Brenden Jongman, Hessel C. Winsemius, Stuart A. Fraser, Sanne Muis, and Philip J. Ward
The flooding of rivers and coastlines is the most frequent and damaging of all natural hazards. Between 1980 and 2016, total direct damages exceeded $1.6 trillion, and at least 225,000 people lost their lives. Recent events causing major economic losses include the 2011 river flooding in Thailand ($40 billion) and the 2013 coastal floods in the United States caused by Hurricane Sandy (over $50 billion). Flooding also triggers great humanitarian challenges. The 2015 Malawi floods were the worst in the country’s history and were followed by food shortage across large parts of the country.
Flood losses are increasing rapidly in some world regions, driven by economic development in floodplains and increases in the frequency of extreme precipitation events and global sea level due to climate change. The largest increase in flood losses is seen in low-income countries, where population growth is rapid and many cities are expanding quickly. At the same time, evidence shows that adaptation to flood risk is already happening, and a large proportion of losses can be contained successfully by effective risk management strategies. Such risk management strategies may include floodplain zoning, construction and maintenance of flood defenses, reforestation of land draining into rivers, and use of early warning systems.
To reduce risk effectively, it is important to know the location and impact of potential floods under current and future social and environmental conditions. In a risk assessment, models can be used to map the flow of water over land after an intense rainfall event or storm surge (the hazard). Modeled for many different potential events, this provides estimates of potential inundation depth in flood-prone areas. Such maps can be constructed for various scenarios of climate change based on specific changes in rainfall, temperature, and sea level.
To assess the impact of the modeled hazard (e.g., cost of damage or lives lost), the potential exposure (including buildings, population, and infrastructure) must be mapped using land-use and population density data and construction information. Population growth and urban expansion can be simulated by increasing the density or extent of the urban area in the model. The effects of floods on people and different types of buildings and infrastructure are determined using a vulnerability function. This indicates the damage expected to occur to a structure or group of people as a function of flood intensity (e.g., inundation depth and flow velocity).
Potential adaptation measures such as land-use change or new flood defenses can be included in the model in order to understand how effective they may be in reducing flood risk. This way, risk assessments can demonstrate the possible approaches available to policymakers to build a less risky future.
Gabriele Villarini and Louise Slater
Flood losses in the United States have increased dramatically over the course of the past century, averaging US$7.96 billion in damages per year for the 30-year period ranging from 1985 to 2014. In terms of human fatalities, floods are the second largest weather-related hazard in the United States, causing approximately 80 deaths per year over the same period. Given the wide-reaching impacts of flooding across the United States, the evaluation of flood-generating mechanisms and of the drivers of changing flood hazard are two areas of active research.
Flood frequency analysis has traditionally been based on statistical analyses of the observed flood distributions that rarely distinguish among physical flood-generating processes. However, recent scientific advances have shown that flood frequency distributions are often characterized by “mixed populations” arising from multiple flood-generating mechanisms, which can be challenging to disentangle. Flood events can be driven by a variety of physical mechanisms, including rain and snowmelt, frontal systems, monsoons, intense tropical cyclones, and more generic cyclonic storms.
Temporal changes in the frequency and magnitude of flooding have also been the subject of a large body of work in recent decades. The science has moved from a focus on the detection of trends and shifts in flood peak distributions towards the attribution of these changes, with particular emphasis on climatic and anthropogenic factors, including urbanization and changes in agricultural practices. A better understanding of these temporal changes in flood peak distributions, as well as of the physical flood-generating mechanisms, will enable us to move forward with the estimation of future flood design values in the context of both climatic and anthropogenic change.
Evolution of Strategic Flood Risk Management in Support of Social Justice, Ecosystem Health, and Resilience
Throughout history, flood management practice has evolved in response to flood events. This heuristic approach has yielded some important incremental shifts in both policy and planning (from the need to plan at a catchment scale to the recognition that flooding arises from multiple sources and that defenses, no matter how reliable, fail). Progress, however, has been painfully slow and sporadic, but a new, more strategic, approach is now emerging.
A strategic approach does not, however, simply sustain an acceptable level of flood defence. Strategic Flood Risk Management (SFRM) is an approach that relies upon an adaptable portfolio of measures and policies to deliver outcomes that are socially just (when assessed against egalitarian, utilitarian, and Rawlsian principles), contribute positively to ecosystem services, and promote resilience. In doing so, SFRM offers a practical policy and planning framework to transform our understanding of risk and move toward a flood-resilient society. A strategic approach to flood management involves much more than simply reducing the chance of damage through the provision of “strong” structures and recognizes adaptive management as much more than simply “wait and see.” SFRM is inherently risk based and implemented through a continuous process of review and adaptation that seeks to actively manage future uncertainty, a characteristic that sets it apart from the linear flood defense planning paradigm based upon a more certain view of the future.
In doing so, SFRM accepts there is no silver bullet to flood issues and that people and economies cannot always be protected from flooding. It accepts flooding as an important ecosystem function and that a legitimate ecosystem service is its contribution to flood risk management. Perhaps most importantly, however, SFRM enables the inherent conflicts as well as opportunities that characterize flood management choices to be openly debated, priorities to be set, and difficult investment choices to be made.
The rapid increase in losses from flooding underlines the importance of risk reduction efforts to prevent or at least mitigate the damaging impacts that floods can bring to communities, businesses, and countries. This article provides an overview of how the science of disaster risk management has improved understanding of pre-event risk reduction [or disaster risk reduction (DRR)]. Implementation, however, is still lagging, particularly when compared to expenditure for recovery and repair after a flood event. In response, flood insurance is increasingly being suggested as a potential lever for risk reduction, despite concerns about moral hazard. The article considers the literature that has emerged on this topic and discusses if the conceptual efforts of linking flood insurance and risk reduction have led to practical action. Overall, there is limited evidence of flood insurance effectively promoting risk reduction. To the extent there is, it suggests that more complex behavioral aspects are also at play. Further evidence is required to support this potential role, particularly around data and risk assessment, and the viability of different risk reduction measures.
David Proverbs and Jessica Lamond
Flood resilient construction has become an essential component of the integrated approach to flood risk management, now widely accepted through the concepts of making space for water and living with floods. Resilient construction has been in place for centuries, but only fairly recently has it been recognized as part of this wider strategy to manage flood risk. Buildings and the wider built environment are known to play a key role in flood risk management, and when buildings are constructed on or near to flood plains there is an obvious need to protect these. Engineered flood defense systems date back centuries, with early examples seen in China and Egypt. Levees were first built in the United States some 150 years ago, and were followed by the development of flood control acts and regulations. In 1945, Gilbert Fowler White, the so-called “father of floodplain management,” published his influential thesis which criticized the reliance on engineered flood defenses and began to change these approaches. In Europe, a shortage of farmable land led to the use of land reclamation schemes and the ensuing Land Drainage acts before massive flood events in the mid-20th century led to a shift in thinking towards the engineered defense schemes such as the Thames Barrier and Dutch dyke systems. The early 21st century witnessed the emergence of the “living with water” philosophy, which has resulted in the renewed understanding of flood resilience at a property level.
The scientific study of construction methods and building technologies that are robust to flooding is a fairly recent phenomenon. There are a number of underlying reasons for this, but the change in flood risk philosophy coupled with the experience of flood events and the long process of recovery is helping to drive research and investment in this area. This has led to a more sophisticated understanding of the approaches to avoiding damage at an individual property level, categorized under three strategies, namely avoidance technology, water exclusion technology, and water entry technology. As interest and policy has shifted to water entry approaches, alongside this has been the development of research into flood resilient materials and repair and reinstatement processes, the latter gaining much attention in the recognition that experience will prompt resilient responses and that the point of reinstatement provides a good opportunity to install resilient measures.
State-of-the-art practices now center on avoidance strategies incorporating planning legislation in many regions to prohibit or restrict new development in flood plains. Where development pressures mean that new buildings are permitted, there is now a body of knowledge around the impact of flooding on buildings and flood resilient construction and techniques. However, due to the variety and complexity of architecture and construction styles and varying flood risk exposure, there remain many gaps in our understanding, leading to the use of trial and error and other pragmatic approaches. Some examples of avoidance strategies include the use of earthworks, floating houses, and raised construction.
The concept of property level flood resilience is an emerging concept in the United Kingdom and recognizes that in some cases a hybrid approach might be favored in which the amount of water entering a property is limited, together with the likely damage that is caused. The technology and understanding is moving forward with a greater appreciation of the benefits from combining strategies and property level measures, incorporating water resistant and resilient materials. The process of resilient repair and considerate reinstatement is another emerging feature, recognizing that there will be a need to dry, clean, and repair flood-affected buildings. The importance of effective and timely drying of properties, including the need to use materials that dry rapidly and are easy to decontaminate, has become more apparent and is gaining attention.
Future developments are likely to concentrate on promoting the uptake of flood resilient materials and technologies both in the construction of new and in the retrofit and adaptation of existing properties. Further development of flood resilience technology that enhances the aesthetic appeal of adapted property would support the uptake of measures. Developments that reduce cost or that offer other aesthetic or functional advantages may also reduce the barriers to uptake. A greater understanding of performance standards for resilient materials will help provide confidence in such measures and support uptake, while further research around the breathability of materials and concerns around mold and the need to avoid creating moisture issues inside properties represent some of the key areas.
Floods affect more people worldwide than any other natural hazard. Flood risk results from the interplay of a range of processes. For river floods, these are the flood-triggering processes in the atmosphere, runoff generation in the catchment, flood waves traveling through the river network, possibly flood defense failure, and finally, inundation and damage processes in the flooded areas. In addition, ripple effects, such as regional or even global supply chain disruptions, may occur.
Effective and efficient flood risk management requires understanding and quantifying the flood risk and its possible future developments. Hence, risk analysis is a key element of flood risk management. Risk assessments can be structured according to three questions: What can go wrong? How likely is it that it will happen? If it goes wrong, what are the consequences? Before answering these questions, the system boundaries, the processes to be included, and the detail of the analysis need to be carefully selected.
One of the greatest challenges in flood risk analyses is the identification of the set of failure or damage scenarios. Often, extreme events beyond the experience of the analyst are missing, which may bias the risk estimate. Another challenge is the estimation of probabilities. There are at most a few observed events where data on the flood situation, such as inundation extent, depth, and loss are available. That means that even in the most optimistic situation there are only a few data points to validate the risk estimates. The situation is even more delicate when the risk has to be quantified for important infrastructure objects, such as breaching of a large dam or flooding of a nuclear power plant. Such events are practically unrepeatable. Hence, estimating of probabilities needs to be based on all available evidence, using observations whenever possible, but also including theoretical knowledge, modeling, specific investigations, experience, or expert judgment. As a result, flood risk assessments are often associated with large uncertainties. Examples abound where authorities, people at risk, and disaster management have been taken by surprise due to unexpected failure scenarios. This is not only a consequence of the complexity of flood risk systems, but may also be attributed to cognitive biases, such as being overconfident in the risk assessment. Hence, it is essential to ask: How wrong can the risk analysis be and still guarantee that the outcome is acceptable?
Dennis John Parker
Humankind is becoming increasingly dependent on timely flood warnings. Dependence is being driven by an increasing frequency and intensity of heavy rainfall events, a growing number of disruptive and damaging floods, and rising sea levels associated with climate change. At the same time, the population living in flood-risk areas and the value of urban and rural assets exposed to floods are growing rapidly. Flood warnings are an important means of adapting to growing flood risk and learning to live with it by avoiding damage, loss of life, and injury. Such warnings are increasingly being employed in combination with other flood-risk management measures, including large-scale mobile flood barriers and property-level protection measures.
Given that lives may well depend on effective flood warnings and appropriate warning responses, it is crucial that the warnings perform satisfactorily, particularly by being accurate, reliable, and timely. A sufficiently long warning lead time to allow precautions to be taken and property and people to be moved out of harm’s way is particularly important. However, flood warnings are heavily dependent on the other components of flood forecasting, warning, and response systems of which they are a central part. These other components—flood detection, flood forecasting, warning communication, and warning response—form a system that is characterized as a chain, each link of which depends on the other links for effective outcomes. Inherent weaknesses exist in chainlike processes and are often the basis of warning underperformance when it occurs.
A number of key issues confront those seeking to create and successfully operate flood warning systems, including (1) translating technical flood forecasts into warnings that are readily understandable by the public; (2) taking legal responsibility for warnings and their dissemination; (3) raising flood-risk awareness; (4) designing effective flood warning messages; (5) knowing how best and when to communicate warnings; and (6) addressing uncertainties surrounding flood warnings.
Flood warning science brings together a large body of research findings from a particularly wide range of disciplines ranging from hydrometeorological science to social psychology. In recent decades, major advances have been made in forecasting fluvial and coastal floods. Accurately forecasting pluvial events that cause surface-water floods is at the research frontier, with significant progress being made. Over the same time period, impressive advances in a variety of rapid, personalized communication means has transformed the process of flood warning dissemination. Much is now known about the factors that constrain and aid appropriate flood warning responses both at the individual and at organized, flood emergency response levels, and a range of innovations are being applied to improve response effectiveness. Although the uniqueness of each flood and the inherent unpredictability involved in flood events means that sometimes flood warnings may not perform as expected, flood warning science is helping to minimize these occurrences.
Glacier retreat is considered to be one of the most obvious manifestations of recent and ongoing climate change in the majority of glacierized alpine and high-latitude regions throughout the world. Glacier retreat itself is both directly and indirectly connected to the various interrelated geomorphological/hydrological processes and changes in hydrological regimes. Various types of slope movements and the formation and evolution of lakes are observed in recently deglaciated areas. These are most commonly glacial lakes (ice-dammed, bedrock-dammed, or moraine-dammed lakes).
“Glacial lake outburst flood” (GLOF) is a phrase used to describe a sudden release of a significant amount of water retained in a glacial lake, irrespective of the cause. GLOFs are characterized by extreme peak discharges, often several times in excess of the maximum discharges of hydrometeorologically induced floods, with an exceptional erosion/transport potential; therefore, they can turn into flow-type movements (e.g., GLOF-induced debris flows). Some of the Late Pleistocene lake outburst floods are ranked among the largest reconstructed floods, with peak discharges of up to 107 m3/s and significant continental-scale geomorphic impacts. They are also considered capable of influencing global climate by releasing extremely high amounts of cold freshwater into the ocean. Lake outburst floods associated with recent (i.e., post-Little Ice Age) glacier retreat have become a widely studied topic from the perspective of the hazards and risks they pose to human society, and the possibility that they are driven by anthropogenic climate change.
Despite apparent regional differences in triggers (causes) and subsequent mechanisms of lake outburst floods, rapid slope movement into lakes, producing displacement waves leading to dam overtopping and eventually dam failure, is documented most frequently, being directly (ice avalanche) and indirectly (slope movement in recently deglaciated areas) related to glacial activity and glacier retreat. Glacier retreat and the occurrence of GLOFs are, therefore, closely tied, because glacier retreat is connected to: (a) the formation of new, and the evolution of existing, lakes; and (b) triggers of lake outburst floods (slope movements).
Russ S. Schumacher
Heavy precipitation, which in many contexts is welcomed because it provides the water necessary for agriculture and human use, in other situations is responsible for deadly and destructive flash flooding. Over the 30-year period from 1986 to 2015, floods were responsible for more fatalities in the United States than any other convective weather hazard (
Brett F. Sanders
Communities facing urban flood risk have access to powerful flood simulation software for use in disaster-risk-reduction (DRR) initiatives. However, recent research has shown that flood risk continues to escalate globally, despite an increase in the primary outcome of flood simulation: increased knowledge. Thus, a key issue with the utilization of urban flood models is not necessarily development of new knowledge about flooding, but rather the achievement of more socially robust and context-sensitive knowledge production capable of converting knowledge into action. There are early indications that this can be accomplished when an urban flood model is used as a tool to bring together local lay and scientific expertise around local priorities and perceptions, and to advance improved, target-oriented methods of flood risk communication.
The success of urban flood models as a facilitating agent for knowledge coproduction will depend on whether they are trusted by both the scientific and local expert, and to this end, whether the model constitutes an accurate approximation of flood dynamics is a key issue. This is not a sufficient condition for knowledge coproduction, but it is a necessary one. For example, trust can easily be eroded at the local level by disagreements among scientists about what constitutes an accurate approximation.
Motivated by the need for confidence in urban flood models, and the wide variety of models available to users, this article reviews progress in urban flood model development over three eras: (1) the era of theory, when the foundation of urban flood models was established using fluid mechanics principles and considerable attention focused on development of computational methods for solving the one- and two-dimensional equations governing flood flows; (2) the era of data, which took form in the 2000s, and has motivated a reexamination of urban flood model design in response to the transformation from a data-poor to a data-rich modeling environment; and (3) the era of disaster risk reduction, whereby modeling tools are put in the hands of communities facing flood risk and are used to codevelop flood risk knowledge and transform knowledge to action. The article aims to inform decision makers and policy makers regarding the match between model selection and decision points, to orient the engineering community to the varied decision-making and policy needs that arise in the context of DRR activities, to highlight the opportunities and pitfalls associated with alternative urban flood modeling techniques, and to frame areas for future research.
Atta-ur Rahman, Shakeel Mahmood, Mohammad Dawood, and Fang Chen
This is an advance summary of a forthcoming article in the Oxford Research Encyclopedia of Natural Hazard Science. Please check back later for the full article.
Hindu Kush is a high mountain system located in the immediate west of Karakorum and Himalayas. It is the greatest watershed of River Kabul, River Chitral, River Swat, and River Panjkora in Pakistan and the Amu River in Central Asia. The Hindu Kush system hosts numerous glaciers, snow-clad mountains, and fertile river valleys; it also supports a large population and provides year-round water to replenish streams and rivers. The study region is vulnerable to a wide range of hazards including floods, earthquakes, landslides, drought, and desertification. However, in the Hindu Kush region, riverine and flash floods frequently occur as well as extreme hydro-meteorological events. The upper reaches experience characteristics of flash floods, whereas the lower reaches experience river floods. In the upstream areas, flash floods are sudden and more destructive in nature. Every year in summer, monsoonal rainfall, together with the heavy melting of snow, ice, and glaciers accelerates discharge in rivers. Climate change has a strong relationship with trends in temperature and resultant changes in rainfall pattern and river discharge. In the wake of observed climate change, there is a rising trend in temperature, which indicates the early and rapid melting of snow and glaciers in the catchment areas. The analysis reveals that in the late 20th and early 21st centuries a radical change in behavior of numerous valley glaciers has been noted. Similarly, a fluctuation in the amount of snowfall occurrences together with its timing and seasonality has been recorded. In addition, the spatial and temporal scales of violent weather events have grown during the past thirty years. Such changes in water regimes including the frequent but substantial increase in heavy precipitation events and rapid melting of snow in the headwater region, siltation in active channels, excessive deforestation in the past three decades, human encroachments onto the active flood channel and the bursting of temporary dams have further escalated the flooding events. Analysis reveals that the Hindu Kush region is beyond the reach of existing weather RADAR network and hence flood forecasting and early warning is ineffective. In the study region, almost every year, the floodwater overflows the levees and causes damages to standing crops, infrastructure, sources of livelihood. And worst of all, there are human casualties.
Parvin Sultana and Paul Thompson
Floodplains are ecologically diverse and important sources of livelihood for rural people. Bangladesh is one of the most floodplain-dominated countries and supports the highest density of rural population in the world. The experience of Bangladesh in floodplain management efforts provides evidence, lessons, and insights on a range of debates and advances in the management of floodplain natural resources, the challenges of climate change, and the role of local communities in sustaining these resources and thereby their livelihoods. Although floodplain areas are primarily used for agriculture, the significance and value of wild common natural resources—mainly fish and aquatic plants—as sources of income and nutrition for floodplain inhabitants has been underrecognized in the past, particularly with respect to poorer households. For example, capture fisheries—a common resource—have been adversely impacted by the building of embankments and sluice gates and by the conversion of floodplains into aquaculture farms, which also exclude poor subsistence users from wetland resources. More generally, an overreliance on engineering “solutions” to flooding that focused on enabling more secure rice cultivation was criticized, particularly in the early 1990s during the Flood Action Plan, for being top down and for ignoring some of the most vulnerable people who live on islands in the braided main rivers. Coastal embankments have also been found to have longer term environmental impacts that undermine their performance because they constrain rivers, which silt up outside these polders, contributing, along with land shrinkage, to drainage congestion. Locals responded in an innovative way by breaking embankments to allow flood water and silt deposition in to regain relative land levels.
Since the early 1990s Bangladesh has adopted a more participatory approach to floodplain management, piloting and then expanding new approaches; these have provided lessons that can be more general applied within Asia and beyond. Participatory planning for water and natural resource management has also been adopted at the local level. Good practices have been developed to ensure that disadvantaged, poor stakeholders can articulate their views and find consensus with other local stakeholders. The management of smaller water-control projects (up to 1,000 ha) has been taken on by community organizations, and in larger water-control projects, there is collaborative management (also called “co-management”) among a hierarchy of groups and associations and the appropriate government agency. In fishery and wetland management, many areas have been managed by community organizations to sustainably restore common resources, although their rights to do this were lost in some cases. Associated with community management are successful experiments in adopting a more system-based approach, called “integrated floodplain management,” which balances the needs of agriculture and common natural resources, for example, by adopting crops with lower water demands that are resilient to less predictable rainfall and drier winters, and enable communities to preserve surface water for wild aquatic resources. Bangladesh also has had success in demonstrating the benefits of systematic learning among networks of community organizations, which enhances innovation and adaptation to the ever-changing environmental challenges in floodplains.
Marian Muste and Ton Hoitink
With a continuous global increase in flood frequency and intensity, there is an immediate need for new science-based solutions for flood mitigation, resilience, and adaptation that can be quickly deployed in any flood-prone area. An integral part of these solutions is the availability of river discharge measurements delivered in real time with high spatiotemporal density and over large-scale areas. Stream stages and the associated discharges are the most perceivable variables of the water cycle and the ones that eventually determine the levels of hazard during floods. Consequently, the availability of discharge records (a.k.a. streamflows) is paramount for flood-risk management because they provide actionable information for organizing the activities before, during, and after floods, and they supply the data for planning and designing floodplain infrastructure. Moreover, the discharge records represent the ground-truth data for developing and continuously improving the accuracy of the hydrologic models used for forecasting streamflows. Acquiring discharge data for streams is critically important not only for flood forecasting and monitoring but also for many other practical uses, such as monitoring water abstractions for supporting decisions in various socioeconomic activities (from agriculture to industry, transportation, and recreation) and for ensuring healthy ecological flows. All these activities require knowledge of past, current, and future flows in rivers and streams.
Given its importance, an ability to measure the flow in channels has preoccupied water users for millennia. Starting with the simplest volumetric methods to estimate flows, the measurement of discharge has evolved through continued innovation to sophisticated methods so that today we can continuously acquire and communicate the data in real time. There is no essential difference between the instruments and methods used to acquire streamflow data during normal conditions versus during floods. The measurements during floods are, however, complex, hazardous, and of limited accuracy compared with those acquired during normal flows. The essential differences in the configuration and operation of the instruments and methods for discharge estimation stem from the type of measurements they acquire—that is, discrete and autonomous measurements (i.e., measurements that can be taken any time any place) and those acquired continuously (i.e., estimates based on indirect methods developed for fixed locations). Regardless of the measurement situation and approach, the main concern of the data providers for flooding (as well as for other areas of water resource management) is the timely delivery of accurate discharge data at flood-prone locations across river basins.
Anna Murgatroyd and Simon Dadson
Flooding is a natural hazard with the potential to cause damage at the local, national, and global scale. Flooding is a natural product of heavy precipitation and increased runoff. It may also arise from elevated groundwater tables, coastal inundation, or failed drainage systems. Flooded areas can be identified as land beyond the channel network covered by water. Although flooding can cause significant damage to urban developments and infrastructure, it may be beneficial to the natural environment. Preemptive actions may be taken to protect communities at risk of inundation that are not able to relocate to an area not at risk of flooding. Adaptation measures include flood defenses, river channel modification, relocation, and active warning systems. Natural flood management (NFM) interventions are designed to restore, emulate, or enhance catchment processes. Such interventions are common in upper reaches of the river and in areas previously transformed by agriculture and urban development. Natural techniques can be categorized into three groups: water retention through management of infiltration and overland flow, managing channel connectivity and conveyance, and floodplain conveyance and storage. NFM may alter land use, improve land management, repair river channel morphology, enhance the riparian habitat, enrich floodplain vegetation, or alter land drainage. The range of natural flood management options allows a diverse range of flood hazards to be considered. As a consequence, there is an abundance of NFM case studies from contrasting environments around the globe, each addressing a particular set of flood risks. Much of the research supporting the use of NFM highlights both the benefits and costs of working with natural processes to reduce flood hazards in the landscape. However, there is a lack of quantitative evidence of the effectiveness of measures, both individually and in combination, especially at the largest scales and for extreme floods. Most evidence is based on modeling studies and observations often relate to a specific set of upstream measures that are challenging to apply elsewhere.
People not only want to be safe from natural hazards; they also want to feel they are safe. Sometimes these two desires pull in different directions, and when they do, this slows the journey to greater physical adaptation and resilience.
All people want to feel safe—especially in their own homes. In fact, although not always a place of actual safety, in many cultures “home” is nonetheless idealized as a place of security and repose. The feeling of having a safe home is one part of what is termed ontological security: freedom from existential doubts and the ability to believe that life will continue in much the same way as it always has, without threat to familiar assumptions about time, space, identity, and well-being. By threatening our homes, floods, earthquakes, and similar events disrupt ontological security: they destroy the possessions that support our sense of who we are; they fracture the social structures that provide us with everyday needs such as friendship, play, and affection; they disrupt the routines that give our lives a sense of predictability; and they challenge the myth of our immortality. Such events, therefore, not only cause physical injury and loss; by damaging ontological security, they also cause emotional distress and jeopardize long-term mental health.
However, ontological security is undermined not only by the occurrence of hazard events but also by their anticipation. This affects people’s willingness to take steps that would reduce hazard vulnerability. Those who are confident that they can eliminate their exposure to a hazard will usually do so. More commonly, however, the available options come with uncertainty and social/psychological risks: often, the available options only reduce vulnerability, and sometimes people doubt the effectiveness of these options or their ability to choose and implement appropriate measures. In these circumstances, the risk to ontological security that is implied by action can have greater influence than the potential benefits. For example, although installing a floodgate might reduce a business’s flood vulnerability, the business owner might feel that its presence would act as an everyday reminder that the business, and the income derived from it, are not secure. Similarly, bolting furniture to the walls of a home might reduce injuries in the next earthquake, but householders might also anticipate that it would remind them that there is a continual threat to their home. Both of these circumstances describe situations in which the anticipation of future feelings can tap into less conscious anxieties about ontological security.
The manner in which people anticipate impacts on ontological security has several implications for preparedness. For example, it suggests that hazard warnings will be counterproductive if they are not accompanied by suggestions of easy, reliable ways of eliminating risk. It also suggests that adaptation measures should be designed not to enhance awareness of the hazard.
Jonathan J. Gourley and Robert A. Clark III
Flash floods are one of the world’s deadliest and costliest weather-related natural hazards. In the United States alone, they account for an average of approximately 80 fatalities per year. Damages to crops and infrastructure are particularly costly. In 2015 alone, flash floods accounted for over $2 billion of losses; this was nearly half the total cost of damage caused by all weather hazards. Flash floods can be either pluvial or fluvial, but their occurrence is primarily driven by intense rainfall. Predicting the specific locations and times of flash floods requires a multidisciplinary approach because the severity of the impact depends on meteorological factors, surface hydrologic preconditions and controls, spatial patterns of sensitive infrastructure, and the dynamics describing how society is using or occupying the infrastructure.
Real-time flash flood forecasting systems rely on the observations and/or forecasts of rainfall, preexisting soil moisture and river-stage states, and geomorphological characteristics of the land surface and subsurface. The design of the forecast systems varies across the world in terms of their forcing, methodology, forecast horizon, and temporal and spatial scales. Their diversity can be attributed at least partially to the availability of observing systems and numerical weather prediction models that provide information at relevant scales regarding the location, timing, and severity of impending flash floods. In the United States, the National Weather Service (NWS) has relied upon the flash flood guidance (FFG) approach for decades. This is an inverse method in which a hydrologic model is run under differing rainfall scenarios until flooding conditions are reached. Forecasters then monitor observations and forecasts of rainfall and issue warnings to the public and local emergency management communities when the rainfall amounts approach or exceed FFG thresholds. This technique has been expanded to other countries throughout the world. Another approach, used in Europe, relies on model forecasts of heavy rainfall, where anomalous conditions are identified through comparison of the forecast cumulative rainfall (in space and time) with a 20-year archive of prior forecasts. Finally, explicit forecasts of flash flooding are generated in real time across the United States based on estimates of rainfall from a national network of weather radar systems.
Guy J.-P. Schumann
For about 40 years, with a proliferation over the last two decades, remote sensing data, primarily in the form of satellite and airborne imagery and altimetry, have been used to study floods, floodplain inundation, and river hydrodynamics. The sensors and data processing techniques that exist to derive information about floods are numerous. Instruments that record flood events may operate in the visible, thermal, and microwave range of the electromagnetic spectrum. Due to the limitations posed by adverse weather conditions during flood events, radar (microwave range) sensors are invaluable for monitoring floods; however, if a visible image of flooding can be acquired, retrieving useful information from this is often more straightforward. During recent years, scientific contributions in the field of remote sensing of floods have increased considerably, and science has presented innovative research and methods for retrieving information content from multi-scale coverages of disastrous flood events all over the world. Progress has been transformative, and the information obtained from remote sensing of floods is becoming mature enough to not only be integrated with computer simulations of flooding to allow better prediction, but also to assist flood response agencies in their operations.
Furthermore, this advancement has led to a number of recent and upcoming satellite missions that are already transforming current procedures and operations in flood modeling and monitoring, as well as our understanding of river and floodplain hydrodynamics globally. Global initiatives that utilize remote sensing data to strengthen support in managing and responding to flood disasters (e.g., The International Charter, The Dartmouth Flood Observatory, CEOS, NASA’s Servir and the European Space Agency’s Tiger-Net initiatives), primarily in developing nations, are becoming established and also recognized by many nations that are in need of assistance because traditional ground-based monitoring systems are sparse and in decline. The value remote sensing can offer is growing rapidly, and the challenge now lies in ensuring sustainable and interoperable use as well as optimized distribution of remote sensing products and services for science as well as operational assistance.
The management of natural hazards is undergoing considerable transformation, including the establishment of risk-based management approaches, the encouragement to govern natural hazards more inclusively, and the rising relevance of the concept of resilience. The benefits of this transformation are usually framed like this: Risk-based approaches are regarded as a rational way of balancing the costs associated with mitigating the consequences of hazards and the anticipated benefits; inclusive modes of governing risks help to increase the acceptance and quality of management processes as well as their outcomes; and the concept of resilience is connoted positively since it demands a greater openness to uncertainties and aims at increasing the capacities of various actors to cope with radical surprises.
However, the increasing consideration of both concepts in policy and decision-making processes is associated with a changing demarcation between public and private responsibilities and with an altering relationship between organizations involved in the management process and the wider public. To understand some of these dynamics, this contribution undertakes a change of perspective throughout its development: Instead of asking how the concepts of risk or resilience might be useful to improve the management and governance of natural hazards, one must understand how societies, particularly with regard to their handling of risks and hazards, are governed through the concepts of risk and resilience.
Following this perspective, risk-based management approaches have a defensive function in deflecting blame and rationalizing policy choices ex-ante by enabling managing organizations to more clearly define which risks they are responsible for (i.e., non-acceptable risks) and which are beyond their responsibility (i.e., acceptable risks). This demarcation also has profound distributional effects as acceptable risks usually need to be mitigated individually, raising the question of how to ensure the just sharing of the differently distributed benefits and burdens of risk-based approaches.
The concept of resilience in this context plays a paradoxical yet complementary role: In its more operational interpretation (e.g., adaptive management), resilience-based management approaches can be in conflict with risk-based approaches as they require those responsible for managing risks to follow antagonistic goals. While the idea of resilience puts an emphasis on openness and flexibility, risk-based approaches try to ensure proportionality by transforming uncertainties into calculable risks. At the same time, resilience-based governance approaches, with their emphasis on self-organization and learning, complement risk-based approaches in the sense that actors or communities that are exposed to “acceptable risks” are implicitly or explicitly made responsible for maintaining their own resilience, whereas the role of public authorities is usually restricted to an enabling one.
Flood Risk Management (FRM) calls for stakeholders from multiple technical and social spheres to plan and implement policies and actions to manage flooding successfully. To work effectively across boundaries of knowledge, practice, priority, scale, institutions, and language created by such interdisciplinary or inter-stakeholder work, it is often necessary to employ intermediaries to create communication pathways between groups and spaces.
Intermediaries (also sometimes referred to as mediators or boundary spanners) are responsible for managing boundaries in such a way that multiple actors are able to communicate effectively with limited ambiguity or frustration. Sometimes, intermediaries enable two actors to come together who would usually not interact. For FRM, knowledge and experiences should ideally be brought together collaboratively and smoothly, whilst accounting for the diversity of perspectives and priorities between stakeholders involved.
Intermediaries may be organizations of humans, e.g., a public communications department; or objects, e.g., a computer model, website, or maps. Recognizing the utility of objects as intermediaries is important for understanding the multiplicity of mechanisms used to communicate FRM between experts and nonspecialist publics.
Charting how intermediaries bridge different boundaries, we see the diversity and utility of their work. Inspecting the construction of boundary objects as intermediaries allows the actors involved in their creation and definition to be identified and analyzed. This is important as it may contribute an understanding of how just and representative FRM decision making is.
Since the 1980s, various academic literatures from science and technology studies (STS) to organizational studies have addressed the role of intermediaries and mediators, particularly in relation to business management, computer sciences, and biomedicine. However, in FRM where risk analysis and communication is king, discussing how to manage pertinent and credible transboundary information is also important.
Recent extreme hydrological events (e.g., in the United States in 2005 or 2012, Pakistan in 2010, and Thailand in 2011) revealed increasing flood risks due to climate and societal change. Consequently, the roles of multiple stakeholders in flood risk management have transformed significantly. A central aspect here is the question of sharing responsibilities among global, national, regional, and local stakeholders in organizing flood risk management of all kinds. This new policy agenda of sharing responsibilities strives to delegate responsibilities and costs from the central government to local authorities, and from public administration to private citizens. The main reasons for this decentralization are that local authorities can deal more efficiently with public administration tasks concerned with risks and emergency management. Resulting locally based strategies for risk reduction are expected to tighten the feedback loops between complex environmental dynamics and human decision-making processes. However, there are a series of consequences to this rescaling process in flood risk management, regarding the development of new governance structures and institutions, like resilience teams or flood action groups in the United Kingdom. Additionally, downscaling to local-level tasks without additional resources is particularly challenging. This development has tightened further with fiscal and administrative cuts around the world resulting from the global economic crisis of 2007–2008, which tightening eventually causes budget restrictions for flood risk management. Managing local risks easily exceeds the technical and budgetary capacities of municipal institutions, and individual citizens struggle to carry the full responsibility of flood protection. To manage community engagement in flood risk management, emphasis should be given to the development of multi-level governance structures, so that multiple stakeholders share fairly the power, resources, and responsibility in disaster planning. If we fail to do so, some consequences would be: (1), “hollowing out” the government, including the downscaling of the responsibility towards local stakeholders; and (2), inability of the government to deal with the new tasks due to lack of resources transferred to local authorities.