Safety approach for Dordrecht, The Netherlands
Chapter 3 Process design and management for integrated flood risk management: exploring the Multi Layer Safety
3.4 Discussion on the process framework and its general applicability
The contribution of the collaborative process to an IFRM plan is discussed below, and the process framework has been enriched by the analysis of the interaction between activities and the phasing of the activities to develop an IFRM plan.
3.4.1 Contribution of the collaborative planning process to integrated
outputs
Based on the case study analysis it can be concluded that the collaborative planning process led to the development of an IFRM plan. The IFRM plan that was developed is integrated across spatial and time scales and aligned multiple objectives; and the three activity groups in the collaborative planning process have contributed to the integration in the IFRM plan. For example ‘system analysis’ assessed the performance of IFRM for different objectives (e.g. individual risk and economic risk) and for various climate change scenarios. Planning, design and engineering devised options for various scale levels such as: upgrading the dyke-ring around the Island and converting individual buildings into shelters for evacuees. ‘Governance’ involved a wide range of stakeholders ranging from: private developers that can flood proof a to-be-build residential neighbourhood whilst improving its value on property market, to the national government to discuss safety standards and funding for the dyke system. The contributions of the planning activities to the integration elements of the IFRM plan have not been straightforward and depended on the involved practitioners and the coordination of their work. E.g. the analysts were told to assess strategies on more criteria than the reduction of potential damage and casualties of different flood events. Urban planners themselves looked to combine flood measures with investment plans from other policy domains. Table 3.1 summarises how each activity group can contribute to integration, which provides an evaluation framework and guidance to project managers of future IFRM projects.
Much literature is available on how specific activities contribute to the various elements of integration (in objectives and across spatial and temporal scales), but
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not from a holistic process-oriented perspective as analysed in this research. Some examples are given here. Research on climate change scenario analysis abounds to consider various temporal scales in ‘system analysis’, such as related to the Assessment Reports of the Intergovernmental Panel on Climate Change (IPCC). In terms of ‘planning, design and engineering’ Gersonius (2012) provides methods to devise strategies and portfolios of measures to be implemented over time horizons up to 50 to 100 years. Also many concepts have been proposed to ‘design’ with multiple objectives, such as ‘Building with nature’, combining coastal protection with land use planning through land reclamation using sand from the sea for dunes and beaches (Waterman, 2008). The concept of ‘Green infrastructure’ (Sandström, 2002) aims to utilise green systems as much as possible in urban space, that if done properly can help reduce and manage flood risk (Gill et al., 2007; Tzoulas et al., 2007). ‘River widening’ that aims to increase river discharge capacity provides opportunities to increase spatial quality (Rijke et al., 2012b; Opperman et al., 2009). ‘Governance’ literature is emerging to integrate water and flood management across various spatial scale levels under the concept of multi-level-governance (e.g. Lundqvist, 2004; Kern et al., 2008; Pahl-Wostl, 2009).
Table 3.1. Evaluation framework for the contribution of a collaborative process to an IFRM
plan
Activities Contribution to elements of integration: multiple objectives, spatial scales
and time scales
System analysis Analyse the performance of the flooding system and proposed strategies at all spatial scale levels (e.g. dyke ring, individual buildings), on various objectives (e.g. flood risk, cost-benefit); and for various time scales (e.g. under various climate change scenarios or investment scenarios)
Planning, design & engineering
Explore entire scope of flooding system for options from all spatial scales to reduce flood risk on various time scales; combine options from various domains delivering on multiple objectives; with various investment planning horizons (time scales).
Governance Involve stakeholders from all spatial scales in the flooding system to support decision making with their interests (objectives) and their means to be applied or invested over various time scales.
The validation interviews indicated that the MLS concept itself was an important catalyst to set up an integrated process to deliver an IFRM plan. The MLS approach implicitly broadened the objective –from reducing flood probability to (including) reducing potential consequences of flood events- and explicitly spanned the boundaries and design freedom to develop alternative solutions with more integrative elements. The interviews, however, also confirmed that the collaborative planning process based on the framework has been instrumental to
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deliver the IFRM plan. As one interviewee appositely stated: ¨the deliberate use of results (of analysis) and visualisations (of designs) supported stakeholder dialogue towards integrated solutions¨. Initially, however, stakeholders started working with a traditional approach. The first results of system analysis presented the potential consequences of dyke breaches that directed initial design work towards options to upgrade the dyke system. Interviewees stressed that this has not been because of the process design, but rather is a result of the features of the flooding system that is technically locked-in to flood protection measures. Later during the process, options from the second and third flood safety layer have been incorporated in the IFRM plan.
3.4.2 Enriched framework explaining interaction between activities
It has also been validated in this case study that the three activities are mutually depended to develop an IFRM plan. For example: insights that were gained through ‘system analysis’ on the vulnerability of the Island of Dordrecht led to the reframing of the problem amongst stakeholders (‘governance’) that the potential consequences, rather than the probability of flooding, need to be decreased. This provided a basis to develop new strategy in ‘planning, design & engineering’, namely to become self-reliant, comprising measures such as: an overtoppable dyke ring, compartments to manage overtopped flood water and shelters. The rationale of Van Herk et al. (2011a) behind the classification of the activities is related to the different knowledge that is generated and its contribution to decision-making in planning. System analysis mainly aims to establish facts, coherent and not contradictory knowledge to reduce uncertainty, and to analyse, define or reframe and address problems. Planning, design and engineering mainly aims to create images: frame reflection in which parties identify their view of reality and discuss it, look for images or meanings that they share, and create renewed and more creative images as a result of the interaction; and to develop, analyse, discuss and propose solutions and strategies. The governance activity involves participants in discussing and defining their ambitions to create socially construed knowledge and discussing the ambitions and roles of the stakeholders towards implementation. Based on this research it can be concluded that the interaction and overlap between the activities relates to the exchange of knowledge between them. The interaction between the activities is a process of ‘convergence’ in the planning process where the options are reduced by feasibility checks (‘system analysis’ checks on performance; ‘design’ on technical feasibility; and ‘governance’ on political feasibility), rather than the process of ‘divergence’ through the knowledge generation in each separate activity that explores the possible options. Table 3.2 provides a generalised summary of the interaction between the activities through knowledge exchange.64
Table 3.2. Interaction between the activities through knowledge exchange
Activities Interaction between activities through knowledge exchange
System analysis Contribute with new facts on the system performance and the effectiveness of the IFRM plan and its underlying strategy and constituent measures. These insights can change perceptions and support problem (re)framing and stimulate discussions on
ambitions and the feasibility of various strategies and measures. The activity involves
participants for analysis and interpretation. Planning,
design & engineering
Involve multiple stakeholders in planning, design and engineering to develop new solutions with their means and expertise, creating new perceptions on possible strategies and measures that stimulate discussion on their ambitions; and formulate research questions / information requirements to guide system analysis.
Governance Involve all participants and discuss their ambitions. Explore solutions from the means and expertise of all stakeholders and discuss these based on their performance. Performance analysis is supported based on objectives and information provided by stakeholders.
3.4.3 Enriched framework by including phasing
The analysis of the collaborative planning process shows a phasing of sub- activities that was not prescribed by the planning framework. The observed phasing relates to the process of divergence and convergence explained by the interaction between activities. Based on the above the process framework to design and manage collaborative processes can be further extended by introducing the interfaces between activities and the phases. In Figure 3.3 the process is illustrated; with circles representing the three activity types of the framework (system analysis; planning, design and engineering; and governance); and 9 sub-activities that have been conducted in 3 different phases, either within or on the interface of the 3 activity types. In the first phase (phase 1) of ‘divergence’: the (flooding) system performance is analysed, e.g. in terms of the probability and potential consequences of flood events; stakeholders are brought together and set their objectives; and different strategies, options or measures to intervene in the flooding system are explored. Bringing the outcomes of these series of activities together on the interfaces between activity types leads to a new phase (phase 2) of: problem (re)framing or joint goal-setting based on the discussion of the system performance and different objectives; to discuss strategies and options based on the combined means and objectives of all stakeholders; to assess the performance of identified strategies and options, also using the objectives discussed. Ultimately (phase 3) the options are to be combined into an IFRM plan comprising a portfolio of measures and an investment and implementation plan; that is subject to formal decision-making processes between the stakeholders and within the democratically representative bodies of
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governmental organisations involved. Also the performance of the IFRM plan is to be analysed, which inherently is a feedback loop to the continuous monitoring of system’s performance (phase 1) that will change with the implementation of the IFRM plan and due to exogenous factors (e.g. Milly et al., 2008). The set of sub- activities in the first phase can be conducted in parallel, as they are independent. The sub-activities in phase 2 and 3 have feedback loops, just as there can be feedback loops and iterations between the phases. Hence, the enriched framework as presented in Figure 3.3 can provide guidance for the design and coordination of the collaborative planning process to develop an IFRM plan, but is not a blueprint process design. Neither does the framework guide further planning phases towards implementation.
Figure 3.3. Adapted framework for collaborative planning processes to deliver IFRM plans
focusing on interfaces between activities
3.4.4 Flaws in the framework: governance & implementation
The collaborative planning process in the case study also revealed some flaws in the process and the framework. All 6 participants interviewed for validation stressed the importance of the shadow network and the possibility to freely discuss problems and solutions, despite their organisation’s formal position or regulatory constraints. The learning environment attracted a wide range of participants, but some key stakeholders were missing. Project managers of construction and maintenance projects and politicians overseeing those projects and their funding
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were only involved at the end of the process. As a result no formal agreements have been made to date and thus is the implementation of the IFRM plan uncertain. Provan & Kenis (2008) stressed the potential tension in networks related to internal and external legitimacy. Whilst the shadow network was effective in developing an IFRM, its implementation is likely to be hampered by a lack of external legitimacy in the legislative and executive bodies of government organisations involved. The implementation of the IFRM can also be hampered as current regulation and funding schemes do not incentivise the incorporation of measures from the second and third flood safety layers (Kolen et al., 2010). The challenges towards implementation of the IFRM plan posed by both the existing regulatory framework and the legitimacy tensions of the network point towards possible further improvements of the process framework presented. Namely the governance activity can comprise different aspects (as adopted from Voß and Bornemann, 2011): ‘policy’ (discussing problems and solutions); ‘polity’ (rules and structure); and ‘politics’ (interaction and process). Using these definitions, the case study focused mostly on policy and much less on polity and politics. In other words, governance activities are not only to discuss and define joint ambitions, but also to explore mandates and willingness to commit or combine resources (e.g. funding). Future research is needed on if and how to manage these 3 governance activities explicitly and to define output indicators for them.
Also the collaborative planning framework does not differentiate between development phases: initiation; design; construction; and operation and maintenance. The case study can be placed in the initiation or design phase when policy options have been drafted. Barriers towards implementation can be the consequence of not organizing for activities that involve stakeholders and objectives that seem more relevant in later development phases.
3.4.5 Transferability of framework and lessons:
This case study research in itself comprises the validation and enrichment of the framework that has been developed previously. Moreover, following the research presented in this paper, the process framework is already being applied prescriptively (Koukoui et al., 2013) and descriptively (Van Herk et al., 2012a) to two other case studies in the Netherlands. Initial results show that the framework is simple to apply as it provides the overarching structure of project activities, but can comprise different work tasks. Further validation and international comparison between case studies are necessary and recommended. This is beyond the scope of the research presented in this paper, but some points of attention are presented here.
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Transferring best practices to other countries is likely to be a major challenge as each country has its unique geographical, cultural, institutional, and socio- economic features requiring customized approaches (Huntjens et al., 2011; Zevenbergen et al., 2013a). In this case study, the existing flooding system that relies on flood protection has been a cornerstone to the IFRM plan. The incumbent cultures and approaches initially influenced the collaborative planning process. The process framework can accommodate a range of options and approaches, but it is unlikely that it alone supports the delivery of integrated outputs without an integrated concept such as MLS. Hence, we hypothesise that an IFRM process requires an integrated concept and/or multiple objectives. Furthermore, validation interviews indicated the importance of the Learning and Action Alliance or shadow network to explore options and the potential of the MLS approach, unhampered by existing regulations and mandates. In many countries, incumbent institutional structures, regulation and policy, cultures and approaches in planning and flood risk management hamper IFRM and require a transition or regime change (e.g. Newman et al., 2011; van der Brugge et al, 2005). We hypothesise that the organizational structures that govern the collaborative process are to be fit-for-purpose and fit-for-context, recognizing the state and transition of the regime.