............. . . . . . .

IWRM Guidelines at River Basin Level

United Nations
Educational, Scientiﬁc andCultural Organization

International
Hydrological Programmeof UNESCO

A contribution to the United
Nations World Water Assessment
Programme

IWRM

GUIDELINESPART 1 Principles

atRiver Basin Level

PART 2-1 The Guidelines for IWRM Coordination

PART 2-3 Invitation to IWRM for Irrigation Practitioners

This set of Guidelines is a ‘Living Document’.
If you have implemented IWRM in your basin, and if you have found a ‘Key for Success’please provide feedback so that your work can be included in future updates.
As IWRM is an evolving process, these guidelines also have to evolve.

<<<

Part 2-2 The Guidelines for Flood Management>>> PART 2-2 The Guidelines for Flood Management

PART 2-2
THE GUIDELINES FOR FLOOD MANAGEMENTUNESCO IHP Secretariat URL http://www.unesco.org/water/

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TABLE OF CONTENTS
1 FEATURES AND STRUCTURE
OF THE GUIDELINES .................................... 3
1.1 Features ...................................................................... 3
1.2 Structure .................................................................... 3
2 SECTORAL PERSPECTIVES FOR
FLOOD MANAGEMENT IN IWRMX ............. 4
2.1 Perspectives of other sectors................................ 4
2.2 Relationship with overall coordination ............... 6
3 KEY FOR SUCCESS TO FLOOD
MANAGEMENT IN IMPLEMENTING
THE IWRM PROCESS ................................... 7
3.1 Phase 1: Recognizing and identifying .................... 8
3.1.1 Recognition and identiﬁcation ofproblems and needs ............................................................ 8
3.1.2 Public awareness, accountability andcapacity building ................................................................... 9
3.2 Phase 2: Conceptualizing ......................................10
3.2.1 Assessment and conceptualizationx .................10
3.2.2 Draft planning ........................................................11
3.3 Phase 3: Coordination and detail planning........123.3.1 Building coordination mechanisms
and coordination.................................................................123.3.2 Preliminary agreement and ﬁnalizing
the plan.................................................................................13
3.4 Phase 4: Implementing, monitoringand evaluating.................................................................16
3.4.1 Implementation, monitoring and evaluation ....16
3.5 Important aspects of the IWRM process:policies/national strategies, legislative
frameworks and ﬁnancing ...........................................173.5.1 Policies/national strategy, legislative
framework and ﬁnancing .................................................17
4 IWRM PROCESS ....................................... 19
4.1 Phases, steps and keys for successin the IWRM process ...................................................194.1.1 Phase 1: Recognizing and identifying .................20
4.1.2 Phase 2: Conceptualizing ......................................21
4.1.3 Phase 3: Coordination and detail planning ......22

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4.1.4 Phase 4: Implementing, monitoringand evaluating ...................................................................23
4.1.5 Important aspects of IWRM process:Policies/national strategies, legislative
framework, ﬁnancing .......................................................24
4.2 The ‘IWRM spiral’ conceptual model .................25
4.2.1 The IWRM spiral ..............................................25
4.2.2 Stages of the IWRM spiral ..............................26
4.2.3 Recognizing the stage shift..............................26
4.2.4 Where do you stand in the spiral? ....................26
5. GOOD EXAMPLES FOR FLOOD
MANAGEMENT ............................................ 27
5.1 Philippines: Pasig-Marikina River Basin ..............29
5.2 Japan: Tsurumi River Basin ....................................38
5.3 Indonesia: Brantas River Basin .............................47
5.4 Kenya: Nyando River Basin ..................................52
5.5 Other Examples......................................................55
5.5.1 Argentina ..................................................................55
5.5.2 Bangladesh ............................................................. 56
5.5.3 China.........................................................................59
5.5.4 Costa Rica ...............................................................60
5.5.5 Japan.........................................................................61
5.5.6 Laos .......................................................................... 68
5.5.7 Thailand ....................................................................69
5.5.8 Uganda.................................................................... 70
6 USEFUL TOOLS FOR FLOOD
MANAGEMENT ............................................ 71
6.1 Flood hazard map ...................................................71
6.2 Distribution of ﬂood alerts andﬂood forecast information via GFAS/IFAS ...............72
6.3 Training of disaster crisis management ..............73
6.4 Flood ﬁghting drills ................................................73
6.5 Workshops for preparing appropriate
hazard maps....................................................................73
6.6 Integrated Flood Management (IFM) .................74
Bibliography ....................................................................75

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1. Features and Structure of the Guidelines

1.1 FEATURES‘The Guidelines for Flood Management’ is intended
for IWRM practitioners of ﬂood management. It is
intended to be used as introductory guidance forthose tackling IWRM for the ﬁrst time, or as training
material for intermediary practitioners and trainersof IWRM. For IWRM experts, it can be used as a reference guide to tackle the various issues and problems they face in their IWRM activities.

1.2 STRUCTURE
The Guidelines consist of ﬁve parts: 1) Sectoral Perspectives, 2) Key for Success, 3) IWRM Process, 4)Good Examples and 5) Useful Tools. These elements
are linked by reference indices, which allow you tomove from one to another in the way most convenient to you.
Chapter 2/Sectoral Perspectives for ﬂood
management in IWRM
This section illustrates the principles of actions andinterests of water-related sectors in ﬂood management and IWRM. Each sector values water andinteracts with water differently. This section provides
information on how individual water-related sectors
tend to think and act, how these sectors typicallyrelate to ﬂood management and IWRM, and what
they might want to convey to other sectors.
Chapter 3/Key for Success to ﬂood
management in implementing the IWRM
process
A ‘Key for Success’ is a key that can be used in practice to help make IWRM succeed. It is a key to enablebreakthroughs in challenging situations, opening thedoor to better IWRM. Many of them have alreadydemonstrated their worth in practice. Some are
generic, i.e. they apply to every successful example of
IWRM, others may apply only to speciﬁc situations,and some may not be in place as yet.
Chapter 4/IWRM Process‘IWRM Process’ describes a typical process for IWRM
implementation. It also illustrates keys for successrelevant to each phase or step of the process. These
help you to orient yourself through the process andserve as a map for ﬁnding directions or the correct‘key’ for enhancing water resources management.
Chapter 5/Good Examples for ﬂood
management
This section includes best practice examples
of IWRM at the river basin level in the form of1) case stories illustrating actual IWRM efforts, and2) ‘Extracted Key for Success’ highlighting elementsof success in enhancing IWRM. Furthermore, they are
action-oriented guidelines. Good Examples includedin these guidelines are collected through actions, byvisiting sites and conducting interviews with local
resource persons.
Chapter 6/Useful Tools for ﬂood
management‘Useful Tools’ provide useful ideas or materials thatcan be used to explain or understand complex issues
encountered during IWRM implementation. Goodutilization of these tools will enable effective and efﬁcient implementation of IWRM.

IMPORTANT NOTE
You do not have to read the entire document. Thisset of Guidelines is designed to enable you to skip
to speciﬁc sections depending on your needs.

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2 – SECTORAL PERSPECTIVES

2. Sectoral Perspectives in IWRM

2.1 PERSPECTIVES OF OTHER SECTORS
Flood management projects impact various sectors.
They can often have the following perspectives orinterests. Flood managers should keep these in mind
when implementing ﬂood control measures in orderto ensure smooth coordination with relevant stakeholders. Inadequate coordination may lead to repeatedrevisions of plans or delay in implementation.
2.1.1 Impacts by water-use sectors(domestic, agricultural and industrial
water supply and hydropower sectors)• In withdrawing water from rivers, water-use sectors want their water-intake facilities and locations
to enable efﬁcient water diversion.
Water intake structures may block ﬂoodwater ﬂow; fewer and smaller structures aredesired.

• When developing multi-purpose water storage facilities such as dams, water-use sectors want to secure
as much capacity as possible for water utilization.
Due to the limitations of dam capacity, thismay interfere with ﬂood-control capacityand efﬁcient ﬂood control operations.
• During ﬂood events, the agricultural sector tries
to drain stormwater from their agricultural land
as quickly as possible in order to avoid prolonged
ﬂooding of crops and the resulting negative impacts
to agricultural production.
The timing and quantity of drainage needs tobe controlled taking into account river waterlevels.

• When a structure that crosses a river channel(such as a distribution line for domestic, industrial
or agricultural water) is being planned or designed
by a water-use sector, they would normally try toﬁnd a location, direction or structural design for
their structure (bridge, siphon or tunnel) that can
distribute water in the most economical way.
In order to prevent such structures fromblocking ﬂood ﬂow or negatively impacting
ﬂood control facilities such as levees, thewater-use sector plan, regarding the location/direction of the structure, needs to bechanged accounting for levels of impacts
such as ﬂood-ﬂow interference or on ﬂood
control facilities, etc. It should also accountfor river improvement/construction plans
for levees, facilities, water courses, etc.
2.1.2. Impacts by drainage and sewerage
sectors• Drainage and sewerage sectors expect theirdrainage facilities and locations to enable fast andefﬁcient stormwater drainage into rivers via urban
or sewer drainage systems in order to prevent
inland ﬂooding.
In areas where drainage facilities for inland
ﬂood control are extensively developed, but
the river channel does not have adequate
ﬂood control measures implemented, drainage activities or the construction of further
drainage facilities could cause the ﬂood discharge capacity of the river to be exceeded.
Prohibiting or restricting drainage operations/activities during ﬂood events should be
discussed with ﬂood managers. It is neces-

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sary to set drainage locations in a manner thatminimizes ﬂood risk to the basin by accounting for areas that need to be protected or are
vulnerable to ﬂood risks.
2.1.3. Impacts by the environmental sector• The environmental sector is concerned about theenvironmental impacts of constructing or improving
ﬂood control infrastructure.
There could be total opposition from the environmental sector, as well as requests for revising plans, further implementation of environmental impact reduction measures, or detailed
investigations and reassessments based on theﬁndings of investigations, etc. These could leadto delays in the realization of beneﬁts fromﬂood control measures.

• The environmental sector considers it desirable
that habitats for fauna and ﬂora be maintained intheir natural condition. They consider that native
vegetation species including trees in river channels
should be conserved.
Tree growth in river channels can interferewith ﬂood discharge, or negatively impact ﬂood
control facilities such as levees and gates.
2.1.4. Impacts by municipalities and developers• Local municipalities may consider developing housing and industries in the basin with public conveniences and industry as their priorities.
Such developments will increase ﬂood risks
and could interfere with river improvement
projects.

• They may seek to make effective use of available
land by promoting the development of natural andunused land.
This will reduce the inﬁltration and water retention capacities of the basin areas, resulting inhigher basin runoff and higher risk of ﬂooding.
• Local municipalities and developers may wish to utilize and develop land in the basin to optimize theuse of land resources.

Increased usage of waterfront areas will
increase ﬂood risks. It also may interfere withriver channel improvement. Development in
the basin reduces stormwater permeability
and the storage capacities of the basin. Floodrunoff increases and heighten ﬂood risks inthe area.
• Local municipalities and developers may wish to utilize the waterfront area of rivers and lakes and promote the use of facilities situated in such areas forrecreational purposes, such as sports facilities, parks,
promenades, etc.They may wish to promote greateruses of the river and water recreational spaces.
More use of waterfront areas of rivers andlakes during ﬂood events increase ﬂood risks
in the area. Locating facilities along the waterfront will also increase ﬂood risks.
2.1.5. Relevance with society as a whole• Society recognizes the threats of ﬂoods and theimportance of ﬂood risk management when hit
by a major ﬂood disaster, but as time passes thatawareness fades. This is particularly prominent inareas where people do not suffer directly fromﬂoods.
Flood managers are concerned by this andwant society to remain alert to potential ﬂood
risks as these can occur at any time.
2.1.6. Impacts by other sectors• Fisheries are dependent on the existing environment of rivers. The ﬁshery sector will oppose
destruction of ﬁsh habitats for ﬂood management.
They will also wish to be able to make use of theirvessels and construct infrastructure, such as ports,
in locations efﬁcient for their business.
Flood control measures that cause signiﬁcantriver and basin alteration may be restrictedfrom the standpoint of ﬁsheries conservation.
Fisheries infrastructure may interfere withﬂood ﬂow or ﬂood control facility construction. Furthermore, decreasing normal ﬂow will
also interfere with their navigation.

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2 – SECTORAL PERSPECTIVES• When a structure that crosses a river channel(such as roads, railways and lifeline infrastructure)
is being planned or designed by other sectors, theywould normally try to ﬁnd a location, direction or
structural design for their structure that is themost efﬁcient and economical.
In order to prevent such structures fromblocking ﬂood ﬂow or negatively impacting
ﬂood control facilities such as levees, coordination is necessary with other sectors
regarding the location/direction of the structure and levels of impacts such as ﬂood-ﬂow
interference or impacts on ﬂood control
facilities, etc. It should also account for river
improvement/construction plans for levees,
facilities, water courses, etc.
• Navigation sectors or those who transport goods
and people using boats may try to construct docks
or mooring facilities in a convenient location andtry to moor on water for efﬁcient transport. They
may also dredge channels in order to ensure adequate navigable space and the preferred route fornavigation.
Such activities may interfere with ﬂood ﬂow.
The facility locations and their size have tobe accounted for and there must be coordination with their representative in order toprevent such impacts. Dredging may increase
the discharge capacity of the channel but
over-dredging or dredging close to structures could cause river ﬂow to scour riverfacilities and cause negative impacts.

• People living in poverty may be living or cultivatingon the ﬂood plain of a river.
This increases ﬂood risks. Coordination withother policy measures need to be considered
in order to prevent a proliferation of new
settlements into areas of ﬂood risk and to
facilitate the smooth relocation of existing
inhabitants.

2.2 RELATIONSHIP WITH OVERALL
COORDINATION
Flood managers generally coordinate with the relevant
stakeholders, together with the managers responsible
for overall IWRM coordination.The principle of IWRM
coordination requires maximum participation of stakeholders – a process that can take a long time. Close
collaboration and a good understanding by IWRM
coordinators of the need for ﬂood management arenecessary to ensure that adequate priority is given to
ﬂood management within the overall water resourcesmanagement objectives, and that the beneﬁts of ﬂood
control measures can be achieved in a timely manner.
Effective collaboration with IWRM coordinators canlead to smooth coordination with other sectors. Floodmanagement can also contribute to other water-use
sectors and lead to cost effective multi-sector collaboration. Thus, it is important that ﬂood managers andIWRM coordinators work in close collaboration.

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3. Key for Success to Flood Managementin Implementing the IWRM Process

A ‘Key for Success to ﬂood management’ is a key thatcan be used in practice to help make IWRM succeed.
They are keys to establishing breakthroughs in challenging situations, or to opening the door for better
IWRM. They provide tips and clues for making progress in the IWRM process. (see Fig. 3.1).
Many of the keys for success have been proven inpractice and are linked to Good Examples in Chapter 5. Some are generic, in other words, apply toevery successful example of IWRM; others may apply
only to speciﬁc situations, and some may not be inplace as yet. You do not have to apply them all. Work
with them to see how they can assist you to moveahead with IWRM implementation in your basin.
Each ‘Key for Success’ is explained using the following
format.
•••

Key: The essence of the ‘Key for Success’ is indicated in bold in the box.
Why: The reason why the ‘Key for Success’ isimportant or useful is indicated in the box.
How: The ways of implementing the ‘Key for Success’ are indicated outside the box.

You will also ﬁnd links to Useful Tools and Good
Examples for easy reference.

Fig. 3.1 IWRM Process

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3 – KEY FOR SUCCESS

3.1 PHASE 1: RECOGNIZING AND
IDENTIFYING
The important part of this phase is to ‘recognize’
the need for IWRM and to grasp the overall pictureof existing issues in the basin. Things to note in thisphase are:
• Do you understand the needs and problems? Are
you in need of IWRM?
• Are you aware of past evaluation results and thecurrent situation?
• Are you thinking into the future?

Recognizing the need for IWRM through identiﬁcationof needs and problems in the basin becomes the catalyst
for improving water resources management in the basin.
It is important to proactively ‘recognize’ the needs, andyour understanding of the situation can be measured
by how well you can make others understand. You canidentify existing basin-wide issues by exploring the needs
for improving existing approaches or schemes based on
existing or past evaluation results, and by being alert tonewly-arisen problems and needs as a result of socioeconomic and environmental changes.

3.1.1 Recognition and identiﬁcation of problems and needs

1.1.1 Risk assessment
Identify and prioritize the areas at risk of ﬂooding and the extent of that risk in the basin.
• Implementing shortsighted local measures without evaluating the risks for the entire basin may result invulnerable areas or areas in most need being overlooked.

• To improve the safety level while ensuring overallbalance across the basin, mitigate or reduce risks inhighly vulnerable areas. For this, it is necessary to
identify areas at risk of ﬂooding and the extent ofthat risk for the entire basin.
• To implement this as quickly as possible, ﬁrst collect/organize the following information. It is important to identify and prioritize the information necessary for evaluation or decision making.
o Gather information regarding locations andinundation areas of past ﬂood events fromnewspaper articles, publications, and interviews with elders, etc.
o Establish which information is signiﬁcant: beaware of the sites, observe the basin and listen to people’s opinions.
o Verify the objectivity of the gathered information.
• According to the level of information gathered,attention should be paid to the following points:o Areas exposed to highest risks should be

identiﬁed based on objective informationsuch as geographic, hydraulic or hydrological
data of the river and basin, if such data canbe obtained. In such cases, the data used alongwith risk assessment results should be madeavailable to the public to ensure transparency.
o Risk assessment based on occurrence probability and expected loss can lead to efﬁcientand effective measures.
• It is important to disseminate and share the collected information and assessment results withstakeholders and residents of the basin.
Good Examples• Indonesia: ﬂood risk assessment in the Brantas
River Basin >> See 5.3(1)• Costa Rica: Vulnerability analysis and risk assessment for seismic and ﬂood hazard in Turialba City>> See 5.5.4(1)• Japan: Identiﬁcation of ﬂood risk areas in the Kitakami River Basin >> See 5.5.5(1)8 IWRM Guidelines at River Basin Level – Part 2-2: The Guidelines for Flood Management

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3.1.2 Public awareness, accountability and capacity building

1.2.1 Capacity building
Conduct regular training, and make use of local experience and technologies.
• River administrators and ﬂood managers must understand the danger of ﬂooding and take appropriate
measures in order to prepare. Lack of an appropriate response will lead to an increase in ﬂood damage.

• Under the slogan ‘strengthening the disaster
reduction capacity of the basin’, deﬁne the rolesof the relevant parties such as river/ﬂood administrators, persons in charge of disaster reduction,and ﬂood prevention groups. Conduct regulartraining and drills to ensure all can adequately
serve in their respective roles. Moreover, establish a capacity-development framework, as listed
below, to transmit ﬂood management knowledge
and encourage managers familiar with the basin
and rivers.
o Inherit traditional techniques from elders in
the community.

o Educate trainers who can organize workshops in their own community.
o Utilize the training courses offered by technology cooperation agencies.
Good Examples• Japan: Joint Flood-Fighting Drill – Regular training with various stakeholders in the basin >> See
5.5.5(2)Useful Tools• Flood ﬁghting drills >> See 6.4• Workshops for preparing appropriate hazard maps>> See 6.5

1.2.2 Technology development
Develop technology that fully reﬂects local conditions.

• Adapting technology from other basins or countries without adequate consideration of the local situation
will not lead to effective technological development nor effective application of the technology.

• In order to tackle the local situation, it is necessary
to undertake technological development/application, building upon regional experience.
• In areas where funding for ﬂood measures is insufﬁcient, it is particularly important to develop technologies utilizing affordable and locally-accessible
materials.
o Research traditional local techniques.
o Establish/revise technological standards, etc.
o Develop technologies for efﬁcient collection/
distribution of various information.

o Develop the human resources needed fortechnological development/application.
Good Examples• Japan: Control ﬂoods using traditional local techniques >> See 5.5.5(3)• Laos: Riverbank protection using low-cost local
materials such as stone and fascine >> See
5.5.6(1)

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3 – KEY FOR SUCCESS

3.2 PHASE 2: CONCEPTUALIZINGThe point of this phase is to understand the overall
structure of the problem and to conceptualize future
actions. Things to note in this phase are:
• Is it in line with social demands?
• Is it well balanced?
• Do you understand the constraints and are you
exploring ‘what you can do’?

By viewing the structure of the problem from a
broader perspective, you will be able to ﬁnd clues ora place to start to ﬁnd a solution. Furthermore, youwill have to consider the course of action and therelevant stakeholders and their relationships in orderto tackle the problem.You can conceptualize possible
solutions by laying out various alternatives that meet
the basin-wide balance as well as the balance between
supply and demand and the balance among stakeholders. then narrow down the list on the basis of thegiven constraints. You may have to disregard certain
aspects of your ideal plan in order to make
implementation a reality.

3.2.1 Assessment and conceptualization

2.1.1 Stakeholder participation
Understand in advance the roles and responsibilities of stakeholders in the basin.
• Involvement of stakeholders without clearly deﬁned responsibilities or positioning in the basin may resultin a failure to achieve consensus.
• Choosing a ﬂood management strategy is an important factor for the well being of both human lives
and assets in the region. Achieving the goals set in
the strategy is time-consuming, and infrastructuredevelopment requires extensive ﬁnancial resources.
It is therefore necessary to create opportunities toenable any stakeholder in the basin to participate.
However, establishing a participatory framework
without understanding the roles and responsibilities of the stakeholders will lead to misguided
policies and failure to achieving consensus–building.
Therefore, it is important to clarify the roles andresponsibilities in advance. The following points
should be taken into account when making a decision on who to involve, at what stage, and how to
involve them in relation to the basin issues.

o Target: Who are affected by ﬂoods? Whatis the magnitude of the impact? Direct/indirect, level of local interaction, public/personal
stance, etc.
o Phases: planning, implementation, monitoring
and revision phases of the ﬂood management
plan, etc.
o Methods: public brieﬁng, public hearing, establishing committees, public comments, etc.
Good Examples• Bangladesh: Compulsory public consultation forany ﬂood management plan >> See 5.5.2(1)• Japan: Stakeholder participation in the Tsurumi
River Basin >> See 5.2(3)• Philippines: Pasig River Rehabilitation Commission>> See 5.1(1)10 IWRM Guidelines at River Basin Level – Part 2-2: The Guidelines for Flood Management

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2.1.2 Coordination
Ensure effective coordination and cooperation of interests among stakeholders.
• Smooth implementation of a project is difﬁcult to achieve without clearly deﬁning the responsibilities of
stakeholders, coordinating their interests and reaching consensus.
• A characteristics of ﬂood management is that it‘involves numerous beneﬁciaries and responsible
parties interacting with each other in a complicatedand diverse manner under various settings, suchas upper and lower reaches, left and right banks,
or distance from the river.’ Thus, it is necessary
to establish a common understanding of the history, culture, and features of the basin in order toeffectively coordinate ﬂood management efforts.To
this end, it is important to ﬁrst clarify the interestsof stakeholders by asking such questions as ‘who
are impacted by ﬂoods and how?’, ‘who will beneﬁt
from ﬂood management measures and how?’, and‘who will be responsible for the costs associatedwith ﬂood management?’ The answers to theseshould be accounted for in facilitating coordinationand cooperation among stakeholders.
• Realizing the above-mentioned coordination efforts
involves extensive assessments and reviews. First, it
is advisable to identify organizations or individuals
with the following qualities and involve them, sothat the process can be facilitated in the way mostappropriate for the local situation:o Individuals, such as the local elders, or organizations with a good knowledge of the basin
and its characteristics; who are familiar withpast ﬂood disasters and their causes, and possess the ability to foresee future ﬂood damage potential.
o Individuals such as local leaders, or organizations with a good knowledge of who
local stakeholders are, and how to get them
involved.
o Individuals or organizations with ‘a neutral
stance, entrusted by stakeholders involved inpast basin activities with specialized knowledge on ﬂood management. Credibility froma wide range of stakeholders is necessary inorder to build consensus in the basin and not
be inﬂuenced by speciﬁc stakeholder(s).
• Setting up a specialized body responsible for ﬂood
management will facilitate smooth coordination
with the related agencies.
Good Examples• Japan: Decision-making mechanism centered on
the Tsurumi River Basin Council and the Hiji River
Basin Committee >> See 5.2(3) and 5.5.5(4)• Indonesia: Brantas river basin development project>> See 5.3(2)• Kenya: Establish an organization specialized in ﬂood
management administration >> See 5.4(1)3.2.2 Draft planning

2.2.1 Planning
Develop a plan for balanced ﬂood management in the entire basin.
• Planning based on one-sided and locally-focused perspectives could lead to adverse effects, wasteful investment, or re-planning.
• As subsequent speciﬁc measures will be basedon initial planning, the planning stage is extremely
important. The balance of ﬂood management in thebasin as a whole should be considered during theplanning stage. The basin should be the basic unit inplanning.

• If a ﬂood management plan has not been developed
as yet and a new plan needs be developed, pay attention to the following points:
o It is necessary to establish a good understandingof the existing plans of other sectors (land use, city
planning, etc.) and ensure mutual consistency.

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3 – KEY FOR SUCCESSo Flood mitigation measures in one area could
possibly induce ﬂooding in another area. The
plan should ideally be agreed upon by othersectors by taking into account the balance
between the upper and lower river, and theimpacts on the environment and river/wateruses.
o Prepare both long and short-term plans. This
will permit the creation of a long-term vision
while addressing pressing issues. The longterm plan illustrates the future vision of thebasin, while the short-term plan identiﬁes priorities among speciﬁc measures.
o Infrastructure development can take anextremely long period of time before completion. It is necessary to develop a plan incollaboration with other sectors, with a wide
range of options, such as retarding ponds,
inﬁltration trenches, and land-use measures/
regulations in the basin.
• When coordinating a plan and building consensus,
pay attention to the following in order to ensure asocially equitable plan and transparency during theplanning process:o In order to account for future changes, such

3.3 PHASE 3: COORDINATION AND
DETAIL PLANNING
This phase ﬁnalizes the concepts formulated in Phase
2 into a detailed plan and coordinates with stakeholders toward reaching an agreement.
• Is transparency secured (satisfying to the reason)?
• Are stakeholders convinced (satisfying to the heart)?
• Is it socially fair (satisfying to the law)?

as shifts in social situation or public needs, orchanges in external conditions due to impacts
such as climate change, prepare a frameworkthat allows the plan to be changed or revised
in a ﬂexible manner.
o It is difﬁcult to grasp the overall picture andarrive at the best answer straight away. It isnecessary to prepare various options fromthe draft-planning phase and negotiate andcoordinate with and among stakeholders,
while taking into account the balance within
the basin.
o Depending on the situation, coordination
sometimes requires the suppression of selfinterested claims by certain stakeholders. In
such cases, negotiate by demonstrating thekinds of negative impacts that could be triggered by their actions.
Good Examples• Japan: Comprehensive ﬂood control measures tocope with rapid urbanization in Tsurumi River Basin>> See 5.2(1)• Kenya: Integrated ﬂood management plan in Nyando
river basin >> See 5.4(1)Coordination for reaching agreement on a draft
plan means revising the plan based on the opinionsof relevant stakeholders. A transparent process andpublic awareness are prerequisites for ensuring effective stakeholder participation. They also ensure thesocial fairness of the process. Striving to improve thesituation of all stakeholders will facilitate reaching anagreement.

3.3.1 Building coordination mechanisms and coordination

2.1.1 Stakeholder participation
Understand in advance the roles and responsibilities of stakeholders in the basin.

>> See Key for Success [2.1.1]

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2.1.2 Coordination
Ensure effective coordination and cooperation of interests among stakeholders.

>> See Key for Success [2.1.2]
2.2.1 Planning
Develop a plan for balanced ﬂood management in the entire basin.

>> See Key for Success [2.2.1]
3.3.2 Preliminary agreement and ﬁnalizing the plan

3.2.1 Maximized beneﬁt
Implement measures that maximize the beneﬁts of the basin as a whole.

• Infrastructure development necessitates signiﬁcant investment both in terms of cost and time. Moreover, the infrastructure will be utilized over a long period. Attempts should be made to maximize thebasin-wide beneﬁts of such infrastructure development and minimize the negative impacts.
• In areas where sufﬁcient data can be obtained,
effective infrastructure allocation and distribution
for maximizing beneﬁts should be examined, taking
into account current and future development, natural/social environment and historical changes. After
careful consideration and selection of the optimal
option, undertake the following arrangements orschemes during implementation to allow early realization of the beneﬁts. Careful consideration for
appropriate maintenance and environmental conservation are also important.
o Focus investment on high-risk areas whileaiming for early completion of projects andthe reduction of total costs.
o Develop projects in collaboration with otherusers/donors, utilizing basin-wide coordinating organizations or mechanisms. Consider
the ﬂood-related infrastructure developmentin the basin in a comprehensive manner andtry to improve its efﬁciency.

o View existing infrastructure as a basin asset,
and consider improving the operational efﬁciency of the existing infrastructure in thebasin as a whole. This can include the integrated operation of multiple facilities, reallocation of reservoir capacities, capacity
expansion, life-extension of infrastructure byadequate asset management (regular/effective
maintenance), etc.
• Sufﬁcient data and objective assessment methodologies are necessary for the evaluation of beneﬁts
and impacts. In case such data or methodology are
not available, utilizing the support of international
agencies or donors can be an option.
Good Examples• Japan: Multi-purpose retarding basin >> See 5.2(2)• Japan: Multi-purpose dam in the Kitakami River Basin– Flood control and other purposes (e.g. water utilization, power generation) >> See 5.5.5(5)IWRM Guidelines at River Basin Level – Part 2-2: The Guidelines for Flood Management

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3 – KEY FOR SUCCESS

3.2.2 Regulation of activities
Prevent actions/activities that cause negative consequences with regards to ﬂood management in coordination with basin stakeholders.
• If development activities in the basin are independently conducted with no consideration for their impact
on ﬂood risks, the ﬂood safety level may not improve at the rate that ﬂood managers anticipate.
• In order not to increase ﬂood risks in the basin it isimportant to undertake the following approaches
in coordination/collaboration with the relevant
parties in the basin:o Request ﬂood managers to conduct risk
impact assessments as well as environmental
impact assessments.
o Prevent actions that could disturb river ﬂow
and increase the risk of ﬂooding (constructing
structures in rivers, sediment embankments,
construction of bridges in the bottle-necksection of a river, etc.)
o Prevent or control large-scale land development that increases runoff (large-scale deforestation, development of natural area, largescale reclamation, etc.)

o Regulate land use in the ﬂoodplains to prevent increase in ﬂood risks due to development activities.
o Reduce the number of residential houses atrisk from ﬂoods and promote ﬂood-resistanthousing.
o Install facilities to reduce runoff (rainwater
storage/inﬁltration facilities).
o Improve the awareness of residents on how
to avoid risks through ﬂood insurance, etc.
Good Examples• Japan: Enforce installation of runoff control facility>> See 5.2(4)• Bangladesh: Legislation controlling developments in
ﬂood plains and wetlands, and the new concept of
ﬂood control >> See 5.5.2(2)3.2.3 Raising awarenessTake steps to ensure residents understand the existing risks in the river/basin.
• Lack of prior understanding of ﬂood risks among basin residents could cause intensiﬁed damage.
• Reduce and minimize ﬂood damage by improving
local awareness. Provide information on risks andevacuation.
• It is important to gradually facilitate residents’
understanding according to the level of existingknowledge on ﬂood disasters.
o Research local stories on historical ﬂoods
and traditional measures against ﬂooding.
o Understand the roles of levees, dams, naturalbasin storage, etc.
o Incorporate knowledge on ﬂood management
into the school education curriculum.

o Facilitate understanding of the roles of national
government, municipalities, local communities
and individuals (self-help/mutual-help/public
assistance).
o Understand the roles of citizen groups andvolunteers.
Good Examples• Philippines: Information Campaign and Publicity >>See 5.1(3)Useful Tools• Flood hazard map >> See 6.1

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3.2.4 Information sharing
Inform residents of risks as soon as possible at the time of ﬂooding.
• Alerting residents at immediate risk is the ﬁrst priority in order to minimize casualties and reduce ﬂood
damage.
• At the time of ﬂood occurrence, promptly communicate and alert residents, and execute an evacuation
at an appropriate time in an appropriate manner inorder to minimize causalities and reduce ﬂood damage. In regions where a communication framework is
not yet established, proactively promote the development of an observation system, while ensuring that
individuals know what levels of rain or river water
could cause danger and require an evacuation. Useful information can be obtained from past ﬂoods or
traditional wisdom passed down from community
elders.
o It is advisable to establish a reliable communication system and secure several options of communication (alarm bells, whistles, oral communication, blasting sounds, siren,TV, radio, etc).

o Regular communication and evacuation drills
should be undertaken.
Good Examples• Philippines: Development ﬂood forecasting andwarning systems for river basins >> See 5.1(4)• Argentina: Share information with public >> See
5.5.1(1)• Thailand: Installation of Early Warning Systemand stafﬁng a person responsible for evacuation
guidance >> See 5.5.7(1)Useful Tools• Distribution of ﬂood alert information via GFAS>> See 6.2

3.2.5 Crisis management
Prepare a framework/system that can execute crisis management in a basin.
• If ﬂood protection measures are insufﬁcient and unexpected events occur, the lack of a quick and effective
ﬂood emergency response could result in serious ﬂood damage.
• In order to minimize casualities among residents
and damage to assets in the basin, it is necessary toestablish a crisis management system. Effective crisis
management requires that procedures for emergency
response are pre-set for decision makers and related
agencies and that adequate training takes place.
• If crisis management systems or institutional capacities
are insufﬁcient, damages can be minimized throughstrengthening the disaster response capacities focusing on self/public help of the local community:o Set up meetings with elders in the community tohand down local traditional techniques.
o Establish crisis management systems taking into
account the characteristics of each community.
o Establish communication methods (alarm bells,
whistles, oral communication, blasting sound,siren,TV, radio, etc).

o Conduct regular disaster communication training/drills.
o Secure evacuation facilities and evacuationroutes.
• Technological development is also required to standardize crisis management and communication techniques or to establish common platforms to facilitate
information dissemination. A global cooperation network to deal with such technological development isrequired.
Good Examples• Bangladesh: Construction of multi-purpose
cyclone shelters >> See 5.5.2(3)Useful Tools• Training of disaster crisis management >> See
6.3

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3.4 PHASE 4: IMPLEMENTING,
MONITORING AND EVALUATING
This aim of this phase is to implement, develop, manage and operate the agreed scheme or framework(including infrastructure development or establishment of legislation or institutional framework). Things
to note in this phase are:
• Is the implementation programme executed
promptly?
• Is the system adapted and functioning?
• Are there any new problems with the new
approach/scheme?

Prompt execution of the implementation programmeand early realization of its impacts and effectivenessis important for the IWRM process. However, things
do not always turn out as planned. There are times
when the established approach or scheme does not
function in the way expected. Thus, monitoring is an
important aspect of an IWRM process. Furthermore,
it is necessary to retain a broad view and be alert for
new problems caused by social changes, etc.
It is also important to evaluate the impacts of issues
not addressed in the current plan and see if such
issues need further attention in the future. This leads
to the ‘recognizing and identifying’ phase in the nextstage of the IWRM spiral.

3.4.1 Implementation, monitoring and evaluation

3.2.1 Maximized beneﬁt
Implement measures that maximize the beneﬁts of the basin as a whole.
>> See Key for Success [3.2.1]
3.2.2 Regulation of activities
Prevent actions/activities that cause negative consequences with regards to ﬂood management in coordination with basin stakeholders.
>> See Key for Success [3.2.2]
3.2.3 Raising awarenessTake steps to ensure residents understand the existing risks in the river/basin.
>> See Key for Success [3.2.3]
3.2.4 Information sharing
Inform residents of risks as soon as possible at the time of ﬂooding.
>> See Key for Success [3.2.4]
3.2.5 Crisis management
Prepare a framework/system that can execute crisis management in a basin.
>> See Key for Success [3.2.5]

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3.5 IMPORTANT ASPECTS OF THE
IWRM PROCESS: POLICIES/NATIONAL STRATEGIES, LEGISLATIVEFRAMEWORKS AND FINANCING
Policies/national strategies, legislative frameworks andﬁnancing are important throughout the entire IWRM
process. Things to note in this phase are:
• Can you move ahead with just the consensus
built among stakeholders or do you need a formal
framework?
• Are you working bottom-up to inﬂuence nationalor higher level organizations?
• Do you have ﬁnancial sources in mind?

Policies/national strategies and legislative framework
are established at the national level except in the caseof special regional or local laws and regulations.These
have signiﬁcant impacts on water resources management. However, it takes enormous time and effort toestablish a new framework or amend existing ones.
It is important to always consider whether these arereally necessary in order to proceed with the IWRM
process. If it can be achieved through consensus
among stakeholders instead of laying out a national
level framework a lot of time will be saved.
Furthermore, ﬁnancing is an important aspect of the
IWRM process. You must be aware of the budgetingschedule and undertake the necessary actions. If you
are expecting ﬁnancial assistance from donors you
must also be aware of their approval and proceduralschedules.

3.5.1 Policies/national strategy, legislative framework and ﬁnancing

5.1.1 National strategy
Position ﬂood management within the national strategy.
• Decision makers, the media and the public show great concern about ﬂoods and natural disasters immediately following a ﬂood disaster. However, such awareness gradually fades. Flood-related political measures
are often postponed or not implemented because their impacts are not obvious in the short-term, thus
lowering their priority on the political agenda.
• To prevent public disaster awareness from diminishing and ensure adequate priority is given to
ﬂood management, it is ﬁrst necessary to position
ﬂood management within a national development
plan and make it a part of the national strategy.
• It is advisable to include in the strategy short,medium and long-term goals, achievements
expected in each phase, and required ﬁnancial

resources, so that the strategy can be further
reviewed and strengthened.
Good Examples• Japan: Provision of a framework for comprehensive
river improvement >> See 5.5.5(6)• Uganda: Formulation of the national disaster risk
reduction and management policy >> See 5.5.8(1)5.1.2 Legislation
Specify in legislation that ﬂood management is the responsibility of national government, municipalities andresidents, and clarify their respective roles.
• Floods have the potential to inﬂict damage on anyone residing in the river basin. Everyone must be involvedin ﬂood mitigation in one way or another in the form of self-help, mutual-help or public support. However,individuals or organizations acting independently in an uncoordinated manner will result in delays in decision-making, duplication of measures and ampliﬁcation of negative impacts to others.

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3 – KEY FOR SUCCESS• Uncoordinated actions by individuals or organizations can be problematic not only at the time ofdisaster but also during the preventative stage – acritical aspect of ﬂood management. Therefore,
it is necessary to specify in legislation that ﬂood
management is the responsibility of national government, municipalities and residents, and clarify
their respective roles. In addition, clarifying theﬁnancial responsibilities of the national government and municipalities is favourable to ensuring
effectiveness.
• Floods broadly affect the basin and its stakeholders,
therefore it is advisable to clarify the roles of therelevant sectors with regard to ﬂood management.
o Clarify the roles of ﬂood management-related
agencies in the basin, especially with regard to

the coordination and implementation of their
responsibilities, including residents.
o Deﬁne stakeholder (related agencies) participation in the basin during the planning, implementation and review phases.
o Conduct environmental impact assessments
to minimize negative impacts on the environment when ﬂood control infrastructures aredeveloped.
Good Examples• Japan: Enactment of a new law for urban ﬂood
damage mitigation measures, enforcing basinbased measures and sectional coordination >> See
5.2(4)

5.1.3 Financing
Continue stable investment for ﬂood management with a long-term perspective.
• Impacts realized by short-term investment for ﬂood management are often limited, while the desired
effects may not be easy to bring about.
• It is necessary to establish a ﬁnancing framework
which allows for stable and continuous investment
in ﬂood management with a long-term perspective, regardless of social and economic changes.
The feasibility of realizing such a framework can beenhanced through the following schemes:
o Ensure that stable and continuous investment
is agreed at the national level, and achieve
national consensus.
o Clarify beneﬁts and costs, and monitor theeffectiveness of the investment.

o Coordinate with other water users, suchas water supply or irrigation sectors, andexplore cost-reduction strategies by making
projects multi-purpose.
Good Examples• Japan: ‘Soil Conservation and Flood Control
Urgent Measures Act’ and ‘Flood Control
Special Account Act’ – realized the establishment of long-term plans on ﬂood control aswell as secured ﬁnancial resources under thelaws >> See 5.5.5(7)• China: New fundraising system to mobilize
funds from multiple sources >> See 5.5.2(1)18 IWRM Guidelines at River Basin Level – Part 2-2: The Guidelines for Flood Management

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4. IWRM Process

4.1 PHASES, STEPS AND KEYS FOR
SUCCESS IN THE IWRM PROCESSIn Part 2, an IWRM process at a given stage is
described in terms of four phases. The elements ofthe process that are related to all phases, such aspolicies, legal frameworks and ﬁnancing, are indicatedoutside of the process ﬂow. Each phase is further
explained through the steps it involves.

The IWRM process and its respective steps areeach linked to a relevant ‘Key for Success’ and ‘Good
Examples’ included in chapters 3 and 5 of these
Guidelines.

Fig. 4.1.1 IWRM process and the headings of the ‘Key for Success’ and ‘Good Examples’

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4 – IWRM PROCESS

4.1.1 Phase 1: Recognizing and identifying

Fig. 4.1.2 Phase 1: Recognizing and identifying

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IWRM Guidelines at River Basin Level – Part 2-2: The Guidelines for Flood Management

Fig. 4.1.3 Phase 2: Conceptualizing

4.1.2 Phase 2: Conceptualizing

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4 – IWRM PROCESS

4.1.3 Phase 3: Coordination and detail planning

Fig. 4.1.4 Phase 3: Coordination and detail planning

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IWRM Guidelines at River Basin Level – Part 2-2: The Guidelines for Flood Management

Fig. 4.1.5 Phase 4: Implementing, monitoring and evaluating

4.1.4 Phase 4: Implementing, monitoring and evaluating

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4 – IWRM PROCESS

4.1.5 Important aspects of IWRM process: Policies/national strategies,
legislative framework, ﬁnancing

Fig. 4.1.6 Important aspects of IWRM process: Policies/national strategies, legislative
framework, ﬁnancing
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4.2 THE ‘IWRM SPIRAL’
CONCEPTUAL MODEL
4.2.1 The IWRM spiralThis guideline provides a conceptual model of the‘IWRM spiral, which explains the IWRM process, incertain river basins, moving towards a more sustainable approach.

The model provides the following advantages.
• It helps users to understand both their current situation and where to head next in the IWRM process
by integrating a timeframe.
• It enables users to seek better solutions that adapt
to changes.
• It facilitates reaching agreements and increasing
ownership at each ‘turn of the spiral.’• It provides a framework for looking ahead andplanning for the next ‘turn of the spiral’.
IWRM at the river-basin level seeks better water
resources management through such means as pro-

gressively developing water resources in the basin,building a more integrated institutional framework,
and improving environmental sustainability. This
goal must always be kept in mind wherever yourposition is in the IWRM spiral. However, it should
be noted that the process cannot proceed at oncein a short period of time; IWRM is an evolving, stepby-step process.
One turn of the spiral includes such phases as:(1) recognizing/identifying pressing issues or needs,(2) conceptualizing the problem itself and locating possible solutions, (3) coordinating and planning
among stakeholders to reach an agreement, and(4) implementing/monitoring/evaluating the plan andits outcome. This creates a new IWRM framework or
scheme in the basin, which also forms the beginning of
the next stage of the spiral. One turn of the spiral may
take a long time. In the case of a large water resources
development project, such as the construction of adam, it may take more than ten years to complete one
turn. Creating a new institution or organization would
also require several years.

Fig. 4.2.1 Spiral evolution of IWRM

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4.2.2 Stages of the IWRM spiral

The IWRM spiral begins by recognizing the necessity
for IWRM. First, you need to grasp an overall picture of the basin. Start with the information alreadyin your possession. This will help you understand theissues and problems existing in the basin, leading torecognition/identiﬁcation of the need for introducing
an IWRM approach. You will then assess the current
circumstances and conceptualize possible solutions.
Prepare a plan and ﬁnalize it through coordination
with relevant stakeholders, then implement the plan
to create a new IWRM scheme or approach in thebasin. This is the ﬁrst stage of the spiral.
The stages to follow begin with recognizing either thenecessity for improving the current IWRM approach/framework or for a new IWRM system. Recognitionof needs may be triggered by intensiﬁcation of problems left over from the previous stage, such as rapid
increase in demands, or by increasing concern over
new issues, such as climate change.
4.2.3 Recognizing the stage shift

The stage changes when you recognize the needfor change. Moving up the spiral is a time-consuming process, and requires reaching agreements withstakeholders and building consensus. It is importantthat water resources managers recognize changes
or needs, and take early action while ensuring public
understanding and support.

Signiﬁcant changes in the basin, such as economic
development, changes in social values and demands,
and unexpected crisis situations can become theopportunity to realize the need for improving orrevising water resources management. Such changes
can become the driving force for better water
resources management, and should be considered asa chance to improve IWRM in your basin.
4.2.4 Where do you stand in the spiral?

Where do you stand in this spiral? Where is yourbasin situated in the spiral? What phase are you in?
Are you in the phase for ‘recognizing’ changes or‘conceptualizing’? How many stages have you alreadybeen through in the IWRM spiral? Take a moment
and think about it. It is useful to approximately situateyourself in the spiral when reading these Guidelines
in order to ﬁnd the information you need.
If you cannot ﬁnd a solution appropriate for you,change your position in the spiral. Looking at different phases or steps in the IWRM process by ﬂippingback and forth through the Guidelines may help you.
Thinking about your positioning allows you to check
if you have missed any steps in the past, as well as
helping you to visualize actions that may be necessary in the future.

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5. Good Examples for Flood Management

This section includes good examples of ﬂood management with reference to IWRM at the river basin level, in
the form of Case Stories illustrating actual IWRM efforts, and ‘Extracted Key for Success’ highlighting elementsof success for enhancing IWRM, based on interviews conducted at sites.
1) Case Story (explaining the process pathway):
A Case Story lays out the facts in a sequential manner and illustrates the pathway towards the ‘Key for Success’(KFS). The Case Story includes links to the ‘Extracted Key for Success’ so that one can understand how the Key

Facts

Ref. to KFS

5. Developing a legal framework for basin measures
To address the issue of urban rivers including Tsurumi, a new law for urban ﬂood
KFSdamage mitigation measures was enacted in 2004 enforcing basin-based measures and 5.2 (4)sectoral coordination among river and sewerage administrators and related local governments in urban river basins.
The key features of this law are as follows:• Jointly develop a plan for reducing ﬂood disasters in the basin by river and sewage
administrators, related prefectural governors, and municipal governments.

Fig. 5.1 Format and Example of Case Story
2) Extracted Key for Success:
The Extracted Key for Success illustrates why the ‘Key for Success’ was implemented and what the thoughtprocess behind it was. In order to ensure the relevance of keys for success to users, ‘the Key’ is explained in a
generalized manner together with conditions and limitations for its application. It also includes references to‘Useful Tools’ that may enhance its effectiveness.
[ Title ]Type of a problem
to solve

Legislation and regulation of activities[ Situation ]- Moreover, as over twenty years have passed since the development of the Basin Improvement Plan, differences have arisen from land use compared to the original plan….
[ Problem ]- Urban cities have been frequently hit by heavy rains in recent years and ﬂood damage
to underground spaces has become an emerging issue. There was a need for a new
approach to ﬂood disaster reduction….
[ How the problem was overcome ]- To address the issue in urban rivers including Tsurumi, a new law for urban ﬂood
damage mitigation measures was enacted in 2004 enforcing basin-based measures andsectoral coordination among river and sewerage administrators and related local governments in urban river basins….

Description of
the situation
Problems
encountered

Measures taken
to overcome theproblem(Continued next page)Fig. 5.2 Format and example of Extracted Key for Success
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5 – GOOD EXAMPLES[ Title ]Legislation and regulation of activities[ The key ][5.1.2] Specify in legislation that ﬂood management is the responsibility of national
government, municipalities and residents, and clarify their respective roles.
• It is necessary to specify through legislation that ﬂood management is the responsibility of national government, municipalities, residents, and so on, and clarify theroles of each of them.
[ Conditions and limitations in applying the Key ]• Strong leadership of ﬂood managers is essential to establish a new legislation....
[ Ideas for enhancing the applicability of the Key ]• New law for urban ﬂood damage mitigation measures, enforcing basin-based measures and sectoral coordination between river and sewerage administrators andrelated local governments....

Wisdom behind themeasures taken in a
generalized terms
Conditions and limitations,tools to enhance theapplication of the KFS

No.

River, Country

Classiﬁcation

5.1

Philippines: Pasig–Marikina River Basin

5.2

Japan: Tsurumi River Basin

5.3

Indonesia: Brantas River Basin

5.4
5.5
5.5.1
5.5.2

Kenya: Nyando River Basin
Other Examples
Argentina
Bangladesh(1) Stakeholder participation(2) Regulation of activities(3) Raising awareness(4) Information-sharing(1) Planning(2) Maximized beneﬁt(3) Stakeholder participation and coordination(4) Legislation and regulation of activities(1) Risk assessment(2) Coordination(1) Coordination and planning

5.5.3
5.5.4
5.5.5

China
Costa Rica
Japan

5.5.6
5.5.7
5.5.8

Laos
Thailand
Uganda(1) Information-sharing(1) Stakeholder participation(2) Regulation of activities(3) Crisis management(1) Financing(1) Risk assessment(1) Risk assessment(2) Capacity building(3) Technology development(4) Stakeholder participation(5) Maximized beneﬁt(6) National strategy(7) Financing(1) Technology development(1) Information-sharing(1) National strategy

Table 3 Summary of Examples

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,

5.1 PHILIPPINES: PASIG–MARIKINA RIVER BASIN
Facts

Ref. to KFS

1. Background

The Pasig-Marikina River with a total catchment area of 621 sq. kilometers runs throughthe center of Metro Manila and ﬂows out to Manila Bay. Because the river runs through the
low-lying areas, people living in the area suffer from annual ﬂooding. Recent ﬂood disasters
have occurred in 1986, 1990, 1991, 1994 and 1997. The ﬂood in 2002 killed ten people andinundated 100,000 houses.
In 1985, the Mangahan Floodway was completed in order to protect the centre of Metro
Manila against a ﬂood discharge, corresponding to a 100-year return period of the PasigMarikina River, by diverting the excess ﬂood discharge of the Marikina River into the Laguna
Lake. However, the Marikina Control Gate Structure (MCGS), which was proposed to fully
attain maximum utilization of the ﬂoodway, was not constructed because of its impacts onriver transportation, thus the ﬂoodway was not utilized to its maximum capacity.

Fig. 5.1.1 Location Map of Pasig-Marikina River

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5 – GOOD EXAMPLES

Facts
2. Planning and relocation order

Ref. to KFS(1) Flood control and drainage master plan

The ﬂood control and drainage master plan of the Pasig-Marikina River System was formulated by the Department of Public Works and Highways (DPWH) in their study carried out from 1988 to 1990. The Pasig River Rehabilitation Commission (PRRC), consisting ofrepresentatives from national and local government agencies, was established. The commission
developed the Pasig River Rehabilitation Master Plan, which covered such multi-sectoralissues as housing, waste management, and ﬂood control.
The PRRC, a multi-agency organization, was created under Executive Order No. 54, primarily to rehabilitate the Pasig River that was fast deteriorating because of poor waste
management and disposal by factories and homes along its banks. It is mandated to draw up
an updated and integrated master plan on the rehabilitation of the Pasig River, taking into
account its potential for transportation, recreation and tourism. The creation of the PRRC
will ensure that the Pasig River, which is considered to be a vital artery in the transport ofgoods and people, remains a viable alternative for decongesting the road network system
of Metro Manila and its environs. It will be rehabilitated to its historically pristine condition
so that it is conducive to transport, recreation and tourism, and will beneﬁt the development of Metro Manila and the country in general.
The Commission, which is presently under the leadership of the Department of Environment and Natural Resources (DENR), is composed of different national government
agencies, such as from the Ofﬁce of the Executive Secretary, Metro Manila Development Authority (MMDA), Department of Budget and Management (DBM), DPWH, Housing and Urban Development Coordinating Council (HUDCC), Department of Tourism(DOT), Department of Transportation and Communications (DOTC), Departmentof Finance (DOF), Department of Trade and Industry (DTI), Department of National
Defense (DND), and the Department of Interior and Local Government (DILG: Local
Government Units (LGUs), as well as some Non-Governmental Organizations (NGOs)
and private companies, are members of the Board of Commissioners. In particular, theDPWH has been appointed in-charge of the civil works for ﬂood mitigation, especiallychannel improvement.
Regular attendance of the commissioners meetings proved problematic as senior membersof the above agencies were often unable to attend, due to conﬂicting schedules, sending
lesser representatives instead. The key to building consensus lies in the equal opportunity

afforded to stakeholders to voice their views and opinions on the different programs presented
at every commissioners meeting, and only thorough deliberation and scrutiny of every programand proposal can lead to better understanding and support of the actions in question.

KFS5.1 (1)(2) Issues to informal settlers

Due to the urbanization and concentration of the population in Metro Manila, people with
low incomes resided along the river bank, aggravating ﬂood disasters in the area. Garbage
disposal and wastewater discharge by local residents led to a reduction of discharge capacity and sedimentation, leading to further aggravation of ﬂood events.
A relocation order was issued to informal settlers living in the ﬂood prone areas.

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FactsRef. to KFS

Fig. 5.1.2 Informal settlers
The relocation of informal settlers living along the Pasig River is being carried out by the
PRRC with the assistance of the NHA, concerned LGUs and other related agencies throughthe LIAC. There are about 125 identiﬁed informal settler families affected by the PMRCIP– Phase II, and they will be relocated to areas developed by the PRRC.With every relocation
the LIAC is always at the forefront ensuring that the relocation process is being properly carried out. Initially, there were problems regarding both relocation sites and necessary funding
but these have since been properly addressed. Resistance from the informal settler families wasa more common problem, however, thanks to proper dialogue and the presence of community
leaders and LIAC, they were eventually convinced to vacate the areas.

KFS5.1 (2)This responsibility lies with the LGUs. After each relocation, the cleared areas were turned
over to the associated LGU for monitoring and proper maintenance as well as to ward off
new settlers and returnees.
3. Improvement of public awareness

Pasig-Marikina river basin also had the following problems:• River water was polluted due to urbanization and the discharge of untreated sewage.
• The dredging works in the downstream section of the Pasic River, needed to increasedischarge capacity, could lead to leakage of toxic substances contained in the sediment, disturbance to urban functions due to construction, noise pollution, and so on.
It was necessary to ensure that residents understood that the river scenery wouldchange with the new ﬂood walls along the riverbanks.
• Furthermore, the project had to be coordinated alongside local projects implemented by local agencies prior to the project.

Therefore, the goal was to reduce ﬂood disasters and improve the river environment
through the Pasig-Marikina River improvement project while improving public awarenesson disasters and the environment.

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FactsInformation Campaign and Publicity (ICP) was conducted to obtain understanding from the neighboring residents.

Ref. to KFS
KFS5.1 (3)This was implemented in order to establish and create a huge and effective campaign
informing of the project and to give those affected a better understanding of the project
thereby winning their support and cooperation for its smooth implementation.The ICP has
been successfully carried out during the Detailed Engineering Design Stage of the projectfrom 2000 to 2004, which is demonstrated by the strong support and cooperation received
from the stakeholders in the ongoing implementation of the project.
Through proper coordination with the different agencies and LGUs, overlapping of some ofthe developments along the Pasig River was avoided.As both national and local government
are making efforts to address the ﬂood control problem together with beautiﬁcation anddevelopment programs, some committees within the LGUs were speciﬁcally created, such as
LIAC involving representatives from the national government agencies, i.e. MMDA, NHA,PRRC and others, to ensure that all related programs of national and local government areproperly considered and integrated into one program.
Several ICP activities and events were carriedout and continuously being undertaken to ensurethat the project draws consistent support andcooperation not only from the LGUs and NGOs
but also from the public. This includes extending the campaign to the other four LGUs, i.e.
the direct beneﬁciaries of the project (PMRCIP– Phase II) namely Manila, Makati, Mandalyong,and Pasig, and on different occasions so as to kickFig. 5.1.3 Leaﬂetstart ICP activities in each LGU.At the same time
ICP materials such as brochures, leaﬂets, posters and signages will be distributed to the people in order to give them a clearer and betteroverview of the project. The project also utilizes media placements such as radio, TV, print,
and even the Internet. Continual training of each community motivator is also being carriedout so as to better equip them once they work in the area and provide community-based
explanatory discussions together with project representatives. All of these measures were
found to be effective in obtaining a better understanding from the LGUs, NGOs, and the
public as a whole.
PRRC has already constructed more than twenty Linear Parks along the Pasig River since2004, which has enhanced the beauty of areas along the riverbanks to create a more favorable environment. Several of these linear parks were created in areas where river improvements were already under construction under the Five Priority Areas – showcases of the
project using local funds. However, there are areas where river improvements were constructed simultaneously with the linear parks development under the ADB-Funded PRRC
projects. For areas where linear parks were constructed ahead of the river improvement,
implemented under the PMRCIP – Phase II, proper coordination with LGUs and related
agencies were continuously undertaken to ensure that existing developments, and otherissues and concerns, were taken into consideration.

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Facts
4. Development of a ﬂood forecasting system

Ref. to KFS

In a highly urbanized city like Metro Manila, a ﬂood forecasting and warning system was also
necessary in addition to the river improvements and the installation of discharge facilities.
However, due to the lack of a hydrological observation network it was difﬁcult to forecast
ﬂooding with great accuracy. The area was prone to inundation even with small to medium
sized ﬂoods.
DPWH developed the Effective Flood Control Operation System (EFCOS) – the managementof EFCOS has now moved to MMDA.

KFS5.1 (4)The EFCOS gathers real time data of rainfall and water levels at selected hydrologicalobservation stations within the Pasig-Marikina River Basin and the Laguna Lake as monitored by the Rosario Master Control Station.These same data are transmitted to PAGASA
via Antipolo Relay Station for data sharing purposes. The Rosario Master Control Station
processes the hydrological data received and carries out ﬂood forecasting on-line. Theseﬂood forecasts are disseminated by radio broadcast to the public by the MMDA. This
ﬂood information is also conveyed to the different government agencies concerned suchas PAGASA, DPWH Central Ofﬁce, NCR Head Ofﬁce, and LGUs through telephone lines.
The LGUs are responsible for the preparation of ﬂood disaster management plans including relief operations through its Local Disaster Coordinating Council (LDCC).
Unfortunately, the operation of EFCOS has been temporarily shut down due to budget
constraints. As the EFCOS is now under the management of MMDA, and they also sufferfrom a lack of funds, development and maintenance cannot be assured at present. However,
it is understood that EFCOS will resume operation once funds become available.
[Interviewee: Ms. Lydia C. Aguilar (DPWH)] [Interviewer and report: Mr. Masayuki Shiraishi,
Mr. Akira Nishimura (Japan Water Agency)]

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5 – GOOD EXAMPLES(1)Stakeholder participation[ Title ]Stakeholder participation[ Situation ]- The Pasig-Marikina River, with a total catchment area of 621 sq. kilometers runs through the centreof Metro Manila and ﬂows out to Manila Bay. Because the river runs through low-lying areas, people
living in the area suffer from annual ﬂooding.
- In 1985, the Mangahan Floodway was completed to protect the centre of Metro Manila against a ﬂood
discharge, corresponding to a 100-year return period of the Pasig-Marikina River, by diverting theexcess ﬂood discharge of the Marikina River into the Laguna Lake. However, the Marikina Control
Gate Structure (MCGS), which was proposed to fully attain the maximum utilization of the ﬂoodway,
was not constructed due to its impacts on river transportation, thus the ﬂoodway was not utilized toits maximum capacity.
- Flood disasters occurred in the Pasig-Marikina River in 1986, 1990, 1991, 1994 and 1997. The ﬂood in2002 killed ten people and inundated 100,000 houses.
[ Problem ]- The cross-sectoral project design and implementation were required to rapidly realize the effectiveness of ﬂood control measures.
[ How the problem was overcome ]- The ﬂood control and drainage master plan of the Pasig-Marikina River was formulated by DPWH intheir study carried out from 1988 to 1990.
- TPRRC, consisting of representatives from national and local government agencies, was established.
The commission developed the Pasig River Rehabilitation Master Plan, which covered such multi-sectoral issues as housing, waste management, and ﬂood control.
- The establishment of the master plan was facilitated through coordination among stakeholders.
[ The key ][2.1.1] Understand in advance the roles and responsibilities of stakeholders in the basin.
[2.2.1] Develop a plan for balanced ﬂood management in the entire basin.
• Coordinate closely with relevant agencies and organizations.
• Involve the stakeholders during the planning process.
[ Conditions and limitations in applying the KFS ]• Identify all the coordinating mechanisms applicable to the project.
• Close coordination with relevant agencies and organizations depends on the availability of the concerned agencies.
• Involvement of stakeholders during the planning stage will depend on the acceptance of the projectby the stakeholders.
[ Ideas for enhancing the applicability of the KFS ]• The people involved in the process should be highly qualiﬁed in terms of ﬂood control and multi-purpose river basin management.

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(2) Regulation of activities[ Title ]Regulation of activities[ Situation ]- Although informal settlers live along the river, the river improvement project had to be carriedforward.
[ Problem ]- Due to the urbanization and concentration of the population in Metro Manila, people with low incomes
were residing along the river bank aggravating ﬂood disasters in the area.
- Garbage disposal and wastewater discharge by the local residents led to a reduction of discharge
capacity and sedimentation, leading to further aggravation of ﬂood disasters.
[ How the problem was overcome ]- A relocation order was issued to the informal settlers living along the river by the PRRC with theassistance of relevant central and local governments.
- About 125 families were affected by PMRCIP – Phase II and relocated to the developed areas.
- With every relocation, LIAC is always at the forefront ensuring that the relocation process is being
properly carried out. Initially, there were problems regarding both relocation sites and necessary funding but these have since been properly addressed.
- Resistance from the informal settler families was a more common problem however, thanks to proper
dialogue and the presence of community leaders and LIAC, they were eventually convinced to vacate
the areas.
- After each relocation, the cleared area was turned over to LGUs for monitoring and managing as wellas to ward off new settlers and returnees.
[ The key ][3.2.2] Prevent actions/activities that cause negative consequences with regards to ﬂood
management in with basin stakeholders.
[3.2.3] Take steps to ensure residents understand the existing risks in the river/basin.
• Implement a massive and effective information campaign and publicity on the project.
• Coordinate closely with relevant agencies and organizations.
• Undertake proper and accurate identiﬁcation of informal settlers.
[ Conditions and limitations in applying the KFS ]• Ensure stakeholders acceptance of the project.
• Provide the necessary budget in order to implement aggressive activities.
• Close coordination with related organizations depends on each organization’s availability.
• Carry out census-tagging and validation operations on the affected informal settlers.
[ Ideas for enhancing the applicability of the KFS ]• Establishment of a Local Inter-Agency Committee.

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5 – GOOD EXAMPLES(3) Raising Awareness[ Title ]Raising awareness[ Situation ]- River improvement of the Pasig-Marikina River was necessary to protect the Metro Manila from ﬂood
disasters and to restore the lush environment in and around the rivers.
[ Problem ]- The dredging works in the downstream section of the Pasig River, needed to increase discharge capacity, could lead to leakage of toxic substances contained in the sediment, disturbance to urban functions
due to construction, and so on. It was necessary to ensure that the residents understood that theriver scenery would change with the new ﬂood walls along the riverbanks.
- Furthermore, the project had to be coordinated alongside local projects implemented by local agencies prior to the project.
- The goal was to reduce ﬂood disasters and improve the river environment through the Pasig-Marikina
River improvement project.
[ How the problem was overcome ]- Information Campaign and Publicity (ICP) was conducted to obtain understanding from the neighboring residents.
- This was a massive and effective campaign informing of the project to give those affected a better
understanding of the project thereby winning their support and cooperation for its smooth implementation. The ICP has been successfully carried out thanks to the strong support and cooperation
received from the stakeholders.
- Several ICP activities and events were carried out and are continuously being undertaken to ensurethat the project continues to draw support and cooperation not only from LGUs and NGOs but also
from the public.This includes extending the campaign to the other four LGUs, i.e. the direct beneﬁciaries of the project (PMRCIP – Phase II), and on different occasions so as to kick start the ICP activities
in each LGU.
[ The key ][3.2.3] Take steps to ensure residents understand the existing risks in the river/basin.
• Implement a massive and effective information campaign and publicity of the project.
• Coordinate closely with relevant agencies and organizations.
• Ensure that all related programs of national and local government are properly considered and integrated into the project.
[ Conditions and limitations in applying the KFS ]• Accurate identiﬁcation of stakeholders within the river basin.
• Beneﬁts in the basin must be properly identiﬁed and quantiﬁed.
• Provide the necessary budget to be able to implement awareness-raising activities.
• Early understanding of all the programs by national and local government within the river basin.
[ Ideas for enhancing the applicability of the KFS ]• Establishment of a Local Inter-Agency Committee.
• Provide training/seminars for the concerned stakeholders.

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(4) Information-sharing[ Title ]Information-sharing[ Situation ]- In a highly urbanized city like Metro Manila, ﬂood forecasting and a warning system was also necessaryin addition to river improvements and the installation of discharge facilities.
[ Problem ]- Due to the lack of an hydrological observation network it was difﬁcult to forecast ﬂooding with great
accuracy. The area was prone to inundation even with small to medium sized ﬂoods.
[ How the problem was overcome ]- EFCOS gathers real time data of rainfall and water levels at selected hydrological observation stations
within the Pasig-Marikina River Basin and the Laguna Lake as monitored by the Rosario Master Control Station.
- The Rosario Master Control Station processes the hydrological data received and carries out ﬂood
forecasting on-line. These ﬂood forecasts are disseminated to the public through radio broadcasts by
the MMDA. This ﬂood information is also conveyed to the different government agencies concernedsuch as PAGASA, DPWH Central Ofﬁce, NCR Head Ofﬁce and LGUs through telephone lines. The
LGUs are responsible for the preparation of ﬂood disaster management plans including relief operations through its LDCC.
- At present, the operation of EFCOS has been temporarily shut down due to budget constraints.
Operation of EFCOS will resume once funds become available.
[ The key ][3.2.4] Inform residents of risks as soon as possible at the time of ﬂooding.
[3.2.5] Prepare a framework/system that can execute crisis management in a basin.
• Provide the necessary budget to be able to operate the EFCOS.
• Ensure the availability of the necessary spare parts for EFCOS equipment.
• Coordinate closely with related agencies and organizations.
[ Conditions and limitations in applying the KFS ]• All communication equipment must be in tip-top condition.
• Must have an effective organizational structure.
• Necessary sustainable budget must be speciﬁcally programmed.
• Provide the necessary funds for the purchase of the necessary equipment and spare parts.
• Close coordination with related agencies and organizations depends on the availability of the concerned agencies.
[ Ideas for enhancing the applicability of the KFS ]• The people involved in EFCOS should be highly qualiﬁed in terms of ﬂood forecasting and warning
systems.
• Provide training of/seminars for EFCOS staff.

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5.2 JAPAN: TSURUMI RIVER BASIN
Facts

Ref. to KFS

1. Background
Japan was hit by extremely severe water-related disasters almost every year after WorldWar II, each causing hundreds and thousands of deaths and missing persons. Such disasters
include Typhoon Kathleen in September 1947, Typhoon Ione in September 1948, Typhoon
Kanogawa in September 1958, Typhoon Isewan in September 1959, and so forth.
Tsurumi River (basin area 235 sq. kilometers, total length 42 km) is a small and gently
sloped river. The region has not experienced serious disasters with a high death toll, but its
low-lying areas along the middle/lower reaches of river has suffered from frequent ﬂooding
due to ﬂuvial and surface water.
Most of the Tsurumi river basin lies in relatively low and ﬂat hills and is suited for urban
development. It also has geographic advantages as it is close to big cities like Kawasaki and
Yokohama, and can also be easily accessed from central Tokyo. For this reason, after 1960, alongwith the rapid increase in industrial/economic activities and the remarkable improvement of
the transportation systems in the Tokyo metropolitan area, the development in the Tsurumi
river basin progressed rapidly.The urban areas indicating only 10 per cent of the basin in 1958
increased up to 60 per cent by 1975. It is now as high as 85 per cent.
The Tsurumi River has a relatively long section affectedby the tide level of the Tokyo Bay because the downstream
section of the river is gently sloped. It also has a meanderingriver course due to the hills surrounding the rivers. Thesenatural conditions made the areas in the downstream sectionof the river prone to ﬂood disasters. Furthermore the rapid
development of the basin reduced the rainwater permeabilityof the land causing the ﬂood water discharge to peak fasterwith higher magnitude. Moreover, the ﬂood risks increased dueto the development of the ﬂood vulnerable low-lying land. In
addition, the ﬂood-control measures of the local government,
including river improvements in the upstream medium andsmall rivers, and the construction of drainage pumps andchannels, lacked careful consideration of the balance between
the protection of upper and lower reaches, which ended up
magnifying the ﬂood risks of the downstream section of themainstream of the Tsurumi River.

Fig 5.2.1 Land changes by urbanization

Fig 5.2.2 Changes of discharge and time of ﬂood concentration

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FactsRef. to KFS

2. Comprehensive Flood Control Measures
The problem outlined above is not speciﬁc to Tsurumi River but is a common issue
among urban rivers throughout Japan. So-called urban ﬂood disasters have come tooccur frequently. For the urban rivers, it was difﬁcult to solve the problem only throughconventional river improvement works, in which ﬂood waters are collected into the riverand allowed to ﬂow out into the sea as quickly as possible, for the following reasons:• The expansion of the river channel in the densely populated urban area is extremely
difﬁcult to undertake for a number of reasons including the difﬁculties associatedwith acquiring the required land due to the rapid rise in land prices, pollution causedby construction works, and so on.
• The conventional river improvement is associated with high costs and long construction times. This means that the ﬂood safety level will remain low for a long periodof time until the project is completed. However, a rising demand from society for
improvements in the level of urban safety means that this issue has to be addressedsooner.
• Urban rivers frequently experience extreme ﬂood events thus increasing ﬂood damage in the area. Conventional measures that deal only with river channels are often
inadequate.
To deal with such situations ‘comprehensive ﬂood control measures’ were proposed.
The comprehensive ﬂood control measures include not only the conventional ﬂood
control projects but also measures to reduce ﬂood or sediment runoff by preventing
development in the basin, increasing the water retention capacity of the basin, promoting
safe land use in the areas at risk of ﬂood inundation or sediment disasters, improving
ﬂood warning/evacuation systems, establishing relief program for the victims, and so on.
Overall, the comprehensive ﬂood control measures aim to minimize ﬂood damage inthe basin.
In Japan, an urban river suffering from the lowering of the ﬂood safety level due torapid urban development was designated as a ‘river speciﬁed for comprehensive ﬂood
control measures’. Collaboration and coordination among various measures and land
use planning were promoted in a comprehensive manner. Under the comprehensive
ﬂood control measures, the following were implemented:

KFS5.2 (1)• Vigorously advance river improvement works for ﬂood control.
• Develop a Basin Improvement Plan, which identiﬁes the appropriate measures forincreasing the water retention and retarding capacities of the basin, and implement
various measures based on this plan.
• Make public the map of inundation areas in the case of major ﬂoods to promote
proper land use and serve as useful information for evacuation during an emergency.
• Promote public understanding and cooperation on ﬂood control issues in the river
basin.
Moreover, to facilitate such efforts, it was decided that the ‘Basin council forcomprehensive ﬂood control measures’, comprised of river administrators and otherrelated divisions such as urban development, be established for each basin based on thecollective opinion of the relevant local governments.

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Facts
Ref. to KFS
Tsurumi river basin was also designated as the speciﬁed river for comprehensive
ﬂood control measures. Being the ﬁrst in Japan, comprehensive measures of control
ﬂooding by maintaining or improving the water retention or permeability of the basin
began in the 1970s under the consensus of the related agencies in the basin, in addition
to the conventional ﬂood control measures by river improvement. Furthermore, the
KFS‘Basin Improvement Plan’ was developed and appropriate measures were identiﬁed for5.2 (1)each of the three basin areas: the water retention area, the ﬂood control area, and thelowland area, based on land characteristics.
• Water retention area: The water retention area refers to the area whose function for temporarily permeating or retaining stormwater needs to be ensured or
expanded for ﬂood control purposes. Geographically, it is a river head area such asa hill or plateau located in the middle or upstream reaches of the basin. In the water
retention area, measures for developing stormwater retention facilities and promoting appropriate land use should be implemented in order to maintain or enhance its
current water retention function as much as possible.
• Flood control area: The ﬂood control area refers to the area where stormwateror river water overﬂow can temporarily ﬂow in, and where the function of temporarily storing such water needs to be ensured or expanded. Geographically it isgenerally a low-lying area along the river in the middle or upstream reaches of thebasin. It is susceptible to inundation and likely to become a natural retarding basin
during ﬂooding. In the ﬂood control area, its current stormwater retention function
should be maintained. River management measures should be implemented in thisarea in order to increase the level of ﬂood safety.
• Lowland area: The lowland area is generally an area that is susceptible to inundation by ﬂooding or by rainwater captured in the basin, and where active inundation
control measures must be implemented. Geographically it is a low-lying, ﬂat urban
area along a river. In the low-land area, necessary river improvements should be
implemented along with promotion of inland water drainage strategies. Operationof newly installed pumps will be controlled according to the levels of river discharge.
Stormwater retention facilities will also be installed in feasible locations.
3. Efforts in the river and the basin
As mentioned earlier Tsurumi River Basin was extensively urbanized, and houses
were built close to rivers in the downstream areas. This made it expensive to widen
the existing rivers while excavation of the channel wouldn’t have realized sufﬁcientenhancement in the discharge capacity. Thus, a solution other than the conventionalriver channel improvement was indispensable.
It was proposed to build a ﬂood retarding basin within the urbanization control
area close to the Shin-Yokohama station, which was used as agricultural land, mainly
rice paddies. It was a large-scale project covering an area of 84 ha and a ﬂood control
capacity of 3.9 million cubic meters.The land owners already had some thoughts for the
future uses of the land, and the land prices in the region had risen sharply around thistime, thus purchasing the land raised a number of difﬁculties.
Recognizing the high value of the site, it was decided to utilize the site for multiple
purposes by building public facilities while utilizing it for ﬂood control. It allowed for aneffective utilization of land, and cost sharing with other sectors reduced the cost to becovered by the ﬂood control sector. The planning for this multi-purpose retarding basin

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FactsRef. to KFS
began in the 1970s with many years of discussions among the relevant local governmentsin the area.
As a result, it was positioned as a centre for sports and recreation with facilities suchas the rehabilitation centre and athletics parks. The ‘International Stadium Yokohama’built on the site is the largest sports stadium inJapan with a capacity of 72,000 people and a total
area of 173,000 sq. meters. It adopted the pilotis
structure (elevated-platform) in order to avoid
hindering ﬂood control capacity. The stadium was
the venue of the 2002 FIFA World Cup ﬁnal andbecame known to the world.
Besides the multi-purpose retarding basin, theTsurumi river basin currently has 3,300 disasterprevention reservoirs (about 2.7 million cubic
meters). There are also numerous runoff control
facilities such as rainwater inﬁltration facilities,
and ﬂood-proof elevated ﬂow housing is being
promoted.

Fig 5.2.2 Integrated ﬂood
management

4. Establishment of the coordination mechanism
While ﬂood control measures have been implemented for the Tsurumi River Basinwith a focus on the basin, urbanization of the basin has generated problems such as adeterioration of the natural environment and water quality. As the implementation ofcomprehensive ﬂood control measures increased the ﬂood safety level, people’s interest
shifted to environmental concerns and usage. It became necessary to incorporate
the water cycle concept in the subsequent measures and promote nature-oriented
and multi-functional comprehensive ﬂood control strategies that would ensure
environmental conservation and land use while encouraging the extensive participationof stakeholders.
It was then decided to realize a pioneering initiative to foster a sound water cycle
system in the Tsurumi river basin by focusing on the basin perspective when addressing
the issues of the region and the cities.This initiative also encompassed efforts to restore
people’s close relationship with the river, which was lost in the course of urbanization
during the latter half of the twentieth century. Speciﬁcally, the Tsurumi River Basin Water
Master Plan was designed to provide guidelines for creating an environmentally soundwater cycle in the Tsurumi river basin. This plan was developed based on cumulative
joint efforts between the government and basin residents through the implementationof comprehensive ﬂood control measures. The Tsurumi River Basin Water Council was
also established. Speciﬁc basin management strategies were proposed with a focus on thefollowing ﬁve aspects: (1) ﬂood control (measures during ﬂoods), (2) water environment
during ordinary times, (3) natural environment, (4) measures during earthquake and ﬁre,and (5) waterfront recreation.

KFS5.2 (3)In 2004, the Tsurumi River Basin Water Master Plan Promotion Declaration wasannounced and a framework was established for promoting joint efforts among basin
residents, citizens’ organizations, and government towards implementing the masterplan in order to achieve basin safety and coexistence with nature.

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Facts

Ref. to KFS

Action plans for effectively implementing measures based on the Tsurumi River Basin
Water Master Plan have been developed through the close partnership among people,
citizens’ organizations, companies, and government. Organizations responsible for
implementing the measures respectively set goals as well as the time period needed toachieve their goals.These goals are near-term goals for the next ﬁve years or so. Progressin the implementation of the action plans is appropriately managed through monitoring.

Fig 5.2.4 Workshops

Fig 5.2.5 Regular cleanup activities

5. Developing a legal framework for basin measures
The ﬂood safety level in Tsurumi river basin is improving as various measures, bothin the rivers and in the basin, are being implemented under the comprehensive ﬂood
control measures. However, with its basin being highly utilized, it cannot be said thatthe current river/sewerage/basin facilities provide an adequate safety level. Moreover,as over twenty years have passed since the development of the Basin Improvement
Plan, there have been differences in land use compared to the original plan. Also, as
the runoff control facilities in the basin were not legally positioned in the conventional
comprehensive ﬂood control measures, many facilities were not properly maintained orreclaimed. In addition, Japanese urban cities have been frequently hit by heavy rains inrecent years and ﬂood damage to underground spaces has become a growing concern.
There was a need for a new approach to ﬂood disaster reduction.
To address the issue of urban rivers including Tsurumi, a new law for urban ﬂood
damage mitigation measures was enacted in 2004 enforcing basin-based measuresand sectoral coordination among river and sewerage administrators and related local
governments in urban river basins.
The key features of this law are as follows:• Jointly develop a plan for reducing ﬂood disasters in the basin by river and sewage
administrators, related prefectural governors, and municipal governments.
• Enforce the installation of a runoff control facility with new development activities,
which would reduce the rainwater permeability of the basin. Oblige existing facilities
in the basin to be conserved.
• Prepare and publish anticipated urban ﬂood area map (ﬂooding of rivers) and anticipated urban inundation area map (ﬂooding due to surface water).

KFS5.2 (4)KFS5.2 (4)Tsurumi river basin was designated to come under the law as the ﬁrst river in 2005.
The cooperation in the basin among the relevant sectors will be further strengthened in
the future.The river and sewerage administrator and the local governments in the basin
have jointly developed the plan for reducing ﬂood disasters in the basin, and are working
to achieve improvements in the ﬂood safety level as early and as reliably as possible,
aiming towards creating a city (basin) that is resistant to ﬂood disasters.

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FactsRef. to KFS

Fig 5.2.6 Legal framework for a basin[Interviewee: Mr. Kenji Suzuki (Director of Keihin River Ofﬁce, MLIT)][Interviewer and report: Mr. Naoki Fujiwara, Mr. Ken Yoneyama (CTI Engineering)](1) Planning[ Title ]Planning[ Situation ]- The Tsurumi River has a relatively long section affected by the tide level of the Tokyo Bay because of
the gently sloping downstream section of the river. It also has a meandering river course due to thehills surrounding the rivers.These natural conditions made the areas in the downstream section of theriver prone to ﬂood disasters.
- Furthermore the rapid development of the basin reduced the rainwater permeability of the land causing the ﬂood water discharge to peak faster with higher magnitude.
[ Problem ]- The expansion of the river channel in the densely populated urban area is extremely difﬁcult for anumber of reasons including difﬁculties in acquiring the necessary land due to the rapid rise in land
prices, pollution caused by construction works, and so on.
- Conventional river improvements implied high costs and long construction times. This means thatthe ﬂood safety level will remain low for a long period of time until the project is completed. A risingdemand from society for the improvement of urban safety has to be addressed sooner.
- Urban rivers frequently experience extreme ﬂood events increasing ﬂood damage in the area. Conventional measures dealing only with the river channels are often inadequate.

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5 – GOOD EXAMPLES[ How the problem was overcome ]- An urban river suffering from the lowering of the ﬂood safety level due to rapid urban development was
designated as a ‘river speciﬁed for comprehensive ﬂood control measures’. Collaboration and coordination among various measures and land use planning were promoted in a comprehensive manner.
- Under the comprehensive ﬂood control measures, the following were implemented:• Vigorously advance river improvement works for ﬂood control.
• Develop a Basin Improvement Plan, which identiﬁes the appropriate measures for increasing thewater retention and retarding capacities of the basin, and implement various measures based on
this plan.
• Make public the map of the inundation area caused by major ﬂoods to promote proper land use
and to serve as useful information for evacuation during emergency.
• Promote public understanding and cooperation on ﬂood control issues in the river basin.
[ The key ][2.2.1] Develop a plan for balanced ﬂood management for the entire basin.
• Collaboration and coordination among various measures and land use planning are promoted
within the ﬂood management plan in an integrated manner.
[ Conditions and limitations in applying the KFS ]• Plans and measures that only deal with river channels are inadequate.
[ Ideas for enhancing the applicability of the KFS ](2) Maximized beneﬁt[ Title ]Maximized beneﬁt[ Situation ]- Tsurumi river basin was extensively urbanized, and houses were built close to the rivers in the downstream areas. It made it expensive to widen the existing rivers and the excavation of the channel
wouldn’t have realized sufﬁcient enhancement in the discharge capacity. Thus, a solution other thanthe conventional river channel improvement was indispensable.
[ Problem ]- It was proposed to build a ﬂood retarding basin within the urbanization control area close to the ShinYokohama station, which was used as agricultural land, mainly rice paddies.
- It was a large-scale project, with an area of 84 ha and a ﬂood control capacity of 3.9 million cubic meters.
The land owners already had some thoughts for the future uses of the land, and land prices in the region
had risen sharply around this time, thus purchasing the land raised a number of difﬁculties.
[ How the problem was overcome ]- Recognizing the high value of the site, it was decided to utilize the site for multiple purposes by building public facilities while utilizing it for ﬂood control. It allowed for an effective utilization of the land,and cost sharing with other sectors reduced the cost to be covered by the ﬂood control sector.
- It was positioned as a centre for sports and recreation with such facilities as a rehabilitation centre
and athletics parks.
[ The key ][3.2.1] Implement measures that maximize the beneﬁts of the basin as a whole.
• Development of projects in collaboration with other users in a comprehensive manner allows forearly completion of the ﬂood related infrastructures.
[ Ideas for enhancing the applicability of the KFS ]• Multi-purpose infrastructures considered land use, recreation, and the environment.

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(3) Stakeholder participation and Coordination[ Title ]Stakeholder participation and coordination[ Situation ]- While ﬂood control measures have been implemented for the Tsurumi river basin with a focus on thebasin, urbanization of the basin has generated such problems as a deterioration of the natural environment and water quality.
[ Problem ]- As the implementation of comprehensive ﬂood control measures increased the ﬂood safety level,
people’s interest shifted to environmental concerns and usage. Against this backdrop, it became necessary to incorporate the water cycle concept in the subsequent measures and promote natureoriented and multi-functional comprehensive ﬂood control strategies that would ensure environmental conservation and land use, and encourage the extensive participation of stakeholders.
[ How the problem was overcome ]- Tsurumi River Basin Water Master Plan was designed to provide guidelines for creating an environmentally sound water cycle in the Tsurumi river basin. This plan was developed based on cumulative
joint efforts between the government and basin residents through the implementation of comprehensive ﬂood control measures. The Tsurumi River Basin Water Council was also established.
- Speciﬁc basin management strategies were proposed with a focus on the following ﬁve aspects:(1) ﬂood control (measures during ﬂoods), (2) water environment during ordinary times, (3) naturalenvironment, (4) measures during earthquake and ﬁre, and (5) waterfront recreation.
[ The key ][2.1.1] Understand in advance the roles and responsibilities of stakeholders in the basin.
[2.1.2] Ensure effective coordination and cooperation of interests among stakeholders.
• It is necessary to incorporate the water cycle concept in the subsequent measures and promotenature-oriented and multi-functional comprehensive ﬂood control strategies.
[ Conditions and limitations in applying the KFS ]• It is not easy to reach an agreement without the basis and foundation of a close partnership
between people, citizens’ organizations, companies, and government.
[ Ideas for enhancing the applicability of the KFS ]• Establishment of the River Basin Water Council and the design of the River Basin Water Master
Plan between basin residents, citizens’ organizations and governments.

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5 – GOOD EXAMPLES(4) Legislation & Regulation of activities[ Title ]Legislation and regulation of activities[ Situation ]- It cannot be said that the current river/sewerage/basin facilities in Tsurumi river basin provide anadequate safety level, with its basin being highly utilized.
- Moreover, as over twenty years have passed since the development of the Basin Improvement Plan,
differences have arisen from land use compared to the original plan.
[ Problem ]- As the runoff control facilities in the basin were not legally positioned in the conventional comprehensive ﬂood control measures, many facilities were not propoerly maintained or reclaimed.
- In addition, Japanese urban cities have been frequently hit by heavy rains in recent years and ﬂood
damage to underground spaces has become an emerging issue. There was a need for a new approach
to ﬂood disaster reduction.
[ How the problem was overcome ]- To address the issue in urban rivers including Tsurumi, a new law for urban ﬂood damage mitigation
measures was enacted in 2004 enforcing basin-based measures and sectoral coordination among riverand sewerage administrators and related local governments in urban river basins.
- The river and sewerage administrator and local governments in the basin have jointly developed theplan for reducing ﬂood disasters in the basin.
- Enforce the installation of a runoff control facility with new development activities, which would
reduce the rainwater permeability of the basin. Oblige existing facilities in the basin to be conserved.
[ The key ][5.1.2] Specify in legislation that ﬂood management is the responsibility of national government,
municipalities and residents, and clarify their respective roles.
[3.2.2] Prevent actions/activities that cause negative consequences with regards to ﬂood
management in coordination with basin stakeholders.
• It is necessary to specify through legislation that ﬂood management is the responsibility of national
government, municipalities, residents, and so on, and clarify the roles of each of them.
• It is also necessary to oblige citizens in urban river basins to implement measures for increasingwater retention and retarding capacities.
[ Conditions and limitations in applying the KFS ]• Strong leadership of ﬂood managers is essential to establish a new legislation.
[ Ideas for enhancing the applicability of the KFS ]• New law for urban ﬂood damage mitigation measures, enforcing basin-based measures and sectoral
coordination between river and sewerage administrators and related local governments.

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5.3 INDONESIA: BRANTAS RIVER BASIN
Facts
1. BackgroundRef. to KFS

As a major river basin in East Java, Brantas has become the main water source
supporting an area covering nine regencies and ﬁve municipalities with a total populationof 15.5 million in 2004. Originating from an active volcano, the potential threat of Mount
Kelud erupting looms over the area. In addition, unique topographic conditions arisingfrom a winding clockwise watercourse and the eruption of Mount Kelud has caused
the riverbed to rise decreasing its ﬂood capacity in areas where ﬂoods frequently
occurred.Vast fertile deltas offer ideal areas to plant food crops especially rice. The area
has become a major food-producing region. Indonesia’s second largest city is locateddownstream of the river and hence requires an important water supply for domestic
purposes.
The Brantas Basin has a large capacity to develop. Except for irrigation infrastructurein the early 1960s, no major infrastructure has been embarked upon to regulate waterand collect water during the rainy season for use during the dry season. The eruptionof Mount Kelud in 1951 had the effect of raising the riverbed while decreasing its ﬂood
capacity. Frequent ﬂoods caused regular damage to the region, which in turn decreased
rice productivity. Comprehensive development of the entire Brantas Basin should beprioritised together with community development, which must also be strengthened.
2. Challenge of River Basin Development
The development of the Brantas Basin began with a comprehensive multi-purpose
project based on the concept ‘One River, One Plan’ and included multi-purpose dams
and reservoirs which, among other things, improved ﬂood control, irrigation, power
generation, domestic and industrial water supply. A special inter-provincial and crosssectoral institution, the Brantas River Basin Development Project (BRBDP), was set up
in 1961to implement basin wide development run by central government.
Priorities were selected within each of the different stages of development, which
in turn will lead to the subsequent stages. Initially the overall development plan was
conducted for the entire basin and was known as the Brantas Plan (1958), which waslater consolidated as the Master Plan 1 of the Brantas River Basin (1961). Flood control
was the main priority of Master Plan I while irrigation development became the mainpriority of Master Plan 2 (1973), with domestic and industrial water supply the priority
in Master Plan 3 (1985).
Growing industries as well as cities require a continuous and adequate supply ofelectricity and water from within the area. Hydroelectric power could potentiallyprovide a safe power source for the region.At the same time, environmental degradation
caused by intensive human activities, especially in the upper catchment areas, has alreadycommenced at an alarming rate. Following the completion of facilities, conservationand effective water management became the main priority of Master Plan 4 (1998). A
special institution, namely Jasa Tirta I Public Corporation was set up in 1990 to conduct
operation and maintenance (O&M) of completed water resources infrastructures andwater resources management in Brantas River Basin by implementing beneﬁciaries
pay principle for O&M cost recovery in order to gradually reduce the national budget
for water resources management in the basin. The Brantas River Basin Development
Plan ﬁnally became committed to the principle ‘One River, One Plan, One Integrated
Management’.

KFS
5.3 (2)

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5 – GOOD EXAMPLES

Facts
3. Project prioritizing of staged Master Plan

Ref. to KFS

When the Brantas River Basin Development began in 1958, the basin suffered fromﬂoods almost annually causing severe damage resulting in personal injury, crop damage
and losses to basin assets .This was due to the large amounts of volcanic debris and ash
from Mount Kelud, in1951, which caused a gradation of the Brantas riverbed and thus
reduced the discharge capacity of the river.
Although ﬂood prevention was the main priority, severe food shortages were anational problem and electric power was needed for regional development. The Master
Plan therefore had to be implemented in phases in parallel with other development
projects.
Project priorities were economically evaluated by applying the B/C (beneﬁt/cost)
method. Flood control was selected for Master Plan I (1961). Karangkates Dam and Kali
Konto (Selorejo) Dam were considered the best B/C projects as they mainly focusedon ﬂood control but also power generation and irrigation. Irrigation infrastructure
rehabilitation in the Lower Brantas Delta was selected as the second priority, Lengkong
Dam and Porong River development for ﬂood mitigation was the third priority. Following
construction of the Sutami (Karangkates) Dam (1972) and of the Kali Konto (Selorejo)
Dam (1972), the frequency of ﬂoods decreased drastically, which led to the next stagesof priority development.

KFS5.3 (1)Project priorities were economically evaluated by applying the EIRR (Economic
Internal Rate of Return) method and ﬁve projects were selected for Master Plan 2(1973). Lodoyo - Tulungagung Irrigation Development together with Wlingi multipurpose Dam, Bening Dam, Lodoyo Dam, Mrican Barrage, Menturus and Jatimlerek
Rubber Dams became the main priority in Master Plan 2 because of their focus on theprovision of irrigation water to support the national drive for self-sufﬁciency in foodprotection. River development in the middle reach was the second priority, while thethird priority was Pare - Nganjuk Irrigation Project.
First master plan
Projects
1) Karangkates Dam
2) K. Konto Dam
3) Porong River Improvement
4) Lengkong Dam
5) Brantas Delta Irrigation Facilities
6) Sabo facilities
7) Wlingi Dam
8) Lodoyo Irrigation
9) Lodoyo Sand Removal

B/C
Priority(0.82 Cent/kWh)
1
1.96
-

3
2
continue
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FactsRef. to KFS

Second master plan
Projects
1) Wlingi multiple-purpose project2) Lodoyo ~ Tulungagung Agricultural
Development Plan
3) Brantas Middle Reaches River Improvement
4) Pare ~ Nganjuk Agricultural Development Plan
5) Ngrowo river coastal district ﬂood-control plan
6) Blitar ~ Kediri Agricultural Development Plan

EIRR
15.5

Priority
1

15.7
12.3
5.1
9.0

2
3
4
5

4. Return Period of Flood Control

As concern for ﬂood control grew, the design-ﬂood discharge was based on the following:
the importance of the river (main and tributary reaches), the ﬂood prevention levels ofother Indonesian rivers, and the scale of the damage potential.
• The main stream of the Brantas River: 10-year ﬂooding is set as the design-ﬂood discharge in Master Plan I, and 50-year ﬂooding is set in Master Plan 2.
• Tributaries: a 10~25 year ﬂood is set as the design-ﬂood discharge in Master Plan
I in accordance with the ﬂood prevention level of other rivers in the country. The
design-ﬂood discharge of the Widas River will be set at 25-year ﬂooding.
• Identify the areas at risk of ﬂooding and the extent of that risk.
• Develop a plan that accounts for balanced ﬂood management for the entire basin.

[Interviewee: Dr. Mochammad Amron (Member of the IWRM Guidelines Steering
Committee)][Interviewer: Mr. Toshiyuki Yoshioka, Mr. Hiroyoshi Tanaka (Japan Water Agency)]

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5 – GOOD EXAMPLES(1) Risk assessment[ Title ]Risk assessment[ Situation ]- In the 1950s, although ﬂood prevention was the top priority, severe food shortages was also a national
problem while electric power was needed for regional development. It had to be implemented in aphased manner in parallel with other development projects.
[ Problem ]- Although the Brantas River Basin Development began in 1958, the basin suffered from almost annual
ﬂoods causing severe damage, personal injury, crop damage, and losses to basin assets.This was due tothe large amounts of volcanic debris and ash from Mount Kelud in 1951, which caused a gradation of
the Brantas river bed and thus reduced the discharge capacity of the river.
[ How the problem was overcome ]- Project priorities were economically evaluated by applying the B/C method. Flood control was selected
for Master Plan I. Karangkates Dam and Kali Konto (Selorejo) Dam were considered the best B/Cproject as they mainly focused on ﬂood control, but also power generation and irrigation.
- Project priorities were economically evaluated by applying the EIRR (Economic Internal Rate of
Return) method and ﬁve projects were selected for Master Plan 2.
- As concerns ﬂood control, the design-ﬂood discharge was decided in view of the importance of theriver (main and tributary reaches), the ﬂood prevention levels of other Indonesian rivers, and the scaleof the damage potential, as follows:• The main stream of the Brantas River: 10-year ﬂooding is set as the design-ﬂood discharge in the
Master Plan I, and 50-year ﬂooding is set in Master Plan 2.
• Tributaries: a 10~25 year ﬂood is set as the design-ﬂood discharge in Master Plan I in accordancewith the ﬂood prevention level of other rivers in the country. The design ﬂood of the Widas River
will be set at 25-year ﬂooding.
• Identify the areas at risk of ﬂooding and the extent of that risk.
• Develop a plan that accounts for balanced ﬂood management for the entire basin.
[ The key ][1.1.1] Identify and prioritize the areas at risk of ﬂooding and the extent of that risk in thebasin.
• The development projects listed in the Master Plan were economically evaluated using the B/C
method and EIRR. Social conditions were also evaluated before establishing the implementation
priorities among the projects.
[ Conditions and limitations in applying the KFS ]• To have objective information about costs and beneﬁts.

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(2) Coordination[ Title ]Coordination[ Situation ]- Due to its unique topographic condition arising from a winding clockwise watercourse, and the eruption of Mount Kelud, which had caused the river bed to rise decreasing its ﬂood capacity, ﬂoods
occurred frequently. Vast fertile deltas offer ideal areas to plant food crops especially rice. The area
has become a major food-producing region. Indonesia’s second largest city is located downstream of
the river and hence requires an important water supply for domestic purposes.
[ Problem ]- The Brantas Basin has a large capacity to develop. Except for irrigation infrastructure in the early 1960s,
no major infrastructure has been embarked upon to regulate water and collect water during the rainyseason for use during the dry season.Today each provincial government manages its own water supply.
The eruption of Mount Kelud in 1951 had the effect of raising the riverbed while decreasing its ﬂood
capacity. Frequent ﬂoods caused regular damage to the region, which in turn decreased rice productivity. Comprehensive development of the entire Brantas Basin should be prioritised together with
community development, which must also be strengthened.
[ How the problem was overcome ]- The development of the Brantas Basin began with a comprehensive multi-purpose project based on
the concept ‘One River, One Plan’ and included multi-purpose dams and reservoirs which, among
other things, improved ﬂood control, irrigation, power generation, domestic and industrial water supply. A special inter-provincial and cross-sectoral institution, BRBDP, was set up to implement basinwide development run by central government.
- Following completion of these ﬂood control measures, irrigation and other facilities, a special institution was set up for integrated water resources management. The Brantas River Basin Development
Plan ﬁnally became committed to the principle ‘One River, One Plan, One Integrated Management’.
[ The key ][2.1.2] Ensure effective coordination and cooperation of interests among stakeholders.
• The inter-provincial and cross-sectoral BRBDP was established.
[ Conditions and limitations in applying the KFS ]• There were initiatives of the central government.

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5 – GOOD EXAMPLES

5.4 KENYA: NYANDO RIVER BASIN
Facts

Ref. to KFS

1. Background
Nyando River Basin, located in the southern part of Kenya, has a basin area of 3,625
sq. kilometers and its river ﬂows into Lake Victoria. For the low-lying areas of the lower
river (Kano plains), prior to ﬂowing into the river, irrigation development is urgently
required. This area is frequently hit by ﬂoods, causing direct damage to private homes,
farm crops, domestic animals, public facilities as well as causing massive economic andhuman hardship including hygiene issues such as the spread of infectious diseases likemalaria, cholera and typhoid among the vulnerable population mostly pregnant womenand children.
There are approximately 44,000 residents (2003) living in this ﬂood-prone area, andevery year the ﬂood affects a number of victims.
Year

2002
2003
2004

Number of victims
Deaths6
6

Evacuees
10,0005,000
400

Flooded farmland (ha)Affected
28,65015,00010,000

3,090
3,000
4,000

Table 5.4.1 Flood disaster damage
2. Strengthening the organizational capacity for ﬂood control
The factors contributing to the increase of ﬂood
disasters in Nyando river basin include the population
increase, the ageing public facilities, and land degradationin the basin (due to unrestrained logging and traditional
cultivation practices in the upstream region). Floodplains
were once used for agriculture and livestock pasturing
but people began to occupy the area, which increased theimpact of ﬂoods. Furthermore, the lack of maintenanceand management of the river embankments also increased
the risks.

Fig. 5.4.1 Flow blockage
by culverts

Culverts under roads were frequently blocked because of the accumulation of
sediment, woods and other waste from upstream. Debris removal and improvement of
the culvert by increasing its cross-sectional area to allow debris to pass or by replacing
it with a bridge, was deemed necessary.
Despite the fact that ﬂoods were increasingly becoming a major issue, no competentorganization specializing in ﬂood management administration existed. Thus, in orderto strengthen organizational capacity, it was decided to implement the following
measures:

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FactsRef. to KFS

1) A ﬂood management unit was established within the head ofﬁce of Water Resources
Management Agency (WRMA).
2) An ofﬁcer in charge of ﬂood management was assigned to the ofﬁce of Lake Victoria’s southern basin region.
3. Developing a ﬂood management plan
Currently, priority projects are being selected and implemented while developing aﬂood management plan for the Nyando river basin. It aims to realize community-based
ﬂood management by proposing a process to secure transparency, and for community
participation and consensus-building in the project implementation phase.

KFS5.4 (1)In addition, a ﬂood management training plan was developed, and the National
Disaster Operations Center (NDOC) is conducting studies on disaster status analysis
and disaster management in collaboration with related government agencies and themilitary. The training plan is implemented on a regular basis for search/rescue activities[References]
Strategy for ﬂood management for Lake Victoria Basin, Kenya (APFM, September 2004).
The development study for regional development programme in Nyando and Homa-Bay
Districts in the Republic of Kenya (JICA, 2007).

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5 – GOOD EXAMPLES(1) Coordination and Planning[ Title ]Coordination and Planning[ Situation ]- Nyando River Basin is frequently hit by ﬂoods causing direct damage to private homes, farm crops,
domestic animals, public facilities as well as causing massive economic and human hardship including
hygiene issues such as the spread of infectious diseases like malaria, cholera and typhoid among thevulnerable population mostly pregnant women and children.
[ Problem ]- The factors contributing to the increase of ﬂood disasters in Nyando River Basin include the population increase, ageing public facilities, and land degradation in the basin (due to unrestrained logging andtraditional cultivation practices in the upstream region).
- Lack of maintenance and management of the river embankments also increased the risks.
[ How the problem was overcome ]- Despite the fact that ﬂoods were increasingly becoming a major issue, no competent organization
specializing in ﬂood management administration existed. Thus, in order to strengthen organizational
capacity, it was decided to implement the following measures:

1) A ﬂood management unit was established within the head ofﬁce of WRMA.
2) An ofﬁcer in charge of ﬂood management was assigned to the ofﬁce of Lake Victoria’s southernbasin region.

- Currently, priority projects are being selected and implemented while developing a ﬂood management
plan for the Nyando River Basin. It aims to realize community-based ﬂood management by proposing a process to secure transparency, and for community participation and consensus-building in the
project implementation phase.
- In addition, a ﬂood management training plan was developed, and NDOC is conducting studies on
disaster status analysis and disaster management in collaboration with related government agencies
and the military. The training plan is implemented on a regular basis for search/rescue activities andﬂood evacuation.
[ The key ][2.1.2] Ensure effective coordination and cooperation of interests among stakeholders.
[2.2.1] Develop a plan for balanced ﬂood management in the entire basin.
• Without a competent organization specialized in ﬂood management administration it is impossible
to reduce ﬂood damage.
• It is also important to develop maintenance and training plans.
[ Ideas for enhancing the applicability of the KFS ]• Establishment of an organization specialized in ﬂood management.
• Development of a ﬂood-management training plan.

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5.5 OTHER EXAMPLES
5.5.1 Argentina(1) Information-sharing[ Title ]Information-sharing[ Situation ]Operation and maintenance of dams and dam safety as a matter of concern.
- A series of signiﬁcant hydropower schemes including large dams has been constructed since the endof the 1960s. The dams have played an important role in the development of the area and of the wholecountry. The dimensions of these dams and reservoirs upstream have made dam safety a relevant issue inthe community. During 25 years, the Federal Government, through its state-owned corporation Hidronor
S.A., was in charge of the design, construction, and operation of the hydraulic developments of the region,
including dam safety issues.
[ Problem ]Privatization and division of the operation of hydropower schemes.
- As a result of the modernizing reforms and the re-structuring of national assets being carried out by theFederal Government, operations of the Comahue region hydropower schemes were privatized in 1993.
[ How the problem was overcome ]Establishment of a special agency for dam safety and the promotion of information-sharing.
- On the basis of an agreement between the Federal Government and the provincial governments of
Río Negro, Neuquén, and Buenos Aires, the Organismo Regional de Seguridad de Presas Comahue (ORSEPComahue) (Dam Safety Regional Bureau Comahue) was created by National Executive Decree.This new
institution, the ﬁrst of its kind in Argentina, is responsible for the technical regulatory functions and thesupervision of the structural safety of the dams and reservoirs in the region, and is, therefore, the body
responsible for enforcing compliance with the structural norms and standards, as determined by the concessionary contracts drawn up by the Federal Government and the private international consortia.
- The setting up by the state of a speciﬁc organization for dam safety supervision and regulation of the largehydropower complex of the Comahue region has been an important institutional development in Argentina. The new system, comprising a state regulatory entity and private concessions, has demonstrated
signiﬁcant improvements in dam safety supervision, implementation of remedial work, and emergency
action plans.
- In addition to regulation and supervision, ORSEP pays special attention to communication in order toallow people to familiarize themselves with dam safety conditions. ORSEP disseminates dam safety information and promotes educational activities such as the installation of signs in residential areas indicating
evacuation procedures, as well as producing several booklets and conducting ﬁeld studies for school students. Experience has shown that this policy has had a more positive effect than the lack of informationthat existed in the past.
[ The key ][3.2.4] Inform residents of risks as soon as possible at the time of ﬂooding.
• Sharing information facilitates IWRM activities by raising awareness and promoting the participation of
stakeholders and the public.
[ Conditions and limitations in applying the KFS ]• Promoting information disclosure and educational activities to facilitate public awareness needs funding
at a certain level.
[ Ideas for enhancing the applicability of the KFS ]• Prepare a funding mechanism to secure continuity and sustainability.
[ Reference ]Dam safety in the Comahue Region of Argentina, F. L. Giuliani and C.A.Yema, Organismo Regional de Seguridad de Presas del Comahue-ORSEP Comahue (ORSEP, 1998).

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5.5.2 Bangladesh(1) Stakeholder participation[ Title ]Stakeholder participation[ Situation ]- Due to its unique geographical location and topography, Bangladesh is one of the most ﬂood-prone
countries in the world. It is affected by ﬂash ﬂoods, rain-fed and river ﬂoods, and ﬂoods due tocyclonic storm surges. Approximately 20–25 per cent of Bangladesh’s territory is inundated during
the monsoon season. Such ﬂooding provides fertile agricultural land, and the ﬂoodplains in Bangladesh
are densely populated and intensely utilized. On the other hand, during the last half-century at least
eight extreme ﬂood events occurred affecting about 50–70 per cent of Bangladesh’s territory with far
reaching negative impacts on human life and the national economy.
[ Problem ]- Although government-led structural and non-structural ﬂood control measures were implemented,
the country still faced frequent ﬂood damages including loss of human lives. Stakeholder involvement
was therefore necessary to effectively implement ﬂood control measures.
[ How the problem was overcome ]- To involve all kinds of stakeholders both at national and local levels, the government has updated theguidelines for participatory water management. As a result of this response, public consultation has
been made compulsory for any ﬂood management project.
- Some pilot studies have recently been completed to ensure effective public participation in dissemination as well as in ﬂood preparedness activities at the community level. In three pilot areas, baseline surveys were initially conducted to understand the perception of the people regarding ﬂoods,
ﬂood information and preparedness. Based on these surveys, methodologies were developed forconstituting a Community Based Organization (CBO) for ﬂood management. Intensive consultationand training were conducted for the local people to develop their capacity for dissemination of ﬂood
information and preparedness. It was found that the pilot area studies were very useful to develop anationwide ﬂood preparedness program.
[ The key ][2.1.1] Understand in advance the roles and responsibilities of stakeholders in the basin.
• Make public consultation compulsory for any ﬂood management project.
[ Ideas for enhancing the applicability of the KFS ]• Conduct base line surveys to understand the perception of people regarding ﬂoods, ﬂood information and preparedness.
• Consultation and training for local people.
[ Reference ]The Associated Programme on Flood Management, Case study in Bangladesh.
(http://www.apfm.info/pdf/case_studies/cs_bangladesh.pdf)

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(2) Regulation of activities[ Title ]Regulation of activities[ Situation ]- Due to its unique geographical location and topography, Bangladesh is one of the most ﬂood-prone
countries in the world. It is affected by ﬂash ﬂoods, rain-fed and river ﬂoods, and ﬂoods due tocyclonic storm surges. Approximately 20–25 per cent of Bangladesh’s territory is inundated during
the monsoon season. Such ﬂooding provides fertile agricultural land and the ﬂoodplains in Bangladesh
are densely populated and intensely utilized. On the other hand, during the last half-century at least
eight extreme ﬂood events occurred affecting about 50–70 per cent of Bangladesh’s territory with far
reaching negative impacts on human life and the national economy.
[ Problem ]- Flood control measures have been implemented in Bangladesh over the past ﬁfty years, and a variety
of structural measures were implemented. However, in spite of all the structural activities, it was foundthat the people living in the medium-high and medium lowlands are not safe from ﬂooding during
moderate to extreme ﬂood events.
[ How the problem was overcome ]- The government placed more emphasis on non-structural means for ﬂood mitigation, in particular
by adopting a policy of involving communities in ﬂood management. The government then decided tocontrol developments in the ﬂood plains, for instance, by legislating.
- In addition, the government introduced a new concept of control-ﬂooding that took in consideration
stakeholders instead of making some areas completely ﬂood-free.
- A pilot project was set up on the basis of this concept, which is known as the Compartmental Pilot
Project (CPP) Tangail.
- The project was divided into several units on the basis of land topography and micro-hydrological zoning. In this pilot project, ﬂooding was allowed in some units, as decided by the stakeholders throughconsultation among themselves.
[ The key ][3.2.2] Prevent actions/activities that cause negative consequences with regards to ﬂood
management in coordination with basin stakeholders.
• Control the developments in the ﬂood plains, for instance, by legislating.
[ Ideas for enhancing the applicability of the KFS ]• Legislative measures to stop encroachments on the ﬂood plains.
[ Reference ]The Associated Programme on Flood Management, Case study in Bangladesh(http://www.apfm.info/pdf/case_studies/cs_bangladesh.pdf)

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5 – GOOD EXAMPLES(3) Crisis management[ Title ]Crisis management[ Situation ]- Bangladesh is located in the world’s largest delta formed by the Ganges, Brahmaputra, and Meghnarivers. Most of Bangladesh lies in lowland, nine meters below sea level. Twenty per cent of the land is
ﬂooded during the monsoon season causing signiﬁcant ﬂood damage.Thus, disaster counter measures
are an important national issue. Powerful Cyclone Sidr hit southwestern Bangladesh in November
2007 and caused extensive damage to the country, leaving 3,363 people dead and 871 people missing.
The number of victims totaled 8,920,000, and some 560,000 houses were totally destroyed.
[ Problem ]- 30 of the 64 districts in Bangladesh suffered damage from Cyclone Sidr – one of its most powerful
cyclones ever. The four most damaged districts were Patuakhali, Barguna, Pirojpur, and Bagerhat. These
districts were not equipped with enough cyclone shelters and many residents were unable to evacuate.
[ How the problem was overcome ]- The government of Bangladesh requested the Japanese government to construct multi-purpose cyclone
shelters.The Japanese government approved the Programme for Construction of Multi-purpose Cyclone
Shelters in the area affected by Cyclone Sidr, through a disaster prevention and reconstruction assistance grant funding cooperation.
- This programme plans to construct 38 cyclone shelters in the four above-mentioned districts. New
shelters will provide refuge for about 61,000 people during a disaster. These shelters will be used as
schools during normal times, providing an opportunity to improve the educational environment inaddition to increasing readiness for disaster. Hence, there are great expectations for these cyclone
shelters.
[ The key ][3.2.5] Prepare a framework/system that can execute crisis management in a basin.
• The shelter can be used for evacuation and education for disaster reduction.
[ Conditions and limitations in applying the KFS ]• Could lead to the formation of concrete projects immediately.
[ Reference ]Website of the Japan International Cooperation System(http://www.jics.or.jp/jigyou/musho/bousai/bangladesh_200808.html)
Website of the International Centre for Water Hazard and Risk Management(http://www.icharm.pwri.go.jp/html/research/pdf/pdf_0706/bang_e.pdf)

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5.5.3 China(1) Financing[ Title ]Financing[ Situation ]- China has been frequently hit by massive ﬂoods and has suffered ﬂood disasters. The critical issue isthat about 8 per cent of the land area located in the middle and downstream of the seven major rivers
is prone to ﬂoods, where 50 per cent of the total population live and contribute over two-thirds oftotal agricultural and industrial production.
[ Problem ]- One of the big issues in the water sector, as with other sectors, is the lack of funds for the construction of new projects, the renewal and rehabilitation of available projects, and even for operation andmaintenance. Capital investment to the water sector has for a long time been kept at a very low level,
i.e. 2–3 per cent of total capital investment of central government.
[ How the problem was overcome ]- Since the 1980s, a new approach to fund-raising has been promoted in all economic sectors in order
to secure stable funding sources. In the past the ﬂood control program and other resources development programs were mainly funded by central government, the new system introduces contributions from government at all levels. In addition, the new system tries to mobilize funds from multiple
sources through loans, bonds, stocks, and foundations in addition to government appropriation. The
new system encourages investment from enterprises, the private sector, foreign investors, and farmers
in the form of labour contributions.
- The new system is set up as follows:• Central and local governments (mainly provincial governments) share investments via appropriation for major projects of the seven major river basins with a speciﬁed ratio according to the sizeof the projects and the division of respective rights and responsibilities. For those projects whose
impact is concentrated within one province, they are mainly funded by local governments.
• In the 1990s the special fund for ﬂood control was established for local governments to fund local
ﬂood projects.
• Since 1992 a special funding system has been established in a number of administrative regions sothat the fund is also generated from beneﬁciaries. A substantial funding contribution for the construction of the Huang Pu River dyke was raised from riparian enterprises. About 400 million yuan
was generated in Huaihe River Basin within a six-year period.
[ The key ][5.1.3] Continue stable investment for ﬂood management with a long-term perspective.
• Make it possible to collect funds from multiple sources.
[ Ideas for enhancing the applicability of the KFS ]• Mobilize funds from multiple sources through loans, bonds, stocks, and foundations in addition to
government appropriation.
[ Reference ]The Associated Programme on Flood Management, Case study China: Flood Management(http://www.apfm.info/pdf/case_studies/cs_china.pdf)

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5 – GOOD EXAMPLES

5.5.4 Costa Rica
(1) Risk assessment[ Title ]Risk Assessment[ Situation ]- Turialba city is at risk from at least two hazardous phenomena, namely seismic hazard and ﬂood
hazard. The last major earthquakes to hit the surrounding areas of Turialba occurred in Limon
1991 and in Pejibaye in 1993 causing much alarm and heightened awareness of the potential risks
to the major urban area. (Lamadrid, 2002). Heavy rainfall is a common natural phenomenon in the
Turialba city and this causes ﬂash ﬂoods of the Colorado River, the Gamboa Stream and othersmall watercourses.
[ Problem ]- It is necessary to carry out risk assessment in order to estimate thepotential damage of a particular hazard.
[ How the problem was overcome ]- Risk assessment for seismic and ﬂood hazards was carried out usingstate-of-the-art GIS. GIS (software package) tools are required tocreate a model, make evaluations, and calculate a return period of
the particular hazardous phenomenon in question. In dealing withthe assessment of seismic and ﬂood hazards, the following objectives were established:• To generate hazards maps for different return periods.
• To identify the element of risk and estimate the vulnerability
value.
• To calculate the damage and assess the risk due to the hazard inquestion.

Fig. 5.5.1 Annual expected
damage maps

[ The key ][1.1.1] Identify and prioritize the areas at risk of ﬂooding and the extent of that risk in thebasin.
• GIS technology represents a great advantage especially in terms of damage calculation, vulnerability
and risk analysis.
• Incorrect distribution of damage value of ﬂood hazard can be avoided by using detailed informationin map analyses and table calculations, paying more attention to agricultural areas.
[ Ideas for enhancing the applicability of the KFS ]• Risk assessment for seismic and ﬂood hazards using state-of-the-art GIS.
[ Reference ]Vulnerability Analysis And Risk Assessment For Seismic And Flood Hazard In Turialba City, Costa Rica
(The UNESCO-RAPCA project, 2000)(http://www.itc.eu/external/unesco-rapca/Informes%20estudiantes%20ITC/
Analisis%20de%20riesgo%20en%20Turrialba%20Costa%20Rica/Risk%20assessment.pdf)

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5.5.5 Japan(1) Risk assessment[ Title ]Risk assessment[ Situation ]- Kitakami River running through the central part of Iwate Prefecture is the largest river in the Tohoku
region of Japan. The width of the river channel in its upstream section is approximately 250 meters,
but it has a lack of capacity to stream large ﬂoods in the midstream section where the channel width
is only 100 meters and with a narrow valley 28 km in length.
[ Problem ]- The midstream section had a lower discharge capacity than the downstream section and there was adelay in levee development. The area often suffered from ﬂood disasters.
[ How the problem was overcome ]- Examining the progress status of the ﬂood control project and the status of ﬂood damage occurence
identiﬁed locations exposed to the risk of ﬂooding.

Fig 5.5.2 Progress status of the ﬂood control project[ The key ][1.1.1] Identify and prioritize the areas at risk of ﬂooding and the extent of that risk in thebasin.
• Evaluating the progress status of the ﬂood control projects and the status of ﬂood damage occurrence identiﬁed that areas at risk of ﬂooding.
[ Conditions and limitations in applying the KFS ]• Information on the sequence of ﬂood control projects implemented in the basin and their progress
is available.
• Information on ﬂood damages occurring in the basin is available.
[ Ideas for enhancing the applicability of the KFS ]• Database that records all ﬂood control projects in the basin in an inter-annual manner.
• Information dissemination mechanism that reports the status of ﬂood damage immediately after
its occurrence.
[ Reference ]Website of the Iwate Ofﬁce of River and National Highway, Regional Development Bureau, Ministry ofLand, Infrastructure, Transport and Tourism, Japan.
(http://www.thr.mlit.go.jp/iwate/kawa/seibi_keikaku/dai3/image/dai3_siroyu2.pdf) (in Japanase)

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5 – GOOD EXAMPLES(2) Capacity building[ Title ]Capacity building[ Situation ]- Japan is highly exposed to ﬂooding due to its natural and social environments and ﬂoods occur every
year throughout the country as a result of heavy rain and typhoons.
[ Problem ]- When Japan was hit by Typhoon Number 10 in 1986, the strenuous effort by communities to minimize
ﬂood damage was publicized and led to the further realization that community-led ﬂood ﬁghting wasextremely important. It was considered critical to ensure that every citizen understood the signiﬁcance and importance of ﬂood ﬁghting as well as to continue to improve the level of their awarenesstowards ﬂood ﬁghting activities.
[ How the problem was overcome ]- In Japan, May (June in Hokkaido) is set as the ﬂood-ﬁghting month as ﬂood season generally begins
after this month. During this period, comprehensive ﬂood drills are organized throughout the country
and local residents, corporations, disaster prevention stakeholders and NGOs participate in them.
- A ﬂood drill provides training concerning information communication, river patrolling, and ﬂoodﬁghting construction techniques/skills.
[ The key ][1.2.1] Conduct regular training, and make use of local experience and technologies.
• In the case of Japan, a ﬂood-ﬁghting framework has been established and the techniques and capacities for ﬂood-ﬁghting are being developed through training.
[ Conditions and limitations in applying the KFS ]• Relevant organization is required by law – Flood Fighting Law – to conduct the ﬂood drills every
year in Japan.
[ Ideas for enhancing the applicability of the KFS ]• Mechanism for transferring skills across generations.
[ Reference ]Website of the Ministry of Land, Infrastructure, Transport and Tourism, Japan.
(http://www.mlit.go.jp/report/press/river03_hh_000015.html) (In Japanese).

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(3) Technology development[ Title ]Technology development[ Situation ]- In the past, people in Japan knew how to live with ﬂoods without large-scale facilities.
- In postwar Japan however, modern ﬂood control engineering was introduced where continuous levees
are constructed to channel ﬂoodwater downstream.
[ Problem ]Construction of continuous levees had become the standard ﬂood control technique employed in Japan.
However, their limitation was recognized as they take a long time to complete, and such measures alone cannot completely prevent ﬂood damage. Recent changes in social values had also prompted needs for addressing not only ﬂood issues but also the preservation of diverse functions of rivers.
[ How the problem was overcome ]- It was recognized that accepting some level of inundation while minimizing their negative impacts isimportant for ﬂood risk management, leading to the reappraisal of traditional ﬂood control techniques.
Kasumitei
Kasumitei is a group of discontinuous levees that form a duplex structure upstream and downstream. Floodwater is temporarily retained in the gaps between the levees to reduce the volume
of water rushing downstream.
- Since traditional ﬂood control techniques such as seigyu use natural materials instead of concrete,they create harmony with the surrounding environment. Its rugged surface promotes plant growth intheir natural habitats over time and provides a home for such burrowers as shrimps and eels. Such
traditional ﬂood control techniques create an ecologically sound river environment.
SeigyuSeigyu is a pyramid shaped structure designed to slow the river ﬂow toward the bank and leveeand change its direction to prevent erosion. It was used in many rapid ﬂow rivers because of its
simple and stable structure.
- There is increasing awareness on the need for new ﬂood control approaches in order to avoid thedevastating ﬂood damage that has recently occurred in and outside of the country. There is also
increasing awareness for seeking more environmentally sound ﬂood control solutions while promoting unique community planning through integrating river and urban development by means of looking
at the entire basin and water cycle rather than only looking at the river channel.
[ The key ][1.2.2] Develop technology that fully reﬂects local conditions.
• Applied methods that have been traditionally conducted in the basin.
[ Conditions and limitations in applying the KFS ]• The guidelines have been prepared for the traditional method.
[ Reference ]Website of the Kofu Ofﬁce of River and National Highway, Regional Development Bureau, Ministry ofLand, Infrastructure, Transport and Tourism, Japan(http://www.ktr.mlit.go.jp/koufu/kawa/dento/) (in Japanase)

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5 – GOOD EXAMPLES(4) Stakeholder participation[ Title ]Stakeholder participation[ Situation ]- Geographical features of the area make it difﬁcult to implement ﬂood control measures. The ﬂood
safety level remains low, even after the completion of the Special Emergency Project for the Relief
from Severe, Natural Disaster in Rivers implemented in the wake of ﬂoods in 1995.
- Waterfront community events and tourist attractions are often held.
- The river is lined with many trees that are planted to protect against ﬂood damage, and which provide
habitats for diverse plants and animals.
- Increasing pollutant load in the basin is damaging the water quality of existing dams.
- Downstream ﬂow volume is signiﬁcantly affected by water discharge of existing dams for hydraulicpower generation.
[ Problem ]- The revised River Law that went into effect in 1997 requires the opinion of relevant prefectural governors or municipal mayors for developing a river improvement plan to resolve the issues noted above.
It also requires both expert opinion and public opinion in such plans when necessary. The challenge
was how to incorporate the opinions of various stakeholders in a river improvement plan for solving
the above mentioned problems.
[ How the problem was overcome ]Basin committee meetings were held.
• The committee met four times during the period from October 31, 2003 to March 22, 2004, to
ﬁnalize river improvement plan.
• Principle of disclosure (open-door meetings, disclosure of information via website).
• Committee members include academic experts and relevant municipal mayors.
Basin residents’ opinions were collected.
• Via postcards and Internet (582 respondents).
• Five opinion exchange sessions were held (758 participants).
• Public hearings were held (10 attendants, 175 observers).
• Information centre (143 participants).
• Four on-site workshops were held (160 participants).
[ The key ][2.1.2] Ensure effective coordination and cooperation of interests among stakeholders.
• From more people, to hear more opinions, and try to secure more opportunities.
[ Conditions and limitations in applying the KFS ]• It is clear that the primary responsibility of the entire basin lies with central government.
[ Reference ]Ozu River & Road Ofﬁce, Ministry of Land, Infrastructure, Transport and Tourism, Japan.
(http://www.skr.mlit.go.jp/oozu/index.html) (In Japanese).

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(5) Maximized beneﬁt[ Title ]Maximized beneﬁt[ Situation ]- Kitakami River running through roughly the central part of Iwate Prefecture is the largest river in the
Tohoku region of Japan. Expected population increases and economic development in the region suchas high-speed railways and highways, were under development.
[ Problem ]- Both the upstream and midstream sections were subject to frequent ﬂooding as their discharge
capacity was lower compared to the downstream section, for which adequate levees were developed
at an early stage.
[ How the problem was overcome ]- Five dams and ﬂood control basins were built targeting the main stream and tributary streams.
- Each facility has been designed as a multi-purpose facility.
- Covering the midstream to upstream sections, these multi-purpose dams were designed not only tocontrol ﬂooding but also to supply water for power generation and agricultural purposes as well as fordomestic uses.These dams signiﬁcantly contribute to the region, which has been a farm belt since ancient
times and has been enticing businesses to develop industrial areas and provide industrial supplies.
[ The key ][3.2.1] Implement measures that maximize the beneﬁts of the basin as a whole.
• The beneﬁts to the entire basin were considered, not only in terms of the reduction in ﬂood damage but also water use and its impact on basin development.
[ Ideas for enhancing the applicability of the KFS ]• Basin master plan and infrastructure development plan for the basin exists.
• An organization or an entity that can oversee the basin as a whole and implement necessary
measures.
[ Reference ]Website of the Kitakami River Integrated Dam Management Ofﬁce, Regional Development Bureau,
Ministry of Land, Infrastructure, Transport and Tourism, Japan.
(http://www.thr.mlit.go.jp/kitakato/) (In Japanese)

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5 – GOOD EXAMPLES(6) National strategy[ Title ]National strategy[ Situation ]- Since the end of World War II (1945), there had been an average of 1,000 natural disaster victims
almost every year in Japan.
- In September 1959, Typhoon Isewan hit the areas around Nagoya resulting in 5,098 missing or deadand devastated the Chukyo Industrial Area, which had been recovering from the war.
[ Problem ]- The level of ﬂood damage caused by Typhoon Isewan was notably high and a wide range of areas
centred around Nagoya were devastated by tidal surges and severe storms leaving postwar Japan inturmoil.
- The lessons learned from Typhoon Isewan, which revealed the weak points of the Japanese disasterprevention administration, came to light and it was largely recognized that the capacity of the administration needed to be fundamentally improved.
[ How the problem was overcome ]- The lessons learned from Typhoon Isewan revealed inadequacies in the conventional disaster prevention system and the establishment of a basic law was increasingly required to develop a comprehensive and well-planned disaster prevention system. The Disaster Measures Basic Law was accordingly
established in October 1961, two years after Typhoon Isewan.
- The Disaster Measures Basic Law was considered revolutionary as it speciﬁed a systematic framework to carry out comprehensive and structured national disaster prevention initiatives concerning
damage caused by winds, ﬂoods and earthquakes alongside individual measures carried out based onrelated laws.
- The government was mandated to annually report on the disaster plans to parliament and any ﬂood
prevention/mitigation measures were implemented. It ensured that the disaster mitigation be discussed as an important subject in parliament even in a year without many disasters.This also led to theestablishment of a ‘Special committee for disasters’ in both upper and lower houses of parliament.
[ The key ][5.1.1] Position ﬂood management within the national strategy.
• Government is required to annually report to parliament on disaster management.
[ Conditions and limitations in applying the KFS ]• The importance of ﬂood management was widely recognized in its history of experiencing ﬂood
disasters.
[ Ideas for enhancing the applicability of the KFS ]• Raise public awareness on the importance of ﬂood control.
[ Reference ]Satoru NISHIKAWA, Director for Disaster Preparedness, Public Relations and International Cooperation, Cabinet Ofﬁce, Government of Japan, International Association of Trafﬁc and Safety Sciences.
(http://www.iatss.or.jp/review/32-2/pdf/32-2-05.pdf) (In Japanese)

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(7) Financing[ Title ]Financing[ Situation ]- In the beginning of the Meiji Period, Japan was frequently exposed to serious ﬂood damage caused by
the major rivers. The establishment of comprehensive ﬂood control measures was urgently required
and, as a result, the River Law was established in 1896 forming the foundation of the modern ﬂood
control system.
- After a major ﬂood event that took place in 1910, ﬂood control projects, to build continuous levees
in the areas exposed to risks of ﬂooding, were planned.
- However, not much progress was seen in the ﬂood control projects as World War II was soon tobreak out.
[ Problem ]- As the above ﬂood control project made little progress during the war, serious ﬂood damage occurred
on a frequent basis. The postwar devastated land was hit by a series of major typhoons including
Typhoon Kathleen in 1947.
- Based on the lessons learned from repeated ﬂood damage, the importance of comprehensive andwell-planned ﬂood control projects to be carried out over a long period of time became increasingly
recognized.
[ How the problem was overcome ]- As a result of Typhoon Isewan in 1959, which saw devastating ﬂood damage (5,098 missing anddead), the Soil Conservation and Flood Control Urgent Measures Act and the Flood Control Special
Accounting Law were established in 1960 to introduce the ﬁrst-ever statutory ﬂood control projects
that would span a long period of time (either ﬁve or ten years).
- The establishment of these laws has enabled ﬂood control projects to be carried out over a long
period of time with adequate ﬁnancial support.
[ The key ][5.1.3] Continue stable investment for ﬂood management with a long-term perspective.
• The long-term plan was formulated based on the law related to ﬂood control.
[ Ideas for enhancing the applicability of the KFS ]• Framework for preparing and evaluating long-term ﬁnancial plans.
[ Reference ]Website of the Ministry of Land, Infrastructure, Transport and Tourism, Japan.
(http://www.mlit.go.jp/river/trash_box/singi/to-1.html) (In Japanese).

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5 – GOOD EXAMPLES

5.5.6 Laos
(1) Technology development and application[ Title ]Technology development and application[ Situation ]- Laos faced massive erosion along the Mekong River around Vientiane by 1990.
[ Problem ]- Gabion works were constructed in 1990 with the aid of donors. However, the cost was high due tothe use of imported materials, therefore low-cost sustainable measures were needed.
[ How the problem was overcome ]- The feasibility of sustainable and low-cost riverbank protection techniques appropriate for the
Mekong River using Japanese river work technology was investigated. The river protection technique
noted above was transferred to the Ministry of Communication Transport Post and Construction’s(MCTPC) counterpart through pilot works. A masterplan for Mekong riverbank protection around Vientiane was also formulated.
- Method: Environment friendly riverbank protection
via the soda method, a traditional Japanese riverbank
protection method, was used.
• This method was introduced and developed inJapan by Dutch engineers in the early years of the
Meiji era (1868–1912). Soda-mattress work applied
to foot protection is so ﬂexible that it is less inﬂuenced by ﬂuctuations of the riverbed. It is suitablefor foot protection and foot protection dikes for
slow-ﬂowing rivers.
Fig 5.5.3 River protection technology• Materials used for fascines are mainly broadleaf
trees, which are readily available locally, hard and tough wood such as chestnut, oak, live oak, andsawtooth oak, as well as ﬂexible and sticky wood such as Japanese snow bell, Japanese rowan,
magnolia, maple, cherry, lindera, maruba mansaku (Hamamelis japonica var. obtusata), and Japaneseclethra, which have adapted to the harsh arctic climate.
[ The key ][1.2.2] Develop technology that fully reﬂects local conditions.
• Use of low-cost domestic methods and materials is important for sustainable development.
[ Ideas for enhancing the applicability of the KFS ]• Environment friendly riverbank protection via the soda method.
[ Reference ]The Project on Riverbank Protection Works (JICA).
(http://project.jica.go.jp/laos/0245124E0/english/01/index.html)

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5.5.7 Thailand(1) Information-sharing[ Title ]Information-sharing[ Situation ]- In Thailand, ﬂooding occurs because of tropical disturbances, typhoons or a combination of the two.
The heavy rainfall swells the rivers, which burst their banks or creates severe ﬂooding conditions
along the tributaries from backwater effects. Flooding in the river basins in Thailand is often severe.
Urban areas along the mainstream are regularly ﬂooded. The peak ﬂood period lasts from early Junein the north to early December in the south.
[ Problem ]- Although various measures were taken to reduce damage from frequent ﬂooding, loss of lives andproperties still occured each year. In 2004, 398 villages were identiﬁed as under high risk from ﬂoods
and mudslides, and urgent measures were required for these villages.
[ How the problem was overcome ]- Data of rainfall, runoff and water level have been collected particularly for these areas, and an early
warning system was set up for each village.
- The system provides a simple rainfall measurement station, which automatically records and transmits
information on rainfall levels. When recorded levels of rainfall in a given time reach a critical level (i.e.
likely to present a danger) the system will automatically transmit signals to the responsible persons in
the potentially affected regions.
- Each locality has a trained person qualiﬁed to act under these circumstances to alert other villagers
informing them of the steps to take for their safety.
- The data is linked to the Water Crisis Prevention Center at the national level.
[ The key ][3.2.4] Inform residents of risks as soon as possible at the time of ﬂooding.
• Install the early warning system and deploy the trained person to act quickly so as to alert othervillagers.
[ Ideas for enhancing the applicability of the KFS ]• Flood warning system that automatically transmit signals to the persons in charge.
[ Reference ]United Nations Educational Scientiﬁc and Cultural organization
World Water Development Programme
National Water Development Report: Thailand(http://www.unesco.org/water/wwap/wwdr/wwdr2/case_studies/pdf/thailand_full_cs.pdf)

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5 – GOOD EXAMPLES

5.5.8 Uganda(1) National strategy[ Title ]National strategy[ Situation ]- Uganda’s economy and level of development has been steadily improving mainly through the utilization of its abundant natural resources. The thrust of her development policies lies in socio-economictransformation through the modernization of agriculture and industry. At the same time, Uganda
has a high population growth rate with the population almost doubling every ten years. Alongside
the development process, Uganda has witnessed both human and naturally induced disasters, yet it
has obvious gaps in its approach to the reduction, prevention, and response to disasters. As a result,national development gains are at risk. The key gaps are in institutions, risk identiﬁcation, knowledge
management, governance, and emergency response.
[ Problem ]- In accordance with the 1981 African Charter on Human and Peoples Rights, the government is responsible for guaranteeing their citizens the right to a digniﬁed life, which embraces ‘the right to life’ of
individuals threatened or affected by disaster, i.e. the right to have steps taken in order to preserve life
when threatened’.
[ How the problem was overcome ]- The National Disaster Risk Reduction and Management Policy, working in harmony with her mid-and
long-term development ambitions and strategies, was established. The Ofﬁce of the Prime Ministershall prepare guidelines for operationalizing this policy.
- This policy includes;• Institutional framework.
• Strategies mechanisms.
• Cross-sectoral linkages.
• Legal framework.
• Monitoring and evaluation.
[ The key ][5.1.1] Position ﬂood management within the national strategy.
• The National Disaster Risk Reduction and Management Policy, working in harmony with her midand long-term development ambitions and strategies, was established.
[ Ideas for enhancing the applicability of the KFS ]• Establishment of The National Disaster Risk Reduction and Management Policy.
[ Reference ]Uganda , 2007, The National Disaster Risk Reduction and Management Policy.
(http://www.ugandaclusters.ug/dwnlds/0502Programs/DisasterPrep/UgandaDRRMPolicy.pdf)

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6. Useful Tools for Flood Management

6.1 FLOOD HAZARD MAP
A ﬂood hazard map provides information such as anticipated inundation areas, severity of the inundation, evacuation facilities, etc. It is aimed at promoting quick and safe evacuation of residents and minimizing damages in theevent of ﬂooding.

Fig. 6.1.1 Tama River Flood Hazard Map for Takatsu Ward, Kawasaki [Source: Kawasaki City web site]

Posting hazard maps in communities facilitates public awareness of ﬂoods among local residents. They provide
information such as anticipated inundation depth and locations of evacuation shelters. It is also useful to indicate
information understandable not only by local residents but also to travellers or foreign residents.

Fig. 6.1.2

Fig. 6.1.3 Had Yai, Thailand[Source: Ministry of Land, Infrastructure,
Transport and Tourism River Bureau web site]

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6.2 DISTRIBUTION OF FLOOD ALERTS AND FLOOD FORECAST
INFORMATION VIA GFAS/IFAS
GFAS (Global Flood Alert System) is a system that automatically forecasts ﬂooding worldwide by computing
real-time basin rainfall for world rivers, based on earth observation satellite data. This system assists the ﬂood
forecasting of developing countries that lack access to the telemeter rainfall observation network.

Fig. 6.2.1 World precipitation map and hazard areas[Source: Infrastructure Development Institute – Japan web site
http://www.internationalﬂoodnetwork.org/
http://gfas.internationalﬂoodnetwork.org/gfas-web/]The IFAS (Integrated Flood Analysis System) implements interfaces to input ground-based and satellite-based
rainfall data, GIS functions to create river channel networks, and estimates the parameters of a default runoff
analysis engine and interfaces to display output results.

Fig 6.2.1 Concept of GFAS-streamﬂow (IFAS)[http://www.icharm.pwri.go.jp/]

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6.3 TRAINING OF DISASTER CRISIS MANAGEMENT
Practical training programmes in a role-playing style are effective for enhancing the management capacities ofdisaster managers and to raise disaster awareness among ﬂoodplain residents. They enhance the abilities ofmanagers to respond to disasters effectively and minimize the damage caused by such disasters.

Fig 6.3.1[Source: Foundation of River & Basin Integrated
Communications, Japan web site]

Fig 6.3.2[Source: Hokkaido Regional Development Bureau’s
Ishikarigawa Development and Construction
Department web site]

6.4 FLOOD FIGHTING DRILLS
Flood-ﬁghting drills can be implemented involving local residents, private companies, local disaster managers andNGOs. Some examples include drills on information dissemination, river inspection, and ﬂood-ﬁghting construction and technologies. Conducting such drills annually before ﬂood seasons, may be effective, in particular by
specifying a ‘ﬂood prevention month/week’, for example.

Fig 6.4.1 Joint Flood - ﬁghting Drill in the Tone River Basin[Source: Edogawa River Ofﬁce web site]

6.5 WORKSHOPS FOR PREPARING APPROPRIATE HAZARD MAPS
Conducting workshops on how to prepare or utilize hazard maps targeting local ﬂood and disaster managers
will promote hazard map preparation in the basin. Such organizations as ICHARM (International Center for
Water Hazard and Risk Management) organize such workshops for managers from developing countries.

Fig 6.4.2 Workshops for making hazard map[Source: Public Works Research Institute ICHARM web site]

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6.6 INTEGRATED FLOOD MANAGEMENT (IFM)
Integrated ﬂood management is a concept that aims to make a shift from conventional ﬂood management of‘controlling’ ﬂoods to trying to achieve sustainable development of the basin while maximizing the net beneﬁt
from ﬂood plains by appropriately ‘managing’ ﬂoods.

The Associated Programme on Flood Management (APFM) promotes the concept of Integrated FloodManagement (IFM). IFM integrates land and water resources development in a river basin, within the context of Integrated Water Resources Management (IWRM), with a view to maximizing the net beneﬁt fromﬂoodplains and minimizing loss to life due to extreme hydrological events.
[http://www.apfm.info/index.htm]

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BIBLIOGRAPHY[http://www.iatss.or.jp/review/32-2/pdf/32-2-05.pdf] (In Japanese).
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