6.3 Urban Water Supply Plans In addition to long-term resource planning, it is also important to ensure that water utilities prepare water shortage Program Description contingency plans. Such water shortages could be caused by ordinary seasonal low flow conditions, system interruptions Urban water supply and sanitation utilities (hereafter “water or failures (such as a series of pump breakdowns or a risk of utilities”) typically prepare master plans to define system- dam failure on a reservoir requiring a reduction in storage wide strategies and guide capital improvement projects capacity), or, of course, droughts. Such a water shortage to cope with population growth, regulatory requirements, contingency plan (WSCP) should identify different levels of and infrastructure renewal needs. In order to ensure that water shortage (usually between three and five levels) and current, medium- and long-term water needs can be met, set out the actions to be taken by the water utility in response such master plans usually also include what is described to each different level. These actions might, depending on in this report as an Urban Water Supply Plan (UWSP) that the level of shortage, include public awareness campaigns, helps to mitigate drought risks by identifying potential water conservation measures, water tariff adjustments to supply-side and demand-side options. Potential supply-side encourage water savings, enforcement mechanisms, and the options may include the construction of infrastructure in the provision of emergency water supplies. Defining the different form of new reservoirs, long-distance conveyance structures, water shortage stages often requires an understanding of the water reclamation and desalination plants, development of river basin context, and thus there are close linkages with the new groundwater wellfields, and the purchase of water from Basin Drought Contingency Plan. The formulation of a WSCP bulk suppliers. Potential demand-side options may include should be done in close consultation with the relevant local reducing physical losses, promoting water conservation, and government, which in most cases is the authority that allows adjusting water pricing. Water quality may also be factored the utility to take emergency measures. into a water supply plan, as poor raw water quality can potentially reduce the availability of potable water. Linkage to the National Sector Framework A critical element of any UWSP is considering the While practice varies from country to country, water utilities availability of water resources from a broader regional or typically operate within the framework of a water supply and basin perspective. If a utility abstracts water from a river, sanitation law which will also specify their relationship with: stores water in a reservoir, or abstracts groundwater, the (1) the relevant local government; (2) the agency responsible availability and quality of the water depends upon what for the implementation of the law; (3) relevant sector happens upstream. It follows that there is a close relationship regulators, if any (including economic regulators responsible between an UWSP and the relevant river basin management for approving tariffs and setting service standards and plan, and of course, water utilities are key stakeholders in the regulators for ensuring compliance with drinking water river basin management planning process. standards); and (4) consumer representative bodies. Such 74 ● Chapter 6—Flood and Drought Risk Mitigation and Contingency Planning Box 6.4 California Urban and Agriculture Water Plans Since 1983, urban water utilities are required by the California Water Code to prepare Urban Water Management Plans every five years. The plans are required for water utilities to be eligible for state grants. The plans must assess the reliability of water sources over a 20-year planning time frame and present demand management measures and water shortage contingency plans. Starting in 2009, large agriculture water suppliers are required by the California Water Code to prepare an Agricultural Water Management Plan every five years. The plans are required to include water budgets, water management objectives, and implementation of water use efficiency measures. They also include a drought plan that describes actions for drought preparedness, as well as water management and water allocations during drought conditions. The California Department of Water Resources (DWR) provides support to the water utilities and agricultural water suppliers, including guidelines and technical assistance. DWR also reviews the plans to ensure compliance with the Water Code and submits a report to the Legislature summarizing the status of the plans for each five-year cycle. Key Issue: A key action area for many of the Agricultural Plans is modernizing irrigation infrastructure and operations to better measure and control water distribution in canals. This is in line with the adage that if you cannot measure and control water, you cannot manage it. It also highlights the challenge of managing irrigation networks even under the ideal conditions of high-value agriculture in California. legislation may also require the preparation of UWSPs and ■ Providing technical support to the water utilities by WSCPs. preparing guidelines, conducting workshops, developing tools, and providing program staff to help water utilities However, the actual storage and abstraction of water from prepare comprehensive and useful water management natural sources by water utilities is usually subject to the water plans, implement water conservation programs, and resources law and should be regulated by the WRM agency understand their legal requirements. The development of based on long-term water use permits. This, in turn, provides technical guidance should be done in close collaboration an opportunity to link the preparation of UWSPs/WSCPs to with the national water utility association, which in the river basin management planning process and even to some cases may take the lead in certain technical areas. require the preparation and periodic review of UWSPs/WSCPs as conditions for long-term water use permits or regulations ■ Ensuring that UWSPs/WDCPs are informed by a adopted pursuant to the water resources law. The drought law public consultation process made available to the should also ideally highlight the importance of urban drought public, and that they are consistent with and help inform management and its linkages to basin planning. the river basin management plans. This is usually the responsibility of the WRM agency. Key Agency Actions ■ Conditioning grant funding or loans to water utilities through the national government on satisfactory Depending on the prevailing national framework, either compliance with the regulations pertaining to the the WRM agency or the national WSS agency should be UWSPs/WSCPs. responsible for overseeing UWSPs/WSCPs. Key agency actions include: ■ Ensuring that the WRM agency or responsible sector agency works with local governments to have a ■ Developing regulations to guide the UWSP/WSCP dedicated program to aid smaller utilities and rural process, specifying requirements such as: (1) which communities at risk of drought and water shortages. utilities are required to prepare the plans; (2) the Technical and financial assistance information could frequency of the plans; (3) the general scope and be provided to help these communities reduce their content of the plans; (4) the process for submitting and vulnerability to droughts, including upgrading water reviewing the plans; and (5) sanctions for not complying supply systems and preparation of contingency plans, with the regulations. which could identify emergency sources of water. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 75 Generic Evolution The generic evolution of this program can be summarized as follows: TABLE 6.3 Generic Evolution of Urban Water Supply Plans Incorporating Drought Risk Management Nascent Engaged Capable Effective No legal requirement for water Water resources law (or similar WRM agency adopts regulations Utility UWSPs and WSCs use utilities to prepare UWSPs or law) requires utilities to prepare for UWSP/WSCP preparation an adaptive planning process WSCPs and so few, if any, do. UWSPs/WSCPs. WRM agency and provides necessary support and focus on drought risk provides limited guidance or and oversight. The WSCPs are management. Utilities play an support to utilities. Plans focus integrated into the UWSPs active role in the preparation of primarily on responding to and focus on drought risk basin plans and basin drought droughts. management. Limited linkage to management plans. basin plans. Source: Authors. 6.4 Irrigation Water Supply Plans at long-term resource planning to ensure that adequate water is available to meet farmers’ existing and future uses, Program Description particularly considering changing cropping patterns and climate change. This involves balancing water supply and Irrigation service providers are usually the largest users demand alternatives, while also considering water quality, to of water in a river basin and are accordingly also key ensure long-term sustainability. stakeholders in river basin management planning. The notion of the irrigation service provider encompasses a range of There are typically several critical elements in an IWSP. It different actors depending on the national context and may should include seasonal and monthly water budgets based on include an irrigation department in a ministry (such as the quantifying all inflow and outflow components for the service agriculture ministry or even the WRM ministry), a separate area, such as: crop water use, non-beneficial evaporation, irrigation ministry, a semi-autonomous national or regional groundwater seepage, and return flows. The IWSP should public irrigation agency, or farmer-managed water user present water management objectives based on the water organizations (variously described as “irrigation districts”, budget as a guide to improve system efficiency or meet other “water communities”, or “water user associations”), which objectives. This should include a program of actions to help may have their own direct access to water sources or which meet these objectives, including various water conservation may in turn be supplied in bulk by public irrigation service approaches. In many schemes there is a need to first improve providers. flow measurement and water control within the canal network through a modernization program. Because of the volumes of water involved, irrigation service providers are generally required to demonstrate more It is also important to ensure that irrigation service providers flexibility in their water allocations than are other uses such prepare a Drought Plan describing actions for drought as water utilities or hydropower operators, and thus play preparedness as well as allocations of water supply during a critical role in basin drought contingency plans. At the drought conditions. Unlike urban WSCPs, the IWSP Drought same time, though, reduced irrigation water availability may Plan may not need to be a standalone document as irrigation reduce crop production (and therefore influence food prices service providers generally have more flexibility during and food security) and adversely affect rural livelihoods. drought periods than urban water utilities which are required to maintain minimum service levels to protect public health. In order to ensure sustainable and long-term operation, best practice suggests that irrigation service providers should Linkage to the National Sector Framework periodically prepare irrigation scheme master plans that cover all aspects of their service, including asset management The national framework for irrigation service providers and capital planning. Ideally too, and depending on the is typically set out in a specific irrigation or agriculture socioeconomic context, an irrigation service provider should law which may set out a requirement for the preparation prepare an Irrigation Water Supply Plan (IWSP) that looks of IWSPs. However, as with the case of water utilities, 76 ● Chapter 6—Flood and Drought Risk Mitigation and Contingency Planning the storage and abstraction of water by irrigation service (5) sanctions for non-compliance with the regulations. providers is usually subject to the water resources law and Providing technical support to the irrigation service should be regulated based on long-term water use permits. providers by preparing guidelines, conducting workshops, As necessary, this may therefore provide an opportunity to developing tools, and providing program staff to help require the preparation of IWSPs as permit conditions or in irrigation service provides prepare comprehensive and accordance with regulations adopted pursuant to the water useful IWSPs, implement water conservation programs, and resources law. The national drought law should also ideally understand their legal requirements. highlight the importance of agricultural water management and its linkages to basin planning. Ensuring that the content of IWSPs is informed by public consultation with the farmers and other users who rely upon the water provided by the irrigation provider. The IWSP Key Agency Actions should be made available to the public and be consistent Key actions for the WRM agency and/or agriculture agency with and help inform the river basin management plans. This include the following: is usually the responsibility of the WRM agency. Developing regulations to guide the IWSP process, Conditioning grant funding or loans to irrigation service specifying requirements such as: (1) which irrigation service providers through the national government on satisfactory providers are required to prepare the plans; (2) the frequency compliance with the regulations pertaining to the IWSP. of the plans; (3) the general scope and content of the plans; (4) the process for submitting and review of the plans; and Generic evolution The generic evolution of this program can be summarized as Table 6.4: TABLE 6.4 Generic Evolution of Irrigation Water Supply Plans Incorporating Drought Risk Management Nascent Engaged Capable Effective Irrigation service providers Water resources law (or similar WRM adopts regulations and Irrigation service provider prepare water supply and water law) requires irrigation service provides oversight for the IWSP IWSPs and their drought plans distribution plans with little if providers to prepare IWSPs. preparation process. Drought use an adaptive planning any attention to drought risk WRM agency provides limited plans are integrated into the process and focus on drought management planning. guidance or support and few IWSPs and focus on drought risk risk management. Service plans are produced. Plans focus management. Some linkage to providers play an active role in primarily on responding to basin plans. the preparation of basin plans droughts. and basin drought management plans. Source: Authors. Flood and drought risk mitigation and contingency planning at multiple nested levels is hard to achieve in practice. Countries should systematically assess the effectiveness of planning exercises and recognize that it is an evolutionary process that requires constant adjustments An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 77 6.5 Key Resources NOAA (National Oceanic and Atmospheric Administration). 2018. National Coastal Zone Management Program: Strategic River Basin Plans: Incorporating Floods and Plan 2018-2023. Washington, DC: NOAA. Droughts Post, Jan C., and Carl G. Lundin, eds. 1996. Guidelines for Van Beek, Eelco, and others. (Forthcoming). Analysis Integrated Coastal Zone Management. Washington, DC: World Framework for Water Resources Planning and Implementation. Bank. Delft: Deltares. USAID (U.S. Agency for International Development). GWP (Global Water Partnership), and INBO (International 2009. Adapting to Coastal Climate Change: A Guidebook for Network of Basin Organizations). 2009. A Handbook for Development Planners. Washington DC: USAID. Integrated Water Resources Management in Basins. Stockholm: GWP; Paris: INBO. Urban Water Supply Plans GWP CEE (Global Water Partnership Central and Eastern AWWA (American Water Works Association). 2017. M50 Europe) and WMO (World Meteorological Organization). Water Resources Planning, 3rd ed. Manual of Water Supply 2015. Guidelines for Preparation of Drought Management Practices. Denver: AWWA. Plans: Development and Implementation in the Context of the EU Water Framework Directive. Bratislava: GWP CEE. AWWA (American Water Works Association). 2019. M60 Drought Preparedness and Response, 2nd ed. Manual of Water Sayers, Paul, Li Yuanyuan, Gerald Galloway, Edmund Supply Practices. Denver: AWWA. Penning-Rowsell, Fuxin Shen, Wen Kang, Chen Yiwei, and Tom Le Quesne. 2013. Flood Risk Management: A Strategic California Department of Water Resources. 2008. Urban Approach. ADB (Asian Development Bank), WWF-UK (World Drought Guidebook. Sacramento: California Department of Wildlife Fund), GIWP (General Institute of Water Resources Water Resources. and Hydropower Planning and Design), and UNESCO (United Nations Educational, Scientific and Cultural Organization). Agricultural Water Management Plans: Incorporating Droughts Flood Risk Planning in Coastal Zone California Department of Agriculture. 2015. Agricultural Management Plans Water Management Plan Guidebook. Sacramento: California FAO (Food & Agriculture Organization of the United Nations). Department of Agriculture. 2006. Integrated Coastal Management Law: Establishing OECD (Organization for Economic Co-operation and and Strengthening National Legal Frameworks for Integrated Development). 2016. Mitigating Droughts and Floods in Coastal Management. FAO Legislative Study 93. Rome: FAO. Agriculture: Policy Lessons and Approaches. OECD Studies on Water. Paris: OECD. 78 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management While healthy watersheds can reduce hydro-climatic risks, degraded watersheds can generate vicious circles that dangerously amplifly these risks. St. John’s Wood, Ireland. Photo: levers2007 7 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 79 Healthy Watersheds A river basin and a watershed cover the same geographical and water interact to affect water security—including during area, namely an area of land that drains all the streams and hydro-climatic extremes. rainfall to a common terminus, usually the sea. As presented As depicted in Figure 7.1, healthy watersheds are the first in Chapter 6, WRM agencies traditionally use the term “river physical line of defense in the Framework because they can basin” when dealing with issues related to water resources help to reduce flood and drought hazards through natural management functions. Natural resources agencies and processes. These “nature-based solutions” in turn can help agriculture agencies typically use the term “watershed” reduce the demands on water resources infrastructure and put more focus on land use management. IWRM looks by providing eco-based services that reduce flood peaks, at both dimensions and considers how weather, watersheds, increase base flows, and improve water quality (UNESCO FIGURE 7.1 Healthy Watersheds in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST Healthy Watersheds • Water Resources Infrastructure Forest Management Wetlands Management Climate-Smart Agriculture C ONTROL • Water Allocation and Groundwater Management • Floodplain Management Watershed Management Organizations Watershed Plans • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 80 ● Chapter 7—Healthy Watersheds 2018). Healthy watersheds not only help reduce hydro- watersheds and reducing hydro-climatic risks. For the climatic hazards, but they often also generate many purposes of this report, the broad term natural resources other benefits, such as improved livelihoods, increased agency is used to describe an agency that deals with biodiversity, and broader ecosystem services. environmental or natural resources management issues. It could be a single agency, such as a forestry department As shown in Figure 7.2, on a global basis agriculture and in an agriculture ministry or an environment agency. Or forests account for most of the habitable land use; even there could be multiple agencies, depending on the country shrubland is often used for marginal livestock grazing context. Natural resources agencies can implement programs activities. The ways we manage forests and wetlands and to promote healthy forests, protect wetlands, and conserve practice agriculture determine in large measure the health natural coastal barriers. Agriculture agencies can manage of watersheds. Land degradation is a global challenge that programs to promote climate-smart agriculture, including affects everyone through food insecurity, higher food prices, soil and water conservation, for both cropland and rangeland. climate change, hydro-climatic hazards, and the loss of biodiversity and ecosystem services. Land degradation is Bringing all these programs together through an integrated happening at an alarming pace, contributing to a dramatic landscape management approach at the watershed level decline in the productivity of forests, croplands, and helps to identify priorities and ensure synergies between rangelands worldwide. Globally, about 25 percent of the total the different programs. Natural resources or agriculture land area has been degraded and this rate is increasing at agencies have leading roles to play in preparing watershed an alarming rate. Around 3.2 billion people are affected by management plans and sustaining community-level land degradation, especially rural communities, smallholder watershed management organizations. farmers, and the very poor. The problems are particularly The key programs reviewed in this chapter are presented severe in the driest parts of the planet. Dryland landscapes below. Because of the broad scope of these programs, this cover approximately 40 percent of the world’s land area chapter presents the programs in a more general manner with and support two billion people. Many people who depend less detail than programs in other chapters. The applicability on drylands live in developing countries, where women of a specific program will depend on the geographical context and children are the most vulnerable to the impacts of land of the country concerned. In addition, there will certainly degradation and drought.21 be other programs that address the specific environmental This chapter focuses on the role that natural resources or agricultural needs of a country, but the set of programs agencies and agriculture agencies play in ensuring healthy described in this chapter is often the most relevant for hydro- FIGURE 7.2 Global Land Use Distribution Earth’s surface 29% Land 71% Ocean 149 Million km2 361 Million km2 71% Habitable land 10% 19% Barren land Land surface Glaciers 104 Million km2 15M km2 28 Million km 2 14km2 of which This includes the is the land area world’s deserts, salt 11% of Antartica flats, exposed rocks, Habitable land 59% Agriculture 37% Forests Shrub beaches, and dunes 51 Million km2 39 Million km2 12 Million km2 1% Urban and built-up land 1% Fresh water This includes settlements and Lakes and rivers 77% Livestock: 23% infrastructure 1.5M km2 Agricultural land meat and dairy Crops 1.5M km2 40 Million km2 Excluding feed 11M km2 Source: Our World in Data 2019. This includes grazing land for animals and arable land used for animal feed production 21 This information was taken from the Global Environment Facility webpage on Land Degradation at https://www.thegef.org/topics/land-degradation. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 81 climatic risk management. Chapter 10 covers issues related ■ Watershed Planning. Natural resources agencies, to floodplain management. working in close collaboration with other agencies and a broad group of stakeholders, should periodically ■ Agriculture Policies and Climate-Smart Agriculture. prepare an overall assessment and strategic plan for Agricultural subsidy policies have a profound impact on improving watershed health. This includes examining sustainable land and water use. For example, subsidized overall watershed quality and the performance of irrigation water pricing may result in overuse of water in various natural resources management and agricultural agriculture, while price supports for certain crops may programs in that specific watershed. The watershed encourage farmers to overproduce crops ill-suited for management planning should be closely linked with and a given hydro-ecological zone. Governments thus need serve as input into the river basin plans highlighted in to adopt agricultural policies that not only promote Chapter 6. food security and nutrition, but also environmental stewardship. Agriculture agencies should administer A key feature of these programs is the variety of land tenure programs that help farmers adopt climate-smart arrangements that may apply. Land may, for example, be practices that reduce soil erosion, increase soil water publicly owned and managed, privately owned and managed, retention, increase climate resilience, and reduce or publicly owned but managed or used by local communities greenhouse gas emissions. These programs can provide or private entities. In many countries, local or customary law technical assistance and, in some cases financial land tenure rules may be relevant, and these may or may not incentives. Cropland and rangeland management is be recognized by the formal law of the country concerned. particularly important in arid or mountainous regions, The specific design of the programs will need to carefully which are more susceptible to land degradation. consider the nature of land tenure arrangements. ■ Forest Management. In many countries, the upper elevations of a watershed are covered by forests. Such 7.1 Agricultural Policies and Climate- forests play a critical role in reducing downstream peak Smart Agriculture Programs flood discharges and sediment flows. Forests along rivers and coastlines also provide important lines of As highlighted in Figure 7.2, almost half the habitable land on protection against floods. Managing these forests in a the planet is dedicated to agriculture. Livestock production sustainable manner is, in many countries, a critical flood accounts for 77 percent and crop production for 23 percent risk management activity. The natural resources agency of agricultural land use. Agriculture agencies around the must fashion fit-for-purpose programs that balance world are broadening their mandates to not only include food competing interests, such as forest conservation and the security (including nutrition) and economic development, needs of local communities and timber harvesters. but also to promote land stewardship and climate-smart agriculture. ■ Wetlands Management. Wetlands play important roles in both flood and drought management. In periods of Agriculture operates at many different scales. Around 1 high rainfall, wetlands soak up water that would flood percent of the world’s farms operate 70 percent of crop elsewhere. During droughts, they provide water to fields, ranches, and orchards. Large industrialized agriculture aquifers or streams to help reduce drought hazards. is common in developed countries, and this trend is also Protecting these wetlands from agricultural or urban spreading to developing countries. Globally, between 80 and development is typically a core mandate for the natural 90 percent of farms are family or smallholder owned. But resources agency. That agency can use a variety of these small farms cover only a small and shrinking part of the instruments, such as permitting requirements, and it land and commercial production. Asia and Africa have the can also work with local governments and communities. highest levels of smallholdings, where human input tends to be higher than chemical and mechanical factors (Anseeuw ■ Local Watershed Management Organizations. To a and Baldinelli 2020). large extent, all the programs highlighted in this chapter rely upon active community engagement. Communities Program Description are typically most knowledgeable about their local challenges and sustainable approaches. Agencies Agricultural Economic Policies. Agricultural economic should thus help create and sustain local watershed policies can have a significant impact on land use, sometimes management organizations that work in partnership in motivating farmers to grow inappropriate crops and utilize the implementation of the various programs. excessive amounts of water. To ensure food security and in 82 ● Chapter 7—Healthy Watersheds conjunction with the Green Revolution starting in the 1960s, Climate-Smart Agriculture Programs. Agricultural water many governments adopted subsidy programs to promote and soil conservation programs have historically been a the production of key staple crops (such as rice, wheat, and focus area for mitigating drought hazards. As an example, maize), support poor farmers, and keep food prices low. This the U.S. Soil Conservation Service was created in response helped to both combat rural poverty and ensure food security. to the great Dust Bowl in the American prairies in the 1930s. These subsidies took the forms of below-cost irrigation water, In response to climate change, the approach has been subsidized inputs such as fertilizers and pesticides, and crop broadened to include climate-smart agriculture (CSA). CSA price support programs. Although in many countries these aims to improve agricultural and livestock productivity while policies did in fact increase the supply of cheap food and delivering greater resilience to climate change and lowering address food security concerns, they also contributed to land greenhouse gas emissions. There are a wide variety of CSA degradation and water use inefficiency (Pingali 2012). practices that the agriculture agency can help farmers adopt, some of which are mentioned below:22 Adjusting these agricultural policies to ensure the availability of nutritious food for the poor while reducing Soil Management. Maintaining or improving soil health is the environmental impacts of agriculture is the paramount essential for sustainable and productive agriculture. “Healthy” agriculture policy imperative for the 21st century. It will not soil will help to push sustainable agricultural productivity be politically easy, as many vested interests have emerged close to the limits set by soil type and climate. Common soil around existing subsidy regimes and governments are management practices include no-till agriculture, covering understandably wary about tampering with policies that may soil with vegetation, reducing on-farm runoff and erosion, affect the production of food staples. Yet a Green Revolution reducing the use of chemical fertilizers, and maintaining soil 2.0 (GR2.0) is needed—and is emerging—to meet the world’s carbon levels and quality with organic fertilizers. food demands, ensure environmental sustainability, and Crop Production. Crop productivity can be increased through meet the challenges of climate change. the breeding of higher yielding crop varieties, though crop By 2050, the global population is projected to increase by and crop nutrient management, and through the choice of about one-third, which will require a 70 percent increase crop species that have higher yield potentials under given in food production. GR 2.0 needs to not only increase basic environmental conditions. Crops can also be bred for greater cereal productivity (for example, wheat, rice, and corn) to drought tolerance, and shorter-duration varieties can be meet the demand for staples, but also to make more land used for “terminal drought escape”. Similarly, breeding for available for higher value and more nutritious crops, such as resistance to the pests and diseases that are triggered by fruits, vegetables, and legumes. In addition, it should allow weather events provides another important source of climate for the movement of labor out of agriculture when other risk reduction. economic opportunities provide greater returns. GR 2.0 Livestock Production. Climate change is likely to have must also improve the tolerance of crops to stresses, both considerable impacts on livestock production in the coming climatic and biotic (pest and disease). Improved varieties decades. These will include a substantial reduction in the that are tolerant to drought or excess water would enhance quantity and quality of forage available in some regions smallholder productivity in marginal environments and and heat stress in animals. Higher temperatures, changing provide tools to adapt to climate change (Pingali 2012). rainfall patterns, and more frequent extreme weather events may also impact the spread and severity of existing vector- Agriculture agencies, working in collaboration with farmers borne diseases and macro-parasites, accompanied by the and agribusiness, need to show leadership in this transition emergence and circulation of new diseases. to a GR 2.0. They can adjust agricultural policies to focus on improving productivity, gradually reducing subsidies CSA livestock activities include improved grazing that distort incentives for sustainable land management, management, the use of more drought-resistant pasture and and fund programs that support climate-smart agriculture. agroforestry species, and diet supplements. Animal health Governments can also work with the private sector and can be improved through better vaccination projects and farmers to promote the use of new technologies, such as a the use of more disease- and heat-tolerant animal species. greater focus on precision agriculture, the internet of things Herd size and age structure can also be adjusted to ensure (IoT) and the use of big data—sometimes referred to as more resilience. Better management of manure can also lead “agriculture 4.0” (De Clercq and others 2018). to increased productivity of both food and fodder crops. 22 This information was drawn from the Climate-Smart Agriculture website at https://csa.guide/. The website was developed by the CGIAR Research Program on Climate Change, Agriculture and Food Security (CCAFS) for the World Bank. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 83 It is also important to keep livestock away from sensitive riverbanks and mitigate soil erosion. Agroforestry practices riparian or wetland areas through fencing and the provision can also increase the absorptive capacity of soil and reduce of alternative water supplies. evapotranspiration. The canopy cover from trees can also have direct benefits. It reduces soil temperature for crops Water Management. Agriculture is the largest consumer of planted underneath and reduces runoff velocity and soil the world’s freshwater resources, requiring 70 percent of the erosion caused by heavy rainfall. available supply. Of that, almost 40 percent is used for rice production. Chapter 6 discussed the importance of improving irrigation system water use efficiency and preparing for Linkage to the National Sector Framework droughts. There are also on-farm water management practices Agriculture law provides the overall framework for all that can help boost both productivity and resilience. Flooded agricultural-related activities in a country. It is generally rice systems emit substantial amounts of the greenhouse gas broad and can address many different issues, such as price methane (CH4). Alternate wetting and drying cycles in such systems not only save water, but also result in greatly reduced supports and subsidies, agricultural-related infrastructure, methane emissions. On-farm practices can improve the training and extension services (including farmer field capture and retention of rainfall, helping to sustain rainfed schools), agricultural inputs (seed, water, and fertilizer), agriculture or reduce supplemental irrigation requirements. finance, labor, marketing, insurance, trade, and agricultural Improved scheduling and application of irrigation water will processing. As agriculture law has evolved over time, help boost both resilience and productivity. new subjects have emerged such as land stewardship and sustainability, animal welfare, and food safety. Agroforestry. In smallholder systems in developing countries, farms and forests are often part of complex rural Agriculture law should highlight the importance of land landscapes, which collectively fulfill the livelihood needs of stewardship and its importance in maintaining a healthy the rural population. By adopting agroforestry practices on environment and reducing hydro-climatic risks. Box 7.1 farms, farmers are able to harvest tree products, supplement provides an overview of the European Union’s Common their diets, and also develop additional income streams. Agricultural Policy and its environmental goals. As in other Integrating trees into farming systems can also improve sectors, there should be periodic national strategic plans that soil quality, leading to higher and more stable crop yields. look at agriculture from a broad and integrated perspective. Healthy and diverse ecosystems are also generally more Of particular importance is ensuring that different policies resilient to natural hazards. Trees on farms can be used as work in synergy. For example, subsidies and price support shelterbelts and windbreaks, and play an important role in for water-consuming crops such as sugar cane or rice may protecting against landslides and floods. Trees also stabilize clash with other objectives such as drought resilience, water Box 7.1 Environmental Sustainability in the European Union’s Common Agricultural Policy (CAP) The reformed CAP has three clear environmental goals: tackling climate change, protecting natural resources, and enhancing biodiversity. Each of these goals is supported by the CAP’s promotion of organic farming and the responsible management of inputs like pesticides and fertilizers. The CAP aims to reach its environmental goals in a way that is socially and economically sustainable for farmers, rural communities, and the EU as a whole. Measures that encourage green farming and enforce environmental rules form a central part of the CAP and include: (1) cross-compliance standards that link financial support to EU rules on the environment, as well as to human, plant, and animal health; (2) green direct payments that put in place mandatory actions (such as maintaining permanent grassland, crop diversity, and ecological focus areas) geared towards protecting the environment and tackling climate change; and (3) rural development policy that supports investments and farming activities that contribute to climate action and the sustainable management of natural resources. In the future, the CAP plans to take further steps towards achieving a green and sustainable system of agriculture in the EU. This includes actions such as a more simplified, flexible, and targeted approach; strengthened environmental conditions and standards to be met by farmers; and an expanded set of voluntary environmental actions available to farmers, through eco- schemes and rural development policy. Source: Information included in this box was drawn from European Commission (2019). 84 ● Chapter 7—Healthy Watersheds allocation efficiency, or sustainable land management. The CSA programs and also to adapt these approaches to law should authorize the agriculture agency to implement meet the specific local needs. programs that support CSA that is suitable for the specific ■ Develop CSA practice standards. As indicated above, country context. there are many potential CSA practices, and the agriculture agency needs to develop clear standards of Key Agency Actions practice that are suitable for the local context and that can be used to help eligibility for grant funding. Agricultural activities are spread over wide areas involving large numbers of people, and thus traditional regulatory ■ Provide incentive funding or green payments for programs for land stewardship are difficult to implement. smaller operations. Many smallholder operations may Agriculture agencies will need to develop economic policies not be able to implement CSA activities due to financial and support programs for climate-resilient agriculture that constraints, even when those activities are in their meet the specific agricultural ecological and socioeconomic broader economic interests. The agriculture agency context using a variety of approaches. Some general can develop specialized programs to provide technical considerations are highlighted below: and financial assistance to these agriculturists, making payments for activities that meet the practice standards. Make environmental sustainability a core agricultural policy objective. The environmental impacts of agricultural ■ Promote farm sustainability plans. Larger and more subsidy policies should be explicitly considered with an sophisticated operations should be encouraged to aim of gradually reducing subsidies that have negative develop farm sustainability plans that draw upon the environmental impacts. Input subsidies for water, fertilizer, practice standards. The agriculture agency can provide and pesticides that provide incentives for overuse could be technical assistance or even grant funding for the gradually scaled back. Output subsidies like price supports formulation of these plans. In some cases, it may be a that encourage farmers to produce resource-intensive regulatory requirement to prepare and implement these crops (such as sugar cane or rice) that may not be suitable plans with periodic monitoring by the agency. In some for the specific agro-ecological zone could be adjusted. cases, larger farms could also be eligible to receive Conversely, agricultural policies could be utilized to promote green payments for modified agricultural practices. the production of more environmentally sustainable and ■ Create linkages to WRM plans. Agricultural land use potentially more profitable and nutritious products such as and practices should be addressed as appropriate in the fruits, vegetables, and pulses—potentially offering incentives National Strategic WRM Plans, as well as in river basin for organic and sustainably produced food. plans, to ensure recognition of the role of these practices ■ Create partnerships with farmers and livestock in flood and drought risk management. producers. Agriculturalists need to be convinced that CSA activities not only contribute to healthy watersheds, but Generic Evolution that these practices also will benefit them economically, including making them more resilient to hydro-climatic The generic evolution of agricultural programs is summarized extremes. This requires extensive consultation with in Table 7.1. farmers and livestock producers to share knowledge on TABLE 7.1 Generic Evolution of Agricultural Policies and Programs Nascent Engaged Capable Effective Agriculture law, subsidy Agriculture law expanded Agriculture law and programs Agriculture law, subsidy policies, and support to include environmental expanded to include policies, and programs programs focus on agricultural sustainability. The agriculture environmental sustainability synchronized to promote production and do not address law now authorizes and climate-smart agriculture. environmental sustainability. environmental sustainability. environmental conservation Extension activities and programs. Programs in early financial support to help farmers stages of implementation. implement climate-smart agriculture well-established. Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 85 7.2 Forest Management Africa, and Central America. Boreal forests, one of the world’s largest land biomes, are found across Siberia, Scandinavia, Forests can occur anywhere in the watershed, but in many and North America (Alaska and Canada). Temperatures in countries the more accessible lowland forests have been boreal forests are, on average, below freezing. Forests can cleared for agricultural and urban use. Forested areas in also be divided into natural forests or plantation forests. the higher elevations of the watershed are of particular importance for hydro-climatic risk management. Steep Program Description terrain, thin soils, and generally more intense rains due to orographic effects can result in rapid runoff with high The natural resources agency has several different options for sediment levels. Forests help to mitigate this impact managing forests on public lands depending on the specific through various pathways, such as acting a buffer between context. Although this is a vast and complex topic, Table 7.2 precipitation and the soil, and holding soil together through presents four general management approaches for illustrative the trees’ root systems. At the same time, it is important to purposes.24 These approaches are not mutually exclusive. recognize that the relationship between forests and water For example, within the same forest areas, the natural resources is complex. Forests can substantially reduce levels resources agency may reserve some land for conservation, of runoff, leading to significant reductions in dry season flows ensure sustainable forestry in public and private lands, and and therefore water availability. As a result, some countries enter into arrangements with local communities including require authorization for new forest plantations based on indigenous groups. water resources laws. Linkage to the National Sector Framework There are many different types of forests, with three broad classifications generally used: temperate, tropical, and Due to the importance and complexity of forest management, boreal.23 Temperate forests are found across eastern North most countries have a standalone forest law. Such a law America and Eurasia. The temperatures of temperate forests typically governs activities in designated forest lands, most vary throughout the year because of the four distinct seasons commonly with respect to forest management and timber at these latitudes. Tropical forests are common to warmer harvesting and pertains to both public and private land. A areas near the equator, such as Southeast Asia, Sub-Saharan forest law sets out general policies such as multiple and TABLE 7.2 General Forest Management Approaches Approach Description Applicability Conservation Limited economic activity allowed. The forest is used primarily for protecting ecosystem Publicly-owned and Forestry services and biodiversity, and for recreational purposes. controlled forests. This could also include easements on private lands. Sustainable Economic activity related to forest products and services is allowed under a natural Publicly-owned and Forestry resources agency regulatory system based on sustainable forest management practices controlled forests or that protects ecosystem services and biodiversity. Financial incentives and technical privately-owned forests. assistance may be offered to landowners to help them more sustainability manage forests. Community The local community plays a significant role in forest management and land use decision Forests where local Forestry making with the support and facilitation of the government and non-governmental communities, often organizations. Financial incentives and technical assistance may be offered to indigenous peoples, have communities. traditional forest use rights. Unmanaged Government has no authority in the forest area. This may be due to armed conflict, lack of accessibility, or lack of government capacity. Source: Authors. 23 This information was taken from the National Geographic’s webpage on Forest Biomes, available at https://www.nationalgeographic.org/encyclopedia/forest- biome/#:~:text=There%20are%20three%20general%20types,eastern%20North%20America%20and%20Eurasia. 24 For more information about the general forest management approaches, see the FAO Sustainable Forestry webpage at http://www.fao.org/forestry/sfm/85286/ en/. 86 ● Chapter 7—Healthy Watersheds Box 7.2 Forest Management in the Philippines The Forest Management Bureau (FMB) under the Department of Environment and Natural Resources (DENR) takes the lead in the planning and implementation of watershed management programs. Most of the programs undertaken to reduce downstream flooding include reforestation, agroforestry, forest conservation, and protection. Recently, the DENR embarked on the limited construction of water retention dams in selected upstream rivers in which watersheds are highly degraded and are causing perennial flash flooding downstream. The DENR has also been implementing efforts to move from state managed forests to community-based forest management through land tenure reform. The creation of the River Basin Control Office (RBCO) under the DENR, which is mandated to promote and advocate an integrated river basin management to ensure the protection of the environment and people against flood and natural disasters, has further strengthened the department’s function in coordinating the different efforts of the government in upper watershed management. Vertical coordination among the regional, provincial, and city and municipal entities has been improved, and horizontal coordination among sectoral agencies has become more proactive. The DENR’s National Greening Program (NGP) involves the protection and restoration of degraded forest lands to increase their resilience to drought and flooding, among other environmental benefits. The program also aims at reducing poverty, mitigating and adapting to climate change, and improving food security, environmental stability, and biodiversity conservation. The NGP was launched in 2011 by Executive Order and declared by the President as a priority. Between 2011 and 2018, the NGP has successfully reforested more than 1.91 million hectares, exceeding the original target. The program was extended until 2028 to cover the remaining 7.1 million hectares of unproductive, denuded, and degraded forestlands nationwide. As of the beginning of 2020, the DENR started a “family program” that promotes the use of fast-growing indigenous species within plantations to ensure the conservation of biodiversity and the integrity of the forest ecosystem. Key issue: Community-based forest management programs need to be based on long-term commitments from smallholders to contribute to the objectives of poverty alleviation and sustainable management of forest resources. Notably, there is no “one-size-fits-all” under these programs, as local conditions, capacities, and technical expertise may vary across areas, so the incentives in each forestation site should be individually crafted. Additionally, auditing of forest management programs and outcome-based monitoring and evaluation should be put in place to adjust the programs according to the results. sustained use by which forest lands are to be managed Two types of forest programs are particularly important and should also recognize the rights of local or indigenous for hydro-climatic risk management. The first are upper- communities who have traditionally relied upon forest watershed programs that are dedicated to promoting soil resources. Protected area laws may also play an important and water conservation. Globally, an estimated 400 million role in forest management. hectares of forest land have been designated primarily for the protection of soil and water. That represents a four-fold The role of forests in reducing flood and drought risks should increase since 1990.25 be highlighted in the forest law. The law should also mandate a periodic National Forest Strategic Plan (like WRM and DRM In some cases, soil and water conservation practices can be National Strategic Plans) and the preparation of site-specific promoted though forestry regulations. In other cases, agency- forest management plans for high-priority areas. The forest administered incentive programs may also be required to help law should also authorize specific forestry management private landowners or local communities absorb the additional programs, which can include a wide variety of interventions costs or lost income caused by implementing forestry-related such as multi-purpose public forest management, regulation soil and water conservation practices. In this regard there of timber harvesting, and community forestry. At the same is potential to link funding for improved forest management time, it is important to ensure that there is a link between with WRM through payment for environmental services river basin plans, as described in Chapter 6, with forest (PES) programs under which forest rights holders are paid to management planning by identifying, for example, forested maintain forested areas by downstream beneficiaries of lower areas that are in particular need of protection from a WRM runoff.26 This can be a cheaper alternative in terms of reducing perspective. flood risks than the construction of water infrastructure. 25 This information comes from the FAO webpage on sustainable forestry management for soil and water conservation, available at http://www.fao.org/forestry/ sfm/85293/en/. 26 Payment for environmental services (PES) is also sometimes referred to as green payments or conservation payments. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 87 The second type of program aims to protect, manage, or ■ Identify forests at risk and prioritize responses. restore coastal forests. An important example of coastal The relative importance of forests in ecological, social, forests are mangroves in tropical regions. Mangrove forests and hydrological terms (including as regards flood are important for fisheries, timber, and plant products, and mitigation) should be identified and the protection they also play a critical role in coastal protection. Their measures should then be prioritized and implemented dense root systems trap sediments flowing down rivers and accordingly. Such measures could include programs for off the land. This helps stabilizes the coastline and prevents reforestation. erosion from waves and storms. In areas where mangroves ■ Designate forests as protected areas, where needed. have been cleared, coastal damage from hurricanes and Forests with the greatest need for protection should typhoons is much more severe. By filtering out sediments, the be designated as protected areas under the natural forests also protect coral reefs and seagrass meadows from resources management or protected areas law, being smothered in sediment. Managing coastal mangroves particularly those areas that serve as critical watersheds typically involves working with local communities to develop for urban water supplies. management plans and often providing financial incentives. ■ Adopt and implement forest management regulations. Standards of practice for sustainable forestry, including Key Agency actions timber harvesting, should be developed. Significant Some general considerations for the natural resources timber harvests on private or public lands should be agency managing forests include: permitted and regulated to ensure sustainability of forest ecosystems. Special approaches may be required for ■ Establish dedicated forest management units. The forests that are owned collectively by local communities. agency should set up and maintain dedicated forest management units to oversee specific forest-related ■ Create linkages to WRM plans. Forest management programs (such as in upper watersheds or in coastal issues should also be addressed, as appropriate, in the forests). National Strategic WRM Plans as well as in river basin plans to ensure recognition of forests’ role in flood and ■ Prepare a standalone national strategic forestry plan drought risk management. or policy. Standalone national strategic forestry plans or policies should be prepared and incorporated into the broader periodic national strategic natural resources management plan. Generic Evolution TABLE 7.3 Evolution of Forest Programs Nascent Engaged Capable Effective Forest law focused on A modern forest law that The natural resources agency is Forest laws have undergone production with limited highlights environmental implementing multiple forestry multiple amendments and attention to environmental sustainability and ecosystem programs authorized through programs are operating sustainability or scope for services is adopted. Forestry the forest law. Regulations are effectively. The role of forests in community use of public forests. management programs are in in place for managing forests hydro-climatic risk management early stages of implementation on private land, but regulatory is clearly reflected in the forest and focused primarily on control is limited. The role of law and the water resources state owned land. No forestry forests in hydro-climatic risk law and related programs. regulations exist for privately management is recognized The natural resources agency owned land. in forest policies and there is ensuring sustainable is initial use of payment for management of forests through environmental services (PES) regulation and community schemes. engagement as well as the extensive use of PES schemes. Source: Authors. 88 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Soil and water conservation were key to recovering from the 1930s Great Dust Bowl in the US. Dust bowl, Texas Panhandle, March 1936. Photo: Arthur Rothstein 7.3 Wetlands Management ecological habitat. Wetlands are among the most biodiverse ecosystems on Earth and can sometimes store more carbon Wetlands provide vital ecosystem services, including per hectare than can tropical forests. reducing flood hazards, improving water quality, and helping It has been estimated that wetlands cover approximately 7 to recharge aquifers. As in the case of forests, there are many percent of the world’s land surface.27 Unfortunately, wetlands different types of wetlands with five broad classifications are under development pressure in many countries, as often employed (Cowardin and others 1979): urban areas grow over wetlands or farmers drain them to ■ Marine wetlands, exposed to the open ocean. expand agricultural or aquaculture activities. Reduction of ■ Estuarine wetlands, partially enclosed by land and freshwater flows to wetlands or destructive storm surges can containing a mix of fresh and salt water. also damage wetlands. ■ Riverine wetlands, associated with flowing water. Program Description ■ Lacustrine wetlands, associated with a lake or other body of fresh water. There are a variety of approaches to wetlands management which are summarized below in Table 7.4. As with forest ■ Palustrine wetlands, freshwater wetlands not associated management, these approaches are not mutually exclusive. with a river or lake. National wetlands management programs might be linked Marine and estuary wetlands are particularly important to global efforts, particularly the Ramsar Convention, for helping to absorb storm surges as well as being critical which currently has 171 Contracting Parties. The Ramsar 27 This information was taken from Cassidy, Emily. 2019. “Map of the Month: Where Are the World’s Wetlands?” Resource Watch (blog), April 17, 2019. https:// blog.resourcewatch.org/2019/04/17/map-of-the-month-where-are-the-worlds-wetlands/. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 89 Convention’s mission is “the conservation and wise use of all the context of sustainable development.” The wise use wetlands through local and national actions and international concept is about maintaining wetlands values and functions, cooperation, as a contribution towards achieving sustainable while at the same time delivering services and benefits now development throughout the world.” National programs might and into the future for human well-being (Ramsar Convention benefit from the resources and analytical work provided with Secretariat 2010). the Ramsar bodies (in particular from the Scientific and The wetlands law should also address generally applicable Technical Review Panel). They also can contribute to global issues such as the need for integrated planning (potentially monitoring efforts such as the Global Wetland Outlook. linked to river basin planning), environmental impact and permitting programs, and habitat and species conservation. Linkage to the National Sector Framework The law may also authorize a variety of incentive programs for landowners and communities to help them maintain, improve, Wetlands management issues are often addressed in a or restore wetlands. The law should also include provisions for framework natural resources management law or, depending site-specific measures, such as the designation of protected on the relative importance of wetlands in the country wetlands, the development of wetlands management plans, and concerned, in a standalone wetlands law. Particularly participatory management. Coordination between different where they have high ecological, botanical, or zoological levels of government as well as international cooperation importance, wetlands may be designated as protected areas through the Ramsar Convention should be highlighted. on the basis of natural resources management laws or specific protected area laws. However, water resources laws also have an important role to play in wetlands management in terms Key Agency Actions of ensuring that over-abstraction does not harm wetlands ■ Establish a dedicated wetlands management unit. The through the implementation of minimum or environmental natural resources management agency should set up flows and identifying wetlands that merit protection from a and maintain a dedicated wetlands management unit to flood defense or water management perspective. oversee wetlands-related programs in the country. Drawing upon the Ramsar Convention terminology (UNESCO ■ Prepare a standalone national strategic wetlands plan. 1971), laws should highlight the “wise use” of wetlands, Standalone national strategic wetlands plans should be which is defined as “maintenance of their ecological prepared and incorporated into the broader periodic character, achieved through an ecosystems approach, within national strategic natural resources management plan. TABLE 7.4 General Wetlands Management Approaches Approach Description Applicability The wetland is protected by law from development, with Publicly owned and controlled Wetlands Conservation limited economic activity allowed. wetlands. This could also include wetland easements on private lands. An agency-issued permit is required to modify a significant Publicly or privately owned lands. wetland. Permit principles include showing avoidance of damage to wetland resources to the greatest extent Wetlands possible, minimization of unavoidable impacts, and Regulation mitigation activities where appropriate. Financial incentives and technical assistance may be provided to landowners to help them sustainably manage their wetlands. The local community plays a significant role in wetlands Wetlands where local communities, management and land use decisions with the support sometimes indigenous peoples, have Community and facilitation of the government and non-governmental traditional wetlands use rights. Wetlands organizations. Financial incentives and technical assistance may be provided to communities. Government has no authority in the wetlands area. This may be due to armed conflict, lack of Unmanaged accessibility, or lack of government capacity. Source: Authors. 90 ● Chapter 7—Healthy Watersheds ■ Develop a wetlands inventory and prioritize man- to account for the economic needs of the community agement of wetlands at risk. A wetlands inventory is while ensuring wetlands ecosystem integrity. instrumental in identifying and cataloguing wetlands as ■ Adopt and implement regulations relating to wet- well as in establishing key indicators to monitor trends lands development. The agency should develop criteria on the health and services provided by wetlands. The and standards of practice for assessing proposed devel- inventory can highlight the relative importance of wet- opments in wetlands, including reclamation (by filling in lands in ecological, social, and hydrological terms (in- the wetland). Significant development activities should cluding as regards flood mitigation), and help identify be subject to an environmental impact assessment and the wetlands at risk requiring specific measures. a permitting scheme. ■ Designate wetlands as protected areas. Wetlands with ■ Create linkages to WRM plans. Wetlands management the greatest need of protection, including those relevant issues should also be addressed, as appropriate, in the to the Ramsar Convention, should be designated as National Strategic WRM Plans as well as in river basin protected areas under the natural resources management plans to ensure recognition of wetlands’ role in flood and or protected areas law. drought risk management. ■ Develop wetlands management plans for high priority wetlands. Multi-purpose wetlands management plans Generic Evolution should be developed for areas where communities rely economically upon wetlands, for example fisheries, The generic evolution of this program of wetlands manage- agriculture, tourism, or other activities. These plans need ment programs is summarized in Table 7.5: TABLE 7.5 Generic Evolution of Wetlands Programs Nascent Engaged Capable Effective Wetlands are referred to in the Wetlands are highlighted in the The natural resources agency is Wetlands management programs natural resources management natural resources management implementing multiple wetlands are operating effectively. There law but there are no dedicated law. Wetlands management programs. Regulations are in is extensive coordination programs for their management. programs are authorized under place for managing wetlands between the natural resources the law, but still in early stages on private land, but regulatory agency and the WRM agency and of implementation. Limited control is limited. Linkages with the specific role of wetlands in linkage with WRM programs. the WRM agency and the river hydro-climatic risk management basin planning process/WRM is fully reflected in river basin programs are established. plans and the coordination of programs. Source: Authors. 7.4 Watershed Management Watershed management and river basin management have many common areas and synergies but are also distinct Watershed management refers to the judicious use of all the activities. River basin management, as highlighted in natural resources, including land, water, and vegetation, to Chapter 6, is overseen by the WRM agency while watershed help ensure environmental sustainability and improve the management is normally led by the natural resources or welfare of people living in the watershed. Sound watershed agriculture agency. Watershed management is a process for management will help to alleviate drought, moderate floods, natural resources and agriculture agencies to help integrate prevent soil erosion, improve water availability, and help to and prioritize the various national forest, wetlands, and sustain the production of food, fodder, fuel, and fiber. The agricultural programs described in previous sections. terms landscape management and watershed management Watershed management requires a whole-of-society are often used interchangeably with the main distinction approach to be successful and some of the guiding principles being that watershed management focuses more on are highlighted in Box 7.3. hydrological boundaries and functions. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 91 Box 7.3 Principles of Landscape/Watershed Management Landscape management involves a holistic approach to achieving productive and healthy ecosystems by integrating social, economic, physical, and biological needs and values, and it contributes to sustainable and rural development. It is based on four overarching principles: n Targeted policy and institutional support, including the development of incentive mechanisms for landscape management adoption and income generation at the local level. n Land user-driven and participatory approaches. n Integrated use of natural resources on farms and at the ecosystem scale. n Multilevel, multi-stakeholder involvement and partnerships at all levels, including land users, technical experts. and policy makers. Information included in this box was drawn from the FAO Sustainable Land Management webpage at http://www.fao.org/land-water/land/ sustainable-land-management/en/. Key Issue: Although conceptually sound, landscape or watershed management is extremely challenging to apply in practice as it cuts across sectors and jurisdictions and involves a wide span of stakeholders, including diverse groups of farmers and individual landowners. Program Description boundaries and take on a variety of different forms and geographical coverage. In some cases, they may be legally Local Watershed Management Organizations (WaMOs). constituted organizations that operate independently of the These organizations can help provide a critical link between government. In other cases, the local government may have national agencies and local communities. This linkage is a specialized unit that helps organize and represent the com- important because national agencies may have substantial munity in its interactions with national agencies. An import- financial resources and technical expertise, but communities ant consideration is that a WaMO needs to be able to take a often have a better sense of local priorities and are responsible broad landscape perspective within its area of jurisdiction for undertaking many of the actions supported by various and to understand how that area is nested into a larger wa- natural resources management and agricultural programs. tershed perspective. Box 7.4 provides an example of resource In practice, WaMOs can follow hydrological or political conservation districts in California. Box 7.4 California Resource Conservation Districts In response to the national Dust Bowl crisis of the 1930s, when millions of acres of cropland were destroyed by drought and the devastating loss of fertile topsoil, the U.S. Federal Government established in 1937 the Soil Conservation Service, now called the Natural Resources Conservation Service (NRCS), under the U.S. Department of Agriculture. Concern arose about whether a federal agency would be responsive to local needs, so states were asked to form Soil Conservation Districts led by local landowners serving on boards of directors to work in collaboration with and to provide local input to guide the programmatic priorities of the NRCS. The NRCS provides assistance to growers, ranchers, and landowners only in areas with Resource Conservation Districts (RCDs). In 1938, California recognized the importance of Soil Conservation Districts and authorized their formation under the Public Resource Code. Though not governed by the state, special districts including RCDs are subject to state law concerning elections, responsibilities, and legal meetings. Soil Conservation Districts were originally empowered to work with landowners on a voluntary basis to manage soil and water resources for conservation, but these powers were expanded in the early 1970s to include “related resources”, including water quality and wildlife habitat. This expansion of powers was reflected in the change of name from “Soil” Conservation Districts to “Resource” Conservation Districts in 1971. Most RCDs receive very little regular funding through local taxation and rely heavily on competitive grants and other types of fundraising to stay in operation. There are currently 103 RCDs, which manage diverse resource conservation projects in more than 85 percent of the state. 92 ● Chapter 7—Healthy Watersheds Agriculture and natural resources agencies should support principles of watershed (or landscape) management are often and nurture WaMOs for a variety of reasons. WaMOs serve highlighted in WRM, natural resources, and agriculture laws. as an ideal conduit for public outreach and communication As noted at the start of the chapter, natural resources is used in programs. WaMOs can also serve as a channel for implementing a broad sense and could include a single national sector frame- programs, either through block grants to WaMOs or helping work or multiple sector frameworks. The relevant national to link potential beneficiaries with specific agency programs. framework for watershed management depends on the coun- WaMOs can also help national agencies better address social try context, and in many countries, it may not be well defined. inclusion issues by providing linkages with marginalized This is one of the great challenges of establishing comprehen- groups such as indigenous groups, women, and landless sive watershed and landscape management systems. populations. National agency support for WaMOs can take The national sector frameworks for WaMOs and watershed many forms, including helping in their legal establishment, planning may also be different. In some countries, the funding, and providing technical assistance and training. national agricultural framework is well placed to authorize Watershed Management Planning. Local WaMOs working in the establishment of local WaMOs, as much of the watershed- partnership with natural resources and agriculture agencies related technical and financial assistance flows through the can help address issues on a relatively small scale. It is agricultural sector. A key point to note is that to be effective, important also to have a periodic (for example every five WaMOs need to have independent legal authority so that they years) planning or assessment exercise that looks at the entire can enter into legal relationships with concerned landowners. watershed and identifies key problems, objectives, and high This will usually need to be specifically addressed in a law. priority activities. A watershed management plan provides Watershed planning responsibility, which is more of a multi- an opportunity for the agriculture, natural resources, and sectoral activity, is more likely to be authorized through WRM agencies to examine the effectiveness of their various either the WRM or natural resources national frameworks. programs to promote healthy watersheds and adjust where necessary. It also gives local WaMOs an opportunity to Key Agency Actions better understand how their jurisdictions are affected by and contribute to larger watershed dynamics. Some of the key tasks for the national agriculture or natural resources agency mandated to support local WaMOs include Information from watershed monitoring is an important input the following: for watershed management plans. This should be focused on aspects such as the ecological conditions and trends of ■ Fostering institutional arrangements, in terms of the key natural assets (such as strategic wetlands, forests, soil establishment of WaMOs at the appropriate level and erosion, water quality and quantity, and floods and droughts), ensuring they receive adequate resources so that they helping establish cause-and-effect relationships between can effectively fulfill their functions. natural assets and ecosystem services, and informing and ■ Providing technical support to WaMOs to enable the updating the implementation and effectiveness of specialized local implementation of preferable healthy watershed programs. A strong and continuous watershed monitoring practices (such as standards of practice on upland program can provide a structured framework for adaptive habitat management, conservation, or crop rotation). watershed management by associating indicator thresholds with management activities (Shames and others 2017). ■ Building incentives to foster the establishment of WaMOs and the implementation of healthy watershed Watershed planning should be done in a collaborative process programs (for example, providing benefits and support with all relevant agencies, and in a participatory manner to landowners, communities, and households). with a wide range of stakeholders including the local WaMOs. The watershed management plan should feed into the river ■ Supporting people-centered healthy watershed basin plan and vice versa. This collaborative arrangement management by providing guidance to WaMOs on between the various agencies is a classic example of the how to work constantly with program beneficiaries type of joined-up government approach required to address to incorporate successful local approaches and adapt hydro-climatic risk management. healthy watershed programs to their needs (Dargouth and others 2008). WaMOs can establish key partnerships with local communities or more permanent multi-stakeholder Linkage to the National Sector Framework platforms that can be mobilized for planning, capacity Since watershed management cuts across various sectors, building, or for a broader public awareness purpose (such there is often no overarching national framework. The basic as local conservation or farmer associations). An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 93 Some of the key tasks for the WRM or natural resources ■ Establishing formal roles for relevant national agen- agency mandated to support watershed planning include the cies including WRM, natural resources, and agriculture. following: This could include formal review processes or co-formu- lation of the watershed management plan. Ensure syner- ■ Adopting regulations regarding the watershed gies between the watershed management plan and basin planning process, covering topics such as how often a or coastal management plans. plan needs to be prepared, the general scope and format of the plan, and the review and approval process. ■ Ensuring public outreach and stakeholder engage- ment by providing guidance on consultations, respond- ■ Providing technical watershed planning guidelines, ing to feedback, and ensuring transparency. The process including general methodology, sources of data, should ensure all relevant stakeholder groups are mean- modelling approaches, linkages with other sectors, and ingfully engaged, with a special focus on social inclusion. other planning processes. The guidelines should include specific guidance on the impact of healthy watersheds on flood and drought mitigation. Generic Evolution The generic evolution of watershed management programs is summarized in Table 7.6. TABLE 7.6 Generic Evolution of Watershed Management Programs Nascent Engaged Capable Effective No agriculture or natural Agriculture and natural Natural resources or WaMOs functioning effectively resources support programs resources programs operational agriculture law authorizes and are key partners for natural or consideration of watershed but not implemented from creation of WaMOs and resources and agriculture agencies. management approaches. a watershed management requires watershed planning. Comprehensive watershed plans perspective and no local WaMOs struggle with funding formulated with broad engagement WaMOs. and capacity. Watershed by other agencies and stakeholders. plans are formulated by a Watershed plans synergize with single agency. river basin plans. Source: Authors. Sustainable land management is one of the greatest policy blindspots in doestic and global responses to hydro-climatic risk management. 94 ● Chapter 7—Healthy Watersheds 7.5 Key Resources Liniger, Hanspeter, and Rima Mekdaschi Studer. 2019. Sustainable Rangeland Management in Sub-Saharan Africa: Forest Management Guidelines to Good and Protect Our Waters. TerrAfrica Partnership. Washington, DC: World Bank; Bern: WOCAT FAO (Food and Agriculture Organization of the United (World Overview of Conservation Approaches and Nations). 2020. “Sustainable Forestry Management for Soil Technologies); Bern: CDE (Centre for Development and and Water Conservation.” November 4, 2020. Environment, University of Bern). Spalding, Mark Douglas, Anna Mcivor, Femke H. Tonneijck, NRCS (U.S. Natural Resources Conservation Service). 2020. Susanna Tol, and Pieter van Eijk. 2014. Mangroves for Coastal “Conservation Practice Standards.” Washington, DC: NRCS. Defence: Guidelines for Coastal Managers & Policy Makers. Wageningen: Wetlands International; Arlington: Nature Conservancy. Watershed Management Darghouth, Salah, Christopher Ward, Gretel Gambarelli, Erika Wetlands Management Styger, and Julienne Roux. 2008. “Watershed Management Approaches, Policies, and Operations: Lessons for Scaling GWP (Global Water Partnership), and WMO (World Up.” Water Sector Board Discussion Paper Series no. 11. Meteorological Organization). 2012. Conservation and Washington, DC: World Bank. Restoration of Rivers and Floodplains. Integrated Flood Management Tools Series no.13. EPA (U.S. Environmental Protection Agency). 2013. A Quick Guide to Developing Watershed Plans to Restore and Protect Ramsar Convention Secretariat. 2010. Laws and Institutions: Our Waters. Washington, DC: EPA. Reviewing Laws and Institutions to Promote the Conservation and Wise Use of Wetlands. Ramsar Handbooks for the Wise Mathews, Ruth. E., Anna Tengberg, Johanna Sjödin, and Use of Wetlands, 4th ed. vol.3. Gland: Ramsar Convention Brigitta Liss-Lymer. 2019. Implementing the Source-to- Secretariat. Sea Approach: A Guide for Practitioners. Stockholm: SIWI (Stockholm International Water Institute). Climate-Smart Agriculture UNESCO (United Nations Educational, Scientific and Cultural Organization). 2018. World Water Development Report 2018: CCAFS (Consultative Group on International Agricultural Nature-Based Solutions for Water. Paris: UNESCO. Research (CGIAR) Program on Climate Change, Agriculture and Food Security). 2020. “Climate Smart Agriculture.” FAO (Food and Agriculture Organization of the United Nations). 2017. Voluntary Guidelines for Sustainable Soil Management. Rome: FAO. 8 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 95 Water Resources Infrastructure Water resources infrastructure (WRI) broadly refers to assets to nature-based solutions which are directly linked to gray such as dams and their reservoirs, regional bulk water infrastructure. For example, a watershed (green) immediate- systems, flood control structures along rivers and coasts, and ly upstream of a dam (gray) can be considered part of the regional drainage channels and floodways. In broad terms, it same WRI system as it impacts water and sediment flows is the infrastructure that the WRM agency normally operates into the reservoir. Another example is floodplains (green) or regulates. This infrastructure is used to help control blue that retain flood waters and can be combined with river dikes water flows through the watershed and is an important tool (gray) to form integrated green-gray flood infrastructure. in the arsenal to reduce hydro-climatic hazards.28 Chapter Like all nature-based solutions, green infrastructure typically 5 reviewed how river basin planning can help define the generates many environmental and social co-benefits. Green investment needs for WRI. infrastructure can also boost resilience as it unlikely to cata- strophically fail. A new paradigm is emerging which also looks at how to in- tegrate green infrastructure with traditional gray infrastruc- As shown in Figure 8.1, this chapter will examine two key ture (Browder and others 2019). Green infrastructure refers elements related to WRI. First, how WRI investment policy FIGURE 8.1 Water Resources Infrastructure in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds Water Resources Infrastructure Infrastructure Policy Dam Safety Flood Infrastructure Safety C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 28 This chapter does not address water infrastructure used to directly delivery water services, such as water supply and sanitation or irrigation and drainage. WRI helps provides the general enabling conditions for this class of infrastructure. Infrastructure needs for water service providers should be defined through the planning processes described in Chapter 5. 96 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Integrating green and gray is the next generation infrastructure. Eastern Scheldt Storm Surge Barrier, the Netherlands. Photo: GAPS An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 97 can promote—or distort—good decisions on infrastructure. typically owned by a wide range of entities, and WRM Second, how infrastructure safety is an important issue. agencies need to ensure comprehensive programs for WRI can be a dual-edged sword. It can help reduce flood and flood control safety. drought hazards. But if it fails, those hazards will be greatly increased. For example, the collapse of a dam constructed 8.1 WRI Investment Policies to reduce flood hazards and store water for dry seasons can result in immediate catastrophic flood damages and also Program Description increase future drought risks. There is a clear need to increase funding for upgrading Investing in healthy watersheds and nature-based solutions, and constructing new water resources infrastructure, which are higher up in the EPIC Response Framework, is an particularly to address the increasing hazards associated important complement to water resources infrastructure. with climate change (HLPW 2018). WRI generates a mix of Hydrological processes are dictated by the weather and public and private benefits, yet it is generally funded by the watersheds: WRI can only temper—not control—hydro- government. Since public budgets are constrained, policies climatic hazards. Degraded watersheds can quickly should be adopted which promote the efficient use of these overwhelm WRI functionality, for example by increasing funds. Investment efficiency is also important from an equity sedimentation in reservoirs or reducing base flows. This perspective because in many cases the costs (in terms of high underscores the importance of WRM agencies working with levels of public subsidies) for WRI are borne by all taxpayers natural resources management and agriculture agencies to while the benefits go only to a much smaller group. Finally, prioritize the health of watersheds. The key program areas national WRM agencies that depend entirely on a general reviewed in this chapter are summarized below: budget and operate in a non-commercial manner may ■ WRI Investment Policy. Historically, WRI has been potentially be driven by political motivations, rent seeking, considered a pure public good with costs borne or local elite capture that distorts the decision-making almost entirely by the government. This often distorts process (Molle 2008). investment decisions, resulting in overinvestment and Ideally, WRI investment decisions should be guided by inadequate maintenance. Thus, WRM agencies should sophisticated economic and environmental analysis to strive to improve their economic analysis, allocate determine whether a proposal is justified from a broad a higher percentage of costs to users, and ensure economic perspective; this also helps to ensure a reasonable appropriate cost sharing by local governments. National project size and cost. An economic analysis is used to government support for WRI investment can also be used determine whether a proposed project will be a worthwhile as an incentive to encourage non-structural measures investment. It would account for all benefits and costs to reduce risks, for example by land management and regardless of who is affected. An economic analysis allows water conservation. for fair comparisons to be made between alternatives and ■ Dam Safety. Unsafe dams can increase flood and demonstrates why a proposed project can be considered drought risks. These dams are often owned and operated the best solution to meet the overall objectives. More by a wide range of entities, including WRM agencies, sophisticated economic analysis can consider environmental local governments, other sector agencies such as and social costs and benefits and thus provides a useful agriculture and energy, water utilities, and the private tool, along with the technical, financial, environmental, and sector for hydropower. Thus, WRM agencies need to social assessments, to appraise a project. It is particularly ensure comprehensive national programs in which WRI important to consider the co-benefits of associated green owners are responsible for WRI safety and in which infrastructure when analyzing a project proposal (Browder WRM agencies ensure compliance. Dam safety programs and others 2019). Ideally, economic analysis should be are particularly important in the face of climate change integrated into a broader environmental and social impact and evolving safety criteria. assessment (ESIA) that can be used as the government’s primary decision-making document. ■ Flood Infrastructure Safety. Non-dam flood infrastructures such as levees, dikes, flood control gates, Although WRI is typically financed by the government, there and pump stations all play important roles in reducing are opportunities to recover some costs by charging water flood hazards. Similar to dams, however, if a critical users, for example by selling bulk water supply to water component of flood control infrastructure fails, then utilities and irrigation schemes or by generating power from risks can increase. Flood control infrastructure is also multi-purpose dams. Methods for allocating costs for multi- 98 ● Chapter 8—Water Resources Infrastructure purpose reservoirs and water conveyance systems have periodically reviewed in the National WRM Strategic Plan. been developed, allowing for more equitable cost recovery The national planning agency and the national finance agency policies from water users (OCDE 2017). have a vested interest in ensuring sound infrastructure In many cases, the national government will help fund investment and may also require the national WRM agency to local flood control projects or the development of new develop clear guidance on the planning and funding of WRI. water sources such as reservoirs or groundwater well An example of national WRI planning policy and principles fields. When funds are offered on a 100 percent grant basis from the United States is presented in Box 8.1. there is a tendency for local governments to overbuild and undermaintain the WRI. Thus, adopting reasonable cost- sharing policies will encourage local governments to make Key Agency Actions better economic decisions, since the use of their scarce funds Key policy and institutional considerations for the WRM is also at stake. Attaching conditions to national funding of agency include the following: local WRI can also be used to incentivize local governments to adopt better and lower-cost management practices, for ■ Formulating WRM project planning guidance. Develop example by promoting the use of non-structural approaches a comprehensive policy that outlines procedures and for flood management or water conservation. methodologies for assessing WRI that include, among other items, applicability, guiding principles, general requirements, environmental and social assessment, and Linkage to the National Sector Framework relationship to other planning processes. This guidance It is important for the water resources law to include should be supplemented by additional technical notes provisions requiring economic efficiency, sustainability, and that provide more detailed information, for example on transparency in the planning and design of WRI. The water methodologies for economic assessment of different resources law should also ideally lay out basic principles for types of projects, addressing climate uncertainties and the planning process while allowing the responsible national resilience, and valuing ecosystem benefits. Specific WRM agency to develop the specific criteria and methodology. guidance on green infrastructure as a special component The efficacy and applicability of these principles could be for different types of WRI would also be useful. This Box 8.1 Key Provisions in the U.S. 2007 Water Resources Development Act The Act emphasizes that water resources projects should maximize sustainable economic development, avoid the unwise use of floodplains, and protect and restore natural ecosystems. The Act also requires the U.S. Army Corp of Engineers to update the “Economic and Environmental Principles and Guidelines for Water and Related Land Resources Implementation Studies” (referred to as Principles and Guidelines Document) to include the following considerations:a (1) Use of best available economic principles and analytical techniques, including techniques in risk and uncertainty analysis. (2) Assessment and incorporation of public safety in the formulation of alternatives and recommended plans. (3) Assessment methods that reflect the value of projects for low-income communities and projects that use non-structural approaches to water resources development and management. (4) Assessment and evaluation of the interaction of a project with other water resources projects and programs within a region or watershed. (5) Use of contemporary water resources paradigms, including integrated water resources management and adaptive management. (6) Evaluation methods that ensure that water resources projects are justified by public benefits. Information included in this box was drawn from 110th United States Congress. Water Resources Development Act of 2007, Public Law 110-114. a. November 8, 2007. GPO (U.S. Government Publishing Office). https://www.congress.gov/110/plaws/publ114/PLAW-110publ114.pdf. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 99 approach would help provide a common framework for supply, agricultural water supply, flood control, and assessment of WRI and ensure analytical rigor. ecosystem protection. ■ Developing cost allocation and sharing policies. ■ Using cost-sharing policies as incentives. Consider Formulate methodologies for allocating costs between cost-sharing policies for WRI that help to create different users for multi-purpose water resources incentives for more comprehensive risk management infrastructure projects. The general approach is to approaches. For example, local governments that adopt consider two types of costs: (1) separable costs which sound floodplain management programs could be are directly attributable to a single user, for example a rewarded by having a lower cost-sharing percentage hydropower plant for a multi-purpose reservoir; and (2) for flood infrastructure. In a similar manner, cities that joint costs that are shared by multiple users, for example adopt effective water conservation programs could be the dam that stores water for hydropower, flood control, rewarded by having a lower cost-sharing percentage for and water supply for cities and farms. Separable costs multi-purpose water supply projects such as reservoirs are easy to allocate, but there are various approaches or regional water conveyance facilities. Higher levels of to sharing joint costs that can be considered. The WRM subsidies for green infrastructure, due to its co-benefits agency should have clear cost-sharing policies to ensure and climate resilience, could also be considered. that project beneficiaries assume some share of the costs to help inform rational investment decisions. Cost- Generic Evolution sharing percentages generally vary by sector according to its financial capacity, and typically go from highest to The generic evolution of WRI investment policies can be lowest in the following order: hydropower, urban water summarized as shown in Table 8.1. TABLE 8.1 Generic Evolution of WRI Investment Policies Nascent Engaged Capable Effective All WRI funded by national National government issues National government refines National government adopts government with no cost WRI policy guidelines, requiring investment policy, requiring comprehensive investment sharing. Economic analysis some cost sharing and linkage cost allocation analysis policy, requiring state-of-the-art limited to least-cost analysis. to river basin planning process. and some cost sharing. economic analysis, well-defined No consideration of green Green infrastructure promoted Issues general guidance for cost allocation principles, and cost- infrastructure. in concept but not in practice. economic analysis. Green sharing requirements to provide infrastructure and non- incentives for beneficiaries to structural measures are include non-structural and green utilized. infrastructure approaches. Source: Authors. 8.2 Dam Safety operational decisions, and lack of emergency planning. Dam safety programs are intended to address these shortcomings Program Description by ensuring a comprehensive life cycle approach. Dams comprise critical infrastructure to meet increasing Dams are typically owned and operated by a wide variety of demands for water, food, energy, and flood control. The organizations. WRM agencies may themselves operate dams failure of a dam can potentially have catastrophic impacts for multi-purpose use such as flood control, water supply, in terms of downstream flooding, as well as by removing hydropower, and recreation. Energy agencies or companies an asset that communities are reliant upon to reduce may operate dams primarily for hydropower but may also flood hazards and to supply water. The two most common include other uses. Agriculture agencies, and individual causes of dam failure are “overtopping” of earth dams, irrigation surface providers, often rely upon dams to provide and foundation problems that are sometimes triggered by water supply for irrigation systems. Water utilities often own earthquakes. The proximate causes of dam failures, however, and operate their own reservoirs to meet their water supply are often complex and myriad, and could include factors such needs. Many of these dams are typically either constructed from as inappropriate design standards, bad siting decisions, poor soil or concrete, with a wide variation in dam and associated construction, inadequate monitoring and maintenance, poor reservoir size. Ensuring that all these dams are regulated under 100 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management In 2017, dam safety concerns for Oroville Dam resulted in temporary evacuation of 180,000 people. Water flowing from the eroded overflow spillway of Oroville Dam, California. Photo: William Croyle, California Department of Water Resources an appropriate national dam safety management program is design and operation accordingly. Assessment of natural an indispensable element of hydro-climatic risk management. hazard magnitudes and frequency, for example river flows and earthquakes, can change over time as new The core principle of dam safety management is the notion of information is obtained. Watershed characteristics can shared responsibility. The owner is responsible for ensuring change over time, potentially increasing inflows into the safety of a dam, for operating and maintaining it in a safe condition, and for ultimately assuming criminal and civil reservoirs and increasing dam safety risks. Finally, the liability in the event of a failure. The dam safety regulator number of people and assets at risk downstream of a is responsible for protecting the safety of the public by dam typically evolves over time. establishing dam safety standards and ensuring that these ■ Emergency planning is a core element of dam safety are fully implemented. The International Commission on because it is impossible to eliminate the risk of dam Large Dams (ICOLD) has laid out the core pillars of dam failures. Emergency plans should be developed with safety, some of which are summarized below (ICOLD 2019): the objectives of avoiding the loss of life and reducing ■ Structural integrity is the keystone of dam safety. Best damage to property, infrastructure, and the environment current practices for dam design and construction that resulting from a dam failure. follow a risk-based approach appropriate for the country ■ Training of operators is part of a comprehensive dam safety and specific setting should be utilized. program. Those placed in charge of dams bear an important ■ Routine supervision and monitoring of dams is necessary responsibility to maintain their training and understanding for early detection of safety issues. Supervision of dams of their dam. The misoperation of a dam, especially of should be based on both the operator’s self-supervision spillway gates, can lead to accidents, downstream flooding, and periodic external safety reviews by an independent or potential overtopping of the dam. and competent authority. ■ Regulatory authorities are key to dam safety programs. ■ Risks change with time and thus should be regularly Regulatory authorities should take a strong role in reviewed and updated, with adjustments to the dam’s ensuring adequate site investigation, best practice An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 101 design standards, quality construction, contractual ■ Systematically identifying dam owners. The next step frameworks, emergency preparedness, and operational is to set up a mechanism to clearly identify the owner compliance within accepted guidelines and standards. or person responsible for dams within the jurisdiction concerned and to set this information out in a publicly accessible form such as a register. It will also be Linkage to the National Sector Framework necessary to ensure that existing dams are brought The authorization for a national dam safety program is typically within the dam safety program. provided in a national water resources or a standalone dam safety law. The law should ideally authorize a national dam ■ Formulating engineering design and construction safety regulator, which is typically a WRM agency.29 However, standards. The regulator will need to provide guidance in some countries there are multiple dam safety regulators on appropriate design criteria for different categories of serving different sectors, for example hydropower, mining, dams. These design criteria typically include hydrologic, and water resources. In cases where there are multiple hydraulic, geotechnical, seismic, and structural regulators, they should ideally be under a single national dam considerations, along with instrumentation for the safety law with one organization—typically the WRM agency, dam and its appurtenant structures. General guidelines responsible for overall coordination and supervision.30 for construction methodology are also required for regulatory purposes. The regulator may draw upon The law should provide the dam safety regulator with the power existing design standards from other organizations, for to: (1) license new or modified dams; (2) perform periodic example the International Commission on Large Dams inspections during construction and operation phases; (3) or the U.S. Bureau of Reclamation. require owners of dams to perform necessary maintenance or remedial work, install and monitor instrumentation, improve ■ Adopting regulations for reviewing and approving the security, revise operating procedures, or take other actions, design and construction of dams. The regulator will including holding down storage in anticipation of flood need to lay out clear procedures for the submittal and surges and breaching dams when necessary; and (4) issue approval information related to the design, construction, sanctions, including imposing financial penalties or pressing and commissioning of either new dams or modifications criminal charges, and requiring the cessation of operations to existing dams. There are typically many points in this as necessary. process that require the formal approval of the regulator before the operator can proceed on to the next phase. The law should include a provision for dam safety emergency management plans. However, jurisdiction over these plans ■ Adopting regulations for dam safety inspection may reside with either or both the dam safety regulator and and monitoring. The regulator will need to lay out the national DRM agency. Since the implementation of the clear guidelines and procedures for the inspection emergency management plan requires coordination with and monitoring of dams. Dam owners are required downstream local government and civil defense authorities, to have adequate dam monitoring instrumentation, the national DRM agency typically plays an important role. undertake frequent periodic dam safety inspections, and file reports to the regulator. The regulator in turn should review these reports and undertake its own Key Agency Actions independent inspections on a periodic basis following Key policy and institutional considerations for the WRM well-documented procedures. agency or dam regulator include the following: ■ Adopting regulations for emergency management ■ Determining the applicability of dam safety plans. The dam safety regulator, along with the national regulations. The regulator will need to establish which DRM agency, will need to work collaboratively to develop dams are under its jurisdiction, including potentially guidelines and procedures for the formulation of dam different regulatory categories based upon risk. emergency management plans. These plans guide the Typically dam height and amount of water impounded actions of the dam operators, downstream communities, are the starting criteria, but evaluations of potential and civil defense authorities in the event of a dam downstream risks in terms of population and assets emergency that may require release of emergency flows exposed can also be considered. or in the case of a dam breech. Typically, downstream 29 In some countries there may be multiple authorities, for example in countries which rely on hydropower. 30 As an example, Brazil has four groups of dam safety regulators: water, hydropower, industrial, and mining, which are under a common national safety law and report to the national water authority (World Bank and ANA 2015). 102 ● Chapter 8—Water Resources Infrastructure inundation maps are prepared that help guide emergency to comply with dam safety standards. This is particularly evacuations and response. common for smaller dams that provide a water supply for farmers or cities. The consequences of requiring a ■ Delivering dam safety training. The dam safety dam to cease operations due to safety reasons may be regulator should have a broad and comprehensive program to help its staff, engineering consultants, dam unacceptable. The dam safety regulator should thus be operators, inspectors, and disaster response personnel empowered to administer a program of financial support boost their capacity in all relevant dimensions of dam to qualified dam owners to help them meet safety stan- safety. Since dam safety is a highly technical subject, it dards. This could potentially be offered in the form of requires specialized training in order to minimize the grants or concessionary loans. risks of catastrophic failure. ■ Providing financial support for dam safety modifica- Generic Evolution tions. In some cases, a dam operator may not be able to The generic evolution of this program can be summarized as afford the necessary structural modifications necessary Table 8.2. TABLE 8.2 Generic Evolution of Dam Safety Programs Nascent Engaged Capable Effective The legal responsibility of dam Different sector agencies, such National dam safety law is The national dam safety agency owners for the safety of their as water resources, hydropower, passed, requiring a uniform is well established and manages dams is poorly addressed in agriculture, and mining, set up approach across sectors an effective and comprehensive law and there is no effective their own sector-specific dam and standards. It clearly regulatory system. Dam operators government oversight. safety programs but there is no establishes the liability of the are well trained and have the overarching national framework. owner or operator in the case capacity to comply with regulations of dam failure. The regulatory and take their own appropriate framework is still developing actions. Both regulators and and the capacity of the operators are able to effectively dam safety regulator(s) and fulfil their obligations with regard operators is relatively low. to dam safety. Source: Authors. 8.3 Flood Control Infrastructure Safety also be integrated into transport infrastructure, with roads or railway lines situated on top of the embankments. In Program Description some cases, specific sections of flood embankments may be designed to be easily breached (these are called fuse plugs). River and coastal flood control infrastructure provides When flood levels in a river are dangerously high, the fuse many of the same functions as dams—essentially holding plugs allow water to be channeled into areas that pose the water back—and faces many of the same risks. Flood control lowest risk, such as agricultural areas with minimal numbers embankments can include levees that protect land that is of structures. Although a flood control infrastructure failure normally dry but that may be occasionally flooded, and dikes is generally not as immediately catastrophic as a dam failure, that protect land that would naturally be underwater most of it can have a significant impact over a large geographical the time. Tidal gates are important for coastal flood control region as river or coastal flood waters pour into low-lying and can help protect against storm surges. Large pump areas. As an example, the devastating floods in New Orleans stations that help evacuate flood waters are critical elements during Hurricane Katrina in 2005 were caused primarily by of many flood control systems. the failure of levees (ASCE 2017). Flood embankments are typically constructed from soil and Like dams, flood control infrastructure is often owned are sometimes armored with concrete. They are prone to or operated by multiple entities. Larger infrastructure is collapse when overtopped and they can suffer foundation typically constructed by the WRM agency, which may keep failures like dams do. Flood walls are constructed from control of operations or maintenance or turn them over to concrete, and in some cases steel, and may also fail from local governments. In some cases, local governments or overtopping or foundation failures. Flood embankments may private industries, such as industrial estates, may construct An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 103 Box 8.2 WRM and Infrastructure in the Netherlands The Netherlands water resources system relies heavily on infrastructure. In 60 percent of the country, water levels in the very extensive system of canals, lakes, and ditches are controlled by pumps and water inlet facilities. The same infrastructure is also used to control the water quality (in particular, salt concentrations) by flushing the system with fresh river water. Many locks, large and small, have been built to enable the canals also to be used for both commercial and recreational navigation. The main purpose of this infrastructure is to prevent waterlogging and flooding, but the system of canals and ditches is also used to supply water to regions in case of drought. Safety from flooding is provided by river and sea dikes in combination with controllable infrastructure to protect the country against storm surges from the sea (such as the Eastern Scheldt Barrier and the Maeslandkering). The infrastructure is maintained (and, where necessary, further developed) by 17 self-governing water boards for the regional systems and by the Rijkswaterstaat (a semi-autonomous agency of the Ministry of Infrastructure and Water Management) for the national system (the main rivers and lakes of national importance). Municipalities and provinces do not have major responsibilities in water management in the Netherlands. The responsibilities of the Rijkswaterstaat and the Water boards are described in the Water Law. The financing of the activities of the Rijkswaterstaat is guaranteed by a financial paragraph in the Water Law (the Delta Fund). Water boards finance their activities from taxes from residents and businesses. Key Issue: The main lesson learned from infrastructure in the Netherlands is to pay more attention to nature-based solutions, by integrating grey and green infrastructure. Grey infrastructure remains necessary, but adding nature-based solutions improves the resilience of the system and reduces the maintenance costs. their own flood control infrastructure. However, a basic Linkage to the National Sector Framework challenge for flood safety can be identifying precisely who Flood infrastructure safety programs are usually linked to water owns the infrastructure or sections of flood embankments resources laws but may be subject to coastal protection laws and who is therefore responsible for maintaining them when coastal infrastructure is involved. The water resources law and ensuring their integrity. This is because many flood should highlight the need to ensure flood control infrastructure embankments have been built up and extended over decades safety and should clearly impose responsibility for infrastructure or even over centuries. Consequently, few were originally maintenance and safety on the owners, while also imposing designed or constructed to modern standards. In addition, responsibility for regulatory oversight on the WRM agency. records of their construction and historical performance may The law should also require the WRM agency to set up a not exist. Moreover, they may stand for much of their lives national flood control infrastructure safety program and without being loaded to design capacity, which can create identify funding sources for maintenance and rehabilitation a false sense of security in the level of protection they will (which may include local governments). Elements of the provide. national flood control infrastructure safety program should include a national database or register to which relevant Flood infrastructure is typically composed of long linear agencies and the public should have access, the establishment structures that are only as strong as their weakest links. The of a national flood infrastructure safety committee, the structures can suffer from several potential deficiencies, such establishment of a hazard classification system, the adoption as old age, poor construction, and inadequate maintenance. of regulations and guidelines for flood control infrastructure They can also experience damage from burrowing animals management, an emergency response plan, the provision and human activity, such as illegal construction on or of technical assistance and training, efforts to raise public adjacent to flood control structures, illegal sand exploitation awareness, and provision of insurance. and storage of building materials, and overloaded vehicles travelling on embankments. They also are typically subject to encroachments by third-party objects that are constructed Key Agency Actions or installed over, under, or through the structures. Key actions for the WRM agency include: Those encroachments can adversely affect flood control ■ Establishing and maintaining a national flood control infrastructure integrity, but are not always fully recorded or infrastructure database or register that contains infor- documented. mation on the location and ownership of flood control in- 104 ● Chapter 8—Water Resources Infrastructure frastructure. The database or register should be available Local Emergency Response Plans. Responses should for public inspection and should contain information be planned for the breaching of embankments and for about the general condition of the infrastructure and an undertaking emergency repairs. assessment of the population and structures that would be adversely impacted by its failure. ■ Providing technical assistance and training to local governments and the owners of flood control infra- ■ Setting up an interagency committee on flood control structure about such matters as asset management, infrastructure safety that should include the DRM maintenance, and risk identification and mitigation, along agency, local governments, and as appropriate natural with the rehabilitation, improvement, or modification of resources management and agriculture agencies. flood control infrastructure. ■ Establishing, implementing, and periodically reviewing ■ Promoting public awareness of and involvement in a hazard potential classification system for existing flood flood safety programs including risk communication control infrastructure to act as the basis of identifying to beneficiary communities and local governments, and funding needs for priority repairs, rehabilitation, and mechanisms to allow members of the public to alert the upgrading of flood control infrastructures. owner of signs of damage or failure. ■ Adopting regulations and technical guidelines for the maintenance, construction, modification, and ■ Certifying compliance with the relevant elements of rehabilitation of flood control infrastructure. The the national flood control infrastructure safety program regulations and guidelines should also include risk as a prerequisite for subsidized or mandatory flood assessment and require decision making based on flood insurance programs. system performance assessment, flood risk analysis, and risk attribution to system segments. Generic Evolution ■ Setting out procedures for flood emergency responses The generic evolution of this program can be summarized as linked to the Emergency Management System and Table 8.3. TABLE 8.3 Generic Evolution of Flood Infrastructure Safety Programs Nascent Engaged Capable Effective There is no clear legislation A new water resources law Steps have been taken to The national flood control on flood control infrastructure places responsibility for flood implement the national infrastructure safety program safety, and information is control infrastructure safety flood control infrastructure is largely implemented, with an lacking as to the extent and on infrastructure owners and safety program in terms of updated register or database, location of flood control provides for the establishment establishing an interagency regular meetings of the interagency infrastructure and its owners. of a flood control infrastructure flood control infrastructure committee, adoption of regulations safety program, but this is safety committee, compiling and emergency response largely unimplemented. a register or database of procedures, the provision of flood control infrastructure, training, and implementation of implementing a national public awareness programs. flood control infrastructure safety program, and adopting regulations and technical guidelines. Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 105 8.4 Key Resources ICOLD (International Commission on Large Dams). 2019. World Declaration on Dam Safety: Better Dams for a Better WRI investment policies World. Porto: ICOLD. OECD (Organisation for Economic Co-operation and Wishart, Marcus J., Satoru Ueda, John D. Pisaniello, Joanne Development). 2012. A Framework for Financing Water L. Tingey-Holyoak, Kimberly N. Lyon, and Esteban Boj Resources Management. Paris: OECD. García. 2020. “Laying the Foundations: A Global Analysis OECD (Organisation for Economic Co-operation and of Regulatory Frameworks for the Safety of Dams and Development). 2017. “Multi-Purpose Water Infrastructure: Downstream Communities.” Sustainable Infrastructure Recommendations to Maximise Economic Benefits.” OCDE Series. Washington, DC: World Bank. Policy Perspectives. Paris: OCDE. US CEQ (U.S. Council on Environmental Quality). 2013. Flood infrastructure safety program Principles and Requirements for Federal Investments in Water CIRIA (Construction Industry Research and Information Resources. Washington, DC: CEQ. Association). 2013. The International Levee Handbook. London: CIRIA. Dam and flood control infrastructure safety U.S. National Committee on Levee Safety. 2011. Creating a program National Levee Safety Program: Recommendations from the ICOLD (International Commission on Large Dams). 2014. National Committee on Levee Safety. Washington, DC: U.S. “Regulation of Dam Safety: An Overview of Current Practice National Committee on Levee Safety. Worldwide.” Technical Bulletin no. 167. Paris: ICOLD/CIGB. 106 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management WRM agencies need to develop programs for flexibly and efficiently allocating water among users, particularly during periods of drought. Ho Pui Reservoir, Hong Kong. Photo: Chunyip Wong 9 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 107 Water Allocation and Groundwater Management This chapter focuses on two key water resources management in local water supplies. There are, however, limits on the programs for reducing drought risk: adaptable water extent to which water resources infrastructure can store and allocations and conjunctive groundwater management. As redistribute water. When periods of extreme dryness occur, reflected in Figure 9.1, these programs are influenced by the WRM agency can play a pivotal role in helping to manage the state of the watersheds as well as the stock of water drought risks by drawing upon programs for flexible water resources infrastructure. Healthy watersheds can help store allocations and conjunctive groundwater management. water in soils, aquifers, and wetlands, thereby increasing The two key programs are summarized below. These base flows during dry periods. In a similar manner, water programs are closely linked to drought monitoring, response, resources infrastructure such as multi-purpose reservoirs can and recovery as discussed in Chapter 11. However, these help store water. Regional water conveyance systems serve programs must be in place and functioning smoothly prior to to redistribute water supplies to help address variabilities the onset of a drought. FIGURE 9.1 Water Allocation and Groundwater Management Programs in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds • Water Resources Infrastructure Water Allocation and Groundwater C ONTROL Management • Floodplain Management Adaptable Water Allocation Groundwater Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 108 ● Chapter 9—Water Allocation and Groundwater Management ■ Flexible water allocations. WRM agencies should term concession agreements in the form of investment manage water allocations to ensure that water is not contracts concluded between the government and (often overallocated and that there is enough slack in the system foreign) investors and which usually provide for the to help mitigate drought impacts. This includes having a resolution of disputes through international arbitration (FAO formal system of adaptable water allocations whereby 2016). In addition, small-scale uses of water resources for water can be transferred from lower value users to personal or household needs can generally be undertaken higher value users, for example through administrative without the need for any administrative formalities. decisions, negotiated settlements, or water markets. In many countries, people access and use water resources ■ Conjunctive groundwater management. This program based on customary or “local law” arrangements, which may involves balancing surface water and groundwater or may not be recognized and protected by formal law, as use, including managed groundwater recharge where well as on a range of informal water tenure arrangements. possible, and ensuring that groundwater is available as a Such arrangements may contain their own mechanisms for strategic reserve to help meet demand during droughts. re-allocating water in times of drought. A key challenge is Where groundwater aquifers exist, they provide an ideal how to bring such types of water tenure arrangements within water storage option. Too often, however, aquifers are the broader formal water allocation framework. Box 9.1 overexploited resulting in unsustainable yields thus provides further insights on the complexity and importance diminishing their effectiveness as strategic sources of of informal water tenure. water during droughts. A key objective of formal water tenure arrangements is to confer the necessary legal security upon water users to 9.1 Adaptable Water Allocation enable them to safely invest in activities that involve the use of water resources. In simple terms, the longer the water Program description right, the greater the legal security (provided, usually, that A key function of water resources management is to allocate the water is actually used). The problem is that as a result of water resources (both surface water and groundwater) growing water demand, many river basins around the world among different sectors and different water users. Depending are either completely “closed”, in the sense that there are no on the country concerned, formal water allocation may take water resources available for new uses, or are approaching place based on different types of water tenure arrangement that “closed” stage. that may co-exist within the same river basin. These include: (1) “modern” long-term permit-based volumetric water rights Formal water allocation is a key element in drought risk (that are not intrinsically tied to land ownership); (2) water management for three reasons. First, if water in a basin is fully rights of indefinite duration that derive from land ownership allocated (or overallocated) during a normal hydrological or the prior appropriation and use of water resources; year, then in a drought year a significant percentage of (3) powers conferred by law upon public irrigation or other users will need to reduce their consumption, potentially agencies to develop and use water resources; and (4) long- increasing conflicts among users and generating negative Box 9.1 Informal Water Tenure In many parts of the world, the use of water resources takes place on the basis of informal water tenure arrangements agreed upon at the local level between different users. Sometimes this is because the water resources law is outdated or ill adapted to peoples’ needs. Elsewhere, it is because the water law has not been fully implemented, often due to a lack of capacity on the part of the WRM agency. Such informal water tenure arrangements may be known to and tolerated by the WRM agency, sometimes over periods of many years. But the notion of informal tenure can also be used to describe water tenure arrangements that are simply illegal. These can take the form of deliberately unlawful use of water resources without a permit or the willful disregard of permit requirements coupled with weak enforcement on the part of the WRM agency. This type of illegal water use may be undertaken by a range of actors with different motivations, from people who feel they have no alternative in order to survive to the rich and politically connected who consider themselves about the law. This is a growing problem. A recent report suggests that between 30-50 percent of the world’s water supply is stolen, particularly by agricultural users (Loch and others 2020). An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 109 impacts. Second, even if there is some unallocated water in Instead, a renewal application will be determined just like an the basin during normal hydrological circumstances, during application for a new water use permit in accordance with exceptionally dry years there will need to be a reduction in the water resources law (usually based on water resources water consumption among some or all of the water users. availability, the river basin plan, and specified priorities for Third, as the climate changes, many regions will experience the use of water resources). more pronounced dry seasons and increased aridity, Depending on the provisions of the water resources law, the requiring periodic adjustments in water allocations. trade and transfer of permit-based water rights may also Flexible water allocations, whether short term in response allow the direct reallocation, temporarily or permanently, to drought conditions or longer term in response to changing between water users, although this is usually subject to the societal priorities or a changing climate, are a key tool for approval of the WRM agency in order to prevent negative third hydro-climatic risk management. In this regard, modern party social, environmental, and economic impacts. In some water resources laws typically provide for the issuance of jurisdictions, where water rights of indefinite duration derive long-term water use permits by the WRM agency that last from the prior appropriation and use of water resources, sale for 10-15 years, although longer periods may be applied for or leasing is often the only viable reallocation mechanism. major WRI (such as hydropower dams) in order to enable Water rights based on foreign investment contracts, for a return on investment. Water use permits (which are also example for hydropower projects, will typically be difficult to subject to a range of conditions to ensure the sustainable use vary during the terms of the contracts without the agreement of water resources) usually may not be permanently varied of the investors, an issue that should be considered before or cancelled by the WRM agency except on public interest such contracts are concluded. For this reason, it is essential grounds and on the provision of water from another source to ensure that the WRM agency is consulted before such contracts are concluded and that provisions on such water or the payment of compensation. The objective of such a rights are subject to the water resources law. rule is to ensure relative security of water tenure. However, a condition of such permits is that they may be temporarily The development of a water rights administration system that varied or even suspended in times of low river flow or can manage flexible water allocations is a complex process drought. In such cases, compensation is not payable. On that is constantly evolving and may take decades to achieve. the expiration of a water use permit, the holder can apply A general framework for water allocations is provided in for a renewal, but with no guarantee that it will be granted. Figure 9.2. FIGURE 9.2 Key Elements of a Water Allocation System Legal and institutional context Identification of the available water resources Definition of which users are required to Identification of available hold an entitlement (“allocable”) resource pool (or not) and how entitlements can be obtained Definition of “exceptional circumstances” Abstraction limit (“cap”) and sequence of priority uses Definition of in-stream (or in situ) requirements Monitoring and enforcement Source: OECD 2015. 110 ● Chapter 9—Water Allocation and Groundwater Management Linkage to the National Sector Framework the nature of the permit, including location, volume, The water resources law provides the basis for a water rights flow, timing, use, and duration; (3) the level of security administration system. It specifies general principles for conferred by the permit during droughts, and ability to water allocation and typically authorizes the WRM agency to trade, transfer, or lease the permit; and (4) sanctions issue water use permits and to monitor and enforce those for non-compliance with water use permit conditions, permits. The water resources law usually either establishes including fines and potential loss of use rights if these priorities for use or sets out a procedure for such priorities to are not provided for in the water resources law. It is be set at the national or river basin level, typically providing important to have a well-defined procedure for ensuring that water for human consumption and ecological needs is that applications for new permits or the variation of given the highest priority use. existing permits are grounded in the relevant river basin management plan. The water resources law will also set out the basic rules relating to the temporary and permanent variation or ■ Developing water use monitoring systems. Monitoring suspension of water use permits. There is a close relationship water use and ensuring users abide by their use permits between the national drought law and water allocation. is a key responsibility of the WRM agency. Typically, The national drought law typically provides the authority permit holders are required to self-report on their own to declare different levels of drought severity, which may water use with periodic WRM agency inspections. The trigger mandatory conservation measures and the temporary WRM agency should develop technical requirements reallocation of water among users. Provisions in a water law for water measuring devices, including for measuring that relate to water allocation should in turn be implemented flows in pipes and open surface flows in rivers and in close coordination with provisions on the setting and canals. Measuring open surface flows, for example enforcement of minimum or environmental flows and the canals in irrigation systems, can be a complex task protection of such flows during droughts. and the WRM agency should develop standard designs to help ensure accuracy and reliability. Space-based monitoring, for example of cropping patterns and their Key agency actions evapotranspiration use, is an important complement to Key policy and institutional considerations for the WRM on-ground flow measurement. Finally, the WRM agency agency include the following: needs to ensure a comprehensive database of permit ■ Harmonization with basin plans. As noted in Chapter holders and their water use. 6, river basin management planning provides the ■ Adopting regulations on water use and reallocation foundation for water resources development and during droughts. Ideally, the basin drought contingency management. The WRM agency should ensure that the plan would provide a framework for conservation basin planning regulations include an assessment of measures and water allocations corresponding to available water resources. The WRM agency and the different drought levels, taking into account minimum basin planning regulations also should govern how the or environmental flow requirements. The WRM agency water is used, including for meeting environmental should develop regulations to ensure that this process requirements. The WRM agency should ensure that proceeds in an orderly and transparent fashion. One the basin planning process sets abstraction limits and approach is to allocate water on a percentage share basis avoids overallocating water to ensure resilience in the of the total available water resources rather than on a system. The basin plan should have a drought continency fixed volumetric amount. During drought periods, the plan that flexibly reallocates water based on the level of WRM agency determines the total availability of water drought severity and that is consistent with the system and each user gets its specified share of the total. This can of water rights. be further refined so that some users, for example low- ■ Adopting regulations on water use permitting and value agricultural crops, have their share percentages water tenure. While the basic elements of water use reduced according to the severity of the drought. In permitting and other water tenure regimes are set some countries, the WRM agency does not have the out in the water resources law, the WRM agency will legal right to administratively reduce the allocation of typically need to establish regulations to complete the water to a user. In these cases, the WRM agency may legal framework for the issuance and enforcement of develop regulations for alternative mechanisms, such water permits. Some of the key issues include: (1) who as a negotiated sale for temporary reallocation from a is entitled and required to obtain a water permit; (2) lower-value agricultural user to a higher-value urban or An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 111 industrial user. In the most advanced cases, and where terms of “yield per drop” or “dollars per drop”) so that the physical context allows easy transfers of water, the the transfer of water does not have negative economic WRM agency may set up water markets to allow for consequences. Therefore, it is vitally important that the either the temporary or permanent reallocation of water. WRM agency work with cities, farms, and industries to constantly improve their water efficiency while limiting ■ Adopting regulations for the permanent reallocation of or even reducing their water allocations over time. Not water rights. The WRM agency should set up mechanisms only does this help the transition to more economically to facilitate the long-term reallocation of water as efficient allocations of water, but when droughts do necessary using the same general set of approaches: occur the potential negative impacts are tempered as administrative reallocation, negotiated reallocation, water users have already adapted to using less water. or water markets. Longer term reallocations, however, can prove more politically complex, as their economic and social impacts are potentially more permanent. Generic evolution Under ideal conditions, water users should become The generic evolution of water allocation programs is more efficient and increase the productivity of water (in summarized in Table 9.1. TABLE 9.1 Generic Evolution of Water Allocation Programs Nascent Engaged Capable Effective Water users independently The water resources law WRM agency has defined The WRM agency has developed, in develop their own water provides for the formal available water resources consultation with stakeholders, a sources, with no administrative allocation of water on the within a basin and has fair and transparent mechanism for control over abstractions. basis of permits, but the systematically issued water the temporary reallocation of water implementation of such permits to relevant users. to higher priority users during provisions is incomplete Provisions in the water law droughts, and the need for possible and in the absence of a full that allow the temporary longer-term reallocations to ensure understanding of the available suspension of permits in efficient use of water in the basin is water resources. times of drought or low flows addressed in river basin plans. have not been systematically used. Source: Authors. 9.2 Conjunctive Groundwater it can percolate into the groundwater, and even purposely Management using water infrastructure to recharge groundwater. Groundwater is obviously a key water resource, and ideally Program description should be considered in the overall basin planning process Aquifers can play a critical role in drought risk management and as part of the overall water rights administration by serving as natural storage reservoirs that can be recharged system. The challenge, however, is that aquifers are complex during wet periods and abstracted during dry spells. In some subsurface structures that are difficult to characterize; the areas, the groundwater aquifers are so productive that they flow of water through aquifers is usually poorly understood can serve as the primary source of water for human use or and groundwater monitoring is typically limited. The provide a supplement to rainfed agriculture. Indeed in arid development of a sound knowledge base is of pivotal areas, aquifers can be the only or main source of freshwater. importance for conjunctive management. In most cases, the ideal approach is to use both surface Effective conjunctive management considers both quantity and water and groundwater together in a practice known as quality issues, and in some cases, treated recycled water is “conjunctive management”. Simply stated, this implies used to recharge aquifers. Owing to this complexity, formulating relying on surface water sources when they are plentiful groundwater management plans as part of the overall basin and transitioning to groundwater as surface water becomes planning process is a daunting task, and the administration of scarcer during dry periods. Conjunctive management also groundwater typically lags that of surface water. involves proactively recharging groundwater aquifers when and where possible, for example by maintaining floodplains, Some more advanced countries have made considerable using agronomic techniques to keep water in the soil where progress in conjunctive groundwater management, helping 112 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Managing groundwater sustainably is an extremely complex process, as the basic physical parameters of aquifers are often poorly understood. Underground well for storing drinking water. Photo: Anneliese Gruenwald-Maerkl to ensure the sustainable management of groundwater While groundwater is also, in principle, subject to river aquifers and groundwater use during droughts. Successful basin management plans, in arid countries where there are management involves characterizing the safe yield of particularly important aquifers, a water resources law may aquifers, managing groundwater abstractions, controlling provide for the preparation and implementation of aquifer recharge, and managing surface water and groundwater management plans, the setting of sustainable extraction together as a unitary resource to ensure groundwater can yields, and also the classification of aquifers by reference to help meet the basin’s water demands and be safely utilized their state of exploitation, with overexploited aquifers being during drought periods. closed to the drilling of new boreholes or wells and to the issuance of water use permits. Since each aquifer will require Linkage to the National Sector Framework its own unique plan, it is common for the water resources law to authorize “groundwater management organizations” The water resources law typically governs the use and (GwMOs) which operate under the jurisdiction of the WRM management of groundwater resources. Whereas surface agency.31 Box 9.2 provides an example of groundwater water is always front and center in the water resources law, management in California. the status of groundwater is often more ambiguous. However, the same basic water tenure arrangements typically apply to The strict control of well drilling is important. This is done by groundwater, including water use permits and water rights licensing qualified well drillers as well as by using licenses that derive from land ownership or prior appropriation and to control where and how many wells may be drilled, how use. However, the enforcement of groundwater permitting drilling is to take place in terms of aquifer protection (such as regimes can be challenging and as a result there is a growing by ensuring that test wells are capped to prevent the entry of trend towards co-management between the WRM agency and contaminants), and that the results are communicated with groundwater users. the WRM agency. 31 As an example, see Babbitt, Christina, and Daniel M. Dooley. 2018. “The groundwater manager’s dilemma: How to comply with new California law without changing water rights.” EDF Voices (blog), September 4, 2018. Washington, DC: EDF (Environmental Defense Fund). http://blogs.edf.org/growingreturns/2018/09/04/ groundwater-managers-sgma-compliance/. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 113 Box 9.2 Groundwater Management Act in Californiaa Groundwater provides 40-50 percent of California’s total annual agricultural and urban water supply in an average year. During droughts, that figure reaches as much as 60 percent. Some parts of the state are entirely dependent on groundwater for their supplies. Yet some regions of California are pumping out more groundwater than is replenished. Several problems are associated with overdraft, such as the increased energy costs to pump water, the mobilization of toxic materials, and land subsidence. Under California water law, landowners are in general entitled to the reasonable use of groundwater on property overlying the groundwater basin. A 1992 law allowed local governments to voluntarily create groundwater management districts and gave the districts the authority to charge fees to pay for the management of groundwater. In 2014, the Sustainable Groundwater Management Act (SGMA) was enacted, providing a state framework to regulate groundwater for the first time in California history. The law stipulated that it is not a “one size fits all” approach and that each groundwater basin is different. It did not remove the distinction between surface water rights and the personal, private property right to pump groundwater. SGMA calls for a bottom-up approach that mandates the establishment of local groundwater agencies and requires them to show how they will sustainably pump groundwater by 2040. SGMA identified 43 groundwater basins as high-priority and 84 as medium-priority. These 127 basins account for about 96 percent of the groundwater used in the state. The high-priority local groundwater agencies must develop groundwater management plans by 2022. Overall, local groundwater agencies have until 2040 or 2042 to achieve groundwater sustainability. If the deadlines aren’t met, the State Water Resources Control Board can intervene and establish an interim plan, after public notice and hearing. The state, according to the SGMA, can intervene only in extreme conditions when local control is inadequate. a. Information included in this box was drawn from the Water Education Foundation webpage on Groundwater Management: https://www. watereducation.org/aquapedia/groundwater-management. The water resources law should also explicitly promote the of a groundwater management plan. Characterizing an use of conjunctive water management, whereby groundwater aquifer is a complex and ongoing process, and thus the management plans are nested within a larger basin context for WRM agency will need to prioritize its efforts. both planning and operational purposes. The national WRM ■ Supporting groundwater management organizations. agency should also allow for the possibility of “groundwater Based upon the defined aquifers, the WRM agency should banking”, whereby a GwMO can utilize its aquifer for either facilitate the establishment of GwMOs. These organiza- temporary (during droughts) or permanent transfer of tions can take many forms, ranging from a committee water to other users; this can be particularly attractive for advising the WRM agency, to a localized or village-based agricultural areas that can sell water to urban users during organization that has authority to set and enforce rules periods of extreme drought. in accordance with the aquifer plan, to an aquifer-wide agency with responsibility for the overall enforcement of Key agency actions the aquifer management plan, with the general structure Key policy and institutional considerations for the WRM framed in the water resources law. The WRM agency will agency include the following: need to develop regulations governing and establishing the GwMOs and help facilitate their start-up and opera- ■ Defining and characterizing groundwater aquifers. The tion. The WRM agency should also provide financial and WRM agency should undertake the necessary studies to technical assistance to support GwMOs, for example by define the basic characteristics of significant aquifers, providing them with consultant support and funding flow including surface and subsurface mapping, geological measurement instruments for groundwater wells. conditions, and storage volume. To the extent possible, the WRM agency should establish groundwater monitoring ■ Developing aquifer management plans. The WRM systems and look at historical and current groundwater agency will need to work collaboratively with the levels, and identify groundwater uses. Based upon this GwMOs to develop sustainable aquifer management analysis, the WRM agency should attempt to define a plans. This will require the WRM agency to issue sustainable yield for the aquifer to help in the formulation regulations covering the process, objectives, scope, and 114 ● Chapter 9—Water Allocation and Groundwater Management methodology for developing the plan. The WRM agency ■ Incorporating groundwater into basin planning and may also need to develop technical guidance on specific drought contingency plans. The WRM agency should issues, such as monitoring groundwater levels and explicitly incorporate groundwater into the basin planning water use, approaches to aquifer recharge, and the use process, integrating information on groundwater and of space-based observation tools to assess water use on aquifer management plans as they develop over time. the basis of crop evapotranspiration. Critically, the WRM agency should proactively facilitate the natural and artificial recharge of aquifers wherever ■ Implementing the water use permitting regime possible, for example by ensuring active floodplains and for groundwater use. The WRM agency will need to potentially using treated wastewater to recharge aquifers. implement the system for groundwater permitting, with The use of aquifers as supplemental or emergency permits being issued to individual groundwater users or supplies during droughts should also be considered in the GwMOs. Such permits will usually be similar those for drought contingency plan. surface water use. The issuance of such permits should take place in accordance with the relevant river basin management plan as well as the aquifer management Generic evolution plan if there is one. The generic evolution of this program is summarized in Table 9.2. TABLE 9.2 Generic Evolution of Conjunctive Groundwater Management Nascent Engaged Capable Effective Groundwater use decisions are The water resources law WRM agency has developed WRM agency manages aquifers in decentralized and exercised by provides that groundwater aquifer management plans in a conjunctive manner, fostering well owners without control. may only be used on the basis consultation with local users recharge through natural and There is no technical knowledge of permits issued by the WRM and these are implemented artificial means. Groundwater of the hydro-geological system. agency, but the agency is unable on the basis of a combination is integrated in basin planning to characterize aquifers and of water use permits and co- process and used as a strategic Rights to use groundwater does not have the resources or management with GwMOs. resource to cope with droughts. derive from land tenure rights or capacity to issue permits. prior appropriation and use. Source: Authors. 9.3 Key Resources OECD (Organization for Economic Co-operation and Devel- opment). 2016. Mitigating Droughts and Floods in Agricul- Adaptable water allocation program ture: Policy Lessons and Approaches. OECD Studies on Water. FAO (Food and Agriculture Organization of the United Na- Paris: OECD. https://www.oecd.org/publications/mitigating- tions). 2006. Modern Water Rights: Theory and Practice. droughts-and-floods-in-agriculture-9789264246744-en.htm. Rome: FAO. http://www.fao.org/3/a0864e/a0864e.pdf. GWP (Global Water Partnership). 2019. “Sharing Water: The Groundwater management program Role of Robust Water-Sharing Arrangements in Integrated Wa- FAO (Food & Agriculture Organization of the United Nations). ter Resources Management.” Perspectives Paper. Stockholm: 2016. Global Framework for Action to Achieve the Vision on GWP. https://www.gwp.org/globalassets/global/toolbox/pub- Groundwater Governance. Rome: FAO. http://www.fao.org/3/ lications/perspective-papers/gwp-sharing-water.pdf. a-i5705e.pdf. OECD (Organization for Economic Co-operation and Devel- Kresic, Neven. 2009. Groundwater Resources: Sustainability, opment). 2015. Water Resources Allocation: Sharing Risks Management, and Restoration. New York: McGraw-Hill. and Opportunities. OECD Studies on Water. Paris: OECD. https://www.oecd.org/fr/publications/water-resources-allo- cation-9789264229631-en.htm. 10 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 115 Floodplain Management River and coastal floodplains are often convenient places Figure 10.1 shows that floodplains are influenced by healthy for the establishment of cities, farms, and industries. watersheds and water resources infrastructure, both of Easily accessible waterways facilitate commerce, rich river which can help reduce flood hazards and shape floodplain floodplain soils increase agricultural production, and rivers physical characteristics. This chapter is about floodplain offer readily available sources of freshwater. In addition, management, allowing people to live in harmony with river living close to rivers and beaches, and enjoying their natural and coastal floods, and making room for the river and the sea beauty, is a powerful draw. These attributes have attracted while also reaping the benefits of living close to water. people throughout the ages to rivers and coastlines around the world. The challenge is that floodplains are also prone to There are four broad strategic options for managing floodplains inundation, putting people and assets at risk. as shown in Figure 10.2 (Doberstein and others 2019). These FIGURE 10.1 Floodplain Management in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds • Water Resources Infrastructure Floodplain Mapping C ONTROL • Water Allocation and Groundwater Management Floodplain Management Floodplain Regulations Flood Mitigation Planning • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. 116 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Governments should seize the opportunity to better manage floodplains, which in many cases offers the most cost-effective approach to reducing flood risks. Oka River Delta, Botswana. Photo: © 2bears | Dreamstime.com An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 117 Box 10.1 Room for the River Program in the Netherlands In 1993 and 1995, floods threatened to devastate several regions in the Netherlands. As a precautionary measure, more than 200,000 people were evacuated. In the end, no dikes failed. But these near-floods convinced the government that safety measures against flooding should be increased. The political decision was that the safety level of the river system should be brought to standard of one flood in 1,250 years. The program was active from 2006 to 2018 with a budget of €2.2 billion and was completed on time and within budget, which is quite exceptional for major projects like this. The measures in the project aimed to lower flood levels and included moving levees back from rivers, creating and increasing the depth of flood channels, reducing the height of groins, removing obstacles, and constructing a “Green River” that can serve as a flood bypass. At the same time, the measures aimed to restore rivers’ natural floodplains and increase ecological value. The key purpose of the approach was to restore the rivers’ natural floodplains in places where this was least harmful in order to protect those areas that needed to be defended. Measures were taken at more than 30 locations. Key to the program was that the project was designed and implemented in close cooperation with all partners, in total 19, including provinces, municipalities, regional water authorities, and the Rijkswaterstaat. The involvement of all these partners was crucial as upstream partners were impacted by measures that would mainly benefit downstream partners. At the end, a win-win situation was achieved. The project was rooted in the overall Delta Program on Water Management in the Netherlands, which provided the policy guidance and financial means. Key Issue: An important feature of this program was the intensive cooperation with the stakeholders. The interaction with the stakeholders took a lot of time and effort. But once all partners agreed on the design of the Room for the River Program, the implementation took place smoothly, which helped enable completion on time and within budget. FIGURE 10.2 Strategic Options for Floodplain refers to the practice of reducing the vulnerability of structures Management and facilities, for example by raising building elevations. “Retreat” involves removing assets at risk, for example by removing structures that are repeatedly flooded. Finally, “avoid” means not putting assets in floodplains in the first Protect place. Floodplain management is the science and art of using Flood dikes, walls, gates, these strategic options in an appropriate manner given the pumps specific circumstances of a river or coastal reach. The key programs presented in this chapter are summarized below. Since many floodplains were inappropriately Accommodate Avoid developed before the risks of flooding were fully understood, Elevate Managing Zoning structures restrictions floodplain management is typically a long-term and Floodplains continuous process of constantly reducing exposure and Floodproof Room for assets the river vulnerability over time. In most cases, it offers an economical and resilient option that is a core pillar for reducing flood risks. Retreat Ressettlement ■ Floodplain Mapping. To properly manage river Asset and coastal floodplains, the hazards should be well relocation understood and communicated to local governments and the public. This is an enormously complex and continuous process that the DRM or WRM agency Source: Authors, adapted from Doberstein and others 2019. typically manages due to the technical challenges involved. It cannot be done quickly and needs to be options are “protect, accommodate, retreat, and avoid.” constantly updated as flood hazards change over time “Protect” implies the use of water resources infrastructure, due to climate change, watershed development, and such as river embankments and sea dikes. “Accommodate” new water resources infrastructure. 118 ● Chapter 10—Floodplain Management Flood proofing can reduce the vulnerability of structures exposed to floods. Traditional buildings on stilts on Inle Lake in the Shan Hills of Myanmar. Photo: Ana Nunez Sanchez ■ Floodplain Regulation. Floodplain regulation helps fires. Local flood mitigation plans go beyond regulation to reduce exposure and vulnerability of people and to proactively manage risks by identifying priority assets and has two dimensions: (1) a permitting actions, such as refining land use plans and regulations, process to authorize development and activities; and identifying infrastructure projects, conserving and (2) standards and codes to reduce the vulnerability restoring natural systems, and implementing education of buildings and facilities. Land use management is and awareness programs. The DRM agency has an generally a local government responsibility, and local important role in providing guidelines and technical governments should have their own specific floodplain assistance to local governments in the formulation of management units. Some countries have even created flood mitigation plans. In some cases, the DRM agency multi-jurisdictional floodplain authorities to manage may be legally mandated to oversee local government entire river or coastal stretches. The DRM agency has an flood mitigation plans. important role to play in helping local governments by defining permitting guidelines and developing uniform 10.1 Floodplain Mapping standards. In some cases, the DRM agency may be legally mandated to oversee the implementation of local Program description government floodplain regulations. Mapping and characterizing river and coastal floodplains is a ■ Local Flood Mitigation Planning. River basin and challenging but essential process that forms the foundation coastal management planning are the tools generally for floodplain management. There are many different levels used to reduce overall flood hazards at the regional level of characterizations and an ongoing flood hazard mapping with a focus on watershed health and large-scale water program is needed to constantly refine the hazard maps and resources infrastructure. Local flood mitigation planning adjust to evolving circumstances, such as changes in the plays an important complementary role to basin watershed, new water resources infrastructure, and climate planning, and may often be part of a broader multi-hazard change. At the most basic level, simple flood hazard maps local government mitigation plan that includes other show the spatial extent of flooding and can be generated potential threats, such as earthquakes, landslides, and from historical information, including satellite imagery. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 119 More advanced approaches for river flooding include establishment of a technical mapping advisory committee and hydrological and hydraulic modelling using statistical potentially a dispute resolution mechanism. No single agency information and accurate topographical maps generated has the capacity to independently produce flood maps, and the through lidar surveys. Coastal flood hazard mapping involves law should also specify the necessary interagency and local assessing storm surges, tides, and wave heights associated government cooperation mechanisms so that the WRM or DRM with coastal storms and estimating how far inland the agency can freely access available data. Finally, the law should seawater will penetrate. In some circumstances, coastal require a vigorous communications and outreach program to and river floods will interact, resulting in complex and often communicate the results, uses, and limitations of floodplain devastating flood dynamics. mapping. Floodplains are usually delimited based on the probability that a flood of a certain level will occur. For example, a Key agency actions 500-year flood has a 0.2 percent probability of occurring Key agency actions for the WRM or DRM agency include the in any given year and a 100-year flood has a 1 percent following: probability of occurring in any given year. Although in the past, a 100-year flood was often used to define floodplains ■ Formulating a strategic mapping plan. The and set regulatory standards, there is now general movement development of national flood maps is an enormous task towards using a 500-year design flood—particularly in more that needs to be done systematically and strategically. developed areas. The design flood is a statistical probability Ideally, this is done through a periodically updated based upon historical information, which is often lacking in strategic plan—for example every five years—which many countries. Moreover, these statistical properties can identifies priority areas for flood mapping along with change over time as the watershed develops and the climate the general mapping parameters. The strategic plan changes. A 500-year design flood thus provides a more should balance the need to produce useful information robust floodplain characterization. to guide floodplain development with the desirability of accuracy. For example, the first generation of maps In addition to elevation, and where sufficient analytical might rely primarily on satellite photos, while the second capability exists, other parameters can be used to generation could utilize modelling to estimate the extent characterize design floods, including spatial extent, depth, and depth of flooding. velocities, and durations. In cases where there is an extensive system of river or coastal flood control infrastructure, these ■ Developing and regularly updating flood mapping parameters should also be considered when defining the technical standards. In order to ensure consistency and floodplain. Ideally and where justified, flood hazard maps can quality, the agency should develop detailed technical be combined with land use maps that provide information standards to guide the mapping process. There are many on populations and assets exposed within floodplains to technical decision points involved in the mapping process generate “flood risk maps.” Flood hazard or flood risk maps and a consistent approach is required, for example can be used for many purposes, including: (1) increasing how to calculate return flood periods, topographic awareness of flood risks by policy makers, developers, and mapping requirements, modelling approaches, and how the general public; (2) guiding basin planning, land use, to deal with a changing climate and watershed. Since and flood mitigation planning; (3) informing emergency the mapping process is a long-term process, there are planning and evacuations; and (4) providing a basis for flood likely to be different versions of technical standards that insurance. should be properly documented and understood in the interpretation of map results. Linkage to the National Sector Framework ■ Establishing an Interagency Task Force and Technical The establishment of a national flood mapping program should Advisory Committee. The agency should establish be mandated through either the water resources law or the an interagency task force to help support and guide DRM law. The law should authorize the WRM agency or DRM the mapping process. Neither the DRM agency nor the agency to implement a prioritized and continuous program of WRM agency will have all the required information to river and, as appropriate, coastal floodplain mapping. The law independently develop river and coastal flood maps, should also provide that the mapping information be freely and the interagency task force will allow for the free available to the public in a manner that is digital geospatial exchange of information and support as required. The data compliant. Given the complex and often contentious agency should also consider establishing a technical nature of flood mapping, consideration should be given to the advisory committee of experts to help provide guidance 120 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management on the technical challenges of flood mapping and hazard information. The center could provide maps, potentially resolve any mapping disputes. databases, reports, educational resources, and other tools to help better understand flood risks. Coupled ■ Performing post-flood hazard verification. The agency with this there should be an active communications and should ensure that it has the capacity and methodology public outreach program to ensure that the floodplain to lead a coordinated effort to collect and disseminate accurate flood data and risk information to aid response information is conveyed to policy makers, developers, and recovery efforts after a flood disaster occurs. This and the general public. This communications process information supports the “Post-Flood Disaster Needs should concentrate on the period during which maps are Assessment” discussed in Chapter 11 but also provides being developed or updated, so that communities can actual flood information that complements the flood provide feedback on the mapping process and be made maps—which are an approximation of reality based aware of the implications of floodplain designations. The upon a set of assumptions. The results of this post-flood agency should then work with the local governments to hazard verification should be made available through continuously remind the public of floodplain areas and the flood map center to provide additional information potential risks. on floodplain risks. ■ Creating communications and outreach programs. Generic evolution The agency should establish a flood map center The generic evolution of this program is summarized in Table which serves as the official public source for flood 10.1. TABLE 10.1 Generic Evolution of Floodplain Mapping Nascent Engaged Capable Effective No information on floodplain The DRM or water resources law The WRM or DRM agency The WRM or DRM agency has hazards is available, and requires the national agency to has prepared rudimentary prepared several iterations of developers and local map river and coastal floodplain river and coastal floodplain floodplain hazard maps and governments do not take flood hazards, but capacity is limited hazard maps, and the local provides asset and exposure risks into consideration. and results are not incorporated government has incorporated information to help local into local land use plans. this information into land use governments assess risk and plans. develop local mitigation plans. Source: Authors. 10.2 Floodplain Regulation ■ to minimize expenditure of public money for costly flood control projects; Program description ■ to minimize the need for rescue and relief efforts Local governments are generally responsible for land associated with flooding and generally undertaken at the use management within their jurisdictions, but typically expense of the general public; within a framework provided by the national (or regional) ■ to minimize future blighted areas caused by flood government. Local governments generally have the power to damage; and adopt local level rules regarding land use (described in this report as “ordinances”), to zone land for different purposes, ■ to ensure that owners and buyers are aware that property to issue permits for development, and to require structures is in a flood hazard area and can assume responsibility and facilities to meet certain code requirements. The extent for their decisions. to which local governments have the capacity to implement Typically, a local government will adopt a “local floodplain these tools varies greatly between countries, and sometimes ordinance” that provides the legal authority to manage even within countries. Floodplain regulation is usually floodplains as a separate zone and which sets out objectives, contained in a set of instruments to help manage land within how the floodplain will be defined, and the general scope and river and coastal floodplains and can help: administration of the ordinance. The ordinance will identify ■ to protect human life and health and to minimize which department is responsible for its administration and disruption to local economies; has responsibility for preparing more specific regulations. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 121 The national flood mapping program often defines the water does not penetrate inside the building. To be effective, floodplain in which the ordinance applies, and the actual the floodplain regulations must be implemented through an spatial extent of the floodplain and flood hazards may change administrative process of permitting, design reviews, and over time as the maps become more accurate and as the nature inspections. As discussed in the next section, ideally the of flooding changes. The floodplain ordinance should specify development of floodplain regulations will be informed by a which uses require permits, generally focusing on proposed more comprehensive floodplain mitigation plan. new uses or the retrofitting of existing uses. The ordinance should cover all relevant uses, such as new or modified building structures; infrastructure such as water, power, Linkage to the National Framework and roads; modifications to water courses; filling, dredging, Land use management is generally the legal responsibility mining, grading, land clearing, and material storage; and new of local governments in accordance with land use planning or expanded subdivisions or industrial estates. legislation but is subject to controls promulgated by the national (or regional) government, particularly in matters One of the goals is to ensure that proposed new uses do not related to public safety, environment, and defense. The actually increase the flood hazard, for example by increasing water levels. Another goal is to ensure that if a use is permitted, DRM law may specifically mandate that local governments it must conform with certain flood resistant design principles. adopt and implement acceptable floodplain management Internationally, there are various model flood resistant ordinances; alternatively, the DRM law may provide codes that a country or local government can draw upon. For incentives or sanctions to help compel local governments buildings and structures, there are generally two approaches to adopt floodplain management ordinances, for example to flood resistance, which are not mutually exclusive. The by controlling funding for flood control infrastructure, first is to raise the structure so that it sits above the design flood disaster aid, or flood insurance. The DRM law should flood level. The second is to floodproof the structure so that mandate the DRM agency to prepare model flood ordinances Box 10.2 Low-Income Communities Living on Floodplains in the Philippines: the Pasig River Case The Pasig River connects the lakes of Laguna de Bay to Manila Bay. The 26-kilometer-long river, with an average width of 50 meters, runs through Metro Manila, the most populated area in the Philippines. It used to be a major source of transportation, water, food, and livelihood for many Manila residents. Over time, shanty towns filled with squatters were created at the borders and floodplains of the river, sometimes on stilts. Pollution increased to such a level that the river was declared biologically dead in the 1990s. To make things worse, flood frequency increased in the Pasig River as a result of upstream development. In 1999, the Pasig River Rehabilitation Commission (PRRC) was created by an Executive Order as a state commission to improve the situation. The PRRC faced major challenges in finding a balance between achieving its objectives to clean the river while considering the interest and well-being of more than 700,000 urban poor and fisherpersons who relied on the Pasig River. Actual rehabilitation efforts began in 2010 with a loan from the Asian Development Bank of US$176 million to implement a 15- year upgrade program for Manila, including the rehabilitation of the Pasig River. The loan was provided under the condition that the relocation and livelihoods of the illegal squatters would have equal importance with the environmental aspect of the rehabilitation. The combined approach of pollution abatement and floodplain management was a key feature of the project. The information included in this box is based the Wikipedia webpage on the Rehabilitation of the Pasig River, available at https://en.wikipedia.org/ wiki/Rehabilitation_of_the_Pasig_River. The key lesson of the project was that although the road to rehabilitate the Pasig River area was rough, in particular related to the resettlements, major results could be achieved. At the project’s termination in 2018, the PRRC had resettled 18,719 families from the riverbanks to decent homes, dismantled 376 encroaching private structures, established 37,000 linear meters of environmental preservation areas, diverted almost 22,000 kilograms of solid waste, and supported the residents of the former shanty towns to develop more environmentally responsible practices. This has resulted in significant water quality improvements, as well as the revitalization and development of the Pasig River system. In 2018, the PRCC was awarded the prestigious Asia Riverprize from the International River Foundation for its achievements on the Pasig River. 122 ● Chapter 10—Floodplain Management and guidelines, provide technical assistance to local ■ Providing technical assistance to local communities. governments, and as appropriate approve and regulate the The agency should support local communities by implementation of local floodplain management programs. providing floodplain information and helping to increase awareness of the perils of flooding and the importance Key agency actions of good floodplain management. The assistance could Key actions for the DRM agency include the following: be provided in the form of outreach, education, general information, or site visits to assist on specific issues. As ■ Developing model floodplain ordinances and described in the next section, helping local governments guidelines. The agency should prepare model floodplain develop flood mitigation plans is an important tool for ordinances for local governments to build upon. The improving floodplain management. model ordinances should include various options depending upon the specific local circumstances, for ■ Supporting a professional association of floodplain example whether subject to river, coastal, or other flood managers. The practice of floodplain management is hazards. The DRM agency should either require a set of increasingly being recognized as a distinct profession national flood resilient codes and standards or identify that draws upon expertise from different areas, including other suitable national or international codes and hydrology, land use planning, disaster management, standards that local governments can use.32 civil engineering, and public administration. The agency ■ Overseeing floodplain regulation programs. The should support an association of floodplain managers agency should periodically visit the local government to build the community, share experiences, and build to provide technical assistance and assure adequate professional capacity. An example of this exists in enforcement of floodplain management regulations. the United States in the form of the Association of This typically consists of a tour of the floodplain, an State Floodplain Managers, which offers professional inspection of permit files, and meetings with local certification on flood plain management. officials. The DRM agency should actively work with the local government and other stakeholders to help them implement their programs, and in extreme cases, and Generic evolution where legally mandated, take enforcement action as The generic evolution of this program is summarized in Table necessary. 10.2. TABLE 10.2 Generic Evolution of Floodplain Regulations Nascent Engaged Capable Effective There are no national floodplain The DRM law requires the DRM The DRM agency has Local governments, with assistance permitting guidelines or agency to provide general promulgated comprehensive from DRM agencies, have tailored standards for floodproofing regulations for floodplain floodplain permitting floodplain regulations and buildings and facilities. permitting and floodproofing regulations or technical standards to conform with their standards. The regulations guidelines on the adoption specific flood mitigation plans. are rudimentary and not fully of such regulations by local adopted by local governments. governments, and these are implemented by local governments. Source: Authors. 32 Examples of international standards for FEMA can be found in the following publication: FEMA (U.S. Federal Emergency Management Agency). 2018. Flood Resistant Provisions of the 2018 International Codes. Washington, DC: FEMA, https://www.fema.gov/media-collection/flood-resistant-provisions-2018- international-codes-2018. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 123 10.3 Flood Risk Mitigation Planning measures proposed in a flood mitigation plan, for example a river or coastal embankment, should be approved by the Program description WRM agency (or responsible coastal authority) to ensure Flood mitigation planning allows local governments to adopt that flood protection measures enacted in one community do an appropriate strategic mix of “protect, accommodate, not have adverse impacts on either downstream or upstream retreat, and avoid” actions highlighted in Figure 10.2 and to areas. There are various approaches to structuring the flood proactively manage flood risks in their jurisdictions. Mitigation mitigation planning process, organized around three general planning also helps to enhance and improve the effectiveness approaches. As appropriate, all three approaches could be of floodplain regulation programs. The plans should set undertaken in parallel and operate in synergy. objectives, analyze flood hazards and risks, and identify ■ Multi-Hazard Mitigation Plans. In some cases, flooding mitigation actions to reduce long-term risks. Mitigation is included as part of a multi-hazard mitigation plan. actions typically include: (1) refining local land use plans Local governments may face a set of natural hazards, and ordinances; (2) identifying flood control infrastructure which are often coupled together, such as floods, storms, projects; (3) protecting and enhancing natural systems such as earthquakes, landslides, and fires. A multi-hazard plan- wetlands or undeveloped floodplains; and (4) education and ning approach has some clear advantages as it allows awareness programs. The plans can also potentially include local governments to see the full set of hazards. It thus emergency preparedness and response actions. helps local governments prepare for compound or cas- cading events and to prioritize mitigation actions in a For areas prone to river flooding, flood mitigation plans comprehensive and holistic manner. should be complementary and synergistic with river basin plans. Basin plans typically take a basin-wide perspective on ■ Standalone Flood Mitigation Plan. In some circum- flood hazards, for example by assessing the needs for storage stances, the flood hazards are so complex that a local reservoirs to control flood peaks, for large river embankments government may choose to have an independent flood to protect developed areas, and for flood bypass channels management plan. This plan can be informed by or com- to convey excess flows. Flood mitigation planning typically bined with an urban stormwater management plan, de- works within the framework provided by a river basin plan pending on the extent to which flooding from rivers and and attempts to mitigate the impacts of flooding through coasts interacts with stormwater generated within the more local action. urban area. For areas prone to coastal flooding, coastal flood mitigation ■ Regional Plans. Local government planning processes planning is also complementary and synergistic to coastal may in some cases be insufficient for either multi-hazard zone management plans and, in some cases, may even be planning or standalone flood mitigation planning, and it combined. A common challenge is that in the absence of a may also be useful to address the issue from a regional coastal-wide perspective, local governments may construct perspective. Local governments, however, will probably their own flood control defenses that then may shift the still need to develop their own flood or multi-hazard flooding to other areas in the basin. Any significant structural plans. Box 10.3 California Local Hazard Mitigation Plans The 2000 U.S. Disaster Management Act (the Stafford Act) requires state and local governments to develop and adopt Federal Emergency Management Agency (FEMA) approved local hazard mitigation plans (LHMPs) as a condition for receiving certain types of disaster and mitigation assistance. In many cases, floods are one of the primary hazards confronting a local government. The Plan must present the local government’s floodplain management program and how it will comply with the National Flood Insurance Program requirements. California’s Office of Emergency Services (CalOES) assists local governments in the development of LHMPs by providing technical assistance, training, and outreach. CAlOES reviews all LHMPs to ensure compliance with FEMA requirements. This also helps CalOES gather hazard, vulnerability, and mitigation information from the local level for use in state-level planning. Information in this box is based on the California Office of Emergency Services: https://www.caloes.ca.gov/cal-oes-divisions/hazard-mitigation/ hazard-mitigation-planning/local-hazard-mitigation-program. 124 ● Chapter 10—Floodplain Management Linkage to the National Sector Framework mitigation strategy, and local government approval; and The DRM or water resources law should specify the (4) procedures for DRM agency review and approval. appropriate geographical scale for flood mitigation planning, ■ Providing technical assistance for the formulation as well as the scope of the plan. The DRM law may mandate of hazard mitigation plans. The DRM agency should that local governments prepare multi-hazard mitigation proactively support local governments in the preparation plans, which should include flood (and potentially drought) of their hazard mitigation plans by providing guidelines, plans as appropriate. Alternatively, the DRM law may provide training, and support to the process so that local incentives or sanctions to help compel local governments to governments can tailor their hazard mitigation plans to prepare hazard mitigation plans, for example by controlling specific local circumstances. Since the DRM agency may flood infrastructure funding, flood disaster aid, or flood be responsible for approving the plan, it is important that insurance. The DRM law should mandate that the DRM agency the DRM agency becomes familiar with local circumstances prepare hazard mitigation plan guidelines, provide technical and provides advice during the planning process. assistance and funding to local governments for preparation of the plans, and ideally include a grant program to support ■ Integrating the Flood Mitigation Plan with the River Basin or Coastal Management Plan. The WRM agency funding of priority flood mitigation investments. will need to actively work with the DRM agency and In some cases, the water resources law may mandate the local government to ensure that flood mitigation standalone river floodplain management plans or strategies actions, particularly with respect to new flood control that are separate from the river basin plans and that span infrastructure, are consistent with the overall basin or multiple local government jurisdictions. Since many of the floodplain management plan. The DRM hazard mitigation mitigation actions must be undertaken by local governments, plan regulations should ensure that the appropriate partner it is imperative to include local governments in river agencies are involved in the planning process, particularly floodplain management plans or strategies. In some cases, the WRM agency where there are river flood hazards. it may be possible—even ideal—to develop complementary ■ Providing grant support program for the implementa- local government multi-hazard mitigation plans and regional tion of the Hazard Mitigation Program. The DRM agency river floodplain management plans. or the WRM agency should establish a grant program for local governments to help implement priority actions in Key agency actions the flood mitigation plan. The agency will need to develop Key agency actions for the DRM and WRM agencies include regulations to govern the administration of this program, the following: including eligibility requirements and criteria for compet- itive selection of proposals. This will help motivate local ■ Preparing hazard mitigation planning regulations governments to undertake flood mitigation plans and im- and guidelines. The DRM agency should prepare a plement key actions. set of regulations governing the preparation, review, and approval of local government hazard mitigation plans. The regulations should include items such as: Generic evolution (1) general plan requirements; (2) periodic planning The generic evolution of this program is summarized in Table process; (3) plan contents, including risk assessment, 10.3. TABLE 10.3 Generic Evolution of Local Flood Mitigation Plans  Nascent Engaged Capable Effective Local governments The DRM or water resources law The DRM or WRM agency has The DRM or WRM agency do not proactively requires local governments to implemented comprehensive flood implements financial and regulatory manage floodplain prepare flood mitigation plans and mitigation planning regulations or incentives and sanctions for local risks. authorizes the DRM or WRM agency technical guidelines and supports governments to prepare and to prepare guidelines and provide local governments that have implement local hazard mitigation assistance. Local governments are mainstreamed hazard mitigation plans. slow to prepare hazard mitigation into their plans. plans. Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 125 10.4 Key Resources FEMA (Federal Emergency Management Agency). 2018. Flood Resistant Provisions of the 2018 International Codes. Floodplain mapping program Washington, DC: FEMA, FEMA (Federal Emergency Management Agency). 2020. “Risk WMO (World Meteorological Organization) and GWP (Global Mapping, Assessment and Planning (Risk MAP).” FEMA, Water Partnership). 2016. “The Role of Land Use Planning December 17, 2020. in Flood Management.” Integrated Flood Management Tool Martini, Frederique, and Roberto Loat. 2007. Handbook Series, Technical Document no. 7. Geneva: WMO. on Good Practices for Flood Mapping in Europe. Paris/Bern: European Exchange Circle on Flood Mapping (EXCIMAP). Flood mitigation planning program WMO (World Meteorological Organization) and GWP (Global AIDR (Australian Institute for Disaster Resilience). 2013. Water Partnership). 2013. “Flood Mapping. Integrated Flood Managing the Flood Plain: A Guide to Best Practice in Flood Risk Management Tool Series.” Technical Document no. 20. Management in Australia. East Melbourne: AIDR. Geneva: WMO. FEMA (Federal Emergency Management Agency). 2013. Local Mitigation Planning Handbook. Washington, DC: FEMA. Floodplain regulation program WMO (World Meteorological Organization) and GWP (Global Association of State Floodplain Managers (https://www. Water Partnership). 2017. “Selecting Measures and Designing floods.org). Strategies for Integrated Flood Management: A Guidance FEMA (Federal Emergency Management Agency). 2009. A Document.” Policy and Tools Documents Series no.1 version Local Administrator’s Guide to Floodplain Management and the 1.0. Geneva: WMO. National Flood Insurance Program. Washington, DC: FEMA. 126 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management A drought monitoring programs detects the onset and outset of drought and triggers the implementation of measures. Intensity None D0 Abnormally Dry D1 Moderate Drought D2 Severe Drought D3 Extreme Drought D4 Exceptional Drought U.S. Drought Monitor California. Source: Adam Hartman 11 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 127 Drought Monitoring, Response, and Recovery Droughts are an inevitable part of the hydro-climatic cycle and As described in Annex 1, the distinguishing characteristic the goal of proactive management is to prepare for a drought, of a drought as a hazard is that it typically evolves over monitor the drought as it evolves, and then help reduce the time, in some cases years, with each drought event being impact of the drought on people, the economy, and the unique in terms of its geographical scope and social, environment. As shown in Figure 11.1, actions taken to promote economic, and environmental impacts. Droughts are driven healthy watersheds, develop water resource infrastructure, by meteorological conditions that produce an abnormally allocate water flexibly, and conjunctively manage groundwater high level of dryness in comparison to some “normal” level should also contribute to reducing drought risks. This chapter for that specific region. This period of dryness can impact focuses on programs to monitor, respond to, and recover from agriculture by reducing soil moisture, thereby putting stress droughts to further reduce the overall impacts. on plants and reducing their productivity. As the dryness FIGURE 11.1 Drought Monitoring, Response, and Recovery in EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management Drought Monitoring Drought Monitoring, Response, and Recovery WRM Drought Response RESPOND • Flood Monitoring, Response, and Recovery Agriculture Drought Response • Disaster Risk Financing Social Protectiom Drought Response IMPACT Source: Authors. 128 ● Chapter 11—Drought Monitoring, Response, and Recovery persists, it can have hydrological and eventually ecological the agriculture agency should have drought support impacts, reducing the amount of water available for cities, programs in place to help agriculturalists respond to and irrigated agriculture, industry, and the environment. recover from droughts. The agency should administer and report on the implementation of these programs as Chapter 3 highlighted the importance of having an part of its overall responsibility within the Drought Plan overarching national framework for drought management, and membership in the Drought Committee. consisting primarily of a permanent, multi-sectoral Drought Committee and a periodically updated National Strategic ■ Social Protection Drought Response. These programs Drought Plan. The National Strategic Drought Plan helps help vulnerable populations, particularly in rural areas, ensure a clear definition of institutional responsibilities and cope with droughts and can include measures such as procedures for responding to droughts. Nevertheless, since cash transfers, temporary labor, and in extreme cases each drought unfolds in its own unique manner, the Drought camps for displaced people. It is important that the Committee needs to be proactive and flexible to tailor the social protection programs be pre-planned and scalable response appropriately. The programs that are reviewed in to help the meet specific needs of the drought. The this chapter are summarized below: Drought Committee has an important role in ensuring the effectiveness of social programs, and social protection ■ Drought Monitoring Program (DMP). This program agencies should be members of the Drought Committee. should ideally be multi-sectoral but anchored in a specialized agency (such as the NHS/NMS or WRM After every significant drought event, the Drought Committee agency). The program should be constantly providing should undertake a Post-Drought Assessment. The assessment public assessments to the Drought Committee, local report should look the evolution, responses, and impacts governments, and the general public on drought associated with the drought and distill lessons learned. This status throughout the country. As a drought emerges will help inform the next iteration of the national Drought and evolves, the Drought Committee should mobilize Plan, as well as the specialized programs supporting drought standing or ad hoc Impact Assessment Groups (IAGs) risk management. with the membership and scope adjusted to the circumstances in a specific region. These IAGs should be 11.1 Drought Monitoring composed of representatives from specialized national agencies, local governments, the private sector, and civil Program description society as appropriate and provide publicly available A comprehensive Drought Monitoring Program (DMP) situation reports. The DMP should classify and report on encompasses two interrelated activities: (1) the monitoring the level of drought for specific regions of the country. and forecasting of meteorological and hydrological ■ WRM Drought Response. Chapter 6 highlighted the conditions; and (2) the assessment of actual and potential importance of having drought contingency plans at the on-the-ground drought impacts and risks. The DMP should basin, city, and irrigation scheme levels. As different classify and report on the level of drought for specific regions levels of drought are declared, this should help trigger of the country. The designations often range from 1 to 5, from actions outlined in specific river basin plans, urban a low level (1) of “abnormally dry” to the highest level (5) of water supply plans, and irrigation water supply plans. “an exceptional drought”. The designation of a drought level The WRM agency should help support, monitor, and is important because it should help communicate the relative report on the implementation of these plans as part of severity of the drought to different parts of the country and its overall responsibility within the Drought Plan and trigger actions identified in the National Drought Plan. membership in the Drought Committee. A drought monitoring program identifies climate and water ■ Agriculture Drought Response. Rural populations supply trends and detects the emergence or probability of depend on agriculture for their livelihoods, including occurrence of droughts, usually by categorizing severity both crops and livestock, and are particularly vulnerable through a percentile ranking approach, and the likely impacts to droughts. This is especially true in low-income associated with each category. The information can be used countries that may not have well-developed water to communicate broadly to the general public, as well as to infrastructure to help buffer the impact of dry periods. inform specific regional, local, and sector-specific drought Chapter 7 highlighted the importance of climate- management plans and actions. This information can be used smart agriculture programs in helping to mitigate to trigger drought mitigation and response measures, as well drought impacts. When a severe drought does strike, as disaster declarations and eligibility for drought-related An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 129 Box 11.1 The Netherlands National Coordination Commission for Water Distribution In years with insufficient precipitation and low discharges of the rivers, the Netherlands faces drought conditions and decisions have to be made on how to distribute the available water. The main organization for dealing with droughts is the National Coordination Commission for Water Distribution (Landelijke Coordinatiecommissie Waterverdeling or LCW) in which all water managers (at the national, provincial, and water board levels) are represented. The activities of the LCW include monitoring, forecasting, and reporting (bi-weekly and, when needed, more frequent) on the situation, if needed. The LCW decides on the crisis situation (using one of four levels: regular management, imminent shortages, actual shortages, and crisis shortages), when to involve higher governmental levels (up to the Ministerial level), and what prescribed actions to take depending on the shortage situation. The main trigger for the determination of a drought in the Netherlands is the combined situation of a high precipitation deficit (evaporation minus rainfall), the river inflow of the Rhine and the Meuse in the country, and a general picture of the groundwater levels. The designation of the drought level is based on pre-defined values of river inflow and the precipitation deficit. In cases of actual shortages, actions are taken in the water distribution system by allocating water to specific regions, and a pre-defined priority list is applied. The highest priority is afforded to safety by ensuring that dikes do not dry out and become structurally compromised. This is followed by public services (drinking water and energy), then high-value water use (horticulture and process water in industry), with all other uses in the lowest category (agriculture, shipping, and recreation). The activities of the LCW are formalized in Ministerial documents and ratified by the Inter-Ministerial Steering Group on Management of Water Crises and Flooding. Key Issue: Recent severe drought conditions (in 2003, 2018, and 2020) have shown that LCW functions well. The strength of the LCW is the strong involvement of key stakeholders in decision making and the transparent procedures on how to communicate and deal with the various levels of the crisis situation. programs, such as disaster relief, insurance, and eligibility ownership, while helping to calibrate assessments of severity for low-interest loans. It can also be used to help inform food for local areas. Stakeholder feedback can also be archived relief efforts, water tanker truck deliveries, and other policy into a historical database for future risk assessments. and management responses. In summary, an effective drought monitoring program will Monitoring and forecasting should also be coupled with include the following: programs to assess drought risks and impacts. Ideally, ■ Cover important sectors of the country and different drought risk analysis should take place at different levels and spatial resolutions (local, regional, and national); through different planning processes, for example through the National Strategic Drought Plan and the basin, city, and ■ Institutionalize a process to collect and assimilate irrigation drought contingency plans discussed in Chapter 6. information on the key drought indicators, including The agriculture and social protection agencies should also the assessments of its severity and impacts, a clear undertake a drought risk analysis to be prepared when a categorization process for when a country is entering drought occurs. and exiting a drought, and feedback mechanisms for validating the status of the drought;  There are two main reasons for drought impact reporting and assessment. First, impact reporting mechanisms enable ■ Foster and support a research environment that focuses feedback, validation, and ultimately improvements to the on improving drought early warning; monitoring and early warning system itself. Second, impact ■ Provide accurate, timely, and usable information on assessments help to gain a more holistic perspective on drought conditions and associated risks to facilitate drought conditions as they are unfolding, thus helping to proactive decision making; improve overall response efforts. For both reasons, ground- ■ Help to increase public awareness and education on how truthing from stakeholders on the actual impacts of droughts and why droughts occur, and how they impact human should be in place and coordinated through the National and natural systems; and Drought Committee or a subcommittee on monitoring and impacts assessment. This helps to increase the trust ■ Function at high capacity even during periods of wet or of stakeholders with respect to the program and build normal conditions. 130 ● Chapter 11—Drought Monitoring, Response, and Recovery Linkage to the National Sector Framework Monitoring Subcommittee. The Drought Committee The drought law should highlight drought monitoring, should establish a formal charter for its monitoring forecasting, and risk and impact assessment as core functions subcommittee, identifying its objectives, membership, under the overall auspices of the Drought Committee. The law procedures, and obligations of the different entities participating in the Monitoring Subcommittee. One of should spell out the institutional arrangements for a DMP. the specialized agencies should serve as the anchor or Given the multi-disciplinary nature of drought monitoring, secretariat for the Subcommittee, typically the Hydro-met it is important to include all relative agencies, including or WRM agency. The Committee could also potentially but not necessarily limited to meteorological, hydrological, include research institutes operating within or outside of water resources, agriculture, disaster risk management, and the country. As discussed in Chapter 5, it is particularly natural resources management agencies. important to develop linkages with international agencies The drought law should therefore create a Drought Monitoring or centers providing global weather information. In many Subcommittee anchored in one of the specialized agencies. cases, formal MOUs linking the specialized agencies and The drought law should also provide the authorization to the institutes to the Subcommittee may be useful. Clear Drought Committee or the Drought Monitoring Subcommittee operational procedures for the Subcommittee should to establish standing or ad hoc “Impact Assessment Groups” also be established, including frequency of meetings, which can operate based on terms of reference appropriate to reporting, and decision-making process. the specific drought conditions. The drought law should also ■ Developing protocols and guidance for drought spell out the authorizing power of the Drought Committee, monitoring and impact assessment. The Subcommittee or of the Government on the recommendation of the Drought should develop protocols for operationalizing the Committee, to formally issue a Drought Level for a specific production of a drought monitor, as well as risk region based upon its independent assessment. The drought assessments, that build cross-agency and cross- law may also authorize the Government to formally declare sectoral agreement on how droughts will be defined a disaster in a region if the drought level reaches a certain and characterized; identify the institutions involved threshold, thus initiating disaster management protocols. with producing a drought monitor and procedures for updating the monitor; contain feedback mechanisms for Key agency actions validating the monitor with various stakeholder groups; and provide guidance for conducting vulnerability Key actions for the Drought Committee and its constituent assessments, such as how to quantify costs and sector agencies include the following: characterize the risks faced by key sectors and vulnerable ■ Establishing the governance document (the charter and populations. These protocols should also include terms for reference) and procedures for the Drought procedures for constituting IAGs to examine drought Box 11.2 Composite Drought Indicator Taking Root in Southern Africa The development of a robust drought monitoring and early warning program is critical to improving the effectiveness and efficiency of drought preparation and response interventions—a realization that is beginning to proliferate throughout the Southern Africa region. Several countries, including Botswana, Eswatini, and Zimbabwe, are in the process of developing a composite drought index (CDI), which will lay the foundation for an improved drought management system. The efforts involve working with the World Bank and the National Drought Mitigation Center of the University of Nebraska, Lincoln, to collect drought-relevant data from satellites, surface observations, or computer models and to develop drought indicators based on data availability, quality, and decision-making needs. These indicators are now being placed into historical context, using the percentile ranking method to categorize the data and assign severities and relative weights, and will then be used to create a single CDI monitoring product. Critical to the ultimate utility of the CDI is the feedback and validation process put in place by the respective “champion” institutions in each country to understand how individual drought indicators represent drought conditions and to establish the relative accuracy and performance of the full CDI. Once the CDI is operational, agencies and ministries can establish triggers based on the CDI to initiate drought management actions according to several levels of drought severity, linking them with a national drought plan and city and town drought contingency plans. This will ultimately help to increase awareness and create consensus on “who does what and when” as a drought is unfolding in these countries. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 131 Box 11.3 Cautionary Tale It is critical to have a process for declaring the different levels of severity as a drought develops. It is equally important to have defined procedures and triggers for exiting a drought. Maintaining drought declarations at high levels when in reality the drought situation on the ground has subsided can not only erode public confidence in the veracity of the associated drought mitigation and response measures, it also exposes the process to perceived politicization and political capture (such as local politicians wanting to keep the status ‘high” to receive government support). impacts and risks in a specific region for a drought event, level, preferably including open hearings with public including the production of “drought situation reports”. comment. These IAGs should include specialized agencies, local ■ Operating a Drought Information Center. Information governments, and a broad spectrum of stakeholders, generated by the Drought Monitoring Program should including business, agriculture, and civil society. The be easily accessible and freely available to the public protocols should ensure that the IAGs produce periodic through an integrated information system or portal. The and structured situation reports over the course of the information should include the underlying hydrological drought, including a final report after the drought is and meteorological data, current and historical drought declared to be over that summarizes the overall social, maps, and situation reports generated by IAGs. The economic, and environmental impacts of the drought as Drought Information Center can also serve a central well as lessons learned. function in drought education and awareness. During ■ Establishing procedures for drought declarations. The periods of drought, the Information Center has a critical Drought Committee should establish clear procedures role in disseminating information on the drought status, impacts, and potential risks. The Information Center for agreeing on drought levels for specific regions based should support the specialized agencies so they can upon the recommendations of the Drought Monitoring provide the necessary information to their constituencies Subcommittee. Determining a drought level is not a through their own public outreach programs. mechanical task, but rather should be a flexible process taking all social, economic, environmental, and political factors into consideration. Nevertheless, there should Generic evolution be a formal process for declaring a certain drought Table 11.1 provides a generic overview of a national DMP. TABLE 11.1 Generic Evolution of Drought Monitoring Programs Nascent Engaged Capable Effective No drought monitoring, National drought law has been Drought monitoring program The Drought Committee uses forecasting, or risk promulgated but the DMP is at includes forecasting, monitoring, the DMP to issue formal drought assessment programs in an incipient stage. Institutional and risk and impact assessment. declarations that trigger actions place, leading to ad hoc mechanisms exist for data However, information from the in various drought contingency crisis management and integration to develop and DMP is still not fully utilized plans and programs. The Drought emergency response. maintain a composite drought by the Drought Committee Monitor provides feedback on Decision making is siloed index mapping product that and the formal system for the effectiveness of drought by sector and based on provides a national overview of drought declarations that can response actions and allows the single index values (such drought conditions. However, temporary suspend or limit Drought Committee to adjust as as the Standardized risk and impact assessment water use permits or trigger necessary. Following the drought, Precipitation Index). There mechanisms are weak and not initiating actions in the National a comprehensive drought impact is minimal capacity to fully institutionalized. Drought Plan and other drought assessment study is prepared to estimate and track sectoral contingency plans has yet to be assess impacts and lessons learned. vulnerabilities and risks. used. Drought impact situation reports are provided on a regular basis to the Drought Committee. Source: Authors. 132 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management The drought plan should include provisions for providing emergency drinking water supply. Villagers collecting drinking water in Raipur, India. Photo: KuntalSaha 11.2 WRM Drought Response administrative decisions by the WRM agency—preferably within the context of deliberations within the Drought Chapter 6 discussed programs for drought contingency Committee—or through a water rights trading system. The planning at the river basin level, as well as for cities and role of conjunctive groundwater management was also large irrigation schemes. As a drought unfolds, and a region highlighted in Chapter 9, underscoring the need to facilitate transitions through different levels of drought severity as the storage of water in aquifers during non-drought periods informed by the DMP, these various drought contingency and then abstracting groundwater for use during droughts. plans need to be activated. Each of these plans will most The challenge is to ensure that the sustainable yield of an likely have even more detailed pre-determined thresholds aquifer is not exceeded over the long run. and triggers for sector- or location-specific drought actions. The WRM agency often, but not always, serves as the For cities and irrigation schemes, this generally means anchor agency for the Drought Committee. In regions increasing levels of voluntary and then mandatory water where cities, industries, and farms rely heavily on surface conservation coupled with prioritization of water uses. In water or groundwater, particularly when delivered through the most extreme droughts, cities and rural communities may regional water conveyance systems, the WRM agency has a have to tap into emergency sources of water or distribute critical role to play in drought response. As a core member water through tankers. of the Drought Committee, it should monitor and report on During droughts, water use needs to be coordinated at the the implementation of the various drought management basin level to ensure water allocations are in alignment with measures, as well as the overall water balance at the river the overall basin drought contingency plan. As highlighted in basin level. The WRM agency also has a central role to play Chapter 9, the WRM agency should ideally administer a water in drought communications and public outreach during use permit system that has clear rules of priority during droughts, reaching out through its various channels to create periods of water shortage or drought. Ideally, this permit a culture of water conservation and water use efficiency. The system would be flexible enough to accommodate priority WRM agency can build upon emergency water conservation and equitable use of water during droughts, either through activities during droughts to help promote the necessary An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 133 policy, legal, and institutional reforms to further the agenda various WRM programs were discussed in previous chapters. of water stewardship. Table 11.2 provides a generic evolution of how these different The national sector framework and key agency actions for the programs could respond and evolve over time. TABLE 11.2 Generic Evolution of WRM Drought Response Nascent Engaged Capable Effective River basins, cities, and The water resources law is The WRM agency has river The WRM agency oversees the irrigation schemes do not promulgated, and the WRM basin drought contingency dynamic and flexible allocation have drought contingency agency attempts to manage plans and has approved drought of water among users through plans. Each water user droughts on an ad hoc basis, contingency plans for cities and administrative decisions, responds to droughts without clear mechanisms for irrigation schemes. However, negotiated agreements, or water independently through a water allocation and in the water allocation is done in a rigid markets. Groundwater is managed chaotic process with little absence of drought contingency manner without ensuring equity conjunctively with surface water or no effort to allocate plans at the basin, city, and and efficiency. Groundwater is and ample reserves exist for water efficiently. irrigation scheme level. overdrawn in an unsustainable emergency use of groundwater. manner to meet water needs. Source: Authors. 11.3 Agriculture Natural Hazard regulated, and subsidized through the agriculture agency, Response which works through insurance companies that offer plans to agriculturalists. Specialized direct relief or insurance Program description programs are required to deal with different types of Agriculture, including both crop and livestock production, is producers, for example different programs may be required an inherently risky endeavor and subject to many types of for annual crops, perennial crops such as orchards or natural hazards, such as droughts, floods, pestilence, fires, plantations, and livestock. tornadoes, and hail. Agriculture is also confronted with Depending on the specific country context, there may be a many market risks, such as price fluctuations, logistical mix of direct relief programs and insurance programs. There interruptions, and sudden export restrictions. Therefore, it are many advantages to insurance programs, which provide is important that the agriculture agency develop a sector- the following benefits: wide agriculture risk management program that considers ■ They help share risk between the government and agri- all risks in a holistic manner to help farmers and livestock culturalists, providing incentives for the agriculturalists producers cope with this broad range of uncertainties (World to make more climate-informed decisions. Bank 2016). ■ Depending on the mechanism used, insurance compa- As highlighted in Chapter 6, climate-smart agriculture nies can often provide relief more efficiently and quickly programs can help mitigate potential drought impacts by than government agencies can. promoting improved agronomic practices. When a severe drought does strike, however, agricultural disaster support ■ Relief does not have to rely on government appropria- programs can be powerful tools to protect the livelihoods tions, which may or may not be enough to respond to an of agriculturalists. Such programs can also help de-risk the agricultural disaster at a given point in time. agricultural sector and contribute to increasing agricultural Nevertheless, agricultural insurance programs are challenging output through improved access to credit and encouraging to establish and regulate due to their complexity. For most agricultural investments. developing countries, securing adequate resources for Agricultural disaster support is generally organized around financing insurance subsidies over time has also proven two approaches: (1) direct government-administered relief; challenging. One option to simplify the process and reduce the and (2) relief administered through agricultural insurance. financial burden is for the agriculture agency to simply provide Direct relief programs provide financial support, such as free insurance for the layer of catastrophic risks experienced payments or concessional loans, to agriculturalists who suffer by the most vulnerable. For example, the insurance could damages due to natural hazards. Natural hazard insurance use a parametric approach, in which insurance payments are programs, on the other hand, are typically established, made when a specific area reaches a predetermined drought 134 ● Chapter 11—Drought Monitoring, Response, and Recovery level. With this approach, individuals and institutions would for agriculturalists. This typically requires interagency have the option of purchasing top-up insurance to cover agreements so that the NMS/NHS can provide tailored less catastrophic risk layers. Providing free insurance for the information needed by the agriculture agency. The agriculture catastrophic layer could potentially lower the overall cost agency will then need to find effective and appropriate of insurance and help create a minimum market size. Such channels to disseminate this information, potentially in “smart” subsidies must include a clear exit strategy or rely on partnership with the private sector. secured, long-term financing where required. Setting up an Agriculture Risk Management Program. The One of the key challenges is to ensure that agriculture agriculture agency should set up a risk management program insurance and disaster support programs are complementary. that can be used to provide support to farmers to help If the government steps in and provides disaster relief to an manage a variety of risks, including natural disasters. Some agricultural business that opted out of buying insurance, then of the tools to support agriculturalists potentially include this will potentially undermine the insurance market. Insurance insurance or direct support programs. The program should programs may not cover all agricultural circumstances, for offer information to producers regarding markets and risk, example specialty crops, and thus usually a mix of insurance technical assistance coping with common risks including and direct support programs may be required. hydro-climatic risks, protection from the spread of animal and plant diseases and pests, and assistance recovering from A key element in protecting agricultural producers is the pro- natural disasters. vision of agro-climatic services. This includes meteorological and hydrological information specifically tailored to meet the Developing tailored Agricultural Disaster Support Pro- needs of agriculturalists, often with crop-specific information grams. The agriculture agency should develop customized and advice. As noted in Chapter 5, the agriculture agency typ- disaster support programs for different types of producers, ically should work closely with the NMS/NMHS to develop a for example common annual crops, perennial crops, live- customized agro-climatic program that disseminates informa- stock producers, and specialized niche crops. Each of these programs should have specific regulations for eligibility, tion to producers in a timely and targeted manner. Typically, verification, and payment based on sound risk assessment there are two-way information flows between the DMP and the analysis. The different programs may need to be explicitly au- agro-climatic services program. thorized by the agriculture law. For drought-related impacts, the triggering of support for these programs may be linked Linkage to the National Sector Framework to the DMP. The agriculture law provides the authorization for the Facilitating an Agricultural Insurance Program. Where establishment of the various agricultural disaster support appropriate and feasible, the agriculture agency should programs. Typically, the law will authorize each specific facilitate the development of a national insurance program. disaster support program and provide broad principles and The agency should develop the capacity to undertake guidelines for its implementation. The agriculture agency agricultural risk assessments and decision support is then mandated to administer the various programs. The services, such as agriculture statistics and agro-climatic drought law should specify that the agriculture agency information services. Policies and regulations related to is a core member of the Drought Committee, helping to agricultural insurance programs should ensure appropriate shape the government’s response to drought as well as risk assessments and encourage comprehensive analysis of serving as a channel for representing agricultural interests agricultural risks to assess the viability of proposed insurance and impacts. In addition, the drought law may specify the contracts. Typically, a joint taskforce including the agriculture general role of the Drought Committee in providing objective agency, the finance agency, and insurance companies is drought information to help guide the administration of the necessary to coordinate the development of the agriculture agricultural disaster support programs. insurance market. A multi-stakeholder working group should also be formulated to advise this taskforce, comprised of Key agency actions members from farmers’ organizations, (re)insurers, other financial institutions, public sector institutions, development Key actions for the agriculture agency include the following: partners, and sector experts. In the case of relatively small Establishing a partnership with the NMS/NMHS to provide economies, the working group might also advocate for agro-climatic services. The agriculture agency should an enabling regional policy and regulatory framework to work closely with the NMS/NHMS to develop a program to facilitate risk pooling by insurers in countries within the deliver customized weather, climate, and advisory services same region. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 135 Generic evolution The generic evolution of this program is summarized in Table 11.3. TABLE 11.3 Generic Evolution of Agriculture Drought Response Nascent Engaged Capable Effective No disaster support exists for The agriculture law requires The agriculture agency has The agriculture agency has a set of farmers or herders who are left the agriculture agency to developed a set of agricultural support programs, based primarily to absorb the economic and provide disaster relief to disaster support programs with on insurance. The DMP provides social shock of droughts. agricultural producers, clear regulations. Insurance information to implement the but this is done in an ad markets, supported by the programs. Sophisticated agro- hoc manner without clear agriculture agency, are starting climatic and risk management programs in place. up. The agriculture agency offers services are in place. basic agro-climatic services. Source: Authors. 11.4 Social Protection Drought Response ed subsidies; contributory old-age, survivor, and disability pensions; sick leave; maternity and paternity benefits; health Program description insurance coverage; other types of social services and insur- Dedicated agricultural disaster support programs may function ance; active labor market programs (training, employment well in middle-income countries where the agriculture sector intermediation services, and wage subsidies); and passive is commercialized, and where agriculturalists have the capaci- labor market programs (unemployment insurance or early ty to apply for assistance. In many developing countries, how- retirement incentives). ever, farming and livestock production is managed in a more Food and in-kind transfer programs (regular and emergency) informal and often subsistence level, and different approaches are common in countries that have historically suffered from focused on social protection are required to help rural house- droughts. These programs focus particularly on vulnerable holds respond to and recover from droughts (and from floods, groups, such as malnourished children under five years of for which social protection programs are discussed in Chapter age, pregnant and breastfeeding mothers in food-insecure 12). Even with commercialized agriculture, agricultural disas- areas, and refugees. For drought response, countries often ter support programs may not be enough to meet the needs focus on the use of short-term safety nets aimed at supporting of the impacted population. For example, people employed on people affected by a drought, or those who have temporally farms or who operate as sharecroppers may lose their jobs due fallen into poverty or food insecurity. Regular or longer term to droughts. In addition to their economic impacts, droughts poverty-targeted cash transfer programs represent other in rural communities may also have deep and long-lasting so- mechanisms to address drought risks, while also reducing cial impacts related to malnutrition and lack of access to water poverty. Rural shock-responsive safety nets can be rapidly and sanitation. They can have a profound short-term impact scaled horizontally (increasing the coverage of beneficiary on health as well as longer term impacts such as childhood households) or vertically (increasing transfer amounts) when stunting or lack of access to schooling. a drought emergency occurs. Again, the scale-up mechanism is For these reasons, countries should have preconceived generally activated via an objective, pre-defined trigger, linked programs for ensuring food and water security in rural areas to the drought early warning system. Finally, supporting rural impacted by natural disasters. Social protection programs livelihoods during a drought also involves being prepared to that help facilitate effective drought responses in rural most efficiently and comprehensively deliver emergency food areas include offering traditional safety nets and, in extreme aid and water supplies. This requires the DRM, Civil Defense, conditions, humanitarian aid. or other designated agency to have a well-articulated plan for deploying food and water tanker trucks to the communities Types of social protection programs to address droughts in- most likely to face shortages during droughts. clude, but are not limited to unconditional cash transfers; conditional cash transfers; social pensions; food and in-kind The Drought Committee has a critical role to play in facilitat- transfers; school feeding programs; public works (particular- ing social protection programs, and the key national agen- ly those mobilized during a drought); fee waivers and target- cies responsible for providing social protection should either 136 ● Chapter 11—Drought Monitoring, Response, and Recovery be represented on the Drought Committee or be called up ■ Ensuring the flexibility and adaptability of social to participate when a drought is forecasted or in the early protection programs. The agriculture agency and the stages of development. There is a wide variety of social pro- social protection agencies should ensure that the social tection delivery mechanisms among countries, often deliv- protection programs have the flexibility to rapidly scale ered through different national agencies with the support of up and are adapted to the needs following a major local governments, national and international humanitarian drought, with pre-established contingency plans and organizations, and development agencies. It is beyond the funding mechanisms. scope of this report to review the design and implementa- ■ Targeting the rural chronic poor and most vulnerable tion of different social protection programs, and the reader households. Even when countries have well-established is referred the references below for more information. Since policies and institutions with respect to social protec- each drought event is unique in terms of its geographical ex- tion, large overlaps often occur, along with significant tent, evolution, and intensity, a key function of the Drought inclusion errors. Resultant gaps leave some members of Committee is to help guide the social protection agencies to the poorest and most excluded groups without enough adjust and calibrate their support accordingly. support. Policies that identify and target the poorest families and individuals within these groups during Linkage to the National Sector Framework drought emergencies are a critical backstop to avoid The drought law should highlight the importance of social devastation. This includes pre-negotiated contracts for protection programs during droughts and mandate that hauling and distributing food and water, pre-planned national agencies providing social protection develop mapping and logistics details for moving food and wa- specific drought contingency plans. The drought law should ter, and thorough communications and outreach mecha- also mandate that the lead social protection agencies are nisms around these emergency distributions. members of the Drought Committee, and that drought-related ■ Ensuring sound governance and accountability mech- social protection programs are included in the National anisms. The agriculture agency and the social protection Drought Plan. Either the DRM law or the water resources law agencies should ensure sound governance and account- should require the responsible agency to work with local ability mechanisms, with the effective participation of governments to ensure that contingency plans are in place beneficiary groups, proper communication and feedback for the provision of emergency water and food supplies for mechanisms, clear guidelines and safeguards to reduce towns and rural areas. fiduciary risk, and a system of monitoring and evalua- tion that allows for measuring impacts and outcomes to Key agency actions inform future efforts. Key actions for the agriculture agency and the various social ■ Building longer term adaptive capacity. During and protection agencies include the following: following a drought, the agriculture agency should ■ Facilitating the provision of social safety nets during prioritize and target the climate-smart agriculture droughts. The agriculture agency, being on the front programs discussed in Chapter 6 on the socially lines of rural development, and the social protection vulnerable and drought-impacted population. This helps agencies should play facilitating roles in the provision them recover more quickly and also increase their longer of social safety nets during droughts. This includes term adaptive capacity. coordinating across agencies and helping to define roles and responsibilities for all actors, as well as linkages and information-sharing arrangements with humanitarian actors. The country’s Executive and Cabinet also play crucial roles in coordination and funding support during periods of national crisis. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 137 Generic evolution The generic evolution of social protection programs is summarized in Table 11.4. TABLE 11.4 Generic Evolution of Social Protection Drought Response Nascent Engaged Capable Effective Rural communities The drought law mandates that the The Drought Committee There are well-formulated social are left to fend for government provide social protection prioritizes social protection as protection programs in place that themselves during to vulnerable populations impacted by an objective. The agriculture can respond quickly to meet the droughts leading to drought. However, social protection may agency and other specialized specific needs of a drought event. severe social and not be a priority issue for the Drought social support agencies have The Drought Committee closely economic impacts, Committee. The agriculture agency and preconceived programs in follows the implementation of the particularly for the other social protection agencies do not place to provide social support. programs, informed by the drought most vulnerable. have preconceived programs in place. However, the support is provided impact assessment process. The most Droughts may evolve into an emergency in an uncoordinated manner with vulnerable populations are identified, that requires humanitarian assistance. significant gaps in coverage. and their basic needs are met. Source: Authors. 11.5 Key Resources Reyes, Celia M., Adrian D. Agbon, Christian D. Mina, and Ann B. Reneli Gloria. 2017. “Agricultural Insurance Program: Lessons Drought monitoring program from Different Country Experiences.” PIDS Discussion Paper IDMP (Integrated Drought Management Programme). 2018. Series no. 2017-02. Quezon City: Philippine Institute for “Integrated Drought Management HelpDesk.” Development Studies.  NDMC (National Drought Mitigation Center). 2021. “United Sandmark, Thérèse, Jean-Christophe Debar, and Clémence States Drought Monitor.” NDMC. Tatin-Jaleran. 2013. “The Emergence and Development of Agriculture Microinsurance.” A Discussion Paper. Luxembourg: NIDIS (National Integrated Drought Information System). Microinsurance Network. 2007.The National Integrated Drought Information System Implementation Plan: A Pathway for National Resilience. USDA (United States Department of Agriculture). 2017. Disaster Assistance Fact Sheet. Washington, DC: USDA. World Bank. 2019. Assessing Drought Hazard and Risk: Principles and Implementation Guidance. Washington, DC: The World Bank. Social Protection Drought Response Lindert, Kathy, Tina George Karippacheril, Inés Rodriguez Agriculture Drought Response Caillava, and Kenichi Nishikawa Chavez. 2020. Sourcebook Lesk, Cory, Pedram Rowhani, and Navin Ramankutty. 2016. on the Foundations of Social Protection Delivery Systems. “Influence of Extreme Weather Disasters on Global Crop Washington, DC: World Bank. production.” Nature 529 (7584): 84–87. Monchuk, Victoria. 2014. Reducing poverty and investing Mahul, Olivier, and Charles J. Stutley. 2010. Government in people. The new role of safety nets in Africa. Directions in Support to Agricultural Insurance: Challenges and Options for Development. Washington, DC: World Bank. Developing Countries. Washington, DC: World Bank.  Pelham, Larissa, Edward Clay, and Tim Braunholz. 2011. Raithatha, Rishi, and Priebe Jan. 2020. Agricultural insurance “Natural Disasters: What is the Role for Social Safety Nets?” for smallholder farmers: Digital Innovations for Scale. GSMA World Bank Social Protection Discussion Paper no. 1102. AgriTech Programme.  Washington, DC: World Bank. Flood emergency preparedness is critical to an effective response. Rescue in Bangkok, Thailand. Photo: robru 12 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 139 Flood Monitoring, Response, and Recovery Like droughts, floods are an inevitable part of the hydro- on people and the economy. As shown in the Figure 12.1, climatic cycle and the goal of proactive management is to actions taken to promote healthy watersheds, develop water prepare for floods, forecast and monitor them, and respond resources infrastructure, and manage floodplains should also effectively through emergency action and immediate relief contribute to reducing flood risks. This chapter focuses on for affected communities. Recovering from floods by building programs to monitor, respond to, and recover from floods to back better and smarter is the final step in the process of further reduce the overall risk. minimizing the social and economic impacts. As discussed in Annex 1, there are many different types of Flooding is a natural phenomenon that brings important floods and each flood event has its own unique characteristics ecosystem benefits. The delicate balancing act is maintaining in terms of geographical scope, duration, and physical these benefits while also minimizing the impact of floods characteristics. This chapter focuses primarily on river and FIGURE 12.1 Flood Monitoring, Response, and Recovery in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management Flood Forecasting and Warning • Drought Monitoring, Response, and Recovery Flood Response and Relief RESPOND Flood Monitoring, Response, and Recovery • Disaster Risk Financing Flood Recovery IMPACT Source: Authors. 140 ● Chapter 12—Flood Monitoring, Response, and Recovery coastal flooding, although many of the same principles apply agency. The WRM agency may operate a flood control to other types of floods. In contrast to droughts, floods are center that monitors conditions and coordinates flood relatively short-duration hazards, generally lasting from days infrastructure operations and flood fighting efforts. In to weeks with immediate and often devastating impacts— parallel, the DRM agency also may need to activate its making emergency response and relief of paramount emergency response system to oversee evacuation and concern. Floods are often, but not always, driven by other relief efforts. meteorological hazards such as cyclones, often resulting in ■ Post-flood assessment process. A structured assess- multiple-hazard disasters occurring at the same time. ment process informs relief and recovery efforts at There are many moving parts to a system for flood monitoring, three critical junctures. In the immediate aftermath of response, relief, and recovery as shown in the diagram in a flood, the DRM agency in collaboration with local gov- Figure 12.2. The programs presented in this chapter are ernment needs to undertake a Rapid Impact Assessment summarized in the following paragraphs: to ascertain critical relief needs. The second assessment ■ Flood forecasting and warning. A multi-agency ap- comes after the emergency has subsided and involves proach, dependent on the circumstances of the country, a Post-Disaster Needs Assessment (PDNA) that defines is typically required for flood forecasting. As highlighted medium- and longer-term recovery efforts with an aim in Chapter 5, the NMS/NHS plays a key role in facilitat- of “building back better” and examines the causes and ing weather forecasts, and for coastal and localized flash response to the flood event to inform future policies. The flooding generally provides the flood forecasts. For river final assessment should come near the end of the recov- flooding, the WRM agency typically provides the flood ery period to assess the effectiveness of the recovery forecasts if there is extensive flood infrastructure; for program and the final social and economic impacts of unregulated rivers the NHS (which may be embedded in the flood event. the WRM agency or part of the NMS) typically provides ■ Flood disaster relief. Based upon the rapid impact as- the forecasts. Ideally, there should be impact-based sessment, the DRM agency should work in collaboration warnings based on the flood forecasts that provide in- with other agencies and local governments to ensure an formation on potential impacts. This information is gen- effective flood relief effort including providing adequate erally derived from floodplain mapping, as discussed in food and shelter for vulnerable populations, flood after- Chapter 10. Generally, the DRM agency is best placed to math clean-up, and resumption of critical infrastructure take the flood forecasts and provide flood warnings uti- and public health services. The DRM agency should have lizing its multi-hazard emergency communications sys- immediate access to disaster relief funds from the na- tem and disseminating the information through various tional government to provide the necessary support. channels. ■ Flood disaster recovery. Recovery is about ensuring ■ Flood emergency preparedness. The DRM agency that households, businesses, and communities are no should have multi-hazard emergency operations plans worse off after the flood, and that their future flood in place to respond to a variety of natural hazards. These risk is significantly reduced. The DRM agency should emergency operations can be utilized as a foundation for channel disaster recovery funds through programs that developing flood emergency plans in collaboration with help local governments and impacted populations make the WRM agency. The DRM agency will need to work in strategic decisions following the principles in Chapter close collaboration with local governments and civil de- 10 on floodplain management. A supplemental approach fense authorities to prepare for local flood emergencies. for flood recovery is for the DRM agency to facilitate a ■ Flood emergency response and relief. Emergency flood insurance program. This program is typically response also requires a multi-agency approach under administered by the private sector, spreads out risks, the leadership of the DRM agency, which is responsible and ensures timely flood recovery funding. However, the for coordinating overall disaster preparedness, response, flood insurance program needs to be carefully designed and recovery efforts for natural hazards. In cases to ensure that it does not encourage additional floodplain where there is extensive flood control infrastructure, development and works in harmony with disaster relief the DRM agency needs to work closely with the WRM programs. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 141 FIGURE 12.2 Key Elements of a Flood Monitoring, Response, and Recovery System 1. Flood Monitoring Forecasting, and Warning* Emergency Response Management Evacuation, 2. Emergency Flood Stockpilling, training, etc Flood Fighting, Preapredness and Response Institutional arrangements Mutual Assist. Shock Responsive Social Protection 3. Flood Disaster Relief Temp. shelter, health/food support Cash Transfer Housing 4. Flood Disaster Recovery Infrastructure and public facilities Private business RIA** PDNA 5. Post-Disaster Assessment Assessment full flood Risk framework*** Assessment recovery process**** Time line FLOOD * Preferably impacts oriented forecasting **RIA = Rapid Impact Assessment *** incl. lessons learned to improve the flood risk management framework ˜2 months after the flood ˜3 years **** incl. lessons learned to do better next time depending on the magnitude of the event Source: Authors. 12.1 Flood Forecasting and Warning For river flooding, the weather information needs to be combined with watershed hydrological and river hydraulic Program description models to forecast river levels. Ideally, the floodplain will Flood monitoring, forecasting, and warning is a complex have been mapped and the forecast can include information multi-agency process that requires coordination and technical on the extent and depth of the flooding, as well as potential expertise. Figure 12.3 depicts the general relationship among impacts. Machine-based learning models that correlate the three key agencies for producing river and coastal flood weather and watershed conditions to river levels are also becoming more common as a supplement to traditional river forecasts and warnings. flood forecasting methods (Noymanee and Theeramunkong The “weather enterprise” as discussed in Chapter 5, consisting 2019). of the NMS working in collaboration with the private sector For a completely unregulated river, meaning a river with no and regional and global weather centers, is the source of water resources infrastructure, river flood forecasts can be information for weather data and forecasts. This weather done by the NMS/NHS or the WRM agency. In cases where information is an essential input into flood forecasts. there is water resources infrastructure, the WRM agency For coastal flooding, the NMS typically combines weather is usually best placed to issue river flood forecasts. WRM forecasts and oceanographic information (including tides) agencies must consider the influence of infrastructure, such with storm surge models to issue forecasts in the form of the as reservoirs, river embankments, flood bypass channels, storm tide height over normal sea level. Ideally, the coastal and flood gates, in their river flood forecasts. The WRM floodplains should be mapped, and the forecast can also agency should have a flood control center which coordinates provide information on how far inland the storm tide will the operation of infrastructure and provides flood forecasts. extend and its potential impacts. In coastal areas, there may be a need to simultaneously issue 142 ● Chapter 12—Flood Monitoring, Response, and Recovery FIGURE 12.3 Flood Forecasting and Warning Flood warnings can help trigger various emergency response Linkages actions, including: (1) mobilizing flood fighting teams and emergency personnel; (2) warning the public of the timing and location of the event and the likely impacts; (3) giving households, businesses, and local governments time to Weather Forecast NMS Weather WRM/Hydrology prepare for the flood; and (4) enabling evacuation and Enterprise Agency emergency procedures. Linkage to the National Sector Framework t We as Co t ec ath as The roles and responsibilities of the various agencies as or rec er tal rF Fo involved in flood monitoring, forecasting, and warning need Fo Flo the rec od od to be clearly spelled out in the various national frameworks a Flo We as Fo t to enable the necessary collaboration. As noted in Chapter 5, r rec ve Ri as the meteorological law should provide the NMS/NHS with the t authority to help facilitate the “weather enterprise” in the DRM Agency country, encouraging collaboration with regional and global weather centers, as well enabling the private sector to both generate and disseminate weather information and forecasts as appropriate. Flood Warning The meteorological law typically authorizes the NMS/ Source: Authors. NHS to issue coastal storm surge forecasts. Ideally, the meteorological law should also mandate the cooperation of the responsible oceanographic agency if this function is river and coastal flood forecasts. Storms may move from separate from the NMS/NHS. For river flooding, the water coastal areas producing storm surges onto land generating resources law usually authorizes the WRM agency to provide heavy rainfall that produces river floods. In many instances, flood forecasts. Some countries have created a National the coastal storm surges can affect river floods due backwater Flood Forecasting Center which is authorized either through effects increasing river heights. the WRM or meteorological law and can consist of staff from The information on current and forecast flood levels should both the NMS and the WRM agency. be made available to the public, other agencies, and local The DRM law should authorize the DRM agency to issue governments. The forecasts should be translated into flood geographically-specific flood emergency warnings as one warnings with location and impact specific information. component of its multi-hazard warning and emergency The DRM agency is ideally positioned to provide the flood response system. However, the DRM law should clearly spell warnings utilizing its multi-hazard warning and emergency out that the flood warnings must be issued in consultation response system. The flood forecasts can be combined with with the agency responsible for the flood monitoring and river or coastal floodplain topography, derived from the flood forecasting. mapping, to provide an estimate of critical areas and the likely extent of floods as water flows onto river or coastal Key agency actions floodplains. Ideally, in sensitive areas there will be flood risk Some of the key actions for the NMS/NHS, WRM, and DRM maps which provide information on assets and populations agency include the following: to provide impact-based warnings. ■ NMS/NHS collaboration with Ocean Agency. In some Flash floods represent another class of floods, distinct from countries, the ocean agency is separate from the NMS/ river or coastal floods. Most flash floods occur when there is a NHS. However, since coastal storm surge warnings are heavy amount of precipitation and that water is then rapidly both an atmospheric and oceanographic phenomenon, it channeled through streams or narrow gullies. Flash flood is critical that the NMS collaborate with the ocean agency warnings are provided by the NMS and are based primarily both in terms of developing storm surge models and of on forecast rainfall intensity and duration, coupled with monitoring oceanographic conditions. This collaboration topography, soil conditions, and ground cover. can be facilitated through an interagency agreement, An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 143 which defines the protocols for information sharing and partnership between the different agencies and the joint action during potential storm surge situations. Center could be equipped to handle all forms of flooding, quickly bringing together the expertise as needed to ■ NMS/NHS collaboration with the WRM Agency. In cases address specific flood hazard situations. where the WRM agency is responsible for river flood forecasting, it will need to work closely with the NMS/NHS ■ Collaboration between the DRM agency and the to obtain the necessary weather information. The NMS/ NMS/NHS and WRM agency issuing flood forecasts. MHS should provide not only its own weather forecasts, The DRM agency must have up-to-date information on but also draw upon the broader “weather enterprise” flood forecasts to inform its emergency management to provide the WRM agency with as much information decisions. This involves consulting with the agency as possible to help inform river flood forecasts. Close responsible for the flood forecasting in the issuance of collaboration between the NMS/NHS and WRM agency is emergency warnings, including evacuation orders. The also necessary during coastal storms, such as hurricanes, DRM agency typically has a multi-hazard emergency to consider potential coastal river interactions. This operations center (EOC) to help coordinate emergency collaboration can be facilitated through an interagency responses to coastal or river floods (as well as other agreement, or even better through an integrated Flood threats). To facilitate this cooperation, there should be Forecasting Center. interagency agreements between the forecasting agency and the DRM agency, ideally with DRM agency staff ■ Consider establishing a National Flood Forecasting embedded within the forecasting agency, or vice versa. Center. Perhaps the most elegant approach to untangling the different forecasting agency responsibilities is to establish a National Flood Forecasting Center, combining Generic evolution meteorology, hydrology, and oceanographic expertise to The generic evolution of this program is summarized in Table provide a specialized service. This could function as a 12.1. TABLE 12.1 Generic Evolution of Flood Forecasting and Warning Programs Nascent Engaged Capable Effective The NHS/NMS A hydro-met law clarifies The NMS/NHS, WRM, and DRM The NMS/NHS and WRM agency work issues weather responsibilities for flood forecasts, agencies work collaboratively collaboratively with the broader forecasts but there at either the NMS/NHS or WRM to issue weather and flood “weather enterprise” to provide is no structured agency. These agencies take weather forecasts and emergency flood weather forecasts and inform flood flood forecasting information and generate flood warnings. The flood warnings are forecasts. The DRM agency utilizes or issuance of forecasts. General emergency warnings disseminated through the DRM the forecasts and information derived warnings. may be provided by multiple agencies, Emergency Management System from floodplain mapping to issue such NMS, WRM agency, and DRM (EMS) and provide information impact-based warnings through the agency. on flood physical characteristics EMS. but not on potential impacts. Source: Authors. 12.2 Flood Emergency Preparedness, mutual aid agreements; and (5) multi-agency coordination Response, and Relief processes. Although this system is set up to manage all types of Program description emergencies, such as earthquakes, fires, storms, and floods, Emergency preparedness and response for floods should take there also needs to be flood-specific emergency preparedness place at many levels: national, regional, local, private sector, plans and response actions. The EMS serves to coordinate and households. The National DRM Plan should include a the actions of the key actors, including relevant national specific component on disaster response that establishes agencies and local governments, and emergency responders a standard Emergency Management System (EMS) that such as police, fire, and the military as necessary. The EMS allows for multi-agency and multi-jurisdictional responses should include provisions as necessary for mobilizing the to emergencies. Some key elements include: (1) definition national level Disaster Management Committee which often of command structure; (2) regional EOCs; (3) emergency consists of Cabinet-level officials and may be chaired by the warning dissemination system; (4) master civil defense Executive. 144 ● Chapter 12—Flood Monitoring, Response, and Recovery For river flooding, the WRM agency should prepare a River of embankment failure; authorizing controlled flooding; and Basin Flood Contingency Plan as discussed in Chapter 6, supporting flood fighting (using sandbags, temporary pumps, which looks at different flood scenarios and operational and other measures). As discussed in Chapter 8, the WRM responses. The WRM agency should also have a Flood Control agency has an important role to play in ensuring a national Center which serves as the focal point for flood monitoring, dam safety and embankment safety program, including forecasting, and operations, working in close collaboration overseeing Dam Safety Emergency Plans. with the DRM agency. In partnership with the DRM agency, The DRM agency, working through the EMS, also has the WRM agency also has an important role to play in flood several important functions, including search and rescue preparedness. Raising awareness about flood risk and operations; providing evacuation warnings and orders emergency response with local governments, businesses, and the private sector is an important preparedness activity. including evacuation routes and shelter areas; and helping The WRM agency can also provide flood fighting training for to mount temporary flood defenses for critical facilities and its staff, other agencies, and local governments. Finally, the infrastructure. For coastal flooding, there is often a broader WRM agency should periodically coordinate with the DRM cyclone emergency response effort coordinated by the DRM agency and local governments to prepare for local flood and agency working through the EMS. emergency risk management and response. In the latter stages of a flood, or in the immediate aftermath, Local governments are generally the first responders in a flood it is important for the DRM agency to coordinate a Rapid emergency, with national assets being deployed as needed— Impact Assessment to assess the immediate relief needs. The and sometimes with delay. Paralleling the process at the EMS should include procedures for mobilizing appropriate national level, local governments should have Multi-Hazard multi-disciplinary teams to assess impacts and mobilize Mitigation Plans as discussed in Chapter 10 that include relief support. Innovative approaches to rapidly gathering floods and should also have Local Emergency Response Plans. information can be used, such as drone videos, social media, To the extent that either river or coastal storms and floods or even deploying local universities for data collection. The are an issue for the local government, there may be specific immediate relief support can include actions such as shelter, Flood Emergency Plans. The local Emergency and Flood food, water, and attending to the public health needs of Response Plans typically include elements such as: (1) the affected populations. Other priorities include restoration emergency management organization structure; (2) policies, of critical services such as power, transport, water, and responsibilities, and procedures to respond to floods; and (3) sanitation, and cleaning up flood debris. In poorer countries, approaches for after-flood analyses and follow-on activities. international aid agencies often have an important role in Floodplain mapping provides critical information on the providing humanitarian aid in the aftermath of a disaster. potential extent and impacts of floods which can help inform It is important that the immediate relief efforts are not the Emergency Response Plan and flood response actions. hampered by lack of funding or questions of financial There are many flood emergency response actions that responsibilities. One approach is to have Mutual Aid can be taken depending on the specifics of the flood. The Agreements in place between different national agencies, WRM agency has many tasks, such as operating its own local governments, and utilities such as power and water. flood infrastructure (including reservoirs); controlling the These types of agreements obligate the different entities operations of other reservoirs; identifying potential areas to aid each other during an emergency as directed under Box 12.1 California Flood Emergency Response The California Office of Emergency Services (CalOES) coordinates the State’s disaster preparedness, response, recovery, and mitigation activities. The California Department of Water Resources (DWR) works closely with CalOES when emergency operation centers are activated during a flood or dam safety event. When significant weather events have been forecast, DWR is responsible for coordinating local, State, and federal flood operations. The State-Federal Flood Operations Center (FOC), located in the state capital, Sacramento, is the focal point of this effort. The FOC, when activated during a major weather event, operates 24 hours a day to monitor changing conditions, coordinate flood fighting efforts with local and federal partners, and keep the public informed. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 145 the EMS without consideration of reimbursement; under including authorizing reservoir releases that result in specific conditions the national government may reimburse downstream flooding as a dam safety measure, and controlled agencies or local governments who incur additional expenses flooding through designated flood channels or intentionally responding to emergencies. breaching an embankment. As highlighted in Chapter 6, the water resources law should require the WRM agency to As soon as possible after a flood, the DRM agency should prepare basin-level flood contingency plans. facilitate a Post-Disaster Needs Assessment (PDNA), which is an extension of the rapid impact assessment. A PDNA encompasses two perspectives: (1) the valuation of physical Key agency actions damages and economic losses; and (2) the identification of Some of the key actions for the DRM and WRM agencies human recovery needs based on information obtained from include the following: the affected population. These perspectives are integrated into a single assessment process to support the identification ■ Formulate a National Disaster Response Plan. The and selection of response options that cover the full spectrum DRM agency should work with key agencies, local of efforts from relief through to recovery. If there is extensive governments, and other stakeholders to prepare a and widespread damage, then the national government may National Disaster Response Plan, which provides the make a Disaster Declaration to facilitate access to disaster framework for responding to natural or human-induced support programs. emergencies. Some of the key elements include: (1) identifying potential hazards and likely impacts; Longer term relief efforts depend on the specific flood (2) defining an EMS, including levels, organizations, context and commence shortly after the emergency response functions, activation procedures, and regional activities. The extent and types of relief efforts should be emergency operation centers; (3) outlining emergency guided by the PDNA but typically include social protection preparedness actions, including planning, training, measures such as temporary housing, cash transfers, exercises, communications, and stockpiling resources temporary labor opportunities, and ensuring that impacted and equipment; (4) preparing an “Emergency Response people have access to health and educational facilities. Concept of Operations”, including an alert and warning The DRM agency may oversee and fund some of these relief system, situation reporting, public information, and measures, but as in the case of droughts, the country’s existing mutual aid arrangements; (5) presenting a “Relief social protection programs should be tailored and directed to and Recovery Framework” which outlines programs meet the specific needs of the impacted communities with and actions, including Disaster Declarations; and (6) a special focus on vulnerable and marginalized populations. clarifying the roles of national agencies during disasters, including DRM, WRM, health, social protection, and Linkage to the National Sector Framework agriculture agencies. The DRM law provides the overarching framework for ■ Oversee the Emergency Management System (EMS). responding to emergencies, including floods. It should The EMS should be guided by the Emergency Response authorize the DRM agency to lead the periodic formulation Concept of Operations, which provides the blueprint of a multi-sectoral and multi-jurisdictional National Strategic for responding to emergencies. The DRM agency should DRM Plan that includes a component on disaster response. sustain and constantly improve the EMS and ensure that The DRM law should authorize an EMS and provide the DRM it is always functional and ready to deploy as necessary. agency with authority to direct different agencies and local This requires constant capacity building, training, and governments in a unified response to an emergency. The exercises at multiple levels to ensure that all agencies and law may also require local governments to formulate local local governments understand how the EMS works and Emergency Plans, potentially regulated by the DRM agency. what their roles are under different emergency situations. The DRM law may also create a government (Cabinet level) The EMS should include specific procedures and actions Disaster Management Committee to oversee the response to for river and coastal flooding. The EMS is usually large-scale disasters, and provide for the issuing of Disaster anchored in regional Emergency Operations Centers that Declarations, usually issued by the Executive. A flood Disaster are managed by the DRM agency, thus requiring a certain Declaration may be linked to the provision of flood recovery level of decentralization by the DRM agency. programs as discussed in the next section. ■ Assist local governments in preparing Emergency The water resources law should provide the WRM agency Response Plans. The DRM agency should help local with the authority to act in the event of a flood emergency, governments prepare emergency plans, including specific 146 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management Floods offer an opportunity to build back better. Digging a drainage canal. Photo: oticki plans for dealing with floods as appropriate. The plan should ■ Prepare Rapid Impact Assessment (RIA) and PDNA also help households, businesses, and other organizations protocols. The DRM agency should prepare procedures prepare for and respond to floods. The floodplain mapping and protocols for ensuring rapid deployment of RIA and local flood mitigation plans are key inputs into the local and PDNA teams. This includes having generic terms flood emergency plans. The DRM agency should provide of reference that can be adjusted to the specific a general format and technical and financial assistance emergency, and interagency agreements that will allow to the local government. The WRM agency should work for the rapid mobilization of teams with functions collaboratively with the DRM agency and local governments and responsibilities clearly defined beforehand. Of to ensure flood-specific issues are included in the plan. importance in the RIA phase is temporarily restoring Where legally required, the DRM agency should establish utilities and communications, clearing transportation clear regulations for the preparation, review, and approval access, and providing temporary housing. of the local government emergency plans. ■ Attend to the needs of poor and marginalized ■ Operate Flood Operations Center. The WRM agency communities. These groups not only tend to have less should establish flood operations centers as appropriate, resilience and are more exposed to floods, but they also for example at the basin level or national level, to serve typically do not have easy access to formal flood disaster as the nerve center for monitoring and responding recovery programs or flood insurance. As part of the PDNA to river floods. The flood center should ideally be co- process, there should be a focused effort on identifying staffed with NHS and DRM agency personnel so that the most vulnerable households and communities and forecasting, operations, and emergency responses are identifying both their relief and recovery needs. This well coordinated. This usually requires a multi-agency typically requires close collaboration with social and agreement which clearly lays out the functions of the health agencies, as well as with local governments. The different agencies. The emergency operations center, PDNA should include an action plan to help address the which serves to respond to all emergencies, should be needs of the vulnerable populations in the relief and closely linked to the flood operations center. recovery process. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 147 ■ Ensure access to resources and funding for emergency 12.3 Flood Disaster Recovery response and relief. The DRM agency should work with the national government to ensure access to funding to Program description respond to emergencies and provide relief. As discussed The PDNA should help identify flood impacts and scope in Chapter 13, it is important for the national government out the recovery process, including needs for: (1) housing; to have emergency funds available or have quick access (2) restoring public infrastructure and public facilities; (3) to disaster financing to ensure that immediate relief restoring business and other organizational assets; and (4) needs can be addressed. The DRM agency should also restoring livelihoods. As highlighted in the previous section facilitate mutual aid agreements between different on flood relief, the PDNA should also identify initiatives to national agencies (including the military) and local assist impacted people while they are waiting for recovery governments to ensure that they respond to emergencies support. and provide relief as required without consideration Disaster recovery programs should have dedicated compo- of funding. The DRM agency can help facilitate the nents to meet different needs. For households, support can reimbursement of costs based on these agreements, be provided to repair, replace, or relocate housing. For local potentially drawing upon emergency funds and disaster governments, support can be provided for emergency works, financing mechanisms. such as debris removal or flood protection measures, or more ■ Develop a program to provide temporary relief to permanent works such as roads, water infrastructure, public households. The DRM agency should have a program buildings, and other public utilities. Recovery support can in place to provide temporary relief for impacted also be provided to businesses and other organizations such households with clear procedures and criteria that can as centers of worship or community centers. Finally, recovery be applied to any disaster. Potential areas of support support can be provided for flood hazard mitigation projects include: (1) temporary housing assistance; (2) lodging such as new structural or nature-based projects. expenses reimbursement; (3) subsistence payments Disaster recovery support can be provided in the form of to cover expenses; and (4) temporary employment grants, concessional loans, or through subsidized insurance opportunities. In cases where flood victims need to move programs. Typically, eligibility for disaster recovery support into temporary shelters, there should be provisions for (except for insurance) is contingent upon a Disaster Declara- providing all the necessary support including public tion, often issued by the Executive. health and safety. It is important to note that these disaster recovery programs, usually administered or overseen by the DRM agency, can be Generic evolution employed to address a wide variety of potential disasters, The generic evolution of these programs can be summarized for example storms, earthquakes, and fires, as well as in Table 12.2. floods. However, since the core principle in any disaster TABLE 12.2 Generic Evolution of Flood Emergency Preparedness, Response, and Relief Programs Nascent Engaged Capable Effective No efforts are made to prepare DRM law mandates the DRM A National Emergency Plan There have been several for floods, and emergency agency to facilitate disaster and EMS exist but are still in generations of the National responses are ad hoc with preparedness, response, and an early evolutionary phase. Emergency Plan and the EMS minimal relief support. Local relief but there is no National The DRM agency works with is functioning well with close governments are left to respond Emergency Plan or Emergency local governments to help coordination among all actors. to disasters primarily with their Management System (EMS) develop local Emergency Emergency funds to support own resources. in place. Response and relief Plans. Collaboration between RIA and PDNA relief actions activities are coordinated actors within the EMS is not are guaranteed. The emergency between national and local yet fine-tuned. Rapid Impact support and relief need of the governments but in a reactive Assessments (RIA) and Post- most vulnerable are prioritized. manner. Disaster Needs Assessments (PDNA) are undertaken but access to funding is uncertain. Source: Authors. 148 ● Chapter 12—Flood Monitoring, Response, and Recovery recovery effort is to “build back better”, it is important that A special type of recovery program is flood insurance. In some the programs be tailored to help mitigate the hazard that countries, the private sector may offer flood insurance, but caused the disaster. For example, if an earthquake resulted in the premiums can often be prohibitively high. The high costs significant destruction of buildings, the DRM agency should may be due the actuarial complexities of floods requiring ensure adequate buildings regulations in terms of seismic an extra “risk premium” as well as a reflection of the real design and require that the buildings regulations are utilized costs of floods. A common approach is where the government in the reconstruction process. offers subsidized flood insurance that is delivered through private insurance companies to property owners, renters, For floods, the disaster recovery programs should consider and businesses. Typically, the DRM agency understands the the principles of floodplain management outlined in Chapter flood risks reasonably well and oversees the administration 10 and centered on the PARA concept: protect, avoid, retreat, of the insurance program. The flood insurance program or accommodate. If these principles are not employed, then should be closely linked with the floodplain management the government is potentially creating a moral hazard: activities discussed in Chapter 10. people and businesses may not take preventative steps to reduce flood risks on the expectation that future losses will Flood insurance has several advantages over traditional be reimbursed through disaster recovery programs. The DRM disaster recovery programs. For traditional programs, agency can create strong incentives for building back better taxpayers cover the costs of the relatively small percentage by setting conditions on disaster support, for example: of people impacted by floods, whereas flood insurance allows for more sharing of costs and risks between the beneficiaries ■ Requiring that repair or reconstruction for structures and the government. Insurance programs can also be used as and facilities meet minimum flood design standards. an instrument to prompt proactive management, as eligibility ■ Declining to help with repair or reconstruction for for flood insurance can be contingent on risk reduction structures or facilities that have previously received actions associated with good floodplain management. disaster recovery assistance (or repetitive insurance Finally, insurance companies may facilitate a more rapid claims) and instead providing rapid funding support for reimbursement of losses than government-managed disaster their relocation. recovery programs can. ■ Linking disaster recovery assistance to local governments However, there are also some caveats with flood insurance and their citizens with effective floodplain management programs. The programs must be synchronized with other programs. flood disaster recovery programs. For example, if a business Box 12.2 Philippines Recovery Program from Yolanda – the Tacloban Case In November 2013, the Philippines was struck by Typhoon Yolanda, internationally known as Haiyan, one of the strongest storms ever recorded with storm surges of over four meters. The typhoon caused widespread flooding and landslides, which brought about thousands of deaths and unprecedented damage to the affected areas. The Philippine Office of Civil Defense conducted a PDNA in December 2013. The PDNA presented a Strategic Framework for Recovery, grounded on the Republic Act No. 10121, known as the Philippine Disaster Risk Reduction and Management Act of 2010. The President appointed the Presidential Assistant for Rehabilitation and Recovery to unify the efforts of all the government agencies and other institutions and organizations involved. Based on the PDNA, the Yolanda Comprehensive Rehabilitation and Recovery Plan was developed. This plan aimed to improve the communities’ physical, social, and economic resilience, consistent with the build back better principle, and to use locally-driven, centrally-supported processes with a strong focus on local conditions. One of the cities hit hardest was Tacloban. The City of Tacloban, in cooperation with UN-Habitat, developed the Tacloban Recovery and Rehabilitation Plan. One of the elements of this plan was coastal protection. The main national agencies involved were the Philippine Reclamation Authority (PRA), the Department of Public Works and Highways (DPWH), and the Department of Environment and Natural Resources (DENR). A key lesson learned from the Tacloban case is the challenge of organizing the cooperation among the national and regional governmental institutions, the many humanitarian NGOs, and international donors. There was also pressure to respond quickly with protection measures in the form of sea dikes, while others advocated for greener nature-based solutions. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 149 Box 12.3 Tanzania’s first PDNA Heavy flooding in the Tanga Region of Tanzania in October 2019 caused loss of life, damaged and destroyed people’s properties and critical infrastructure, and disrupted the provision of important services, such as transportation, education, and health. In line with the provision of the 2008 Tripartite Agreement on Post-Crisis Assessments and Recovery Planning, the Government of the United Republic of Tanzania undertook a Post-Disaster Needs Assessment (PDNA) with the support of the United Nations, the World Bank, and the European Union. The Disaster Management Department (DMD) of the Office of the Prime Minister (OPM) led the assessments, which were conducted by sector teams drawn from various national and regional government sector ministries. The assessment covered eight subsectors in the following sectors of the regional economy: Productive Sector (agriculture, industry, and commerce); Physical Sector (transport, electricity, water, and sanitation); Social Sector (housing, health, and education); and one cross-cutting sector (disaster risk reduction). The PDNA for the flood disaster, the first undertaken in Tanzania, provided an assessment of flood damage, loss, and impacts to quantify needs for each of the sectors and recommend a recovery and resilience strategy. The PDNA estimated that the 2019 flood disaster caused direct damage and losses totaling T Sh 43,211.1 million (US$18.8 million), comprising T Sh 31,518.3 million (US$13.7 million) in damage to assets and T Sh 11,692.8 million (US$5.1 million) in losses. The total estimated cost of recovery of the nine sectors assessed from the 2019 disaster was T Sh 65,671.2 million (US$28.6 million). The recovery cost was 155 percent higher than the total cost of the assessed effects of the disaster (T Sh 37,105 million), partly due to the higher cost of DRR-oriented investments recommended for the sectors. Being the first PDNA in Tanzania, the report furthermore recommended the strengthening of post-disaster assessment capacity in the country to enhance the country’s response to future events. is eligible for flood insurance but chooses not to purchase to meet urgent needs. The DRM law typically authorizes a policy, then it should not be eligible for disaster recovery a national insurance program mandating the DRM to assistance—a practice which is often difficult to enforce due to administer the program. Given the financial complexity of a political pressure. Successful flood insurance programs may flood insurance programs, there may be a special “national also encourage more floodplain development as people may insurance unit” either within or outside of the DRM agency. perceive lower overall risks. Ideally, flood insurance should be provided only for existing floodplain development, and the Key agency actions local government should restrict any new development—once Some key actions for the DRM agency include the following: again a practice that may be politically difficult to implement. ■ Administer flood disaster recovery programs. The DRM Agricultural producers can also be negatively affected by agency should develop regulations to administer tailored floods, although from a wider perspective, vigorous rain recovery programs for different groups, including: (1) often produces an overall boost to the agricultural sector. As households; (2) businesses and other non-governmental discussed in Chapter 11, the agriculture agency should offer a organizations; and (3) public infrastructure and range of drought disaster assistance programs that are often utilities. Each of these programs should require: (1) multi-hazard in nature, covering floods, droughts, storms, clear eligibility criteria; (2) procedures for applying and and pestilence. receiving assistance; (3) requirements for use of funds in order to “build back better;” and (4) clear procurement Linkage to the National Sector Framework rules for public infrastructure and utilities. The The DRM law typically authorizes disaster recovery programs circumstances under which the DRM agency will directly and mandates the DRM agency to establish regulations for administer the funds or transfer the responsibility to their implementation. Given the urgency and local nature of local governments or other specialized agencies needs most disaster recovery activities, the DRM law may authorize to be clearly formulated. In some cases, the national the DRM agency to transfer—or approve the transfer of— government may directly allocate the funds to the disaster recovery funds to other specialized agencies and specialized agencies, for example transport, health or local governments. The DRM law may authorize the use of energy, or local governments to facilitate rapid recovery. emergency review processes and procurement methods However, it is important that the DRM agency monitor 150 ● Chapter 12—Flood Monitoring, Response, and Recovery the use of these funds to ensure that “build back better” and payouts. In some cases, mortgage companies may principles and good floodplain management practices require evidence of flood insurance if the borrower is in are followed. a floodplain. The private insurance companies can help facilitate this information to both the borrowers and ■ Administer a flood insurance program. The DRM agency should work with private insurers to help mortgage companies. The DRM agency will need to work generate a flood insurance market. To promote closely with, and help train, insurance companies so they informed sharing of risks, the DRM agency will need can adequately sell and honor the insurance policies. To to work with insurance companies to utilize actuarial help manage future exposure to flood risks, the agency data related to flood frequency and damages to assess may transfer some of this risk to private reinsurance proposed flood insurance policies and premium rates. companies and capital markets investors; this provides an A strategic decision will need to be made regarding the additional method to fund payment of flood claims after level of government subsidy, if any, for the insurance catastrophic flood events. policies. Typically, the policies are partially subsidized ■ Facilitating recovery for vulnerable groups. As part of to ensure affordable premiums. However, subsidizing the PDNA protocols, the DRM agency should work with flood insurance may create economic incentives to take local governments, social protection agencies, and the more risk. The mapping of floodplains, as described in impacted communities themselves to assess the needs Chapter 10, is essential for understanding flood hazards of poor, marginalized, and vulnerable populations. and assessing risks. This interagency team, often composed of social, hous- The DRM agency will need to clearly delineate who is ing, and health agencies with local governments, and eligible for flood insurance based upon their location non-governmental organizations, should develop and in the floodplain and whether local governments have implement tailored plans to meet the needs of vulnera- met minimum floodplain management requirements, ble populations. The DRM agency has an important role such as functional floodplain regulations and ideally a in monitoring these efforts and may also provide funding flood mitigation plan. The DRM agency will also need to to help these organizations deliver necessary social pro- establish regulations regarding the use of insurance funds tection measures. to ensure a “build back better” approach. The DRM agency should work closely with the private sector to ensure efficiency and financial stability of the insurance program. Generic evolution The policies can be sold through private insurers who can The generic evolution of these programs is summarized in help market them and ensure rapid damage appraisals Table 12.3. TABLE 12.3 Generic Evolution of Flood Disaster Recovery Programs Nascent Engaged Capable Effective There is no organized The DRM law promotes the The DRM agency has developed The DRM agency has developed recovery response, and principle of “build back better” specific programs to assist specific flood programs that the national government and designates the DRM law households, businesses, and incorporate sound floodplain responds to flood to oversee recovery efforts. the public sector in recovering management principles to “build disasters on an ad hoc However, specialized recovery from floods. These programs are back better”. The recovery effort is a basis. programs do not exist and generally well funded and guided multi-agency effort in collaboration access to funding is limited. by PDNAs, but do not always follow with local government guided by sound floodplain management the PDNA. Access to recovery funds principles. The special recovery is guaranteed. Dedicated social needs of vulnerable populations are protection actions are included recognized but not fully addressed. in the PDNA to meet the needs of vulnerable populations. Source: Authors. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 151 12.4 Key Resources Pelham, Larissa, Edward Clay, and Tim Braunholz. 2011. “Nat- ural Disasters: What is the Role for Social Safety Nets?” World Flood forecasting and warning program Bank Social Protection Discussion Paper no. 1102. Washing- FEMA (U.S. Federal Emergency Management Agency). 2020. ton, DC: World Bank. “Hurricane Planning and Response.” FEMA, July 23, 2020. WMO (World Meteorological Organization) and GWP (Global GWP (Global Water Partnership) and WMO (World Water Partnership). 2011. “Flood Emergency Planning.” Inte- Meteorological Organization). 2013. “Flood Forecasting and grated Flood Management Tools Series, Technical Document Early Warning.” Integrated Flood Management Tools Series, no. 11. Geneva: WMO. Technical Document no. 19. Geneva: WMO. Flood disaster recovery Rogers, David P, and Vladimir V. Tsirkunov. 2013. Weather and Climate Resilience: Effective Preparedness through National Me- APA (American Planning Association). 2014. Planning for teorological and Hydrological Services. Directions in Develop- Post-Disaster Recovery: Next Generation. Chicago: APA Planning ment. Washington, DC: World Bank. Advisory Service. WMO (World Meteorological Organization). n.d. “Storm Surg- EU (European Commission), UNDG (United Nations Develop- es.” https://public.wmo.int/en/our-mandate/focus-areas/natu- ment Group), and GFDRR (Global Facility for Disaster Reduc- ral-hazards-and-disaster-risk-reduction/storm-surge. tion and Recovery). 2013. Post-Disaster Needs Assessments. Volume B: Guidelines. Brussels: EU. Flood emergency preparedness, response, GFDRR (Global Facility for Disaster Reduction and Recovery). and relief 2015. Guide to Developing Disaster Recovery Frameworks: Send- ai Conference Version. Washington, DC: World Bank. CalOES (California Governor’s Office of Emergency Services). 2017. State of California Emergency Plan. Sacramento: Califor- Hallegatte, Stephane, Jun Rentschler, and Brian Walsh. 2018. nia Governor’s Office of Emergency Services. Building Back Better: Achieving Resilience through Stronger, Faster, and More Inclusive Post-Disaster Reconstruction. Wash- DHS (U.S. Department of Homeland Security). 2019. National ington, DC: GFDRR (Global Facility for Disaster Reduction and Response Framework. 4th ed. Washington, DC: DHS. Recovery). EU (European Commission), UNDG (United Nations Develop- IFRC (International Federation of Red Cross and Red Crescent ment Group), and GFDRR (Global Facility for Disaster Reduc- Societies). 2012. Post-Disaster Community Infrastructure Reha- tion and Recovery). 2013. Post-Disaster Needs Assessments. bilitation and (Re)construction Guidelines. Geneva: IFRC. Volume A: Guidelines. Brussels: EU. Jha, Abhas K., Jennifer Duyne Barenstein, Priscilla M. Phelps, FEMA (U.S. Federal Emergency Management Agency). 2010. Daniel Pittet, and Stephen Sena. 2010. Safer Homes, Stronger Developing and Maintaining Emergency Operations Plans. Com- Communities: A Handbook for Reconstruction after Natural Di- prehensive Preparedness Guide (CPG) Version 2.0. Washing- sasters. Washington, DC: World Bank. ton, DC. OECD (Organization for Economic Co-operation and Develop- FEMA (U.S. Federal Emergency Management Agency). 2017. ment). 2016. Financial Management of Flood Risk. Paris: OECD. Principles of Emergency Management. Washington, DC: FEMA. US Congressional Research Office. 2012. Introduction to the Gilissen, Herman Kasper, Alexander Meghan, Piotr Matczak, National Flood Insurance Program (NFIP). Washington, DC: US Maria Pettersson, and Silvia Bruzzone. 2016. “A Framework for Congressional Research Office. Evaluating the Effectiveness of Flood Emergency Management Systems in Europe.” Ecology and Society 21 (4):27. 152 ● Chapter 11—Flood Monitoring, Response and Recovery Governments should have financial support programs for farmers affected by droughts. Australian government Drought Community Support Initiative Round 2. Victoria, Australia, outback farmer. Photo: VM Jones 13 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 153 Disaster Risk Financing The programs for flood and drought relief and recovery were management, and floodplain management all help to reduce presented in Chapters 11 and 12. These programs depend on the risk. When an extreme event occurs, the programs for adequate funding, and this chapter explores how national disaster response, relief, and recovery can help to minimize governments can adopt a multi-layered risk financing the final social, economic, and environmental impacts— approach to meeting this challenge. As shown in Figure provided funding is available to implement these programs. 13.1, disaster risk financing sits at the bottom of the EPIC This chapter presents the following financial instruments: Response Framework. If all the programs in the Framework national disaster fund, insurance programs, budget are effectively implemented, then the overall disaster allocations, international aid, contingent disaster credit, and risk financing burden can be reduced, but of course never sovereign catastrophe (CAT) bonds. The supporting national eliminated. Effective mitigation measures such as healthy framework for disaster risk financing is then discussed, watersheds, water resources infrastructure, watershed followed by key actions for the finance and DRM agencies. FIGURE 13.1 Disaster Risk Financing in the EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery Disaster Risk Financing IMPACT Source: Authors. 154 ● Chapter 13—Disaster Risk Financing Box 13.1 Disaster Risk Financing in the Philippines Given the large number of natural disasters that have befallen the Philippines, the nation has a strong pool of resources for disaster financing. Piggybacking on existing policies and regulations (i.e. NDRRRM Plan and National CC Action Plan), in recent years, the country adopted a proactive approach to protect the Government’s fiscal capacity across all possible disasters and to reduce impacts on the vulnerable communities. It also recognized the need of new instruments and policies for financial protection in face of a “new normal”, which is based on recurrent disasters and estimated to be associated with 1.3 percent of GDP in public and private asset losses every year. Through this approach, the country has invested in innovative financial solutions to deal with disasters and embarked on developing and implementing a Disaster Risk Finance and Insurance (DRFI) Strategy that involves establishing catastrophe risk financing facilities for national and local levels of government; establishing a private sector catastrophe insurance pool; and strengthening DRFI management at the individual level and in the law. At the national and provincial level, the parametric insurance program considers insurance policy that establishes pre-agreed lines of contingent credit to be accessed in the event of a disaster, providing emergency liquidity to enable rebuilding and recovery. The Philippines Government Service Insurance System (GSIS) acts as the insurer and international reinsurers have been selected to transfer the risk to the global reinsurance market. The amount of payouts depends on estimated losses as determined by a catastrophic risk model. Key issue: This type of program takes time to implement and a building block approach is needed. For this, the program must be based on solid analytical ground (risk models) and must include capacity strengthening activities, piloting activities to test the program implications and results on the ground, and effective incentives to encourage private companies to increase investments in disaster preparation. Additionally, regional cooperation could help make catastrophic risk insurance available to allow for greater access of financial services that protect against disaster risks in the region. The Philippines has been leading the region in terms of disaster risk financing programs, and has a key role to play in the regional capacity building on DRFI. 13.1 Disaster Risk Financing long-term impacts of a disaster and a more significant effect Instruments on poverty and development. There are a variety of risk financing instruments, each with Extreme hydro-climatic events can cause significant financial specific characteristics that make each type well-suited to and economic shocks to households, the private sector, and address certain situations but less effective in others. The government budgets. Floods and droughts therefore form optimal mix of instruments depends on the overall fiscal a contingent liability for governments since they cause situation of the country as well as its disaster risk profile. unexpected expenditures and loss of fiscal revenues. Having Table 13.1 categorizes the instruments according to their access to adequate and timely financial resources for response applicability based upon the frequency and magnitude of and recovery reduces the impacts of these shocks and helps the disaster. These instruments can be used for any type of the economy bounce back quickly. A lack of such resources disaster, such as earthquakes, storms, floods, droughts, or causes a delay in the provision of life-saving responses and industrial accidents. For illustrative purposes, examples of pushes back the reconstruction of critical public and private floods and droughts are provided in Table 13.1. The following structures, facilities, and infrastructure, which brings higher paragraphs provide a description of each instrument: Having access to adequate and timely financial resources for response and recovery reduces the impact of floods and drought and helps the economy bounce back quickly. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 155 TABLE 13.1 General Applicability of Financing Instruments according to Disaster Type Disaster Type Financing Instrument Low impact and high frequency National disaster fund Limited floods with moderate damages Flood or drought insurance Limited low-level droughts Medium impact and medium frequency Disaster-specific budget allocation Limited floods with catastrophic damages Disaster relief aid (low-income county) Widespread medium-level droughts High impact and low frequency Contingent disaster line of credit Widespread catastrophic floods Sovereign catastrophe (CAT) bonds Widespread high-level droughts Disaster relief aid (middle-income county) Note: These instruments are not exclusive, for example a national disaster fund can also be utilized during a high impact event to address immediate relief needs. Source: Authors. ■ National disaster fund. The national government puts distribute claim payments. Insurance can be used to money into a dedicated and well-regulated Disaster Fund support recovery from any size disaster, as the payouts which is kept in reserve to help respond to disasters. are not dependent upon the geographical extent of the Typically, the fund is managed by the DRM agency, which disaster. One of the challenges in developing countries can utilize the resources to help direct, coordinate, and is that there may not be a mature insurance market to fund relief and recovery efforts. Maintaining the fund en- leverage, and in some countries, there is significant tails an economic opportunity cost for the country, and insurance protectionism restricting competition. a political decision must be made regarding appropri- One advantage of government-facilitated insurance is ate level of funding. The political calculus regarding the size of the fund will be influenced by the country’s level that the policies can be structured to provide incentives of economic development and the government’s fiscal and conditions for risk reduction. For example, buildings situation. The advantage of a fund is that resources are located in a floodplain may not be eligible for flood immediately available to respond. Thus, it is ideal for insurance unless they meet certain flood design standards. smaller-scale disasters, as well as immediate relief ef- If the insurance is partly subsidized, however, the policy forts for larger-scale disasters. For larger-scale disasters, owners may not fully account for climate-related risks in the resources available in the fund may be inadequate, their decision making. Finding the formula for providing particularly for supporting extensive recovery efforts. affordable insurance with enough conditions to ensure informed decision making has proven challenging in ■ Government-facilitated flood and agriculture insur- many countries. ance. Chapter 11 on droughts discussed agriculture in- surance and Chapter 12 presented flood insurance. Typ- ■ Disaster-specific budget allocations. In this case, the ically, the costs of private flood or agriculture insurance national government authorizes funding to assist in the are high due to the uncertainties and the complexities of recovery from a specific disaster event. This allows the developing profitable products. Government-facilitated, government to channel significant amounts of money and often subsidized, insurance programs thus provide to help meet specific disaster recovery needs. The ap- a bridge to the insurance markets. Typically, the govern- proach is less effective in meeting more immediate relief ment will help develop the insurance products, which needs as it usually takes time for the national govern- are then marketed and managed by private insurance ment to authorize and disburse the necessary funding. companies. Policy holders, such as individuals, busi- Allocated amounts may also be influenced by the politi- nesses, and local governments, pay a premium for the cal processes and may not be necessarily well matched insurance. That enables the government to shift part of with actual needs. Like a national disaster fund, the abil- the burden for funding and administering relief and re- ity of a country to draw upon its national budget will covery actions to potentially affected groups. depend upon its level of economic development and the government’s fiscal situation. Insurance is useful for recovery efforts but is less useful for immediate relief as it may take time to process and ■ Disaster relief aid. Aid provided by both official devel- 156 ● Chapter 13—Disaster Risk Financing opment agencies and international humanitarian organi- and DRM laws. The budget law should explicitly authorize zations is important for many poorer countries. However, the finance agency to develop and implement a disaster relief aid is pledged or provided only during and after the risk financing strategy. Another important element concerns event, and the amount generated is unpredictable. Pledg- the process by which the budget is allocated, and level es made can also be slow to materialize, with examples of discretionary funding by national agencies or local of payments taking months or even years. In some cases, governments to accommodate the needs during the response, however, disaster relief aid provided by humanitarian or- relief, and recovery phases. The budget law should also ganizations can be deployed faster and more effectively include a provision for a national disaster fund, including than through the government’s own programs. guidelines for the size of the fund, and its utilization. Of importance are the emergency procurement procedures ■ Contingent line of credit. The government enters into an that may need to be employed to rapidly respond to disaster agreement with a lender to provide immediate liquidity needs. in the event of a disaster that meets agreed-upon trig- ger conditions. Development agencies, including the The DRM law should mandate the DRM agency to work World Bank (see Box 13.3), offer this type of instrument with the finance agency to develop a disaster risk financing to national governments on the condition that coun- strategy. The role of the DRM agency in administering or tries adopt policies and programs to strengthen their overseeing disaster funds should be outlined in the DRM overall resilience. This instrument allows governments or budget law. The law should require the DRM agency to to spread out the cost of disaster response and relief develop procedures for recommending or declaring a state of efforts over time according to the loan or credit repay- national emergency, as this may be used to trigger contingent ment conditions. Sovereign contingent disaster credits credit lines or provide access to a national disaster fund. or loans are generally not available through capital mar- kets, however, as the inherent risks for the lender—and Key agency actions the costs for the borrower—may be unacceptably high. Some of the key agency actions for the finance agency and ■ Sovereign catastrophe (CAT) bonds. These are debt the DRM agency include the following: instruments that allow governments to tap the capital ■ Integrate disaster risk financing into the finance agen- market and raise money from investors willing to bet cy. Most finance agencies have created fiscal risk manage- against the likelihood of a disaster occurring in a place ment departments to help analyze and mitigate the impact over a defined period. Governments typically set up a of macro-economic shocks. These departments should special purpose vehicle (SPV) to facilitate the transac- also be given the mandate to manage the economic and tion. The SPV invests the money from investors and pays fiscal impacts of natural disasters. The finance agency will interest to them. At the end of the term, the SPV will re- need to collaborate closely with the DRM agency, which is turn the investors’ money if a disaster does not happen. responsible for collecting information on the impacts of However, a payout is made to the issuer upon the occur- disasters and defining the country’s natural disaster risk rence of a pre-specified event, which typically involves a profile. parametric trigger, such as a pre-defined hurricane wind speed or earthquake intensity. There are some limita- ■ Develop a disaster risk financing strategy. The finance tions to the use of sovereign CAT bonds, including their agency should develop a strategy for disaster risk financ- high transaction costs, long structuring periods, and ing. Some key elements include conducting a “Public Ex- strict terms and conditions. The CAT payout conditions penditure Review” to understand the extent of past disas- may not be triggered in the event of small- and medi- ter-related expenditures as well as a clear understanding um-sized disasters, particularly for more localized flood of the country’s disaster risk profile. The National DRM and drought events. plan highlighted in Chapter 3 is a foundational docu- ment for helping to inform—and to reflect—the country’s hydro-climatic risk profile. It should be accepted that no 13.2 National Sector Framework and Key single risk financing instrument can deal with the entire Agency Actions range of small and large disaster shocks. A country’s risk financing strategy should develop a multi-layered ap- National framework proach using a set of solutions in accordance with the Two sets of laws provide the foundation for the legal and contingent risk profile. Finance agencies should analyze regulatory framework for disaster risk finance: budget law the characteristics of each disaster risk financing instru- An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 157 Box 13.2 Africa Disaster Risk Financing (ADRF) Sub-Saharan Africa has known more than its fair share of hydro-climatic disasters. Between 2010 and 2019, the region experienced an average of 157 disasters per year, claiming the lives of roughly 10,000 people annually. These disasters not only take a large human toll, but the response and recovery also require significant financial means from governments already facing public finance challenges. Disaster Risk Financing (DRF) aims to strengthen countries’ abilities to manage economic and fiscal stresses when disasters strike. There is no one-size-fits-all approach to disaster risk financing—countries have a wide array of financial protection policies and instruments to consider, including sovereign risk finance and social protection programs, as well as agriculture and risk insurance programs. Launched in 2015, the Africa Disaster Risk Financing (ADRF) Initiative implemented activities in 21 Sub-Saharan African countries to develop tailored financial protection policies and instruments designed to help them respond quickly and resiliently to disasters. The ADRF Initiative was the first program in Africa to focus on the broad DRF agenda. The Program ended in February 2020. It was financed by the European Union (EU) and implemented by the World Bank and the Global Facility for Disaster Reduction and Recovery (GFDRR), as part of the Africa, Caribbean and Pacific (ACP) – EU Building Disaster Resilience in Sub-Saharan Africa Program. To reach the objectives of strengthening DRF in Africa, the ADRF Initiative was structured around three operational components: (1) gathering and developing disaster risk information to help countries make informed decisions; (2) supporting countries in developing DRF strategies to achieve national financial protection priorities; and (3) facilitating regional risk financing knowledge sharing and lessons learned. Over the course of its implementation, the ADRF Initiative improved the understanding of risk exposure to natural disasters in 14 countries; participated in the development of risk financing strategies in 8 countries, including Kenya and Malawi; introduced new approaches for strengthening shock-responsive safety nets in Benin, Kenya, Malawi, Niger, Sierra Leone, and Uganda; and improved access to credit for low-income farmers in Kenya, Rwanda, Uganda, and Zambia. The program therefore contributed to help Sub-Saharan African countries drive their disaster risk financing agendas, adopt innovative solutions to meet their risk financing needs, and lay the groundwork for further investments in risk financing, enabling the leverage of over US$600 million of additional resources from the World Bank and other donors. Key issue: While the ADRF Initiative has contributed to the pioneering of DRF across the region, it does take time for policy and institutional changes to take effect and to build the strong relationships with governments that are needed to get strong DRF systems off the ground. Yet against the backdrop of intensifying hydro-climatic risk, the program has made it clear that risk financing has a key role to play in the financial resilience of African countries. ment and develop a comprehensive combination of ap- enable the insurance markets to function effectively and proaches that best meets their needs. The strategy may equitably. Establishing clear principles and procedures also include actions to help create or strengthen national for the issuance of contingent disaster loans and sover- disaster insurance programs. eign CAT bonds is also necessary. ■ Regulate the use of disaster risk financing instruments. ■ Consider international collaboration. Given the prob- The finance agency should develop clear regulations for abilistic and geographically-specific nature of most hy- the different risk financing approaches. For example, dro-climatic events, countries in the same region are of- the rules governing access to the National Disaster Fund ten not hit by disasters at the same time. International should be clearly promulgated. Under some circumstanc- collaboration in disaster risk financing through regional es, the DRM agency may be authorized to directly ac- risk pools can be a cost-effective and diplomatically in- cess the Fund, for example to provide immediate relief, teresting mechanism to help meet disaster risk financing whereas in other circumstances the Executive may need needs. Governments should consider such collaborations to formally declare a “disaster” before funds are released. with regional partners to explore possible international The finance ministry should also develop regulations to financing mechanisms. 158 ● Chapter 13—Disaster Risk Financing Box 13.3 Cat-DDO – A World Bank Financing Instrument for Disasters as a Contributor towards Hydro-Climatic Risks Management The Development Policy Loan (DPL) with a Catastrophe Deferred Drawdown Option (Cat DDO) is a contingent World Bank (WB) financing instrumenta that provides immediate liquidity to countries to address shocks related to natural disasters or health-related events.b It is approved prior to the disaster, serves as a first level of budget support once the event happens, and can be drawn down in full or in part when the trigger is met. When countries prepare and implement a DPL with Cat DDO, they commit to an ambitious program of institutional, regulatory, and policy reforms critical for climate and disaster resilience and for protecting lives and livelihoods and reducing the fiscal impacts of natural shocks. These reforms are packaged in prior actions, which should be approved for the operation to be taken to the Board.c As with any other development policy operation, an appropriate macroeconomic policy framework is required at approval. At the time of the disaster, typically upon declaring a state of national emergency, the financing is available within 48 hours of receipt of the government’s request.d Since 2008, around 30 Cat DDO projects have been approved, covering 25 countries globally FIGURE 13.3.1 Cat DDO Projects by Region (2008-2020) (including IDA (35 percent), IBRD (58 percent) and Blend (6 percent)). As a result, 27 Cat 14 DDOs have provided a total of close to US$3.5 12 Number of projects billion in financing, of which 50 percent of 10 the amount was disbursed due to a trigger of 8 a natural disaster and 50percent due to the 6 COVID-19 pandemic. Around 10 of the 27 Cat DDOs that have been triggered were due to the 4 incidence of floods directly or as an outcome of 2 a tropical storm. Due to the slow-onset nature 0 of droughts, no Cat DDO has yet been triggered AFR EAP ECA LAC MNA SAR in response to a drought. Almost 65 percent of Region Source: World Bank. these Cat DDO projects are located in either the LAC or EAP region. In the first half of 2020, 15 countries in six regions triggered Cat DDOs in response to COVID-19, providing access to US$1.73 billion to help prepare for and respond to the pandemic. Cat DDOs typically have three main objectives under which the policy reforms are grouped, which align with the pillars of the hydro-climatic risk framework: (1) strengthening the institutional framework, information systems, and coordination mechanisms for disaster and climate-related resilience; (2) enhancing climate and disaster resilience in sectoral and territorial development; and (3) strengthening the country’s adaptive social protection systems and financial capacity to respond to disaster and climate shocks. An analysis of the prior actions of the 30 Cat DDOs shows that the prior actions address five areas of the hydro-climatic risk framework: National Framework (100 percent of Cat DDOs), Hydro-met Services (42 percent), Planning (6 percent), Flood and Drought Response and Recovery (10 percent), and Cross-Cutting Areas (68 percent). Prior actions under the first objective generally address activities related to the strengthening of the national Disaster Risk Management System (DRM) with most of the policy actions focusing on updating the multi-sectoral legal framework and mainstreaming disaster risk in the National Development Planning and Investment Programs. This sometimes includes WRM and developing and validating in a participatory process a national program for Disaster Reduction and Prevention. That national program includes budgetary allocations and strengthening policies, institutions, and planning capacity for national disaster risk management and prevention. The second objective focuses on the mainstreaming of resilience across sectors and spatial planning in order to strengthen coun- tries’ capacities to systematically identify and reduce disaster and climate risks and to operationalize the governing structures for climate change adaptation. Under this objective, the strengthening of land use and basin planning, and the improvement of Hydro-met Services, are frequently included as prior actions. At least 13 (42 percent) of the Cat DDOs covered hydrology, mete- orology, and climate, including the strengthening of early warning systems. Two (6 percent) of the Cat DDOs included support continues An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 159 to land use and basin planning, in- FIGURE 13.3.2 GFDRR’s Initial Support to COVID-19 Response cluding the development of a new integrated urban land use plan. Other areas of engagement under this pillar include the use of inte- grated hazard and risk analysis in risk-based physical planning and evidence-based policy-making; adopting cooperation frameworks to strengthen flood management and early warning systems in the country; preparing Nationally Deter- Status mined Contributions (NDCs) based n Closed As of May 12, 2020, 16 countries in six regions have triggered Cat DDOs in response on the Paris Agreement; incorpo- n Activated for COVID-19 to COVID-19, providing access to $1.73 billion in pre-approved funds to help n Not activated for COVID-19 prepare for and respond to the pandemic. rating DRM and climate change as Source: GFDRR 2020. cross-cutting topics and facilitating the development of other policy in- struments needed to improve urban resilience; using multi-hazard resilient design and construction in infrastructure and public investment projects; and creating community-integrated management plans to increase resilience to the impacts of climate change and natural disasters. The third objective for the Cat DDOs, which is aligned with the cross-cutting pillar of the hydro-climatic risk framework, covers two key areas: strengthening financial resilience to disasters, including disaster risk financing; and providing social protection and inclusion. Prior actions under this objective focus on strengthening institutions and systems in order to reduce the fiscal vulnerability of countries in the event of a disaster. The aim is to enhance national financial systems and institutional capacities so that they can effectively access and disburse funds, as well as to manage, monitor, and report on fiscal needs, and to minimize the impacts of shocks. Policy actions related to financial resilience include the creation and regulation of a National Disaster Fund to finance disaster preparedness and emergency response; the creation of a dedicated unit and guidelines for fiscal risk management in the Ministry of Finance; the development of a budget classifier to include provisions that enable the classification and reporting on post-disaster expenditures in relief, recovery, and reconstruction; and the development of insurance laws and policies that allow the purchase of sovereign catastrophe insurance and allow insurers to develop products that will assist households and enterprises to improve their climate and disaster resilience. With respect to social protection and inclusion, policy reforms support the development of systems to reduce the impacts of disasters on the poorest and most vulnerable households. Those may include the development of emergency cash transfer programs as part of the social protection programs for faster and more effective post-disaster recovery; the strengthening of the legal framework to implement a shock-responsive social protection mechanism; and the strengthening of the beneficiary registration and enrollment procedures for social protection. Based on the analysis, there is room for the further application of the Cat DDO instrument to support policy reforms along the pillars of the hydro-climatic risk management framework. This report aims to provide guidelines for governments and World Bank teams to identify such gaps and further opportunities. Furthermore, the analysis shows that the Cat DDO instruments are often disbursed in response to floods and storms, but have not yet been triggered in response to droughts due to the slow- onset nature of the latter. This shows the importance of the definition of the trigger of such an instrument and the specific attention that needs to be paid to droughts in the design of risk financing solutions. a More information can be found in the following document: World Bank. 2018. “Suspending the Offer of the Fixed-Spread Terms of IBRD Flexible Loan.” Product Note. http://pubdocs.worldbank.org/en/526461507314946994/product-note-cat-ddo-ibrd-2018.pdf. b A disaster may include geological and hydro-climatic events. c This information was taken from Stanton-Geddes, Zuzana, and Jolanta Kryspin-Watson. 2017. “Disasters, funds, and policy: Creatively meeting urgent needs and long-term policy goals.” World Bank Blogs. June 29, 2017. https://blogs.worldbank.org/sustainablecities/disasters-funds-and- policy-creatively-meeting-urgent-needs-and-long-term-policy-goals. d This information was taken from Wahba, Sameh, Alanna Simpson, Ana Campos Garcia, and Joaquin Toro. 2020. Preparedness can pay off quickly: Disaster financing and COVID-19, World Bank Blogs. April 7, 2020. https://blogs.worldbank.org/sustainablecities/preparedness-can-pay-quickly- disaster-financing-and-covid-19. 160 ● An EPIC Response: Innovative Governance for Flood and Drought Risk Management All the floods and drought response programs presented in this report depend on having adequate and timely financing. Food donation to flood victims in Samut Sakhon near Bangkok. Photo: justhavealook 13.3 Key Resources OECD (Organization for Economic Co-operation and Develop- ment). 2017. OECD Recommendations on Disaster Risk Financ- ADB (Asian Development Bank). 2018. “Catastrophe Bonds ing Strategies. Paris: OECD. Explained.” Development Asia. February 21, 2018. World Bank. 2017. “Catastrophe Deferred Drawdown.” Prod- Benson, Charlotte, Olivier Mahul, Martin Luis Alton. 2017. uct Note. Washington, DC: World Bank. “Assessing Financial Protection against Disasters: A Guid- World Bank. 2020. “Technical Note on Agricultural Risk Fi- ance Note on Conducting a Disaster Risk Finance Diagnos- nancing Options for World Bank Group Operations.” Wash- tic.” Working Paper. Washington, DC: World Bank; Manila: ington, DC: World Bank. ADB (Asian Development Bank). GFDRR (Global Facility for Disaster Reduction and Recovery). n.d. “Financial protection: Strengthening Financial Resil- ience to Disasters.” (https://www.gfdrr.org/en/financial-pro- tection.) 14 An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 161 Summing Up The previous chapters reviewed the 43 programs embedded Figure 14.1 provides an overview of the main functions of the in the EPIC Response Framework and presented at the start key sector agencies. Social protection and finance agencies of the report in Table 2.1. The term “program” has been used also play important roles but are not included in the figure. in a general sense to refer to a continuous set of activities Each agency has been mandated to lead specific programs with clearly defined objectives, usually mandated through a in the EPIC Response Framework. This concluding chapter law, and implemented by a national sector agency. For most highlights two key points: programs, the report has: (1) provided a general description; ■ The hydro-climatic risk management system is more (2) discussed the linkage to the national sector framework, (3) than the sum of the various programs. identified key agency tasks; (4) presented a generic evolution table; and (5) cited key references for further information. ■ Constant evaluation and adaptation at both the program and system level are required. Volunteers filling sandbags to reinforce the dam surrounding the city in Torgau, Germany. Photo: Philartphace 162 ● Chapter 14—Summing Up FIGURE 14.1 Summary of Agency Roles WRM Oversees planning and Hydro-met operation of water resources Provides information for water infrastructure. Regulates water resources and floodplain management. allocations and strategic use of Leads flood and drought forecasting. groundwater to help mitigate Supports agriculture with agro-hydro droughts. Key role in flood and advisory services. drought response. DRM Lead coordinating agency for flood, and sometimes drought, disaster response. Provides leadership in floodplain management. Works with other agencies to mitigate risks. Agriculture Promotes healthy watersheds through sound agricultural policies Natural resources and climate-smart agriculture. Helps boost farmer incomes and resilience. management Key role in drought response. Promotes healthy watersheds Collaborates with natural resources and by sustainably managing WRM on watershed management forests, wetlands, and coastal barriers. Collaborates with agriculture and WRM on watershed management. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 163 A hydro-climatic risk management system is greater watersheds, this will reduce the flood and drought hazards than the sum of the programs. Each agency is tasked confronted by the WRM and DRM agencies. If the WRM agency with implementing a specific set of programs. However, the has ensured a stock of safe water resources infrastructure, effectiveness of programs mapped to other agencies will this will reduce flood and drought hazards and make the DRM have a dramatic impact on how well the agency can perform agency’s task easier. The report provides many examples of its functions. If the NMS/NHS has effective hydrological the linkages among different programs, and this is illustrated monitoring and weather forecasting programs, this will in the general downward cascading influence of the program help the WRM and DRM agencies. If agriculture and natural areas highlighted in the EPIC Response Framework below. resources agencies are successful in creating healthy FIGURE 14.2 The EPIC Response Framework PROGRAM AREAS • National Frameworks: Laws, Agencies, Strategic Plans E NABLE • Facilitating a Whole-of-Society Approach • Hydro-Met Services P LAN • Flood and Drought Risk Mitigation and Contingency Planning I NVEST • Healthy Watersheds • Water Resources Infrastructure C ONTROL • Water Allocation and Groundwater Management • Floodplain Management • Drought Monitoring, Response, and Recovery RESPOND • Flood Monitoring, Response, and Recovery • Disaster Risk Financing IMPACT Source: Authors. In many cases, multiple agencies need to collaborate to Constant evaluation and adaptation at both the program achieve a specific program objective. Drought monitoring and system level are required. Designing and implementing programs require the active participation of NMS/NHS, effective programs is difficult. Most programs in lower- and WRM, and agriculture agencies (among others). River basin middle-income countries are still at the lower end of the planning, typically led by the WRM agency, needs the active generic program table presented below; many higher-income participation of natural resources and agriculture agencies. countries still have some less-than-effective programs, often The report has provided many such examples of where after decades of effort. Given the stakes involved, national governments need to constantly evaluate the performance of agencies need to collaborate in a joined-up government the programs to adjust and adapt as necessary. The public effort to achieve program success. policy process highlighted in Chapter 2 must be accelerated to keep ahead of a changing climate. 164 ● Chapter 14—Summing Up TABLE 14.1 Generic Program Development Table Nascent Engaged Capable Effective There is no organized The DRM law promotes the The DRM agency has developed The DRM agency has developed recovery response, and principle of “build back better” specific programs to assist specific flood programs that the national government and designates the DRM law households, businesses, and incorporate sound floodplain responds to flood to oversee recovery efforts. the public sector in recovering management principles to “build disasters on an ad hoc However, specialized recovery from floods. These programs are back better”. The recovery effort is a basis. programs do not exist and generally well funded and guided multi-agency effort in collaboration access to funding is limited. by PDNAs, but do not always follow with local government guided by sound floodplain management the PDNA. Access to recovery funds principles. The special recovery are guaranteed. Dedicated social needs of vulnerable populations are protection actions are included recognized but not fully addressed. in the PDNA to meet the needs of vulnerable populations. Source: Authors. Improving the performance of individual programs is for system-wide assessment. This system-wide planning important, but a system-wide perspective on how the country will hopefully identify gaps, constraints, opportunities, and is managing its hydro-climatic risks is also necessary. priorities for improving the relevant set of programs. National governments should undertake periodic and interlocking national strategic planning exercises for WRM, The EPIC Response Framework can be used as guide to DRM, and Drought to evaluate how the country’s hydro- undertake a system-wide assessment, and this is one of its climatic risk management system is performing. National unique contributions to the field of flood and drought risk climate adaptation planning also provides an opportunity management. Periodic, interlocking strategic national plans for WRM, DRM, and Drought will help drive the evolution of climatic risk management in a country An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 165 Appendix A Primer on Floods and Droughts and their Socioeconomic Impacts Hydro-Climatology what is happening to the atmosphere at any given time. Climate is usually defined as the ‘average weather,’ or more The term “hydro-climatology” was first defined by Langbein rigorously, as the statistical description in terms of the mean (1967) as the “study of the influence of climate upon the and variability of relevant quantities over a period.” The waters of the land.” It includes hydrometeorology as well as classic period for this averaging is 30 years (WMO 2020). the surface and near surface water processes of evaporation, Climate and Hydrological Zones. Climatic classifications are runoff, groundwater recharge, and interception. The total often based on rainfall, temperature, crop ecology, humidity, hydrologic cycle, then, is the basis for a discussion of hydro- and vegetative and geographic criteria. The most common, the climatology. This annex provides more background on the Köppen-Geiger climate classification system, divides the world concept of hydro-climatic risks—of which floods and droughts into five major climate groups as shown in Figure A.1, with a are the two most important. further subdivision into 39 subgroups. Systems for classifying Climate and Weather. Climate is the average course of hydrological zones also exist. One approach (Weiskel and weather conditions for a location over a period of many others 2014) uses the green-blue index to classify the years. Climate represents the summation of all interacting hydrological zones within a river basin. The green-blue index atmospheric and land processes affecting a locality over a is defined as the ratio between the vertical fluxes (composed period long enough to ensure representative values. Climate of precipitation and evapotranspiration and defined as “green conceptually differs from weather. The WMO differentiates water”) and the horizontal fluxes (composed of runoff and the terms as follows: “At the simplest level the weather is groundwater and defined as “blue water”). FIGURE A.1 Köppen Climate Classification n Tropical or megathermal climates: are characterized as having constant warm temperature. n Dry or arid climates: have low precipitation rates. n Temperate or mesothermal climates: maintain mild annual Köpen climate temperatures. classification n Continental or microthermal n Tropical climates: have hot summers n Dry and cold winters occurring n Temperate typically at the interior of a n Continental continent. n Polar n Polar or alpine climates: sustain consistent cold temperatures throughout the year. Source: EarthHow 2020. 166 ● Appendix A: Primer on Floods and Droughts and their Socioeconomic Impacts Box A.1 Climate, weather, and their variations Interactions between the atmosphere and the ocean affect climate and weather patterns globally, generating variations in extreme events. These interactions are especially strong in the tropics. Tropical oceans influence atmosphere circulation patterns locally, and these changes can propagate through the atmosphere and cause changes in the climate in distant regions throughout the world, potentially giving rise to or exacerbating extreme events, such as floods and droughts. The El Niño-Southern Oscillation (ENSO) is a climate variability phenomenon originating in the equatorial Pacific that drives interannual to decadal weather variability in many regions. In neutral conditions, ENSO is associated with a gradient in sea surface temperatures that goes from warmer in the west to colder in the east, and with “normal” atmospheric circulation patterns. During an El Niño event, the temperature gradient in the equatorial Pacific Ocean is reduced or even reversed, fundamentally changing the global atmospheric circulation patterns. During a La Niña event, the normal west to east temperature gradient is increased, once again resulting in a change in global atmospheric circulation patterns. As shown in the figure below, the influence of El Niño and La Niña is nearly global, with regions on almost every continent experiencing some shift in weather and climate during these events. For most areas affected by ENSO, the impacts are often (but not always) opposite in sign and magnitude for those of La Niña. FIGURE A.2 Global Climatic Impacts of El Niño (left) and La Niña (right) December–February December–February June‑August June‑August n Cool n Wet n Cool and dry n Cool and wet n Warm n Dry n Warm and dry n Warm and wet Source: NOAA Climate.gov 2016 Climate Variability. Each climate zone experiences extreme on general atmospheric circulation patterns, often driving hydro-climatic events, although in different ways. Weather extreme hydro-climatic events. Box A.1 provides information and climate phenomena reflect complex thermodynamic on the most prominent ocean oscillation, the El Niño- processes over a very wide range of geographical and temporal Southern Oscillation (ENSO). scales. These processes result in variable hydro-climatic Climate change is also altering the distribution of climate conditions, and extreme conditions occur when climate, zones and thereby affecting the hydrological balances weather, or hydrological variables are at the upper or lower and water resources. Climate change34 leads to changes ends of the range of historical values.33 Naturally occurring in the frequency, intensity, spatial extent, duration, and oscillations in ocean temperatures have an important impact timing of extreme events, and can result in unprecedented 33 For simplicity, both extreme weather events and extreme climate events are referred to collectively as “climate extremes.” A detailed analysis can be found at IPPC 2012. 34 A definition of climate change can be found on the Climate Change Knowledge Portal at https://climateknowledgeportal.worldbank.org/themes/custom/ wb_cckp/resources/data/CCKP_Glossary_Oct_2018.pdf. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 167 extremes. The IPCC (2018) projects a substantial warming conditions in many parts of the world. Flood hazards are also in temperature extremes by the end of the 21st century, projected to increase in more than half the world’s regions, with higher and longer daily temperature extremes at the although this varies greatly for individual river basins (World global scale. Projected increases in global temperatures will Bank 2016). The growth of coastal cities, where vulnerability drive changes in the hydrologic cycle, including increased to floods is high due to rising seas and more intense storms, atmospheric water vapor and changes in precipitation will also increase flood risks in many parts of the world. patterns, as well as changes in groundwater and soil In addition to climate change impacts, it is also important to moisture. Increasing temperature generally results in an factor in other pressures affecting the hydrological system and increase in potential evaporation, largely because the water resources. Changing land use and land management water-holding capacity of air is increased (IPCC 2001). It is practices are altering the availability of water resources and likely that the frequency of intense precipitation events will in many cases increasing flood risks. Increasing populations increase in the 21st century over many areas of the globe. and rising incomes may also increase the demand for water This is particularly the case in the high latitudes and tropical in many parts of the world. regions, and in winter in the northern mid-latitudes. Heavy rainfalls associated with cyclones are likely to increase with continued warming. Flood and Drought Definitions Consequently, climate change will exacerbate flood and Floods. There are a wide variety of floods with different drought risks. Climate model projections indicate that characteristics. Table A.1 defines the most common types of climate change will lead to increased frequency and intensity floods. The magnitude of a flood depends on precipitation of droughts and floods (He and others 2020) at regional intensity, volume, timing, and antecedent conditions of scales. Many regions already experiencing water stress will rivers and their watersheds (such as the presence of snow experience even more water scarcity. High temperatures will and ice, soil character, wetness, urbanization, and existence also increase land evapotranspiration, creating more arid of dikes, dams, or reservoirs). TABLE A.1 Types of Floods and Description Flash flooding – Quickly forming floods with high-velocity flows, often the result of heavy rains of short duration. Typically occurs on steep slopes and impermeable surfaces, and in areas adjacent to streams and creeks. This particular type of event commonly washes away houses, roads, and bridges over small streams and so has a critical impact on communities and transportation in these often remote areas. Fluvial (riverine) floods – Occur over a wide range of river and catchment systems. Floods in river valleys occur mostly on floodplains as a result of flow exceeding the capacity of the river channels and spilling over the natural banks or artificial embankments. Coastal floods – Generally caused by storm surges and high winds generated by marine storms, often coinciding with high tides. In particular configurations, such as estuaries and deltas, this effect can be amplified by confinement or shallow seabeds. Coastal floods and river floods often interact in complex ways. Urban floods – Urban flooding occurs when intense rainfall within towns and cities creates rapid runoff from paved and built-up areas, exceeding the capacity of storm drainage systems. Can be worsened by obstruction of drainage channels and pipes. Snowmelt floods – In upland and high-latitude areas where extensive snow accumulates over winter, the spring thaw produces meltwater runoff. If temperature rises are rapid, the rate of melting may produce floods, which can extend to lower parts of river systems. The severity of meltwater floods will increase if the thaw is accompanied by heavy rainfall and can be further exacerbated if the subsoil remains frozen. Even though snowmelt floods may produce beneficial flooding in downstream areas, severe effects can occur on smaller scales. Ice- and debris-jam floods – In areas that experience seasonal melting, if melting is rapid, ice floes can accumulate in rivers, forming constrictions and damming flows, causing river levels to rise upstream of the ice jam. A sudden release of the “ice jam” can cause a flood wave similar to that caused by a dam break to move downstream. Both meltwater and heavy rainfall in steep areas can cause landslides and debris flows. As these move downstream, major constrictions can build up. When these collapse or are breached, severe flooding can result. Both of these phenomena are very difficult to predict. Engineered structure failure flooding – Flooding as a result of dam failure or levee failure presents the potential of catastrophic impact, depending on amount of water impounded and location of populated areas downstream. Source: Authors based on State of California and Army Corps of Engineers 2013 and WMO 2011. 168 ● Appendix A: Primer on Floods and Droughts and their Socioeconomic Impacts Droughts. On the other side of the spectrum, drought is in terms of duration, geographical extent, and impacts. In ultimately about a lack of water, although multiple definitions general, droughts evolve relatively slowly, and it is difficult to exist. One way of classifying droughts is shown in Figure A.2, forecast how they will develop over time and their potential which identifies three different dimensions, meteorological, impacts. For this reason, a drought monitoring system, which green water, and blue water, and their potential associated includes an assessment of actual impacts and potential risks, impacts. Each drought evolves in its own unique manner is fundamental to drought risk management. FIGURE A.3 Defining Water Security, Scarcity, Drought, and Related Concepts Anthropogenic drivers Associated impacts (modify the response of the physical environment and associated severity Reduced reservoir levels and access to cooling waters of the drought hazard and associated consequences) resulting in Reduced hydropower and energy production Severe Impacts Drought (meteorological, blue-water and green-water droughts) Prolonged Reduced water reserves to supply demand resulting in drought can lead Precipitation Reduced streamflow, Restrictions on use— to increasingly industrial, municipal, and domestic severe water use deficiency groundwater, and storage (intensity, duration, (rivers, reservoirs, lakes, restriction and and spatial extent) wetlands) Reduction in lake levels and river flows resulting in lack of food Climate Reduced aquatic food production resulting in variability Meteorological drought Blue-water drought Public (driven by Increased plant stress and loss of aquatic dissatisfaction, natural and connectivity resulting in heightened anthropogenic Loss of ecosystem functions, reduction/ inequalities, and influences) Increased Reduced water storage degradation of aquatic and terrestrial even famine, evaporation and in soils (soil moisture habitats and biota loss of life transpiration deficiency) or vegetation and political Plant water stress reduces plant biomass and yield revolution Green-water drought resulting in Reduced land-based food production Heat stress (e.g. high temp/winds, low Increased soil erosion relative humidity, greater sunshine, less cloud cover) Source: Sayers and others 2015. Floods and drought events appear to be related in some an increasing trend over the past half-century (Grayman areas of the globe (He and Sheffield 2020). Pluvials, defined 2011). In addition, floods and droughts rank highest when as periods of high “wetness”, are increasingly following looking at the number of people affected (Yoganath 2009), droughts, resulting in an increasing “see-saw” effect posing major impediments to achieving human security and generating more intense floods and droughts. sustainable socioeconomic development. Droughts and floods (if not properly managed) can turn into Floods and Droughts - Social and Economic disasters with devastating impacts on a wide range of sectors Impacts including water availability, food security, energy production, Hydro-climatic extremes drive most natural disasters. infrastructure, and ecosystem health. As shown in Table A.2, Water-related disasters have comprised approximately 90 droughts and floods have cost US$764 billion in damages in percent of natural disasters in the past century, showing the period 2000-2019, with floods being the most recurrent TABLE A.2 Estimates of Impacts from Floods, Droughts, and Storms during 2000-2019 Floods Droughts Storms Number 3,254 338 2,043 Recorded economic damage $651 billion $128 billion $1,390 billion People affected (Millions) 1,650 1,430 727 Source: CRED and UNDRR 2020. An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 169 disaster; storms have resulted in an additional US$1,390 stressed that floods can cause significant local economic billion in damages, much of it from storm-related flooding. losses, death, and human suffering. Droughts, in contrast, are almost always associated with a reduction in economic Besides these direct costs, impacts can propagate into other growth. sectors due to losses of ecosystem services, disruptions of global supply chains, and increased risk mitigation costs Economic and Social Impacts of Floods. Pluvials can (He and others 2020). Between 2000 and 2019, over 4 generate positive economic impacts in many countries billion people worldwide were affected by disasters, and the by increasing agricultural productivity and hydropower highest tolls were associated with floods and droughts (CRED generation, which help increase a country’s GDP. When and UNDRR 2020). There is a growing body of literature pluvials result in flood damages, the recovery effort often exploring the effects of droughts and floods on human health, generates significant economic activity through rebuilding migration, and conflicts (He and others 2020). efforts, thus also increasing GDP. On the other hand, flood damage to infrastructure, assets, businesses, homes, and The impacts of floods and droughts are often different in terms livelihoods is usually not included in GDP calculations, but of scale, impacts, and timing. Floods tend to be spectacular can cause significant economic setbacks for a city, business, yet fleeting events which can cause great destruction within a or household. limited area, and garner significant attention. Floods can take lives, destroy property, and spread diseases. Droughts on the Flood disasters can generate lingering disruptions in public other hand are often referred to as “misery in slow motion” as services, such as water supply, wastewater management, they develop slowly over large geographical areas with wide- solid waste collection, transportation, electricity, and ranging impacts. Some of these impacts are obvious, such as education. Infrastructure in poor neighborhoods is often not water shortages, failed crops, and reductions in hydropower well maintained or protected, and these areas are usually not generation. Other drought impacts are more insidious the priority areas for recovery and reconstruction. Therefore, such as malnutrition, stunting, and loss of educational poor people who depend on poor infrastructure are more opportunities—often resulting in multigenerational impacts. vulnerable to the secondary effects of floods, such as loss of According to a World Bank report, Shock Waves (Hallagette hourly wages due to longer traveling time, health and hygiene and others 2016), poverty exposure bias is more evident in concerns, mental stress, and even temporary or permanent droughts than in floods, particularly in Asia and Africa. The separation of families. Women are also more vulnerable over report emphasizes that poor people who rely on agriculture the long term, as they tend to spend more time taking care of and ecosystems for their income sources are more vulnerable sick or injured family members or cleaning the house after a to droughts. flood, rather than going back to school or work. The macro-economic impacts of pluvials (periods of extreme The impact of floods over the short term is highly dependent wetness) and droughts can be quite different. As shown in on where they occur. In urban areas, they can be highly Table A.3, flood disasters, which are usually associated destructive, particularly if they occur with little preparation with pluvials, are often correlated with increased economic or warning. They can destroy assets and infrastructure, growth. The reasons are explained below, but it should be cause major hygiene crises by blocking drains and spreading TABLE A.3 Growth Effect of a “Typical” (Median) Disaster Effect on GDP growth Agricultural growth Industrial growth Service growth Droughts -0.6%*** -1.1%*** -1.0%** -0.1% Median Intensity of Floods 1.0%*** 0.8%*** 0.9%*** 0.9%*** Storms -0.1% -0.6%*** 0.8%* -0.2% Note: the effects on GDP growth rates – the rate of change of output – and not output levels. * significant at 10%, ** significant at 5%, *** significant at 1%. Source: adapted from World Bank and United Nations 2010. 170 ● Appendix A: Primer on Floods and Droughts and their Socioeconomic Impacts wastewater, shutter businesses, and of course result in livestock. In some poorer countries, this lower productivity fatalities. Floods in rural areas on the other hand can have due to droughts can accelerate the expansion of agriculture different types of impacts. Much of the world’s rainfed into natural habitats. Finally, the reduction of agricultural agriculture relies on floods or monsoonal rains, particularly production can exacerbate food security problems by in South and East Asia and large parts of Africa. Thus, floods increasing the price of food staples. can generate large agricultural productivity boosts (Damania and others 2017). Nevertheless, if flood waters are too slow to Cities struggle to cope with water shortages during droughts. recede, they can lead to waterlogging and major crop losses. Water shortages disproportionally affect the poor as basic Coastal flooding can do damage by moving saline water sanitation conditions may deteriorate and as people use inland, spoiling soils and potentially salinizing groundwater more of their limited income to purchase bottled water. The supplies. financial situation of water utilities usually deteriorates during droughts as water sales drop. Businesses often suffer. Poor people are often more exposed to floods, particularly A World Bank study (Damania and others 2017) estimated in urban contexts. The impacts vary among types of floods, that, on average, in lower- and middle-income countries, areas of living, and regions. The experience of floods could water outages reduce the sales of formal firms by about be different from person to person, depending on age, 9 percent and informal firms by 35 percent. For countries gender, disability conditions, social status, education level, that rely on hydropower to meet a significant percentage of employment, or poverty level. In urban areas, for example, their power needs, droughts have dramatic economy-wide poor people are more exposed to flood risks, as they tend implications due to potential price increases and power to live in flood-prone areas with lower rents. Moreover, poor shortages. people lose more relatively when they are affected by floods due to poor quality or protection of their assets. From the Perhaps most important, droughts can have long-term gender lens, women may be the most affected in some cases. and often intergenerational impacts on poor people, For example, in Bangladesh, 140,000 people died from the and particularly on the rural poor. Poor people are more flood-related effects of Cyclone Gorky in 1991, and deaths vulnerable to higher food prices because of their limited among women outnumbered those of men by 14 to 1 because incomes. Poor families provide less nutritious food to their of women’s limited mobility, social norms (such as caste), children and are less likely to seek medical consultation and gender roles and responsibilities. Another example is for sick children due to the cost. That could have long-term Argentina, where women were identified as mostly affected impacts on child development and prospects because of by floods in the city of Buenos Aires, with higher educational malnutrition and poor health conditions. Moreover, evidence losses and labor tolls. However, these results can be shows that children in poor households face more difficulties attenuated by more gender-sensitive efforts when managing in continuing their educations after disasters (Hallegatte risks. and others 2016). The situation could be even more severe Economic and Social Impacts of Droughts. The impacts of for girls and women, and the negative impacts could trickle droughts can be significant and are almost always negative. down to subsequent generations, affecting not only the Drought typically strikes agriculture hardest by diminishing women who experience a particular drought but also their crop yields and reducing the quality of rangeland used for children (Damania and others 2017). An EPIC Response: Innovative Governance for Flood and Drought Risk Management ● 171 Bibliography Voices (blog), September 4, 2018. Washington, DC: EDF (Environmental Defense Fund). 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