Water and Urban Development Paradigms: Towards an Integration of Engineering, Design and Management Approaches [1 ed.] 0415483344, 9780415483346, 9780203884102

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WATER AND URBAN DEVELOPMENT PARADIGMS

PROCEEDINGS OF THE INTERNATIONAL URBAN WATER CONFERENCE, HEVERLEE, BELGIUM, 15–19 SEPTEMBER, 2008

Water and Urban Development Paradigms Towards an Integration of Engineering, Design and Management Approaches Editors Jan Feyen K.U.Leuven, Department of Earth and Environmental Sciences, Heverlee, Belgium

Kelly Shannon & Matthew Neville K.U.Leuven, Department of Architecture, Urbanism and Planning, Heverlee, Belgium

CRC Press Taylor & Francis Group 6000 Broken Sound Parkway NW, Suite 300 Boca Raton, FL 33487-2742 © 2008 by Taylor & Francis Group, LLC CRC Press is an imprint of Taylor & Francis Group, an Informa business No claim to original U.S. Government works Version Date: 20120727 International Standard Book Number-13: 978-0-203-88410-2 (eBook - PDF) This book contains information obtained from authentic and highly regarded sources. Reasonable efforts have been made to publish reliable data and information, but the author and publisher cannot assume responsibility for the validity of all materials or the consequences of their use. The authors and publishers have attempted to trace the copyright holders of all material reproduced in this publication and apologize to copyright holders if permission to publish in this form has not been obtained. If any copyright material has not been acknowledged please write and let us know so we may rectify in any future reprint. Except as permitted under U.S. Copyright Law, no part of this book may be reprinted, reproduced, transmitted, or utilized in any form by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying, microfilming, and recording, or in any information storage or retrieval system, without written permission from the publishers. For permission to photocopy or use material electronically from this work, please access www.copyright.com (http:// www.copyright.com/) or contact the Copyright Clearance Center, Inc. (CCC), 222 Rosewood Drive, Danvers, MA 01923, 978-750-8400. CCC is a not-for-profit organization that provides licenses and registration for a variety of users. For organizations that have been granted a photocopy license by the CCC, a separate system of payment has been arranged. Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. Visit the Taylor & Francis Web site at http://www.taylorandfrancis.com and the CRC Press Web site at http://www.crcpress.com

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Table of Contents

Acknowledgement

xi

Preface

xiii

Conference

xvii

Introduction Innovation in water management for the city of the future K. Vairavamoorthy

3

Part one: Urbanity and hydrology Keynote papers Sustainable urban water management V. Novotny

19

Urban aquatics S. Jumsai

33

Preserving the hydrology of urban Ghana through implementing integrated water resources management S.N. Odai

45

Session papers Water urbanism: Hydrological infrastructure as an urban frame in Vietnam K. Shannon

55

Living with water: The settlements of Vietnam Mekong Delta A.C. Lusterio

67

A study of waterfront development – A case study of the Moganshan District, Shanghai J. Wang

75

Quantifying changes in land use and surface water bodies in Wuhan, China N. Du, H. Ottens & R. Sliuzas

83

Design and management of urban artificial watercourses in Taiwan: The cases of Tainan Canal and Liugong Ditch R.J. Chou

91

Incorporating rainwater-harvesting and retention basins design into urban development paradigms in Greater Bandung, Indonesia R.Y. Tallar & A. Satyanaga

99

Urban waterfront development patterns: Water as a structuring element of urbanity B.K. Shrestha & S. Shrestha

V

105

Changing water consumption pattern of Beira Lake and its effects to the city image M.R. Gunawardhana, P.E. Gunasekara, H.L.G. Sanjeewani & S. Jayaratne

115

Urban growth, loss of water bodies and flooding in Indian cities: The case of Hyderabad R. Chigurupati

121

How water flows in strategic spatial planning: The strategic role of water in Dutch regional planning projects J. Woltjer

127

Exploring the relationship between water management technology and urban design in the Dutch polder cities F.L. Hooimeijer

137

Ghent: Water as a structuring element of urbanity A. Zajac & Y. Deckmyn

143

Pelagic city: The Wynyard Point Park M.A. Bradbury & B. Hinton

151

Historic water-cycle infrastructure and its influence on urban form in London T.H. Teh

157

Dualism and its effects on urban water infrastructure management: The case of Nairobi city N.J.O. Okello

163

Deterioration of the environment and undefined type of structuring: Eastern Mediterranean coasts of Anatolia-Göksu Delta N. Erkan & C. Hamamcıo˘glu

169

Istanbul: Major transformations as a water city F. Erkök

175

The influence of water in shaping culture and modernisation of the Kathmandu Valley S. Shrestha & B.K. Shrestha

183

Between leisure and productivity: A water management project for the central coast of Chile C. Contreras

189

Design strategies for urban water systems: A case study of São Cristóvão in Rio de Janeiro A. Beja da Costa

197

Water: on the power of forms and devices P. Viganò

207

Part two: Mitigating natural disasters Keynote papers Implications of global warming and urban land use change on flooding in Europe L. Feyen, J.I. Barredo & R. Dankers

217

Mitigating of water related natural disasters in developing countries C.E.M. Tucci

227

Mitigating urban flood disasters in India K. Gupta

237

Session papers Future flood risks and comprehensive flood management M. Huygens, I. Rocabado & G. Roovers

VI

251

Urban flood protection chart B. Stalenberg & J.K. Vrijling

257

Real-time control of urban flooding P. Willems, P-K. Chiang, J. Berlamont, T. Barjas Blanco, B. De Moor & K. Cauwenberghs

265

The impact of climate change on the hydrology in highly urbanised Belgian areas O. El Farouk Boukhris, P. Willems & W. Vanneuville

271

2D modelling of sewer flooding in the urban environment F. Dow & O. Saillofest

277

Intelligent decision support system based geo-information technology and spatial planning for sustainable water management in Flanders, Belgium H.A. Saleh, G. Allaert, R. De Sutter, W. Kellens, Ph. De Maeyer & W. Vanneuville

283

A trans-disciplinary approach to confronting climate trends and extreme weather in urban areas M. Siekmann, P. Staufer, S. Roder, Ch. Hellbach & J. Pinnekamp

289

Disaster mitigation lessons from “build back better” following the 26 December 2004 Tsunamis J. Kennedy, J. Ashmore, E. Babister, I. Kelman & J. Zarins

297

Coastal reformulations and hydrologic management in Sri Lanka after the December 2004 Tsunamis: A landscape urbanism methodology I. Karydi

303

Disaster management in Bangladesh: Experiences from the Tsunami warning in Cox’s Bazar District – September 12, 2007 M. Jobair, A. Sutradhar & M.A. Ansary

311

Virtual nature systems for management of urban disasters V.I. Klenov

317

Managing urban water disasters in Gujarat: Risk assessment and risk reduction S. Lodhia

323

Flash floods due to glacier lake outburst floods in the mountainous regions of Nepal: A case study of Kawache Glacier Lake outburst flood P.C. Shakti Selection of flood frequency model in Niger Basin using maximum likelihood method G.A. Bolaji, O.A. Agbede, J.K. Adewumi & J.O. Akinyemi

329 337

Part three: Urban water management Keynote papers Estimation of urban design storms in consideration of GCM-based climate change scenarios V-T-V. Nguyen, N. Desramaut & T-D Nguyen Slum networking – A paradigm shift to transcend poverty with water, environmental sanitation and hidden resources H. Parikh & P. Parikh The Dutch Delta: Looking for a new fusion of urbanism and hydraulic engineering H. Meyer Risks and integrated management of the urban water cycle in megacities of the developing world: Mexico City B. Jiménez

VII

347

357 371

387

Session papers Real-time Decision Support System for sewer systems based on hydro-dynamic models and precipitation radar P.J. van Overloop & K. Nava

399

Improving hydrological model parameterisation in urbanised catchments: Remote sensing derived impervious surface cover maps J. Dams, O. Batelaan, J. Nossent & J. Chormanski

405

Optimal operation of urban water supply systems: A multi-objective approach using the PROMETHEE method P.N. Kodikara, B.J.C Perera & M.D.U.P. Kularathna

411

The cause and implications of urban river pollution: Mitigative measures and benthic macroinvertebrates as river monitoring tool D.N. Shah, R.D. Tachamo, S. Sharma & O. Moog

419

Ypacarai watershed management planning in Asuncion Metropolitan Region K.P. Stanley

425

Variability of urban water supply and demand E. Chigumira & N. Mujere

431

Quenching Chennai’s insatiable thirst: A study of the city’s water demands and solutions S. Jency

435

Sustainable development and wastewater in peri-urban wetlands: A case study on East Kolkata Wetland D. Dey

441

Assessment of groundwater artificial recharge from water storage structures in a rural region of west Iran A. Taheri Tizro, K. Akbari & K. Voudouris

447

Hydrological changes in the mediterranean zone: Impacts of environmental modifications and rural development in the Merguellil catchment B. Chulli, G. Favreau & N. Jebnoun

453

Vulnerability mapping in South African karst terrains R.C. Leyland & K.T. Witthüser The spatial organisation of decentralised wastewater and stormwater management in urban landscape areas G. Beneke

459

467

Investigating the relation of a sustainable vernacular technique to settlement pattern A. Suseelan

473

Single family wastewater treatment systems: A guide to select the most suited system N. Moelants, I.Y. Smets & J.F. Van Impe

479

Potential of roof rainwater harvesting for water supply in Jordan F.A. Abdulla & A.W. Al-Shareef

485

Potential of roof-top rainwater harvesting techniques in urban areas: A case study from India S.K. Sharma

491

Determining factors influencing sewer structural deterioration: Leuven (Belgium) case study E.V. Ana Jr., W. Bauwens, C. Thoeye, M. Pessemier, S. Smolders, I. Boonen & G. De Gueldre

495

Pollution prevention in Philadelphia: Dealing with illicit/defective laterals A. Holst

503

VIII

Urban water management at UNESCO’s International Hydrological Programme J. Alberto Tejada-Guibert

509

New directions in urban water management S. Zandaryaa & J. Alberto Tejada-Guibert

513

Part four: Rethinking water governance Keynote papers Rethinking water governance C. Tortajada

523

Development and regulatory challenges in water services to the urban poor: Examples from Uganda and Tanzania S. Mugisha

535

Rethinking water governance: Towards a new multidimensional approach for mega-cities in developing countries M.F.A. Porto

543

Session papers Building more effective partnerships for innovation in urban water management J.A. Butterworth, C. Batchelor, P. Moriarty, T. Schouten, C. Da Silva, J. Verhagen, P.J. Bury, A. Sutherland, N. Manning, B. Darteh, M. Dziegielewska-Geitz & J. Eckart

557

Can water governance operate in an institutional vacuum? L. Suleiman

567

Bridging science and policy for effective implementation of EU groundwater legislation Ph. Quevauviller

575

Evaluating the need, benefits and challenges of implementing shared water governance in an urban context: Comparing Calgary, Canada and Mexico City, Mexico A. Mendoza, I. Platonova & M.S. Quinn Cap-Haïtien: If ever there was an urban water challenge . . . D.V. Tassel, H. Verschure & S. Lambrecht Use of the STELLA model for evaluating prospective urban water-use scenarios in baja, California, Mexico J.A. Román C., A. Pérez M., F. Escobosa G. & B. De León M.

579 585

597

Assessing the value of water in urban slums: A hedonic price analysis for four cities, Chile E. Espinoza, J. Balaguer & S. Camilla

603

Pricing water and sewerage services in Metro Manila with the contingent valuation method M.R. Campos

609

Inequality and access to water in the city of Cochabamba C. Ledo García

613

Privatisation and universal access to water: Examining the recent phase of water governance in Nigeria E. Okpanachi

619

Learning from non-governmental organizations (NGOs): Community participation in water facilities provision in the Ho District of Ghana F.S. Gbedemah

627

IX

Ensuring access to urban water for slum dwellers: An institutional synthesis of low income cities in Bangladesh M.S.H. Swapan & S. Ahmed

633

A Review of a water supply system in Dhaka city M.S. Rahman

641

Inter-basin transfer of Nepal’s water resources for sustainable benefits B. Adhikari, R. Verhoeven & P. Troch

647

Virtual water trade as a solution for water scarcity in Egypt A.A. El-Sadek

655

Southeastern Anatolia Project (GAP) in Turkey: An integrated water resources-based project B. Acma

663

Real estate investment in high-risk coastal zones C.G. Leal

669

Impacts of trans-border water woes in South Asian riparian countries – assessment and analysis A. Chatterjee

675

Water governance, CPR’s and public participation – Challenges to water policies in Portugal J. Pato

681

The Latin American water tribunal and the need for public spaces for social participation in water governance C. Maganda

687

Author index

693

X

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Acknowledgement

The conference was possible thanks to the financial support of the following organisations/institutions: K.U.Leuven-Interfaculty Council for Development Cooperation; Interuniversity Programme in Water Resources Engineering (IUPWARE, K.U.Leuven and VUB); Department of Architecture, Urbanism and Planning; Land Management & Natural Hazard Unit of the Institute for Environment & Sustainability of the European Commission-DG Joint Research Centre, Ispra, Italy; Belgian Directorate General for Development Cooperation; Flemish Foundation for Science; Flemish Water Company; Municipality of Leuven City; and the private companies Group Waterleau, Soresma nv and Group-IPS sa. The conference organisers are grateful for the support received from inside the Katholieke Universiteit Leuven (Department of Earth and Environmental Sciences; Department of Architecture, Urbanism and Planning; Department of Civil Engineering; Department of Chemical Engineering) and the Vrije Universiteit Brussel (Department of Hydrology and Hydraulic Engineering), as well as to the following organisations under whose auspices the conference was organised: Belgian Royal Academy for Overseas Sciences; Belgian Technical Cooperation; Flemish Association for Development Cooperation and Technical Assistance; Flemish Ministry for Economy, Enterprise, Science, Innovation and Foreign Trade; Flemish Ministry for Public Works, Energy, Environment and Nature; Flemish Institute for Technological Research; UNESCO Flanders; International Water Resources Association; PROTOS ngo; Flemish Water Corporation; Intermunicipal Water Board Veurne-Ambacht. The conference likes to expresses gratitude to the keynote speakers (Kalanithy Vairavamoorthy, Vladimir Novotny, Robert France, Luc Feyen, Mojdeh Baratloo, Van-Thanh Van Nguyen, Han Meyer, Cecilia Tortajada, Henri Bava) and invited speakers from the southern hemisphere (Sumet Jumsai, Samuel Nii Odai, Carlos Tucci, Kapil Gupta, Himanshu Parikh, Blanca Jiménez, Monica Porto, Silver Mugisha) who strongly enhanced the scientific level and the international character of the conference. Views and experiences were presented from all corners of the world by specialists in both urbanism and the water sector. Their views were complemented by the contribution of various authors working in the public, educational and private sector, active in Asia, Africa, Latin-America, Europe and North-America. The conference is also very grateful for the help received from Han Verschure, Bruno De Meulder, Patrick Willems, Ilse Smets, Bart Van der Bruggen, Willy Bauwens, Ronny Verhoeven, Marnik Vanclooster, and Philip Quevauviller regarding the screening of the manuscripts, the feedback to the authors and the review of revised manuscripts. Last but not least thanks to the secretarial staff (Greta Camps, Martine Gabriels, Maura Slootmaekers and Veerle Steppe) for their outstanding administrative support in the period leading to the conference, as well as during the conference, and the publisher Taylor & Francis Group of CRC Press/Balkema for accepting the publication of the conference proceedings.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Preface

Water is perhaps the world’s most valuable resource – clean water has even been touted as the “next oil”. Water has become a strategic (and shrinking) resource, a commodity; indeed, control of water has always been – and remains – a highly politicised affair. As the world continues to urbanise, mass consumption and pollution are depleting natural resources and destroying natural eco-systems. Water issues are increasingly high on the international agenda – particularly in desert, tropical and sub-tropical regions. With an attitude of business as usual, water challenges will worsen. Without a significant shift in policy and practice, reaching the Millennium Development Goal of the UN Task Force – to reduce by half the proportion of people without sustainable access to safe drinking water and basic sanitation and achieving significant improvement in the lives of at least 100 million slum dwellers by 2015 – is an impossibility. On the contrary, further growth of the world’s population (from 6.6 billion in 2007 to 8.3 billion in 2030), and in particular the urban population (3 billion today expected to reach 5 billion by 2030)1 , increases the demand on earth’s resources and will lead to more inequity between those that have and those that have not. Growing urban poverty is and will remain a major concern for several decades. Today, roughly 30% of the poor live in urban areas; this figure is expected to reach 50% by 20302 . Most of the urban poor live in slums and squatter settlements, without adequate access to clean water, sanitation, and health care. Water and air pollution endanger the health of urban residents, causing chronic illnesses and killing millions. Municipalities can not keep up with the increasing demand for clean water, nor sanitation, contributing to a variety of water-related diseases. The poor are not only more vulnerable to rising food prices which has triggered a food crisis in numerous countries, but they are also more vulnerable to natural disasters, of which the frequency of occurrence and intensity has sharply increased during the past decades. In the 1990s there were three times more extreme natural disasters than in the 1960s; disaster costs increased more than nine-fold in the same period3 . The recent catastrophes in Myanmar (a tropical cyclone struck Myanmar on 5 May 2008 killed roughly 100,000 people, destroyed many homes and infrastructure, and left 1.5 million people homeless and survivors vulnerable to diseases and deadly infections) and the Peoples Republic of China (a deadly earthquake in Sichuan province left more than 80,000 dead, 5,500 orphaned and 5 million homeless, with the death toll expected to considerably rise)4 pointedly illustrate the considerable vulnerability of residents in low- and middle-income countries, as they are 80 times more vulnerable than the residents of OECD countries5 . The geography of human settlement is highly dependent upon the distribution of available sources of fresh water. Therefore, water – particularly coasts and rivers – has a long-standing relationship to urbanisation. Ancient civilisations had ingenious methods of dealing with water, often simultaneously addressing pragmatism, urbanism and symbolism. Innovative hydrological engineering logics, an understanding of topography and seasonal weather patterns had profound implications in the form, growth (and demise) and vitality of human settlements from Machu Picchu to Sri Lanka to Rome. In the contemporary world of increased specialisation and technological innovation, a great deal of this ancient ingenuity has been lost. More often than not, waterworks are in the domain of engineering while urban design and planning are only – other than for re-development of waterfronts – tangentially involved. The infrastructure of contemporary urban environments is planned and designed as linear flow systems and the focus is on the transportation of rainwater, nutrients and wastes out of town, accompanied by an inefficient use of energy, mineral and other resources. The rise and fall of ancient civilisations was often linked to the supply and demand relation between natural resources and the population. Today, humankind is posed as heir to a triumphant age of apparent mastery over nature; imitators of the divine cosmogony in the scale and success of interventions in the elemental world. Yet 1

ITEM Club Special Report – May 2008, http://www.ey.com/Global/assets.nsf/UK/ITEM_Club_Special_Report__May_2008/. 2 World Economic Forum, 2008. Young Global Leaders: Shaping the future. 193pp. Trends 2030, http://www.scribd.com/ doc/2625056/Trends-2030. 3 Bruce, J.P., 1999. Disaster loss mitigation as an adaptation to climate variability and change. Journal Mitigation andAdaptation Strategies for Global Change, 4(3–4), 295–306. 4 Liu, M., 2008. Healing Sichuan’s Psyche. Newsweek, 16 June. 5 Revkin, A.C., 2008. From Sichuan to Oregon: Schools at risk. New York Times, 14 June.

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we are witnessing the painful birth of a consciousness that human works may be less enduring and certainly less harmonious6 . Nearly all is possible with technology and money; yet, consequences are detrimental – to both cities and their wider environments. Today’s urban agglomerations are far from self-sufficient ecosystems. Footprint intensity is high in urban environments because of high population density and/or high consumption, ranging from 0.6 ha/person in lower-income countries to over 9.6 ha/person in higher-income countries. Since the 1960s, the footprint of the world increased 2.5 times, and it is to be expected that this indicator will further increase due to the rise of population and consumption levels7 . Whereas the current flow-based urban systems are products of history, a history that started about 100 years ago at a time when little was known about the fundamental physics, chemistry and biology of recycling and resource accounting, one could wonder what would be done today if the society had the chance to start again. Could urban environments, with their focus on the interception, storage and reuse of resources, be more sustainable and operate as self-sufficient ecosystems? Such environments – if properly planned and designed – could save water resources, close biogeochemical flows of nutrients through recycling and reduce the demand on non-renewable energy resources. In short, such environments could contribute to an economical management of resources, including a reduction of environmental damage and costs. In addition, it is to be expected that urban environments with resource accounting and partial cyclic flow systems8 generate new opportunities for food production and economic activities, thereby mitigating the vulnerability of the urban poor due to rising food prices and unemployment. Depending on the natural environment and available space, partial cyclic flows and resource accounting, urban cores could be developed inclusive of open spaces for transportation, lakes and wetlands, parks and recreational areas. Through properly planned and projected space, a “soft engineering” approach could work with nature to reduce or mitigate the likely impacts of natural disasters, such as floods, typhoons and earthquakes. Mitigation can become proactive rather than reactive if urban design and planning anticipate risk and exposure – designing for resilience by remoulding landscapes and (re)constructing settlements to bend from hazards, but not break. Change in thinking and behaviour is difficult to trigger and even more difficult to accept. Humans are very often unwilling to accept even minor changes in habits and lifestyles. In general, they do not tend to feel responsible for the long-term, but rather maximise personal well-being for the short-term. There is an inherent resistance to invest in new technologies until the economic life of prior investments expire, an over-arching lack of vision and financial resources, poor prioritisation and inefficient use of available resources and a general inability to properly mobilise and instrumentally engage communities. These are barriers to the implementation of decentralised partial cyclic flows and resource accounting in urban environments. As well, neither is the legal system prepared, nor the majority of the public willing to accept alternative urban environments. Better local governance and community-led initiatives could undoubtedly help to meet today’s urban challenges. Shifting authority inside governing bodies could make policies, plans and actions more responsive – especially to the urban poor. Public interest can be increased through education and awareness-building campaigns. The role of education in the coming generations of architects and engineers in improving urban environments needs also to be recognised. At present, most universities focus on teaching conventional techniques without giving enough space for discussing other options between disciplines. Furthermore, donors and international agencies could strengthen institutional capabilities needed to meet the challenges of rapid urban growth. The enormous financial commitments required for the improvement and renewal of the urban environment will only be feasible if various government priorities and investments are re-configured. In addition, the public and private sector (particularly the industrial sector) should be aware that investing in the urban water sector offers interesting direct and indirect benefits – to the individual investor and society as a whole. Shortage of financial resources should not hinder what can be done, neither should water shortage or excess be a limiting factor. There are enough financial and water resources available to create sustainable urban environments, not only for the rich, but also for the moderate- to low-income sectors of society. Limited financial resources and water scarcity offers new challenges and, at the same time, new opportunities for urban development. The main challenges of today’s urbanisation is to more effectively manage cities as self-sustaining urban environments, in order to take full advantage of access to critical resources, geographic locations, economies of scale, communication systems, etc. If new interventions and requalification projects are strategically designed and governance is made inclusive of partial cyclic flow systems and resource accounting, it will then be possible 6

Cosgrove, D., 1992. Indian edition, original 1990. ‘An Elemental Division: water control and engineering landscape’ in Water, Engineering and Landscape, Denis Cosgove and Geoff Petts (eds.) New Delhi: CBS Publishers & Distributors: 1–11. 7 York, R., Rosa, E.A., and Dietz, T., 2004. The ecological footprint intensity of national economies. Journal of Industrial Ecology, 8(4): 139–154. 8 Barton, H., 2005. A health map for urban planners: Towards a conceptual model for healthy sustainable settlements. Built Environment, 31(4): 339–355.

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to use resources more efficiently and in a manner that remains competitive and attractive for residents and investors, while simultaneously conserving and developing the natural environment9 . Such an alternative urban paradigm requires the full support of the public and private sector, regulated by an appropriate framework of laws and measures; community participation will be essential. All of this requires a complementary approach which balances biophysical and socio-economic concerns though integrated urban planning/ design and engineering aspects of urban environments. Involvement of professionals from a range of environmental and spatial planning agencies will result in enhanced urban planning and design capacities at the municipal and local level to achieve sustainable and ecologically responsive urban development. Different sectors and governmental bodies together need to explore exchange and test new approaches, methods and techniques of ecological urban planning and design. Only through a truly co-productive process can alternatives to top-down master-planning and a solely regulatory approach of urban management create a integrative, project-driven process that shifts the modus of development whereby environmental, hydrological and irrigation concerns and urbanism are elaborated handin-hand. Less generic and normative “solutions” can evolve from planning which is more proactive and strategic. Flanders, a territory of 13,599 km2 and with a population of 5.9 million is distributed over 308 municipalities and an average population density of 434 inhabitants per km2 . It is regarded as “citta diffusa” (dispersed urbanism), with settlements are interconnected by a dense and modern network of roads and waterways. Economic activities, such as industry and agriculture, are scattered in-and-between urban centres and surrounded by green areas primarily used for farming and recreation. Unique in Flanders is its distributed linear flow systems for potable water and the evacuation and treatment of urban effluent water. Recently, public awareness concerning the conservation of resources and the environment has resulted in a transformation of the high-energy demanding linear systems into partial cyclic systems with a focus on resource accounting, reuse and conservation. The water-based systems are operated and managed by inter-municipal companies, in which the public and private sector participate. This has resulted in the regulation of the systems where the services are largely operated by private companies. Mitigation, including flood defence systems and management measures such as flood insurance and other soft options, are canvassed at catchment scale, in consultation with multiple actors and tailored to individual situations. Similar to the water supply and sewerage systems, catchments are publicly regulated, while services are primarily operated by the private sector. Today’s urban-water systems and their management are the result of a century-long evolution during which the primarily rural farming society was turned into a service-industrial-based urban society. The current urban-water systems of Flanders are prime examples of how future diffused urban environments could be designed, engineered, operated and managed. Worldwide, urban water challenges demand conceptual re-thinking. Water is a cleansing and life-bringing force. Yet, it is equally a threatening force. Water management demands human vigilance and ingenuity regarding the imposition of control. Human culture and civilisation has always – and will always – require the control and appropriation of water. Research is required and growing in water science, water impacts on ecosystems and societies, water law, policy & politics, water economics and water ethics and equity. The water topic has been a growing interest within various departments of K.U.Leuven and led to the idea of organising an international conference to discuss water and urban development paradigms. It specifically sought an integration of engineering, design and management approaches and to bridge the gap between the disciplines of water management, ecology and the approaches of engineering, urban design and spatial planning. Four sessions developed a series of themes, discussing the historical relationship between water systems and human settlements, and related management problems regarding urban floods, water use and water sanitation. In each session, presentations were invited on problem definition, technical and design-based solutions, but also on boundary conditions of exogenous, political or economical nature. It is hoped that this interdisciplinary information exchange and communication will lead to discussion and will contribute to a better integration of approaches currently considered in the separate disciplines of water management, water engineering, spatial urban planning and design, and aquatic ecology. Also aspects of a meteorological, demographic, political, economical, and educational and life-style related nature will be considered in the analysis of solutions to current and emerging urban water problems. In the long-term, this may lead to new paradigms in water management in the urban environment. Professor Jan Feyen Conference chair Professor Kelly Shannon Conference co-chair 9

de Marco, M. and Torre, C., 2008. Refurbishment and conservation in sustainable renewal of architectural and urban heritage: Conceptual and technological questions. http://www.ba.itc.cnr.it/sksb/PAPERS/04-56o.pdf.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Conference

Conference hosted by Katholieke Universiteit Leuven Conference organised by Department of Earth and Environmental Sciences (K.U.Leuven) Department of Architecture, Urbanism and Planning (K.U.Leuven) Department of Civil Engineering (K.U.Leuven) Department of Chemical Engineering (K.U.Leuven) Department of Hydrology and Hydraulic Engineering (VUB) Land Management & Natural Hazards Unit, Institute for Environment & Sustainability, European Commission, DG Joint Research Centre, Ispra (Va), Italy Conference sponsored by K.U.Leuven-Interfaculty Council for Development Cooperation Interuniversity Programme in Water Resources Engineering (K.U.Leuven & VUB) Land Management & Natural Hazards Unit, Institute for Environment & Sustainability, European Commission, DG Joint Research Centre, Ispra (Va), Italy Flemish Foundation for Science Municipality of Leuven City Flemish Water Company Group Waterleau Soresma nv Group-IPS sa Conference organised under the auspicious of Belgian Royal Academy for Overseas Sciences Belgian Technical Cooperation Flemish Association for Development Cooperation and Technical Assistance Flemish Ministry for Economy, Enterprise, Science, Innovation and Foreign Trade Flemish Ministry for Public Works, Energy, Environment and Nature Flemish Institute for Technological Research UNESCO Flanders International Water Resources Association PROTOS ngo Flemish Water Corporation Intermunicipal Water Board Veurne-Ambacht

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Introduction

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Innovation in water management for the city of the future K. Vairavamoorthy University of Birmingham, UK; UNESCO-IHE, Netherlands

ABSTRACT: With increasing global change pressures, cities of the future will experience difficulties in efficiently as they are forced to manage scarcer and less reliable water resources. In order to meet these challenges there needs to be a paradigm shift in the way we manage urban water systems. The paradigm shift should be based on several key concepts including: flexible and robust system design, interventions over the entire urban water cycle; reconsideration of the way water is used (and reused); and greater intervention of natural systems for water and waste water treatment. This will substantially contribute to a reduction in the vulnerability of cities and an increase in their capacity and preparedness to cope with global changes. SWITCH is a research project that aims to create this paradigm shift by developing scientific, technological and socio-economic solutions for the sustainable and effective management of water in the city of the future – 2050.

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INTRODUCTION

The current models of urban water systems, and their corresponding infrastructure, originates from the 19th century and are questionable from the perspective of cost effectiveness, performance and sustainability. It is generally recognised that there is a need for change in the way we manage urban water; and cities are now faced with difficult future strategic decisions (e.g. the choice between centralised and the decentralised options; the choice regarding the level of involvement (consultation, joint planning, joint decision making) of individual citizens, NGOs and companies; the choice between an institutional framework where separate institutions are responsible for a certain element of the urban water system or moving to a more integrated institutional set-up). This paper presents the challenges faced by the cities today and possible future challenges to be faced due to global change pressures in relation to urban water and presents a research project -SWITCH – that proposes a way forward.

It is widely accepted that one of the major challenges of the 21st century is to provide safe drinking water and basic sanitation for all. Presently, more than 1 billion people lack access to improved water sources, and over 2.6 billion people lack access to basic sanitation – nearly all of these people live in developing countries (Elimelech, 2006; UNICEF/ WHO, 2004). Unsafe water and poor sanitation are one of the major causes of disease in the world. Every year, unsafe water coupled, with a lack of basic sanitation, kills at least 1.6 million children under the age of five years (WHO/UNICEF, 2006). Waterborne diseases also inflict significant economic burden through the loss of productivity in the workforce and through increasing national health care costs. Consequently, over a billion people are locked in a cycle of poverty and disease .(UNICEF/ WHO, 2004). Providing adequate water supply and sanitation, particularly in urban areas, is a challenging task for governments throughout the world. This task is made even more difficult because of the predicted dramatic global changes such as: climate change, predicted to cause significant changes in precipitation patterns and their variability affecting the availability of water; the technological and financial challenges of maintaining and upgrading the infrastructure assets to deliver water to all sectors while maintaining the quality of water distributed to the various users; population growth, urbanisation, industrial activities are leading to a dramatic increase in water consumption and wastewater discharge.

2 2.1

EXISTING SITUATIONS Urban water supply

It has been reported that in 2002 about 1.1 billion people were using water from unimproved sources, with two thirds of them from Asia. The problem of water scarcity in urban areas is of particular concern. For example, it is estimated that by 2050, half of India’s population living in urban areas will face acute water problems .(UNICEF/ WHO, 2004).

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Figure 1. Population with 24-hour water supply in major cities of Asia (McIntosh, 2003).

Figure 2. Mean unaccounted-for water in selected Asian cities (McIntosh, 2003).

reported that in several cities in India the water consumption ranges from 16 to 300 litres per day depending on the locality and the economic conditions of the people (Singh, 2000). Another serious problem arising from intermittent supplies, which is generally ignored, is the associated high levels of contamination. This occurs in networks where there are prolonged periods of interruption of supply due to negligible or zero pressures in the system (Vairavamoorthy & Mansoor, 2005). In India, eighty-five percent of urban population has access to drinking water but only 20 percent of the available drinking water meets the health and quality standards set by the WHO (Singh, 2000). Although in many cites water is limited and hence rationed by the application of intermittent supplies, these systems still allow excessive losses. Figure 2 (McIntosh, 2003), shows non-revenue water for the same 18 Asian cities reporting intermittent supply.

Since the water quantity available for supply generally is not sufficient to meet the demands of the population, water conservation measures are employed. One of the most common methods of controlling water demand is the use of intermittent supplies, usually by necessity rather than design. This is where the water is physically cut-off for most of the day and hence limiting the consumers’ ability to collect the water. The Asian Development Bank (McIntosh, 2003 & ADB, 2004), reported that, in 2001, 10 of the 18 cities studied in Asia, supplied water for less than 24 hours per day (see Figure 1 (McIntosh, 2003). The situation is similar in other regions of the world, for example in Latin America 10 major cities receives rationed supplies and in Mombasa the average duration of the service is 2.9 hours per day (Hardoy et al., 2001). Intermittent supply leads to many problems including, severe supply pressure losses and great inequities in the distribution of water. For example it has been

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water supplies, people often get water from unsafe sources. Often, the only way to get drinking water is to buy it from private vendors, at up to 10 times the cost of water delivered by a pipe. In many African cities, up to 80% of the population is serviced by small-scale informal private sector water providers. According to UN-Habitat, in Namibia, up to 15–20% of families’ income is spent on water. In addition to this, families have to pay to visit the toilet. With slum populations growing daily, finding innovative solutions to the problems of urban settlement, infrastructure services (providing the water and sanitation), urban financing, and thus poverty alleviation and better health, is one of the greatest challenges we face. All these factors have direct consequences for the physical and psychological wellbeing of the urban population.

What is interesting to note from Figures 1 & 2, is that it is the same cities with high intermittency that have the highest non-revenue water (i.e. where the greatest rationing of water takes place is where utilities are wasting the most water). 2.2

Urban sanitation

Only 59% of the world population had access to any type of improved sanitation facility in 2004 – in other words, 4 out of 10 people around the world have no access to improved sanitation. These people are obliged to use unsanitary facilities, with a serious risk of exposure to hygiene-related diseases. Some 2.6 billion people, half of the developing world, live without improved sanitation (compared to 2% of the developed world). In sub-Saharan Africa the coverage is a mere 36 percent, and in China and India there are nearly 1.5 billion people without access to improved sanitation services (WHO/UNESCO, 2006). The number of deaths attributable to poor sanitation and hygiene alone may be as high as 1.6 million a year. In order to meet the Millennium Development Goal sanitation target, 1.6 billion more people need to gain access to improved sanitation over the coming decade. Unfortunately, it is unlikely that this target will be met (it will fall short by approximately 600 million). In developing countries, rapid population growth and urbanisation is creating an added demand for housing and infrastructure, including sanitation services. Providing sanitation services especially for the urban poor who are living outside the designated residential areas like illegal settlements or slums is more challenging. The World Bank estimates that almost 26% of the global urban population, over 400 million people, lack access to the simplest latrines (World Bank, 2000). Moreover, the drainage, sewerage and solid waste collection services in these urban areas are not adequate. The systems are poorly planned, designed and operated or poorly maintained. Most of the wastes from these urban areas, are dumped and discharged directly to the open environment (street gutters, open streams or drainage canals), and this creates unpleasant living conditions, public health risks and environmental damage (GHK, 2002).

In order to develop sustainable urban water solutions one must recognise these global change pressures.

2.3

3.1 Climate change

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FUTURE CHALLENGES

Cities all over the world are facing a range of dynamic regional and global pressures (Figure 3) (Kelay et al., 2006; Segrave, 2007; Zuleeg, 2006). Due to these pressures, providing safe water supply, basic sanitation and maintaining the environment is likely to be more difficult in the future. Three of the major pressures are: •

Climate change: predicted to cause significant changes in precipitation and temperature patterns, affecting the availability of water and quality. • Population growth and urbanisation: leading to a dramatic increase in high-quality water consumption, while the discharge of insufficiently treated wastewater increases costs for downstream users and has detrimental effects on the aquatic systems. • Aging and deteriorating water related infrastructure: there is a technological and financial challenge to maintain and upgrade infrastructure in such a way that quality water can continue to be delivered to all sectors and wastewater can be adequately collected and treated.

Informal settlements

Slum populations is growing rapidly, it is estimated that there are almost 1 billion people living in slums in the world; especially in Africa (its urban population living in slums about 71 percent), Asia (with 554 million), Latin America and the Caribbean (UNHABITAT, 2003). People living in informal settlements are the first hit by water-related diseases. Without access to adequate

There is little dispute that the earth system is undergoing very rapid changes as a result of increased human activities. Clearly these changes will severely impact the urban water cycle and how we manage it. Components of the urban water cycle, like water supply, wastewater treatment, and urban drainage etc. are generally planned for life-spans over several decades. Hence there is a need for us to pay attention to

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Figure 3. Global change drivers in the city of the future (Khatri & Vairavamoorthy, 2007).

Figure 4. Future climate change impacts on water in different regions (IPCC, 2007).

and human sources. The potential increase in water temperature could alter the rate of bio-geo-chemical processes and lower dissolved oxygen concentrations. Also, increased runoff coupled with more frequent stormwater overflow activities will increase the load of pollutants into the water bodies. There are other more obvious impacts such as increased risk of damage to stormwater infrastructure and facilities (e.g. underground drains, levee banks, pump stations etc) due to higher peak flows, and other less obvious ones such as increased risk of pipe failure and collapse due to drier soil conditions. Climate change will affect different cities in different ways with some experiencing more frequent droughts and water shortage while others will have more intense storm events with subsequent flooding issues. Flexible and adaptable solutions are hence

these changes in the context of how these systems will be designed and operated in the “city of the future”. Although the regional distribution is uncertain, the frequency and severity of droughts are likely to increase in some areas as a result of a decrease in total rainfall, more frequent dry spells, and higher evapotranspiration. Flood frequencies are also likely to increase in many areas, although the amount of increase for any given climate scenario is uncertain and impacts will vary among basins. The impact of climate change will be observed throughout the world; only the types and degree of vulnerabilities will be different (See Figure 4). In addition to water scarcity and flooding, water quality problems may increase where there is less flow to dilute contaminants introduced from natural

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Figure 5. Urban and rural population growth (UN, World Population Prospects: 2004).

decreasing the ability of ecosystems to provide more regular and cleaner supplies. Moreover, rapid increase in built-up areas disturbs the local hydrological cycle and environment by reducing the natural infiltration opportunity and producing the rapid peak storm water flow. Sustaining healthy environments in the urbanised world of the 21st century represents a major challenge for human settlements, development and management. Again, flexible and innovative solutions are needed to cope with sudden and substantial changes in water demand for people and their associated economic activities.

required to reduce the vulnerability of cities to these changes.

3.2

Population growth and urbanisation

Population growth and urbanisation will be one of the world’s most important challenges in the next few decades. From 2007 the urban population of the world will exceed the rural population. Urban settlements in the developing countries are, at present, growing five times as fast as those in the developed countries (Figure 5). In developing countries urban population is predicted to grow from 1.9 billion in 2000 to 3.9 billion in 2030, averaging 2.3% per year. On the other hand, in developed countries, the urban population is expected to increase, from 0.9 billion in 2000 to 1 billion in 2030 overall growth rate 1% (Brockerhoff, 2000). Moreover, the numbers and size of the cities in developing countries are increasing due to the higher rate of urbanisation. In 1950, NewYork City and Tokyo were the only two cities with a population of over 10 million inhabitants. By 2015, it is expected that there will be 23 cities with a population over 10 million of which 19 of these cities will be in developing countries. In 2000, there were 22 cities with a population of between 5 and 10 million; 402 cities with a population of 1 to 5 million; and 433 cities in the 0.5 to 1 million categories. Cities in developing countries are already faced by enormous backlogs in shelter, infrastructure and services and confronted with insufficient water supply, deteriorating sanitation and environmental pollution. Population growth and rapid urbanisation will create a greater demand for water while simultaneously

3.3

Deterioration of infrastructure systems

Protecting the infrastructure used to treat and transport water (including sources, treatment plants, and distribution systems) is an important step in ensuring safety in public health and the environment. However, in most cities worldwide, there has been years of neglected maintenance to water storage, treatment, and distribution systems. A large proportion of this infrastructure is over 100 years old, placing it at increased risk for leaks, blockages and malfunctions due to deterioration (see Figure 6). For example the UK has over 700,000 km of mains and sewers pipes, and these require over 35,000 maintenance works per month (Vahala, 2004). Higher rates of water leakage means higher water losses and higher chances of in-filtration and ex-filtration of water. This will create higher chances of drinking water contamination and outbreak of water-borne diseases (Vairavamoorthy et al., 2007a). The cost of rehabilitation of water infrastructure system is increasing substantially due to their

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Figure 6. Risk of failure of buried water mains due to ageing (Kleiner et al., 2006).

manage urban water (Biswas, 1991; Pinkham, 1999; SWITCH, 2006). This paradigm shift should be based on several key concepts of urban water management including: resilience of urban water systems to global change pressures; interventions over the entire urban water cycle; reconsideration of the way water is used (and reused); greater application of natural systems for water and wastewater treatment (SWITCH, 2006).

deterioration over the world. In Germany, for example, estimates are that over the next 15 years, 12€ billion per annum is required (6.5 for investments and 5.5 for operation and maintenance) to keep the urban wastewater systems operational (Hiessl et al., 2001). Similarly, in North America, the trillions of dollars of infrastructure are failing prematurely and are in a need of costly repairs. The U.S. Environmental Protection Agency, in its 2002 Clean Water and Drinking Water Infrastructure Gap Analysis, estimates that the funding gap in water infrastructure investment is $534 billion over the next 20 years (USEPA, 2002). The deterioration processes is more severe for the developing countries, due to poor construction practices, little or no maintenance and rehabilitation activities, and operation at higher capacities than design. This is compounded by the lack of records and data about the location and condition of the infrastructure and the lack of efficient decision support tools or managing the infrastructure (Misiunas, 2005). Escalating deterioration of water and sewer systems threatens our ability to provide safe drinking water and essential sanitation services for the current and future generations and this is a challenge for the “city of the future”. 4

4.1

Resilience of urban water systems to global change pressures

Projections of future global change pressures are plagued with uncertainties which cause difficulties when developing urban water management strategies that are insensitive to these global change uncertainties. Hence there is a need to develop processes that can generate optimal urban water management systems that are robust, adaptable and sustainable under these future global change pressures. These flexible systems will be characterised by their capability to adapt to new, different, or changing requirements and they will have the capability to cope with uncertainties associated with changing needs. New techniques can be used to develop these flexible systems including exploratory modelling that combines the best features of traditional quantitative decision analysis with those of narrative scenariobased planning. Other techniques such as risk assessment and real-options analysis (Zhao & Tseng, 2003), also offers opportunities in this respect. Risk assessment is the process of identifying, evaluating, selecting, and implementing actions to reduce risks and manage uncertainties. Real-options-based decision making recognises the value of flexibility, or flexible alternatives. It develops decision alternatives that may provide flexibility for future decision making or develop decision alternatives that may be exercised flexibly in time to cope with uncertainty.

INNOVATION IN URBAN WATER MANAGEMENT

Currently, providing safe water supply and basic sanitation services across the globe is a major challenge. With increasing global change pressures coupled with existing un-sustainability factors and risks inherent to conventional urban water management, cities of the future will experience difficulties in efficiently managing scarcer and less reliable water resources. Realising the shortcoming of conventional UWS, there are calls for a paradigm shift in the way we

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Figure 7. The interaction and interconnection of urban water systems.

physical and scientific boundary embodied by more traditional units of management of catchments and watersheds. Hence, this unit of management offers a relevant framework for decision-making and concrete action. By applying an IUWM approach it is possible to satisfy the water related needs of a community at the lowest cost to society whilst minimising environmental and social impacts.

All the above methods will promote flexible designs, capable of adapting to new, different, or changing requirements. The decisions generated from such an approach can be viewed as “least regret” ones, that provide the best solutions in an uncertain world. 4.2

Interventions over the entire urban water cycle

An important aspect of urban water systems is the interactions that take place between different components of the system (e.g. foul water from leaky sewers entering into a drinking water distribution network (Vairavamoorthy et al., 2007b). It widely recognised that it is important to consider these interactions in order to maintain an effective, efficient and safe service of water and sanitation (Vairavamoorthy et al., 2007c). Due to interaction and interdependencies the performance of one system is influenced by another system (Figure 7). An IUWM approach involves managing freshwater, wastewater, and storm water as links within the resource management structure, using an urban area as the unit of management. The approach encompasses various aspects of water management, including environmental, economic, technical, political, as well as social impacts and implications. Urban areas are appropriate as units of management, as specific problems and needs faced by cities may transcend the

4.3

Reconsider water use

The challenge of servicing more people with same quantity of water, while maintaining a tight control over the adverse environmental impacts is a profound one. Hence it is important to critically look into water use practices and to develop strategies that maximise the benefits of water services while minimising the usage as far as practically possible. In a traditional urban water system, after water use, wastewater is treated to certain legalised quality levels and then discharged into receiving water bodies. Such a water use system is generally regarded as a oncethrough system. Water can be used multiple times, by cascading it from higher to lower-quality needs (e.g. using household grey water for irrigation), and by reclamation treatment for return to the supply side of the infrastructure (see Figure 8).

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Figure 8. The concept of engineered urban water cycle with reuse (Asanoa & Levine, 1999).

land to place the treatment plants); efficiency – natural systems plants are generally efficient at removing multiple contaminants in a single system; reliability: natural systems are very reliable even in extreme operating conditions and can are better able to absorb a variety of both hydraulic and contaminant shocks.

In water stressed areas, balancing the demands for water between the various sectors will need to be accompanied by the use of new and alternative resources. Increased recycling of wastewater will ensure better access to safe water, reduced vulnerability to extremes and increased adaptive capacity. Demand management and water reuse opportunities are real and increasing. A combination of end-use efficiency, system efficiency, storage innovations (using different managed aquifer recharge options), and reuse strategies would reduce water demand. In most of the developing countries, effective water demand management and reuse of the supplied water may be a sustainable ways to reduce water stress.

4.5 Innovative sanitation Increased sanitation for all will result in increased wastewater generation (that could impact the goal of “Environmental Sustainability”). Centralised and highly sophisticated end-of-pipe technologies to absorb the huge volumes of wastes and effluents are not appropriate and sustainable for these conditions. In addition centralised urban wastewater management systems have several weak points, such as: removal of an important source of water out of the urban area; destruction of valuable nutrients; production of polluted municipal sludge etc (Vairavamoorthy, 2008). It is important to investigate pollution preventionbased approaches to wastewater handling in urban areas in which concentrated waste flows are separately collected and treated. A number of research and demonstration initiatives in and outside Europe have already shown that these approaches can result in promising new and cost effective options for wastewater management, preventing emission of pollutants to the urban environment and facilitating new local sources of water and the use of valuable nutrients in agriculture. The applicability of these approaches and their adaptation to developing country conditions needs to be investigated. Ecosan systems offer new solutions to urban sanitation shifting the paradigms in wastewater treatment

4.4 Application of natural systems Besides pipes and treatment plants, the natural capacities of soil and vegetation should be applied to absorb and treat water. Green infrastructure refers to techniques and systems that use the natural capacities of soil and vegetation to absorb and retain water, and to take-up, transform, or otherwise treat pollutants in water. These natural systems can be applied as secondary or tertiary treatment, allowing the removal of most of the bacteria, micro-organism and the destruction of the organic matter. Such engineered natural systems include constructed wetlands, soil aquifer treatment and river/lake bank filtration, artificial recharge & recovery for treating drinking water. The main features of natural systems is: simplicity – plants design, construction and operation are very simple; cost-effectiveness – plants require low building, labour, operation and maintenance costs (the only limiting factor is the availability and the cost of

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soil aquifer treatment, river bank filtration systems and sustainable urban drainage (SUDs).

from an approach with centralised mixed systems to decentralised systems based on source control and separate treatment of concentrated and diluted household wastewater flows. Potential advantages compared to the “central paradigm” are: avoiding environmental pollution, enabling the nutrient recovery for agricultural use and preserving water for groundwater recharge, irrigation and other purposes. Although several ecosan applications have been piloted in the past decade, the application to high-density city areas in developing countries should be studied.

5.1 SWITCH research process The SWITCH research process is a combination of: •

Learning Alliances – SWITCH aims to link up a wide range of stakeholders at city level to interact productively and to create win-win solutions along the water chain. They consist of a series of structured platforms, at different institutional levels (national, river basin, city, community etc), designed to break down barriers to both horizontal and vertical information sharing. This will speed up the process of identification, adaptation, and uptake of new innovations. • Action Research– SWITCH aims to carry out more demand-led, action-orientated research in cities with a view to achieving greater integration and wider impact through the Learning Alliances. Hence, SWITCH will address problems through innovation based upon involvement of users in local demonstrations (that are designed to show application of the new technologies in practical cases). • Multiple-way learning – SWITCH aims to promote multiple-way learning, where European cities learn from each other and from developing countries, and vice versa. These multiple-way learning pathways will be developed by linking experts on urban water from developed and developing countries, by pooling scientific, technological and financial resources from the partners and in the demonstration cities resulting in an integrated, multi-disciplinary research effort.

5 THE SWITCH PROJECT SWITCH (Sustainable Water Management Improves Tomorrow’s Cities Health), is a research project that aims to develop scientific, technological and socioeconomic solutions for the sustainable and effective management of water in the city of the future – 2050. SWITCH is an EU funded action research program being implemented and co-funded by a crossdisciplinary team of 32 partners from across the globe. The “consortium” is from the fields of academic, urban planning, water utility and consulting interests. This network of researchers and practitioners are working directly with stakeholders in ten cities around the globe. The overall goal behind this global consortium is to catalyse change towards more sustainable urban water management in the “City of the Future”. This will be achieved by demonstrating research and sharing knowledge across a range of different geographical, climatic and socio-cultural settings, global adoption of more sustainable solutions can be accelerated. SWITCH aims to develop innovations in the key areas described in Section 4:

The three main components of the SWITCH research process described above, will lead to greater impact and more potential for taking innovations to scale through the development of locally appropriate innovations and ownership of the concepts and process. In addition, undertaking research at different institutional levels will both shorten the time between developing new knowledge and scaling it up; and, ensure that local solutions are nationally relevant and applicable. Also, by sharing the learning process among cities, replication of innovations will be accelerated.

•

For example in relation to interventions over the entire urban water cycle; SWITCH programme will develop tools to analyse the interactions across the urban water cycle for a range of management and technological solutions. It will enable optimal urban water systems to be developed, driven by sustainability criteria, while recognising uncertainties associated with global change pressures. • In relation to reconsideration of water use; SWITCH will develop innovations in the area of demand management and water reuse. These innovations will involve a combination of end-use efficiency, system efficiency, storage innovations (using different managed aquifer recharge options), and reuse strategies. • In relation to Natural Systems: SWITCH will develop innovations in the area of natural systems for water/wastewater treatment and storm-water management. This includes: constructed wetlands,

5.2 The SWITCH approach SWITCH will combine the above innovations into a framework, where future urban water strategies will be assessed against a range of uncertainties, with a view of developing robust, adaptable and sustainable solutions. This framework will provide decision makers with the necessary information to take decisions

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Figure 9. SWITCH Risk Assessment framework.

2. Defining the Urban Water Systems (Box 4) – SWITCH will define various urban water system templates (composite entity), including the boundaries and interfaces. The system definition will be created by combining the innovations being developed within SWITCH (e.g. SAT, RBF, SUDs etc.) and these will be analysed using a detailed integrated urban water modelling tool. 3. Hazards identification (Box 5) – Initially the main global change pressures affecting urban water management will be established. The most significant ones will then be identified and combined with a description of their uncertainties. This step will also give due consideration to how uncertainties can be represented, processed and articulated. 4. Analysis by IUWS Models and Risk Estimation (Box 6) – A detailed integrated urban water modelling tool (SWITCH City Water – see Section 5.3), will be used to analyse the response of the urban water system to the hazards generated above. This will enable the determination of risks associated with failing to meet the sustainability

that minimise the risk of providing an unsustainable water system in an uncertain world. The SWITCH approach begins by defining sustainability indictors (SI) for the different dimensions of an urban water system (i.e. social, economical, environmental etc). The SI’s will be integrated into an index using a sustainability framework. Several urban water systems (designed using the innovations in SWITCH), will then be analysed and tested to investigate their performance in relation to sustainability, and finally an optimal system will evolve (Figure 9). The general SWITCH approach consists of the following steps: 1. Sustainability Framework (Boxes 1, 2, 3) – A sustainability framework will be developed to aggregate the developed SI’s. The aggregation process will involve applying weights (determined from stakeholder engagement), that reflect the relative importance of the different SI’s. As the SI’s are a mix of crisp and fuzzy variables, the aggregation process may involve fuzzy composite techniques.

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•

objectives. The model will calculate the performance of urban water system in terms of the SI’s, and this will be used to create a distribution of the sustainability index. 5. Evaluation of Risk and Sustainability (Box 7) – The sustainability threshold established through the application of the sustainability framework is now used to evaluate the performance of the urban water system. Hence on completion of this step an evaluation of the risk of the specified urban water system, failing to meet the sustainability objectives, will be arrived at. 6. Decision Support System – DSS (Box 8) – A DSS will be developed that aims to minimise the risks of an urban water system in meeting the sustainability objectives. Hence this part of the process will modify components of the urban water system design in a way that reduces the risk. The DSS will provide the opportunity for decision makers to evolve optimal urban water management systems that are robust, adaptable and sustainable under these future global change pressures.

City Water Strategy – a performance assessment tool coupled with a solution explorer and optimiser to develop strategies to cope with environmental, demographic and societal changes. It will develop sets of technical and non-technical options and find the optimal solution through multi-criteria analysis. • City Water System – displays the urban water system through schematics of the components (e.g. treatment plants, energy resources, standards and policies, etc.) and their interrelations (e.g. influences between components, water/pollutant/energy fluxes, monetary or data flows). It will provide stakeholders in cities with an information system about their water system. • City Water Economics – A model to explore the potential economic implications of future strategies on urban water management by analysing scenarios for cost recovery & economic drivers for change (financing, pricing and subsidies). Cost allocation and pricing schemes can be formulated for the entire range of water services provided.

6 5.3

CONCLUSIONS

There is an urgent need for planned action to manage water resources effectively. The problems in urban areas of developing countries are of particular concern as still large sections of the community are living without safe water supply and basic sanitation services. Providing adequate urban water and basic sanitation is likely to become more challenging in the near future due to several global change pressures. To address the challenge of urban water management for the future, there is a need for a paradigm shift.The paradigm shift should include several actions such as: flexible and robust system design capable of adapting to new, different, or changing requirements and capable of coping with uncertainties; interventions over the entire urban water cycle; reconsideration of the way water is used (and reused); and greater application of natural systems for water and wastewater treatment. It is anticipated that during the next few years, SWITCH will produce knowledge, technologies, models, techniques, institutional frameworks and improved management tools for sustainable urban water management for the city of the future. An important component of SWITCH is that it aims to bring together all stakeholders involved with, or who have interest in, urban water management. These multi-stakeholder learning alliances will guide and support SWITCH on the implementation of research and demonstration activities, by taking account of local problems and needs. It is anticipated that this will substantially contribute to a reduction in the vulnerability of cities and their capacity and preparedness to cope with global changes.

SWITCH City Water

The SWITCH programme will develop tools to analyse the interactions across the urban water cycle for a range of management and technological solutions. The tool being developed within SWITCH is called the City Water and has a number of component tools and models: •

City Water Vision – an interactive tool to assist stakeholders in exploring urban water issues and scenarios. It consists of several online questionnaires to help stakeholders identify and define urban water problems in their city. • City Water Balance – A scoping model to show decision makers possible improved solutions for their urban water system. It will have the capability to take into account future global change pressures and explore various alternative water management strategies (e.g. direct grey water irrigation, stormwater re-use, wastewater recycling etc.). • City Water Drain – assesses the performance of the existing urban drainage systems, their impacts on the receiving water, and how this performance would be affected by different strategic options and scenarios including climate change and increasing urban population. • City Water Futures – models the urban water system as a collection of autonomous decision-making entities called agents. The models simulate the simultaneous operations of the multiple agents in an attempt to re-create and predict the actions of complex strategies.

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ACKNOWLEDGEMENT

Segrave, A. J. (2007). Report on trends in the Netherlands: TECHNEAU, 113. Singh, N. (2000). Tapping Traditional Systems of Resources Management. Water for Thirsty Cities Is Demand Management the Solutions? Habitat Debate, 6(3). SWITCH. (2006). http://www.switchurbanwater.eu. UN-HABITAT (2008). Global Urban Observatory. Guide to monitoring target 11: Improving the lives of 100 million slum dwellers. Nairobi: UN-HABITAT. UNICEF/ WHO. (2004). Meeting the MDG drinking water and sanitation target – A mid term assessment of progress: United Nations Children’s Fund and World Health Organisation, 36. USEPA (2002). The Clean Water and Drinking Water Infrastructure Gap Analysis: United States Environmental Protection Agency Office of Water, 54. Vahala, R. (2004). European Vision for Water Supply and Sanitation in 2030. Water Supply and Sanitation Technology Platform. http://www.wsstp.org/Shared% 20Documents/ Vairavamoorthy, K. and Mansoor, M.A.M (2005). Demand Management in Developing Countries. In: Water Demand Management, Butler, D and Memon, F (eds.), IWA. Vairavamoorthy, K., Gorantiwar SD & Mohan S. (2007a). Intermittent water supply under water scarcity situations. Water International, 32(1). Vairavamoorthy, K., Yan J & Gorantiwar GD. (2007b). Modelling the risk of contaminant intrusion in water mains. Proceedings of the Institution of Civil Engineers. Water Management, 160(2): 123–132. Vairavamoorthy, K., Yan, J., Galgale H.M & S.D., G. (2007c). IRA-WDS- A GIS based risk analysis tool for water distribution systems, Environmental Modelling and Software. Environmental Modelling and Software, 22(7): 951–965. Vairavamoorthy, K (2008). Water Supply and Sanitation Technology Platform – Contributing to Achieving the Millennium Development Goals, Paper presented at the WSSTP Stakeholder Event, 5th June 2008, Brussels. WHO/UNICEF. (2006). Meeting the MDG drinking water and sanitation target – The urban and rural challenge of the decade. World Health Organisation and United Nations Children’s Fund, 41. Zhao, T. & Tseng, C. L. (2003). Valuing Flexibility in Infrastructure Expansion. Journal of Infrastructure Systems, 9(3): 89–97. Zuleeg, S. (2006). Trends in Central Europe (GERMANY/ SWITZERLAND): TECHNEAU, 83.

The following colleagues contributed ideas and/or materials to this presentation: •

Krishna B. Khatri, PhD Student, UNESCO-IHE, The Netherlands • Dr Peter van der Steen, UNESCO-IHE, The Netherlands • Dr Mansoor Mohamed, Halcrow Group Limited, UK. REFERENCES ADB (2004). Second Water Utilities Data Book Asian and Pacific Region. Asian Development Bank (ADB). Manila, Philippines. Asanoa, T. & Levine, A. D. (1999). Wastewater reclamation, recycling and reuse: past, present, and future Water Science and Technology, 33(10–11): 1–14. Biswas, A., K. (1991). Water for Sustainable Development in the 21st Century: A Global Perspective. Geo-journal, 24(4): 341–345. Brockerhoff, M. P. (2000). An Urbanizing World. Population Bulletin, A Publication of Population Reference Bureau, 55(3): 1–45. Elimelech, M. (2006). The global challenge for adequate and safe water. Journal of Water Supply: Research and Technology. AQUA, 55(1): 3–10. Hardoy, J.E., Mitlin, D. and Satterhwaite, D. (2001). Environmental Problems in an Urbanizing World: Finding Solutions for Cities in Africa, Asia and Latin America. London: Earthscan. Hiessl, H., Walz, R. & Toussaint, D. (2001). Design and Sustainability Assessment of Scenarios of Urban Water Infrastructure Systems. Paper presented at the 5th international conference on technology, policy and innovation Delft, the Netherlands, June 26–29, 2001. Kelay, T., Chenoweth, J. & Fife-Schaw, C. (2006). Report on Consumer Trends Cross-cutting issues across Europe: TECHNEAU, 46. McIntosj, A. (2003). Asian Water Supplies Reaching the Urban Poor. Asian Development Bank. Misiunas, D. (2005). Failure Monitoring and Asset condition assessment in water supply systems. PhD Thesis, Lund University, Lund, Sweden. Pinkham, R. (1999). 21st Century Water Systems: Scenarios, Visions, and Drivers. Colorado: Rocky Mountain Institute.

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Part one: Urbanity and hydrology Since the beginning of civilisation, rivers, lakes and deltas played an important role in human settlements and the creation of cities. Rivers were the source for drinking water, fish, transportation, recreation and the conduit for the discharge of effluents. In dry climates, cities were established near springs, underground rivers and water bodies. Similarly, in mountainous regions urban dwellers settled around springs and lakes. Whereas in the past many of world cities grew in harmony with the water systems, today cities are growing so fast that the fragile equilibrium between urbanisation and water systems is under severe pressure. Cities are incredibly more flood-prone. Water demand of cities is escalating and the amount of water being pumped is responsible of the sinking for of some cities. In addition, mega-cities generate vast quantities of wastewater, and the burning question is how to dispose and where to put it has become an increasingly costly and contentious issue. This problem is compounded by the inescapable ecological fact that where cities hope to source its water in the future is also where much of its wastewater is sent. Papers in this session investigate water systems and their relationship to urban form and growth. Issues addressed include: • • • • • •

historical relationship of natural water systems to human settlement the contemporary relationship of waterways to cities water as a structuring element of urbanity water and urban identity water, the public realm and recreation urban water transport

Keynote papers

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Sustainable urban water management Vladimir Novotny CDM Chair Professor, Northeastern University, Boston, MA, USA

ABSTRACT: A new paradigm of urban integrated urban water/stormwater/wastewater offers a promise of adequate amounts of clean water for all beneficial uses. This emerging paradigm is based on the premise that urban waters are the lifeline of cities and the focus of the movement towards more sustainable “green” cities. The concepts of the new sustainable urban water management systems and the Triple Bottom Line (TBL) criteria by which their performance will be judged are summarised and outlined. The paradigm considers microscale green development concepts and links them with macroscale watershed management, water/stormwater/wastewater infrastructures and landscape preserving or mimicking nature. Urban water management in future ecocities may be based on the implementation of interconnected semiautonomous water management clusters. In the sustainable urban development the macroscale TBL measures of sustainability must be considered. The new systems will combine sustainable water conservation and reuse infrastructure and ecologically and hydrologically functioning landscape. Concepts and fundamental building blocks of ecocities are presented and discussed. Keywords: Green urban design; sustainable urban drainage; triple bottom line assessment; urban planning; water conservation; watershed management

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SUSTAINABLE URBAN WATER MANAGEMENT

city dwellers – are participants in ecosystems, and that they are ultimately dependent upon the resilience and renewability of ecosystem resources and services. Communities must therefore find ways to live adaptively within the loading capacity (waste assimilative capacity, loading capacity) afforded to them by the ecosystems of which they are a part (Rees, 1992, 1997). The linkages between socioeconomic and ecological systems mean that people must pay attention to the protection, and if necessary, the recreation of resilient, self-organising ecosystems that have the capacity for self-renewal in the wake of disruptions. If the definition of ecological sustainability is extended to urban ecosystems the understanding of “sustainability” does not necessarily imply a return to pre-development ecological conditions. Instead, in the case of water systems, the emphasis is on restoration of viable and resilient aquatic biota and letting the present and future generations use, enjoy and live in harmony with the urban water resources and their surroundings. Throughout the history of civilisation, we recognise four paradigms under which water was provided to the urban citizen and stormwater and wastes were removed from the premises, starting with wells for water supply and streets for stormwater and wastewater conveyance. The current fourth paradigm includes long distance regional water and wastewater transfers, fast conveyance of stormwater to the nearest water body, former streams buried under the cities and

The fast-conveyance drainage infrastructure conceived in Roman times to eliminate unwanted, highlypolluted runoff and sewage has produced great gains in towards the protection of public health and safety. And yet, in spite of billions spent on costly “hard” solutions like sewers and treatment plants, water supplies and water quality remain a major concern in most urbanised areas. A large portion of the pollution is caused by characteristics typical to the urban landscape: a preference for impervious over porous surfaces; fast “hard” conveyance infrastructure rather than “softer” approaches like ponds and vegetation; and rigid stream channelisation instead of natural stream courses, buffers and floodplains. Because the hard conveyance and treatment infrastructure under the current paradigm was designed to provide only five to ten year protection, these systems are usually unable to safely deal with extreme events and can result in serious consequences when they fail (Novotny and Brown, 2007a). Sustainable development has been defined as “development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (Brundtland et al., 1987). In elaborating concepts of sustainable development, the literature has emphasised that people – including

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converted to combined or storm sewers, highly modified surface streams converted to flood conveyance channels, and excessive imperviousness that prevents groundwater recharge. This paradigm is unsustainable and wasteful. Great advances in the development of compact and highly efficient water and energy reclamation plants from wastewater; landscape designs based on the efficient best management practices to control and buffer diffuse pollution; and water conservation call for a fundamental change in the way water, stormwater, and wastewater are managed. A paradigm of integrated water management has been emerging over the last ten years. This new paradigm of sustainable urban waters and watersheds is based on the premise that urban waters are the lifeline of cities and the focus of the movement towards more sustainable and emerging “green” cities (Novotny and Brown, 2007). The concepts of the new sustainable urban water management system and the criteria by which their performance will be judged include: •

•

•

•

•

•

•

•

•

integration of water conservation, stormwater management and wastewater disposal into a one system managed on a principle of a closed loop hydrologic balance concept (Novotny, 2007a; Heaney, 2007); consideration of designs that reduce risks of failure and catastrophes due to the effects of extreme events and are adaptable to future anticipated increases of temperature and associated weather and sea level changes (IPCC, 2002); decentralisation of water conservation, stormwater management and wastewater treatment into drainage and water/wastewater management clusters to minimise or eliminate long distance transfers, enabling water reclamation and energy recovery near the point of use (Heaney, 2007; Lucey and Barraclough, 2007). Decentralised management clusters with a simple water reclamation facility (e.g., a primary treatment followed by a wetland and/or a pond) are especially suitable for megacities in developing countries; incorporation of green LEED certified buildings (USGBC, 2005;2007) that reduce water use through conservation, with best management practices (BMP’s), including green roofs, rain gardens and infiltration; recovery of heat and cooling energy, biogas and fertilising nutrients (phosphorus) from sewage in the cluster water reclamation and energy recovery facilities (Engle, 2007; Barnard, 2007); implementation of new innovative and integrated infrastructure for reclamation, and reuse of highly treated effluents and urban stormwater for various purposes including landscape irrigation and aquifer replenishment (Hill, 2007; Ahern 2007; Novotny, 2007a; LEED criteria (USGBC, 2005, 2007) that

•

•

•

•

•

•

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would also control and remove emerging harmful pollutants such as endocrine disruptors, THM precursors and pharmaceutical (drug) residues; minimisation or even elimination of long distance subsurface transfers of stormwater and wastewater and their mixtures (Heaney, 2007; Lucey and Barraclough, 2007); practicing environmental flow enhancement of effluent-dominated and flow-deprived streams (Novotny, 2007b); and ultimately providing a source for safe water supply (Lucey and Barraclough; 2007); implementation of surface stormwater drainage and hydrologically and ecologically functioning landscapes, making the combined structural and natural drainage infrastructure and the landscape far more resilient to the extreme meteorological events than the current underground infrastructure. The landscape design will emphasise interconnected ecotones (areas of transition between two or more ecosystems) connecting ecologically with viable interconnected surface water systems. Surface stormwater drainage is also less costly than subsurface systems and enhances aesthetic and recreational amenities of the area (Hill, 2007; Ahern, 2007); consideration of residual pollution loading capacity of the receiving waters as the limit for residual pollution loads (Rees, 1992, 2007; Novotny, 2007b), as defined in the Total Maximum Daily Load (TMDL) guidelines (US EPA, 2007), and striving for zero pollution load systems (Metcalf and Eddy, 2007); adoption and development of new green urban designs through new or reengineered resilient drainage infrastructure and retrofitted old underground systems interlinked with the daylighted or existing surface streams (Novotny 2007); reclamation and restoration of floodplains as ecotones buffering the diffuse (nonpoint) pollution loads from the surrounding human habitats and incorporation of best management practices that increase attenuation of pollution such as ponds and wetlands (Novotny, 2007a); connecting green cities, their transportation needs and infrastructure with drainage and receiving waters that would be ecologically based, protect the aquatic life, provide recreation and, by doing so, be acceptable to and desired by the public; consideration and promotion of changes in transportation in the future cities, relying more on clean fuels (hydrogen, electricity) and public transpiration by electric street cars, buses and trains; development of surface and underground drainage infrastructure and landscape that will 1. store and convey water for reuse, providing ecological flow to urban flow deprived rivers, and allowing for safe downstream uses;

and must, therefore, be analysed from a “cradle – to – grave’ system approach. In water resource development, the fundamentals of the TBL concept are not new and the trinity of criteria have been incorporated (in a modified form) in the guidelines by the Harvard group manual for developing and assessing water resources systems (Maas et al., 1962) and in US environmental legislation such as the National Environmental Policy Act (U.S. Congress, 1969) requiring a comprehensive Environmental Impact Statement on all projects financed by the federal or state governments. In the future, new or retrofitted urban developments must be considered and accounted for a multiplicity of components in the context of macroscale triple bottom line measures of sustainability and, in the final outcome, the cities built and managed under the new paradigm must outperform the current – long transfers, fast conveyance – water/stormwater/wastewater management paradigm. Figure 1. Trinity (triple bottom line) of goals for benefit/cost accounting for urban sustainable development.

2 2. treat and reclaim polluted flows; and 3. integrate the urban hydrologic cycle with multiple urban uses and functions to make it more sustainable.

CONNECTING GREEN CONCEPTS TO SUSTAINABLE WATER RESOURCES

2.1 Green developments and smart growth

Urban developments do not necessarily have to be bad to the environment; human urban habitats can mimic natural habitats and preserve it, as documented by urban ecotones and nature mimicking in designed parks built by Frederick Law Olmstead in New York, Boston, Chicago, Milwaukee and other cities almost one hundred fifty years ago (Hill, 2007, Novotny and Hill, 2006, Novotny, 2007a; Heaney, 2007). The precipitation – runoff – groundwater recharge balance of the cities of the future can approach that of the natural hydrologic cycle.

Mayors of many major cities, county executives of urban counties, USEPA, environmental activists (e.g., Sierra Club), and other community interests have been promoting Green City – Smart Growth ideas and programs. Currently, the US Green Building Council has proposed and is developing standards for “green” buildings and neighborhoods (USGBC 2005, 2007) that are becoming a standard for building and development. The USGBC standards for “green” certification were formulated for homes, neighbourhood development and commercial interiors (http://www.usgbc.org). Under the pilot LEED Neighborhood Rating System (USGBC, 2007) the criteria categories are as follows:

1.1 Triple bottom line concept

•

The sustainability of any development and business proposition is or should be evaluated against the “triple bottom line” (TBL) criteria (Elkington, 1997). Used by consultants, utility managers, city planners and ecologically minded developers, the triple bottom line criteria (Figure 1) considers environmental/ecological protection and enhancement; social equity; and economics (Lucey and Barraclough, 2007; Brown, 2007; Taylor and Fletcher, 2005). Connected and partially synonymous to TBL assessment is the environmental life-cycle assessment (LCA) of projects, production and, hence, of the building cities of the future (ISO, 2006; Lippiatt, 2007) based on the premise that all stages of the life of a product (construction, transportation, furniture) generate environmental impacts

The LEED standards are aimed at buildings and small neighbourhoods. They are not a priory related to natural resources The value (total number of points)

Smart Location & Linkage which include, among others, required indices of proximity to water and wastewater infrastructure, flood plain avoidance, endangered species protection, wetland and water body conservation, and agricultural land conservation; • Neighborhood Pattern and Design such as compact development, diversity and affordability of housing, walkable streets, transit facilities, access to public spaces, and local food production; • Green construction & technology, essentially LEED building certification; and • Innovation & design process

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these rivers became highly polluted. The revival of the Milwaukee’s downtown as a place of living concentrated around the river is closely linked to the clean- up the river after 1990s. These rivers provided multiple uses such as transportation, fishing, recreation (boating), and water supply for industries and city dwellers. Before the industrial revolution the urban rivers were recipients of the pollution, mainly washoff of dirt, manure, faeces, and rubbish from paved and unpaved streets. The polluted stormwater runoff was an impetus for the government of Rome to build the Roman Cloaka Maxima (Large Sewer) and divert the pollution to the Tiber River. However, in the second half of the nineteenth century with the invention of flushing toilets, the pollution of urban rivers became unbearable and smaller rivers became open sewers. The urban rivers were so polluted that in summer they were devoid of oxygen and emanated pungent odours (hydrogen sulphide) resulting from anaerobic decomposition of BOD and heavily pollutant laden sediments. In the fist half of the twentieth century, summer sessions of the parliament in London had to be cancelled due to the strong odour emanating from the Thames River. In many cases, decision was made to put these rivers out of sight and underground to control and prevent epidemics. In the second half of the nineteenth century, a medium size river called Stony Brook in Boston was put underground because the lowlands in the neighbourhoods, into which the brook discharged, became terminal sewage pools. Periodic epidemics swept through the city regularly. As a result, a 12 km stretch of the brook through the city was buried and converted into large single (4.7 × 5.2 metre) or double box culverts. Only names such as Stony Brook Park or Stony Brook subway and train station remain and most of the Boston population does not even know that a medium size historic river existed in the city one hundred fifty years ago. Also, the entire Back Bay tidal marsh was filled and converted to residential and commercial, mostly impervious, areas. The same story of burying urban streams repeated itself in many major cities, including Brussels where the River Senne was covered and converted into a boulevard. Figure 2 shows the disappearance of streams in theTokyo metropolitan area. In the last one hundred to one hundred fifty years many of city streams that remained on the surface were converted to concrete-lined, ecologically nonfunctional channels (Figure 3) and fenced off; others were covered to provide space for traffic and impervious surface for parking. But, underground culverted or sewered streams generally do not provide resiliency to extreme events. The capacity of buried streams is generally limited because the early designers could not anticipate demands on the systems or the extremely high level of imperviousness associated with today’s

allotted for the protection of natural resources and water resources conservation is relatively small; only 10% of the points are credited for reducing water use and potential contribution to improving integrity of waters and natural resource. Nevertheless, architects, builders, developers, local governments and consultants are pushing as best as they can for implementing “sustainable” and “green” infrastructure, land and resources development based on LEED criteria. However, the impact of these LEED certified and similar developments and infrastructure on sustainability of water resources, water quality, increasing resilience against extreme events such as floods or catastrophic storms, as well as protection and enhancement of natural terrestrial resources is fuzzy at best and some could be found irrelevant, at worst, when, for example, macroscale watershed hydrological and ecological goals and impacts are considered. The development of eco-friendly cities of the future – ecocities – requires a comprehensive and hierarchical macroscale approach, in contrast to the microscale and often fragmented piecemeal transformation (Hill, 2007) of current unsustainable forms of urbanisation. The convergence of efforts to improve the quality of life in urban communities and the campaign to improve our water quality offer potential synergies that could overcome the often confrontational encounters that can occur between environmental regulation and economic development. The macroscale goal of the fifth paradigm is to develop an urban watershed and landscape that mimics, but not necessarily reproduces, the processes and structures present in the predevelopment natural system. A goal should also include protection of the existing natural systems. Eco-mimicry includes hydrological mimicry, where urban watershed hydrology imitates the predevelopment hydrology, relying on reduction of imperviousness, increased infiltration, surface storage and use of plants that retain water (e.g., coniferous trees). It will also contain interconnected green ecotones such as surviving and new/restored nature areas, especially those connected to water bodies, that provide habitat to flora an fauna, while providing storage and infiltration of excess flows and buffering pollutant loads from the surrounding inhabited, commercialised, and traffic areas. (Hill, 2007; Ahern, 2007). 2.2

Daylighting and restoring lost urban streams

For millennia, urban waters have been the lifelines of many cities. Paris has its Seine River, Rome has the Tiber River, London is on the Thames River, Shanghai has theYangtze River, Boston has the Charles River, Milwaukee has the Milwaukee River, etc. In all cases, these water bodies spurred city development in the distant past and city core demise when

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Figure 2. Disappearance of small streams in the Tokyo Metropolitan area. Courtesy Hiraoki Furumai (2007).

urban landscapes. Consequently, diminished groundwater recharge led to increased peak volume of urban runoff. Typically, underground storm sewers were designed to carry flows resulting from storms that had a recurrence interval of five to ten years, but urbanisation has increased the magnitude of peak flow by a factor of four or more (Hammer, 1972) – not taking into account the anticipated effects of global warming. Extreme precipitation events can render these existing underground urban conduits severely inadequate, as exemplified by the hurricane Katrina in New Orleans and frequent flood events in many other cities. Also, the hydrologic connection with the landscape is fragmented or nonexistent and little buffering protection is available to diffuse pollution. As scientific predictions indicate that the frequency and force of extreme hydrologic events (hurricanes, typhoons) will increase with global warming (IPCC, 2007), the severity of the consequences associated with such events, such as flooding caused by Katrina in New Orleans, will only worsen; the effects of Katrina – thousands of lives lost, survivors displaced, and billions of dollars in damages (Van Heerden et al, 2007) – are still evident almost three years later. Restoration of streams damaged by urbanisation, often to the point of conversion into underground sewers, should be a key component of the green development under the fifth paradigm. Today, raw sewage inputs into surface streams or underground culverts carrying the buried streams have been or are being eliminated and the buried streams are becoming storm sewers, however, in most cases, with insufficient capacity to handle flows from extreme storms. The restored and daylighted streams will become technically a part of the surface drainage system, but should be ecologically viable and functioning, pleasing to the public, providing recreation as well as enjoyment. Surface streams, with their multifunctional corridors, are more resilient to extreme events; typically, a channel and green corridor can handle 100 year (or more) floods without major damages.

Figure 3. The Los Angeles River. Once a viable water body the river was converted into a flood conveyance channel without a base flow and with no aquatic life.

2.2.1 Stream restoration Straightening and lining of urban streams with concrete (Figure 3), ripraps or gabions was a common practice in the mid-twentieth century; at the same time, development in the floodplain was allowed all the way to the stream bank. After the point sources were sent by long distance interceptors to regional treatment plants outside of the watersheds, the urban streams often lost their base flow and were subjected to bank erosion and habitat degradation by increased magnitude and frequency of stormwater flow inputs. Habitat degradation is the primary cause of the impairment of the integrity of urban streams (Manolakos et al., 2007; Novotny et al., 2008). Furthermore, the quality of urban streams in northern climates is adversely impacted by winter deicing chemicals (for a summary see Novotny et al., 1999) and toxic contamination of sediments. Restoration of urban streams is only possible after the major point source of pollution has been eliminated. It is a complex process that begins with the identification of the cause of impairment (impaired habitat, insufficient base flow and erosive high flows); implementation of best management practices to control the

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stormwater flow and pollution inputs; removal of lining; restoration of natural sinuosity, pool and riffle sequence and habitat restoration; removal of stream fragmentation (bridges, culvers, channel drops and small dams impassable to fish and other aquatic organisms); and finally, riparian (flood) zone restoration (Novotny, 2003). Figure 4 shows restored Lincoln Creek in Milwaukee, Wisconsin. The creek was converted to a concrete lined flood conveyance channel because of an enlarged floodplain, consequential of upstream urbanisation. In the late 1980s the Milwaukee Metropolitan Sewerage District (MMSD) began to renaturalise the creek, starting with the removal of lining, removal or widening of bridge openings that caused flood bottlenecks, enlarging flood plain storage and included several off line detention ponds and a large wetland. In the 1990s, the CSOs were eliminated by diverting them into the Milwaukee’s deep tunnel underground storage. Concurrently, in-stream habitat was restored and stream bank erosion was controlled. The project was finished in 2002 at a cost of more than US$80 million and fish and aquatic biota have returned. Daylighting and restoration of urban streams in Milwaukee and other cities has been impressive, but often fails, partially because the restoration is not based on the total hydrologic balance; the creeks are often lacking sufficient good quality base flow (reduced by urbanisation) within the watershed and the pollutants present in the stormwater runoff entering the restored water bodies have not been fully

controlled. Consequently, biota and oxygen levels crash due to excessive growth of algae stimulated by these deficiencies. 2.3 Stormwater pollution and flood abatement by Best Management Practices BMPs developed in the last forty years to control and diffuse pollution can be categorised as follows (Novotny, 2003): 1. Source control measures (control of atmospheric deposition, reduction of urban erosion especially from construction, street sweeping, etc., switching from irrigated lawns using large quantities of fertilisers to non-irrigated xeriscape) 2. Hydrologic modification focused on infiltration (porous pavements, landscape infiltration, infiltration trenches) 3. Reduction of delivery (silt fences at construction sites, buffer strips, grass swales, in-line solids separation in sewers) 4. Storage and treatment (wetlands, ponds, underground storage basins with a follow-up treatment). The BMPs listed above can be divided into structural (hard) and nonstructural (soft). Most structural BMPs implemented until the end of the last century were “engineered” and did not blend with the natural environment, nor did they try to mimic nature. Since one of the requirements of sustainable development is to restore and protect nature, most of the structural BMPs were not sustainable nor were they appealing. Landscape architects (Ahern, 2007; Hill, 2007) proposed that the BMPs listed above be divided to make them more appealing and better related to natural systems: •

those that remedy landscape disturbance and emission of pollutants, • those that modify the landscape and the hydrologic cycle to make it more ecologically and hydrologically sustainable, and • those that remove pollutants from the flow. While all BMPs aim at reducing pollution and improving water quality, some are more apt to lead to the formation of resilient urban ecological systems. Developers and landscape architects at the end of the last century realised that BMPs can be an architectural asset that can help to blend with nature and mimic natural systems. Almost every structural engineered BMP has its naturally looking, hydrologically and ecologically functioning and nature-mimicking equivalent (Figures 5 and 6). With exception of the source control measures mentioned above, BMPs in then past were designed and implemented posteriori – after pollution was generated from the land. BMPs provided treatment, but their use for drainage was secondary. At the end of the last

Figure 4. Restored Lincoln Creek in Milwaukee (WI) – the creek was lined with concrete and is without aquatic life. Restoration was finished in 2002.

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millennium, the “green movement” began to change adapt BMPs from a relatively unappealing appearance with no ecologic value, to attractive and desirable assets of the urban landscape; grass ditches, swales and

dry detention ponds were converted to raingardens and bioretention facilities (Figure 7). It is now recognised that BMPs are not only additions to drainage systems, but, in a modified and more attractive form, can become the drainage system itself (Novotny, 2007a). In summary, best management practices can: • • •

• • • • •

Mimic nature Provide and enhance surface drainage Repair unsustainable hydrology by reducing flooding and provide enhanced infiltration, as well as provide some ecological base flow to sustain aquatic life Remove pollutants from ecological flow Provide water conservation and enable water reuse Buffer and filter pollutants and flow for restored/ daylighted streams Enhance recreation and aesthetic quality of the urban area Save money and energy (expensive underground conduits and pumping may not be needed). Swale type raingardens combined with green roofs and permeable pavements of parking lots and some streets may dramatically reduce the need for underground storm sewers.

2.4

Urban landscape

The urban landscape of the future will be made of interconnected ecotones that preserve or imitate nature,

Figure 5. Landscaped swale providing infiltration and pollutant removal (photo from Marriott, 2007).

Figure 6. Engineering approaches to urban drainage, from traditional to eco-engineering (adapted form Ahern, 2007).

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from a large high-rise building, larger shopping center, or a subdivision, to a portion of a city (Furumai, 2007; Lucey and Barraclough, 2007). The size of the cluster and the number of people it serves must be optimised. The TBL assessment of costs and benefits is represented by the cost of transporting wastewater and stormwater mixtures towards a treatment plant, its treatment and water reclamation and transporting the reclaimed water back to the city for reuse on landscape, toilet and street flushing, and recovering energy and many other components of the total water management cycle. Benefits include fees for the recovered water and energy, savings on the size and length of sewers, savings on energy due to installation of green roofs and less pumping, benefits related to the recreational use of restored and daylighthed streams, reduction of green house gas emissions, etc. In this case, the cluster size and distance of transfer are important decision variables. The longer the distance is the more costly water and wastewater transfers are and less revenue can be derived from energy and biogas recovery. It is quite possible that cluster stormwater/wastewater management can make the deep and large interceptor sewers and tunnels obsolete. Furthermore, bringing stormwater conveyance to the surface can make existing sewers obsolete and the freed space can be used for other underground conduits such as fibre optic cables and phone cables for which the water management utility can charge a fee, as is being done in Tokyo and other cities.

will be threaded through the inhabited space. In this case, connectivity refers to the degree to which a landscape facilitates or impedes the flow of energy, materials, nutrients, species, and people across the landscape and it is an emergent property that results from interaction of landscape structure and functions, including flow, nutrient cycling and maintenance of biotic diversity (Ahern, 2007). Connectivity of urban ecotones and water systems is needed to provide conditions for sustainability of the aquatic biota and terrestrial ecology. If the biota is disturbed or lethally impacted by a stress (e.g., toxic spill) the biotic system can be repopulated by migration from neighbouring unaffected ecotones. In urban systems, fragmentation of ecosystems – the separation of ecology into isolated landscape elements – is a common feature of the landscape and aquatic systems (Figure 6). Water flow connectivity and water systems are primary examples where connectivity is important to maintain sustainable and balanced aquatic biota; connectivity must be considered on the watershed scale and include also flood plains. Fragmentation is the opposite of connectivity. Fragmentation in urban environments is caused by roads (Forman et al. 2003), culverts and drops (Figure 7) impassable by fish and other larger organisms, zones of poor water and sediment quality, or high temperature due to cooling water discharges. Ecomimicry in subdivision developments of the last century were piecemeal approaches restricted to the developed land and without a relation to macroscale integrated ecological restoration and preservation goals. 3 3.1

3.2 Water Reclamation Plants (WRP) and Energy Recovery Units (ERU) WRP and ERU could be installed in most clusters at the points of reuse. Sanitary sewage can be conveyed to them mostly by conventional underground sanitary sewers.A point of reuse is a reclaimed water outlet such as those used for flushing in buildings, street washing, landscape irrigation, groundwater recharge, and provides ecological base flow to urban streams. Since typically raw sewage is relatively warm (12–16◦ ), heat can be extracted by heat pumps that can provide both warm water for heating and cold water (less than 5◦ C) for cooling. To minimise energy losses, it is necessary to cluster water and energy reclamation units in or near the cluster they serve. Compact treatment plants providing high BOD, suspended solids, nutrients and pathogen removals are available, ranging in size from those that serve a few houses to others that serve a population up to 20,000. These units provide effluents that could be as clean as the receiving waters into which they may be directed (Furumai, 2007). Ultimately, potable water quality is achievable (Barnard, 2007) but may not be economically justified and acceptable to the population. However, research must find answers for the control and removal of the emerging micropollutants such as endocrine disruptors, trihalomethane

CITIES OF THE FUTURE – WATER-CENTRIC ECOCITIES Decentralised water/stormwater management

The integration of the complete water management that includes water conservation and reclamation, storage of reclaimed water and stormwater for reuse, wastewater treatment and energy from waste recovery can not be achieved in a system that incorporates long distance transfer, under-ground subsurface and deep tunnels, and distant waste-water treatment plants; the concept of clustered, distributed and decentralised complete water management has been evolving (Lucey and Barraclough, 2007; Heaney, 2007, Novotny, 2007a). An urban water/stormwater/ wastewater cluster is a semiautonomous water management/drainage unit that receives water, implements water conservation inside the structural components of the cluster and, throughout the cluster, reclaims sewage for reuse, such as flushing, irrigation and providing ecological flow to restored existing or dayligthted streams, recovers heat energy from wastewater, and possibly recovers biogas from organic solids (Figure 8). Clusters may range

26

Figure 7. Decentralized cluster-based integration of water, stormwater and wastewater management, reclamation and reuse integrated with landscape.

in the field of urban drainage and diffuse pollution on the green city concepts and come up with a new approach to drainage that would mimic nature and the pre-development hydrology. Other trends can also be considered such as dramatically reducing emissions from vehicles by switching to hydrogen fuel cells, improving public transportation, and increasing energy production from wind, solar, biofuels and recycled city waste. New drainage systems will make a switch from strictly engineered systems (sewers) to ecologic systems (rain gardens, surface wetlands, and restored and daylighted water bodies). Municipal stormwater and sewage management is expected to be decentralised into urban clusters rather than regionalised (Figure 8). At some point in the future, drainage, buffers and flood plains will become a sequence of ecotones connected to major receiving water bodies (Hill, 2007; Ahern, 2007; Novotny and Hill, 2006). Some concepts to also consider as within a greater system are organic farms surrounding the cities and significant reduction of nonpoint pollution from farms supplying food to the cities. Ecocities are now emerging on subdivision/suburban levels in reality and on large city level (up to several million of people) in planning. Singapore is a relatively small island city/state in South Asia with about three million inhabitants that does not have any significant natural and water resources; it is being converted into an ecocity. China is looking for urban housing for up to 300 million people in the next 30

(THM) precursors and pharmaceutical (drug) residuals found in wastewater and, consequently, in the receiving waters and in the intakes to the drinking water treatment plants. WRPs and ERUs can be located underground in commercial shopping areas or in basements of large commercial buildings. 3.3

Interconnectivity

Although the clusters are semiautonomous in their water, sewage and energy recovery management, they should be interconnected to increase resiliency against the failure of a cluster operating system, namely its WRP. In the case of failure there should be an option to store and send the untreated wastewater to the nearest cluster WRP that has available capacity. Consequently, an on-line, real-time optimisation and control cyber infrastructure will have to be developed. 3.4

Ecocities

An ecocity is a city or an autonomous part of a city that balances social, economic and environmental factors (TBL) to achieve sustainable development. An ecocity can be a cluster or contain several sustainable management clusters that are ecologically and hydrologically sustainable and resilient. It has become clear that the fourth paradigm of wastewater and stormwater drainage is not suitable and does not fit with ecocity concepts. The time has come to critically evaluate what has been developed during the last twenty five years

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Table 1.

Natural systems and their equivalent BMPs (Novotny, 2007a).

Natural systems

Nature mimicking Best Management Practices

Watershed with infiltration

Pervious pavements, green roofs with French well or rain garden infiltration of downspout excess water Rain gardens, buffers sand filters connected to landscaped swales or dry storage ponds for flood water Daylighted, restored or created streams with base flow from ◦ Groundwater infiltration, including dewatering basements ◦ Decentralized high efficiency treatment plant effluents ◦ Restored or created wetlands ◦ Wet ponds with stored storm water Restored original streams with reclaimed floodplains and riparian wetlands; floodplain converted to recreational park and buffer zones; storage in lakes and ponds in the reclaimed flood plains Removal of channelization and impoundments wherever possible, providing flood storage. Significant portion of flow may originate from upstream nonurbanizaed areas.

Ephemeral pre-stream channels 1st order perennial streams with base water flow from • Springs • Headwater Wetlands • Headwater lakes 2nd order streams

3rd and higher order streams

streams. Table 1 presents a comparison of natural and equivalent BMP systems. In urban areas perennial base flow can be provided by high-quality effluents from cluster treatment plants such as has already been done in Tokyo and elsewhere. The proposed drainage concept contains best management practices that have been featured in many urban stormwater management manuals (e.g., see Novotny, 2003). The novelty is only in using them in an integrated context of the urban landscape and the total hydrologic cycle as an alternative to the traditional fast conveyance subsurface drainage. The concepts were introduced in Novotny and Hill (2006) and also covered in Novotny (2007a).

years because of intensification of agriculture (loss of jobs of indigenous population) and a large increase of GNP being derived by industries in the cities. Essentially, it is attempting to manage migration from rural to urban areas that has been so devastating in megacities of several other fast developing countries, including Brazil, Mexico, India, etc. The Cities of New Wuhan, Dongtan, Yangzhou and Changzhou on the Yangtze River and Tianjin, will be the first new ecocities in China. The intent of Chinese planners, working with the Chinese Academy of Science and foreign advisors, is to make these new cities on the Yangtze River water-centric ecocities. In November 2007, the governments of China and Singapore signed an agreement under which Singapore will export its ecocity know-how and technologies and will build another ecocity in Tianjin, northeast of Beijing. Concepts and plans for ecocities are fast emerging in the US, Canada, United Kingdom, Sweden (Hammarby Sjöstad), Germany, China, Japan, and Australia. Except in the US, developments and research in the advanced countries are well funded. In the next 20 years, building new ecocities, as well as retrofitting old cities into ecocities, will become a multi trillion US$ worldwide endeavour. 4

I. Sanitary sewage conveyance mostly underground but decentralised 1. High efficiency treatment (water reclamation) plants can provide reclaimed flow for (a) reuse in buildings (toilets flushing, on site energy recovery, cooling, etc.) and/or (b) ecological base flow to perennial streams, and/or (c) park, golf course irrigation. Decentralised urban wastewater management can be organised into clusters incorporating (a) one or several large (highrise) buildings; (b) one or more subdivisions; (c) smaller urban districts. The quality of the effluent should commensurate to the purpose of reuse (Figure 8). Removed nutrients would be converted to bio-fertiliser and reused and is extracted from the effluent. In this way, reclaimed treated effluent and the byproducts can be commercially distributed. 2. Energy recovery from wastewater. Temperature of urban sewage/wastewater is warmer than that

RENATURALISING DRAINAGE OF THE CITIES OF THE FUTURE

Natural drainage systems begin with ephemeral small vegetated channels and gullies. At some point, several of these channels will form a first order perennial stream. A second order stream is formed when several first order streams join together and so on. Springs and wetlands feed and provide perennial flows to natural

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order stream systems is to store excess peak flows for longer times (not 24 hours or less as in conventional designs) so that the stored water can be used for irrigation, supplementing base flow and other purposes and also provide post treatment of effluents discharged into them. Created wetlands are the best place for receiving treated effluents. Most first order streams may not have natural base flow unless they originate in a nature reservation within the city. Some ponds on the first order streams may be stocked with fish but may not sustain large quantities of less tolerant fish species. Surface urban runoff not infiltrated through the pervious surface (vegetated areas and porous pavement) will be filtered by grass or sand filters or, if storm sewers are used in dense settlements, by storm separators, filters installed in sewers and other stormwater treatment units. 3. Second and higher order streams. These larger streams should sustain balanced viable fish population. Since these streams will consist of preserved original or daylighted and restored streams, the pollution control laws in many countries will call for attaining and maintaining “a balanced indigenous aquatic biota” (in the US) or achieving and preserving water and habitat quality to the “best ecologic potential” (in the EU countries) of the water body. The streams should be surrounded by buffer zones encompassing the flood zone. The buffer and flood storage zones should be landscaped as interconnected parks, nature, with bike and walk trails, and picnic areas. Recent research in integrity of receiving water has helped to outline the beneficial role of ecological green riparian zones surrounding water bodies (Novotny et al., 2007). The differences between the second, third and higher order streams are primarily in the origin of the flow they receive. A second order stream receives flows primarily from the first order water bodies located within the urban area. Third and higher order streams carry a significant proportion of flow originating from outside non-urbanised areas.

of water supply due to the addition of warm water from households and cooling water from industrial operations. Depending on geographical locations, the mean annual temperature of urban sewage/wastewater varies between 10 to 20◦ C (Metcalf & Eddy, 2003). Both cooling and heating energy can be recovered by heat pumps and other similar energy recovery units, still to be developed, with no net emissions of carbon dioxide. In winter, the energy needs could be supplemented by geothermal energy sources in groundwater. Groundwater typically has a stable temperature around 12◦ C. II. Surface drainage for stormwater and treated effluent discharges 1. Ephemeral swales landscaped as rain gardens. On side streets, low to medium density urban zones, less frequently travelled urban highways and parking lots, in combination with pervious pavement, no storm sewers may be needed. The swale/rain gardens will be designed to have a minimum (to prevent standing water and development of unwanted cattails and other vegetation) and maximum (to prevent erosion and gullying) slopes and engineered flow capacities. Stormwater runoff from impervious roads and streets would be filtered by grass or sand filters. Rain water from down-spouts would be directed to French wells or other infiltration devices for infiltration and/or to rain gardens. Flow from storm sewers, if installed, should be treated by various best management practices available for treatment (filters, ponds, etc). 2. First order perennial drainage channels – streams. In older cities the original first order streams disappeared and were converted into sewers. In new planned communities, natural streams and lakes should be preserved. As soon as perennial flow becomes available from reclaimed effluents, from stored rainwater (in surface or subsurface manmade basins), from groundwater pumped from basements or from wetlands, smaller natural or naturally looking daylighted channels (sinusoidal, with pools and riffles) should be created or the original streams should be preserved or restored. Hydrologically, the channels and landscape could be designed with the channel capacity to hold a 2 year flow, considering also flood storage capacity, and the extended channel with vegetated banks to hold flows with a large recurrence interval. Landscape should be resilient to floods with the 100 year recurrence interval. Storage ponds and/or wetlands may be included to create water parks and enhance the landscape. The purpose of the ponds and wetlands in the first

Streams, straightened and/or channelised with lining, may have to be restored, lining removed and the channel renaturalised. Lakes on these streams would be a part of a park and an overall urban ecosystem. Long distance wastewater transfers and large effluent discharges into 2nd and 3rd order streams should be minimised or avoided completely. The most preferable discharge location of high quality effluents from cluster water reclamation plants is into the first order wetlands and/or polishing ponds.

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5

•

CONCLUSION

The triple bottom line accounting (economy, environment and society) is the foundation for developing the sustainable urban systems. The methods for societal accounting have not yet been fully developed. • Ecocities based on sustainability are already being designed and built in several countries.

There is a need to develop and implement the new (fifth) paradigm of urbanisation in general and water/drainage management in particular. The sustainable management of urban watersheds is based on and may evolve from the following premises and concepts: •

•

•

•

•

•

•

Streams have been and will be the lifeline of the urban areas and preserving good quality of water in adequate amounts for future generation is necessary; this follows the fundamental premise of sustainability. Water management of future viable sustainable cities will close the urban hydrologic cycle, i.e., the cities will practice water conservation and reuse, and stormwater and waste water flows will be considered as resources with an economic value rather than waste. Energy recovered for heating and cooling from sewage and combined waste water flows (potentially supplemented by geothermal energy from groundwater), water saved or recovered from water and stormwater, and biogas produced from organic residues of the recovery process will be considered as economic assets that can even be commercialised. Most of the energy recovered will be in a form that will not increase green house emissions (global warming). These concepts will require decentralised water/ stormwater/wastewater/energy recovery systems that will be optimised and organised in semiautonomous but interconnected clusters. Cyber infrastructure of real-time control must be developed and implemented. Small (1st and 2nd order) urban streams that have not been buried in underground storm sewers should be rehabilitated and those that were buried should be daylighted and restored. These streams, after the cleanup of pollution inputs, will become a backbone for sustainable and resilient drainage and water recovery for ecological flows. Due to insufficient groundwater discharge between precipitation events, many restored and rehabilitated 1st order urban streams will need supplemental base flow provided by reclaimed water. Urban drainage, runoff pollution attenuation, storage and infiltration/groundwater recharge will be a part of the hydrologically and ecologically functioning landscape consisting of interconnected green ecotones forming transition areas between the human habitat and aquatic systems. These multipurpose landscape units (recreation, flood mitigation, infiltration/groundwater recharge, habitat for flora and fauna) will also contain ponds, wetlands, rain gardens serving water management functions and as buffers for aquatic ecosystems.

REFERENCES Ahern, J. (2007). Green infrastructure for cities: The spatial dimension. In: Cities of the Future: Towards integrated sustainable water and landscape management, V. Novotny and P. Brown(eds.), London: IWA Publishing. Barnard, J.L. (2007). Elimination of eutrophication through resource recovery, The 2007 Clarke Lecture. National Water Research Institute, Fountain Valley, CA. Brown, P. (2007). The importance of water infrastructure and the environment in tomorrow’s cities. In: Cities of the Future: Towards integrated sustainable water and landscape management, V. Novotny and P. Brown(eds.), London: IWA Publishing. Brundtland, G. (ed.) (1987). Our Common Future: The World Commission on Environment and Development. Oxford: Oxford University Press. Elkington, J. (1997). Cannibals with Forks: The Triple Bottom Line of 21st century Business. Oxford: Capstone Publishing. Engle, D. (2007). Green from top to bottom. Water Efficiency, 2(2): 10–15. Forman, R.T, .T. et al. (2003). Road Ecology: Science and Solutions. Washington: Island Press. Furumai, H. (2007). Reclaimed stormwater and wastewater and factors affecting their reuse. In: Cities of the Future: Towards integrated sustainable water and landscape management, V. Novotny and P. Brown(eds.), London: IWA Publishing. IPCC (2007). Summary for Policy Makers, Climate Change 2007: The Physical Scientific Basis, Fourth Assessment Report, Intergovernmental Panel on Climatic Change, Geneva. International Organization for Standardization (ISO) (2006). Environmental Management – Life – Cycle Assessment – Principles and Framework, International Standard 14020. Heaney, J. (2007). Centralized and decentralized urban water, wastewater & stormwater systems. In: Cities of the Future: Towards integrated sustainable water and landscape management, V. Novotny and P. Brown(eds.), London: IWA Publishing. Hammer, T.R. (1972). Stream channel enlargement due to urbanization. Wat. Res. Research 8: 139–167. Hill, K. (2007). Urban ecological design and urban ecology: an assessment of the state of current knowledge and a suggested research agenda. In: Cities of the Future: Towards integrated sustainable water and landscape management, V. Novotny and P. Brown(eds.). London: IWA Publishing. Lippiatt, B.C. (2007). BEES 4.0 – Building for Environmental and Economic Sustainability – Technical Manual and User Guide, NISTIR 7423, National Institute of Standards and Technology, U.S. Department of Commerce, Washington.

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Lucey, P. and C. Barraclough. (2007). Accelerating adoption of integrated planning & design: A water-centric approach, green value and restoration economy, Power point presentation at Northeastern University, AquaTex, Victoria. Maas, A., Hufschmidt, M., Dorfman, R., Thomas, H., Marglin, S., and Fair, G. (1962). Design of Water Resource Systems. Cambridge: Harvard University Press. Manolakos, E., H. Virani and Novotny, V. (2007). Extracting Knowledge on the Links between Water Body Stressors and Biotic Integrity. Water Research, 41: 4041–4050. Marriott, D. (2007). What does green mean in Portland, Oregon? Power point presentation at the 207 National Association of Clean Water Agencies’ Summer Conference, July 18. Washington, DC. Metcalf & Eddy. (2007). Water Reuse; Issues, Technologies, and Applications. New Yotk: McGraw Hill. Metcalf & Eddy. (2003). Wastewater Engineering: Treatment and Reuse, 4th ed. New York: McGraw Hill. Novotny, V. (2003). Water Quality: Diffuse Pollution and Watershed Management. New Jersey: J. Wiley, Hoboken. Novotny, V. (2007a). The new paradigm of integrated urban drainage and diffuse pollution abatement in the Cities of the Future, Proc. XIth IWA International Conference on Diffuse Pollution, Belo Horizonte, Brazil, August 26–31, 2007. Novotny, V. (2007b). Effluent dominated water bodies – their reclamation and reuse to achieve sustainability. In: Cities of the Future: Towards integrated sustainable water and landscape management, V. Novotny and P. Brown(eds.), London: IWA Publishing. Novotny, V. and Brown P. (eds.). (2007). Cities of the Future: Towards Integrated Sustainable Water And Landscape Management. IWA Publishing, London. Novotny, V. and Hill, K. (2007). Diffuse pollution abatement – a key component in the integrated effort towards sustainable urban basins. Water Science and Technology, 56(1): 1–9.

Novotny, V., et al. (1999). Urban and Highway Snowmelt: Minimizing the Impact on Water Quality. Water Environment Research Foundation, Alexandria, VA. Novotny, V., D. Bedoya, Virani, H., and Manolakos, E. (2008). Linking Indices of Biotic Integrity to Environmental and Land Use Variables – Multimetric Clustering and Predictive Models, Paper submitted for presentation for the IWA World Water Congress, Vienna. Rees, W.E. (1992). Ecological footprints and appropriate carrying capacity: What urban economist leaves out. Environment and Urbanization, 4(2): 121–130. Rees, W.E. (1997). Urban ecosystems:The human dimension. Urban Ecosystems, 1(1): 63075. Taylor, A.C. and Fletcher, T.D. (2005). Triple bottom-line assessment of urban stormwater projects, Proc. 10th Interntl. Conf. on Urban Drainage, IAHR-IWA, Copenhagen, Denmark. US Environmental Protection Agency (1983). Results of the Nationwide Urban Runoff Program, Vol. 1, Final Report, Water Planning Division, Washington, DC. US Environmental Protection Agency (2007). Total Maximum Daily Loads with Stormwater Sources: A Summary of 17 TMDLs, EPA 841-R-07-002, Office of Wetlands, Oceans and Watersheds, Washington, DC. www.epa.gov/ owow/tmdl/techsupp.html USGBC. (2005). Green Building Rating System for new Construction & Major Renovations, Version 2.2, US Green Building Council, Washington, DC. http://www. usgbc.org USGBC (2007). LEED for Neighborhood Development Rating System, Pilot version, US Green Building Council, Washington, DC. http://www.usgbc.org Van Heerden, I.L, Kemp, G. P., and Mashriqui, H. (2007). Hurricane realities, models, levees and wetlands. In: Cities of the Future: Towards integrated sustainable water and landscape management,V. Novotny and P. Brown(eds.), London: IWA Publishing.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Urban aquatics S. Jumsai Architect & painter, Bangkok, Thailand

ABSTRACT: Most towns and settlements were founded to take advantage of and to be in harmony with the water environment. Some of these were even built on water, whether in the river, the lake or in the sea. It resulted in hydraulic and aquatic typologies in urban planning and architecture. We have therefore the know-how in the design of settlements and habitats which, re-enforced by modern technology, can co-exist with floods so that much of the cycle of human suffering can be avoided. It also means that urban development on water makes sense since 75% of the planet’s surface is water, increasing perhaps to 80% by 2100, as a result of global warming.

1

INTRODUCTION

in which Cyclone Nargis had killed some 100,000 people earlier this year; or in the Ganges Delta which, in 1998, saw two-thirds of the country submerged with water, swallowing up 300,000 houses, killing an untold number of people and leaving 30 million homeless (2). But these are abnormal occurrences. For regular flooding, tidal or fluvial, humans have throughout history devised ways and means of using the element of water to their advantage. Rather than only referring to design solutions, the anthropological side of the equation must also be considered – as the historical and societal factors that go hand-in-hand with design and planning. By history, I mean human memory and its projection starting from the “Great Big Thaw” around 20,000 BP to your grand children’s time in about AD 2100 when the present global warming will have thawed the ice caps beyond recognition and increased the earth’s water surface from the present 75 percent to somewhere around 80 percent. With this in mind, I begin with a general survey of water-based towns and settlements might, after which I will proceed to the floating city of Bangkok as a case study of memory and of memory projection.

Five years ago, when I was a visiting professor at Melbourne University, I held classes and studio sessions for diploma and postgraduate students using the topic of floating habitats for planning and design. The theme was made poignant by the fact that global warming and sea rise affected those parts of the world where the majority of the students came from: Southeast Asia and Asia Pacific, including Australasia and Oceania. A sense of urgency was also felt since global warming may be the cause of the increasingly unpredictable and violent weather affecting especially the low-lying areas such as the Irrawady Delta in Burma and the Ganges Delta in Bangladesh. In the latter case, I posed a question to the class: Why, even with predictable annual flooding, do the loss of life and calamities occur year after year when we can design habitats that suit the deluge? In the course of this paper, I will run through examples of water-based communities, from canal towns to settlements built completely on water. The examples are indeed numerous, but perhaps their application today should have been more widespread. Their limited use must be due, in part, to the fact that most people regard them as being too quaint. Because of globalisation, or modernity, which began with the colonial period, standardisation based on Western values became the norm; and this norm is land-based. Buildings have to sit on terra firma, even if it has to be poldered. Colonialism, spearheaded by evangelism, also meant a particular bias against the water element which was seen as potentially calamitous as illustrated by the story of Noah’s Ark. Water can indeed be calamitous as in the Andaman coastal areas when they were hit by the tsunami in 2004 that resulted in 118,000 deaths; in the Irrawady Delta

2

HYDRAULIC TOWNS

There were two types of water-based towns and settlements in history. One is “hydraulic” whereby water is manipulated by dikes, sluices, locks, windmills, norias (giant self-propelled water wheels), and siphons or underground pipes connecting bodies of water and reservoirs. Dutch towns fall under this category. In fact they and the country, the Netherlands, can be seen as one gigantic hydraulic machine constantly pumping

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they exist with, and not against, the forces of nature. They have neither the mechanisms nor the need to control water, for their ingenuity lies in the adaptation of the habitats to the natural hydrology. Instinct, and not planning discipline, plays the key role (3). Aquatic towns and settlements are not only riverine or located on the water’s edge, but are often found to be in the water itself including the sea. In Europe there had been a number of lake settlements with houses on stilts. In spite of the architectural wonder in masonry that you see today, Venice began as such, as the initial colonies were built on the mud flats in the lagoon at the mouth of River Po. In Southeast Asia such settlements still abound. Examples include Kampong Ayer, the old part of Brunei’s capital, Bandar Seri Begawan (Figure 2), and other kampongs or settlements standing in water scattered throughout peninsular and island Southeast Asia, Panyi in south Thailand, a township which anchors itself to a rocky island while spreading out into the sea (Figure 3), and floating villages in Inle Lake in Burma complete with floating gardens. The house on stilts is essentially amphibious in design and function in that it can stand equally well in water as on dry land (Figure 4). It is the same house type that spreads from Southeast Asia to south China and Japan as epitomised in the latter case by two most sacred shrines, Ise and Itsukushima. Famous for the torii gate, Itsukushima is a large complex of wooden buildings on stilts standing in a tidal bay. At low tide they look forlorn on the mud flats, but at high tide life suddenly returns with the complex appearing buoyant and afloat (Figure 5). The Thai equivalent of this dual existence until recently was Bang Li, a township in Suphan Buri Province (Figure 6). Situated in a natural ground depression next to a river, it owed its particular character to two built levels: wooden shops and markets all had upper malls which were linked together like a longhouse, as well as arcades on the ground level. During the dry season, cars used to roam about the streets and the scene was like any other town in the region. As the flood season approached, the inhabitants made preparations. Suddenly, by some incredible instinct, they all moved their belongings and goods on to the second level, and invariably the flood arrived soon after. Cars disappeared discreetly overnight giving way to tumultuous boat traffic as business continued as usual. It was memorable to watch entire markets, barber shops, drug stores, restaurants, and even the town’s petrol station suddenly reappear on the upper level, the latter continuing to discharge petrol, not to automobiles, but to a waiting queue of water-buses and long-tail boats. Sadly, however, all this has become a thing of the past, for the authorities, hell-bent on “modernisation”, have filled in the entire town with soil to the upper floor level and thus destroyed the town’s uniqueness.

Figure 1. Plan of Angkor.

water over dams and dikes while keeping river channels open to shipping so that former seaports, now stranded inland or hemmed in on all sides by polders, remain accessible to the sea. Other civilisations have produced equally ingenious hydraulic systems. The Aztecs, for instance, instituted an intricate system of hydraulic compartments around Mexico-Tinochtitlan with dikes criss-crossing Lakes Tezcuco and Chalco in Mexico Valley. But in the ancient world none could possibly have surpassed the Chinese hydraulic engineers who in 506 BC started to build the 1,700 km-long Grand Canal linking Beijing to Suzhou and Hangzhou in the south. Numerous canal towns were linked along its path, each with its own urban hydraulic system that connected onto the backbone system of the great waterway. Crossing several rivers, valleys and high grounds, the latter was equipped with numerous locks, sluices, and batteries of norias to feed water onto elevated sections. Manipulation of the water element led to poetry, aqueous imagery and symbolism, the most poignant being the Chinese dragon, the variant of the naga or mythic serpent in Hindu-Buddhist cosmology. But nowhere else would one find the water symbol naga so completely interwoven with urban planning as at Angkor. Capital of the Khmer Empire from AD 900 till its abandonment in the 15th century, Angkor completely controlled its river, the Siem Reap, and used it to feed its urban hydraulic mechanisms and agricultural land to the fullest extent (Figure 1). 3 AQUATIC TOWNS The other type of water towns might simply be called “aquatic”. In contrast to their hydraulic counterparts,

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Figure 2. Kampong Ayer, Brunei. (Photograph Sangaroon R.Kasikorn).

which rest on the ground without being embedded in it. Underneath the houses, hundreds of bamboos are latched as rafts. In addition, each house has four or more wooden poles about 20 m high driven into the ground at the corners. Ropes attached to the house are latched on to these poles which, taken together, present a strange silhouette when the village is viewed from a distance. When the flood comes, the entire community with its houses, shops, a community centre, and dog kennels, is automatically set afloat to the complete indifference of the inhabitants (Figure 7) (4). 4

METAMORPHOSIS IN THE FLOOD PLAIN

Returning to the house on stilts, it can be seen that the same house type, with stylistic variations, proliferates throughout the Asia Pacific region, from island and mainland Southeast Asia to south China and Japan (5). In Siam, due to strong aquatic instinct, albeit inexplicit in the age of automobiles, the stilts are everywhere retained amongst common folk even on high grounds where there is no flooding. The biggest concentration of amphibious homes, however, is to be found in the Central Plain and Chao Phraya Delta where Bangkok is situated. Here the land is low-lying and as flat as the Low Countries with, nevertheless, a slight incline towards the Gulf of Siam. Because of the excessive use of aquifers much of the area, especially in urban zones, suffers from subsidence similar to the Venetian experience. Every year at the end of the monsoon or around November and December, rain water from upcountry makes its way down to the gulf, transforming the entire plain into a shallow

Figure 3. Panyi, South Thailand. (Courtesy John Evringham ©.)

But by far the most original solution for a part landbased and part water-based existence is shown by Tha Khanon, an old village located on a low-lying strip of land stretched along Khirirat River in the southernThai province of Surat Thani. Every year during the monsoon the river overflows its banks and Tha Khanon is flooded up to a depth of 10–20 m. The floods come as suddenly as they recede. The cycle can occur several times during the season and each flood can last a few days or a few weeks. Confronted by this, the inhabitants have devised an ingenious solution to residential design: their wooden houses are built on stilts

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lake. At this juncture the sea level happens to be at its highest so that drainage of the plain becomes halting and slow. Also impeding the natural flow of water is the modern city of Bangkok, a gigantic landfilled area with roads and highways built up to 2–3 metres above grade and radiating out like tentacles. Other mega-infrastructures, such as the new airport, act as additional blockages to the natural hydrology. In historical time, the old Bangkok adapted itself perfectly with its environment. Founded circa 1557 and the capital of Siam from 1782, it consisted of houses on stilts along the banks of the river and the network of canals which still covers the entire plain. But what made the city unique in the history of urbanism is that it was basically a floating city. In the mid-19th century it was estimated that of its population of about 400,000, around 350,000 people lived in floating houses (Figure 8) (6). The latter were concentrated in the Chao Phraya which meant that the city centre, in terms

of the population density, was the river itself. During the flood season the river and canals overflowed their banks and the city became alive with festivities, boat traffic and water ceremonies, the grandest of which was, and remains, the royal barges procession. Bangkok’s metamorphis from water-based to landbased city was complete by the 1960’s with the filling in of canals and buildings on the ground. Instead of being a joyous season, flooding, which then covered the city, became the period of calamities. However, in recent time city engineers and irrigation experts, spurning the previous aquatic lifestyle, have decided to confront nature head-on. Dams, locks, flood walls and numerous pumping stations were built to keep the city dry. The result, in addition to the natural flow of water being additionally impeded, is tantamount to disbanding boat traffic. The exception is for shipping in the Chao Phraya and a semblance of paddling in some canal sections which are preserved as floating

Figure 4. House in Ratchaburi Province, south-east of Bangkok. (Courtesy Rutai Chaichongrak ©).

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markets for tourists. Many of the remaining canals have become no more than polluted open drains, while flood walls effectively destroy riverside or canal-side communities (Figure 9). Together with the authorities who perceive the floating houses as being primitive, the intelligence and charm of the aquatic culture are being fast effaced (7). With the flood walls, one is reminded of Taipei, a river city where people never see the river. As one walks from down-town towards the river, one comes to a 6-metre high Berlin-like wall separating the city from its waterfront. As far as the people of Taipei are concerned, the river does not exist. One is tempted to compare this with the solution in Shanghai where the 4-metre high dike, or the Bund, hides the view of the river from the street level. There, at least, the dike is made into a broad promenade with quay-side restaurants, gardens and other public amenities so that it has become an attraction for Shanghai’s famous waterfront. For Bangkok, a combination of different solutions may be the answer, including relegating the flood barrier to the back lanes running parallel to, but at a little distance away from, the waterways. In this way, communities along the banks can once more relate to the waterfront (Figure 10). For the time being, city engineers seem to have the upper hand. Flooding in Bangkok’s down-town is under control although the outlying districts might be under water. Without any systematic poldering and with only the perseverance in pumping, life carries on as usual in the inner city area, oblivious to the annual inundation around it.

Figure 5. Itsukushima at high tide.

Figure 6. Bang Li, Suphan Buri Province, Thailand.

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Figure 7. Tha Khanon, Surat Thani Province, Thailand.

Figure 8. Floating houses in old Bangkok. From Paul Bonnetain, L’Extrême Orient, Paris, 1887.

5

BANGKOK’S SECOND METAMORPHOSIS

model which entails a packed mosaic of polders with a corresponding network of canals. Outside the diked areas landfill would not be permitted and a return to the aquatic way of life would be encouraged with legislation, tax incentives and “model” projects initiated by the government. It means a return to towns and settlements built on concrete pilotis after the example

To avoid unnecessary blockages in the draining path of the flood plain, polders in the form of simple ring roads can be built for the existing urban and industrial areas and their projected expansion. This would be a loose collection of diked areas in contrast to the Dutch

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Figure 9. Flood wall along Chao Phraya River. (Courtesy Bangkok Post).

Figure 10. Proposal by the author to use back lanes running parallel to but at a distance from waterways as flood barriers.

of Bang Li. In very low lying areas or marshland near the sea, houses on rafts or ferro-cement pontoons might even apply after the solution shown by Tha Khanon.

Bangkok, already a mega city of some 12 million people including the environs, will probably double its population before it begins to level off (Figure 11). In so doing, it expands inland destroying agricultural

39

areas in its path. Clearly then, the direction of growth has to turn around, and there is only one such direction: towards the Gulf of Siam. At this point another urban metamorphosis is envisaged, one which leaves its land-based premises for one based on water. Human settlements would then spread into the gulf with structures on concrete pilotis in shallow waters and floating communities further out in the sea (Figure 12). The capital region in this scenario may look like Kenzo Tange’s project of 1960 to extend Tokyo-Yokohama into Tokyo Bay, while further beyond one would see floating city blocks complete with resorts, marinas, ports, parks and energy islands which harvest energy for the floating communities (Figure 13) (8). None of these ideas are new given the foregoing examples. Besides the floating houses already referred

to, the idea of a floating island – ile flottante – has been proposed in the early 50’s by Commandant Philippe Taillez of the French Navy. A parallel idea was almost put into practice by R. Buckminster Fuller in 1960 when he was commissioned to design a floating city in Tokyo Bay. Known as Triton City, this is a cluster of floating structures each in the shape of a tetrahedron (9). Although the Tokyo Bay project was designed for a population of 100,000, clusters can be added so that the population size can increase ad infinitum. Fuller went further to propose in 1967 a giant tetrahedron float which he called “Tetrahedral City”. It is to accommodate a million people with 100,000 families living on each face of the triangle which is 3.2 km to an edge or 2.3 km high. In this mega structure, big ships can moor inside the hollow so that each city is potentially a seaport or an industrial-cum-port complex. Since the surface of the planet is mostly water, Fuller reasoned that these port cities could be strategically floated around the world for mid-ocean cargo transfer and for inter-distribution of the world’s raw and finished products. More recently other floating mega structures have been proposed including a resort colony and an airport and golf course in Japan (Figure 14). The prognostication for the urban development in the Gulf of Siam involves a time frame of about one hundred years, to around AD 2100, when the rise in global temperature is projected to be up to 5–8◦ C. The Arctic would become a navigable ocean midway through the century and by AD 2100 polar ice would melt beyond recognition. The sea level could rise nearly one meter, at which point several land regions and islands will have disappeared. The Pacific Ocean state of Tuvalu is likely to be the first country to sink completely under the waves and its 11,000 citizens

Figure 11. Bangkok, a city of about 12 million people in 2008.

Figure 12. Bangkok AD 2100 and beyond, a prognostication by the author.

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Figure 13. Energy Island. Proposed design by architect Dominic Michaelis, 2002. (Courtesy Dominic Michaelis ©).

Figure 14. Japanese floating airport and golf course, 1996. (Courtesy The Nation Newspaper, Bangkok).

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the Netherlands and Scandinavia, seem to be a solution. (3) Venice and St. Peterburg are land-based cities transferred respectively onto the mud flats of the Po Delta and the Neva Delta. With their masonary structures sitting on wooden piles, they do not have the hydraulic system, and in the case of Venice, the annual flooding of the Piazza di San Marco has simply become a way of life. (4) Some years ago, a new township was built on a higher ground near by served by a railway station. Most people have since moved away from The Khanon which has now become a dilapidated settlement. Today, in 2008, of the remaining few houses, only three are floatable. Most of the houses are, therefore, subjected to yearly flood damages. For the past 20 years, I have been trying, in vain, to get the authorities to preserve the village in its amphibious integrity and to make it a tourist attraction to generate income. (5) Sumet Jumsai, Naga, Oxford Univ. Press, Singapore 1988 et seq, pp. 80–94. (6) Ibid, p. 169. (7) Based on the Thai Constitution, which is strong on environmental protection, I took the Bangkok Metropolitan Authority (BMA) to court to stop their civil works which impede boat traffic and natural flow of water. Court hearings began in 2006 and its deliberation is expected in 2008. On the philosophical level, it is the question of whether to control or to live and let live with the forces of nature. In the former case, it has to be done with discipline and the sense of planning in terms of centuries as exemplified by the Chinese and the Dutch (and for a while by the Khmers). Southeast Asians, on the whole, would find the hydraulic regime quite alien. Also on the philosophical level, I have been thinking where engineering has gone astray, vis à vis the symposium’s topic. Since engineering grew out of science, and science is inseparable from philosophy, universities should make philosophy (and why not also anthropology?) part of the engineering syllabus. (8) Energy Island, Dominic Michaelis, 10A Newsletter, Summer Issue 2002, Hsin Chu, Taiwan. (9) A 4-equal sided polyhedron, the fourth side being the floating underbelly. However, the actual bouys would be submerged well below the surface turbulence of the sea as in the case of the North Sea oil rigs. (10) Based on the preliminary findings of a study by the Office of Environmental Planning and Policy, and the Thailand Environment Institute, 2002. But the IPCC 3rd Assessment, 2001, gives the sea level rise of 1990–2100 as between 0.09 m and 0.88 m at the high end. A 0.30 m rise in sea level

have already, in fact, started an exodus to New Zealand. In the Gulf of Siam, Bangkok and several towns and communities will be well under water (10), the latter case being aggravated by the subsidence already mentioned. Logically then, the future of the capital region must depend largely on floating urban units. Oddly enough it would mean a re-creation, on a larger scale, of the 19th century floating city of Bangkok, unique once more in the world and in harmony with the latent aquatic instinct of the people. 6

CONCLUDING REMARKS

In the survey of water towns, I have divided them into two categories: hydraulic and aquatic. They represent the two mental attitudes towards nature; one is to control it, the other to live with it. The solution, as in anything else, is not either/or, but rather a combination of the two. My delving into the case of Bangkok with its floating habitats, in the past as well as for the future, shows the universality of this particular solution. The parallel development of floating housing estates by MVRDV architects in Holland in a dismantled polder; the house boats of downtown Sausalito near San Francisco; the floating homes in Flager Beach, Florida; and the floating homes in Victoria Bay, Canada, to mention a few examples, are encouraging. In addition, I was recently encouraged by a project put forward by students at Harvard who “welcomed the river” with its floods through a town which would then survive by having emergency floating modules (11). The Noah Ark syndrome is of course inferred. Had I been doing the critique, I would have made the students go beyond the syndrome and make the emergency modules non emergency, that is, to make them sustainable, amphibious units after the example of Tha Khanon. With what I have tried on my students at Melbourne University and with the topic becoming global, it occurs to me that now is surely the time to build a degree course on Amphibious Architecture and Planning.

NOTES (1) This paper is a sequel to the unpublished “Le Chao Phraya delta dans les territoires de Bangkok”, presented at the International Symposium “Fleuves de villes”, Hôtel de Ville de Paris, 20 March 2003. (2) The traditional Dutch solution, poldering, can only be partially applied given the cost and the absence of the hydraulic history and organizational background of the people. The traditional Thai floating habitats and amphibious architecture, reinterpreted by the young architects in

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cultural traits which go back to the origin of civilisation in the region. 3. In the past two decades, the author has presented a number papers on water towns and Bangkok, amongst which: (1) Aquatic Bangkok – From 1550 to the year 2000 and Beyond, in Aquapolis, Venice, March-April 1992. (2) Floating City and Water Transportation – A Scenario for Bangkok in AD 2100, Pacific Economic Cooperation Council, APEC, Christchurch, New Zealand, April 2001. (3) Bangkok the Floating City, key-note address, The International Symposium and Workshop entitled Modernity, Tradition, Culture, Water, Faculty of Architecture, Kasetsart University, Bangkok, October 2002. (4) Water Towns : an evolutionary perspective, keynote address, International Workshop entitled Waterbased cities : Planning & Management, Faculty of Architecture, Chulalongkorn University, Bangkok, November 2002. (5) Le Chao Phraya delta dans les territoires de Bangkok, Colloque international Fleuves de Villes, Hôtel de Ville de Paris, 20 mars 2003. (6) Bangkok, the Floating City in AD 2100, lecture at Asia Society, New York, 1 May 2003. (7) Suvarnabhumi (The new Bangkok international airport and the idea of the Aerotropolis in the middle of the flood retention area east of the capital), International Symposium on Suvarnabhumi, Silpakorn University, Bangkok 2003.

would be the result of sea water thermal expansion at the high end of the temperature while the melting of the polar ice would top up the figure. Regional sea levels would of course vary relative to the ever changing land levels. The subsidence of the Chao Phraya River delta due to the depletion of aquifers and natural consolidation of silt would experience sea level rise at the high end of the projection. (IPCC = Inter-governmental Panel on Climent Changes) (11) In Architectural Record, USA, June 2006. REFERENCES 1. International Centre “Cities on Water”. In the past two decades, there has been a great deal of interest on water towns including all types of waterfront settlements and sea ports. With the founding of the International Centre “Cities on Water” in Venice the interest became institutionalised with a venue for exchange and dissemination of information. The Centre publishes the bi-monthly Aquapolis and many books on the subject all of which are important references. 2. Naga – Cultural origin in Siam and the West Pacific, Sumet Jumsai, Oxford University Press, 1988, et seq.; in Japanese, Kajima Institute Publishing, Tokyo, 1992 ; and French edition under preparation. This work treats water towns and settlements in the Asia Pacific area, with a focus on Siam, as part of the overall

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Preserving the hydrology of urban Ghana through implementing integrated water resources management S.N. Odai Civil Engineering Department, Kwame Nkrumah University of Science and Technology, Kumasi, Ghana

ABSTRACT: The hydrology of Ghana’s urban communities is changing very fast with the increasing population, floodplain encroachment, and corresponding pollution of the water environment. In Ghana customary water laws have been implemented over the centuries for water conservation, pollution control, and protection of catchments. However, with the management and development of water resources being undertaken by different government agencies, there was little coordination and control thus leading to deterioration of the water environment, especially, in urban communities where the customary laws are considered superstitious. The Water Resources Commission (WRC) was established to manage and protect the country’s water resources, although the Environmental Protection Agency has the responsibility to regulate and monitor activities affecting the water environment. The WRC introduced the concept of integrated water resources management (IWRM) to manage the country’s water resources in a sustainable manner starting with pilot projects. Catchment-wise approach was adapted to the development and management of water resources using tools such as community participation, ecological monitoring, public education, etc., to improve the water environment. The results from a pilot study in the Densu Basin show that as public awareness increases, water quality is improving gradually, and citizens are acknowledging the importance of not settling too close to riverbanks. Keywords:

1

Customary water laws; Ghana; IWRM; urban hydrology; urban water bodies

INTRODUCTION

urban basins profoundly influences streams and their biota (Konrad and Booth 2005). Urbanity has generally evolved around reliable sources of water to meet the immediate needs of humans. However, the increasing urbanisation along water bodies is accompanied with immense challenges both for the water environments and the communities depending on this important resource. The main challenges are land encroachment leading to changes in water quantity and quality and disposal of untreated waste into the water bodies. Due to the increase in impervious surface area in urban areas, water is not able to infiltrate through the soil, resulting in an increase in the speed and intensity of surface runoff. The increase in runoff is the main cause of major flooding incidences during the rainy seasons, and gives rise to droughts during the dry season. Rapid urbanisation has also had great impact on the quality of urban water bodies. Most water sources are becoming receptacles for solid and liquid wastes. In some urban parts of Ghana, communities close to water bodies pile heaps of solid waste along streams as “dikes” with the intention of preventing flooding. However these “dikes” are “mobile” so during the rainy seasons, they block the stream and end up in the surrounding houses, compounding their woes. Most

Reliable water bodies form the main nerve system of the hydrology of any community. Streams and rivers have naturally served as the relief of catchments, by quickly draining stormwater away from higher lands. Historically, perennial water bodies have encouraged the changing from nomadic way of life to sedentary type. Early settlers along streams found reliable water for domestic, irrigation, and animal watering purposes. Most of these settlements experienced the springing up of industrialisation bringing about more employment and increased population. This led to most urban communities around the world developing along perennial water bodies. As these communities urbanised water bodies became more important as sources for water supply and as a means of transportation for shipping of agricultural and industrial cargo. Presently most urban water bodies also serve as good sources of recreation: fishing, boating and tourism. Urbanisation is not a single condition (Booth et al., 2004); instead it is a collection of actions that lead to recognisable landscape forms and, in turn, to changes in stream conditions. No single change defines urbanisation, but the cumulative effect of human activities in

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have adapted catchment-wise approach as against specific river approach to the development and management of water resources using tools such as community participation, ecological monitoring, public education, etc., for managing the resource. The current discussion is based on review of reports presented on the pilot study being carried out in the Densu Basin by the WRC. The results from the on-going pilot study show that public awareness is increasing, water quality is improving gradually, and citizens are acknowledging the importance of not settling too close to riverbanks.

communities also do not have access to sewerage systems and, therefore, raw sewage is sometimes directly emptied into the streams. Thus the hydrology around which the urbanisation is developing is gradually being annihilated by the very people it supports. In Ghana, these challenges are immense and are sometimes considered to be related to the laws for the utilisation and protection of water sources. A few researchers (Opoku-Agyeman 2001, Sarpong undated, OdameAbabio 2003, Abrahams and Ampomah 2005) have worked on how customary water laws have been practised in Ghana and their impacts on communities in the past and the present. The current paper greatly benefits from review and discussion of these publications. According to Opoku-Agyemang (2001), customary water laws and practices in Ghana have existed over the years and covered the areas of water conservation, pollution control, protection of catchments and protection of fisheries. Kinship, reverence for ancestors and belief in the spiritual power of the earth combined to give land tenure and customary environmental protection their peculiar character. The people in the various communities believed in deities and river gods. People were forbidden to hunt or fish and even farm at certain periods and on certain days. People were forbidden to farm along riverbanks which were considered the resting place of the river gods and their children. The concept of forbidding natives from using riverbanks for farming and as their abode was so useful that there was always adequate space left on the riverbanks which functioned as floodplains. These customary laws were enforced through sanctions and punishments usually dictated by the fetish priest or priestess. These beliefs have been handed down generation after generation and helped the shaping of water conservation and management for present use and for future generations. In fact this concept is the basis on which sustainability in environmental issues is built. However globalisation and the shunning away of the so-called “superstitious beliefs” of customary water laws in many urban communities are major challenges for Ghana. Thus citizens who once would not dare pollute water bodies or overexploit these resources for fear of the river gods or their ancestors, now contravene all the ancestral customs regarding water conservation and pollution without any remorse. In many cases we see the realisation of the tragedy of the common as described by Harding (1968) being lived right in our communities. The Water Resources (WRC) was established in 1996 to coordinate the management and protection of the water resources of Ghana, with the Environmental Protection Agency (EPA) being responsible for regulating and monitoring of activities affecting the water environment. The WRC is using the concept of integrated water resources management (IWRM) to pilot management of the country’s water resources. They

2 2.1

EVOLUTION OF WATER RESOURCES MANAGEMENT IN GHANA Customary water law

Water resources management has been a customary part of the Ghanaian society as almost all present urban communities evolved along water bodies. These areas traditionally used water for domestic purposes, irrigation, watering of animals and for fishing. To conserve water, reduce conflict, and encourage equity, customary water laws and practices in Ghana had evolved over centuries and typically covered the areas of water conservation, pollution control, protection of catchments and protection of fisheries (Odame-Ababio, 2003). Even though the earth was regarded as possessing a spirit, the ancestors were believed to be the immediate spiritual custodians of the land and its resources. It was believed that it was the ancestors, on behalf of the earth deity, who constantly kept watch to see that the land and its resources were judiciously used (Opoku-Agyeman, 2001). When two or more communities located close to each other use a common source of water, they normally agree on a spot where they may go to collect water for domestic use. For the sake of preventing water pollution, the use of utensils for fetching water is regulated by rules determined by the competent local authority, usually fetish priests and priestesses (Sarpong undated). Earthenware and calabashes are usually the prescribed or acceptable vessels for fetching water. The drinking part of the river is often located upstream from the swimming or bathing part or the part reserved for watering animals. Violation of these rules in a community is an offence punishable by fines – in monetary terms or in kind – payable to the local chief or the priests or priestesses. These laws were enforced through various sanctions usually dictated by fetish priests and priestesses. Sarpong (undated) notes that apart from using fines, religious and customary beliefs also served as potent sources of ensuring compliance with customary rules on water usage and protection. Thus the pronouncements of priests and priestesses, as part of customary

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Water Research, Environmental Protection, Forestry, and Minerals. Traditional chiefs, NGOs and women are represented in order to take care of civil society interests. The WRC has not been able to address all the different actors in the sector using water.The same holds true for the integration of traditional authorities in projects and government programmes. In a study conducted in the rural parts of the Volta Basin, van Edig et al. (2003) notes that, it was the traditional institutions – chiefs, religious leaders or lords of the land – who controlled the physical and spiritual protection of water bodies, often in cooperation with the local assemblymen. The WRC is aware of the central position of traditional authorities in the protection of water bodies, but has adopted a dual policy on this issue. The WRC acknowledges that customary law and practices in Ghana have existed over the years and cover the areas of water conservation, pollution control, protection of catchments and protection of fisheries, and it attaches great importance to the accomplishments traditional authorities have made in these areas and wishes to make use of their enforcement power and local legitimacy as far as possible. On the other hand, the WRC plans to seize the water rights from these traditional authorities, without consultation with them or compensating them for potential revenue losses. Van Edig et al. (2003) notes that in the absence of efficient state monitoring and local enforcement agencies, the WRC is counting on the work and cooperation of traditional authorities, while simultaneously weakening their position and powers. They further noted that given the current realities, the dual policy of the WRC towards traditional authorities seems risky, since it is their cooperation, and not displeasure, that is needed. It will be expedient to provide incentives for traditional institutions to cooperate with the WRC. However, WRC’s policy of neglecting traditional practices of water rights allocation and water protection, which is backed by the current rule of law, provides disincentives for cooperation by diminishing the chiefs’ responsibilities and ability to collect funds. The chiefs occupying a constitutionally defined space in the Ghanaian political system could be important partners of the WRC at the local level for protection of the hydrology as they have done in the past. This kind of cooperation is what will help the WRC succeed in implementing IWRM to save the urban water bodies.

beliefs, were carefully adhered to, and disobedience of such decree, had serious consequences including death for the offender. Colonisation and the advent of the modern state also replaced the powers of local chief with that of the Governor and subsequently the executive after independence; and laws or ordinances enacted or imposed by the colonial power or by the legislature have replaced traditional customary decrees propounded by fetish priests and priestesses. So by and large, customary law as a basis for the enforcement of norms on the management and usage of water has become insignificant, and is honoured by its observance only in the rural communities (Sarpong undated). 2.2 Water sector reforms Since the late 1980s and early 1990s, the water sector in Ghana has undergone various reviews. These reviews enabled the government to undertake a number of reforms.A major milestone event towards reforming water resources management was the Water Resources Management study that was initiated in 1996 and carried out through consultative workshops with the participation of a broad spectrum of stakeholders in the public and private sectors, women’s representatives, researchers, media personnel and the general public. The Water Resources Management study gives an overview of the major water resources issues. The recommendations presented in “building blocks” reports take a cross-sectoral perspective, identifying common issues and strategies that will promote an integrated approach to water resources management. The findings and recommendations of the Water Resources Management study provided the elements to set up an institutional framework for IWRM on a sustainable basis rather than a fragmented approach. 2.3 The Water Resources Commission and Traditional Customary Laws In 1996, a significant step was taken by government to address the diffused state of functions and authority in water resources management and to put them into an integrated form. The Water Resources Commission (WRC) was established by an Act of Parliament (Act 522 of 1996), with the mandate to regulate and manage the country’s water resources and coordinate government policies in relation to them. The commission is comprised of the major regulators and users in the water sector, and provides a forum for the integration and balancing of different interests. The composition of WRC is made up of technical representatives of key institutions involved in water utilisation and water services delivery, i.e. Hydrological Services, Water Supply, Irrigation Development,

3 WRC PILOT PROJECT FOR IMPROVING THE HYDROLOGY OF URBAN STREAMS Since its establishment, WRC has developed strategies for the management of water resources in Ghana and to save urban water bodies. As part of these strategies, two river basins have been selected for pilot studies.

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Figure 1. Map of Ghana showing the Densu Basin and the Weija dam site.

the basin was also characterised by accelerating land degradation, resulting in increased erosion and subsequent siltation of the river channel and flooding downstream. This further developed into a situation of occasional water shortages in an otherwise perennial river system. The Densu Basin was thus selected by the WRC for a pilot study applying the concepts of integrated water resources management in order to improve the water environment of the Densu River. The catchment-wise approach is to ensure source control of activities that will otherwise have negative impact on the river system. This water management strategy was chosen in order to involve the community to improve the quantity and quality of the water resources. The Commission subsequently introduced an IWRM programme for capacity building, participation and public awareness strategies, regulations, and water resources planning within a decentralised IWRM institutional framework. Some of the specific challenges facing urban streams are discussed below in relation to the pilot project. Land Use and Floodplain Encroachment. Encroachers occupy riverbanks and flood plains by erecting structures and distracting the flow of urban water bodies. Streams are forced not by planners and engineers but, by inhabitants into narrow channels, in order to make available more land for construction and sometimes farming, hence frequent overflow and inundation of adjoining lands. These uncontrolled and unplanned residential and industrial infrastructure developments,

These are the Densu basin in the south, which is a major source of potable water supply to parts of Accra, the national capital; and the White Volta Basin in the north, which is shared with neighbouring Burkina Faso. The current discussion is based on review of reports presented on the pilot study being carried out in the Densu Basin. 3.1 Challenges facing urban streams Urban streams are greatly abused on large scales due to the immense size of the populations and the activities of industries in these communities. Problems posed by the surrounding communities on the water resources of the Densu River are revealing. The water of the Densu River serves so many urban communities in the southern part of Ghana. Apart from supplying water from its Weija reservoir to the about 500,000 people living in the western parts of Accra, it is a major source of water supply to the urban settlements of Koforidua, Suhum, and Nsawam with a combined population of about 150,000. The Densu River was extensively polluted and noted for its water quality deterioration. It served as a receptacle for the dumping and discharges of untreated urban domestic and industrial wastes, and leachates from agro-chemicals used by commercial farms. The contaminated water flows from smaller urban communities upstream to major urban communities downstream. Abrahams and Ampomah (2005) note that

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Figure 2. Urban stream suffering from encroachment and pollution.

who drink the river water as well as those who consume fish harvested from the river. It was mentioned by the participants in the focus group discussions that the nature of the operations of, particularly the chemical fishers, makes the enforcement of these laws difficult. There is the fear of being harmed by perpetrators should they be reported. It was mentioned that those who poison the river do it upstream and sometimes in obscure conditions (during the night). It was mentioned that the enforcement of the laws is poor because of low staff strength and low motivation of the joint patrol teams. Use of Fertilisers and Pesticides. The use of chemicals by farmers upstream affects the water resources of urban communities downstream. These pose problems to the water bodies when they are washed into surrounding streams and rivers, leading to eutrophication and salinity of surrounding water bodies. Drying up of streams and rivers. Recent indications are that some of the tributaries of the Densu River stop flowing entirely during the dry season, while experience frequent flooding during the rainy season. In a focus group discussion with inhabitants in parts of the basin, they confirmed the drying up of the tributaries of the Densu River and streams and attributed it to activities of people within the watershed. Nevertheless some participants gave “spiritual” explanation – indicating the gods registering their displeasure. Stone Quarry Operations. The activities of stone quarry operators especially near the Weija reservoir

most of the time illegal and encroaching on the natural floodplains of rivers, have been encouraged by the land tenure system in Ghana. The lands are owned by families and chief, while the ownership of the water resources is vested in the president for the people of Ghana, with WRC playing caretaker/management role. This dual system makes water management and protection the WRC sometime an impossible task. Farming activities very close to rivers. It was observed in the Densu Basin that many farmers, especially those engaged in vegetable crop production farm less than 50 metres away from the riverbank which is supposed to form part of the floodplain. Legally, farming close to river channels is not an offence in Ghana. Hence, the WRC is collaborating especially with the Ministry of Agriculture to educate farmers on the need not to farm close to rivers since vegetation on the banks serves as a protective covering and must not be cleared. This issue was taken care of in the customary water law by propounding that the river gods and their children occupied the riverbanks hence no farming or developments within that vicinity. Use of Chemicals for Fishing. During focus group discussions in most of the communities visited, it was mentioned that occasionally, schools of dead fish are seen floating in the river. This is suspected to have resulted from chemical fishing. All the communities blame this on activities of communities upstream but not in the immediate locality. The respondents are aware that these chemicals could be fatal to people

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Figure 3. Stone quarrying activities at Weija dam site.

away by the flood and they end up in houses and block the river flow. 3.2

Strategies for IWRM implementation

In the presentation below, Abrahams and Ampomah (2005) discuss in a report the strategies used to improve the hydrology of urban communities. They discussed the use of awareness creation and education; and collaboration with stakeholders on land use issues and other strategies that helped restore life to the river. Collaboration with Stakeholders on Land Use Issues. There has been diverse collaboration between the Densu Basin Board (DBB) and the WRC Secretariat and some key stakeholder organisations such as the Environmental Protection Agency, District Assemblies, Forest Services Division of the Forestry Commission, Lands Commission, Survey Department, Land Valuation Board, Town and Country Planning Department, Ghana Water Company Limited and the Media to deal with specific issues and cases that were identified as “hot spots”. Such cases that were dealt with related to:

Figure 4. Soilid waste appearing downstream of an urban stream.

are threatening the very life of the dam that supplies water to a substantial percentage of the population of Accra. Part of the rock face side of the Dam is currently being blasted by these quarry operators. If this activity is not halted the dam may collapse from these blasts and this could in turn cause disaster downstream. Waste Disposal. It is interesting to note that some inhabitants living along streams dispose of their wastes in heaps along riverbanks with the intention of building dikes to protect them from flooding. However, during rainy season the deposited solid wastes are carried

•

pollution activities from District Assemblies, communities, farms and industries • illegal and indiscriminate mining activities within and around the Basin • illegal fishing practices or the use of wrong fishing gear • encroachment into buffer zones by residential developers, farms and factories

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implementation period, the Densu Basin Secretariat has organised targeted public awareness activities such as publication and dissemination of IWRM messages and educational materials, and supporting local stakeholders, particularly NGOs and Community Based Organisations, to organise awareness activities in the basin. To date, the Secretariat has been involved in the education of seventeen key communities within the Basin. Additionally, seminars and workshops have been organised for all the eight District Assemblies within the Basin. These interactions have gradually led to the establishment of a strong link between the DBB and the districts towards adapting joint solutions in tackling water resources management issues. Role of women in protecting urban water bodies. Women play vital roles in protecting water resources in the Densu Basin. In response to the perennial water shortages in Koforidua for example, an NGO called Water Ladies was formed. This NGO has been responsible for planting trees adjoining the raw untreated water intake point at Koforidua to protect the water from drying up during the dry season. This action by Water Ladies is understandable for it could facilitate the access of women to water resources especially during the dry season. There should therefore be more programmes and policies directed towards the inclusion of women in managing water resources especially at the local level since women are the most affected when it comes to water issues.

3.2.1 Regulations In focus group discussions undertaken in the basin, it was realised that the following regulations related to water bodies were known to the respondents: • •

• • • •

Chemical fishing (poisoning) is illegal. Erecting of infrastructure, farming close to the river and felling of trees near the river is not advisable. The respondents generally mentioned 15 metre as the minimum they practise. Disposal of waste and/or garbage near rivers is prohibited. Setting of bush fires illegally is prohibited – related to vegetation clearance. Washing of pesticide spray in rivers is prohibited. Pumping of water or abstraction of water from the river channel especially during the dry season is restricted by WRC.

Traditional Customs. Communities have unwritten laws and taboos that are meant to protect the deities associated with the rivers and also to regulate the use of resources in the watershed in an acceptable manner. These traditions and customs include: •

Do not work in the farm near the river on certain days. • Do not make sources of drinking water unhygienic. This extends to washing of clothes in water bodies, bathing in water sources, swimming in shallow waters among others. • Prohibition of women in their menstrual period from crossing rivers. • Removal of foot ware when crossing a river.

3.3 Achievements and impacts of implementing IWRM in the Densu Basin

About 70% of the focus group discussion participants were of the view that most of these laws are not practical in modern times especially with the domination of the Christian religion over the traditional religious beliefs. However, few of the participants from the traditional council were of the view, that though such laws are presently not given strict enforcement, those who flout such laws get their “spiritual” punishment. Law enforcement in communities. Each community has their own hierarchical structure and a complex relation to the external agencies with potentials and weaknesses. The core of this structure is based on the chief with the traditional council, the assemblyman and the unit committee. Their main role is to ensure that people do not engage in illegal activities within the watershed. 43 out of the 85 respondents indicated that they are involved in watershed management because they can report illegal activities to the traditional council. Also, they advise people against engaging in illegal activities within the watershed. Awareness Creation and Education. Public awareness and education campaign was identified as one fundamental solution that helped to improve the ecological health of the Densu River. During the relatively short

Abrahams and Ampomah (2005) mention that as a result of the concrete activities so far undertaken in the Densu Basin, favourable and significant ecological and environmental changes have been realised. Such realised ecological changes include: •

51

General improvement in the raw water quality especially at the downstream of the Basin. Ghana Water Company Limited has indicated the reduction in the cost of treating water to the population, especially the western parts of Accra. WRC in 2003 adopted the Water Quality Index (WQI) to facilitate comparison and to classify to which extent the natural water quality is being affected by human activities. Water Quality Index is unit-less number ranging from one to hundred (1-100). A higher number is indicative of better water quality. The methodology incorporates selected key physical, chemical and microbiological determinants and then aggregates them to calculate a WQI value at a specific water quality monitoring/sampling station. The adopted WQI used in assessing the state of the river systems in Ghana is explained in WRC (2003).

Table 1.

of water resources has been instituted by an NGO, which is increasing the enthusiasm of youth organisations in the basin.

Criteria for classification of surface waters.

Class

WQI Range

Description

I II III IV

>80 50–80 25–50 150 m) around 1.44–12.48 m/year. Based on the available data concerning the utilization of groundwater in Greater Bandung, the amount of groundwater extraction has increased rapidly (Figure 1). Moreover, the excessive groundwater extraction has created land subsidence of about 52 cm/year (Figure 2) during last 20 years. Major groundwater abstraction has been done in CibeureumLeuwigajah, Dayeuhkolot-Moh.Toha, Rancaekek and Majalaya areas. Based on data from year 2004, the rate of reduction in groundwater level is shown on Table 3. 2.1.2 Rainwater Rainwater is valued for its purity and softness. It has a nearly neutral pH and is free from disinfection by-products, salts, minerals, and other natural and man-made contaminants. But only 5% of rainwater infiltrates soil in Greater Bandung; the remaining rainwater become runoff in rivers and impervious areas. The average rainwater intensity in Greater Bandung is 2500 mm/year; the average rate of evaporation is 3.18 mm/year; the average air pressure is 917.7 mb/year; the average relative humidity is 77.3%. In 2002, the majority of households in Indonesia utilized groundwater for domestic water use such as drinking, washing, and cooking. Based on data

2.1.3 Surface water Greater Bandung is comprised of 9 major rivers and many surface water resources such as reservoirs and well springs. There are three major reservoirs: Cirata Reservoir, Juanda Reservoir, and Saguling Reservoir. They have several important functions, providing electricity, flood control, irrigation, recreation areas, water supplies (industrial and household) and aquaculture. The total area of all retention basins in Greater Bandung is 7.805 ha. The retention basins are: Cibatarua retention basin (capacity 7.5 × 106 m3 ), Cipanunjang retention basin (capacity 22.4 × 106 m3 ), and Cileunca retention basin (capacity 11.3 × 106 m3 ). Several retention basins are planned to be built to meet the water demand in Greater Bandung, such as Santosa dam (planned capacity 21.07 × 106 m3 ), Ciluenca dam (planned capacity 11.3 × 106 m3 ) and Cikalong micro pool (capacity 102,207 m3 ).

3

RESULTS AND DISCUSSION

62.5% of available water will meet water demands during 2005. It was estimated, that water demand in 2025 will be 73.455 m3 /second or 2.316 × 109 m3 /year. This means that water demand in the future is higher than the average water availability of 2.17 × 109 m3 /year. Therefore there is a deficit of 0.146 × 109 m3 /year or 4.6 m3 /second. To cover the deficit, there are several facilities offering rainwater-harvesting and retentions basin designs. 3.1.1 Rain barrels Rain barrels are a low-cost retention facility placed below roof downspouts to collect water during storms. Although rain barrels offer no primary pollutant removal benefits during collection times, they are

100

Groundwater extraction volume (million m3)

Total wells

90

3000

2500 70 60

2000

50 1500 40 30

Total wells

Groundwater extraction volume (million cubic metre)

80

1000

20 500 10 0 1900 1910 1920 1930 1940 1950 1960 1970 1976 1985 1988 1990 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003

0

Year

Figure 1. Registered groundwater extraction in Greater Bandung from 1990 to 2003 (Abidin et al., 2006).

20 18 16 14 12 10 8 6 4 2 0

50 40 30 20 10

Ujungberung

Rancaekek 2

Rancaekek 1

Majalaya

Dayeuhkolot

Cimahi

Bojongsoang

0

Land subsidence rate (mm/month)

Total land subsidance (cm/year)

60

Banjaran

Total land subsidence (cm/year)

Land subsidance rate (mm/month)

Locations

Figure 2. Land subsidence condition in Greater Bandung (Abidin et al., 2002).

required to control and to reduce the cumulative effects of storm water on downstream systems. The total rainwater yield is calculated as follows: Total Rainwater Yield = Roof Area × Annual Rainwater × 0.9 Taking 100 m2 for roof area so the total rainwater yield = 100 m2 × 2.5 m × 0.9 = 225 m3 /year or 7.13 × 10−6 m3 /second. It is predicted that the roof area of 6.5 × 107 m2 is required to cover the deficit of water demand using rain

barrels in 2025. The total area of Greater Bandung is about 2.33 × 109 m2 , so it requires 2.8% of available roof area to harvest rainwater using rain barrels. Since it is estimated that in 2025 the population of Greater Bandung will be 11,382,200 persons, with the average household size of 5, there will be a demand for 2,276,440 households. If each house has a rain barrel facility with the capacity of 10 m3 (10,000 litres) for six months, the rainwater volume harvested would be 2,276,440 × 10 m3 – or 22,764,400m ˙ 3 per six months, 3 1,464 m /second. This means that if using rain barrels only about 31.83% of the water necessary to cover the water demand deficit would be harvested in 2025. A rain barrels consist of three basic elements: a collection area, a conveyance system, and storage facilities. The collection area in most cases is the roof of a house or a building. A conveyance system usually consists of gutters or pipes that allow rainwater to flow from the rooftop to cisterns or other storage vessels. Both drainpipes and roof surfaces should be constructed from inert materials such as wood, plastic, aluminium, or fibreglass through chemical process, in order to avoid adverse effects on water quality. The water is stored in a storage tank or cistern, which should also be constructed from an inert material, such as Reinforced concrete, fiberglass, or stainless steel. Storage tanks may be constructed as part of the building, or may be built as a separate unit located some distance away from the building. Figure 3 shows a

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Table 3.

Rate of groundwater level lowering.

Rate of groundwater level lowering (metre/ year) 3.11–5.12 1.27–4.32 1.61–3.10 1.63–2.12 0.32–3.9 0.89–4.57 0.38–1.6 0.52–3.85

Table 4. 2006).

Area

Land use

Cibaligo, Leuwigajah, Utama, Cimindi Pasirkaliki, Garuda, Cijerah, Husein, Buahbatu, Cibuntu, Maleber, Arjuna Dayeuhkolot, Kebonwaru, Gedebage, Kiaracondong Cicaheum, Cipadung, Ujungberung Majalaya Pameungpeuk, Banjaran, Ciparay, Soreang, Katapang Cikancung, Cikeruh, Cimanggung

Textile Industries area Residence, Commercial area

Textile Industries area Residence, Industries area Residence, Industries area Residence area

Surface water in Greater Bandung (Sachromi,

Major rivers:

Well springs:

Major reservoirs

Cisangkuy Cikapundung Cikeruh hulu Citarik hulu Citarum atas Ciwidey hulu Cimahi Cibeureum

Sirah Cijagra Cigalumpit Tarantang Citamiang Cikareo

Saguling Cirata Juanda

Table 5.

Residence, Industries area

Rainwater yield.

Roof area (m2 )

Rainwater yield (m3 /year)

100 200 300 400 500 600 700 800 900 1000

225 450 675 900 1125 1350 1575 1800 2025 2250

Figure 3. The typical design of rain barrels.

schematic of rain barrel facility that can be applied in Greater Bandung. 3.1.2 Wetlands or micro pools Greater Bandung has a potential topography that allows wetlands or micro pools to be constructed. 15 wetlands with the capacity of 10000 m3 /year or 146000 micro pools with the capacity of 1000 m3 /year are needed to address the deficit of 0.146 × 109 m3 /year or 4.6 m3 /second in 2025.

Figure 4. Typical design of wetland or micro pool facility.

3.1.3 Infiltration trenches Based on previous research, if each household in Greater Bandung has one infiltration trench facility,

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Figure 5. Typical design of infiltration trench facility.

conditions and site objectives, including: the soil permeable condition, space requirement, the height of water table, the slope and the socio-economic conditions of the residents. They can be applied at schools, residence area, industries area, commercial area, and other public area in Greater Bandung. • Incorporating rainwater-harvesting and retention basins design into water and urban development paradigms offers a viable solution that not only reduces flood risk and conserves water, but also improves the overall water quality of water available.

the average infiltration trench capacity would be 3 m3 /day. The design volume of infiltration trench is 450 m3 for 200 persons with 225 m2 infiltration area (width 7.5 m; length 30 m; depth 3 m). Therefore, it requires 12804975 m2 of infiltration area. Infiltration trenches has some major advantages, such as the ability to remove fine sediment, trace metals, nutrients, bacteria, other organics, reduce local flooding or volume of runoff, and provide groundwater recharge. This facility is appropriate for small sites. 4

CONCLUSIONS

•

Rainwater harvesting and retention basins facilities are appropriate to be applied in Greater Bandung to cover 0.146 × 109 m3 /year of water demand in the future. • The design of rain barrels, wetlands or micro pools and infiltration trenches depend on typical

REFERENCES Abidin H. Z., Andreas H., Gamal M., and Darmawan, D. (2006). Land Subsidence Characteristics of Bandung Basin (Indonesia) between 2000 and 2005 as Estimated

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from GPS Surveys. Shaping the Change XXIII FIG Congress, Munich, Germany, October 8–13, 2006, 1–16. Directorate General of Water Resources Development (1997). Upper Citarum Basin Urgent Flood Control Project, The Study on Review of Flood Control Plan, Technical Report Vol I, Indonesia, 5–10. Jayamurni (2006). Kebutuhan Air Baku di Cekungan Bandung Tahun 2025 (Water Demand in Greater Bandung on year 2025), Technical Report for Hydraulics Engineers of Indonesia meeting, Bandung, Indonesia, 2–4. Legowo (2006). Pemenuhan Kebutuhan Air Baku di Cekungan Bandung Tahun 2025 (To Fulfill Water Demand in Greater Bandung on year 2025), Technical Report for Hydraulics Engineers of Indonesia meeting, Bandung, Indonesia, 1–5.

Low Impact Development Design Manual (1999). Prince George’s County, Maryland, USA. http://www.epa.gov/ OWOW/nps/lidnatl.pdf Puget Sound Action Team (2005). Low Impact DevelopmentTechnical Guidance Manual for Puget Sound. http://www. psat.wa.gov/Publications/LID_tech_manual05/ Sachromi, D. (2006). Penataan Ruang Metropolitan Bandung. Bandung Urban City Planning, Technical Report for Hydraulics Engineers of Indonesia meeting, Bandung, Indonesia, 2–5. The Texas Manual on Rainwater Harvesting (2005). Third edition, Austin, Texas, USA. http://www. RainwaterHarvestingManual_3rdedition.pdf

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Urban waterfront development patterns: Water as a structuring element of urbanity Bijaya K. Shrestha Department of Urban Design and Conservation, Khwopa Engineering College, Bhaktapur, Nepal

Sushmita Shrestha Department of Architecture, Khwopa Engineering College, Bhaktapur, Nepal

ABSTRACT: The phenomenon of mixed-use, large scale, waterfront development, constructed on reclaimed land, in close proximity to the Central Business District (CBD), and implemented under public-private partnerships, is evident around the globe. Water is taking on a new structuring role in the urban environment after many years of neglect and separation – often due to the intensive and damaging processes associated with industrialisation – and former industrial land are being reclaimed by both public and private interests. A detailed comparative study of three prominent waterfront projects – Battery Park City (BPC) in New York, Minato Mirai 21 (MM21) inYokohama, and Central Wan Chai Reclamation Project (CWRP) in Hong Kong – reveals some of the successes and failures of waterfront development projects in areas of master plans, rigid, site specific guidelines and regulations, and flexible planning and development control mechanisms that address market conditions, developer’s needs, and the public good independently. In all the cases, the water’s edge has been designed to serve diverse public functions and maximise public access. Keywords:

1

Development control; implementing agency; master plan; public realm; waterfront

REVIEW OF WATERFRONT DEVELOPMENT TRENDS

The urban waterfront and its relation to the city have undergone various cycles of structural change: front door, isolation from the city, deterioration and neglect, and redevelopment. These waterfront transformations, evident in coastal cities around the globe, demonstrate the continuous process that results from multiple forces acting in different ways in different environments. Waterfront, used as a place for production and transportation in the past, has been transformed as a recreational and visual resource in the post-industrial society. Planning and development strategies of waterfront revitalisation in the USA during the early 1960s has greatly influenced European cities in the 1970s and 1980’s and Asian cities in the late 1980’s and 1990’s. Many waterfront projects have been initiated by private capital and worldwide market economies have resulted in the emergence of an international style in urban design, irrespective of local contexts. Transfer of development strategies or policies without properly understanding the broader issues of waterfront change and evolution within the local context has resulted in the loss of unique opportunities

that waterfront locations provide. A comparative analysis focusing on the multiple roles of water in post-industrial societies, and the planning and development process is essential in order to grasp the many issues (and implications) at play in the process of waterfront revitalisation. This paper aims to investigate the role of water in shaping the urban form and project implementation strategy in different parts of world on a comparative basis with four key objectives. First, it presents the project background of each case namely Battery Park City (BPC), New York, Minato Mirai 21 (MM21), Yokohama and Central Wan Chai Reclamation Project (CWRP), Hong Kong, (Figure 1) and builds an analytical framework. Second, it positions water as an urban design element capable of structuring reclaimed land and integrating it with its surroundings. Third, it compares and contrasts the local design and development processes, planning legislation and development controls devised to translate those urban design parameters from master layout plan to ground layout, including strategies taken by implementing agencies in each case on a comparative basis. Finally, it draws some conclusions to help plan, implement and evaluate future waterfront developments.

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Figure 1. Location plan of urban waterfront development projects in different countries. Table 1.

Project BPC MM 21 CWRP

Comparative study of land use program and development period.

Total area (ha)

Com., res., offi, etc.

Roads & railway (ha)

Parks & open spaces (ha)

Port fac./ water basin (ha)

Dev. period (yr.)

Budget

37.4 (100%) 186.0 (100%) 122.7 (100%) (3 cells)

18.9 (51.0%) 87.0 (46.8%) 37.9 (30.8%)

7.2 (19.0%) 42.0 (22.6%) 54.1 (44.2%)

11.3 (30.0%) 46.0 (24.7%) 29.0 (23.6%)

–

1979-

$4 billion

11.0 (1.4%) 1.7 water basin (1.4%)

1983–2000

2 trillion Yen (1983 based) HK$ 18,500 million (mid 1988 based)

1993–2011

Source: BPCA 1979, Yokohama MM 21 1997, Maunsell 1993.

Figure 2. Waterfront development project master plans.

1.1

Urban waterfronts: Project backgrounds

The selected case studies were chosen because they shared the following three key planning and design characteristics: (a) project sites are located adjacent to CBD of post-industrial cities with comparable population and economic development; (b) they have similar and comparable land use programs: mixed use with significant open space such as parks and promenades, office and retail, hotels (Table 1 and Figure 2), and; (c) they are planned on reclaimed land. However,

they also differ in their history of development planning and, the implementation processes carried out by public agencies with different mandates, as well as their respective planning and development systems and socio-cultural and political character. 1.2 Analytical framework Urban design theories often rely on the historical, vernacular and regional allusions for the inspiration of

106

Table 2. An analytical framework comprised of three interrelated elements of waterfront design.

Urban analysis

Detail analysis

Morphological analysis

Analyses of land reclamation (landform), urban fabrics, etc.

Street level analysis

Analysis of street patterns, streetscape, open space and promenade design

Skyline analysis

Analysis of skyline and building typology

Urban design concept

Urban design quality

– Morphological – Spatial – Visual – Perceptual – Social – Functional – Sustainable – Contextual

– Permeability – Vitality & liveability – Comfort – Variety – Legibility – Sense of place – Conservation – Contextualism

Figure 3. Shoreline systems.

new urbanity. Yet, numerous studies on large scale settlements focus on singular elements – Camillo Sitte, Le Corbusier, Gorden Cullen and Row Worsett emphasise ‘visual quality;’ Ian McHarg ‘ecology;’ Lynch, Rossi ‘memory and perception;’ Rowe, Rob and Leon Kriers ‘morphological and typology;’ and Ventury ‘contextualism;’ Alexander, Jacobs, Norberg Schulz ‘social cultural and behaviour.’ Mega urban waterfront development is ongoing and the impact of such large scale planning and design will not be known until sometime after completion. The analytical framework used has been established after an extensive review of existing theories on urban design, planning, conservation, architecture and community participation; it is comprised of three interrelated elements of analysis – morphological, pedestrian and skyline level (Table 2) – that help to evaluate the structuring quality of water in relation to urban from (and urbanity) on reclaimed land. Moreover, this analysis is performed in each case at two levels – with respect to the surrounding existing areas, as well as a cross-national comparison. Analysis of the existing built structure, open spaces and street network provides a foundation for urban form and guides the new developments, whereas spatial structuring of streets, open spaces and building fabrics in relations to water help to determine the degree

of liveability of the urban environment and integrity of old and new fabrics. 2

COMPARATIVE STUDY OF MASTER LAYOUT PLANS

2.1 Active shoreline versus waste land New York, Yokohama and Hong Kong have been relying on land reclamation throughout history to fulfil various port activities and urban functions. High land value and difficulty in assembling significant amounts of land near the CBD encourages expansion of city towards the adjacent water. However, differences in geographical location, cultural background and track of urban development, coupled with diverse governmental policies, yielded different outcomes for waterfront transformations. Despite shifts in port activity, Lower Manhattan’s waterfront is still dominated by highway, industrial uses and dilapidated pier structures. Extending existing grid street patterns and filling up the remaining spaces has been the general approach to land reclamation (Figure 3). Land reclamation in Yokohama began around the mid 1800s and was followed by the successive reclamation projects, particularly in the post war periods;

107

today, the waterfront is still occupied by heavy industrial and port activities. Current land formation projects, in the form of islands that continue the paths of rivers, discourage the extension of city activity and protect the industrial and manufacturing function of the reclaimed lands. Successive reclamation of the waterfront has produced a ‘layering effect,’ where each wave of reclamation has generated distinct urban blocks and street patterns that mirror the socioeconomic reality and political power of that time. Unlike the shoreline in New York which remained as a ‘waste land‘ for many years (10–15 years), waterfront changes in Yokohama and in Hong Kong have taken place on a systematic basis by replacing the inner port areas with more urban functions. The shifting of port functions to new peripheral locations have

allowed for the development of new infrastructure and transportation networks; waterfront development in these cities is intense and large in scale. 2.2 Urban block versus building on the plot [or tower on podium] Morphological elements in a city are produced by complex interaction of social, economic and political processes over many generations and hence are the indicators of city character and transportation network. The urban block is primarily a plot of land defined all around by a multitude of planned and unplanned paths, roads and streets. The urban block ought to have well defined qualities of size, volume, orientation, typology, order and complexity in order to become urban. In BPC, Extending the existing streets and grid towards the shoreline created an urban fabric similar to its surroundings (Figure 4 and Table 3). Urban blocks in MM 21 are derived from the urban fabric in the ‘Kannai District,’ but double the width while maintaining length in an effort to provide variety. In the case of CWRP its huge, irregular shapes do not match with the surrounding context. The finegrained urban blocks in BPC increase levels of variety, permeability and legibility in the tissue and create a more vibrant engaging environment on the ground. The ‘building on a plot’ configuration in MM 21 permits less street activity by making volumetric definition difficult and accommodating lower densities. Finally the ‘tower on the podium’ pattern of the CWRP urban block reduces the permeability and makes the pedestrian movement uninteresting at grade level. 2.3 Street at grade level versus pedestrian malls at podium level

Figure 4. Linking urban fabrics in existing and reclaimed lands to building typology. Table 3.

Having entries, places for activities and termination points at both ends, short streets (within the rage of 100 m–400 m) in BPC with many nodes (at an interval

Cross-national comparison of characteristics of urban blocks and surrounding areas.

Elements

BPC [New York]

MM 21 [Yokohama]

CWRP [Hong Kong]

Site area [ha] No. of urban block Bldg. in urban block [max. no & min. no] No. of urban block [proposed/existing area (per sq. unit. area] No. of bldg. in a block [proposed/existing] per sq. unit of area No. of block with direct water view Street joint No. of existing continued street No. of non continued street

37.4 27 5 max. 1 min. 7 [proposed plan] 9 [exist. surrounding 7/9

186 39 4 max. 1 min. 15 [proposed plan] 56 [exist. surrounding areas] area] 17/57

122.70 [3 cells only] 34 1 max. 1 min. 10 [proposed plan] 24 [exist. surrounding areas) 10/25

15 40 8 2

14 47 4 3

17 28 7 8

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of 250 m–350 m) in the form of parks and plazas, make for great streets. A sense of enclosure is achieved by setting design criteria such as similar treatments for street walls in terms of height, building materials and other architectural detailing; arcades (or marquee) on the retailing front; tree plantation along pedestrian paths (to protect from rain and the sun); control of vehicular traffic with high priority given to pedestrians; and ensuring the ratio of height to width of street is within the range of 2:1 (Figure 5). The streets in MM 21 and CWRP have the singular function of only carrying vehicular traffic. Main pedestrian paths are either separated from the vehicular paths at grade level or moved to podium level through ‘inner pedestrian malls’ and enclosed overhead bridges. But elevated and enclosed pedestrian paths reduce street level activity, restrict free movement of users and deny outside views (for both safety and comfort of the user). Nonetheless, enclosed mall systems have been used in MM 21 in Yokohama and in Hong Kong (mainly in CBD) at the cost of the public realm. Non-uniform setback of buildings, blanks walls (or parking lots), long streets with minimum activity nodes in combination with lack of enclosure and entry and termination points demonstrates that the streets in MM 21 are less pedestrian friendly (Figure 5). In addition to the major pedestrian network at podium level, the proposed master plan of CWRP has emphasised street level pedestrian movement and includes arcades in appropriate locations. However, Hong Kong’s existing practice of urban development based on a lease system and poor enforcement of development control, coupled with its close proximity to high speed vehicular traffic and design obstacles in linking ground level movement to the podium level network, reduces the probability of a successful outcome for the project.

2.4 Urban open spaces – parks, plazas and waterfront promenades Distinct urban open space in each residential neighbourhood and two inner water bodies, each of them well connected by waterfront promenades at grade level, have created a park-like environment in BPC. Each urban space is surrounded by buildings that provide a sense of enclosure and is integrated with the natural landscape; it is visually and physically linked with the water and to the surrounding tissue by well-defined streets. Urban spaces in North Cove are divided into many subspaces to allow for active uses such as recreational boating, ferry transportation hub, festival and music space, and restaurants and cafes, whereas the South Cove and is designed for more passive forms of recreation and relaxation; together, they form an inclusive waterfront environment. The variety of urban spaces along the shoreline of MM 21 is poor due to lack of volumetric enclosure, weak spatial linkages, and poor physical and visual access. The public are directly drawn towards the enclosed malls surrounded by eating and shopping activities rather than to the parks and plazas which lack proper connections to the activity areas. While major open spaces in the CWRP plan contain a variety of amenities, public access is controlled by restriction movement to overhead bridges that link various buildings at podium level, forcing users to travel through retail and commercial areas; open spaces will function instead as ‘circulation space.’ In BPC, intimate, yet open and popular spaces are formed along a waterfront promenade by double-lining vehicular streets with trees. In contrast, few people use waterfront promenades in MM 21 and CWRP due to the lack of proper landscaping, street furniture and visual linkages to the rest of the city.

Figure 5. Street typology.

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Table 4.

Cross-national comparative study of new and existing skylines. BPC

MM 21

CWRP

Long.

Exist.

New

Diffe.

Exist.

New

Diffe.

Exist.

New

Differ.

T/P V/P B/P Trans. T/P V/P B/P

0.545 0.244 0.210

0.582 0.241 0.195

0.037 0.003 0.015

– – –

0.412 0.237 0.350

– – –

0.435 0.281 0.288

0.206 0.434 0.295

0.229 0.153 0.007

0.447 0.319 0.233

0.573 0.212 0.215

0.126 0.107 0.018

– – –

0.628 0.290 0.081

– – –

0.454 0.330 0.216

0.211 0.355 0.434

0.243 0.025 0.218

Note: P- Picture area, T-Tall building area, V-Void area and B-Base area [B = P-T-V].

2.5

Skyline analysis

Though the general trend is to design a skyline with descending the height of the buildings towards the water, an analysis of skyline shows that its character and relation to the city is different in each case. An analysis of skyline based on ‘figure-ground’ theory by simplifying variables for the existing surrounding area and for new development area from longitudinal as well as traverse section (Table 4) of the city reveals that the new skyline in BPC does not disturb the character of the existing skyline of Lower Manhattan. However, decreases in value of T/P and increase in value of V/P (in both directions) for the case of Hong Kong indicates that the new development will alter the existing skyline character. From cross-national comparison, it can be stated that the effect of tall buildings is clearly visible in BPC (T/P = high) whereas it will be least visible in CWRP (T/P = low). Again the close value of T/P on both directions in BPC demonstrates the similar effect of skyline – tall structures at the centre with diminishing building height on both sides. 2.6

Comparative analysis of planning systems and development control mechanisms

As planning systems and development control mechanisms differs in each case, they are analysed with respect to each city’s context and then compared by focusing on three main actors common to each case: public institutions, developers and the general public. After many years of negotiation between New York City and the State, Battery Park City Authority (BPCA) was established in May 1968; a new master development plan was completed and a master land lease was approved by City Planning Commission. But the comprehensive mega-structure development plan, sky rocketing infrastructure costs, and a tedious planning approval process through the City Commission (requiring approval from about 15 agencies), coupled with a fiscal crisis for the State and the City, and the

collapse of the real estate market ensured that the site remained vacant until 1979 when the control of BPCA was taken over by the State and a new master plan prepared. Both MM 21 and CWRP were born out of larger comprehensive city restructuring programs and are products of a series of studies carried out by different agencies (public and private) over a long period of time. Various studies conducted since the early 1980s in Hong Kong such as Territory Development Study (1980–83), Harbour Reclamation and Urban Growth Study (1981–83), Port and Airport Development Strategy (1988–89) and Metro plan (1988–90) helped to translate broad visions into strategic objectives to more specific objectives at the regional level and a detailed zoning plan at the district level. The general public is informed about long term and short-term development programs through policy documents and other study reports. In the cases of the 1979 BPC master plan, MM 21 and CWRP (Table 5), master planning backed by earlier feasibility studies and consensus among government officials resulted in speedy approval from government agencies irrespective of project size. Successful transformation of planning objectives into reality depends on other factors such as selection of developers, planning and building permit procedures and flexibility of design guidelines. After implementation failure of the 1969 Master Development Plan, the 1979 Master Plan for BPC was based on New York’s historical precinct street and block patterns, building forms, density, and transportation systems (BPCA 1979). Detailed urban design guidelines for each neighbourhood and architectural detailing of each building are prepared within the City’s planning framework to reinforce street map and zoning text as well as to help developers in bidding process and to the authority’s own design review process. Planning and development in MM 21 is based on the Basic Agreement on Town Development which defines the basic structure of city design elements such as water and greenery, the skyline, street scenery and vistas including standards

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Table 5.

Comparative study of Master Plan approval times.

Project

Initiation

Approval

Time taken

No. of approval level

BPC 1969 Master Development Plan BPC 1979 Master Plan MM 21

New York City (April 1963)

Battery Park City (Oct 1969)

6.5 yr.

2 (State/City)

UDC take over BPCA (Jan 1979) Yokohama City’s six redevelopment plan (Feb. 1965). The planning and investigatory committee announced basic concept of MM 21 in 1979. Hong Kong government – Study on harbor reclamation and urban growth 1982/Feasibility study in 1987

BPCA and NYC agreement (June 1980) MM 21 (Nov. 1983)

1.5 yr.

2 (State/City)

18 yr. 9 month (4 yr.)

3 (Central/ Prefecture/ City)

7 yr. [2 yr.]

1 + 1 [Hong Kong govt. (for airport core project with China)

CWRP

Table 6.

Feasibility study endorsed by Land development policy committee for gradual implementation (1989)

Comparative study of development approval required outside the agency.

Project

Implementing agency

Permission required

BPC [1969 master development plan]

Battery Park City Authority

BPC [1979 master plan]

Battery Park City Authority (under UDC)

MM 21

Public sector and Third Sector (Yokohama MM 21 Corporation)

CWRP

TDD and other government departments

– Special district zoning – Permanent architectural board – Community board review – Board of estimate review – BPCA reviews design – ULURP zoning review; and – Community board review (for north neighbourhood only) – Town development council reviews the design – City planning council and Prefecture council (for specific block only) – Town planning board – Land agency (for lease agreement)

for the scale of construction, building heights, layout of pedestrian networks and building setbacks. Based on the broad design framework stated in Metroplan, general urban design guidelines and site specific requirements for the development of crucial sites have been prepared for CWRP. However, for its implementation, those parameters need to be included along with other development parameters such as FAR, site coverage, land use etc. in lease conditions at the time of site disposal. Once lease agreements are agreed upon, the planning and development control is almost fixed. But urban development requires a level of flexibility to cope with changing needs of community.

No. of permission required outside the agency 4

0 2 for North neighbourhood only 0

0

Hence development control should be embedded in the planning legislation and not in the lease condition. In present system, developers can negotiate on lease conditions and other requirements such as land use, FAR or building height, etc. by paying certain premiums based of market value to the Land and Building departments. Simplified development approval mechanisms that do not require permission from outside of the implementing agency speed up the project implementation process. It encourages developers to response market conditions and, as a result, they are able to start construction more quickly (Table 6 and Table 7).

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Table 7. Time taken by developer to develop the site.

Project

Building

BPC BPC

Gateway Plaza WFC (Design competition) Queen’s square (Design competition) Commercial bldg. (Tamar basin reclamation)

MM 21 CWRP

2.7

Developer solicited

Developer selected

Construction started

Construction finished

1973 July 1980

1973 Nov. 1980 (4 month) Nov. 1990 (9 month) 1995

June 1980 Dec. 1981

June 1982 Oct. 1985 (3 yr. 10 month) Jul. 1997 (3 yr. 5 month) 2 yr.

Feb. 1990 –

Implementing agency strategies

Good planning and urban design guidelines alone do not guarantee the success of an urban waterfront development. It is also influenced by the implementing agency’s management of the project over time. The political controversy over development plans and control over waterfront development in BPC project delayed planning approval of the 1969 master plan and created an environment of ‘non-cooperation’ among development coalitions. As only one part larger citywide comprehensive programs, both MM 21 and CWRP are politically and financially supported by government and have had smooth ‘start up’s’ free from any major debate. Due to neglected over many years and failure to implement the early 1969 master development plan, the BPC site has developed a negative image which needed to be improved before the private sector gained interest in its development. Multiple strategies taken by BPCA to change the site image include revitalisation of historical typology, increasing public access through construction of streets, parks and promenades and construction of high quality public space and community amenities. Moreover, the authority leased the land for the long term instead of selling it directly to developers. After receiving revenue from the World Financial Centre in the late 1980s, it started constructing infrastructure and public amenities such as schools during a period of recession. Some of the low income housing in New York has been funded by revenue from BPC. The City of Yokohama in cooperation with Housing and Urban Development Corporation constructed major roads [Minato Mirai Boulevard, Kokusai Boulevard and other arterial roads] to link MM 21 district to various port facilities along the shorefront and to other major areas. It also developed railway lines, bus terminals and many pedestrian paths in early phase. Construction of high quality parks and promenades and the establishment of prestigious buildings such as Landmark Tower, Queen’s Square, Yokohama Bank Headquarter, International Conventional and Exhibition Centre in combination with careful preservation of historical sites have not only promoted the basic

Feb. 1994 1997

objectives of MM 21’s such as Yokohama’s independency, improvements to port functions and decentralization of the metropolis, but have also helped to create a new image of the city – an international and information capital rich in water, greenery and historical gems. In CWRP, the first three projects – Hong Kong’s airport rail station, commercial development on ‘Tamar basin’reclamation, and construction of the Hong Kong Convention and Exhibition Centre extension – have already been completed. But recent public protests over redevelopment of the Central Wan Chai lands forced the government to modify the remaining two land reclamation projects. 2.8

Conclusions and recommendation for future waterfront development

Analysis of master layout plans demonstrates that the new urban fabric of BPC is well integrated with its surrounding areas. Although the straight shoreline (created based on the 1969 master plan) provides little opportunity to maximise access to the water, the new 1979 urban design plan has improved the situation by providing public amenities along the waterfront promenades and two distinct plazas (active and passive in character). Compared with the earlier failed 1969 master development plan, the actual build program of BPC is quite successful due to its innovative master planning, simplified design control and BPCA’s flexible implementing strategy. As least integrated to the surrounding areas, the layout of CWRP disrupts views to the water, changes the character of the skyline, and promotes pedestrian activity only at podium levels. Despite favourable conditions and relative consensus among development coalitions from the early phase of development, plus simple planning and development control mechanisms, both MM 21 and CWRP, though successful with respect to their projects aims and objectives, have missed the opportunity to link people to the water through their particular designs. Promotion of ‘inner pedestrian’ networks and their direct link to activity/transportation nodes coupled with provision

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of spaces around retailing and eating activities inside the buildings have discouraged people from making use of public parks and promenades. Both can be considered as ‘outside is inside’ developments. BPCA is most successful in enhancing the real estate property values, achieved through the construction of high quality streets, public spaces and other infrastructures. This provides a model for the Hong Kong project, where currently the government prefers to increase land values by minimising restrictions on lease conditions at the time of land auction. The following guidelines are recommended for future waterfront developments: [a] Water should be used as an anchoring point for a diverse system of public amenities. Water sites require special consideration in land use planning (having psychological, real estate, local climatic and visual values) and should be viewed as an opportunity to provide public amenities to meet the needs of the urban region; [b] Simple master layout plans with many finegrained urban fabrics that allow for incremental development is recommended. Such plans should ensure public spaces in the form of parks, plazas and promenades along the waterfront at various locations; [c] Rigid design controls and time-consuming planning approval systems do not work on waterfront

development. On the other hand, site specific design guidelines that are flexible enough to accommodate developer’s requirement and market response without compromising public benefits are suggested; [d] Waterfront programs based on feasibility studies, and built with consensus or cooperation among many agencies, facilitates smooth ‘start-ups’in the early development phases. Wider public consultation in the early phase of development is advisable. Implementing agencies that can response to future uncertainty by adopting various strategies to balance community and commercial needs will likely be most successful in the long term development of waterfront sites. REFERENCES Battery Park City Authority (1979). Memorandum of Understanding between NYS, NYC, UDC, and BPCA, November 8, 1979. Maunsell Consultants Asia Ltd. With Urbis Travers Morgan Ltd. (1993). Central and Wan Chai ReclamationDevelopment and Urban Design Parameters. Trancik R. (1978). Finding Lost Space: Theories of Urban Design. New York: Van Nostrand Reihhold. Yokohama Minato Mirai 21 (1997). Yokohama Minato Mirai 21, Overview of Minato Mirai 21, Planning and individual operation.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Changing water consumption pattern of Beira Lake and its effects to the city image M.R. Gunawardhana, P.E. Gunasekara, H.L.G. Sanjeewani & S. Jayaratne Department of Town & Country Planning, University of Moratuwa, Katubedha, Sri Lanka

ABSTRACT: A favourable image of a city is very important to attract investors, immigrants and tourists and to enhance their competitive position in attracting or retaining resources. Beira Lake is one of the most identifiable landmarks of Colombo city in Sri Lanka. From the Portuguese era it has been used to enhance the built environment and has contributed significantly to the formation of a favourable image of the city. At present because of its changing water consumption pattern, the lake is neglected and its physical quality deteriorated which, in turn, is affecting the image to the city. The overall aim of this research is to study the changing consumption pattern of Beira Lake through out history and the affect it has had to the image of the city. According to the survey none of the respondents identified Beira as a favourable landmark in the city. Keywords: 1

Image; water fronts; consumption of water; Beira Lake; planning implications

INTRODUCTION

Human settlements emerged in and around natural water bodies such as Ganges, The Nile, EuphratesTigris, and The Huwang Ho since the time of civilization. In Sri Lankan context water is one of the most important natural elements always used in traditional city planning, not only to enhance the built environment but to encourage cooling breezes to counter the heat, to exploit sky reflection in day time and at the night to mirror bordering buildings and monuments. The image of Colombo in Sri Lanka was naturally dominated by the impressive Galle Face Green, Port and Beira Lake. The Beira Lake is one of the most distinctive landmarks of Colombo which has existed from its colonial past and had contributed to a positive and favourable image of the city. In the past two decades there has been a significant increase in the attempts made by place leaders, urban planners and decision-makers around the world to promote a positive and attractive image for their cities in terms of place marketing and city branding (Teodoro, 2007). According to Short et al. (2000), “place promotion involves to creating and marketing a new image for localities to enhance their competitive position in attracting or retaining resources”. It is generally agreed that unfavourable images and stereotypes associated with cities are obstacles that forestall a brighter future (Avraham 2004). The current consumption patterns of the lake are resulting in it losing its recreational and economic value and pollution continues to be a problem for those

living in close its proximity (Metropolitan Environmental Improvement Program, 1998). Although there have been a number of research attempts that examine the watercourses in the Colombo Metropolitan Region, up to now no attempts have been made to do a comprehensive study that explores the temporal changes of Beira Lake in relation to the image of the city. More specifically, the overall aim of this study is to discover how residents in Colombo have been used Beira Lake to enhance the built environment throughout history. This general aim can be broken down into more specific objectives: to study the changing consumption pattern of Beira Lake and its contribution in enhancing the city’s image; to identify the existing position of the Beira Lake among other distinctive landmarks that are considered to represent an image of the city; to assess the planning and policy implications and institutional framework that are or can be used to effectively develop and manage the Beira Lake. 1.1

City image and water fronts

Most of scholarly work considers the image as a crucial factor in forming a strong identity; “. . . for most purposes it appears that the image of a place is its identity” (Relph, 1976). Lynch (1960) described the image of a place as a combination of three components – physical structure, meaning and identity. Lynch (1960) explains that public images are common mental picture which are formed from overlapping of many individual images or perhaps there is a series of pubic images, each held by some significant number of citizens or

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by different groups. According to Relph (1976), every person has more or less a distinctive image of a particular place, not because of each individual experiences that place from their own unique set of memories of space through time, but because of individual personality, memories, emotions and intentions which colours their image and gives it a distinctive identity. When one forms an image of a city, it should visibly generate sensations, opinions or attitudes that are clear but not necessarily permanent. 2

METHODOLOGY

A detailed literature survey was completed and used to build up the theoretical basis for the research. Many different methods could be used in order to identify the position of the Beira Lake among other distinctive landmarks of the city which can be derived city image. The most popular of these methods are attitude surveys, various questionnaires, focus groups and indepth interviews (Fenster et al., 1994). In order to reach the aims and objectives described in the previous section, 400 in-depth interviews were done, along with a focus group. For the in-depth interviews, a convenient sample of citizens from differing age groups living in catchments areas of the Beira Lake was used. The respondents were asked to identify the main landmarks which form an image of the city, and prioritise them according to their preferences. Participants were asked about their image of Colombo, emphasising both the positive and negative aspects. Current status of Beira Lake and its affect on the city image was revealed from the respondents’ perceptions. 3

BACKGROUND TO THE STUDY

Rooted in a history that dates back 1500 years, the concentration of economic activity and infrastructure in Colombo Municipal Council represents an extreme case of urban primacy within the national context of Sri Lanka. It covers an area of 37.31 km2 with a population of 637,865. Beira Lake is in the heart of the city and occupies approximately 65 ha and spreads out into different parts of the city, as the East Lake, South West Lake, West Lake and Galle Face Lake. The Beira Lake hydrologic catchment area was selected as the study area which serves approximately 10% of the total residential population of the city. The present land use pattern in this area encompasses 9 categories of uses: residential (26%); manufacturing, industries, defence (12%); transport and utilities, commercial (15%); banking, institutional (18.5%); cultural, recreational (10.5%); and vacant and nonurban uses. Human activities in the Lake include subsistence fishing and recreational and competitive rowing.

The name Beira is thought by some to be derived from a Portuguese engineer named “Beira” who had dammed the flowing water at the present Dam Street to create a Lake in 1554 A.D. Again some believe it refers to a Dutch engineer De Beer, who constructed a sluice gate to carry water from the lake to a pond in 1700 A.D. However before 1927 this water body was only known as the “Lake”. The Portuguese (1518–1521) dammed a small outlet of Kelani river forming a lake to fortify the city. Ditches had been cut and St. Sebastian Canal was also formed. In the 18th Century, during the Dutch occupation, the lake was extended by canals that connected to the Kelani River and Panadura River, connecting the Beira Lake to the Fort of Colombo. The canal system was used mainly to transport goods, boating and water sports for pleasure. In its earlier stages the lake was a centre for commercial and social activities. After the post independent period the Lake became a natural outlet for sewage and drainage. The water stagnated when the lake bed was raised above sea level. The growth of algae damaged its ecological balance and its aesthetic appeal. 4

RESULTS AND DISCUSSION

The Beira Lake has had an exceptionally long and colourful human history. From the ancient colonial periods it has enhanced the built environment and Colombo city itself and consumption patterns have changed through time and correlated to political change. Figure 1 illustrates the changes of land uses according to its changing consumption pattern from 18th century to today. During the Portuguese period, water bodies encircled more than half of the city and were used to defend the territory and to transport military equipments. The lake produced a favourable image for the city in terms of this protective element rather than as a prominent landmark. Consumption patterns of the Beira Lake changed slightly in the Dutch era. As a defensive element, the lake was not very popular, but for domestic and transportation or navigational activities it was highly used; recreational uses were moderate. But when the extent of the lake was dramatically increased it quickly achieved landmark status and acted as a symbol of the city. The recreational opportunities of the water front were soon exploited not only for the benefits of the new residents but also to attract waterfront visitors. The surrounding areas were used to produce cinnamon and coconut, as well as for residential and commercial activities. At that time most tourists referred to the city as “the garden city of the east”. In the British era the lake was highly used for transportation purposes. The Lake was also used for domestic purposes such as bathing and washing, and

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Figure 1. Land use changes from 18th century to today. Table 1.

Changing water consumption patter through out the history.

Era

Uses

Changes

Defence

Transport Domestic Drainage

Portuguese

High

Moderate Moderate None

Dutch

Moderate High

High

None

English

None

High

High

Post None independent

Poor

Current

Moderate None

Scenic Recreation view None

Moderate

Physical changes 400 arc

Land-use Changes Marsh, jungle and small residential area with few commercial buildings with the fort

Moderate Navigable canal system added to the Beira

Cinnamon, and coconut cultivations, some residential, commercial and institutional buildings.

Moderate High

High

Instead of cultivations residential commercial, institutional, and recreational activities highly developed.

Poor

High

Low

Moderate Encroachment of lake’s banks, Siltation and stagnation occurred

Development of slums and shanties and informal sector economic activities, highly congested.

None

High

Moderate

Moderate Reduced to 65 ha, stagnant, polluted, bad colour and odder

Highly congested, illegal constructions and economic activities.

also extensively used for recreational activities such as parties, festivals, and water sports. According to Gordon (Athukorala, 1994) during the English period the most beautiful view of the Colombo city was from

Diversion of canal system and its uses to drainage, sewage facilities. Reduced the extent to 165 ha

the Beira Lake. Brohier, (1984) added that Beira Lake was an ornament of the city and afforded an ideal opportunity to work as a centre of commercial activity and a notable resort in the city. It was featured

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Table 2. Water quality measures and concentration levels. Water quality measures

Concentration in Beira

Hypotrophic level

Eutrophic level

Chlorophyll-a Phosphorous Nitrogen Transparency Suspended solids BOD

0.28 mb/L 1.52 mg/L 13.74 mg/L 12 cm 90 mg/L 70.00 mg/L

0.10 and 0.15 mg/L 0.750 and 1.00 mg/L

0.0027 and 0.078 mg/ L 0.016 and 0.386 mg/L 6.1 mg/ L 80–700 cm

40–50 cm 25–45 mg/L

prominently in the life of Colombo citizens. It provides relief and comfort to the exhausted city occupants. Due to the large extent of water body and its vivid beauty and as a centre of the commercial and social activities, the Beira Lake provided a most distinctive landmark and created a favourable image of the city for its citizens. But at the end of the British era, the Lake and its cannel system was converted to drainage and sewerage facilities as much of the area was rapidly urbanised. In the post independent period considerable political economical changes took place in Sri Lanka. As time went on the canal system deteriorated. As a result of port development activities the lake underwent further encroachments. The lake was reclaimed to construct warehouses & boatyards for the Colombo port.Also some land on the lake’s banks were encroached upon by squatters who travelled to the city daily for employment. Highly congested haphazard buildings gave a squalid view of the banks. Many factors contributed to Beira Lake’s degradation. However there are several establishments that exploit there location at or near the Beira for aesthetic purposes which are intrinsically non-polluting. But because of almost complete public apathy there is little recognition of the potential value of this magnificent element. According to the questionnaire survey, only 22% said that they can use the Beira Lake for recreation, as a meeting place, for rowing and to get the picturesque view. The prominent distinctive landmark of the city continues to deteriorate, threatening the well being of the community and ultimately the image of the entire city. 4.1

Issues surrounding the Beira Lake

Many water bodies (lakes, rivers, oceans) are common pool resources where ownership is not clearly defined and hence access to them is open to all members of a community. Such a regime of property rights worked well earlier, but with rapidly growing population and development, water resources are under tremendous pressure from encroachment and exploitation. Thousands of gallons of untreated sewage and industrial wastewater enter the river daily through gravity drains, posing a major threat to public health.

According to the survey, 70% of the respondents are not satisfied with the current condition of the Lake. The stench from raw sewage becomes severe during the dry seasons, as algae growth on the lake’s surface increases and results in formation of gases such as Methane, Hydrogen Sulphite and Ammonia. According to the survey, 78% cited the pollution which occurs due to the drainage, sewage and garbage disposal as the main problem plaguing the Beire lake. Investigation of the chemical and biological parameters confirmed the lake’s eutrophic status and revealed that the lake waters had excessive populations of blue-green “algae”, high turbidity levels, and elevated values for chemical and biological oxygen demand (COD and BOD) (Disanayaka L. and Pereira R, 1996). The number of plankton, benthic, and fish taxa present in Beira Lake has substantially decreased over the past decades (ibid). The table 2 has given a good picture to understand how polluted that Beira Lake today and also how it dissipate the aesthetic appeal, blocking the tourist attractions to the country. Another problem that arose about the vicinity of the Beira Lake is the unauthorized structures along the bank of the lake without giving necessary exposure to the lake and also it has then back to the lake obstructing the public view of the lake. The sense of the water front development has lost with its potential to market the city to attract more investors, tourists and developers to the city. Therefore since the post independent period issues of the Beira Lake have been existing getting worse and worse. According to the public view 98% said once they hear the name Beira they only memories the bad smell and the colour of the lake not the picturesque view of the lake or recreational activities which going beside the lake. 68% of the respondents described, their personal feeling or personal sense of the city is the smell of the rotten egg which comes from the Beira apart from the feeling of the traffic, congestion, and crowded streets. Therefore it can be concluded existing situation of the Beira Lake negatively affect to the city image leading unfavourable image to the city as the most polluted landmark in the city. This polluted landmark of the city indirectly effect to foam an unfavourable image to the city.

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Figure 2. Images of the prominent landmarks in Colombo. Table 3.

Planning attempts of Beira Lake.

Plan

Consideration

Patrick Geddes Plan – 1921

Improve recreational facilities by considering existing situation of the lake Not considered Bridge over the canal connecting the harbour with lake Develop the core area as the focus of the rebirth of the water front, New residential communities along the water front, Provide opportunities for the public to enjoy the special amenities of the water front, Improve access to & within the core area, Develop urban design guide lines which promote the vitality & attractiveness of new development Proposed as a concentrated development area Shopping & recreational zone of the new down town.

Patrick Abercombie Plan – 1948 Colombo Master Plan Project (UNDP) – 1978 Beira Lake Master Plan – 1996

Colombo Metropoliton Regional Structure Plan – 1998 Regional Structure Plan of the Western Regional Megapolis (CESMA)- 2004

4.2

Beira Lake among other prominent landmarks

Prominent landmarks of Colombo city (a) Galle face green, Viharamahadevi Park, (b) Building of Cargils and Millers, (c) Twin Tower, (d) Jami Ul Alfar mosque and the (e) Beira Lake. Although until the post independent period the Beira Lake had been the prominent and distinctive landmark of the city, today it has changed due to the lack of concern and negligence of the residence and relevant authorities. Out of the total respondents only 13% identified Beira Lake among other prominent landmarks of the city. No one included Beira as the first thing that comes into their mind when they envision Colombo.

4.3

Planning implications and institutional framework to develop and manage the Beira Lake

Until now eight plans have been prepared for the city of Colombo. Apart from Patrick Abercrombie’s plan (1948), every other plan have been considered Beira as one of the core elements. In 1993, the Comprehensive Study of Beira Lake was undertaken for the purpose of developing an integrated restoration & management strategy and the restoration project was initiated in 1996. It was a 5 to 15 years maser plan and has been included as an ongoing project in each subsequent

plan. In the restoration project there were 16 subprojects proposed including designs which increase the aesthetic appearance of the Beira and facilitate the public space for recreational purposes. Attempts to clean up Beira succeeded for short time and water had begun to appear fresh and clean. But the success was short-lived and pretty soon the ‘bad smell’ returned due to garbage discharged from shanties, homes and offices on the banks of the lake which the authorities failed to remove or control. To reduce the discharge of untreated wastewater into Beira Lake was short-lived mainly because the city failed to stop the unauthorized construction of nearby dwellings and offices. Reasons for this failure include the lack of supporting regulations and control policies and lack of sufficient enforcement powers. Urban Development Authority (UDA) and the Greater Colombo Economic Commission (GCEC) have powers to acquire lands for promotion of development in and around the lake. UDA and Colombo Metropolitan Region (CMC) controls future land use. To regulate planning and building, UDA is responsible for the creation by-laws, enforced by the CMC. The Central Environment Authority is responsible for the management of natural resources and protection of environment. Responsibility for infrastructure is spread among a number of specialised agencies and departments: Colombo Municipal Council, Urban

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Development Authority, Sri Lanka Telecom, Postal Department, Department of Education, Department of Health, Central Transport Board, Ceylon Government Railway. 5

CONCLUSION

Beira Lake has enhanced the built up area throughout history until it more recently became silted and progressively polluted due to both domestic and commercial waste. Today, residents have almost forgotten that Beira is an environmental and economic resource capable of restructuring and improving the quality of life for residents, as well as the identity and image of the city. Non-implementation of building and environmental rules in a rapidly growing metropolitan city has led to large-scale encroachment and pollution of the water bodies, including the lake. Economic constraints, public apathy and lack of strong political will prevent the development and implementation of a comprehensive strategic plan. Its idyllic location, natural beauty and its potential to develop the city have not been fully realised. But it still presents a significant opportunity for revitalising Colombo in the future. It is, therefore, imperative for the urban planning bodies to include the sustainability of the physical environment along when planning the built environment. Promotion of Beira Lake involves the re-evaluation and re-presentation of place to create and market a new image to enhance the city’s competitive position and successfully attract or retain resources. REFERENCES Abercombie P. (1948). Colombo Regional Plan: A report submitted to the Central Planning Commission, Colombo. Athukorala R.D. (1994). A Study of the Beira Lake as an Urban Water Front, Thesis for the degree of B.Sc. in Architecture, University of Moratuwa, Sri Lanka.

Avraham E. (2000). Cities and their news media images. Cities, 17(5), 363–370. Brohier R.L. (1984). Changing Face of Colombo. Columbo: Vidumal Prakashakayo Pvt Ltd. Canter D. (1977). Psychology of Place. London: The Architectural Press. Dissanayake L., Pereira R. (1998). Restoring Beira Lake: An Integrated Urban Environmental Planning Experience in Colombo, Sri Lanka, Metropolitan Environmental Improvement Program, Colombo. Elizur J. (1986). National Images. Hebrew University, Jerusalem. Fenster T., Herman D. and Levinson A. (1994). Marketing Beer Sheva: Physical, Social, Economic and Administrative Aspects. The Negev Center for Regional Development. Ben Gurion University, Beer Sheva, Israel in Hebrew. Geddes P. (1921). Town Planning in Colombo: A Preliminary Report. Columbo: Government Printer. Kotler P., Haider D.H. and Rein I. (1993). Marketing Places. New York: Free Press. Lynch K. (1960). Image of the City. MIT Press. Relph E. C. (1976). Place & Placelessness. London: Pion. Luque-Martínez T., Barrio-Garcíaa S.D., Ibáñez-Zapataa J.A and Molina. M.A.R, Modelling a city’s Image: The case of Granada. University of Granada, Comercialización e Investigación de Mercados, Campus de Cartuja s/n, 18071, Granada, Spain. The Board of Investment. (2004). Western Region Megapolis. Regional Structure Plan. CESMA International, Colombo. United Nations Development Programme. (1978). Colombo Metropolitan Region: Synthesis Report. Colombo Master Plan Project, Colombo. Urban DevelopmentAuthority: Ministry of Housing & Urban Development. (1998). Colombo Metropolitan Regional Structure Planning Teams of CMR Structure Plan, Sri Lanka. Urban Development Authority., Roche International. (1993). Beira Lake Restoration Study: Restoration Strategy and Action Plan: Final Report, Colombo. Urban Development Authority., Coginter- URBANEX. (1996). Beira Lake Business Plans Study : Master Plan: Final Report, Colombo .

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Urban growth, loss of water bodies and flooding in Indian cities: The case of Hyderabad R. Chigurupati Centre for Economic and Social Studies (CESS), Hyderabad, India

ABSTRACT: The capacity of Indian cities to withstand torrential rains has weakened over time. Floods in several cities like Mumbai, Hyderabad, Surat and Bangalore indicate encroachment and loss of water sources has been a major factor in this change. Being located in the undulating topography of the Deccan Plateau of peninsular India, Hyderabad had been endowed with a number of water bodies that acted as storage reservoirs, provided water for irrigation, drinking and helped in recharge of groundwater. A number of these water bodies have been lost due to rapid growth in the city in the last 2–3 decades. Despite the prevalence of stringent environmental and urban planning regulations, lack of effective implementation has done enormous damage to the urban ecology. Since the cities are going to play a dominant role in the high-growth economy of India in the coming period, it is imperative that a high priority be given to the protection of water bodies and water carrying channels in the cities so that normal life is not disrupted beyond acceptable levels and economic losses are minimised. Keywords:

1

Encroachments; floods; urban growth; urban planning; water bodies

2

INTRODUCTION

On 15 July 2005 a 36-year old woman, an assistant manager of a nationalized bank, pillion riding on her husband’s motor cycle in knee-deep water, while trying to alight, slipped straight into an open manhole and was swept away even before her husband could realise what has happened. Her body was later found at the nearby sewerage treatment plant. The local people were known to have removed the manhole cover to enable the floodwater to flow faster so that their houses were not inundated. The event made for horrifying news as the rainfall was only about 5 cm or so, yet the entire city was affected. The city of Hyderabad, located in the Deccan Plateau of the Indian peninsula, has a distinct physical identity characterised by large rock formations, undulating topography and water bodies. The last 40 years of the urban growth has resulted in large scale destruction of this physical heritage. Lakebeds have been encroached, filled and converted into built up areas by the government, private real estate agencies, and individuals. An attempt has been made in the present paper to analyse the loss of water bodies in relation to the increasing urban growth and the growing threat of flooding. The paper has relied on secondary sources of information. Legal frameworks for protection of water bodies are also briefly discussed.

HYDERABAD AND ITS WATER BODIES

Hyderabad urban agglomeration (HUA), the capital city ofAndhra Pradesh State in India, with a population of about 6 million and an area of about 778 square kilometres, has registered a decadal growth rate of about 43 per cent, 67 per cent and 28 per cent during seventies, eighties and nineties respectively. Much of the spatial expansion in the last two decades has occurred in the peripheries. In April 2007, much of the HUA has been constituted into a single urban local body called Greater Hyderabad Municipal Corporation (GHMC) by merging all the existing local authorities in the HUA. In recent years, the city has emerged as an important information technology centre in India and has acquired a global image in this sector. The natural and man-made water bodies (tanks/ reservoirs) in the city and its environs, locally known as Cheruvus, Kuntas, acted as water storage reservoirs for irrigation, drinking, groundwater recharge, moderated micro climates and have been an inalienable part of the urban ecology of the city. Gradually, while some lakes were encroached and replaced by concrete buildings, several others were severely polluted with domestic and industrial effluents. With the loss of water bodies and the consequential decline in the groundwater table, long-distance and expensive water projects have been undertaken to provide drinking water to the city.

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Many big tanks were built by the Qutub Shahi rulers (1534–1724 A.D.) and the Asaf Jahi rulers (1724–1948). Some of the big tanks built during those periods are Hussainsagar, Mir Alam Tank, Afzal Sagar, Jalpalli, Ma-Sehaba Tank, Talab Katta, Osmansagar and Himayatsagar etc. (Rekha Rani, 1999). The Hussainsagar was built in 1575 by Sultan Ibrahim Kutb Shah and its waterspread covered an area of about 20.5 km2 (Imperial Gazetteer, 1909). The Mir Alam tank, built in 1806 had a circumference of 12.9 km. From these two tanks (Hussainsagar and Mir Alam tank) there was plenty of water supplied to the city (till as recently as 1930). These two water bodies are no longer used as sources of drinking water due to pollution. Saroornagar Lake, built in 1624 with an area of about 5 km2 in the eastern part of the city, has shrunk drastically to a water spread of only 0.35 km2 . Sharmirpet Lake is located 24 km from Hyderabad in the northern side and has an area of about .97 km2 . Durgam Cheruvu, also known as a secret lake (because it is surrounded on three sides by hillocks with beautiful rock formations), located near ‘HITEC City’, is a 400-year-old area of about 61 ha. 2.1 Loss of water bodies As the city has grown, the urban sprawl has encroached into vacant lands and water bodies due to the increasing pressure on land for housing and other activities. Many water channels that used to carry floodwaters from one lake to the next in a catchment area have also been encroached upon by private and government agencies. Non-implementation of building regulations and pollution control laws have encouraged encroachment and pollution of water bodies. A study based on remote sensing data revealed that the built-up area of Hyderabad city has increased by about 136 per cent during 1973–96: from 245 km2 in 1973 to 355 km2 in 1983, 522 km2 in 1991 and to 587 km2 in 1996. The urban sprawl has occurred at an annual rate of 3.77 percent during 1973–83, 4.95 percent during 1983–91 and 2.37 percent during 1991–96. Agricultural land to the extent of about 128 km2 was converted to residential, commercial, institutional and industrial uses during this period. It is estimated that there were 932 tanks in 1973 in and around Hyderabad which came down to 834 in 1996. Consequently the area occupied by water bodies has been reduced from 118 to 110 km2 . About 18 water bodies of over 10 ha each and 80 tanks of less than 10 ha size were lost during this period in Hyderabad Urban Development Authority (HUDA) area (EPTRI, 1996: 23; The Hindu, 25 January 1997). Another study based on remote sensing data reveals that the area occupied by water bodies was reduced from 22.79 km2 in 1989 to 20.84 km2 in 1999 in the city and the surrounding municipalities. Micro level studies would

indicate much higher reductions (Ramachandraiah, 2002). Corruption at local levels and the unscrupulous nexus of the land grabber-politicians have led to reduction in the catchment and water-holding area of several lakes due to unabated constructions in lakebeds. As a result, several colonies were inundated even before the water reached full tank levels (FTL). While there were only 50–75 houses in the foreshore of Mysamma Cheruvu in August 2000, the number rose to about 400 in five years making the flood risk greater than before (The New Indian Express, 26 July 2005). For the rains in July 2005 when water started entering into some houses in an upper middle class colony, officials were reluctant to open the sluice gates on the grounds that the water level was still below the FTL. The residents, however, started demanding that the officials follow the situation ‘on the ground’ rather than the technicalities. They further argued that ‘theirs is an approved layout and there is not an inch of encroachment’ (The Hindu, 26 July 2005). The Hussainsagar lake in the centre of the city has shrunk by 40 percent from about 550 hectares to 349 hectares due to encroachments by both private and public agencies over the years. Evidence based on satellite data reveals that the Lake has lost about 121 ha in the last 25 years. Ibrahimpatnam Cheruvu, built in 1850 covering an original area of about 526 ha originally, dried up for the first time in 1993 and again in 2000 with the inflows coming down over the years. To carry more water into this lake, a 72 km canal was constructed by connecting several smaller water bodies along the way. Two old water bodies, Satam Cheruvu and Jamalikunta, near the historic Golconda fort are under threat from the Hyderabad Golf Association who plan to construct a new golf course aimed at attracking tourists. Jamalikunta is being filled up from one side (even while there is water in the lake) to construct the course. About 1 ha of the 12 ha lake has already been filled up (Andhrajyothy, Telugu Daily, Hyderabad, 5 July 2003). It was observed that some of the water bodies like Chalmakunta, Irlakunta, Mallaiahkunta, Yamkunta, Kanukunta and Garlonikunta have been converted into residential land use. The 100-year old Errakunta in Secunderabad has been reduced to a mere 1 ha or so from its original area of about 10.5 ha (Vaartha, Telugu Daily, Hyderabad, 21 June 2002). The water shortage crisis in the city has been more evident since mid-1980s with the citizens began to receive municipal water supply only on alternate days. Increasing extraction of groundwater and the decline of the water table has resulted in the bore wells now being drilled to between 250–300 metres in several areas. The recently approved Water, Land and Trees Act, 2002 (WALTA) has not made any impact in urban areas. Under the Act, it is compulsory to

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Table 1. Altitudinal differences in topography at select points towards Musi river in Hyderabad. Sl. No.

Name of the locality

Altitude (metres a.s.l.)

1 2 3 4 5 6 7

Banjara Hills (highest point ) Banjara Hotel Ameerpet Junction Punjagutta Junction Hussainsagar Lake Indira Park Shankarmutt-Nallakunta

612 543 535 522 513 510 495

Source: Survey of India toposheets No. 56K/7 and 56K/11, Government of India.

seek permission before digging any bore well. It is also prohibited to draw groundwater from below 150 metres. Concerned with meeting growing demands, these regulations are frequently ignored. 2.2

Growing threat of floods

The city experienced disastrous floods a century ago in September 1908 due to the overflowing of Musi river. About 430 mm of rainfall was recorded within one day and the water level reached 3.3 m and higher in several places. In recent years, unprecedented flooding occurred in the city in August 2000 due to 240 mm of rain within 24 hours. This flooding was one of the consequences of the encroachment of water bodies. When the city witnessed heavy rains, the narrowed/encroached water courses/bodies could not carry rainwater thus inundating large areas in the vicinity resulting in breaching of tanks, inundation of colonies including middle-class localities. Low-lying areas down the Hussainsagar, though occupied by middle and upper middle class people, experienced some of the most severe flooding. In the areas downwards of Indira Park (such as Ashoknagar, Gandhinagar and Himayatnagar) and those near ShankarmuttNallakunta, navy boats had to be used to traverse in the flood waters that reached the first floor level in some apartment complexes. One may notice from the Table 1 that the elevation decreases rapidly in a span of short distances towards Musi river in the city. The tall buildings and concrete/black-topped surfaces ensure that the rainwater flows at fast speeds, resulting in flash floods in low-lying areas (Figure 1). The Kirloskar Consultants that was appointed to suggest remedial measures after the floods are known to have recommended the removal of more than 1400 encroachments and also identified certain drains as very problematic. The MCH (municipal corporation of Hyderabad) should have acquired 11 hectares of land for widening such drains, but except for construction of retention walls in some places and clearing of debris,

Figure 1. A flooded street in Hyderabad. (Source: www.eenadu.net accessed 25 August 2007).

Figure 2. An encroached water channel. (Source: The Hindu, Hyderabad).

nothing was done (The Hindu, 10 July 2005). The MCH is known to have drawn up plans to widen 71 storm water drains but not a single drain was widened (The Times of India, 11 July 2005). One report suggests that there are about 8000 encroachments along channels (The New Indian Express, 3 August 2005) by both the poor (Figure 2) and real estate developers.

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That remedial measures to protect water bodies have not been initiated is evident with recurring floods even for small amounts of rain. The 8 cm of rain on July 15, 2005 quickly filled up a majority of the city’s water bodies, and threatened to flood the neighbouring colonies. The civic agencies rarely implement lake protection rules as one can find encroachments even inside the lakebed. The decrease in the catchment area of a lake is resulting in inundation of the housing colonies that block the water flow downward into the lake. 2.2.1 Lakes converted into parks Some lakes, after getting encroached have dried up and have been converted into parks. The Masab Tank has totally disappeared as a water body and is replaced by Chacha Nehru park.The area is known only by its name as a reminder of the past. The site of the ‘beautiful park’, built at a cost of about Rs. 20 million and inaugurated on 15 August 2002, was once an important water body known asAnumula Kunta, which was highly conducive for groundwater recharge.Yousufguda cheruvu was totally damaged by filling up of garbage by the MCH and now has been developed as a park. Some lakes have been beautified with the construction of sewage treatment plants and landscaping to improve their ecology under the Dutch-funded Green Hyderabad Environment Programme.The Sarrornagar cheruvu, Langar House cheruvu, Safilguda cheruvu were rehabilitated and protected in this process. A substantial improvement was noticed in the micro climate, green cover, availability of the newly developed public parks etc. for the local communities.

Figure 3. A huge Ganesh idol getting immersed in Hussainsagar. (Source: www.andhrajyothy.com accessed 27 September 2007).

vegetable dyes and the rest were coloured with chemical and metallic paints (The Hindu, 9 September 2006, Hyderabad). Environmentalists have been demanding reduction in size, and also the number, of the idols so the lake ecology could be improved. The Andhra Pradesh High Court expressed anguish over the inability of the state government to implement the two idol system, which is in vogue in Pune (The New Indian Express, 8 September 2007, Hyderabad). In this system, the worshippers carry two idols – one small and one big – and the smaller one is immersed in the lake while the larger one is retained for the subsequent years so that the dumping is reduced in the lake. 2.4 Floods in other cities

2.3 Entertainment and idol immersion at Hussainsagar As Hyderabad city has embarked on the process of globalisation in late 1990s several tourism/ entertainment ventures have been promoted near Hussainsagar lake from 2001 onwards. A separate Buddha Purnima Project Authority (BPPA) was constituted with an area of about 9 km2 around (and including) the lake. Some of the ventures that came up in this area are Lumbini Park (existing prior to 2001), NTR Gardens, ‘Prasads Imax’, Lasarium, Snow World, Eat Street, and Jalavihar. Since late seventies and early eighties, Hussainsagar has been a site for annual immersion of the idols of the Hindu god, Ganesha (Figure 3). Hindu believers join in thousands to bring the idols to this lake. In September 2006, 19,975 idols of varying sizes were immersed during the nine-day festival. Of these, about 10,000 were below 1-metre height and 200 idols were more than 5 metres tall and the rest were in the range of 2 metres to 5 metres. About 5,300 idols, amounting to 27 per cent, were painted in natural colours and

Several Indian cities have been facing recurring floods in recent years. Encroachment and disappearance of water bodies and water carrying channels have been the major cause of such floods. A few such experiences are mentioned here. The most known case of flooding in a mega city in recent Indian history is that of Mumbai in July 2005 when 94.4 cm of rain that fell in a span of 14 hours caused deluge in the city. One of the causes of the flooding was the reduction of the 14 km long Mithi River into one-third its size due to reclamation of Bandra-Kurla complex, removal of a large patch of mangrove that provided a natural barrier against flooding, other encroachments and dumping of garbage.Another natural drainage of Mumbai, Dahisar River, has also been reduced to that of a gutter with hutments (Bhagat, Guha and Chattopadhyay, 2006). The floods in the first week of August 2006 displaced lakhs of people in Surat (known as the diamond city), Vadodara, Broach and several other cities and towns in Gujarat state resulting in the evacuation of more than 0.25 million people, including over 0.12 million in Surat city alone, to safer places. The people in Surat were urged to move to any place that was

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at least 6 m higher than the ground level as about 70 per cent of the city was less than 2.5–3 m above sea level (Dasgupta, 2006). The Bangalore city, known as the ‘Silicon Valley of India’, has been experiencing flooding more frequently in recent years. The city has suffered extensive loss of its water bodies over the years. There were about 262 lakes in Bangalore 30 years ago; today there are only 81 (CPCB, 2000). 2.5

Legal provisions to protect water bodies

A notification by the HUDA gives particulars of 169 lakes of 10 hectares and above, covering an area of approximately 90.56 km2 (HUDA, 2000). As per this notification, the entire area falling within the full tank level must be kept free from any type of constructions, irrespective of the ownership or any land use or master/zonal development plans that may have been previously notified. Further, a buffer belt of 30 metre width on all sides of each lake must be kept free of any type of construction in the interest of prevention of pollution to the lake and allow free flow of water into the water bodies. The WALTA Act, 2002 clearly states (in Section 23) that the concerned authority ‘may notify water bodies like lakes, village ponds and minor irrigation tanks along with water courses as heritage bodies and conservation areas to prevent conversion of their intended use and the authority shall take all measures to permanently demarcate the boundaries. . . and prevent encroachment’. Further, as per Sections 19.1 and 23.3 of this Act, the groundwater resources shall not be contaminated in any manner by anybody and undesirable wastes including liquid wastes shall not be dumped in the water bodies. There are also several laws at national level to protect water bodies, but their implementation at ground level is, however, discouraging.

3

CONCLUSIONS

With real estate activity booming in big cities, and the Indian economy growing at about 9% per annum, there is going to be higher pressure on urban land that invariably affects the urban lakes. The civil society has

been arguing for the involvement of local communities through the formation of lake protection committees to look after water bodies and water-carrying channels. Different stakeholders in the local communities should be made members with adequate powers. Shifting of the jurisdiction of water bodies from the revenue to the forest department and application of the provisions of the Wildlife Act to water bodies is another important demand. The whole process will be strengthened only with the physical demarcation of the lake boundaries based on revenue records and strict implementation of the provisions of the HUDA notification on lakes. REFERENCES Bhagat R.B., Guha M., and Chattopadhyay A. (2006). Mumbai after 26/7 deluge: Issues and concerns in urban planning. Population and Environment, 27, 337–349. CPCB (2000).Annual Report 1999-2000. New Delhi: Central Pollution Control Board. Dasgupta M. (2006). Over 2.5 lakh evacuated as floods wreak havoc in Gujarat. www.thehindu.com (accessed on 9 August 2006) EPTRI (1996). State of Environment for Hyderabad Urban Agglomeration. Hyderabad: Environment Protection, Training and Research Institute. Harshavardhan K. (2005). MCH fails to handle emergency. Hyderabad: The Times of India. HUDA (2000). Notification No. 3195/PR/H/2000 dated 4 May 2000, Hyderabad Urban Development Authority, Hyderabad. Imperial Gazetteer of India (1909). Provincial SeriesHyderabad State. Hyderabad. Ramachandraiah C. (2002). Location and Land use Characteristics of Hyderabad. Paper prepared for the WHONIUA project on Healthy Cities, Centre for Economic and Social Studies, Hyderabad, (mimeo). Ramachandraiah C. (2005). Hyderabad’s floods: Nature’s revenge. Economic and Political Weekly. XL(38), 411516, September 17. Ramachandraiah C. and Prasad S. (2007). Impact of urban sprawl on water bodies in Hyderabad city. The Deccan Geographer, 45(1), 47–58. Rekha Rani T. (1999). Lakes of Hyderabad: Transformation of Common Property to Private Property, unpublished M.Phil dissertation, University of Hyderabad, Hyderabad. Srinivas M. (2005). Honey, We Shrunk The Lakes. Hyderabad: The Times of India.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

How water flows in strategic spatial planning: The strategic role of water in Dutch regional planning projects J. Woltjer Department of Planning, Faculty of Spatial Sciences, University of Groningen, Groningen, The Netherlands

ABSTRACT: To what extent can current attempts to link Dutch water management and spatial planning be regarded as a reflection of a more strategic planning style? How do prevailing institutional conditions offer constraints or opportunities for further strategic action in water planning? The paper employs the Dutch case and some Dutch projects, including a large-scale housing site (‘Saendelft’), the Wieringen Border Lake project (North-Holland) and the Blue City project (Groningen) to explore these exemplary questions. Each of the cases, in their own way, can be regarded as exemplary for a further move towards strategic water planning, emphasizing new integration of water and land-use management through projects. Keywords:

1

Netherlands; spatial planning; strategic planning; water management

INTRODUCTION

The Netherlands is a densely urbanised country, yet partly below the sea level, and at the estuary of major rivers; it has, therefore, a long history in flood mitigation. Since economic centres such as Amsterdam, The Hague and Rotterdam are located in flood-prone areas, water management has been a critical branch of government activity. In recent years, however, Dutch water management has undergone fundamental changes and renewal. As a consequence of factors such as climate change and a diminished natural resilience of the water system to absorb water surpluses and shortages, the emphasis is gradually shifting from technical measures such as building barriers, heightening dikes and enlarging drainage capacities, towards the acceptance of water on land. There is a strong dedication to ensuring the continued safe existence of major urban centres and their inhabitants, and evading possible flooding disasters such as the recent ones around the Danube River, and New Orleans. Within this context, a dynamic search for new policy strategies has emerged. In the Netherlands, this translates into a search for options of accepting water on land, rather than blocking it out. One of the major interests in the search for new policy strategies has been to strengthen linkages between water management and spatial planning. Linkages between water management and spatial planning express themselves in different ways. Water problems like pollution and flooding are often created on land. Urban development is often restricted,

or motivated, by the presence or lack of water. Some kinds of land-uses, such as dense urban development, can actually be a cause of flooding. Other distinct land-uses such as agriculture or industry may lead to a depletion of adequate ground water, a deterioration of water quality, the dehydration of nature areas, and other related problems. Clearly, water management and spatial planning are inherently connected. Yet the problem remains that both fields of policymaking are also essentially separated. In the Dutch case, water management tasks are rooted in the different world of principally technical engineers, who have their own system of regulation and plans and operate within well-established water agencies that have their own exclusive taxation power and well-defined geographical areas of operation (see Wolsink, 2006). However, the prevailing issues of climate change and urbanisation in flood-prone areas call for intensified integration. For this reason, Dutch water managers and planners alike are now seeking ways to strategically connect water management and spatial planning. The emphasis has shifted from water management as a separate regulatory activity, towards water as an issue in spatial planning, allowing it to take more space, and using it to create new qualities in regional development. While much is known about how planning in a regulatory way relates to water management, comparatively few insights exist about how water can help build strategic capacities in planning practice. Based on a literature review and case studies (interviews, document analysis), this paper explores how

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Table 1. Current land use in the Netherlands and estimated spatial claims for the period 2000–2030.

Type of Land Use Residential Commercial Infrastructure Agriculture Green areas Recreational areas Water Total

Land Use in 1996 (hectares)

Average estimated land use 2000–2030 Percent (hectares)

Percent

224,231 95,862 134,048 2,350,807 461,177 82,705

5 2 3 57 11 2

286,231 138,862 181,548 2,028,307 791,177 226,705

6 3 4 41 16 5

765,269 4,114,099

19 100

1,255,269 4,908,099

26 100

Note: Estimated spatial claim for water only available until 2050. Source: Adapted from VROM (2001).

efforts to synchronise Dutch regional water management and spatial planning match international insights in strategic planning, focusing on strategy making and capacity building.Accordingly, the paper considers the association between “water and space” as a strategic process, emphasising, among other things, contextual anticipation and the need for institutional capacity. 2 WATER MANAGEMENT AND SPATIAL PLANNING IN THE NETHERLANDS The challenge to establish closer links between water and land-use is considerable if we bear in mind that, in essence, decisions regarding water in the Netherlands, be it prevailing water levels, ground water depletion permits, water quality norms, strengthening sea water dikes, or river maintenance management, are made autonomously from spatial planning. Conversely, decisions about factors such as the localisation of new housing areas, business parks, or highways are also made with little consideration of the structuring forces of natural water, or their effects on water systems (Schwartz, 2004). Although water was perhaps a primary determinant of where development would occur until the industrial revolution, it gradually became a technically controllable and adaptable element, largely subordinate to the desire to create a built environment virtually anywhere in the country (Van der Ham, 1999). Table 1 illustrates a key source of the growing tension between urban land-use and water issues, showing the disparity between current and estimated land use claims to the extent that aggregated claims exceed the total available surface of the Netherlands. At more than 1.2 million hectares, future water management

claims for Dutch land is considerable (a move from 19 to 26% of the total territory), and, at the same time, overlaps other claims like urban expansion. As a consequence, demands for the multi-functional usage of land emerge. In particular, amalgamations between, for example, nature and water (e.g., wetlands), housing and water (e.g., floating homes), infrastructure and water (e.g., floating roads, public transport over water) or economy and water (e.g., recreation) have emerged (PNH, 2002). Technical measures like dikes, dams, canals, ditches and pumping-stations have been paramount for ensuring safety and protecting land in the Netherlands. However, they no longer satisfy impending problems related to climate change, such as a higher sea-water level or increasing rain. Current climate predictions for the Netherlands in particular, provide an enormous challenge. In essence, main urban centres are directly threatened by more intense rain during the winter, rising sea-water, and major flooding (EEA, 2004). The current sense of urgency about finding new policy strategies aimed at integrating issues of urban and regional planning and water management has featured particularly a shift towards allowing water to take more space (e.g., Kabat et al., 2005). Typical policy examples include, at the national level, ‘dynamic coastal management’ (where some space is tolerated for the natural process of flooded coastal land), ‘room for the river’ (featuring a conversion of dominant land-uses in the environs of main rivers such as the Rhine from urban and agricultural to water), and, at the regional and local level, ‘water storage’ (entailing ponds, parks or separate reservoirs in the immediate vicinity of houses, alleviating the immediate threat of flooding) (e.g., CWB21, 2000; V&W, 2000). For spatial planning, this kind of a new water policy implies that water claims must be taken into account for any spatial development. Water is considered as a determining element instead of being adapted to the desired spatial development. 3 THE EMERGENCE OF STRATEGIC WATER PLANNING – PRACTICE The aforementioned developments elucidate the challenge for water managers and spatial planners in bridging the gap between aquatic issues and spatial developments. A finer tuning between water and spatial planning is essential. It also implies that close collaboration between water managers and spatial planners during the strategic phases of planning and decision-making is vital. A conventional way to deal with this challenge has been to rely on regulatory practice (e.g., Schwartz, 2004). Regulatory practice refers to any action by public agencies, taking general rules or regulation as a standard for policy making. One

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of the most clearly elaborated instruments includes the so-called water impact assessment, which, since 2003, is compulsory for spatial plans such as municipal land-use plans. Its goal is to guarantee that water interests are taken into account in spatial and land use planning, so that a negative effect on the water system is prevented or compensated for elsewhere (RIZA, 2003). An emphasis on regulatory instruments such as the water assessment instrument is part of distinctively Dutch attempts to institutionalise a link between, on the one hand, the practice of managing rivers, streams, groundwater, and coastal zones, and, on the other hand, land-use planning. A clear struggle has come to the fore to shape this link in an effective way. Largescale housing sites, for example, typically feature a separated planning process by which municipalities make local land-use plans and prepare the land for private developers to build, while water boards, in a later stage, take responsibility to regulate water levels and maintain drainage canals (Woltjer et al., 2005). More recent spatial planning cases such as the Wieringen Border Lake project (North-Holland) and the Blue City project (Groningen), however, show that a strategic approach towards water planning is emerging. This approach refers to strategic capacities that aim to ‘frame mindsets’ and ‘organize attention’ from actors such as users, politicians and investors and one that attempts to transform a culture formerly focused on setting restrictions based on government control to one that anticipates emerging opportunities. It is an approach emphasising more strategic processes of adapting to threats and opportunities (e.g., Hamel and Prahalad, 1994), and investment in capacity building, or the quality of relational networks in a place (Healey, et al, 1999). More recently, new types of regional strategy making have occurred that include the emphasis on creating new institutional arenas, and on creating an integrative view on spatial strategies (see Albrechts et al., 2003). Water managers and planners are dealing with factors such as: 1) the strength of regional development options to anticipate societal change, opportunities and market insights (the principle of contextual anticipation); 2) the extent to which strategic plans mobilise core capabilities, stakeholders and decision-making capacities within the region (institutional capacity); and 3) establishing different combinations of goals, interests, issues and policy sectors (the principle of new integration). With these strategic planning key principles in mind, the paper will now turn its attention towards two cases. The following sections will first discuss a large-scale housing site (Saendelft), showing a transition towards a gradually closer strategic association between water and land. Subsequently, the paper will elaborate on more recent and strategic efforts to merge

water-management and spatial-planning considerations into multi-functional lakes (Wieringerrandmeer and Blue City).

4

LARGE-SCALE HOUSING IN ‘SAENDELFT’

The ‘Saendelft’ project is an example of a large-scale housing site set out within the scope of the so-called Fourth National Policy Document on Spatial Planning Extra (1993, acronym: VINEX). A central objective of VINEX was to create housing close to existing cities and, accordingly, to protect the open landscape and limit commuter traffic. Saendelft is situated in the municipality of Zaanstad (north-west of Amsterdam). Below, we look into the strategic features of this largescale housing project. Saendelft can be divided into a western part and an eastern part, each with its own character. The western part (3500 houses) will get the character of a park; the eastern part (1500 houses) has an aquatic character. The Saendelft case is a typical case related to the closer association between water and space. The relatively long plan history (start 1994) and its distinct role of water within the case provide a good overview of changing Dutch water policy and tensions that occur at the concrete level of planning. We will reflect on Saendelft-East in terms of strategic action and establishing closer links between water and land (Accanto, 2001; Zaanstad, 2005; HHNK, 2005), following our key points of attention related to strategic action: contextual anticipation, institutional capacity, and integration.

4.1

Initial stakeholder involvement

Many actors have been involved during the planning process of Saendelft. Actors have included the municipality of Zaanstad, private parties, the Province of North-Holland, the Regional Conference Group Amsterdam (ROA), and the Ministry of Housing, Spatial Planning and the Environment (VROM). Typically, perhaps, the water boards overall fulfilled a “deliver and go” role and were not actively involved. A key moment for this housing project occurred in 2000, when a conflict with a nearby factory about building limits (odour nuisance) resulted in a halt of the development of Saendelft. At that moment, the planning process of Saendelft-East had been completed, while the actors involved were about to start with preparing Saendelft-West. Just in that period, it became clear that the anticipated amount of surface water in Saendelft-West would be insufficient to accommodate expected rainfall. In the same period, also new water policy was presented at national level, emphasising spatial planning to take the water system into account

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(V&W, 2000). The municipality, water boards and private actors involved, therefore, used the break in the development of Saendelft to perform an evaluation about how new insights in water management, and the experiences from Saendelft-East, could be employed for the elaboration of Saendelft-West (Accanto, 2001). A key finding of the evaluation was that water system characteristics were not taken into account during decision making about location and design. It was agreed, therefore, that shortage of water storage would be realised in a green area around Saendelft (Zaanstad, 2004). There was little interaction between water boards and other actors during the planning of SaendelftWest. Knowledge and ideas from water boards about how to implement spatial development into the water system, for example, were not brought into the process. It can be concluded here that no specific efforts to build institutional capacity (trust, mutual understanding, and shared knowledge) were instigated between water managers and spatial planners during the planning process of Saendelft-West. However, it also became clear that without trust, mutual understanding and interaction, collaboration would not work. The establishment of an informal study group water management (IWB) in 1999 was as a significant step forwards. Here, actors tried to step out of normal patterns and structures, and find ways together to bridging the gap between water requirements and related land use. The fact that the IWB-group was established and an evaluation was carried out shows that there is a willingness to work together and that there was an understanding about interdependencies between water and land. Overall, for this period during the end of the 1990s and the early 2000s, clearly, water was not in the picture during the selection of objectives for the Saendelft housing site. In spite of the fact that Saendelft is built on peat and the water system is vulnerable, water simply was not on the list of potential treats and opportunities that municipalities use during plan development. There was a general feeling that water systems can be adapted with technical measures to the desired situation. Because of this, the municipality put limited effort in involving the water boards into the planning process, and, also, the water boards took a passive attitude towards the process. It is not surprising, therefore, that the water boards merely focused on short-term questions about control and implementation (e.g., ‘what water level is needed there?’). Short-term decisions within regional water system were made without an overarching water vision. A challenge to change this passive, internal focus into an active, strategic focus, thereby tightening the relation between water management and spatial planning for Saendelft, remained. This will be the focus in the section below.

4.2 Towards strategic involvement As a reply to the lack of strategic action, the municipality of Zaanstad and water board – Northern Quarter of Holland – initiated a project to create further links between water management and spatial planning through establishing a collaborative policy document entitled “Zaans Blauw”. The document features as a central objective the realisation of good cooperation between water board and municipality (Zaanstad, 2005). The policy proposal was geared towards an integrated view: “a water system that functions well is essential for our everyday environment. Such an approach not only implies preventing water flooding but also attention to water quality, health, spatial insertion, urban developments, recreation and transport” (Zaanstad, 2005). This quote makes clear a considerable shift had taken place and that the municipality was well aware of mutual interdependence of water and land. The way the making of the Water plan was organised makes it possible that networks of interpersonal relations originate and capital is built. Apart from a group government representative, there was a group of politicians involved and an external feedback group (representatives from nature organizations etc.), offering the opportunity to create a broadly based plan (framing mindsets and organise attention) that would provide direction to future developments. The initiative (Zaanstad, 2005) showed, for twelve separate areas, how the water system could function (both water quantity as water quality) and how the desired water system would look like. This approach would provide every developer or spatial planner with a certain knowledge base, which, in turn, could enlarge the change of successful interaction between water boards and municipality/private developer. In essence, we are looking here at some aspects of strategic planning, at least in terms of a coherent vision on the relation between water and space, which can be used for checking concrete spatial plans. In addition to the collaborative planning efforts between municipality and water board, both actors also made plans on their own. In line with the Zaans Blauw water plan, the “General Framework Plan” by the water board also paid close attention to the collaboration with other actors (HHNK, 2005). In this sense, the water board showed that control over the water system can only be exercised in close collaboration with other parties, who might have a better position to clarify anticipation options to changes beyond control of organization. The water board explains this as follows: “more goals can be served than only reducing the risk of flooding”, and the landscape, historic-cultural element must take into account (HHNK, 2005). A point like this is an indication that the water board had changed some of its conventional intentions. It was a move from a passive, internally focused organization, into an organization that scans the environment

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for changes and threats, is more active and broadens its goals and objectives. Their intention was to create public support: “preventing water flooding: we can’t do it alone” (HHNK, 2005). The overall emphasis, however, largely remained with regulatory action not yet as much on creating integrated views, anticipating opportunities and further strategic coordination. 5 THE ‘WIERINGEN’ BORDER LAKE PROJECT The Wieringen Border Lake case (WBL, “Wieringerrandmeer”) involves an initiative to construct a lake between former coast and impoldered land in the North of the province of North-Holland and to deliver, at the same time, houses, new economic activity, recreational facilities, improved ecological conditions and enhanced water management. This case will now be discussed following the key points of attention related to strategic action: contextual anticipation, institutional capacity, and issues of integration. Evidence from communication with key actors, related policy documents, and local newspaper articles underpin our findings. The initial idea to create a border lake south of the former island of Wieringen emerged during preparations for large-scale water works, land reclamation and impoldering in the 1910s and 1920s. The idea for a border lake emerged again in the late1980s by a member of Provinciale Staten, and during the 1990s during preparatory discussions about future spatial planning options for the region. The plan-making process shows some more fundamental signs of strategic action. In this section, we follow WBL through three consecutive stages, emphasising notions of stakeholder involvement and institutional capacity. In addition, we spend some separate discussion on the position of the water board. 5.1

Initial stages

The initial stages of WBL are related to a cooperation of local and regional government agencies (province of North-Holland, Municipalities of Wieringen and Wierringermeer, and the Water Board North Quarter of Holland and its predecessors) entitled “Water Binds”. An essential starting point was made, here, when the province sold their share in the publicly owned Una electricity company. In 2001, the province allocated a part of the profit towards WBL, and bought some pieces of land in the area. The Water Binds steering committee made as an interim decision in November 2001 to go ahead with actually carrying out a border lake (PNH, 2001). Main objectives included the economic development for the region as a whole: the “Head of North-Holland”.

There were a few clear strategic intentions. Strategic considerations by the province included the development of recreation via a new waterway for large sailing ships, the necessary continuity of agricultural activities through insuring adequate fresh water supplies, and the anticipation of further cultural and historic meaning for the area by recreating an island. The water board spoke of the need to “keep our feet dry”. Some considerations included the fact that pumping stations had superseded in a time where the river Rhine would increasingly bring water and sea levels would rise. The water objective was to create storage capacities for excessive water, and WBL could do exactly this (NHD, 2001). The Water Binds initiative toward WBL led to considerable support among participating parties and municipalities. It also ended somewhat disappointing, however, when, in 2002, national government typified the project of only regional significance, and refused national funding. Also EU funding turned out problematic. At the same time, the active participation of both water boards ended during a reorganisation into the larger water board covering most of North-Holland. 5.2

Project bureau stage

The project took another decisive turn in the second stage, when the province of North-Holland established the Wieringen Border Lake Project Bureau in 2002. An established politician and policy consultant, Walter Etty, was appointed as a project manager. Etty and his team displayed a remarkable ability to setting up initial institutional capacity for the project. During this stage, the province aimed to establish WBL further, principally in cooperation with private parties as well (PNH, 2002). The province also announced an allocation of 29 million euros (PW, 2002). A key strategic move here involved the enlargement of the project from strictly constructing a border lake south of Wieringen, toward understanding WBL as a truly regional project, potentially contributing in terms of housing and business activity to the whole northern part of North-Holland (Witte, 2005). Etty organised several meetings and conferences, such as a symposium at the Wieringermeer town hall about using a more strategic and area oriented type of planning. Several projects were actively discussed by representatives from the ministry, the municipalities, large, nationally oriented interest groups such as the Nature Reserve Foundation and, crucially, management board members of large companies. Local newspaper articles featured enthusiastic local administrators and mayors (NHD, 2003). Another important factor on contextual anticipation bears relation to market insights of key stakeholders. The strategic position of municipalities, province and water board has been subject of

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market analysis (Etty and Teulings, 2003). Public parties involved, it was thought, have a useful position to engage in strategic collaboration with private parties. The importance of adequate communication was reflected in a guiding communication plan (2003, see: Witte, 2005). There was a distinct choice not to engage in any public interaction about substantive matters as they were thought to be subject to private negotiation only. The idea was that the negotiation process could easily be damaged if in-between results would be communicated prematurely. An additional communication aspect is concerned with marketing the project. The idea was to bring the potential of WBL out into the open as much as possible. The project team participated in a broad-spectrum of meetings and conferences throughout the Netherlands about development-, and area-oriented planning. The Spatial Planning member of the Provincial Executive, Henry Meijdam, played a decisive role around this time (Witte, 2005; PNH, 2003), linking WBL to this new style of planning. With its clear emphasis on implementation, Meijdam also attracted abundant attention to the financial side of the WBL project. The provincial government put aside a budget of about 29 million euros. This decisive stage in the WBL project finished in the summer of 2003 with the decision to use an open development competition to invite private parties for financial and creative participation. This decision by the provincial government also articulated a move to the following stages in further plan-making, a move to a new internal project manager from the province, and further private involvement.

5.3

Private involvement stage

At the start of the private involvement stage, late 2003, nine interested parties were evaluated based on their conceptual capacities and their experience with implementing large scale projects such as WBL. Early 2004, five consortiums filed a strategic view on WBL, based on established basic principles by the municipalities of Wieringen and Wieringermeer, and the province of North-Holland. A jury of professionals elected Lago Wirense as a winner. The role of water as a catalyst for quality, enterprise and nature development was highly valued (PW, 2004). The Lago Wirense proposal also laid development risks related to housing and infrastructure with the private consortium, while public and private parties would share responsibility for blue water) and green (landscape and nature) objectives via a collaborative land development company (Lago Wirense, 2004). A negotiating stage followed. The provincial project bureau engaged in negotiations with Lago Wirense about the further distribution of risks, land acquisition, contracting, and financial feasibility. The results were laid down in a declaration of intent in October

2004. This declaration then had the purpose to serve as the foundation for drafting a detailed plan in 2005 (SW, 2005). In December 2004, the process came to a temporary halt when the municipal council of Wieringen expressed their disagreement. Provincial and Municipal Executives had already approved the declaration of intent. A majority of the council opposed the extent and distribution of the financial risks, and they wanted more participation in the draft plan (PNH, 2004). A few weeks with intensive dialogue between all parties involved followed. Some functional and financial details were changed, after which a considerable political support towards the declaration of intent emerged. The project followed with a move in the summer of 2005 towards establishing a further declaration of collaboration.

5.4

Position of the water board

The water board Northern Quarter of Holland has taken a very specific position in the WBL process. A key point of interest for the water board, throughout, has lain with the desire that WBL contributes to accommodating water during flooding. The water board has repeatedly made clear that it was in their strategic interest for WBL to contain space for emergency water storage. A second key demand referred to ensuring a waterway (canal) for professional usage. A third demand consisted of adequate water inlet options for regional agriculture. In addition to these claims, the water board regularly presented some overarching concerns about the direction WBL had been taking. An important concern featured the collaboration between public and private interests. The water board would have rather seen a restraint towards PPP, and, preferably, a normal tender procedure. An absolute must, following the water board was encapsulated in the demands related to water storage, a canal, and agricultural water inlets. During the last stages of WBL, clearly, the water board has taken a distance from WBL plan-making. Some of the reasons as why the water board opted to not be involved are related to the structural task of the water board. This task mainly highlights the water board as an agency for control and supervision. Strategy building is not a part of their public responsibilities. The water board did not wish to bear any responsibility if the WBL plans would not hold (NHD, 2005). There was a deliberate effort to not be legally bound to any of the agreements made. The change in position is related to the move by the province to set up a project bureau and get involved in WBL by themselves. In addition to this, also the leading notion of using WBL as an option for water storage during periods of excessive rainfall retreated into the background, mainly because of reasons related to

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public support. Water policies are now aimed at creating small-scale water storage at the local level (PNH, 2004). The water board simply lost its interest in WBL, particularly when water board priorities turned out not to be reflected very clearly in the Lago Wirense plan. Especially typical water board topics such as safety from flooding and agricultural water quality guarantees had been lost disproportionately, it seems. As a result the water board is left with strictly an advisory role, restraining from taking on any risk or contributing any funding at all (also see: PW, 2003, WFO, 2005).

5.5

Issues of integration

There is considerable agreement as to the substantive definition for the project. Although there are no truly long-term views, there is a careful selection of topics likely to appeal to a complex of interdependent parties. Initially WBL was viewed as an excellent opportunity to bring to fruition a large-scale option for the storage of surplus water. Now, generally, the project is seen to contribute to improving the image and development of the region, and to anticipate its poor economic perspective (Witte, 2005). Key actors like the municipalities of Wieringen and Wieringermeer, the province of NorthHolland, the water- and polder board Northern Quarter of Holland, and various private investors such asVolker Wessels Stevin and Boskalis have articulated as strong points the presence of clean water for recreation and living and enhanced options for water transit between North-Holland and Friesland (PNH, 2005. Some of the strategic moves during the second stage of WBL included an interesting broadening of objectives. New topics were integrated into the ideas for WBL, mainly in an effort to combine both public interests and private interests, and to ensure sufficient attraction for potential parties involved. The consultation document Etty and Teulings, 2003), therefore, featured a review of the “force-field” of potential interests involved. One example includes the combination of digging up the lake and the usage of excavated material such as sand and clay for road and housing construction. Other examples are the development, sales and management of houses, water-related industry parks, newly developed nature parks, waterdependent agriculture, and the improvement of water infrastructure beyond the region. A somewhat similar project is the so-called Blue City project, in the province of Groningen. In an effort to improve the local economy, an 800 hectares lake and related recreational and housing facilities have been created (Dammers et al., 2004).1 This project also displays a pattern of anticipating opportunities offered by 1 A detailed account on this case is available from Woltjer (2005)

a specific institutional context, and an extensive capacity building effort over a period of more than 15 years. Water has been paramount to presenting the qualities of a lake as an instrument for attractive housing and recreational options, in a context of economic depression and linking to the history of lakes and polders as a local heritage (e.g., Hidding, 2002; Woltjer, 2005).

6

CONCLUDING REMARKS

Throughout this paper, we have investigated changing linkages between water management and spatial planning in the Netherlands, and, based on this, we have introduced the emergence of a strategic approach to linking water and planning. Our evidence from policy practice suggests a departure in the Netherlands from water-related issues defined as conventional, straightforward problems featuring relatively clear-cut solutions, to water as a stronger element in regulatory spatial planning, and water as a more strategic puzzle, perhaps part of establishing new platforms for policy coordination. Table 2 provides an effort to structuring these transformations. There is a clear move away from a conventional approach. That is, the fact that inadequate water quantities and qualities require intervention by relatively independent technical experts such as engineers, who use measures such as dams and levees, and ensure conformance to environmental quality norms. As a reply to various pressures such as socio-economic development, on-going urbanisation in flood-prone land, and climate change, water is indeed converted into a stronger strategic instrument, where planners aim to stimulate the search for identifying interesting chances for multiple land-use, attractiveness and innovative solutions, or even highlighting the role of water for identity-building, quality of life, and attractiveness (Al, 2004). The regulatory level has shown various attempts at integrating water and land, emphasising a formally established role for water in local spatial plans and more advanced interactions between local and regional public agencies. Our scan of recent Dutch experience also suggests, however, that regional planning efforts now articulate an emphasis on setting strategic projects with water as a key element. Overall, however, there also is a lot of prudence with regard to assuming principally a strategic planning style. While the attention to building social relations, informal networks, and informal arenas is crucial, at the same time, is a underlying tension between the interpretation of responsibilities and new strategic water planning.An essential type of prudence is related to contacts with private parties. While municipalities and, increasingly, the province put unambiguous focus on finances, private involvement, and ad hoc financing, and read their strategic context progressively more

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Table 2.

Integration strategies for water management and spatial planning. Functional-sectoral

Comprehensive-integrated

Regulatory 1. Conventional Water management approach Key objectives: • Public management of water quantity and quality Key instruments: • Technical expertise • Functional separation of water • Reliance on draining water away and blocking water out • Reliance on norms and standards Strategic 3. Water planning approach Key objectives: • A politically and socially strengthened role for water management claims Key instruments: • Separated water management regions and agencies • Water management claims in land-use decisions • Ensuring sufficient space for water

in terms of market forces, water boards tend to keep a distance here. The strategic approach is anchored in the idea that there is a need for investment in institutional capacities related to integrating water considerations in regional planning, and vice versa. This is an important, yet challenging mode of policy making as there are impeding institutional conditions, as shown above for the Netherlands, with regard to assuming principally a strategic water planning style. The attention to building social relations, informal networks, and informal arenas, in which water can serve as a vehicle for creating and ensuring some qualities related to attractive living and working conditions, then, while anticipating problems such as climate change, and urban development pressures, becomes crucial. As shown in our examples, it is spatial planners in particular that are interested in using water as an element in strategic planning. REFERENCES Accanto (2000). Omgaan met water in Saendelft. Lerend omkijken naar Oost, Vooruitkijken naar West. Utrecht. Al, N.M. (2004). Water biedt kansen. [Water offers chances]. Rooilijn, 10, 504–509. Albrechts, L. P. Healey, K. Kunzmann (2003), Strategic Spatial Planning and Regional Governance in Europe. Journal of the American Planning Association 69(2): 113–29.

2. Spatial Planning approach Key objectives: • Water as an element in broader policy making Key instruments: • Stronger references to water in the regulatory practice of spatial planning • Water as a quality element in planning 4. New water culture approach Key objectives: • Water as an element of social coherence and social participation, a new water culture Key instruments: • Building strategic capacities towards new land-uses, new identities • New platforms for coordination • Water as a vehicle for attractive living and working conditions

Arcadis (1999). Water in ruimtelijke ordeningsbeleid: evaluatie VINEX-waterbeleid. [Water in spatial planning: evaluation of VINEX-water policies]. (Report nr. 682/CE99/1221/14285), The Netherlands: Arcadis. CWB21 (2001). Waterbeleid voor de 21e eeuw. [Water policy for the 21st Century]. The Hague, the Netherlands: Commissie Waterbeheer 21e eeuw. EEA (2004). Mapping the impacts of recent natural disasters and technological accidents in Europe. (Environmental issue report No. 35). Brussels: European Environment Agency. Etty, W. enTeulings, B. (2003). Consultatiedocument publiekprivate samenwerking Wieringerrandmeer, Projectbureau Wieringerrandmeer. EU (2000). European Water Framework Directive (WFD). (Directive 2000/60/EC of the European Parliament and of the Council). Brussels: European Union. Ham, W. van der (1999). Heersen en Beheersen. Rijkswaterstaat in de twintigste eeuw. [Rule and control. The Department of Public Works in the Twentieth Century]. Zaltbommel, the Netherlands: Europes Bibliotheek. Hamel, G., & Prahalad, C.K. (1994). Competing for the future. Boston: Harvard Business School Press. Healey, P., A. Khakee, A. Motte, B. Needham (1999) European Developments in Strategic Spatial Planning.;uropean Planning Studies, 7/3: 339–56. HHNK (2005). Raamplan Bescherming tegen wateroverlast, District Zuid-Oost {General Framework Protection against Water Nuisance, South-East district’}, Hoogheemraadschap Hollands Noorderkwartier, Purmerend.

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Kabat, P., Vierssen, W. van, Veraart, J., Vellinga, P., & Aerts, J. (2005). Climate proofing the Netherlands. Nature, 438: 283–284. Lago Wirense (2004). Water als drijvende kracht voor een nieuwe economie. Inzending ontwikkelingscompetitie voor het Wieringerrandmeer. NHD (2001–2005). Series of newspaper articles, North Holland Daily Newspaper, Alkmaar. PNH (2001–2005). Series of press releases, Province of North-Holland, Haarlem. PNH (2002). Meervoudig Ruimtegebruik met waterberging in Noord-Holland. [Multiple usage of land through water storage in Northern Holland]. Provincial Government of North-Holland. Gouda, the Netherlands: Habiforum. PNH (2004). Partiele Streekplanherziening Water, Provincie Noord-Holland, Haarlem. PNH (2005). Ruimtelijk Ontwikkelingsbeeld Noord-Holland {North-Holland Spatial Image Perspective, Province of North-Holland, Haarlem. PW (2002–2005). Series of newsletters, Project Bureau Wieringerrandmeer, Haarlem. PW (2003). Verslag inlichtingenbijeenkomst Ontwikkelingscompetitie Wieringerrandmeer, Raadszaal gemeente Wieringermeer, Projectbureau Wieringerrandmeer, Haarlem. PW (2004). Juryrapport Ontwikkelingscompetitie Wieringerrandmeer, Projectbureau Wieringerrandmeer, Haarlem. RIZA (2003). Handreiking Watertoets. [Water Assessment Manual]. Lelystad, the Netherlands: Dutch Institute for Inland Water Management and Waste Water Treatment. Schwartz, M. (2004). Water en ruimtelijke besluitvorming. [Water and spatial decision making]. Groningen, the Netherlands: Geo Pers.

SW (2005). Declaration of Intentions, by Lago Wirense Group, Boskalis, Volker Wessels Stevin, Province of North-Holland, municipalities of Wieringen and Wieringermeer; Stuurgroep Wieringerrandmeer, Haarlem. V&W (2000). Anders omgaan met water: waterbeleid in de 21ste eeuw. [A different approach to water: water policy in the 21st century]. The Hague, the Netherlands: Ministry of Transport, Public Works and Water Management. WFO (2005) Hoogheemraadschap bezorgd over gevolgen plan-Wieringerrandmeer; WaterForum Online Nieuws, 9 juni 2005. Witte, T. (2005). Publiek Private Samenwerking: een onderzoek naar de rol van provincies bij bovenlokale ppsprojecten; doctoral thesis University of Amsterdam. Wolsink, M. (2006). River basin approach and integrated water management: Governance pitfalls for the Dutch Space-Water-Adjustment Management Principle. Geoforum, 37, in press. Woltjer, J. (2005). Casebeschrijving ‘Blauwe Stad’, FRWRuG. Woltjer, J., N. Al (2007). The integration of water management and spatial planning; Journal of the American Planning Association, 73. Zaanstad (2004). Structuurplan Randzone Saendelft, voorontwerp. Zaandam. Zaanstad (2005.) Visienotitie Waterplan Zaanstad {Policy Outlook Waterplan Zaanstad}, Gemeente Zaanstad & Hoogheemraadschap Holland Noorderkwartier Zaandam/ Purmerend.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Exploring the relationship between water management technology and urban design in the Dutch polder cities F.L. Hooimeijer Department of Urbanism, Faculty of Architecture, Delft University of Technology, Delft, The Netherlands

ABSTRACT: Dutch polder cities have been heavily influenced by technological innovation and historical transmission of water management techniques: the ‘fine tradition’. But as civil engineers relied more on technological solutions to address water management, less value was given to spatial characteristics and aesthetic quality of designs. The evolution of water management approaches in the context of the Dutch polder cities can be ordered in six phases, each characterised by the relationship between design and technology: acceptation (−1000), defensive (1000–1500), offensive (1500–1800), early manipulative (1800–1890), manipulative (1890–1990) and adaptive manipulative (1990- today). Today, as increased flood risk due to climate change is of growing concern, purely technological approaches are insufficient. Only by reintroducing ‘the fine tradition’ – based on a strong relationship between water management and urban design, will a new, successful model for Dutch polder city emerge. Keywords:

1

Civil engineering; climate change; polder; urban design

INTRODUCTION

The Dutch have a rich and internationally renowned ‘fine tradition’ when it comes to the intense relationship between urban development and civil engineering. Their expertise and knowledge of hydraulic laws and water management technology have helped them to successfully make land out of water: polders. A greater understanding of the ‘fine tradition’ is vital in solving current problems and to mitigate potential flood risks associated with the creation of human settlements in water landscapes. This research attempts to outline historical, current and future relationships between urbanisation and water management in the polder cities and is based on the hypothesis that ‘the fine tradition’ is built on a strong, self-evident relationship between water management and urban design. Surprisingly, a comprehensive and systematic overview of this relationship, or even an overview of methods of site preparation have never been attempted. 1.1

Polder cities

The peat polder city, the oldest polder city, was started on higher grounds of river, coastal, burcht, geest (sandy soil between dunes and polder), dike, hill and dam cities. This higher, levelled ‘dry core,’ characteristic of the peat polder city, provided a suitable area for human settlement. As the city expanded, the

surrounding wet and weak soil, having often been prepared for cultivation, but not yet prepared to be built upon, was expropriated for human settlement. In order to expand the city, there was a need for strict control and planning of development of land. First, an appropriate size of the planned expansion was determined. A technical plan was then devised to ensure that water could be discharged and controlled, while the water in the city canals maintained a constant level. In most cases, the building process was begun by constructing a circular canal (singel) connected through the expansion area by means of a sequence of parallel canals (Burke 1956). Using sluices and windmills, the water level of the canal system was regulated and excess water discharged. Reclaimed land needed to be raised in order to provide adequate flood protection; it was then consolidated and prepared for building. Mud excavated from the canals was used for raising the level of the land and piles were driven in the ground in the deep-set stratum to stabilise the foundations of the houses. As the creation and development of reclaimed land is planning and labour intensive (land must be raised, drained and protected) random development cannot be tolerated in polder cities. Reclaimed land demands the use of optimal and intensive land-use practices (Burke 1956). During the 20th century, the world of urban design and engineering drifted apart, but as the changing

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Figure 1. The original dry core and polder expansion of Alkmaar.

climate puts pressure on polder cities, both disciplines must work together to build water management systems capable of adapting to environmental fluctuations.

2 THE SIX PHASES OF WATER MANAGEMENT The task of urban water management bridges the disciplines of civil engineering and urban design. Throughout the history of the Dutch polder cities, different attitudes and approaches towards dealing with water are evident (Van der Ham 2002). The following phases are used to order the progress of technology in relation to building site preparation and the subsequent affect on the design of cities: acceptation (until 1000), defensive (1000–1500), offensive (1500– 1800), early manipulative (1800–1890), manipulative (1890–1990) and adaptive manipulative (1990–today).

2.1 Acceptation, defensive, and offensive phases The dynamics of the regional water system, which include groundwater and rainwater in combination with surface water, are crucial for the process of development and urbanisation of the Dutch polders. In the phase of acceptation the inhabitants were subjected to the forces of water and wind and lived on higher grounds; they simply accepted the situation and surrender to the forces of nature. The defensive phase started around 1000 A.D. and is referred to as the ‘great reclamation’ of agricultural grounds. Such measures of defence against rising waters had significant influence on the design of cities. The most conceptually interesting type of city is the dam city, like Amsterdam and Rotterdam, because of its overlapping structure: the integration of economics, technology, and beauty.

The first generation of large-scale dike rings was built in the thirteenth and fourteenth centuries. On the location where a dike crossed the watercourse, a dam was built. Apart from this dam function, the dam ensured discharge of the river water into open water by means of a drainage sluice. Together with tidal movements, drain water was used in a practical way in order to ensure the depth of the harbour as well as city access for sea-going vessels. The drainage sluice could support only smaller ships, so goods from larger vessels had to be off-loaded and transported by other means or sold on the dam. As a result, the dam turned into a trading market, and the estuary outside the dikes of the peat river became a sheltered harbour. The dam city and polder become hydraulically and economically connected. The beginning of the offensive phase is situated in the 1579 formation of the ‘Republic of Seven United Netherlands’ when an organized army became available to assist with the building of fortifications, canals and bridges, as well as detailed surveying. The army quickly became experienced in building fortifications and working with the wet and weak grounds of the Dutch territory. Also in this period, Charles-Augustin Coulomb (1736–1806), Bernard Forest de Bélidor (1697–1761) and Daniel Bernoulli (1700–1782) prepared some of the first scientific writings on the topics of soil and flow mechanics. 2.1.1 Dutch renaissance The seventeenth century was a Golden Age for the Republic and for its cities; it was a period of significant polder expansions. The cities stepped away from their “dry core” and, with diligent planning, raised and drained expansion land. The political independence gained by the Republic created an environment that stimulated progress and creativity in science, technology, and art. The expression of this time of relative prosperity in regard to urban design is Simon Stevin’s (1548–1620) ‘Ideal City’, as he described in Designing Cities (1649). His design is based on existing size and structuring principles used in agricultural engineering and urban design. These perspectives of water management, derived from the pattern of the polders, are directly applied in his city. As an urban engineer and creative thinker, Simon Stevin provides the first example par excellence of the potential to integrate hydraulics with a greater urban vision. An important characteristic of both the Dutch Renaissance and polder cities is the concept of consensus building and the absence of any idealistic expression. The Dutch tradition of striving to achieve group consensus (the so called ‘polder politics’) is directly related to the fight against water. Wealthy land owners recognized their reliance on farmers to help keep the land dry; conversely, farmers leveraged their position to serve their own interests (Lendering 2005).

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Figure 2. Early transformations of the Amsterdam landscape.

Figure 3. Simon Stevin’s Ideal City.

While the Ideal City of Simon Stevin was never built, the plan for the grachtengordel (ring of canals) of Amsterdam (build around the 1620s) is of a similar conceptual quality. Hendrik Jackobzn Staets and surveyor Lucas Jansz Sinck’s plan focused on land restructuring, surveying, and water management and was carried out in cooperation with the merchants for whom the city expansion was built. Those creating Amsterdam’s expansion were not chasing an idealistic view of a capitalistic city as other those in other European cities often did, but implemented this design as a blueprint for the successful juxtaposition of social and economic elements that exploited water management knowledge and techniques of the past and present and innovations in technology (Wagenaar 1993, 9 12).

2.2 Early manipulative (1800–1890) The beginning of the 19th century is characterized by an explosion in population and rapid industrialisation; the transition from hand to machine labour resulted in significant changes in the urban landscape (Van der Ham 2002). These changes also brought about improvements in hydraulic technologies, making it easier to not only control water, but manipulate it. The building of cities on wet and unstable soil is dependent on three fields of knowledge: general hydraulics of water management that consider larger water systems like rivers, lakes and sea; soil mechanics or the study of soil characteristics that can be used to determine the carrying-capacity and ground water and soil flow (parallel to soil mechanics is the

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development of pile foundations and of drain systems), and; the development of engine power that allows for the movement of large quantities of soil and water. General water management is the prime interest of the military and civil engineer. The discipline of civil engineer is institutionalized due to the French occupation (1795–1813). The French bureaucratic and centrally organized governmental structures were superimposed on the Dutch administration. Water management became of national concern and the schooling of engineers in the 19th century was facilitated by the Royal Military Academy (started 1805) and the Royal Academy in Delft (started 1842). The main projects of the civil engineers in the 19th century consisted of building channels and draining the Haarlemmermeer (1848–1852). Zuidplaspolder (1836–1839), the first great drainage project, used (experimental) steam engines (and 30 windmills). The spatial organisation of 19th century cities is characterised by the separation of conflicting functions and the bundling of functions which belong together (Van der Woud 1987). In this period, the city architect held the title of director of Public Works. Instead of an architect, he was a technician and manager of a government service. His task was complex and extensive, and often he often operates independently of the city council. The city architect of Rotterdam, military engineer W.N. Rose (1801–1877), designed the first expansion of the city of Rotterdam, the Water Project, and made critical use of steam engines an a means to manipulate the behaviour of water in the landscape. The plan served three objectives: it flushed the city centre water to improve water quality; lowered the ground water level to facilitate urban expansion, and; simultaneously created a pleasant living environment for the well-off citizens and a efficient pedestrian environment that addressed the needs of the poorest inner-city dwellers. Rose, like Stevin’s, provides an excellent profile of an urban engineer that combines hydraulic knowledge with city design, using characteristics of the landscape and patterns of ditches and dikes, for to structure the city. This logic is still visible and hydraulically important today, providing the (bombed) city with historical sense and providing water surface to discharge tropical rainstorms. That Rose used the steam engine to control the water and lower the ground water table as a mean of building site preparation marks the beginning of the manipulative era.

2.3

Manipulative (1890–1990)

In building site preparation new means of harnessing energy (burning of fossil fuels) allowed for greater possibilities in the scale of land reclamation; it also

Figure 4 and 5. The 1954 Water Project Rotterdam in plan and section.

increased the scale of water management systems required to maintain the land; land could be made out of water. The scientific research in soil mechanics matured throughout the this century leading to the development of better and refined ways of building site preparation by not only controlling water, but manipulating it. While the functional meaning of water became less significant, ‘nature’ in the city gained proportional interest. Besides traffic, buildings, and water, a new element in the city structure was (re)introduced: public space, yet each system remained separate and isolated. These elements coincided in traditional cities, such as in the Amsterdam grachtengordel where one single main structure containing all elements, but now each seemed disconnected from any larger system. This breaking up of various structures mirrors the segregation that existed between civil engineering and urban design. The designers of the grachtengordel and the Water Project were military engineers, and autodidact visionary urban designers. But near the beginning of the 20th century urban design became

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Figure 6. The reintegration of water and the urban landscape in the 1970s.

an autonomous discipline and the tasks were divided. Civil engineers solved the water problem and offered the urban designer the possibility of designing a plan around their plans. Water became a waste product, and was routed alongside the boundaries of districts and integrated into the infrastructure or larger green spaces. Civil engineers preferred to use underground pipe systems that seemed more controllable than surface water. Similarly, the large reclaimed parcels of land provided urban designers a tabula rasa which required little concern to be paid towards water or natural ecological systems. While in areas of the cities developed prior 1940 the total surface contained 12%–15% of water, post-war city expansions, saw this often reduced to less than 5%. 2.4 Adaptive manipulative (1990–today) The refinement of technology in the last decades of the 20th century made it possible to protect the increasingly vulnerable place between water and land. The notion of integral water management emerged, and with it new design objectives and physical, chemical, and biological management techniques. In many countries, consulting companies that specialise in soil mechanics also deal with foundation engineering concerned with the application of soil mechanics principles to the design and the construction phases. Together, soil mechanics and foundation engineering are often referred to as geotechnics and many different types of piles, and techniques to drive them, resulted from this collaboration. In particular,

the use of lightweight materials such as polystyrene foam and granules allowed the building process to begin immediately without concern for subsidence. In response to the technocratic approach towards urban design experienced in the 1950s, the 1970s saw the ecology of water brought, once again, to the attention of the urban designer. The challenge of working with water in urban design, often using it as a foundation, was accepted by urban designers. On the other side, civil engineers acknowledged a need to move away from rigid and purely technological approaches to water management, instead, wanting in incorporate natural rules of water. From the seventies, various plans to re-establish previous waterways were developed and realised. For example, in Utrecht part of an old outer canal was once again excavated after it had been filled in for traffic purposes (De Vries 1996). In contrast to the sober reconstruction of the Netherlands, the natural qualities of green and blue were well suited for the residential areas built in the 1970s. Influenced by books such as Rachel Carson’s “Silent Spring” (1962), more attention was given to the protection, conservation and integration of ecological systems. Carson inspired some designers to view nature and city as more of an integrated system rather than two separate, distinct and incompatible worlds (Steenhuis and Hooimeijer 2003). In the 1980s, as a result of economic recession, attention to public areas decreased, which was of great influence to the application of the singels as a natural element. The profile of the singels were quickly reduced to being functional and virtually maintenance free as there were little or no financial means available for building high-quality public areas. In the nineties, the rediscovering of water as an element of urban development and composition coincided with the effects of the changing climate. The most recent law, the Watertoets (2003, Water Test) states that new expansion districts must comply with strict hydraulic conditions and positions the districts are pieces of larger systems. If a municipality interferes with part of the system the consequences for the complete system must be considered. For this reason, many municipalities have created a water plan, which also maps the hydraulics in the existing city, sets guidelines, and defines future spatial growth strategies. With regard to polder cities the emphasis is on maintenance and storage instead of the transferring of rainwater. For example, temporary water reservoirs in public areas are used for polder cities, in the form of wadis or by using roofs which can temporarily retain water (such as green roofs), reservoirs to collect rainwater for use as toilet water, more gardens and ponds instead of tiled terraces, and fully built inner areas and more surface water in the district; surface

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runoff and rainwater are to be collected in a separate system. In many new development districts, surface water is given a structural role similar to how it was used in the past. In IJburg, the water serves as a backyard, and creates a division between private and public areas. This natural boundary makes living next to water quite popular, as it provides a natural ‘fence’ and is often a valuable resource.

3

CONCLUSION

In surveying the historical relationship between technology and the design of polder cities, one can only conclude that their evolution has been dominated by technological prosperity. The Netherlands is a water machine of which all cogs are connected to each other. The Dutch cities are hydraulic constructions, with a spatial layout that is strongly connected to the rules of the water. This overview in six phases offers insight in what ‘the fine tradition’ is and how the relationship between water management and urban design has evolved through time. During the phase of acceptance and defence (−1500) there was a great coherence between humans’ actions and the logics of the water system, based on a flexible (mental and physical) attitude. This attitude might also be useful in the future, as the need to adapt to extreme fluctuations becomes greater. In the offensive phase, technological knowledge was developed in coherence with the acknowledgment of unpredictability inherent in natural systems. This provided opportune conditions for economic prosperity and the freedom to experiment with new techniques. In the early manipulative phase we can see the example of integrating different urban tasks in one plan: the Water Project. Water should not be handled as a separate problem, but as a task that also brings quality and conditions for a better living environment. Designers have ignored their responsibility to water management during the phase of manipulation. The great post war building boom often occurred on large ‘blank canvases’, where all the technical aspects were dealt with by the engineer and of no concern to the urban designer. This technical approach of management has been leading up to the current situation wherein changes in climate (and more extremes in

weather phenomena) may cause severe and unpredictable flooding in the polder cities. The days of pipes and pumps are over. The water must be reintroduced and reintegrated into the urban landscape; future water systems need be flexible and self-cleaning. This requires a spatial approach where fluctuations in water supply and ecological water systems have to be accounted for and built environment prepared accordingly. Projects like the grachtengordel and the Water Project illustrates that the Dutch expertise in regard to the integration of design and construction in water cities does find its roots in the collaboration between those in the fields of urban design and civil engineering. There is a need to further strengthen this relationship to ensure the future success of the polder cities as changes in climate occur. REFERENCES Burke, G.L. (1956). The making of Dutch towns. A study in urban development from the tenth to the seventeenth centuries. London: Cleaver-Hume Press. Carson, R. (1962). Silent spring. Greenwich: Fawcett publications. Ham, W. van der (2002). De Historie. In: Buuren, M van a.o. (red.) WaterLandschappen, de cultuurhistorie van de toekomst als opgave voor het waterbeheer. Lelystad: Ministerie V&W, RIZA. Kostof, S. (1991). The City Shaped: Urban Patterns and Meanings through History. London: Thames and Hudson. Lintsen, H.W. (1980). Ingenieurs in Nederland in de negentiende eeuw. Een streven naar erkenning en macht. Den Haag: Martinus Nijhoff. Musson, A.E., and Robinson E. (1969). Science and technology in the industrial revolution. Toronto: University of Toronto Press. Rittel, H.W.J., and Webber M.M. (1973). Dilemmas in a General Theory of Planning. Policy Sciences, 4: 155–169. Schot, J.W., et al. (ed.) (1998). Geschiedenis van de techniek in Nederland in de twintigste eeuw. Walburg Pers, Zutphen. Steenhuis, M. and F. L. Hooimeijer (2003). Herinneringen aan twintig bewogen jaren. Blauwe Kamer 1: 53–57. Verruijt, A. (2001). Soil Mechanics. Delft University of Technology, Netherlands. Vries, M.L. de, (1996). Nederland Waterland. Den Haag: RDMZ. Wagenaar, C, (1993) The critical city: Lewis Mumford’s view on Amsterdam, In: Kunstlicht, 3/4: 9–12. Woud, A. van der (1987). Het lege land, de ruimtelijke orde van Nederland 1798–1848. Contact, Amsterdam.

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Ghent: Water as a structuring element of urbanity A. Zajac Autonomous Municipal Ghent Development Authority, Ghent, Belgium

Y. Deckmyn Urban Renovation and Local Action, Ghent, Belgium

ABSTRACT: The city of Ghent is an interesting example of a city that has a varying relationship with its own water infrastructure. Water has played a key role to the historical evolution of the city, specifically in relation to living conditions for residents and the economy. While it was regarded as a problem in the past, cities and urban planners have more recently rediscovered the benefits of urban water elements Ghent demonstrates how past water systems can be reused and regenerated in a way that breathes new life into the city. In certain cases, sustainable water infrastructure can truly be the basis for future urban planning and design. Keywords: docks; Ghent; harbour; new urban quarter; port; urban planning; revitalisation; waterfront evolution; water transport

1 1.1

REDISCOVERING WATER IN THE CITY

1.2 Through cranes

From windmills

During the Roman period, the town of Ghent started to grow around the confluence of the rivers Lys (in Dutch: Leie) and Scheldt (Schelde). Its name, the Flemish term “Gent”, was derived from the Celtic word “Ganda”, which means confluence. By the 12th century, Ghent had become a flourishing city due, in part, to a lucrative cloth trade. Until the 13th century, Ghent was the second biggest city in Europe north of the Alps, preceded only by Paris. By the late 15th century, with the cloth trade in decline, Ghent had shifted its economy to shipping, making use of the rivers Lys and Scheldt. In the latter part of the 15th century, however, the closing of the Scheldt brought about economic decline, not to be reversed until the revival of cloth and textile industries during the industrial boom of the 19th century. Due to the success of the cotton industry, Ghent grew into one of the most important industrial centres of the French Empire. The Ghent-Terneuzen canal was constructed and Ghent continued to prosper as an industrial centre. As water traffic and port activities increased, the sea canal was extended; industrial activities developed in the city centre as well as in the docks, where windmills were being replaced by industrial cranes.

A century ago, canals and other urban water bodies were commonly filled in, in an effort to reduce the spread of cholera and tuberculosis; open urban water, often used as open sewers, was viewed as a threat to public health. It was often not seen as a loss, as many canals and waterways had lost their function as supply routes; trains and later trucks became far more important means of transport. The danger was not only merely pollution, but also its unpredictability. In the 19th and early 20th century, water became a regular menace to the city as a result of high water levels. Moreover, after the Second World War, the number of cars rose spectacularly and watercourses were filled in or vaulted to make room for new roads or parking lots. By filling in the Lower Scheldt (Nederschelde) in 1960, the historical confluence of Scheldt and Lys disappeared. 1.3 To bridges Already in the mid 1970s attitudes were changing. Important investments in water treatment systems occurred, and a comprehensive collector plan which drains the sewage waters towards a purification unit was constructed, eliminating the need to empty waste directly into the rivers. From the end of the 20th century on, lost canals and ports that had become

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obsolete, neglected, or underutilised were re-valued. The benefits of urban watercourses, to attract tourist and to improve the quality of life for city dwellers for example, became apparent. In short: proper use and integration of water could render the public space more attractive and effectively enhance the economy. 1.4

Spatial structure plan of Ghent: A long term vision on spatial development

During recent years, Flanders has introduced structure planning as an essential alternative to functional zoning. It is an important tool that allows city policy to provide strategic choices and actions in planning. At the same time, the structure plan is very helpful to realize long-term visions. As in Flanders, it was benefitial to have a structure plan at the municipal level in Ghent. The Spatial Structure Plan of Ghent was adopted in 2003 and aims to encourage sustainable spatial development. The plan provides short-term and long-term vision and certainty for all actors, with a special focus on spatial elements and key issues. It has no direct effect for citizens and is integrated with structural plans on other levels in Flanders and the province. Specific issues addressed by the plan include a lack of green spaces, outflow of residents from the city, too densely built 19th century belt neighbourhoods, high amount of derelict buildings Flanders, a lack of adequate zones for economic activities, underused train stations, and the public transport network. 1.5

Spatial structure plan of Ghent: The city vision on water

In the plan, the city describes its vision of water as follows: “The water and the confluence of the Lys and Scheldt rivers form the basis of the origin of Ghent. Still now, water remains an important structuring element for nature, economics (port, Ring Canal) and parts of the scenery in and around the city. Although it has been quite affected in the past (by filling in, vaulting, canalization, pollution) and though it may have become less functional, water in Ghent is still very present, compared to all other big Flemish cities (except Bruges). It also offers interesting opportunities to have a more directing function again in the spatial development of the city.” “These chances should be taken to their full extent, in order to strengthen the functioning of the city in several areas and to emphasize the typical character of Ghent as a ‘city of water’. The protection of valleys and water meadows, the expansion of water recreation and round tripping, the use of river banks in the city for green axes, view lines and more green in general, the creation of attractive gables (in case of representative buildings) facing the waterfront, the increase of living upon the water, the intelligent expansion of slow transport for both persons and goods and the optimization

Image 1. Green isles in the city centre of Ghent.

of nautical access to the port are parts of this active water policy.” An important component of the city policy is the implementation of linear parks, called green axes, which in most cases have watercourses as a main structure. Since the waterways in the city centre and some traffic areas lost their initial economic role, they developed into valuable topographical and ecological sites, offering unexpected opportunities for walking and cycling and for recreational purposes. Existing parks, public squares, private gardens and small green elements are included in this landscape.Along the river banks, continuous cycling paths and promenades are laid out, linking the inner city with the exterior areas. The rivers are also the backbone of the ecological structure of the city. Nature development along the riverside is very important and is achieved in two different ways: adding vegetation on quay walls and by fixing so-called green isles along the quay walls. These “floating islands” are planted with vegetation taken from the large nature reserve near the city. They function as stepping stones for the (re)development of nature in the city centre. The revaluation of the inland waterways also offers new opportunities for recreational water excursions and tourist cruises. The waterways offer opportunities for complementary public transport on water. 1.5.1 Opening of the Lower Scheldt watercourse (Nederschelde) The Lower Scheldt project is a perfect illustration of the renewed respect for the recreational, economic and historical value of water in the city. Already in 1885, part of the waterway was covered, in order to secure a smooth link between the former South railway station and the city centre and to create a new town square. In the 1960s, due to city growth and water pollution, the remaining part was filled in up to the Lys estuary, except for a small section at the Castle of Gerard the Devil. At the beginning of this century the city of Ghent aimed to restore the broken connection between the rivers Lys and Scheldt, to provide pleasure craft

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Image 3. The Graslei and Korenlei have become a real place-to-be for youngsters.

Image 2. In 2005 Portus Ganda was officially opened.

passage through town, combining this with re-zoning for the creation of public space and a marina. The Spatial Structure Plan for the city of Ghent proves the intention: “The Lower Scheldt is being re-opened, so that the historical water pattern of the city will be readable again. From a historical point of view, this waterway is significant because of the origin of the Portus Ganda here. Near the Laurent square, the historical bond with the water is far more important than the construction of the Laurent square and parking lot a century ago.” Already round the year 2000, Ghent started restructuring the Portus Ganda marina area to be situated at the historical cradle of Ghent, the Lys and Scheldt confluence and Saint Bavo’s Abbey. The Rodetoren Quay would be stepped, making it an ideal spot to relax with a view on the Veer Quay across, which would be extended with wooden jetties and boardwalks and the surrounding area enhanced with street furniture. On 30th of April 2005, the fourth marina of Ghent was officially opened. Meanwhile, an extensive part of the Lower Scheldt has already been uncovered. And recently, on 18th of February 2008, the Bavo, the Nieuw and Wijdenaard Bridges were officially opened. The opening of the last part of the Lower Scheldt is planned for the year 2011. 1.5.2 Reconstructing the Graslei and the Korenlei as a pedestrian area For ages, the heart of the port of Ghent has been beating in the centre of the city. The Korenaard, where goods were discharged, originates from the 10th century. It includes both the Graslei and Korenmarkt. Around the year 1100, ships also started using the west bank of the Lys (what is now called the Korenlei). Goods were stored in staple houses along the “aard” and Lys. After the Second World War, the historical quays were transformed into open-air car parks. The old quay walls suffered under the heavy weight of traffic. In the meantime, the water of the Lys was being heavily polluted. By the end of the 1960s, the opening of

the Ring Canal around Ghent marked the end of commercial shipping into the historical centre of the city. Furthermore, the passage was made physically impossible by the construction of a fixed concrete bridge and the development of a car park over the Lys. The first plans of redesigning the Graslei and Korenlei were developed by the Ghent city council in the mid 1980s. With this project, the city aimed to return this unique site to pedestrians. Vehicles would be banned and the Graslei and Korenlei would become part of the ‘pedestrians only’ area in the centre of the city. But not everyone supported the plan. as retailers and residents had concerns over parking and access. As a matter of compensation, the city had to build the Sint-Michielsparking nearby. In 1995 wastewater collectors were built, and from then on the plans could be carried out. The quality improvement of surface water was an important precondition for the revaluation of this site. Also, a solution had to be found for the seriously destabilized quay walls that had suffered from heavy traffic during previous decades. The construction of a multi-stage embankment reduced the pressure on the quays and transformed the original road with its two levels into a promenade (on ground level) and a lower embankment, which created an intimate connection to the Lys waterway. Since cars have been banned and the Graslei and Korenlei have turned into a ‘pedestrian only’ area, urban pedestrian life and activities has taken over rapidly. The Graslei has become the place-to-be for youngsters and for those who want to escape the busy centre of town. Moreover, on both banks leisure boats can now be moored for boat tours. 1.5.3 The New Front Harbour project (Nieuwe Voorhaven) Not only in the very centre of the city is the value of water being restored. Also the dockyards area to the

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north of the centre will receive a major transformation during the next twenty years. The Old Dockyards project (Oude Dokken) as well as the New Front Harbour project (NieuweVoorhaven) will radically change the view and the function of an entire part of the city. The aim of the New Front Harbour project is to redevelop the former harbour area called Front Harbour (Voorhaven) and to enhance the liveability and employment opportunities in the neighbourhood. The abandoned cotton hangars will provide space for new houses, offices and shops. A big metropolitan square, where major events can take place, will be built where hangar 21 used to be. In the Voorhaven avenue, the central street in the area, a local park will be built, offering recreation and sports facilities. To increase the accessibility of the area, surrounding streets will be reconstructed and a cycling path will connect the New Front Harbour with Wondelgem, the Meulestede area and the city centre.

2 THE OLD DOCKYARDS PROJECT 2.1

Situation and history

As the area is situated near the historical city centre, it is easy to reach and full of potential for future developers. In 2003, the Ghent city council took decisive action by including a vision for the area in the Spatial Structure Plan; “an approach of social, economic and physical rejuvenation of the Old Dockyards would lead to the development of an area of mixed use, a new, sustainable, mostly residential urban quarter.” The development of the Old Dockyards project by the city of Ghent is being supervised through a partnership between the city and the Autonomous Municipal Ghent Development Authority (AG SOB). AG SOB was established in 2003 by the city council of Ghent and by approval of the Flemish Minister of Home Affairs, Culture, Youth and Administrative Affairs and is comprised of a multidisciplinary team of architects, urban designers, lawyers, and other experts. 2.2 Master planning by OMA In 2004 the Ghent Development Authority organized a European urban design competition for the Old Dockyards project; the winner was Rotterdam’s Office for Metropolitan Architecture (OMA). While historically the North-South docks borderline had always been a dominant factor of the site, OMA proposed to rotate the structure, opening the views up to the waterfront and the city beyond, and adding new transverse canals. This was the start of a new vision towards the eventual evolution of the city’s waterfront areas.

The Old Dockyards area is situated around the three oldest docks of the city (Achter, Handels and Hout docks), just outside the historical city centre, between the 19th century belt and the railway station. In the Middle-Ages, this area held a strategic position: it was a wasteland that could be flooded within a very short time, to protect the city against foreign armies and enemies. The first dock, Handels Dock, was built in 1860, parallel with the fortress and the moat. During recent years, because of port expansion, the main harbour area and activities moved to the north area of the city around the Ghent-Terneuzen canal. As a consequence, the Old Dockyards area became neglected and had fallen into disrepair.

The Old Dockyards area extends over a surface of about 75 hectares of land and about 15 hectares of water. It is strategically situated between the old town and the harbour area. In the near future, thanks to the construction of the new Handels Dock Bridge, the R40

Image 4. The abandoned cotton hangars will provide space for new houses and offices.

Image 5. A bird’s-eye-view of the Old Dockyards project.

2.3 Destination

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ring-road will be displaced to the Afrikalaan. As a consequence of that, the site will be situated within the limits of the city centre. In OMA’s master plan, three zones were created: A, B and C areas. At present, there is only a consensus concerning the vision for the A area. As a future destination, the A area includes an overall mix of residential dwellings, offices and cultural and commercial functions (public and leisure), on a surface of about 270,000 m2 . In total, there are more than 5 hectares of

Image 6. By adding transverse canals, the whole Dockyards area can enjoy the waterfront feel.

Image 8. The proposition of the different zones.

Image 7. A kaleidoscope of the site.

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Image 9. The main concept behind the OMA master plan.

Image 10. Historical elements, such as industrial cranes and silos, will be integrated in the architecture of the Old Dockyards.

new parks, with the aim to create vibrant park areas over the docks, connecting the left and right banks with each other; they connect the area with the 19th century city. Other important elements of the master plan are canal side development and redesign and reconstruction of several streets and squares to improve the overall quality and functionality of infrastructure. 2.4

Future development

The new vision for the development includes items such as the proposed distribution and location of uses

Image 11. A 3D model study of the OMA master plan.

and the overall design of the proposed development, including maximum heights and external finishing of structures. Also transportation – including road layout, provision of parking spaces and solution for sustainable traffic management – is an important issue; a strategic public transportation plan for bus, tram and train is included as well. The vision aims to create a high-quality urban environment, with a sufficient density and mix of uses to

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transform the area into a sustainable, vibrant, and integrated district. Also the use of the waterside context to create a unique sense of place and the use of the water bodies for visual and economical development is being studied. One interesting part of the plan is the commitment to maintaining the historical character of the area by re-using some elements of the architectural and industrial heritage such as cranes and a concrete factory. The key success factor for the creation of the Old Dockyards project is general water management, involving the reorientation of the boat moorings, the

Image 12. A 3D model study of the OMA master plan.

creation of a new yacht harbour for tourism, a new harbour for houseboats, the reconstruction of the quays (12 different types of embankments, with a total length of nearly 5 km) and the removal of derelict boats. 3

CONCLUSIONS

In the near future, the cranes will not only be a reminder of the historical windmill sites, but will assist or make place for new fundamental elements, such as the three new cyclist and pedestrian bridges that will connect the new urban quarter with the historical city. One of the bridges could even be realised before the approbation of the spatial plan. That would decrease the real and perceived distance between the inner city and the Old Dockyards and may help to increase the involvement of residents in the project. For both the policy of Ghent and AG SOB the realisation of this ambitious Old Dockyards project is the priority for the next years. Everyone is hoping to succeed in the transformation of this abounded area into a ‘terribly successful’, vibrant and new city district. During the last couple of years, the city of Ghent has really turned its face towards the waterside. This process of reorientation has already made, and will be making, the city much more liveable and attractive, in the inner city as well as in the old dockyards. Ghent offers another example of why water infrastructure should be perceived as a significant asset to both urban planning and economic growth.

Image 13. Revitalisation of the docks: the existing view and the new vision of transition.

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REFERENCES Autonoom Gemeentebedrijf Stadsontwikkelingsbedrijf Gent. http://www.agsob.be (accessed March 11, 2008). Huisman, J. (2007). Water in Historic City Centres, Breda: Uitgeverij Van Kemenade. Stad Gent. http://www.gent.be (accessed March 11, 2008).

Temmerman, K. (2003). Ruimtelijk Structuurplan Gent (Spatial Structure Plan of Ghent), Gent: Stad Gent, Dienst Stedenbouw en Ruimtelijke Planning. Van Doorne, G., Laleman, M., De Roo, P., Hesters, L. (2002). From medieval port to urban meeting place, Gent: Stad Gent. Water in Historic City Centres. http://www.wihcc.nl (accessed March 11, 2008).

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Pelagic city: The Wynyard Point Park M.A. Bradbury & B. Hinton School of Architecture and Landscape Architecture, UNITEC NZ, Auckland, New Zealand

ABSTRACT: This paper focuses on the proposed transformation of a waterfront site, the Western Reclamation, in Auckland, New Zealand. This is a large, reclaimed industrial zone, dominated by a petrol chemical storage facility, a tank farm. There are serious environmental problems on the site, a major stormwater outfall from the surrounding Freemans Bay catchment and heavily contaminated ground around the tank farm. The aim of the project is to use the processes and infrastructure of environmental restoration to develop a new kind of urban public space. A process was established where the functional requirements of constructed stormwater wetlands, intersect with the removal of the contaminated soil, and the conditions of the existing site. The result was the establishment of a new landscape that encompasses stormwater wetland, freshwater marsh, mangrove colonies and an urban beach. The new topography helps to generate a new kind of public space, one that engages with Auckland’s own particular urbanism while at the same time developing a new collective assembly. Keywords: Environmental restoration; landscape urbanism; phytoremediation; stormwater remediation; waterfront redevelopment

1

INTRODUCTION

The Western Reclamation is located on the western edge of Auckland’s CBD. It sits immediately to the north of Freemans Bay and to the east of St. Mary’s Bay, two of Auckland’s most established inner-city suburbs. The site is owned by Auckland Regional Holding’s (ARH) and comprises approximately 18 hectares of land and 1.8 hectares of wharves (Bush, 1971). The Western Reclamation is an important part of Auckland’s waterfront (Figure 1). Since European settlement in Auckland, port and adjacent harbour edges have been the focal point of growth. From 1840 to the present day, the shoreline has steadily expanded into the Waitamata harbour with the construction of a modern industrial waterfront. Auckland Harbour Board (now Ports of Auckland) progressively constructed the Western Reclamation from the early 20th century. The last component of the reclamation was completed in 1930 and provided extra berth capacity and flat land for port related activities (Truttman, 2004). The Western Reclamation has a diversity of commercial activities. The southern and southeastern parts of the Western Reclamation are focused on serving the marine industry. Services are focused around diving equipment, retail, chandlery, navigation equipment and accessories, sails, rigging, wire rope, heavy

Figure 1.

engineering, motor refitting, painting and transport depot services. The northern part of the Western Reclamation is mainly used by oil companies and industrial plants. Activities include oil storage and bulk liquids distribution terminals, engineering firms and fish processing plants. Wynyard wharf, on the eastern side of the Western Reclamation, is used for ship-to-shore transfers of petroleum and other products. A specialist bulk cement wharf operates on the western side of the reclamation; bulk sand and shingle

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cargoes are handled at the inner southern berth. Coastal and gulf islands cargo services operate from the northern side of Jellicoe Street. A number of restaurants and café/bars operate on the western and eastern sides. Recent changes in bulk liquid transportation, the introduction of a petroleum and gas pipeline from Marsden Point, north of Auckland, and the progressive expiration of industrial leases in the tank farm, has meant that the Western Reclamation is losing its industrial raison d’etre. Large scale urban redevelopment of the adjacent Princess Wharf and Viaduct Basin, occasioned by the winning of the America’s Cup by Team New Zealand in 1995, have provided a model for the possible urban redevelopment of the Western Reclamation. Figure 2.

1.1

Sea + City

1.2 Environmental rehabilitation

Auckland Regional Holding’s (ARH) originally commissioned Peter Walker and Partners to develop a master plan for the Western Reclamation. The latest iteration, by Architectus, is named Sea + City. They describe the design as follows: “A short walk from the Viaduct Harbour, across an iconic Te Wero Bridge will lead to an active fishing wharf and an innovative Marine Events Centre. Boulevards, shops, cafes, offices apartments and beautifully landscaped parks will include 4.25 ha of public open space on Wynyard Point (northern end of the Western Reclamation) with spectacular views from the upper harbour in the west to Devonport, Rangitoto Island and the working port in the east. At the heart of the Wynyard Quarter is an 18.5 ha area of land between Pakenham Street and Wynyard Point. Here is an exciting opportunity to create a new urban village from scratch – where modern, innovative urban design, town planning and environmental principals and practices link the waterfront to the city in a people friendly environment.” (www.seacity.co.nz) (Figure 2). The Sea + City project proposes to integrate the Western Reclamation with the waterfront and CBD with two design moves:

While the Sea+City master plan effectively and efficiently reinvents an industrial site as a real estate development, the project fails to address the serious environmental issues that are present on the site. The two most pressing concerns are major stormwater pollution – a result of the surrounding urban catchment – and serious terrestrial pollution, from petroleum products which have leaked and contaminated the ground surrounding the tank farm. The stormwater contamination of the Wynyard Point waterfront can be defined by two factors. Firstly, an enormous volume of contaminated water from the surrounding, heavily urbanised, Freemans Bay catchment, discharges into the bay between Wynyard Point and the Americas Cup village wharf. Secondly, the stormwater is polluted with typical urban contaminates, mostly rubber and petro chemical products. As Wynyard Point is still an industrial site, the general public is unaware of the kilometre long, dark brown stormwater plumes that are released into the harbour. However, with the proposed residential and commercial redevelopment of the site, it will soon become impossible to conceal this serious pollution.

2 1. A waterfront axis will extends east to west from Tamaki Drive and Quay Street, across the Viaduct Harbour and into the Western Reclamation, renamed the Wynyard Quarter, to create the primary linking element to the CBD. 2. A park axis will create a north to south connection between Victoria Park to the south and Wynyard Point Park, a new park to be built at the end of the reclamation. This axis follows Daldy Street, transforming the road into a 40 metre wide parkway that will connect Victoria Park, visually and physically, to the harbour.

METHODOLOGY

The design project seeks a way to treat the contaminated stormwater before it reaches the Waitamata harbour and at the same time use the necessary environmental rehabilitation infrastructure to create a new kind of public space. To understand the site and develop a design methodology, a number of different techniques were explored. A general site analysis was undertaken of Wynyard Point. This process included site visits and background research. Mapping techniques were used to gain a general understanding of the many existing networks that

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project had to widen to include not only the remediation of the stormwater but also of the contaminated ground. 2.3 Wetland design

Figure 3.

operate on and through the site. The mapping exercise included: hydrological systems such as, catchments, water flows, drains/pipes, inlets/outlets, and water volumes; ecological systems such as, tidal flows, native plant ecologies, freshwater system movements; infrastructure such as, buildings, paths, streets, views, and property boundaries; Social systems such as, movement of people, public transport, the proposed location of civic and residential buildings, and green links within public realm. Mapping the processes acting upon the site and the surrounding area were then layered to reveal relationships that were used to influence the design of the space and topography of Wynyard Point (Cosgrove, 1999) (Figure 3). 2.1

Using the stormwater data for the Freemans Bay catchment, the project developed a wetland configuration that representing the necessary size and shape of the wetland structure. This basic diagram was enriched with further data of existing water movement and water flow analysis. The development of the wetland followed a general rule of thumb for wetland sizing – between 2 and 4 percent of the catchment. The catchment size is approximately 200 hectares, or 2,000,000 m2 . This gives a range of scales from a minimum wetland size of 40,000 m2 (2%) to a maximum size of 120,000 m2 (4%). Stormwater wetlands consist of a number of different ponds that all play a part in remediating the water that flows through them. These ponds include the forebay, or inlet pond, a number of deep ponds, a number of planted shallow ponds and an outer pond: – Forebay/Inlet Pond: 15 % of the total size of the wetland and between one and two metres deep: 6,000 m2 – Deep Ponds: 40 % of the size of the wetland and between half of a metre and one metre deep: 16,000 m2 – Shallow Planted Ponds: 60 % of the size of the wetland and between zero metres and half of a metre deep: 24,000 m2 – Outlet Pond: 10 % of the size of the total wetland and the same depth as the forebay/inlet pond with the outlet pipe lower than the inlet pipe: 4,000 m2 .

Contemporary projects

The project explored contemporary urban projects where stormwater treatment was used as part of the creation of new public space. The design of Potsdammer Platz by Atelier Dreiseitl, provided a very relevant example. The new square accommodates both the social requirement of a new public space and the environmental requirements for cleaning the stormwater from the new urban redevelopment (Dreiseitl et al., 2001).

The optimum treatment configuration for the wetland is densely vegetated with species that provide a high density of stems in the submerged zone and thereby maximise the contact between the water and the surfaces on which microorganisms grow, while providing uniform flow conditions with no short circulating. Suitable plants for the wetland and margins are as follows (Shaver, 2000):

2.2 Wynyard Point Park The project determined to explore the use of a constructed wetland to treat the contaminated stormwater. The only site big enough for such a large-scale treatment facility was the proposed Wynyard Point Park. The location of the proposed park at the end of the reclamation and adjacent to the existing Freemans Bay stormwater line, made it an idea site for the wetland construction. However the park location was also the area of the greatest terrestrial contamination on the whole of the Western Reclamation, a historical legacy from the petroleum storage tanks. The scope of the

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– Deep Zone (0.6–1.1 m): Baumea articulata, Schoenoplectus validus, Myriophyllum propinqum, (water milfoil) Typha orientalis, (raupo) Eleocharis sphacelata, Potamogeton cheesemanii (manihi). – Shallow Zone (0.3–0.6 m): Eleocharis sphacelata, Eleocharis acuta, Schoenoplectus validus, Baumea articulata, Carex secta, Bolboschoenus fluviatilus, Typha orientalis, Juncus gregiflorus, Isolepis prolifera. – Wet Margin (0–0.3 m): Baumea teretifolia, Baumea rubiginosa, Cyperus ustulatus (giant umbrella

Table 1.

Freemans Bay Catchment within the Central Area of Auckland’s CBD.

Water Flow:

Average: Flow Rate m3 /min: Flow Rate m3 /hour: Flow Rate Litres/min: Flow Rate Litres/hour: Flood Levels: Flow Rate Litres/min: Flow Rate Litres/hour Flood Levels:

Ponding Volumes: Average: Average

10 Year ARI Total Flow (m3 /s)

50 Year ARI Total Flow (m3 /s)

446.99 25.11 29.94 31.17 29.94 96.5 50.4 25.79 36.55 10.27 1.72 103.2 6192 103,200 6,192,000 10 Year ARI 103,200 6,192,000 10 Year ARI Depth (m) 8.18 Average: 0.15 10 Year ARI Volume (m3 ) 465 155 Pond Depth (m) 1 1

647.78 41.26 47.54 51.73 47.54 95.75 82.04 38.87 32.59 20.71 2.42 145.2 8712 145,200 8,712,000 50 Year ARI 145,200 8,712,000 50 Year ARI Depth (m) 15.09 0.27 50 Year ARI Volume (m3 ) 1365 227.5 Pond Depth (m) 3.1 1.0333

sedge), Carex secta, Eleocharis acuta, Phormium tenax (flax), Juncus gregiflorus, Carex virgata. – Live Storage Zone: Cyperus ustulatus, Syzygium maire (swamp maire), Juncus articulatus, Baumea rubiginosa, Cordyline australis (cabbage tree), Juncus pallidus, Carex lessoniana (rautahi), Dacrycarpus dacrydioides (kahikatea), Phormium tenax, Carex dissecta (flat leaved sedge), Coprosma tenuicaulis (swamp coprosma). 2.4 Design process

Figure 4.

The site mapping and diagramming of the wetland configuration were intersected with the timetable of the lease expiration within the site (as the leases expire, the storage tanks are removed). The first stage of the project is treating the contaminated ground; the project suggests using phytoremediation, a process where plants are used to remove harmful chemicals from polluted ground. The contaminated ground is usually planted with salix and populus species; certain pollutants are drawn into the trees system, gradually removing the harmful contaminates. As the soil is gradually decontaminated, the tree crop is removed (Rock, 2001). This process takes place in

three stages, starting in 2016 and finishing in 2025. Once the ground is cleaned, the site can be used for the creation of the wetland remediation ponds (Figure 4). From the stormwater data we sized the wetland system as approximately 55,000 m2 , allowed for peak levels of rainfall. The project found that the amount of land put aside for Wynyard Point Park was inadequate for the required wetland system. Consequently the project proposed a mixture of site excavation and reclamation, to create enough area to allow for the treatment ponds. To make up the addition land, the project suggested

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Figure 6.

Figure 5.

using a well know reclamation technique, a mixture of site fill and marine dredging mixed with cement, (mudcrete) to form stable wetland ponds above sea level. The excavation and reclamation of the wetland remediation ponds would be completed in three stages, final construction of the project would carry out from 2025 onwards (Figure 5). The completed wetland system would create a series of excavated ‘bands’that move from the end of the proposed apartment development towards the Waitamata harbour. The water condition of the ponds changes from the initial collection of contaminated stormwater to the gradually cleaning of the water through deposition and plant filtration. The water winds through the bands in a circuitous route becoming cleaner until reaches the sea edge. Here the existing tidal flows are allowed to encroach into the constructed wetland. Two layers are then imposed on the new topography. The first is horticultural, combining the requirement of the wetland planting with an overlay of a conjectured native ecology; the project develops a new planting gradient, from beach and salt marsh at the northern end of the site to mangrove colonies on the eastern and western sides. The interior edges of the wetland are planted with native tree species, moving from pohutukawa on the margins to kowhai groves (Morton, 1993) (Figure 6). The next overlay is social; the project introduces a gradient change in public spaces through the wetland treatment site. The introduction of a gently sloping plaza at the entrance to the wetland allows pedestrians to have a more traditional urban experience of the site. In this space there can be a number of different activities, from concerts to markets, a large stair/amphitheatre area leads into the Waitamata Harbour. At the northern end of the wetland, the social

Figure 7.

gradient changes to a more traditional kiwi public space, the beach. The beach zone is able to house a number of different, relaxed and uncontrolled activities. Movement through the site is influenced by the shape and position of the wetlands. Boardwalks help circulation around the wetlands, shipping containers are scattered throughout the site, and they are renovated to provide services for local vendors (Figure 7). 3

RESULTS AND DISCUSSION

There are a number of significant consequences from this project. The first outcome is the possibility of moving beyond the current ‘waterfront city’ design paradigm, the generic model where an architectural framework borders a limited typology of public space (Koolhaas, 1995). The Wynyard Point Park design project demonstrates that environmental infrastructure systems need not be concealed. Similarly, the process of site remediation does not need to be limited to capping or removal. By opening these processes up, the project demonstrates that engineering solutions can be used as a starting point to think about new kinds of

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urban configurations. Using techniques of stormwater treatment, the project demonstrates that by engaging with an understanding of native ecotones, such as saltwater marshes, freshwater wetlands and mangrove colonies, functional solutions can be broadened and enriched. Similarly, an active engagement with Auckland’s vernacular urbanism moves the project from the general into a particular realm that taps into the local contingent connection of the public realm with the landscape. REFERENCES Bush, G.W.A. (1971). Decently and in Order. Auckland: Collins Bros. and Co. Cosgrove, D. (1999). Mappings, London: Reaktion Books Limited. Crowe,A. (1995). Which Coastal Plant:A Simple Guide to the Identification of New Zealand’s Common Coastal Plants New Zealand: Viking.

Dreiseitl, H. and Grau, D. and Ludwig, K.H.C (2001). Waterscapes, Planning, Building and Designing with Water. Switzerland: Birkhauser. Koolhaas, R. (1995). S,M,L,XL. Rotterdam: 010 Publishers. Latour, Bruno. Weibel, Peter. (2005). Making Things Public. Atmospheres of Democracy. Germany: ZKM|Center for Art and Media. Morton, J. A., Ewen, C. (1993). Shore Vegetation. In: A Natural History of Auckland, Morton, J. (ed.). Auckland: David Bateman Ltd. Rock, S. (2001). Phytoremediation: integrating art and engineering through planting. In: Manufactured Sites, Kirkwood, N. (ed.). London: Spon Press. Shaver, E. (2000). Low Impact Stormwater Management (TP124). Auckland: Auckland Regional Authority. Truttman, L. (2004). Auckland City Heritage Walks, Auckland’s Original Shoreline. Auckland, Auckland City, New Zealand. Waldheim, Charles. (Ed) (2006). The Landscape Urbanism Reader. New York: Princeton Architectural Press.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Historic water-cycle infrastructure and its influence on urban form in London T.H. Teh Department of Civil Environmental and Geomatic Engineering, University College London, London, UK

ABSTRACT: The accessibility of water determines the location of settlements and, in turn, influences urban form. The correlation between drinking-water and urban form has been obscured by the modern model of drinking-water provision because this water is buried in pipes underground. Today, this modern drinking-water infrastructure is under threat due to growing populations, ;rowing consumption and a lack of recharge to fresh-water resources. These problems illustrate the weaknesses inherent to the current form of infrastructure. Fresh-water resources are not recharged because the infrastructure and the urban form it supports disrupt the hydrologic cycle. The writings of Latour are used to critique this modern technocratic bias. His framework is used to elaborate on the complicated relationship between nature, infrastructure and society for current and historic water infrastructures. Three forms of water infrastructure provide case studies of the relationship between infrastructure type and urban form in historic London. These case studies offer a comparison between each other and the modern infrastructure model. Keywords:

infrastructure; land use; London; settlement; urban form; water 2 THREE CASE STUDIES IN LONDON

1 WATER-CYCLE INFRASTRUCTURE INFLUENCES ON URBAN FORM Drinking-water infrastructure has had a profound effect on the historic location of settlements and urban form, It is impossible to inhabit an area without a secure and constant accessible supply of drinkingwater. It is therefore not surprising that the initial settlement of London had three sources of drinkingwater: the Thames River, and the Walbrook and Fleet stream tributaries. These drinking-water infrastructures were shaped by geological happenstance that was then harnessed for human needs; these were a part of the hydrologic cycle and ecosystem; yet provided more to the settlement than drinking-water. This is an antithesis to modern drinking-water supply ideals, which drains water from areas far from the settlement and redistributes it through a network of pipes. Three case studies of historic London explore the interrelation of the additional functions of historic water infrastructures and compares it to the modern paradigm of drinking-water delivery in which these functions have been removed. Bruno Latour’s theory of modernism and his ideas of actor-network-theory are used to examine the intricate entanglement between nature, infrastructure and society. These comparisons will be drawn together to speculate on new forms of future water-cycle infrastructures.

The urban fabric and water infrastructures of London have been well documented from its early history until today both by contemporaries of the day and by historians and archaeologists. The main sources for this study are from maps and books that describe the historic water infrastructure and the development of London. The case studies are located in central London and illustrate different scales of infrastructure and social organisation. These three case studies are: a standpipe that extracts water from the aquifer under London; the religious compounds that attempt to maximise the productivity of water resources; and a stream that is endemic and used opportunistically by the inhabitants of the city.These case studies portray different physical infrastructure forms to demonstrate the relationship between water infrastructure type and the unique urban forms that develop due to the social practices it allows. The actor-network-theory elaborated by Bruno Latour (2007) is the basis to understand this interaction between the physical and the social. His theory gives both society and objects (in this case the water) agency to cause change to one another. Thus the physical infrastructure that carries the water can determine how people use the water and as a consequence the urban form that develops. This interdependence accrues in a continuous spiral of change.

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Latour’s (1993) definition of the modern is also used to critique the differences between these historic forms of water infrastructures and the modern linear approach of pipes. Latour defines the modern as emerging sometime in the mid-seventeenth century when the idea of separating non-humans/nature and humans/society emerged in scientific and political discourses. This separation removes the framework to conceptualise events, beings and objects that are a hybrid of both nature and society, such as the water infrastructures examined in the following case studies. 3 THE STANDPIPE, THE RELIGIOUS COMPOUND, AND THE FLEET STREAM London was not only settled because of the substantial access to drinking-water from the Thames River, the Walbrook and Fleet streams. It is also the first hard ground upstream of the Thames estuary, which is protected by two hills. The mouth of the Fleet stream also offered a sheltered harbour for watercraft to moor (Ackroyd, 2007). This location on the river also gave the settlement opportunities of trade and a reliable supply of food could also be harvested from water. The water of the Thames, Fleet and Walbrook also performed as part of the local ecosystem and the hydrologic cycle, exchanging terrestrial, aquatic and atmospheric nutrients and water. For the human settlement, they provided a complex synergy of natural and social functions. These are the first water-cycle infrastructures on which London was founded. This settlement proved to be strategically successful and the population flourished. As the city expanded, it was discovered that the aquifer on which the settlement was founded could be drawn upon as an additional water supply and the distance to the river and streams was no longer a restriction to urban growth. However, before the advent of the pipe, the settlement was constrained to the gravel areas of the aquifer, where drinking-water could easily be obtained by shallow wells (Buchan, 1938). During the 13th century, the population of London doubled causing a drinking-water shortage. This shortage was not caused by a scarceness of water, but was due to a contamination of water sources by human waste (Magnusson, 2006). Cesspits, a common form of medieval sanitation infrastructure were often not emptied and maintained and therefore leached their harmful contents into the water table and aquifer. Raw wastes were also dropped into the streams and river either directly or indirectly via surface runoff and open areas where inhabitants routinely disposed of all their wastes. These practices polluted the city’s local resources of drinking-water with pathogens rendering it unfit for human consumption. Rather than finding solutions to reduce, manage and treat the waste befouling the water, supplies of water were diverted

from springs and rivers, often beyond the settlement and piped in wooden conduits to the urban areas. The new technology of the water conduit infrastructure allowed the previously constrained urban area to explode beyond its geologic foundation. This technology meant that the source of the problem, that is human waste products, was not solved. The additional water meant that the population congregated and increased. Human detritus continued to be purged into the natural watercourses and water table. Eventually these water-cycle infrastructures were forced into obsolescence because the new drinking-water technology created a growth in population who flushed more waste into the water-cycle infrastructures; they became waste-water infrastructures of the city. The invention of the conduit to transfer water into the city was the first move towards the modern water infrastructure paradigm prevalent in developed nations today. 3.1 Case study 1: Broad Street Standpipe The Broad Street Standpipe was situated on Broadwick Street, which was then known as Broad Street, in what is now considered central west London in the Soho area between Oxford Street and Piccadilly Circus. It is unclear when the standpipe was first sunk, but there is evidence of a well in this area from the documentation of John Snow in 1854. The last well sunk in this area occurred in 1914, but was disused by 1937 (Buchan, 1938). This well was made famous by the work of John Snow, a pioneer epidemiologist. Snow documented an outbreak of cholera in the Broad Street area suggesting as evidence that the disease was from the infected water procured from the Broad Street standpipe. He collected his evidence by correlating the use of the Broad Street standpipe as a drinking-water source and the occurrence of cholera infection. Consequently, it can be presumed that the standpipe was the source of drinking-water that caused the epidemic and that this map is also indicative of the urban area that was served by the Broad Street standpipe. From this it can be seen that the urban form was primarily residential (Ordnance Survey, 1894). Running water was not required for residential use, as water could be collected from the standpipe and stored for future uses such as drinking, cooking, bathing and cleaning. Furthermore, the income of this area varies from poor to just comfortable (Charles Booth, 1898). Presumably richer citizens could afford piped water and thus only the poorer neighbourhoods were dependent on standpipes. There is only one industry in this area, a brewery. It used a deep well as its source of water for making the beer (John Snow, 1854). Industries that required running water had no presence in this area, giving it an urban form distinct from the next two studies.

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3.2

Case study 2: religious compounds

There were many religious compounds within the fabric of London prior to Henry VIII’s reformation of England and consequent dissolution of monastic communities that led to the confiscation of their properties. All together there were eighteen religious compounds, seven of which either contained an open stream or were built adjacent to the river Thames (Schofield and Dyson, 1980). It is probable that these sites were chosen due to the proximity to a water source and its potential to be harvested in a method similar to that of Chertsey Abbey as described below. Except for written references it is difficult to determine the exact nature of the water use of religious compounds in London. An archaeologist, Roberta Magnusson, has extensively studied the medieval water practices of these religious compounds. The best illustration of the organisation of water use in a religious compound is of Chertsey Abbey on the Thames, drawn c.1432. This abbey exemplifies the most organised and parsimonious use of water. Whereupon the water that flows through the abbey is used in seven different ways: generating energy, brewing, cloth making, tanning, cooking, irrigating and cleaning, before it is discharged back to the river. Peter Ackroyd (2007) gives a beautiful account of the flows of this process: “We can provide a working model of an abbey’s relationship with the river. The water first pours into the corn mill and then, after moving the wheels that grind the grain, it is diverted into the next building where it flows into the boiler that is heated to prepare the beer for the monks’ drinking; it is then drawn into the fulling machines for the shrinking and cleaning of cloth, where it raises and lowers the heavy hammers and mallets employed therein. Then it enters the tannery of the abbey. Other branches and diversions of the river are also used in cooking, watering and washing. Finally, at the close of its labours, it carries away the refuse and scours all clean.” This illustrates water’s direct influence on urban forms as each function had to be located relative to another as well as to the topography of the land, so that the water from one function could flow and be used in the next. Land use had to be organised so that each function had the correct water quality for its purpose. For example, the tannery could not have the first use of the water as the flow-on water would not be fit for beer brewing. This sequential water use required understanding and cooperation between users to ensure that the water that was discharged was suitable for the next task. Hence it is a system that worked within the educated institution of a religious order. Not every religious

compound was equipped with such a sophisticated infrastructure as it was costly to build. The best documented water systems for the religious compounds in London are that of the Grey Friars and Charterhouse whose system also served the nunnery at Clerkenwell. Both these systems were modest in size, which indicates that they were used primarily as a limited supply of superior quality drinking-water. These “systems were often complemented by riverfed open-channel systems, which could provide large quantities of lower-quality water for purposes that did not require a pure [drinking quality] supply” (Magnusson, 2001). The route of the Grey Friars conduit from its source, through the fields and in the streets of London is documented in a 14th century topographic description (Magnusson, 2001). It mentioned the water passing through a mill before being piped, which suggests that the sequential usage at Chertsey Abbey was a practice used by the religious orders in London. 3.3

Case study 3: Fleet stream

Unlike the religious compounds, the Fleet stream’s many uses were opportunistic and not at all ordered. The Fleet flowed directly to the west of medieval London’s city wall forming part of its defences. As the city expanded the stream ceased to define the edge of the city, though it continues to define the boundary between central London and Westminster. The usage of the water of the Fleet was equally varied as that of the religious compounds, but in a haphazard entrepreneurial manner rather than by formal plan. On the small scale, residents close to the stream used the benefit of running water to dispose of their wastes. Magnusson (2006) describes that “for those citizens living next to watercourses or ditches, a popular alternative to the cesspit was to construct a latrine projecting over the stream-bed, so that the sewage would be flushed away by the flow of water.” This is supported by a survey drawn by Ralph Treswell in 1612 that documented several private latrines projecting over the Fleet. His map also indicated public latrines along its banks. In fact the earliest public latrines in London were built on the small bridges that crossed the Walbrook and Fleet streams as well as the river Thames (Ackroyd, 2000). On the larger scale, it was used for transportation of goods, especially of coal coming from the north-east of England from the Thames to present day Holborn. At this time it was wide and deep enough for ten to twelve ships were able to enter moor from the Thames at the same time (Ackroyd, 2007). Industries were also attracted by the abundance of flowing water: mills harnessed the energy to run machinery; butcheries to dispose of offal, tanners and tile makers needed it for their industrial processes, and brewers for beer production. An informal industrial

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area flourished close to the riverbanks where the infrastructure was easily accessible – this gave rise to a particular urban form. This pattern of development can be seen in a map published in 1855 by William Newtown of 1520’s London, which showed four mills along the middle portion of the Fleet. In 1756 the London Magazine published a map that identified landholdings along the upper Fleet stream. These landholders included the Brewer’s Company, the Brill Tile Kilns and the Skinners Company. Like the sequence system of the religious compounds, each user discharged its used or excess water into the stream. Thus the water is used again by dwellers downstream, the ecosystem and the local hydrologic cycle. Ideally this system required each user to be respectful of other users by ensuring the water discharged from their processes were not harmful to the next user. In the circumstance of opportunism, this concern did not exist and all manner of unwanted items and waste products were thrown into the Fleet. The lower reaches of the Fleet stream were where the accumulation of these wastes showed the greatest effect. In 1290 the White Friars whose religious compound was close by the mouth of the Fleet, complained to the king of the terrible odour that emanated from its waters, which over-powered even the scent of burning incense (Magnusson, 2001). Three maps of the lower Fleet show its evolution from a water-cycle infrastructure to a wastewater infrastructure of London. The Agas Map c1560, depicts the Fleet as an open river, most of the buildings were set away from the edge of the stream. There are some bridges crossing the stream, a few of which were covered and could indicate the location of public latrines. A later map of 1658 published by Richard Newcourt, showed the Fleet framed by buildings that now defined the extent of its banks. The bridges had multiplied and sets of row houses built over the stream. By 1799 the map published by Richard Horwood, no longer depicted the mouth of the Fleet as it had disappeared under the New Bridge Street. The stream that once provided multiple assets to the inhabitants of the city including energy, food, water and transportation had been reduced to a covered sewer. The stream was no longer part of the hydrologic cycle and its complex ecosystem destroyed. It had a downward evolution within the city, from water-cycle infrastructure to waste-water infrastructure. 4 WATER-CYCLE INFRASTRUCTURES These case studies demonstrate how the different physical configurations of water infrastructure have an influence on the urban form: the standpipe created a residential area; the religious compound a sequential

water and land use pattern; and the stream an industrial zone. The solution to the public health failure of both the standpipe and the stream sourced water beyond the boundaries of the city. This gave rise to the beginnings of piped modern infrastructure. The failures of both systems were of anthropogenic origin. The settlement had over taxed the hydrological and ecological systems to treat their waste products. This problem was further exacerbated because rather than attempting to curb the flow of wastes that contaminated the water, the settlement sought sources of water outside of its local hydrology and flushed evermore wastes into the watercourses. The practice culminated with the Great Stink of London in 1858, when a hot dry summer overwhelmed the Londoners with the unbearable putrid smell of rotting rubbish flushed into the Thames. By 1859 Sir Joseph Bazalgette, chief engineer of the Metropolitan Board of Works began work to intercept the city’s sewers to divert the contents into the Thames estuary to be washed into the ocean by the tide (Halliday, 2003). London’s modern sewer system was born. This was an echo to the beginnings of the modern piped drinking-water infrastructure in medieval London wherein water was sourced away from the boundaries of the city. The Great Stink was also resolved by disposing waste-water beyond the city boundaries. A solution of minimising waste disposal and developing better systems of material reuse was not considered. These infrastructures are the basis of London’s current drinking-water and waste-water infrastructures. The water infrastructures also gave rise to new types of water, namely drinking-water and wastewater. These water types are a social invention because prior to the use of pipes, there were no such distinctions. This is an example both of Latour’s definition of modernism and actor-network-theory. The main characteristic of modernism is the division between nature/non-humans and society/humans. Of course a complete separation is impossible and the inbetween connections are what Latour (1993) identifies as hybrids. These hybrids are not recognised and are suppressed by the modern conceptual framework. The evolutions of the water infrastructures in the London case studies demonstrate the gradual separation between nature and society. Nature in these examples is represented by the water. Initially the Fleet stream ran alongside the city and was used for drinking, sanitation, transportation, defence and also a food source. As the settlement grew in population and sophistication it was also used for industries. But as piped water for drinking became prevalent, the amount of wastes that was disposed into it became so great that the Fleet morphed into a sewer. It was built over, such that the water/nature was no longer seen to be present in the city/society.

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The hybrids are present in every evolution of the Fleet from stream to sewer. Hybrids are the pre-pipe uses of its water that defy a definition as either purely nature or society. The pipes conveying drinking-water are also a hybrid as these are both a construction of society, but carry within the water which is natural. The human use of water is also a hybrid, our bodily processes being a part of nature, but the way in which we use water for sanitation, production and symbolic functions are part of society. That these hybrids are suppressed as is evidenced by the covering of the Fleet, the denial of multiple uses for piped water, and the continual blindness of society’s contribution to water shortage and pollution. The religious compounds use water in a sequential system is a hybrid of nature and society and defies definition in Latour’s modern terms. However it established a clear example of actor-network-theory. The object is water, which has a clear agency in the establishment of the location of a religious compound. The flow and quality of the water dictated the types of uses it could perform for society and thus the location of these uses. Society’s uses altered the water quality and flow. The cycle of exchange continued. The concept of the modern piped water paradigm of today is the opposite of this hybrid water-cycle system. Instead it epitomises the divide between nature/nonhumans and society/humans. Water is sourced from nature far from settlements, piped underground, it then makes a brief appearance as a hybrid when it is used, before being speedily piped away and release back to nature. Rain that falls on modern urban settlements is quickly drained and dumped far from the urban region. This is a linear system that feeds great quantities of fresh water into the ocean and dries the land of its water resources (Kravˇcik, 2000). The pious ideal is that if only every person had a pipe then there would be universal service for all, but this cannot happen if there is no water in the dam, river or aquifer to feed the pipes. This shortage is inevitable in the hypothesis made by Kravˇcik, which proposes that modern water practices reduce the amount of terrestrial rainfall and results in desertification. Even without this scenario, settlements will have an insufficient supply of water if all of the population on earth were to consume as much fresh water as do the wealthy inhabitants of today. These current paradigms and practices need to be adapted to suit the changed environmental and behavioural circumstances of the future. It is therefore instructive to look at the successes and failures of past water infrastructures that were constructed with a different concept of water use, to find threads that can help ensure future water supplies. Some clues have been found using actornetwork-theory and an understanding of the conceptual framework of modernism from Latour. The failure and subsequent obsolescence of two of the three case

studies were due to the pattern of use by society that failed to identify the role of humans in the water-cycle. For example, the contamination of both the stream and the standpipe could have been solved by new ways of waste disposal, rather than the supply of piped water from far afield. The concentration on finding new water sources from further distances resonates with the management of modern water infrastructures in many urban areas. The successes of these case studies were when there was hybrid water uses of a scale that was integrated with the local hydrologic system. This water was also not divided into drinking and waste-water types, hence it was conceivable to use the water multiple times for varied uses. From these observations it can be surmised that a strategy of attuning to local hydrologic systems, finding new waste practices and hybridising water types, would have success in adapting the modern piped water infrastructure of today. 5

FUTURE WATER-CYCLE INFRASTRUCTURES AND URBAN FORM

The three case studies of water infrastructure in historic London revealed that there is indeed a link between urban form and infrastructure type. This relationship is not evident in the urban forms that rely on modern water infrastructures because these pipes are buried underground and provide exactly the same service of pressurized drinking water to all parts of the settlement regardless of use. Thus these urban forms bear only the most casual relationship to the pipes and the local hydrologic cycle. However the danger of a deficient water supply due to growing populations, growing consumption and depleted fresh-water sources (IPCC, 2007) reveal the insufficiencies of the modern system. The failures of the historic infrastructures in London point to the weaknesses of modern infrastructure and suggest possible alternative solutions. From these three case studies, it can be anticipated that if modern water infrastructures were adapted to respond to local hydrologic cycles, ecological systems, water use and alternative waste systems there would also be transformations in urban form and social behaviour. This would be a responsive spiral of causes and effects to all three factors that would generate new ways to convey water, new water uses, new water exchanges, new nutrient exchange, new industries and from this milieu, new unexpected opportunities would open up and a water-cycle infrastructure would be born. REFERENCES Ackroyd P. (2000). London: the Biography. London: Chatto and Windus.

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Ackroyd P. (2007). Thames: Sacred River. London: Chatto and Windus. Agas R. ([1560c], 1874). Civitas Londinum : A Survey Of The Cities Of London And Westminster, The Borough Of Southwark And Parts Adjacent In The Reign Of Queen Elizabeth. London: Adams and Francis. Anon. (1432). Chertsey Abbey. http://www.nationalarchives. gov.uk/utk/england/popup/chertsey.htm (accessed 28 January 2008) Booth C. ([1891], 1984). Labour and Life of the People. London: London Topographical Society. Booth C. (1898). Charles Booth Online Archive. London School of Economics. http://booth.lse.ac.uk/ (accessed 28 January 2008) Buchan S. (1938). Water Supply of the County of London: from Underground Sources. London: Department of Scientific and Industrial Research. Halliday S. (1999). The Great Stink of London: Sir Joseph Bazalgette and the Cleansing of the Victorian Metropolis. Gloucestershire: Sutton Publishing Limited. Horwood R. (1799). Plan of the Cities of London and Westminster, the Borough of Southwark and parts adjoining, shewing every house. London: Richard Horwood. Kravˇcik M. (2000). Voice of Water: Water for the Third Millenium, The Citizens’ Association and People and Water, Košice. Latour B. (2005). Reassembling the Social: an Introduction to Actor-Network-Theory, Oxford: Oxford University Press. Latour B., Porter C. (trans.) (1993). We Have Never Been Modern. Cambridge: Harvard University Press.

London Magazine (1756). A Plan of the New Road from Paddington to Islington. http://www.oldlondonmaps.com/ generalmappages/newroadpaddisle.html (accessed 28 January 2008) Magnusson R. (2001). Water Technology in the Middle Ages: Cities, Monasteries, and Waterworks After the Roman Empire, The John Hopkins University Press, Baltimore. Magnusson R. (2006). Water and Wastes in Medieval London. In: A History of Water, T. Tvedt and E. Jacobsson (eds.), London: IB Tauris, 299–313. Newcourt R. ([1658], 1863). An Exact Delineation of the Cities of London and Westminster and the Surburbs and all the throughfares, highways, streets, lanes and common allies, Edward Stanford, London. Newtown W. (1855). A detailed map of London during the reign of Henry VIII Before the Dissolution of the Monasteries Compiled from Ancient Documents and Other Authentic Sources, http://www.oldlondonmaps.com/ oldenmappages/oldenmain.html (accessed 28 January 2008) Ordnance Survey. (1894). London, 5’:1mile. Ordnance Survey, Southampton, vii62 Schofield J. and Dyson T. (1980). Archaeology of the City of London. London: City of London Archæological Trust. Snow J. (1855). Principles of Epidemiology, University of California, LosAngeles (UCLA). http://www.ph.ucla.edu/ epi/snow.html (accessed 28 January 2008). Treswell, Ralph. ([1612], 1987). The London Surveys of Ralph Treswell, Schofield J. (ed.). London: London Topographical Society. United Nations Intergovernment Panel on Climate Change. (2007). Climate Change 2007: Fourth Assessment Report. Valencia: United Nations.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Dualism and its effects on urban water infrastructure management: The case of Nairobi city N.J.O. Okello Jomo Kenyatta University of Agriculture and Technology, School of Architecture and Building Sciences, The Department of Architecture, Nairobi, Kenya

ABSTRACT: Dualism is a phenomenon that characterises urbanism in much of Africa. The original fabrics of hitherto colonial cities have been incrementally and progressively overlaid with contemporary fabrics containing indigenous infrastructure. The result is a dual character; certain parts of these cities are legally recognised and organised by the formal institutions of local governance while other parts remain on the periphery of extant legal frameworks. Consequently, the physical disposition of such dual cities is typified by enduring complexities. As a dual city of 3.2 million people, Nairobi faces several salient challenges posed by the nature of its slow infrastructural development and rapid urbanisation. The most pressing issues facing this urban population, as defined in the consultative process for Habitat II, include poverty and unemployment, poor access to land, energy and basic infrastructure and services. This paper establishes and describes the effects of dualism on urban water infrastructure management in case study areas selected within Nairobi. It then identifies and assesses current management mechanisms with regard to their effectiveness in those case studies. Finally it sets out principles for the better management of the urban water infrastructure considering the enduring effects of dualism. Keywords:

1

Character, dualism, management, urbanism, water, water infrastructure

INTRODUCTION

to assess the purview of water as a resource for urban sustenance.

A properly functioning and balanced water infrastructure is critical to the reasonable functioning and life of any city. With regard to this, the functional requirements for sufficient water for the operations of economic activities must be balanced with the immanent view of water as an important cultural and life-sustaining element. A contextual matrix must be employed in the cogitation and execution of water infrastructure management strategies. In developing countries contextual matrices are most usually defined by dualism. Peculiar complexities resulting from dualism in African cities, in particular, have been investigated (Gilbert, and Gugler, 1992; Anyamba, 2006). However the effects of these complexities are not taken into account in the pragmatic management of infrastructure within these cities mainly because of the adoption of reactionary rather than proactive styles of management. This study is done to check on the effectiveness of the water infrastructure management within the predefined context of an East African city

2 WATER IN CONTEXT It is critical to discuss the role of water in a holistic manner. The purview of water as taken in water infrastructure management is most usually wholly determined by its availability, quality, and meaning for human use. But water is a critical resource whose absolute significance cannot be understated. Water as the basis of life. Water is the origin of life (Franks, 2000). It is also a critical factor in the mobility and distribution of species through the biosphere. The biosphere and indeed all forms of life on earth develop and propagate over the hydrated surface of the earth (Franks, 2000). All civilisations have created a variety of spatial forms in which to effectively live. With water as a fundamental element and using their unique repertoires of knowledge, their specialised capacity for transformation and the ingenuity of political and

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social organization, humans have developed radically. Man has endeavoured to control nature to suit his basic needs; channelling waters from their natural courses to support variant uses, cutting down vegetation in water catchment areas to create fields for agricultural purposes, and constructing settlements in propinquity to water bodies. Water, landscapes and waterscapes. Water has been of indubitable influence in the creation of many natural wonders comprising unique landscapes and waterscapes. It is reasonable to postulate that it is the effects of water that have imputed to each continent on earth a marked uniqueness. Unique landscapes and waterscapes, from the fjords to the Grand Canyon, have offered ready inspiration to art, culture, music, and rituals. Water and conflict. Peace is often built by an equitable sharing of natural resources chief of which is water. Water is a de rigueur factor of life, wellbeing and peace throughout the world. Global threats impinging on access to water are growing in many parts of the world (UN water, 2007). However, water is also a source of co-operation among communities. Water was indeed the first link that made possible communication and socialisation between peoples of far-flung continents. To resolve water problems, agreements between riparian, lacustrine or maritime communities are necessary. These often generate novel perspectives in water-related jurisprudence as well as in social and technical standpoints. Often the problem does not originate from the scarcity of water as much as it does from the poor management and distribution to needful communities. Water and technology. The significance of innovations and technology in the 21st century has been based on the requirement of man to control the forces of nature to his own ends. Along with the occurrence of seminal discoveries and technological advancement, social inequalities and environmental destruction on an unprecedented scale have become wanton. These discrepancies are catalysed more by the mismanagement of resources and unequal access to basic rights than by natural deficiencies. Hence at the advent of the 21st century, man is faced with critical environmental problems, among which is a cogent water crisis (UN Water, 2007). Water and the metropolis. Water is a major urban resource. Life within cities is not only sustained by water but is also made more pleasant. Recreation, health and aesthetics within cities and their milieu are determined preponderantly by water. The urban landscape in its splendour owes much of its delight to the presence of water; gardens, pools, parks, beaches, promenades are to a large extent made possible by water. However the city with its frenzy of complex and conflicting activities and burgeoning population constitutes a potent threat to water conservation and water purity. Rapid urbanisation in the developing world in

particular constitutes an escalating probability of the occurrence of water risks in cities. 3 THE NATURE OF DUALISM IN NAIROBI To understand the primary perceptions of water in the management of the urban water infrastructure in Nairobi, it is critical to understand the nature of the concomitant urban process. Nairobi is a contemporary capital city in the central region of Kenya with an estimated population of 3.5 million. It has undergone several transformations between fairly distinct eras (Thornton, 1948; Emig and Ismail, 1980; Anyamba, 2006); first founded as a railway town (1898–1926), it evolved into a settler capital (1927–1947), a colonial capital (1948-1963) then, finally, after the independence of Kenya from the British, became an African metropolis (1973-present). Traces of these periods and subsequent transformations are evident in parts of the city (Maringa, 2005). The overlaying of previous physical development with a fabric of succeeding physical developments is a major manifestation of the changes that have taken place in the distinct planning and development periods. In some cases the physical structure and urban fabric have remained intact but the activities accommodated within them have radically changed to reflect diametrically different social and economical trends from those that hitherto created the form of the city (Anyamba, 2006). Most of the activities are temporal and quasilegal in nature; informality resides within formal surroundings. At present, three conspicuous cases in point, among several others, exemplify this disposition. First is the current accommodation of street hawkers within the Nairobi CBD where hawking is actually not allowed by city by-laws (Anyamba, 2006; Katile, 2006). Second is the urban bus transportation system characterized by unscheduled stops and quasi-legal termini. Third is the existence of illegal connections to basic infrastructure and services such as water mains and power lines particularly in informal settlements occurring on public land (Anyamba. 2006). The common denominator among these manifestations of dualism is the semblance of controlled entropy governing their operation. In law their existence and methods of operation are illegal yet they gain acceptance because of their political connotations (Ross, 1975). So why has dualism evolved to be such an ascendant force in the development of Nairobi? The answer lies in the nature of prevailing political events, not only in Kenya but in much of the developing world. Weak enforcement of regulations and a system of patronage (Ross, 1975; Gilbert and Gugler, 1992) tolerates and even protects those breaking regulations. It is evident that a huge proportion (60%) of the city population dwells in informal settlements (Adler, Ogero, 1999; Maringa, 2005). It is this population that forms the bulk

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of voters during general and civic elections and it is this segment of the population that the political aspirants seek most to influence. Therefore even though many of the problems and complexities of dualism stem from these settlements political will is weak in dealing with these problems by the strict formal (and usually anachronistic) regulations (Ross, 1975; Anyamba, 2006). 3.1

Dimensions of dualism

Dualism is an expression of the underlying economic, social and cultural forces that have shaped our city. It manifests itself through distinct characteristics including: i) A juxtaposition of formality with informality. For instance informal activity (activity that is not regulated through formally recognised institutions) may take place within formal space designated for other activity. The activities may in such cases not be performed optimally within the shared urban space. ii) A quasi-legal disposition. The activity and the infrastructure that supports it is not legally recognised resulting into undue pressure or even an imposition on existing legally recognised activities. iii) A temporal nature at the outset which may later be made permanent and formalised by means of political patronage at the expense of professional planning and design. 3.2

Extents of dualism in Nairobi

Dualism is evident in diverse forms in Nairobi. The forms of dualism have been classified as survivalist, primary, intermediate and affluent (Anyamba, 2006). It occurs across all social classes and can thus be described as pervasive, but not homogeneous. Common traits and extents of dualism as it occurs across social barriers include: (i) It has its provenance in individual effort and the elimination of bureaucratic procedure; (ii) It happens at a small scale though influencing a huge proportion of the city population; (iii) It subsumes default urban strategies that occur due to the express failure of formal urban processes; (iv) Resultant products are of extremely varied standards and of high use value; they are flexible and utilitarian; (v) It grows incrementally through accretion or addition rather than complete parcels. 4

METHODS

This study combines grounded theory and case study methods. Grounded theory allows for the development

of theory through different stages of data collection and the refinement and interrelationships of categories of information (Glaser and Strauss, 1967). The development of theory is not the origin but rather the outcome of the research. While certain analytical concepts surface during the research process, they are always challenged, compared, and thought of in non-standard ways. The purpose of using a grounded theory method is to close the gap between theory and empirical research. Grounded theory is essentially the refinement of conceptual tools to apprehend an elusive, shifting reality (Portes, 1989).

5 WATER AND INFRASTRUCTURE MANAGEMENT IN NAIROBI Water management in Kenya. In Kenya the Ministry of Water and Irrigation is in charge of the overall management and provision of water resources. The Water Act of 2002 created two bodies; the Water Resources Management Authority (WRMA) to manage water resources, and the Water Services Regulatory Board (WSRB) to provide water and sewerage services. The WRMA performs functions of water allocation, source protection and conservation, water quality management, international waters and pollution control. Under the WRMA are CatchmentAreaAdvisory Committees (CAACs) operating at regional levels. CAACs provide advisory services on conservation and allocation of water resources including the granting and cancellation of water permits. Under the WSRB are Water Service Boards (WSBs) that are licensed to ensure the availability of efficient water and sewerage services for the seven regions of the country; Lake Victoria South, Lake Victoria North, Rift Valley, Athi, Tana, Northern and Coast. The WRMA is in charge of water allocation. These boards contract Water Service Providers (WSPs) for the direct provision of water and sewerage services. Water management in Nairobi. The Nairobi City Water & Sewerage Company (NCWSC) is the WSP for the Nairobi area. It was incorporated in December 2003 under the Company’s Act CAP 486 and is a wholly owned subsidiary of the Nairobi City Council (NCC). The Company’s establishment arose from the enactment of the Water Act 2002, which created the two aforementioned institutions to manage water resources in Kenya. The Company, therefore, took over the provision of water and sewerage services within Nairobi and its environs from the Water and Sewerage Department of the NCC. The Nairobi City Water & Sewerage Company was also appointed by the Athi Water Services Board (AWSB) to provide water and sewerage services to its residents under an agreed framework specified in the Service Provision Agreement (SPA) that ensures

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Figure 1. The water supply regions of Nairobi City.

adequate and quality supply of water, affordable tariffs, and maintenance and improvement of water and sewerage infrastructure.There is also a tripartite agreement between the NCC, NWSB and NCWSC. Other agreements include those for agency and operational assets between the NCC and NCWSC. The Nairobi City Water & Sewerage Company’s objective is to be the premier WSP in Africa by focusing on two rather general parameters; quality service delivery and customer satisfaction. The existing strategic plan states that the Nairobi City Water & Sewerage Company has the primary responsibility of providing affordable water and sewerage services through efficient, effective, and sustainable utilization of the available resources in an environmentally-friendly manner, and meet and exceed the expectations of their consumers and other stakeholders. Nairobi city is bifurcated into two broad supply zones by the NCWSC; Zone I comprising Nairobi West and Nairobi South and Zone II comprising Nairobi North, Nairobi East and Nairobi Central. The Mombasa Road and Uhuru Highway form the boundary between the two supply zones. Management and performance. The performance of the Nairobi City Water & Sewerage Company so far is wanting. In its core function entailing the provision of efficient water services it is performing poorly. It is hardly able to provide adequate water services for half of the city’s residential population and existing businesses. Records of average diurnal supply indicate that the efficiency of water services increased by a

paltry 3% in three years of operation (2005-2007) from 48% to 51%. Only about half the water treated and pumped gets to consumers connected to the company supply. Massive losses occur due to physical losses, illegal connections, leakages, and under-read meters. The current deficit in water supply is 42.34% in Zone I and 11.57% in Zone II. The losses have been blamed on the use of antiquated water supply systems. The water mains in Nairobi were laid in 1968 and have never been upgraded even though the population of the city has grown five-fold. The existing system is crumbling under the pressure of increasing usage and a lack of maintenance. In some cases, the water pressure fails due to the nature of development of the city. Lowlying areas, for instance in Komorock, were developed earlier than higher areas. Therefore the existing water supply system is unable to supply higher areas due to the positioning of the water infrastructure. Also areas originally not meant to be developed to be residential areas but have been developed pose unique problems to the establishment of water infrastructure. Nairobi South in particular was intended to be a buffer zone between the city and the Nairobi National park. However, recent residential developments such as South C and Mugoya estates have encroached into this area. So the infrastructure that was originally installed to supply the park is overwhelmed by additional residential requirements. Due to the overwhelming losses in the supply system the NCWSC in 2004 installed bulk flow meters

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Table 1. Average Diurnal Supply for Nairobi as per December 2005. Losses (%) Nairobic

Division

Bulk Flow (000,000 litres)

Zone I

West South Central East North

3.1 4.7 5.7 6.5 6.1

Zone II

P.L

I.C.

L.I.

U.M.

Actual Loss (%)

Deficit (%)

34 41 25 16 22

11 9 3 18 23

15 17 9 16 31

40 33 63 50 24

56 52 11 14 26

51 43 11 21 14

P.L. = physical losses, I.C. = illegal connections, L.I. = leakages, U.M. = underread meters. Table 2. Average Diurnal Supply for Nairobi as per December 2006. Losses (%) Nairobic

Division

Bulk Flow (000,000 litres)

Zone I

West South Central East North

3.8 4.9 5.8 7.2 6.1

Zone II

P.L

I.C.

L.I.

U.M.

Actual Loss (%)

Deficit (%)

38 24 32 14 9

8 16 29 36 12

18 21 11 17 28

36 39 28 33 51

51 45 9 14 21

47 45 8 22 10

P.L. = physical losses, I.C. = illegal connections, L.I. = leakages, U.M. = underread meters.

Table 3. Average Diurnal Supply for Nairobi as per December 2007. Losses (%) Nairobic

Division

Bulk Flow (000,000 litres)

Zone I

West South Central East North

3.8 5.4 6.3 7.4 6.1

Zone II

P.L

I.C.

L.I.

U.M.

Actual Loss (%)

Deficit (%)

39 43 30 23 13

8 14 31 35 33

11 17 5 14 18

42 26 34 28 36

47 42 8 12 19

44 41 6 21 10

P.L. = physical losses, I.C. = illegal connections, L.I. = leakages, U.M. = underread meters.

in a project costing Ksh 35 million (USD 500,000) in order to detect points of water loss. This water systems rehabilitation project is yet to cause major changes in the efficiency of water supplies as water losses are still registered. Huge deficits still exist which the NCWSC attempts to mitigate by means of rationing. This rationing means that water is supplied to parts of the city on certain days of the week, and to others on alternate days of the week. The use of rationing as an effective water supply strategy is disputable as deficits still occur in almost all areas of the city. Records from the WRMA show that most rental residential development in the city is supplied by underground water accessed by the drilling of boreholes within the confines of their sites. This trend is evidence of the lack of faith of property owners and their tenants in the

ability of the NCWSC to supply adequate water to their properties. The NCWSC maintains a pragmatic, technical and functional approach in its delivery of services. Its main emphasis is on engineering and finance and it only supplies water upon the receipt of a formal application. This is despite of the fact that a great proportion of the city population lives in informal settlements and is employed in the informal sector (Adler and Ogero, 1999). The nature of this segment of the population is averse to bureaucratic procedures and formal processes (Anyamba, 2006). It neither possesses the financial capacity, literacy level nor patience to wait for the installation of requisite infrastructure. Besides, the rate of urbanisation is too rapid for the established bureaucratic system to work effectively.

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Informality in water management is prevalent both in formal and informal areas of the city. First, in informal areas a series of hitherto illegal connections that supplied the communities have been legalised and are largely managed by community structures in informal settlements such as Kibera and Mukuru kwa Njenga. The ability of communities to effectively manage these formally illegal supplies/connections is what has resulted in their legalisation. Second, in formal commercial areas that have progressively been invaded by informal business including in the CBD, partnerships and synergy do exist between formal businesses and informal businesses that accommodate the additional (and usually illegally supplied) water demands of the informal businesses. Co-operation rather than competition characterise the management of available water supplies which in most cases the bureaucratic NCWSC is not even aware of. 6

RESULTS AND DISCUSSION

The study finds clear evidence that supports the deduction that extant methods and systems of water structure management in Nairobi are reduced to the harnessing and distribution of clean water. The predication is that water can only be supplied through formal institutions and conventional means. Water is perceived by the NCWSC as a merely as commodity to be traded for capital gains. This is evident in the performance of their system in which losses are less in Central Nairobi where the commercial developments dominate than in the residential developments in East Nairobi. The underlying assumption that every urban dweller must enter a building or chamber supplied with piped water to access clean water is an entrenchment of this perception. The reality of dualism means the distribution of the population over urban space is not purely based on the physical elements of the city. It is based on the nature of and distribution of activities and the demographic characteristics of the population. These factors are largely influenced by informality rather than formality. Moreover there little consideration is given to the population that arrives to the city from other towns and from upcountry and populations on transit. The appropriate approach should be the design of a more flexible water supply system that can change with population trends over time. Such a system would include portable water supplies and a proactive, multidisciplinary and heuristic management style that seeks more to establish water needs as they occur rather than to entrench formal conventions. It is also quite clear that critical aspects inherent in the role of water in facilitating better life in the city have largely been ignored. Efficiency in the supply and quality of water and improvement in billing systems are the salient priorities in water infrastructure management. However, these operational parameters

do not preclude the vital role that water should play as an urban resource in the improvement of the quality of life in our city. Water has been used quite effectively as an essential element in the development of urban landscapes. Many cities owe their liveability and beauty to water, but as long as water is managed by an overtly commercial institution, functionalism and the profit margin will be more dominant than other critical but more subtle factors. REFERENCES Adler A. and Ogero O. (1999). Tackling Poverty in Nairobi’s Informal Settlements. In: Urban Poverty in Africa: Selected Countries Experiences. Nairobi: UNCHS. Anyamba T. (2006). Diverse Informalities, Spatial Transformations in Nairobi: A Study of Nairobi’s Urban Process. Thesis for the degree of Doctor of Philosophy in Architecture. The Oslo School of Architecture and Design, Norway. Fernandes E. and Varley A. (eds) (1998). Illegal Cities; Law and Urban Change. In: Developing Countries. London: Zed Books. Franks F. (2000). Water. A Matrix of Life. Cambridge: Royal Society of Chemistry. Cambridge. Gilbert A. and Gugler J. (1992). Cities, Poverty and Development: Urbanisation in the Third World. New York: Oxford University Press. Glaser B.G. and Strauss A.L. (1967). The Discovery of Grounded Theory: Strategies for Qualitative Research. Observations. Katile E. (2006). The Influence of the Informal Street Market on the Streetscape: The case of Nairobi, Thesis for the degree of Master of Urban Design, BPS, JKUAT-SABS, Kenya. Maringa P.M. (2005). The influence of Social Cohesion on the Quality of the urban Environment. A Case of the City of Nairobi, Kenya. Thesis for the degree of Doctor of Philosophy in Environmental Planning, BPS, JKUAT-SABS, Kenya. Nairobi Urban Study Group (1973). Metropolitan Growth Strategy. Report on the development of Nairobi up to 2000. Nairobi. Portes A. (ed) (1989). The Informal Economy: Studies in Advanced and Less Developed Countries. Baltimore: John Hopkins University Press. Rakodi C. (ed) (1997). The Urban Challenge in Africa; Growth and Management of its Large Cities. Paris: United Nations University Press. Ross M.H. (1975). Grassroots in an African City; political Behaviour in Nairobi. Cambridge: MIT Press. Simone A.M. (2002). Opportunities, risks and problems in the urban sphere. African Societies, E-magazine, 2, July 31, 2002. White, L.W.T. (1948). Nairobi: Master Plan for a Colonial Capital. A report prepared for the Municipal Council of Nairobi. Her majesty’s stationery office. London. UN Water: World Water Day 2007. http://www.unwater.org/ wwd07/downloads/documents/escarcity.pdf Possible Sites for the Origin of Life. http://www.chem.duke. edu/∼jds/cruise_chem/Exobiology/sites.html

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Deterioration of the environment and undefined type of structuring: Eastern Mediterranean coasts of Anatolia-Göksu Delta N. Erkan & C. Hamamcıo˘glu Department of Urban and Regional Planning, Faculty of Architecture, Yıldız Technical University, ˙ Istanbul, Türkiye

ABSTRACT: The Eastern Mediterranean coasts of Anatolia are situated on the south of East Taurus Mountains and provide natural and cultural assets distinguished by the Mediterranean Sea. Fertile coastal plain, citrus fruit gardens, adequate climate, long beaches, rivers, deltas, forests, specific flora and fauna constitute the reserves of the area. However, in the last decade, Eastern Mediterranean coasts of Anatolia have started to be influenced by a kind of an inhuman and ‘undefined type of structuring’ which expands disjointedly into the existing settlements. Influenced by domestic tourism and some industrial activities, the scale of such activities can be devastating. Furthermore, these uses often occur along coasts and over the fertile coastal agricultural lands and threaten and to encroach upon the Göksu Delta which is under the protection of an international treaty and national policies. The objective of this paper is to explore the concept of water as a structuring element of urbanity in the Eastern Mediterranean coasts of Anatolia in the context of ecological and management regulations. This research was carried out in the 2006-2007 academic year in the context of planning education of the Department of Urban and Regional Planning of Yıldız Technical University. Keywords: Eastern Mediterranean coasts of Anatolia; natural environment; unrestrained structuring; water as a structuring element 1

INTRODUCTION

Many ecologists believe that biodiversity provides buffers or functional resilience to the ecosystem; an ecosystem with a variety of species can better resist against any kind of deterioration and more importantly its functions have to be conceived as an interactive constituent of the entire environmental structure (Hughes 2005:152). Wetlands and deltas are some of the richest biological productive natural habitats on earth. They play an active role in arranging the water regime and its quality by discharging the underground water, minimising the destructive effects of floods and compensating the foundation in their regions. They also have positive influences on local climate in raising the humidity which purveys the necessary rainfall and warmth. Since the earliest forms of life, water come out as a predominant component for the human settlements’ location according to their regional potentials and the development terms of a period. Historically, the relationship between water and human settlements has been very intense “because it was where the people arrived as they came from or because it was the land’s outlet to the sea” (Bender 1993:32). Due to the mutual relation, most the human settlements formed directly

near flowing waters like rivers, streams or lakes, seas and oceans. Formerly, the most important functions of water in a human settlement were to provide drinking water, infrastructure for water transport, basin for the disposal of waste water, and fishing. In addition to these functions, contemporary demands and activities include leisure and tourism and input for industrial processes (Klaasen, 1993:21). In this paper the consequences of water as a structuring element of urbanity in the Eastern Mediterranean coasts of Anatolia will be discussed. The first section consists of conceptual information about the significance of the ecosystem and the threats it faces. The second section moves further down in scale and predominantly examines the reasons and impacts of the deterioration in Mersin-Silifke and Göksu Delta according to spatial, social and ecological factors. 2 THE HUMAN-INDUCED ENVIRONMENTAL IMPACTS ON THE MEDITERRANEAN AND THE EASTERN MEDITERRANEAN COASTS OF ANATOLIA The Mediterranean is an inter-continent sea closed between Asia, Africa and Europe covering an area

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of 2.5 million km2 . The climate is a distinguishing environmental factor of the region. It has a deficient hydrological balance, with loss through evaporation exceeding the input of water through runoff and precipitation. This deficiency is mainly compensated by the flow of Atlantic surface waters through Gibraltar, taking over a century to be fully renewed (UNEP, 2005; Becker & Choresh, 2006:9). The mountainous formation of coastline composes few large plains, little fertile agricultural land; ports and harbours remain tightly hemmed in between sea and rock, and there are few broad fluvial basins. There are also few productive areas associated with the deltas of major rivers (Po and Nile) and with those of smaller rivers in the basin. Although the Mediterranean Sea is relatively poor, its surrounding lands are characterised by a high degree of biological diversity which is considerably richer than that of the Atlantic coasts (UNEP, 2005). Today, the Mediterranean coasts support a population of approximately 424 million (total population of states around the Mediterranean Sea) inhabitants; this is rapidly increasing. Urban growth threatens species and habitats because of associated land reclamation, waste water discharges and construction disturbances. According to UNEP (2005) data most of the harm (80%) done to the Mediterranean Sea is firmly fixed on land-based pollution. Hughes (2005) determined the major problems causing environmental degradation to be insensive uses and extensive population that add pressure to the coastal areas contributing to endangered species, soil erosion and stress on the marine environment by unsustainable fishing and pollution. The other main activities threatening this former and historical sea are the industrial facilities and hazardous material transport. Most of the Mediterranean countries are developing countries that are in need of industrial activity. The Mediterranean Sea composes only 1% of the world area of sea and oceans and yet about 30% of world transport by sea passes through its waters (Becker, N., Choresh, Y., 2006:9). As is the case in Mediterranean, the Eastern Mediterranean coasts of Anatolia which constitute 700 of Turkey’s 8333 km of coast line is also under the destructive influences from unrestrained and spotaneous constructions in the last decade. Besides the industrial economy depending on agriculture, iron and steel industry, those living in land-locked communities (middle and southeast of Turkey) are buyinh second homes in coastal areas; this plays a crucial role on the aggregation of constructions rising up along the coastline. 3

CASE OF MERS˙IN – S˙IL˙IFKE AND GOKSU DELTA

Silifke is a district of Mersin province. The centre of Silifke is situated on the banks of Göksu River, down

Figure 1. Göksu Delta and The Specially Protected Area.

the lower slopes of Taurus Mountains and 14 km from the sea. The river is 260 km long and empties into the Mediterranean Se,a passing through the rift valleys, Silifke town and finally Goksu Delta. Mersin is a cultural and commercial centre of Eastern Mediterranean of Anatolia since 19th century. Silifke is located 80 km west of Mersin province on the junction of Mersin-Konya, Mersin-Antalya highways. There are eight “belde belediyesi” (local municipality with decision-making powers) affiliated to the administrative district of Silifke: Atayurt, Atakent, Arkum, Akdere, Narlıkuyu, Uzuncaburç, Ta¸sucu and Ye¸silovacık. The administrative boundary of Silifke has 105 km of coast line and 72 km of that is included in the delta area. Göksu Delta is one of the most important breeding areas in the Eastern Mediterranean where 330 bird species have been observed. In the aim of safeguarding the natural and cultural assets, the delta was declared as a “Specially Protected Environment Area” by the council of ministers in 1990 in Türkiye. The Göksu Delta is also listed as one of the conservation areas by the Ramsar Convention (an intergovernmental treaty which provides the framework for national action and international cooperation for the conservation and wise use of wetlands and their resources) in 1994. The delta covers 15000 ha including Akgöl Lake (400 ha, partly separated by sand dunes from the sea) and Paradeniz Lagoon (1200 ha, fresh water character) on the west of the estuary. While the total areas of marsh and lakes cover 2130 ha, sandy beaches and sandy soil covers 5300 ha. In addition to the ecological frame, the geographical position and the immigration

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Table 1. Winter and Summer Populations, Length of Coast line and Number of Second Home, by Villages in Göksu Delta – (TU˙IK, 2007).

Table 2. Winter and Summer Populations, Lenght of Coast line and Number of Second Home, by “Belde Belediyesi” (Local Municipality Settlements) in Silifke – (TU˙IK, 2007).

Villages (rural settlements)

Coast Winter Summer line Population Population (Km)

Number of Second Home

Belde Winter Summer Belediyesi Population Population

Coast Number of line Second (Km) Home

Bahçeköy Çeltikçi Kurtulu¸s Sökün Ulugöz Burunucu Gülümpa¸salı

180 348 1105 534 656 823 429

– – – – – – –

Atakent Atayurt Arkum Ta¸sucu

16 16 22 10

– – – – – – –

– – – – – – –

routes of birds between the north and south directions also play an effective role in the diversity of species. This area is one of the most important nestling areas of the critically endangered Mediterranean turtle (caretta caretta) and Nile turtle as well. As well, it is a habitat for the very few number of Mediterranean Monk seal in the Eastern Mediterranean region. There are generally two types of agriculture in the area – the cultivation of fruits and vegetables, cotton and wheat, in the fertile parts of the delta and along the coastal plain. Because of the potentials provided by Göksu River, water-intensive agriculture is considerably developed. Cotton, sesame, peanut, rice, strawberry, citrus are the most important cultivated products in the region. Following the construction of highways connecting the inland and the coastal cities, the establishment of the first holiday camps in 1960s brought forth an attraction to the sandy beaches of the coastal plain and the delta and began the process of intensive deterioration in Eastern Mediterranean of Anatolia. National tourism promotion policies in 1980s accelerated the demand on second home construction, mostly organised by private firms. Unfortunately, the hierarchy of national planning departments can not oversee and manage the development of second home constructions within its comprehensive plan. In Göksu Delta there are seven inland villages and the total number of people living in the area remains the same throughout the year (4075 people) (Table 1). On the other hand, Table 2 indicates the four belde belediyesi’s varying populations where the total length of coast line is 64 kilometers. Here the total population fluctuates from 23258 people to 147100 during the summer months. Although, most of the territorial population of Atakent, Atayurt and Ta¸sucu local municipalities do not live in the protected area, they are situated in the delta plain. It is observed that in four of the local municipalities, the typology and the character of these second homes show differences in design. In Ta¸sucu municipality

5612 7403 2359 7820

60000–70000 21600 5000–6000 50000–60000

7000 2000 1500 4500–5000

(west of delta) while the single family residences in the delta are 2 floored, the residences close to the center are mostly 5 floored multi-family apartments. Similarly, in Atayurt municipality (mid-north) inside the “Specially Protected Environment Area” the houses are mostly 2 floored, however, outside this protected area the residences become 4 floored multi-family second home apartments. And in Arkum (south-east) while the second home houses are 2 floored with a maximum height of 6.50 meters, in Atakent (northeast) 14 floored apartments are observed from far in the distance. To the east, where the coast line is especially long (37 km) between Erdemli town and Mersin province, enormous 18 floor long blocks prevent the prevailing pleasant breezes of the sea from reaching the coastal plains. Because of the drastic topography, outside the delta to the west (Akdere and Ye¸silovacık “belde belediyesi”) the population becomes sparse and the total number of second homes does not exceed 200. 3.1 The problems arise in Göksu Delta and Coastal Plain In Göksu Delta and coastal plain one of the main crucial issues is the process of second homes areas which is a kind of demand that emanates particularly by the inland (middle and south-easthern Anatolia) societies in order to hold a property and to benefit from the beach and sea activities. Recently, in the west of Ta¸sucu, 1159 ha of an area along the coast line was dedicated by the government as a “tourism area” which only accelerates the process (Official Journal, 2006). The problems that arise in Göksu Delta and coastal plain are as follows:

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•

Although, the areas of highly fertile soil is very limited because of the calcareous soil formation and the mountainous topography, the impact of human activities and second home constructions are disrupting the soil’s structure and agricultural fields. • The beaches that are vital habitats for many endangered species suffer and are being destroyed by the high-density second home buildings, constructions and intensive use for the coastal tourism activities.

Figure 2. Gigantic Second Home Buildings, Erdemli (left), Atakent (right).

•

•

•

•

•

•

Meanwhile, the conveyance of sand is the other critical issue observed in the delta. The fragmented and seasonally-used second home buildings along the coast line, away from the existing settlements and villages, results in other spatial, economic, urban, infrastructural and administrative problems. In Türkiye, public social and infrastructure service costs are mostly determined and covered by the national budget according to the winter population of local governments which results in lack of service distribution and puts more pressure on these coastal areas. Seasonal shift in population exacerbate other hazards such as the risk of fire. Recently, 30 ha north of Akgöl Lake was destroyed by fire (WWF, 2008). The construction of high-density second home areas creates negative effects on the visual perception of the region and distinguishing architecture and built space. Regrettably, the buildings composing the linear structuring areas and stretching along the coast have an international common typology corresponding to many metropolitan cities throughout the world. However, these buildings are functionally used only in summer seasons compared to the high rise buildings in the metropolitan areas (Figure 2). In the delta most of the winter periods the falling rain and the increase in the underground water level, leaving the second home buildings under risk of flood, especially those which were built before 1990. In Göksu Delta the use of fertilizers and pesticides in the agricultural lands mix with the soil and underground water and poison the species living in the lakes and wetlands of the delta.

•

4

A result of climatic changes and drought, increased use of wells for water affect the stability of the water table. EVALUATION

In accordance with the planning process, the current situation taking place in Mersin-Silifke and Göksu Delta cannot be labeled as “unplanned”. However, the situation is very desperate as natural habitats are sacrificed will little concern for the future. The conflicting administrative and planning structure has served to expand the power given to belde belediyesi (local municipalities) and has created competition and speculation in land costs as well as demands on urban services and infrastructure. For that reason, especially around the delta second home structuring has to be restricted and new taxation policies for the existing second home estates have to be created, so that the revenue (from the taxation) can be used for improving the public and infrastructure facilities. Whether it is national or international, the preferential perspective in tourism should concern the carrying capacity and minimum damage to the existing natural, economic and social arrangements in an effort to maintain the integrity of the existing place. Water and deltas do not only have regional but, also global concernments. Consequently, in any conditions these areas have to be protected. The creation of second home areas puts even more outside pressure and threatens the survival of indigenous species. Rules and restrictions are needed in order to protect the ecological, economic, and environmental aesthetics

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against the establishment of tourist accommodations, services and facilities. The criteria for zones should not include a specific distance. For example, as in the case of Göksu Delta, all the river beds starting from the fountain should be supervised and controlled not in isolation, but with its environs and the settlements around it. Specific approach zones can be modified for each different specially protected area that defines activities, type of urbanisation and so on according to their natural environment characteristics. Finally, an organization comprised of experts of different professions (geographer, ecologist, urban planner, environmental engineering, biologist . . .) can be developed but, each member has to be an expert on his/her own field and it must be developed in accordance to the specifics of the area. For instance, in Göksu Delta a zoologist must be an expert on the caretta caretta turtles. REFERENCES Becker, N., Choresh, Y. (2006). Economic Aspects of Marine Protected Areas, United Nations Environment Program, Mediterranean Action Plan, Regional Activity Centre

for Specially Protected Areas, Tunisia. http://www.racspa.org/telechargement/ASPIM/ev2006.pdf Bender, R. (1993). Where the City Meets the Shore, Waterfronts, ed., Bruttomesso, R., Cities on Water, Venice, 32–35. Hughes, J.D. (2005). The Mediterranean: An Environmental History, Nature and Human Society Series. California: ABC-CLIO, Inc. Klaasen, L.H. (1993). “Cities on Water: Some Economic and Geographical Reflections”, Waterfronts, ed., Bruttomesso, R., Cities on Water, Venice, 21–23. Turkish Ministry of Environment and Forest (1998). Göksu Delta http://www.cevreorman.gov.tr/sulak/sulakalan/ goksu.htm United Nations Environment Program-UNEP (2005). Global Environment Outlook Year Book 2004/5, http://www. unep.org/geo/yearbook/yb2004/072.htm World Tourism Organization-WTO (2007). World Tourism Barometer, 5(2). http://unwto.org/facts/eng/pdf/ barometer/unwto_barom07_2_en.pdf WWF-Turkish Endowed Institution of Natural Life Protection (2008). http://www.wwf.org.tr/en/haberler/haberler/ archive/2008/subat/13/haber/goeksu-deltasinda-yanansazliklarin-yerinde-ne-bitecek/ Turkish Statistical Institute-TU˙IK (2007). http://www.tuik. gov.tr

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Istanbul: Major transformations as a water city F. Erkök Department of Urbanism, Faculty of Architecture, Delft University of Technology, Delft, Netherlands

ABSTRACT: This paper aims to narrate the changes that have occurred in Istanbul and that have consequently altered the very special relationship of the city with water. The city has a very unique setting due to its geographical conditions. Several breakpoints by several actors have constituted these transformations. These breakpoints can be referred as the growth of the city and insufficient transport networks, policy mistakes resulting in serious water pollutions (heavy industry at coasts), building coastal roads by filling in the water, demolishing the morphology at the cost of clearing away industry, etc. Mistakes in big scale can be seen in other parts of Turkey, like the 540 km. long continuous Black Sea coastal motorway and fillings in Izmit which have collapsed to water at the earthquake. Past mistakes should lead to a transformed vision on the issue. Keywords: Change; coastal character; coastal infill; discontinuity; Istanbul

1

INTRODUCTION

Istanbul has a very unique relation with the sea in terms of geography. The circumstances and diversities presented by geography reveal themselves in a unique setting for a city. This relationship resembles neither that of the cities divided by canals like Venice and Amsterdam nor to the riverside cities like London, Frankfurt. For this reason, the evaluation of its coastal city problems requires a special approach. Istanbul holds in itself one of the most important watercourses of history which has been an essential trade route. Together with its unique topography, the sea as an element has contributed considerably to the city. This life with the sea, which can be clearly traced in the oral and visual historical expressions of the city, has today been considerably altered. It is frequently noted that it has turned from a coastal city into an inland city. As this relationship has radically changed, the city now urgently needs new insights which evaluate this situation and work to redefine a place for water in the city. There is a considerable amount of research on the history of the city, but not much in particular that deals with issues related to water. However some scholars (Yenen et. al, 1993; Kilincaslan, 1996; Erkok, 2002; Esen, 2003; Curulli et. al, 2007; Kuban, 2008) have put a critical view on the change to how the city relates to water now. In fact, the way coasts in Istanbul and in other parts of Turkey are treated or changed occurs without the involvement of designers; instead it seems to be viewed as an ordinary technical task of the (central or local) authorities.

In this paper, major breakpoints in the historical process triggering these changes are explored. Several actors which have had impacts on these changesoperations are pointed out. Outcomes are viewed in a critical manner in terms of urban quality as well as relating to natural hazards (earthquake) and other natural forces. 1.1 The dynamic relation of cities with water Half of the world’s population lives along rivers, on estuaries or at the sea edges in generally highly urbanised areas. Half of the 50 most crowded cities of the world, with a population exceeding 4 million are located on coasts and river estuaries and many more are established near deltas, big lakes and rivers. In the historical cycle, coastal cities are also mostly port cities. These cities, on one hand have acquired a locomotive role in worldwide international trade and, on the other hand, have provided a setting to assemble people from various places and countries through its open and dynamic character. The port and the city centre have been indeed a unity with direct connections between each other. But over time, changing conditions, especially the development of the railway and steam ships, have weakened the relationship between the city centre and its port. But today, these port areas that have become functionless big lots provide cities strategic areas that can be used to revitalise and improve their image and quality of living, as well as prepare them to better compete with other cities. The question whether this process encountered in many parts of the world is an appropriate model for

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Istanbul is subject of discussion. In fact, Istanbul has not shared the same process with many of these cities, however, the outcomes and solutions may be comparable. In addition to economic and technological shifts causing considerable transformations in port cities, another phenomenon on the agenda becoming more and more noteworthy for the relationship between city and water is climate change. In several climate change scenarios, the probability of the occurrence of significant changes in coastal cities points to a continuation of their dynamic nature. When the urban situation in Istanbul – in relation to water – is considered, the following issues can not be detached from the way the city is being experienced as a coastal city: essentiality of location; topography; the role played in history; commercial relationships; early and later urban structures. 1.2

Geographical setting of the city

The exact cause for the formation of the Bosporus remains the subject of vigorous debate among geologists. According to the mostly accepted theory, 200 millions ago, in the geological ages, continents in attached form started slowly separating from each other and the Black Sea was disconnected from the Aegean Sea. With the following warming of earth and the resulting melting of glaciers, water levels in oceans and seas started rising. The strait of Istanbul, in formation, is a geological fault subsidence. The valley created by fault subsidence was filled with water by the rise in the seas and have formed the strait of Istanbul connecting the two seas of Black Sea and Marmara (Atalay, 2007). The Bosporus is about 31 km long and varies between 1 and 2.5 km wide with the narrowest part measuring 700 m. Swift currents make navigation difficult. The average depth is 50 m. In the Bosphorus there are two currents; one on the surface from the Black Sea towards the Marmara Sea and one below the surface in the opposite direction, caused by height differences between the two seas and the changes of saltiness (Yenen, 1998). As a matter of fact, the Bosphorus is an ever changing geographical entity, in which sea passes through two mutually facing pieces of land, to meet open seas on both ends. This is a highly changeable, movable landscape that works well with the changing conditions of wind, sun and humidity. 1.3

Urban origins, first settlers

Historians are generally agreed that the city’s foundation dates from the 7th century BC. Over this period there is a constant inhabitation. This first city, Byzantion was founded by Greek colonists on what is known as Seraglio Point (Sarayburnu), the eastern headland of the peninsula, a quite suitable spot for the foundation

of a settlement. There are a number of legends relating to the foundation of the city and its founder (Kuban, 1996), but the most widely accepted one involves the arrival of Greek colonists (Batur, 1993; Kuban, 1996), with their leader Byzas, aiming to build his kingdom. Having the advice of the oracle at Delphi in mind, to settle opposite the “land of the blind”, the colonists searched for such a land for a long time. When they came to the headland of the peninsula of present-day Istanbul, they were delighted with the fertile lands and the advantages offered by the natural harbour, the Golden Horn. They were convinced that they had found the land the oracle had described. (Governorship of Istanbul, 2008). Even though there were also other colonies around (at the shores of Kadikoy and Uskudar) only this settlement has prominently developed (Batur, 1993). This shows the strength of the location chosen by Megarians, as it provided the ability to control the passage transit way between the Black Sea and Mediterranean. Water brought many benefits/opportunities to the city – providing an important sea port, offering abundant fish, collecting a passage toll for Bosphorus – all of which helped the city to prosper. This unique setting with natural advantages provided irreplaceable urban profits. The natural geographical form created an excellent defence system, offered an outstanding controlling location and also provided suitable harbour locations. Equally important, it provided a setting for building a remarkable, impressive city. Despite crucial changes in administration and religion ruling the city, the element of water has always been the most dominant for in its development – the water divided, bonded, and surrounded the city (Kuban, 2008). 1.4 The city growing The city was still confined to mainly the tip of the peninsula. Only some centuries later did settlements start on the other side of the Golden Horn and along the Bosphorus. The opposite shores of the Golden Horn and Bosphorus gradually became unified. This characteristic of being separated and unified depended very much on the means of accessibility. The sea was utilised quite effectively for transport, both for goods and people. As the number of rowboats increased, further locations in the city were preferred for settling. Water transport was the main source of transport for a long time, due to the topography of the city that made for difficult land transport. In the 16th century, when the Ottoman Sultans assumed the chief civil and religious authority of Islam, Istanbul became the centre of the Islamic world as well. The city was totally reconstructed and acquired a magical ambiance under the sultans. Although no wars were featured in the history of the city during

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out like the placid horizontal smile of a Buddha in the shadow of a sanctuary, covered by a gold luster… (Zaknic, 1987).

this time, frequent fires repeatedly devastated large sections of the city. 1.5

Port(s) of Istanbul

The city had two adjacent ports. The Neorion was the main port of the city and took place, according to Xenophon, within the city walls (Kuban, 1996). The Golden Horn was a natural port, maritime traffic moved easily, all kinds of commerce were carried out and the merchandise was easily unloaded and stored. The Bosporion port, which lay immediately adjacent to the Neorion a little to the east, probably functioned as a dockyard (Kuban, 1996). Further along, in the place called Eminonu today, there was the port of Zeugma which was in use for a long time. On the Marmara coast there were also several harbours of varying importance. Placed in close distance to each other, ports of Kontoskalion, Kaisarion, Theodosius (or Eleutherion) which can be seen in old city views today have all disappeared. The construction of the Marmara Project which aims to connect the European side with the Anatolian side of Istanbul underwater, revealed some of the lost treasures of Istanbul – the lost Byzantine “Port of Theodosius” was found. According to R. Mantran’s description, the port of Istanbul was based essentially on import trade, with practically no exports. Imported goods within Ottoman Empire handled at Istanbul harbour, goods from Europe at Galata harbour, also a transit station from Iran to Europe. Port trade was mainly executed by Levantines, Jews and Greeks. With the globalization of European maritime trade to America, Asia and Far East, Istanbul lost its previous importance. Still the port had important influence on life of Istanbul (Kuban, 1996). In terms of foreign trade, the port of Istanbul has notably decreased its volume. 1.6

Istanbul retaining its coastal characteristic until the 1950s and 60s

The city more or less retained its water-based character well until the 1950 and 1960s. This character had an enormous impression on its visitors. Approaching the city from water (which unfortunately, is not common today) added much to this experience. Travellers, artists, authors frequently came to Istanbul, observed life in the city and left their impressions behind in different forms of descriptions – texts, paintings, engravings, travel guides and maps. During his journey to the east, Le Corbusier, approaching the city from the sea is also impressed by the outstanding appearance and reflects it as such: The waves coming from the Sweet Waters of Europe follow a delicate curve. No, it’s no illusion: the banks that hold them are curved like an enormous cornucopia emptying itself into the sea across Asia, whose mountains are spread

Famous Istanbul historian Jak Deleon describes the geographical layout of the city in his book named ‘The Bosphorus: A Historical Guide’ as: This fabled city is divided by the Bosphorus strait. It lies in both Europe and Asia. The European side is seperated into two by a scimitar-shaped gulf called the Golden Horn. The old town sprawls along one side, with its Byzantine ramparts and Ottoman palaces facing the Marmara Sea. On the other side, one can see the ancient Genoese port of Galata and the more modern quarters beyond. The legendary Bosphorus winds its way up to the Black Sea. It is this garland of waters, which makes Istanbul. Its seven hills are crowned with imperial monuments. It is a unique city. (Deleon, 2000). 1.7

Planning acts and urban transformations

The first general plan for Istanbul was prepared during the last periods of the Ottoman Empire. The plan of Moltke tried to solve the infrastructure problems of the city. A bridge between the two sides of the Golden Horn was proposed and first bridge was constructed in 1845, enhancing the connectivity of the two parts. After the occupation and independence war, Ankara was proclaimed the capital of Turkey and government was transferred. A population decrease and a period of serious neglect in Istanbul can be traced to this period. But planners shifted their attention to Istanbul again in the 30s. The reconstruction, according to Akpinar (2003), fell into 2 phases: the master plan carried out by French planner Henri Prost (1936) (Figure 1), and the period when the Menderes government assigned Turkish nationals to develop plans by revising and continuing Prost’s plan. The plan evidently showed a preference of land transport over sea transport. It also involved important principles for Golden Horn. With the plan, commerce and local industry in Golden Horn was permitted, heavy industry and a road for the industry was placed along the coast. Consequently, unhealthy establishments, warehouses and heavy industry quickly polluted the area. Besides industrial waste, other factors like the discharge of the city sewage system and waste of the slaughterhouse contributed to the pollution (Ahunbay). In 1956, Prime Minister Menderes took over personal responsibility for the reconstruction in a period of intensive road building, street widening, and demolition of old buildings and construction of new ones (Akpinar, 2003) (Figure 1). The acquisition of the modern city image of the authority proceeded at the expense of demolition

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Figure 1. (left) Master Plan of Henri Prost, 1939; (right) operations in 50s and later in 1980s (Akpinar, 2003).

Figure 2. (left) Road constructed on water; (right) filling coast between Kadikoy-Bostanci.

of the historical tissue; buildings were relocated or demolished. However, Istanbul retained still the characteristics of a coastal city up until the end of the 1960s. After this decade, nevertheless, the city began to spread out in all directions. The close relationship of the Istanbul resident with the sea disappeared. It became increasingly difficult for residents to reach the shore and the sea began to lose its effectiveness as a means of transportation. During the 1970s the population of Istanbul began to increase rapidly as masses from Anatolia started migrating to the city in order to find employment in the many new factories that were built in that period. This sudden and sharp increase in the population caused a rapid rise in housing development (mostly of poor construction quality and shabby appearance) and many previously outlying

villages became engulfed into the greater metropolis of Istanbul. In 1973, the inauguration of the 1st bridge on the Bosphorus and its beltways lead to the emergence of new settlements and new areas encompassing the city. The bridge also caused a change in the transportation mode between the two shores of the Bosphorus. (Baykal, 1992) The 80s saw a second period of major urban transformation. Even though not as extensive as the first period of the 60s, this period has also left marks on the city as alterations – mostly irreversible interventions. The most important of these operations were: clearing up of industry from the Golden Horn; construction of the 2nd Bosphorus Bridge; opening the Tarlabasi Boulevard; construction of the road on piles on the European coast of the Bosphorus (Figure 2);

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Figure 3. (top) Black Sea Motorway Project plan; (bottom) the road acting as a distinct barrier between sea and land.

filling the coast between Kadikoy- Bostanci and building the coastal road (Figure 2); building the speed tram; building the metro line between Taksim-Levent. The operations of the 1980s, besides the removal of industry from Golden Horn, involved a rigorous cleaning operation of the sea. The result has been a total and drastic change in appearance with both positive and negative aspects. The present-day plan of the municipality for the development of Golden Horn Area aims to protect the historical and natural assets in the area as this is an urban protected area as a whole; remove inaccessible and empty areas and functions damaging the Golden Horn visually and environmentally; reintroduce urban life to the coast by opening it up to public use; maintain continuity in the usage of coast. However looking

at the current state, there is essentially no convincing outcome that fulfils these objectives. 1.8 Another continuous coastal road: Black Sea Coastal Motorway Project The Black Sea Coastal Motorway Project which was put out to tender in 1987 acted as a means for performance demonstration by several governments ruling since its initial proposal. The motorway occupies the whole Black Sea region and stretches from Samsun all the way to the Sarp border gate over 542 kilometres (Figure 3). The motorway is intended to be more efficient by creating an uninterrupted traffic flow. At his inauguration speech in 2007, the Prime Minister stated that the motorway would stretch as far as Istanbul and

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be connected to the 3rd Bosphorus bridge (Arkitera, 2007). Scientists have discussed the safety issues posed by the motorway. Prof. Celik from the Black Sea Technical University, states that the average wave height in the Black Sea is 5–6 meters and that Black Sea motorway infilling has been is 4–5 meters height. In many parts waves are already throwing sand and gravel on the road and this creates a danger for the fast flowing traffic. In some parts, concrete walls have been constructed, but in the case of higher waves these fortifications would probably have little effect. Global warming impacts which anticipate higher waves and stronger storms would make the road more hostile during certain times. Other than the safety issues, the project demonstrates the continuity of mentality in Turkey about treating coasts (Figure 3) in a purely technical manner – creating engineering solutions that are difficult to remove or reverse. 1.9

Filled-in coasts and the earthquake phenomenon

An earthquake of magnitude 7.4 (Mw) struck the city of Izmit in North-Western Turkey and its surroundings on Tuesday 17 August 1999 at 03:02. Severe damage was reported in several towns in the highly populated Izmit Bay area. Izmit Bay is located on the northern branch of the North Anatolian Fault line. Rivers flowing into the bay have created deltas and the wide and long alluvial plains. The ground profile is generally formed by thick, soft clay or loose sand layers. The area is both high in seismic activity and has extremely inconvenient ground conditions. (Ozcep). In Degirmendere, a soft 100 meters wide landfill was previously made adjacent to the steeply sloping coast. This landfill with the road and buildings (hotel, restaurants, shops, cafes, town hall) had slide into the sea during the earthquake and this created more waves. These waves had thrown parked cars further inland. Almost all buildings built on riverbeds had collapsed (Ozcep). The entire waterfront of a resort town called Halidere was destroyed (Calverley, 2000). The mayor of Degirmendere stated that, 150 meter wide and 500 meter long piece of earth was split off and submerged (Figure 4). The part which was previously land now has a depth of 18 meters of water. After the earthquake it was acknowledged that landfilling this coastline is not an option (Tuncer, 2000). Some researchers assert that tsunamis must have occurred during the catastrophe. Daniels, states that the fault must have sent water towards Turkey reaching the height of 4 meters and causing heavy damage of flooding, especially in the cities of Degirmendere and Karamursel (Daniels, 2005). The landslides and subsidence occurred at the plains between the coast and motorway after the earthquake

Figure 4. Situation of the coasts after the earthquake, landfills submerged into the sea.

has totally changed the coastal morphology. These have seemingly resulted from the indifference to natural forces and lack of sensitivity in using existing knowledge (Ozcep). The inconvenient ground conditions have had dramatic impacts on the earthquake damage, but it is also clear that infilling along a coastline with such conditions is a highly risky intervention, not to mention the added risks of building up on this instable surface. Istanbul is also situated near the North Anatolian Fault line (with changing distances), which runs from northern Anatolia to the Marmara Sea. Two tectonic plates, the African and the Eurasian, push against each other here. This fault line has been responsible for several deadly earthquakes in the region throughout history. Therefore infilling, an otherwise common solution in Turkey is a highly questionable approach.

2

CONCLUSIONS

The geographical conditions of the city provided excellent benefits for a city. The ability to control the passage in this strategic core has been a key concept

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through history; power-control relations were inseparable.The advantages brought by the natural base of the city of presenting diverse geographical morphologies also led to the appearance of natural harbour locations. But this natural base, as much as it offers, also expects sensible treatment. The first urban constructs evolved have been responsive in effect, but later the acute growth patterns of the city have challenged sensibility in tackling these problems by acts of planning. Proportions of urban-rural population in Turkey have shown drastic changes in a period of 4 decades. In 1950, total population of the country was 21 million and 78% of the population was rural. In 1994, the population was 60.5 million, but 64.9% were urban. This change has evidently put significant pressure on big cities. Istanbul has changed considerably due to this phenomenon, seeing major transformations in its history especially along its coasts. Problems of congestion and overpopulation created bottlenecks which led to interventions which focused on the problem in a very hasty, technical and direct sense. Outcomes of these acts have been unfortunately and somewhat irreversible. This approach has resulted in the coasts of the city to become almost totally encircled by speedy coastal roads (flanked by empty strips of land), breaking up the relationship between the city, its residents, and water. The invariable approach towards the coast has resulted in a uniform outcome, with all coasts possessing a similar character. There is much to be learned from past mistakes and it is time to act much more carefully to heal the situation. Coasts could become places offering better urban qualities to citizens. Tackling the problem from many standpoints and in an interdisciplinary is necessary to even attempt to reverse some of the mistakes of the past.

REFERENCES Ahunbay Z. Halic’in Dogal, Tarihi ve Mimari Degerlerinin Korunmasi, Istanbul’dan Goreme’ye Kultur Mirasimiz (Protecting the Natural, Historical and Architectural Assets of Golden Horn, our Cultural Heritage from Istanbul to Goreme), Milliyet. Akpinar I. (2003). The Rebuilding of Istanbul After the Plan of Henri Prost, 1937–1960: From Secularisation toTurkish Modernisation, PhD Thesis, the Bartlett Faculty of the Built Environment, London. Arkitera – Architecture Center, (2007). Karadeniz Sahil Yolu 20 yil sonra aciliyor. (Black Sea coastal motorway opens after 20 years) http://www.arkitera.com/h15785karadeniz-sahil-yolu-20-yil-sonra-aciliyor.html (accessed 14 April 2008).

Atalay O. (2007). Bilim ve Teknik (Science and Technique). http://www.biltek.tubitak.gov.tr/merak_ettikleriniz/index. php?kategori_id=2&soru_id=3062 (accessed 14 April 2008). Batur A., Kazgan H., Tekeli I., Cansever T. (1993). Istanbul’un Dort Cagi, Yarinin Istanbul’u (The four periods of Istanbul: Istanbul of Tomorrow), Istanbul. Baykal R. (1992). Istanbul’da Denizyolu Ulasimi (Sea Transport in Istanbul), Istanbul, 1992(2), 48–55. Calverley B., (2000). Quake up call. http://www.usc.edu/dept/ pubrel/trojan_family/spring00 / Earthquake /earthquake. html (accessed 14 April 2008). Daniels, C. (2005). PastTsunamis. http://academic.evergreen. edu/g/grossmaz/DANIELSC/(accessed 14 April 2008). Deleon J. (2000). Bogazici Gezi Rehberi (The Bosphorus Guide), Istanbul: Remzi Kitabevi. Erkok F. (2002). Kentsel bilesenleri ve kiyi kenti kimligi baglaminda Istanbul’un oznel ve nesnel degerlendirmesi (Objective and Subjective Evaluation of Istanbul in the Context of its Coastal City Identity and Urban Components), Unpublished PhD Thesis, Institute of Science & Technology, ITU, Architectural Design Theory Program, Istanbul. Esen O. (2003). Istanbul Kiyilarini Nasil Kullaniyor? “Urban Flashes” Atolye Calismasi Vesilesiyle Genel Bir Degerlendirme, (How does Istanbul use its coasts? An evaluation on the prompting of the workshop “Urban Flashes”) Istanbul, 47, 40–46. Governorship of Istanbul (2008). History of ˙Istanbul. http:// english.istanbul.gov.tr/Default.aspx?pid=293 (accessed 13 April 2008). Curulli I., Vermeulen M., Yegenoglu H. (2007). Interstitial Space in Istanbul’s Urban Shores, Project Proposal for the Architecture Biennale in Istanbul, 2007. http://www. yegenoglu.com/Pdf%20Teaching/Intro%20Biennale.pdf (accessed 13 April 2008). Kilincaslan T. (1996). In Unison with the Sea. Istanbul, 1996(Spring), 52–57. Kuban D. (1996). From Byzantium to Istanbul, the Growth of a City. Istanbul, 1996(Spring), 10–42. Kuban Z. (2008). Istanbul from the Waterfront in, Saglamer, O’Cathain, Paker, Erkok (ed.) (2008 ) Re-discovering the Golden Horn for ECOC Istanbul 2010, ITU-QUB, ˙Istanbul, 12–18. Ozcep F., (ed.) Kocaeli Depremi IU Jeofizik Bol. On Degerlendirme Raporu, 17 Agustos 1999 Golcuk (Kocaeli) depremi. (Kocaeli Earthquake IU Geophysics dep. Pre-evaluation report), http://avnidincer.8m.com/ IURapor.html (accessed 13 April 2008). Tuncer H., (2000). Degirmendere dislandi (Degirmendere was sidelined) CUMHURÝYET newspaper 18 August 2000. http://www.belgenet.com/deprem/170800_c18.html (accessed 14 April 2008). Yenen Z., Unal Y., Merey Enlil Z. (1993). Istanbul’un Kimlik Degisimi: Su Kentinden Kara Kentine (Identity Change in Istanbul: from a Water City to an Inland City), Istanbul 1993(5). Zaknic I. (ed.) (1987). Le Corbusier, Journey to the East. Cambridge: MIT Press.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

The influence of water in shaping culture and modernisation of the Kathmandu Valley Sushmita Shrestha Department of Architecture, Khwopa Engineering College, Bhaktapur, Nepal

Bijaya K. Shrestha Post Graduate Department of Urban Design and Conservation, Khwopa Engineering College, Bhaktapur, Nepal

ABSTRACT: Holding both religious and symbolic meaning, water, during the Licchhavi and Malla periods, has been associated with socio-economic activities in the daily routines of the Newar community and has been responsible for shaping the cultural practices in the Kathmandu Valley. However, such meaning and linkages of water to society and their habitats, as well as the multiple roles that water plays, have been greatly ignored in the socioeconomic modernisation of the Valley. The existing legal and institutional framework is inadequate and ineffective to regulate the rapid urbanisation, the changing lifestyle of inhabitants, and the complex relationship of water with society and settlement. To reverse this trend, a combination of both “top-down” and “bottom-up” strategies is essential. Keywords: Cultural practice; Kathmandu Valley; legal and institutional framework; religious meaning; restoration and renovation; socio-economic modernisation

1

OVERVIEW AND STUDY OBJECTIVES

The Kathmandu Valley, comprised of the three principle cities of Kathmandu, Patan and Bhaktapur, is criss-crossed by many rivers. Yet, early human settlements did not evolve along the river bank, but at the high altitudes due to a number of reasons including a need to preserve fertile agricultural lands and to settle in a strategic and safe location. The prehistoric settlement called “grama” in the Kirata period (pre-historic) was expanded into a commercial centre (dranga) during the “Lichchhavi” era (1st–9th century). The area was further extended through roads and fortified by gates and walls during the “Malla” period (13th–18th century); this lead to the formation of medieval town centres in the Kathmandu Valley (Regmi, 1965; Oldfield, 1974; Wolfgang, 1976; Malla, 1978; Slusser, 1982). Throughout the development of towns, water has been associated as a structural linkage between society and settlement in many ways through celebrations of numerous festivals and ritual practices. Having religious and symbolic meaning, water in the form of rivers, natural ponds, sunken water spouts and canals has not only influenced settlement patterns, but has influenced socio-economic activities in the daily life of town dwellers. However, rapid urbanisation of the Kathmandu Valley (6% annual growth of Kathmandu

against the national average of 2.1%) coupled with the changing lifestyle of inhabitants, including a gradual shift in the economic base from agriculture to service and commercial, has transformed the traditional social fabrics in the historic core areas and has created new urban forms in the peripheral areas. This has not only created challenges to the traditional “water – society – settlement” relationship, but it has also created new opportunities for integrating water into settlement growth processes. This paper aims to explore the influence that water has had in shaping culture and directing the socioeconomic modernisation process that has occurred in the Kathmandu Valley. It consists of three main objectives: establish the structural linkages between water, society and the settlement patterns in the past (Licchhavi and Malla periods); demonstrate the rapid urbanisation and changing lifestyles of inhabitants of the Kathmandu Valley; relate the resulting weaknesses and opportunities to the existing legal and institutional framework of the Valley development. 2

STRUCTURAL LINKAGE BETWEEN WATER, SOCIETY AND SETTLEMENTS

Water has been associated with the culture and lifestyle of inhabitants of Kathmandu Valley throughout

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Table 1.

WATER

Structural linkage between water – city – settlements in the Kathmandu Valley. Linkages

Town level

Local level

Neighbourhood level

Society

Religious activity and town boundary Riverbank and artificial ponds at town peripheral areas

Production and distribution (economy) Canals, natural ponds, reservoirs, etc.

Socio-cultural activities in daily life Water conduits, wells, etc.

Built form

Figure 1. Relation of water with society and city at different scales in the Kathmandu Valley.

history. Water is essential to this agricultural-based society. As well, many festivals and rituals are celebrated by offering water; in some cases, they are also performed near the riverbank or inside ponds. To establish a clear structural linkage between water, society and settlement, a matrix of 2 × 3 is developed for analysing the linkages at three different hierarchies, namely within a town context, at the local level and at a neighbourhood scale (Table 1 and Figure 1). The kings of the Licchhavi dynasty had initiated the construction of water related infrastructure such as canals, ponds and sunken water spouts (dhunge – dharas), which was further developed throughout the Malla period. The independent Licchhavi towns located in the hills were restructured by Malla kings and linked to rivers. Ananda Malla (1272–1310) amalgamated the three independent Licchhavi settlements of Khopring, Makhopring and Makhodula and placed the eight mother goddesses, Astamatrikas, around them. The water needed for ritual bathing for six of theAstamatrika pith was provided by two rivers: Hanumante River to the south and Kasan Khusi to the north (Figure 1b). Where such rivers were lacking, as with the east and west, artificial water bodies (ponds) were constructed. Moreover, the allocation of Dyochen and Piths at the peripheral areas in the form of Astramatrika not only indicates the boundary of the town but also acts as an urban-rural continuum and ecological balance. It protects the agricultural lands and ensures the continuous supply of food and other agricultural products for the town dwellers (Shrestha and Shrestha 2008). In Hindu religion, rivers hold numerous religious and symbolic values. First, they act as a transitional

space between two worlds: human habitats and the domain of death outside the river. Moreover, it is the locus for dying, cremation and purification. Thus, the “ghat” (steps towards the river) complex along with other public facilities such as “pati,” “sattal,” and “dharmashala” (public shelters) located along the riverbanks are major sites for performing rituals related to death and cremation. People approaching death are sometimes brought to the river ghat so that their feet and legs can be immersed in the river at the actual moment of death. The ashes left after burning the dead body are thrown to the rivers. The male family members of the deceased person must bathe at the river before entering their homes as a method of purification. Second, as water is a sacred element, riverbanks are often major sites for positioning important deities. The Pashupatinath Temple Complex along with a ghat is located along the Bagmati River. The Shova Bhagawati Temple Complex lies at the bank of Vishnumati River in Kathmandu. Many pilgrims visit Pashupatinath Temple during shivaratri festival (March–April) and bathe in the Bagmati River. According to the great Hindu epic “Shree Swasthani Brata Katha”, Sali River is a holy place especially for women, as their grief will be released after taking a bath in the river. As Licchhavi townships were located in the ridges with very low subsurface ground water, the need for water for drinking and agriculture was meet through the construction of ponds with deep wells as reservoirs, depressed pit conduits and water canal systems (Table 2). In the rich soil of the Valley, the irrigation led to an agricultural surplus thereby causing extensive urbanisation in the following years. During the Malla period in the 17th century, the king of Kathmandu,

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Table 2. Development of water system during the Licchhavi and Malla periods.

Towns

Irrigation canal

No. of historical ponds

No. served by Rajkulo

No. of shallow aquifer

Kathmandu Patan Bhaktapur

Rajkulo Rajkulo Rajkulo

21 39 30

4 18 9

7 11 4

Pratap Malla (1641–1674) and king Jitamitra Malla of Bhaktapur (1673–1696) built long distance water canals called “Rajkulos” primarily for religious purposes, but also to facilitate the irrigation of the farm land. Starting from the foothills, these canals also fed water to “dhunge – dharas” located in various urban areas of Bhaktapur and Lalitpur. Similarly, King Shankar Dev built another canal named “Shankhu Raj Kulo” for two purposes: to run a branch of the canal through the town (for drinking water) and another through agricultural fields for irrigation in Shanku (Pun, 2001). Many historical ponds were constructed near to the shallow aquifers, providing sources of water for “dhunge – dharas”. Also, many historical ponds whose function was to recharge the shallow aquifers were fed by water from the Rajkulos (Table 2). The traditional settlements of the Valley were characterised by a tight urban fabric relieved only by public squares, which often included wells, water spouts, drinking fountains, or other access to potable water. The watering places in and around the towns are of particularly interest because they reflect the architectural, artistic, social and engineering heritage of this ancient people (Spodek, 2002). At the neighbourhood scale, water spouts and wells were significant in sociocultural activities in daily life of the Newar community in the past in many ways. First, water conduits were provided at three different locations to serve a wide range of beneficiaries: at the neighbourhood areas for local inhabitants, outside the settlement for travellers, and at the foothills of the mountain for pilgrims (Becker-Ritterspach, 1990). In most cases, rest place (pati) or rest shelter (sattal) were associated with water spouts. Second, water from the spouts was supplied by either Rajkulo or a natural underground water table and was used for multiple activities such as washing, drinking, as well as other household purposes (Pradhan, 1990). Moreover, it is believed that some of them have medical value against certain diseases such as gouts, sinuosity and skin ailments. For instance, the Sundhara of Kathmandu has the healing power against arthritis whereas the water from the Gah Hiti of Bhaktapur was used against goitre. These were the places

for socialisation and acted as a means of strengthening community networks. Third, sunken spouts used to have religious meaning and symbolic value. The water of the right side of the Manga Hiti of Patan has been used for daily ritual worship of the Krishna Temple, whereas the water from the left side of the same spout has been taken for reviving Hiranyakasyap, the victim of the Narshing Avatar in the Kartik Nach in the month of Kartik (October – November) at Patan Darbar Square. As water conduits comprised of both Hindu and Buddhists pantheons symbolising their holiness, people have faith that by taking a bath in Dhunge – Dhara, one gets religious merit equal to visiting all the great important holy places (tirtha) of both religions. Annual maintenance of these public utilities to ensure the continuous flow of water even in dry season has been achieved through celebration of Sithinakha festival, dedicated to the ancestors (Digu Puja or Dewali) in the month of May by repairing public buildings and urban services such as wells, water holes, ponds and drainage ditches through a wide community participation. Another festival associated with water is Naag Panchami, which is celebrated by worshipping the Naag (snake), the source of water around the third week of July. The belief of anyone who agitates the Naag by polluting the water sources will suffer from skin diseases and infections helps to ensure that the water remains clean and pollution free. The financial and cultural sustainability of management, operation and maintenance of socio-cultural artefacts and activities was achieved through a Guthi (trust) system – a corporate body financed perpetuity through land grants.

3 TRANSFORMATION OF CITY AND SOCIETY AND ITS IMPLICATIONS The combination of both push and pull factors including the gradual shifting of the economic base from agriculture to commercial and service sectors, rapid urbanisation, as well as changes in lifestyles has exerted tremendous pressure on water related infrastructures. The government’s linear response – implementation of housing projects through site and services program in 1977, enactment of Town Development Act 1988 and formation of Kathmandu Valley Town Development Committee and Ministry of Housing and Physical Planning (now converted into Ministry of Physical Planning and Works) in 1988, involvement of private sector through Joint Apartment Act, adaptation of decentralisation policy through Local Self-governance Act, including execution of publicprivate projects in 1999 – have become inadequate and ineffective (Shrestha, 2007), as clearly illustrated by the huge gap between the demand and supply of housing and infrastructure provisions (Figure 2).

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Figure 2. Rapid urbanisation of the Valley and inadequate housing and infrastructure provision.

Its negative consequences on the earlier structural relationship between water-society-settlement are numerous. First, haphazard extension of the settlement towards the riversides, encroachment of riverbanks by slums and squatter settlements, dumping of garbage and direct discharge of sewer lines and industrial waste to the river without treatment all have helped to convert the rivers into open sewer lines. Wastewater from the urban areas of the Kathmandu Valley ultimately flows into the Bagmati River and its tributaries: Manohara, Hanumante, Godavari, Kodku, Dhobikhola, Tukucha, Vishnumati, Balkhu, and Nakhu (ICIMOD et. al, 2007). Moreover, quarrying of sand and stones from rivers has further intensified the environmental pollution and put the public facilities at higher risk. Also, in many cases, the public facilities related to ghat complexes are either in dilapidated conditions or have been encroached or destroyed. The overall impacts are threefold: (a) significant reduction in performing religious activities such as bathing, cremation of the dead, places to workshop god and goddesses resulting in overall decrease in faith in cultural practices and heritage conservation; (b) intensification of environmental pollutions thereby directly affecting the health of the town dwellers; and (c) reduction in aesthetic values of water bodies thereby reducing the tourism industry (Figure 3). Second, traditional water supply systems in the form of canals, historical ponds and aquifers have been either destroyed or are non-functioning at present due to haphazard urban growth and unregulated building construction. Numerous religious activities associated from birth to death performed at the Kha Pukhu in Bungamati by the people brought from Bhaktapur have been stopped due to drying up of the pond. Also, haphazard extension of the settlements, fragmentation of the agricultural lands, lack of modern irrigation system and farming methods all have helped

in gradual shifting of the Valley’s economic base from agriculture to service and commerce orientation, as illustrated by the fact that only 119,211 households out of the total 345,562 households of the Valley are now engaged in agriculture and livestock (NIDI, 2006). Between, 1984 and 2000, agricultural land in the Valley decreased from 62% to 42%. In the period between 1981 and 1991, residents involved in the agriculture also decreased from 3/4 to 1/3 of the total population (ICIMODE et. al, 2007). Third, a significant number of the traditional water spouts constructed between the 7th and 17th centuries – as sources of drinking water as well as the central points in community life - have been dried up, encroached and converted into private property or demolished not only due to lack of proper maintenance and management, but also because of the installation of water lines into private dwellings. The biggest and most recent constructed water spout of Sundhara (1828) and the stone spout at Hadigaon (7th century), both in Kathmandu, are lying dry and useless after construction of huge concrete structures behind them. In other cases, a Licchhavi era spout, Yangal Hiti, is now the personal property of some local aristocrats (Manandhar, 2004). The spouts at Bhotahiti and Thahiti remain merely in the place name, as the spouts have been disappeared. Other stone spouts at Dirnarayan Marga, Santi Marga Naxal, Hatisar Sadak, Tindhara Durbar Marga, Nachgahar Jamal, Bhotahiti and Bagh Bazar have all disappeared. These stone spouts together with wells and tube wells constitute the second most important source of drinking water in the Valley, as only 81% of the households have access to piped water. However, the both surface and ground water are severely polluted due to flow of sewage, industrial effluents, leachate from solid wastes, and infiltration of agricultural residue. The groundwater level has dropped in the Valley in

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Figure 3. Numerous consequences on structural linkages between water-society-settlement. Table 3. Comparison of number of water spouts in the past and at present in the Valley. Water spouts (Hitis)

Kathmandu Patan Bhaktapur Source

History

225

53

77

History

237

77

53

Present

117

40

103

Present

137

47

80

Present

102

53

83

34

4

24

Not used

(Manandhar, 2004) (Amatya, 2006) (KVTDPT, 1982) (Joshi, 2008) (Without loss number) (NGO Forum, 2005) (NGO Forum, 2005)

recent years, a major reason traditional stone spouts have dried up (Metcalf and Eddy, 2000).

4

LEGAL AND INSTITUTIONAL FRAMEWORK

Numerous problems associated with the transformation of the relationship between water – society – settlement as well as new opportunities of integrating water with urban growth at the peripheral areas can not be addressed within the existing legal and institutional framework due to numerous reasons. First, though water has multiple values ranging from religious meaning to recreation and real estate potentials, it has been neither acknowledged as cultural heritage in the field of conservation nor applied as a special land use in city growth process. Instead of creating parks and promenades along the water’s edges and integrating new urban development into water bodies, the government has not only constructed roads along the riverbanks but in many cases, has also covered the

small with concrete slabs, as the case of Samakhushi River. Second, numerous existing legislations such as Building Bylaws (revised 2007), Ancient Monument Act (1976), Environmental Protection Act (1997), Solid Waste Management and Resource Mobilisation Act (1987) deal only with the physical aspects of the built environment. Moreover, there are contradictions, overlaps and duplications of duties and responsibilities between the above mentioned laws and Local Self Governance Act (1999). The environmental protection act has the provision of punishment for those who pollute the river and public places; however, instead of taking any action, public agencies like the local municipalities sometimes dump the city’s garbage on the riverbanks. Again, the Department of Archaeology is yet to do inventory of the traditional water related artefacts such as water spouts, wells, and various religious spots along the rivers banks other than those listed in the World Heritage Site and hence they are not listed as cultural properties. The local municipalities’ intentions of issuing building permits is to increase revenue rather than guide the development, as the building bylaws in the absence of urban design guidelines at city level can not function. Third, the managerial and technical capabilities of the concerned public agencies are poor whereas the non-government organisations associated with development and conservation do not focus on the complex relation of water with society and habitats. Despite having five layers of public organisations working for the planned development of the Valley, they are yet to prepare a comprehensive master plan with formulation of land use zoning and planning standard and urban design guidelines for conservation in the historic core areas and expansion in the peripheral areas; the earlier five master plans proposed for Kathmandu Valley in 1963, 1969, 1976, 1984, and 1991 were never implemented. Coordination and cooperation among the mayors of different political parties working in five municipalities of the Valley is also difficult. Looking towards the cultural sites, the traditional social institution guthi system for managing and preserving temples, patis (rest house), sunken water

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spouts, and other public spaces and monuments has been gradually weakening due to government’s toke over of properties from such ubiquitous religious trusts in the 1960s. At the same time, the societal system of dividing parental properties equally to their children (sons) and breakdown of earlier joint family into nuclear family has not only caused the vertical division of traditional building stocks, but has also encouraged rich families to move into the peripheral areas into detached bungalows of brick and cement and abandon ancestral dwellings and community life.

5

CONCLUSIONS AND RECOMMENDATIONS

Inadequate and ineffective legislation, poor capacity of public agencies and weak coordination and cooperation with the district level line agencies as well as higher institutions, as well as the disintegration of traditional communal society and demise of social institutions (guthi system), has contributed to the metamorphosis of the inner city societies and breakdown of the religious and cultural framework that had prospered in the Licchaavi, Malla and Rana periods. Thus, though water had shaped the culture and indirectly the settlement patterns of the traditional towns of the Kathmandu Valley, its continuation in the redevelopment of the historic areas and exploitation of multiple uses of water in new peripheral settlements has been not realised in the socioeconomic modernisation of the Valley. To reverse this trend, some key recommendations are suggested as follows: (a) Identify the linkages of water with society and habitats in the past culture and use it as a base for preparation of a conservation oriented development plan for the whole Valley. Develop urban design guidelines and structural detailing not only to conserve water bodies and associated public utilities such as ghats, sunken water spouts, Rajkulo, etc., but also to regulate the urban growth in peripheral areas; (b) Revive cultural practices, rituals and religious functions associated with water by building community and social networks through public education and community participation by celebrating different events during festival periods and other occasions; (c) Engage youth and other local non-government organisations including public agencies at the local level not only for implementation of the local plans but also for developing a sense of ownership and responsibility.

REFERENCES Amatya, S. (2006). Water and Culture, Nepal Drinking Water Corporation, Kathmandu. Becker-Ritterspach, R.O.A. (1990). Dhunge – Dharas in the Kathmandu Valley – An Outline of their Architectural Development, Ancient Nepal, Journal of the Department of Archaeology, Number 116–118: 1–9. ICIMOD (International Centre for Integrated Mountain Development), MoEST and UNEP (2007). Kathmandu Valley Environment Outlook, Kathmandu: ICIMOD. Joshi, P. (2008). Hitis: An Alternative Source of Water, Spaces: Art – Architecture – Design, 4(3): 43–50. KVTDPT (Kathmandu Valley Town Development Planning Team) (1982). Kathmandu Municipal Area’s Inventory, Kathmandu Valley Town Development Planning Office. Malla, U.M. (1978). Settlement Geography of Kathmandu Valley, Geographical Journal of Nepal, Issue 1: 28–36. Manandhar, R. (2004). Valley stone spouts bear brunt of neglect, The Kathmandu Post, Local Daily, 25th October. Metcalf and Eddy Inc. (2000). Groundwater and Wastewater. A paper presented in the seminar for the Department for the Melamchi Water Supply Development Board, Kathmandu. NGO Forum, (2005). Survey of Stone Spouts in the Kathmandu Valley, Anjuli Magazine, 3(2): 10–11. NIDI (2006). District Profile 2006, Kathmandu: Nepal Information Development Institute sourced from Department of Postal Services. Oldfield, H.A. (1974). Sketches from Nepal, Delhi: Cosmo Publication. Pradhan, R. (1990). Dhunge – Dhara: A Case Study of the Three Cities of Kathmandu Valley, Ancient Nepal, Journal of the Department of Archaeology, Number 116–118: 10–14. Pun, S. (2001). Role of Gender in Sali-Nadi (Shankhu Raj Kulo) Irrigation Management: A Case Study, In: Gautam, U. and Rana, S. (eds). Proceedings of International Seminar on Challenges to Farmer Managed Irrigation Systems, 28 and 29 March, 2000, Kathmandu, Nepal. Farmer Managed Irrigation Systems Promotion Trust, Kathmandu, Nepal. Regmi, D.R. (1965). Medieval Nepal, Part I, Calcutta: P.L. Muckhopadhyaya. Shrestha, B.K. and Shrestha, S. (2008). Built Form of Traditional Settlement of Bhaktapur through the Prism of Socio-Cultural Setting, Proceedings of the First Conference on Zagros Traditional Settlements, 30th April – 2nd May, 2008, Kurdistan, Iran, Sanandaj: University of Kurdistan, Iran. Shrestha, B.K. (2007). Housing Development Trend in the Kathmandu Valley – Need for Sheltering Urban Poor, a paper presented on International Seminar 2007: Architecture for the Economically Disadvantaged, 23–24 March, 2007, Dhaka, Bangladesh. Slusser, M.S. (1982). Nepal Mandala, Vol. I, New Jersey: Princeton University Press. Spodek, J.C. (2002). Ancient Newari Water – Supply Systems in Nepal’s KathmanduValley,Association for Preservation Technology International (APT) Bulletin, 33(2/3): 65–69. Wolfgang K. (1976). The Traditional Architecture of the Kathmandu Valley, Ratna Pustak Bhandar, Kathmandu.

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Between leisure and productivity: A water management project for the central coast of Chile C. Contreras Av. Ricardo Lyon, Santiago, Chile

ABSTRACT: The following research deals with the spatial dimension of tourism in Chile, and particularly with that of its central coast. The proximity of the capital city has produced an irrational urbanisation along the coastal strip leaving its urban and ecological quality in the hands of developers. The overlap between infrastructure and water stream as enabling device for the accessibility to the coast is emphasized by a design research that seeks to benefit from the growing industry of tourism in order to favour a perpendicular system to that of the coastline. The recreational offer of the seaside is expanded and the water front is re-engaged into more productive form of occupation. Keywords:

1

Coast; economies; hydrology; productivity; tourism; urbanisation

INTRODUCTION

As in many other developing countries, tourism is proving to be one of the fastest growing industries of the 21st century in Chile, reaching comparable incomes to that of the country’s most important exportation products (Figure 1). But many developing countries, like Chile, have economies that depend mostly on the extraction of raw materials and a more or less weak industrial production, implying a limited capacity in

generating added value onto their products as well as lack of experience in producing services. If this definition is extended to the tourism industry, it could be concluded that developing countries tend to practice a tourism that literally consumes nature in order to produce pleasure for the customer. Given the country’s landscape diversity, it is understandable that Chilean tourism is based not on the promotion of its urban settlements, but on the exploitation of its natural landscapes as a source of

Figure 1. Exportation products’ contribution to GDP in relation to tourism.

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Figure 3. Hotel capacity measured in amount of available beds (2005). Figure 2. Number of foreign visitors per region, per year (2005).

recreation. It is also quite predictable that the regions which attract the most foreign visitors are those positioned in the extremes due to their particular landscapes (Figure 2), and that the central areas are those where most of the local population live and work due to its more controllable landscape and fertile land. In spite of the polarization of foreign tourism, the central coast of Chile receives a significant amount of domestic visitors throughout the year (Figure 3) and particularly during the summer holidays, which is reflected in the number of hotels and “available beds” in the area. Particularly the region of Valparaiso, due to its proximity to the capital city, has experienced intense urbanisation in the last decades. Although industrial in its origin, the intense connectivity between metropolis and seafront has led to other purposes related to recreation and tourism in

the last century and has produced urban sprawl around harbours in the form of summer house settlements and beach resorts. New infrastructure has been built not only to connect these resorts and towns to each other, but also to provide more accessibility from the capital city. The feasibility to construct such infrastructure, relates not only to the eagerness from the metropolitan inhabitants to visit the coast in search of recreation (Figure 4), but also to some geographic features. Several fast and short rivers break their way through to deposit their waters into the Pacific Ocean, forming frequent depressions across both, the Andes and the Coastal Range, and therefore become crucial for the implementation of east-west infrastructure (Figure 5). Among the several resorts that form the hinterland of Santiago, the town of Laguna de Zapallar constitutes the end point of the Estero the Catapilco, a small estuary that runs parallel to the access road of one of the most prestigious resorts of the Chilean central

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Figure 5. Central infrastructure.

Coast’s

drainage

system

and

the lagoon’s flood plain, demands the revision of the spatial organization of the resort as a whole and its implications for the upstream areas of Catapilco.

2

METHODOLOGY

In what follows, the methodology to be employed is that of research by design. The accurate collection and arrangement of information has been paralleled by an interpretative and critical understanding of reality in order to produce a set of criteria leading to proposals at different scales, focusing on the layering of local interests and the transformative capacity of architectural and landscape devices.

3

Figure 4. Working hours per year, per citizen (source UBS 2000).

coast. The rapid development of the neighbour towns and their continuous expansion in the form of suburban villas, time-share apartments and hotels along the coast, demonstrates an irrational consumption of land that has simply left the urban and ecological quality of the area in the hands of developers. Thus, the infrastructural deterioration and land vacancy of Laguna de Zapallar, related to its unwise position in relation to

CASE DEFINITION: LAGUNA DE ZAPALLAR AND CATAPILCO ESTUARY

Topography and Income. The analysis of the wealth accumulation measured by the relative income distribution (Mideplan, 2007) shows that Laguna, as an exception from its context, has a much stronger middle and low income household presence, whereas the other three coastal towns. Cachagua and Zapallar especially tend to have a larger wealth accumulation as compared to the national income distribution. Although Catapilco constitutes another exception, we cannot relate its low household income to the proximity of the estuary, but most likely to its distance to the sea, and therefore to its rural profile.

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Figure 6. Relation between topography and income along the analyzed section of coastline.

Productive Structure. The economic success of this seafront is extremely related to the agricultural past of its hinterland. Already during the colonial period, this region was structured by a set of huge farmlands that controlled little harbours in the coastline for the exchange of their products. After independence, around 1850, the country built its first national railway which aimed especially to connect Santiago with the northern regions. Once this path was facilitated, the small harbours along the shore lost their importance. Anyway, the existing infrastructure in the coast was adapted for recreational purposes. During the 20th century, with the rise of the automobile, a national motorway was built parallel to the rail tracks and later on, a coastal road came to consolidate a somewhat autonomous and highly recreational coastal strip. Recreational Structure. If we speak of the coastal strip as a territory that has been disjointed from its productive past, subsuming into a sort of recreational park, it becomes important to assess the existing recreational facilities in order to explore their nature and reflect upon their capacity to engage with other sorts of activities. By surveying the un-productivity of this coastline, one can find that the presence of different fields such as golf and tennis courts, football and equestrian fields, sand and water, tend to form a sequence of demarcated areas that reflect a shift from the priority given to the shore as single place of recreation. In this regard,

the experiential dimension of agriculture, as a source of recreation, calls for a committed inclusion of the people of Catapilco and their daily activities into a recreational structure that could end up encouraging the growth of a currently shrinking agriculture. The Real Estate Market. The reasons for the aforementioned shrinkage are not so obvious but, to a certain extent, seem to be related to the development pressure under which the seafront is found. Almost the entire and quite irrational parcelling of the coastline has produced an extension of the land market towards its hinterland which is expressed in the amount of parcels being sold in the vicinity of Cataplico under a commercial slogan that emphasizes the 10 minute ride to the beach. Unable to compete in terms of distance and a view to the sea, these parcels are oriented towards a more rural profile, reflected in their size and in their involvement with the agricultural landscape, that has produced in return, some private initiatives related to the acclimatisation of species such as bees and olives by the owners of these summer house parcels as a further elaboration of the current agricultural practices. But the extension of the real estate market into the farmlands should not be perceived all too positive, for the way in which it has been done until now demonstrates a quite irrational dynamic that, just as in the coastline, tends to consume the very object of attraction. Namely, the way in which this farmland has

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Figure 7. General Plan of the “New Economies” proposal for Laguna de Zapallar and Cataplico Estuary.

been parcelled shows a clear indifference in relation to the canalisation system, or any other feature present in this landscape capable of uncovering the former engineering of the land. Estuarine Ecology. In this respect, one of the most relevant features that exhibit the agricultural tradition of Catapilco is materialised by its dam, built in 1853 by Francisco Javier Ovalle, who decided to upgrade its productivity by rationalising its irrigation system and tracing the layout of a town (Mendez, 2004). The presence of the estuary’s main stream and a natural depression found in the open extension, at the foot of a small hill, enabled the construction of water storage which was capable of draining a surface of 1150 hectares that otherwise would have remained sterile. Due to the huge investment, and to the subsequent development it produced, the area is still considered by regional planners as an area for further agricultural and forestry production recorded in the land-use assigned to it, which ultimately guarantees a minimum parcel size. But, the integrity of the ecological system that supports these agricultural practices depends not only on the regulations concerning the efficiencies of a productive landscape, but also on the environmental effects these activities produce.

In this sense, the characteristic combination of saline and fresh water of the lagoon and the estuary is to be perceived as an asset to be protected by all means and the strategies to be implemented for this end ought to be inclusive with those activities that take place upstream in order to maintain the necessary amount of clean, fresh water. The stormbound origins of these waters in addition to the existing topography of the site work together to prevent high levels of salinity and can provide a well mixed estuary (Savenije, 2005), which can, in turn, increase the biodiversity of the area.

4 4.1

PROPOSAL Generation of new economies

One of the most crucial proposed transformations entails the productivity of the landscape as a way to diversify the tourism-based economy. Following the agricultural tradition of the area, the idea is not to replace this activity, but to incorporate new kinds of production, which with similar skills could be easily generated both in the fields and in the seafront (Figure 7).

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The existing dam found in the fields, and the adjoining hill, establish a language to re-organise a new form of production capable of merging with traditional agricultural activities. If the existing hill is thought of as the dug out soil from the dam’s depression, a few other small dams and their respective hills could be set in the fields in order to accommodate new initiatives related to the production of fresh-water crayfish. As for the seafront, due to aforementioned quality of the fresh-saline water found in the lagoon and the ideal latitude, a set of enclosures is laid out in order to produce brackish water ponds for the growth of oysters, providing a diversification of the economy for the coastal settlements.

4.2 Urban development The particular location of Laguna, where almost half of the town is laid out in the natural flood plain of the estuary, requires the addition of new dwellings to take over the existing demand in a safer way. More space is given to water, while at the same time, allowing occupation of lower lands by profitable activities, such as oyster beds. Two types of buildings are proposed for this location. One typology is needed that overcomes the difficulty of inhabiting the slope, and provides the opportunity for a good view to the sea (Figure 8). Another typology is that of boat houses, with no fixed location, that can accommodate the seasonal demand for housing. In the case of Catapilco, the types to be implemented are less relevant than the direction sub-urban growth might take. The main concerns about such growth are related to both the size of the new parcels, and the position they acquire in relation to the agricultural activities.

Figure 8. Urban Development proposal for the town of Laguna.

arrives into the section of the lagoon has lost most of its polluting agents along its trajectory. In this regard, the upstream dams (Figure 7) would also contribute to this purpose; the reutilisation and circulation of water that has been already used for irrigation could be maximised before it returns to the natural stream. Such an argument suggests that once a water stream has been branched into a productive or urbanised realm, it ought to remain in this network, recycling for different uses instead of making use of other clean water streams. In such schemes, the presence of other water streams where there is no urbanisationcould be reinforced and protected, as they would be responsible for the largest contribution of fresh water into the lagoon (balancing the presence of saline water and producing a rich display of biodiversity).

4.3 Ecological enhancement The ecological dimension of this proposal is based upon the discovery of the existing natural systems and the consequent establishment of strategies to increase and protect their biodiversity from the impacts of urbanisation. The proposed opening of the sandbar allows a permanent tidal influence on the water of the lagoon and facilitates the production of oysters. Most importantly, however, this opening allows a constant flushing of water to clean the pollution that is otherwise found in the lagoon. This pollution is currently due to two main factors, one being the upstream inhabitation and agricultural production, and the other being the stillness of the lagoon itself. While the latter could be solved by opening the sandbar, the former needs to be managed in such a way that the water that

5

CONCLUSION

The development of this project has led to a reflection upon the urgency to recombine two basic forces of contemporary society, i.e. production and recreation, as a means to generate more sustainable development in fragile areas such as estuaries and coastlines. Regarding the particular case of investigation, the compressed territory of the central coast of Chile offered the possibility to prepare a careful assessment and proposal of new spatial strategies linking the nearby metropolis of Santiago to the seaside resort area. The tourism pressures exerted on this section of coastline is seen as a closely related phenomenon to the excessive amount of working hours (Figure 4) and

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Figure 9. Proposal for the town of Laguna.

Figure 10. Proposal for the town of Catapilco.

the consequent accumulation of wealth by the inhabitants of the capital city. Threats to the seafront demand a creative reaction for its future development – how to diversify the experience of the natural world sought by tourists and, by the same token, create new forms of production that could steady sources of income for the local inhabitants of these resorts?

Posing the estuary as a common interest for those who are developing tourism projects and those who are living from its natural resources becomes a crucial shift. It can potentially trigger the conception of tourism as a product that can engage with other sorts of productivity, benefiting the underlying social structures.

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REFERENCES Mendez L.M. (2004). La Inversión Privada y sus Efectos en las Transformaciones de la Agricultura de Aconcagua y Valparaíso en el Siglo XIX (Private Investment and its Effects on the Agricultural Transformations of Aconcagua andValparaiso in the 19th Century), RevistaArchivum año V, N◦ 6, 156–165.

Mideplan (2007). Planning Ministry, Chilean Government. http://www.mideplan.cl/casen/pdf/Metodologia_%202003. pdf (accessed 16 July 2007). Savenije H. (2005). Salinity and Tides in Alluvial Estuaries, Elsevier, 17–18.

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Design strategies for urban water systems: A case study of São Cristóvão in Rio de Janeiro A. Beja da Costa KU Leuven, Department of Architecture, Urbanism and Planning, Heverlee, Belgium

ABSTRACT: This paper explores the topic of water management in urban contexts. As water is quickly becoming one of the most urgent issues, the combination of new visions for cities and technical solutions for water management with aesthetical design concerns becomes a new field of experimentation. On one hand, due to an urgent need to respond to pressing climate and environmental changes, design strategies and solutions are needed. On the other hand, it is necessary to take action against the ubiquitous human mismanagement of the essential resource of water. These factors, when combined with sustainable approaches for social and physical transformations, open up opportunities for urban water systems to be structuring elements in new development projects. Using São Cristóvão in Rio de Janeiro as an experimental site for the design of an urban productive park, strategies and cases for water management in cities such as Rio de Janeiro and re-utilization of areas for productive purposes are exposed, questioned and tested through design. Keywords: 1

design strategies; productive parks; urbanity; water management

INTRODUCTION

Rio de Janeiro is a city known for its natural beauty juxtaposed with extreme social strife and economic inequalities. In formulating a strategy for regenerative interventions, the mounting urban problems of socioeconomic and environmental contradictions must be explored through a back-and-forth exercise of analysis and design based on the careful reading of the city’s natural and historic stratification (Bava 2007). Through conceptual rediscovery of the city’s hidden water lines and their functional potential, the design proposal presented in this paper shows, in a conceptual way, a particular approach to regeneration of a postindustrial site in the context of one of the largest (mega) cities in Latin America (Santandreu et al. 2002). It begins with a site interpretation which, at first sight, focuses on environmental aspects related to a very specific waterscape, addressing problems of urban surface drainage, storm overflows in tropical climates and water pollution. Moreover, it develops possible strategies for inclusive economic and social systems that will work within a binding urban structure. The mix between the proposed urban tissue, productive park and network of public and commercial spaces along the railway with designed water elements is a hypothesis on how the stratified urban condition of Rio de Janeiro can be bridged on social, economic and environmental levels using an integrated system that re-works engineered water infrastructures through design.

Rio de Janeiro’s morphology (as many other settlements throughout the world) has been, to a large extent, shaped by the way the water runs through its landscape and how man has historically dealt with it. “Dams have stored, regulated and raised water. Watersheds have been reworked and linked. Rivers have been forced between levees and dykes, canalized, straightened and cemented. (. . .) Lakes have been lowered and wetlands drained and the artificial river is definitely not a modern invention” (Tvedt et al, 2006: xi). The São Cristóvão neighbourhood today occupies a total surface area of 768 ha distributed over four districts (São Cristóvão, Mangueira, Benfica and Vasco da Gama) and has an overall population of 70,945 inhabitants, of which 39% lives in favelas (informal settlements) (Vescina, 2007). It is mainly a low income area that sits in-between a main infrastructural axis at the metropolitan scale with some remnants of its past – the morro da Mangueira hill – and imperceptible water lines, the Quinta da Boavista and the sea. As in other many places, rivers in São Cristóvão somehow languish in urban design apathy, not being firmly established in urban social space, typology or landscape. The potential to create places, boundaries, transitions and accesses in such sites has yet to be properly explored. The ambiguity of these spaces calls for a design approach that reconsiders discontinuities and voids as opportunities to restructure the urban fabric (Langenbach, 2007).

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Figure 1. São Cristóvão area, water lines and relevant elements of the intervention area.

2 WATER EVOLUTION IN THE SITE CONTEXT Based on the 2007 graduate urban tissue studio in KU Leuven’s Department of Architecture, Urbanism and Planning, the design methodology took a form of backand-forth exercises between analysis that deepened the knowledge about the site in its many components and design experiments that tested the hypothesis. An objective was to maintain identity and places of significance by taking into consideration the site’s historic layers while viewing the urban form as result of adaptation to contextual dynamics, letting new forms to emerge rather than imposing anything upon it (Koh, 2007). Starting from the main landscape layers – topography and water – it reinvents a postindustrial site that would otherwise be prone to become one more of the many “enclaves” in the city of Rio de Janeiro. The entire São Cristóvão area is located within the Baía de Guanabara hydrographical basin and in the Canal do Mangue sub-basin where the Rio Joana, Rio Trapicheiro and the Rio Maracanã flow (Figure 1). Located in-between river basins and with a varied topography, São Cristóvão was initially separated from the city by a mangrove area, the Mangue de São Diogo (Vescina, 2007). However, its strong connection with water was progressively lost through processes of land filling. The mapping analysis of the site’s evolution allowed for the identification of the original topography, the coastline and water-courses. The first landfill occurred

in the West side of the neighbourhood in the second half of the 19th century. It corresponded to the first port extension and the establishment of the railway connection, developed along the valley. The current coastline was set in 1924, with the second large scale landfill for port extension purposes. The link between the site and the water eroded through time.The process culminated in 1946 with the construction of Brazil Avenue that demarcates the border between port and city and provided new accessibilities to the neighbourhood, while also definitively breaking its relation with the waterfront. A parallel process that occurred was the progressive control of the existing water lines through their canalisation within the urban tissue. Today, the Rio Joana is visually interrupted where it meets the superimposed railway. A last remnant of the river’s original course appears in the North side of the railway, in the Quinta da Boavista park, where it sub-divides into two branches – one feeding the park lakes, while the other runs underground towards the sea. The Rio Trapicheiro has the particularity of crossing the lowest area in Rio de Janeiro, the Praça da Bandeira, known for its frequent flooding during the rainy season. Downstream from this problematic point, it crosses the railway in the South – North direction and then is canalised in its first segment, along the railway, and in a second segment along the Franciso Eugênio street. From this point, Rio Trapicheiro and the Rio Maracanã end in Canal do Mangue, where it

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is then piped between the traffic lanes of the Francisco Bicalho Avenue. This canal merges the two water-line flows to the sea across the port area. In analysing the relationship between the existing water lines and water bodies and the urban surroundings, it can be concluded that an artificial and often dysfunctional relationship are observable between hydrology and such compact urban tissue.

3 WATER STRUCTURING URBANITY The port area represents a wide boundary between the Baía de Guanabara and São Cristóvão, which has lost its original contact with the water. In this sense, the project attempts to answer the need of the inhabitants to enjoy the water, which becomes a constant presence along the site by the structuring of housing, urban agriculture, productive park and an inland beach. Taking advantage of the leftover spaces along the railways and weaving landscape and infrastructure, the proposed system aims to structure the relation between different urban areas touching the intervention site the São Cristóvão and Tijuca neighbourhoods, Vila Mimosa, Favela da Mangueira – and between significant elements, as the Maracanã Stadium, National Museum, zoo and university (Universidade do Estado do Rio de Janeiro). On one hand, the proposed system tries to recover the natural elements previously eroded by urbanisation, extending the green structure within the city. On the other hand, attending to the valley configuration inherent to the site and recovering the former watercourses crossing the area, water becomes the structuring element of the project, particularly, in the hard spine of the public space. The proposed water structure includes several systems: a rain water capture system along the railway and a water filtration system to serve an urban agriculture irrigation system, and the domestic needs of the proposed housing areas. This system is associated with the Rio Joana water course. The second water system, associated with the Rio Trapicheiro and the Rio Maracanã, deals specifically with storm water retention. In the lowest area of the city, near Praça da Bandeira, the threshold left by an underused railway allows for the creation of an area of culture and leisure, combined with a system of retention ponds and an inland beach, flexible to the variations in water heights throughout the year. The inland beach produces an unexpected point of contact of people and water, within the heart of the city. Lower social classes are pushed away from the seaside waterfront of Rio, while, at the same time, the beach is one of the most recognisable features of Rio’s landscape. The passion for the beach is a wellknown “carioca” characteristic. A path is proposed along the entire extension of the project, starting from the favela da Mangueira hill, going along the water

elements until the Leopoldina station area, allowing for continuous pedestrian circulation in what is now a physically fragmented area. Throughout the development of the project concept and proposal, technical and design questions emerged. Addressing the actual condition of the water in situ did not seem a viable solution due to the formal use of the Rio Joana which feeds the romantic-style lakes of the Quinta da Boavista, but is made possible through artificial engineering manoeuvres, hydraulic equipments and water chemical treatment. The drainage canals, into which both Rio Trapicheiro (mostly underground) and Rio Maracanã were transformed in order to transport the water excess from the urban surface, have larger implications such as the well known Praça da Bandeira floods and upstream erosion. Also, the quality of the water is highly degraded given the fast water dynamics of tropical climates (Hough, 1995). Therefore, the premise to associate different technical and design questions in order to produce viable practical solutions was always present. Though it is essential to recognise that local projects are only possible within a wider framework, where the entire watershed is viewed in a water management perspective at a regional scale, the following examples reveal how medium- and small-scale projects can trigger sustainable forms of urbanism. 3.1

Rainwater harvesting

Rainwater harvesting is proposed in order to deal with rainwater surface drainage coming from the nearby impermeable hills, where the favelas are located, towards the valley – space where nowadays the railway sits. A network of localized harvesting ponds would collect rainwater along the slopes and in proximity to the railway. The water collected could then partially be routed to a filtering system that would allow it to be used for irrigation of the productive park. Also, the proposed housing typologies suggest a rainwater harvesting system for domestic usage that would delay the arrival of water to the drainage lines and thereby decrease water costs for the involved population. This kind of system can be installed both in new and existing buildings, and the collected water can be used for all purposes except drinking (unless it has a specific treatment for that purpose). The quality standards of the collected water should be set according to the specific location of the system. However, in normal conditions it can be used in almost every domestic purpose, whereby toilet flushing is the most common. It can also be canalised for garden and agriculture irrigation. The potential savings made from this process depends on the demand of non-potable water and the amount of rainwater supplied. It also depends on the roof area available for collection. Water saving will be more efficient in larger buildings, such as industrial

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Figure 2. conceptual scheme of site plan.

and commercial buildings and schools, with larger roof areas and greater demand for non-potable water. 3.2

Filtering

The harvested water would then be routed to a filtering system located along the railway and integrated within the public space. The purpose of filtering surface water drainage for productive purposes can be realised through a vertical bed of macrophytes. This commonly used system uses several basins fed alternately by rotation. This process improves the oxygenation of the filtering bed, composed by gravel or / and sand. It is known that this type of system takes 3 to 4 days to filter water in a three stage percolation process (Izembart, 2003). At the end, the water would be available for re-use. In the context of São Cristóvão’s productive park, the proposal of this kind of system would provide water to the urban agriculture area and existing green areas. The filtering ponds are not dimensioned with the purpose to purify the complete amount of captured water, which would result in unrealistic surfaces, but function specifically to provide water on the local scale. In order to make sure that there would be a continuous water provision for agriculture purpose, the surface area of the purification system is comparable to the complete area of the agriculture plots (approximately 4,5 hectares of filtering area for 4 hectares of agriculture area). Analogous to the above mentioned proposal is a commission by the City of Perth in Western Australia, wherein the riverside, mainly artificial in appearance and atmosphere, became a practical and innovative synthesis of water management and landscape design. The project, designed by Syrinx Environmental (a team of scientists, engineers, architects and horticulturists), consisted of the design of 5.8 hectares on the east end of the foreshore, the Point Fraser Wetland. The project aimed to improve the quality of storm-water before its discharge into the river. The project ran between 2002

and 2006. The first phase consisted of the creation of a bio-filter comprised of native reeds, sedges, shrubs and trees. As dirty storm water moves through the wetland, pollutants are absorbed by the bio-film plant surfaces. The precisely constructed bio-filter is separated into three zones: the permanent pond, ephemeral zone and tidal zone. The permanent pond includes a bubble-up pit and dense plantings to reduce water velocity and stimulate chemical sedimentation. Once in the ephemeral zone, varied vegetation clears pollutants. Finally, the tidal zone aerates the out-flowing water. This latter phase of the process is experienced throughout a path that dissects the landscape, giving the impression that visitors are moving up and down through layers of vegetation, water and soil (Quinton, 2007). The second phase of this project will be described in the next paragraphs within the frame of flood control. 3.3 Flood control Several studies have been conducted on Canal do Mangue Hydrographical Basin that address the frequent summer floods of Rio de Janeiro. The master plan for the Canal do Mangue flood control (Plano Diretor de Controle de Enchentes da Bacia do Canal do Mangue) envisages to improve drainage conditions and diminish the flooded areas in several neighbourhoods, including São Cristóvão and part of the Leopoldina. As part of this plan, Marcelo Miguez studied a methodology for flood control in this area, proposing a total of 21 interventions within the basin, including eight in the Rio Trapicheiro, six in the Rio Maracanã and five in the Rio Joana. Most of them consist on increasing the height of small dam walls (between 3 and 13 metres) to form reservoirs that would delay the flooding peak and the drainage speed around 90 minutes (based on the 10 year precipitation register). Because of its low elevation and highly urbanized area, the Praça da Bandeira water

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drainage system is not efficient. As such, the area needs a complementary intervention – the construction of an underground reservoir to connect with the Rio Trapicheiro, which would have to be widened (Planeta Coppe, 2006). Despite all technological possibilities of flood defence and the control capacity of dikes and artificial canals, nature’s potential dangers persist. Other strategies where hydraulic and engineering manoeuvres are combined with ecological and social concerns have been adopted to solve problems raised by urban floods. The Riu Besòs in Barcelona suffered major transformations by the ecological revitalisation of both sides of its riverbed, with the particularity that when it rains in the mountains the Fluvial Parc del Besòs becomes a few metres under water in only few hours. A warning system and park assistance prevents the flood system from becoming a danger to the public. After the floods, the green areas are cleaned and the park returns to its normal routine. Amphibious vegetation started to appear in some areas. Examples of integration of natural processes, not only in protected areas, but also in urban and regional scale planning and landscape projects are appearing all over the world. Water is progressively accepted as an element that shapes landscape and floods as part of the morphogenetic processes (Langenbach, 2007). Another example of an integrated approach to the problem of floods is the Rio Piedras in Puerto Rico, where over the past 40 years, the increase of the population, the processes of industrialization and economic development has increased sedimentation, contaminant flow and the frequency and severity of flooding. While its water level is 1.8 metres, in 1996 the floods’ level reached 6.7 metres. In 2002, Fieldwork Operations was hired by the University of Puerto Rico to create a framework for the 120 hectares University Botanical Garden. The proposed plan eliminates flood problems, as it was the requirement of the United Stated Army Corps of Engineers (USACE), while, at the same time, it transforms this hidden and inaccessible stream into a public and ecological asset. A preliminary analysis of six key watersheds dynamics – hydrology, hydraulics, sedimentation, erosion, shear stress, velocity gradients and vegetation – identified surface treatments, bank protection systems, reinforcement methods and adequate vegetation for each trench of the stream. The programs proposed along the restored stream include aquatic and agronomic stations, educational piers,aviary nesting posts, floodplain and wetland plant exhibits. For the upper terraces the proposal includes recreational areas for picnics, sunbathing and playgrounds. Taking advantage of Rio Piedra’s location and the Botanical Garden’s vast and underutilized land, the river channel will be widened and moulded into a series of soft stepping terraces with several capacities to hold water (Tamir, 2007).

Returning to the example of Point Fraser Wetland in Perth, it is worth mentioning the second phase of the project – the construction of transpiration swales which divert water away from the city during floods. The largest swale is a car park, while smaller ones were developed as lines of sight, seats, play equipments and planting boxes. When dry, the mounds appear to be classical landscape surfaces. Gabion walls retain the edges of the swales’ folds to allow passive filtration through the walls while water moves in and out of the park. Reeds replace the hard edged limestone surfaces, and breaking these, small sand beaches encourage anchorage of boats, canoes and jet-skis (Quinton, 2007). In this case, water is the main feature that, both in a functional and aesthetic perspective, structures commonly neglected sites. By applying contemporary ecological urban design principles to inner city wetlands, as in Point Fraser, urban developments are more than architecture and engineering works, but are also ecologically sustainable assets. 4

POSSIBILITIES FOR THE PRODUCTIVE PARK IN THE RIO DE JANEIRO

While food can be supplied through both decentralised and local initiatives, water management is usually organised by means of large bureaucratic and engineering control systems, collective intervention and centralized decision making systems. “As with other urban goods and services, water circulation is part and parcel of the political economy of power that gives structure and coherence to the urban fabric. Indeed, the water / money nexus combined with water’s essential life-giving and life-sustaining use-values inserts water and the “hydrosocial” cycle into the power relationships of everyday life and makes it subject to intense social struggle.(. . .) Controlling the flow of water implies controlling the city, as without the uninterrupted flowing of water, the city’s metabolism would come to a halt.” (Swyngedouw, 2004: 2) Attending to its several dimensions – biological, cultural, political and economic – water becomes an important axis of social relations that exacerbates conflict. It demands an integrated approach that goes beyond quality and quantity parameters and considers contextual social parameters and involved economic interests (Barbosa, 1997). Incompatibilities of interest related to water management pinpoint the need of adopting an integrated policy for water management. In Brazil there is an urgent need for creating articulated systems that incorporate the hydrographical basins as a unit, so that they can be better managed in order to reduce water pollution. At the same time, it must be remembered that the Brazilian state government has limited courses of action given their financial limitations (Brasil, 2000b). The question around urban

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Figure 3. The São Cristóvão productive park.

and environmental management is closely related to the different perspectives of social representation and urban realities. There are two trends facing this reality. One is associated with the ecological efficiency corresponding with generic patterns of urban sustainability and quality of life. The other is linked to alternative management strategies associated with strategic planning and marketing of cities (Acselrad, 2001). The document “Sustainable Cities: subsidies for the Brazilian Agenda 21 elaboration” (Cidades Sustentáveis: subsídios à elaboração da Agenda 21 Brasileira) presented by the Brazilian Environment Ministry stresses that the 21st century city must be the time to create sustainable urban living. It also calls the attention to the urgent need to overcome physical degradation, by inverting the actual “place of consumption” logic to a future “place of usufruct” (Brasil, 2000a). Designing “from a distance” allows a certain degree of abstraction, which helps to develop new visions that probably would have been put aside in the primary stages of the process if it was done in situ, with wider knowledge of the spatial and social features of the place. Yet, the productive park in Rio de Janeiro would certainly have a marketing effect that could enable its implementation and sustainability over time; it could also enable other projects of this kind to occur. The increasing pressure on water resources and the problems arising as a result are forcing authorities to look at it in a conscientious way. As well, there is the need for increased food supplies for poor communities in megacities and increased employment achieved by the implementations of urban agriculture systems. This, when integrated with a mixed-use urban tissue, and in close proximity to important cultural and popular centres (museum, Maracanã Stadium), would make the project a viable, small-scale case study. Following the example of other Brazilian cities, the provision of spaces for agriculture activities to occur within the urban perimeters is becoming more

common. Such a strategy could also be implemented on the study site and become a community building project that would be both an income generator and an environmental education process. The 40 hectares proposed for food cultivation does not suggest the end purpose of food supply for the São Cristóvãos’s thousands of inhabitants nor even the 7000 inhabitants of the Favela da Mangueira (Conde et al, 2004). But it is an example on how punctual projects – that also act as part of a bigger environmental and social system at city scale – would improve the quality of urban life. It is also worth mentioning the well known Favela Bairro project, which takes into account the marginal condition of the favelas in problematic areas from the geotechnical point of view, reflected in deep erosion and flooding. The rainwater collection is set in an independent network wherever possible and drainage canals are constructed both in high parts of the favela hills as well as at its base. Interventions like this have double benefits: reduction of landslide risk and loss of lives in the hill favela and flooding reduction and waste transport downstream in the lower-elevation formal neighbourhoods (Conde et al, 2004). The implementation of the rainwater harvesting in the proposed buildings may incorporate similar processes and function as a trigger for adaptation or renovation of the hill settlement, even though realised within the compact tissue of the Favela da Mangueira. If included in social programmes, such as in the Favela Bairro project, it could be one more step towards improving the environmental quality associated with public spaces in these areas. Finally, the flood retention system associated with the urban beach in-between the Praça da Bandeira and the Leopoldina Station would provide surplus public space where it is most needed. Middle and low income populations living in the surroundings of this area would surely appreciate and use the beach and public space. The lack of public spaces in this area

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Figure 4. The Leopoldina Station flood retention pond that also works as a public urban beach.

and the partition of spaces would be suppressed by the appropriation of the leftover railway space, filling the gap between neighbourhoods with a significant space for use by the local population. The flood retention system would serve two purposes: it would lower the cost of maintenance of the surrounding damaged areas in case of flood and would become an extension of Rio’s most highly appreciated public open space – the beach. “The effective water management is necessarily part of the effective “place” management. It is essential to understand the place and its several urban processes in social, economic and cultural terms. This includes the comprehension of the social processes producing everyday places, the analysis of place management and the inclusion of water management in it” (Galindo et al, 2005:9). 5

CONCLUSIONS

An image is, in many ways, more powerful than words. Exploiting the field of design, and through it, the field of aesthetics can support the already mentioned “marketing” needed for the change of perspective towards the image of productive parks. Widening the perception of productive landscapes in urban environments,

the aesthetics of the place is not as relevant as the fact that landscape systems can work on their own. The importance of the urban environmental quality and diversity is the key element this activity offers, in comparison to general aesthetical conventions. One can also state that water is, no doubt, the most significant element of the landscape to which design must correspond. The move towards new water design strategies (as for all natural urban systems) should be the one that reflects cities’ hydrological processes. A design language should reflect the identity of the natural processes by allowing, on one hand, the definition of form and function based in ecology, where experimenting is part of the process. On the other hand, design should not create rigid solutions which tend to raise new problems. The notion of visibility is also important: to reveal and to enrich natural processes and the city’s landscape diversity starts within the urban experience and the artistic form in itself (Hough, 1998). Girot (2007) argues that “an alternative to the classical approach on flood management, envisaged by civil engineers and environmentalists is to enable projects that include both creative, economically and technically feasible features. New visions and cultural values should be added to the places, included in projects that otherwise would have little” (2007:72). This suggests

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that the concepts already exist and trends are shifting towards an integration of technical options and design choices that allow, to a certain extent, functional (and productive) systems to be maintained and fully experienced within the urban context by the people that inhabit it. Water as the structuring element of the urban reality was the premise for the development of the design exercise. It attempts to contribute to this shift of perception of functional and ecological systems and, when implemented and integrated within the urban tissue, show how changes in use and multiple uses can allow natural systems to work after exploitation and moreover, saturation. In a broader view of the design exercise, the notion of hybridity is introduced. At its most basic level, it has meant the interbreeding or mixing of different people, cultures and societies. Though hybridity and the associated concept of “third space” have been widely explored, the grounding of these same concepts in the concrete realities of the urban physical environment – neighbourhoods, housing projects, urban squares and city streets – requires further investigation (AlSayyad, 2001). The São Cristóvão intervention described in the present paper introduces the hybrid form of urbanity within a highly segregated site, framed by a stratified society, and uses as primary tool the originally dominant landscape element of the site – water. The proposal of an open system that works as the unifying surface for the surrounding, distinct urban realities intends to reinforce the notion that landscape, as structuring element of new forms of urbanity, can uncover an immense set of opportunities and sustainable formal and technical solutions. REFERENCES Acselrad, H. (ed.) (2001). A duração das cidades: sustentabilidade e risco nas políticas urbanas (City’s durability: sustainability and risk on the urban policies) Rio de Janeiro: DP&A Editora In: Galindo. E., Furtado, M. 2005. Gestão Urbana & Gestão de Recursos Hídricos: Uma articulação imprescindível para a sustentabilidade. (Urban Management & Water Resources Management: Na essential articularions towards sustainability) In: Encuentro por una nueva cultura de agua en América Latina, 5–9 December 2005, Fortaleza. http://www.unizar.es/fnca/america/docu/1913.pdf (acessed 11 February 2008). AlSayyad, N. (ed.) (2001). Hybrid Urbanism: on the identity discourse and the built environment London: Praeger, ix–x. Barbosa, F., Paula, J.A., A Bacia Hidrográfica como unidade de análise e realidade de integração disciplinar (Hydrographical Basin as analysis unit and discipline integration reality) In: Biodiversidade, População e Economia: uma região de mata Atlântica. Belo Horizonte: UFMG/Cedeplar. 1997. In: Galindo. E.,

Furtado, M. 2005. Gestão Urbana & Gestão de Recursos Hídricos: Uma articulação imprescindível para a sustentabilidade. (Urban Management & Water Resources Management: Na essential articularions towards sustainability) In: Encuentro por una nueva cultura de agua en América Latina, 5–9 December 2005, Fortaleza. http://www.unizar.es/fnca/america/docu/1913.pdf (acessed 11 February 2008). Bava, H. (2007). “Design with stratification”, lecture notes of the Landscape Architecture course. KU Leuven. Arenberg Castle on the 13th November 2007. Brasil. Ministério do Meio Ambiente (2000a). Cidades Sustentáveis: Subsídios à elaboração da Agenda 21 Brasileira. (Sustainable cities: Contribute to the elaboration of the Brazilian Agenda 21). Brasília. In: Galindo. E., Furtado, M. 2005. Gestão Urbana & Gestão de Recursos Hídricos: Uma articulação imprescindível para a sustentabilidade. (Urban Management & Water Resources Management: Na essential articularions towards sustainability) In: Encuentro por una nueva cultura de agua en América Latina, 5–9 December 2005, Fortaleza. http://www.unizar.es/fnca/america/docu/1913.pdf (acessed 11 February 2008). Brasil. Ministério do Meio Ambiente (2000b). Gestão dos Recursos Naturais: Subsídios à elaboração da Agenda 21 Brasileira. (Natural Resources Management: Contribute to the elaboration of the Brazilian Agenda 21). Brasília. In: Galindo. E., Furtado, M. 2005. Gestão Urbana & Gestão de Recursos Hídricos: Uma articulação imprescindível para a sustentabilidade. (Urban Management & Water Resources Management: Na essential articularions towards sustainability) In: Encuentro por una nueva cultura de agua en América Latina, 5–9 December 2005, Fortaleza. http://www.unizar.es/fnca/america/docu/1913.pdf (acessed 11 February 2008). Conde, L.P., Magalhães, S. (eds) (2004). Favela-Bairro: uma outra história da cidade do Rio de Janeiro. Rio de Janeiro: ViverCidades, 100; 149. Galindo. E., Furtado, M. (2005). Gestão Urbana & Gestão de Recursos Hídricos: Uma articulação imprescindível para a sustentabilidade. (Urban Management & Water Resources Management: Na essential articularions towards sustainability) In: Encuentro por una nueva cultura de agua en América Latina, 5–9 December 2005, Fortaleza. http://www.unizar.es/fnca/america/docu/1913.pdf (acessed 11 February 2008). Girot, C. (2007). New landscape topology for flood control. Topos, 60: 70–71. Hough, M. (1998). Naturaleza y Ciudad. (Cities and Natural Processes). Editorial Gustavo Gili (spanish edition), Barcelona. Izembart, H., Le Boudec, B. (2003). Waterscapes – Using plant systems to treat wastewater. Editorial Gustavo Gili, Barcelona. Koh, J. ( 2007). Architecture, Human Settlement and Landscape: Towards an Integrative Theory and Practice, lecture notes distributed in the topic module Landscape Architecture. KU Leuven. Arenberg Castle on the 14th November 2007. Langenbach, H. (2007). Flood Management: Designing the Risks. Topos, 60: 77–82. Planeta COPPE. Teses COPPE recebem 1◦ e 2◦ lugares no Prêmio AEERJ” 2006. (COPPE thesis receive

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first and second place on the AEERJ prizes). http://www.planeta.coppe.ufrj.br/artigo.php?artigo=285 (Accessed 23 of January 2007). Quinton, J. (2007). Point Fraser Wetland in Perth. Topos, 59: 15–17. Santandreu, A., Perazzoli, A.G. (2002), Biodiversity, Poverty and Urban Agriculture in Latin America. Urban Agriculture Magazine, 6, 9–10. http://www.ruaf.org/node/214 (Accessed 23 of January 2007).

Swyngedouw, E. (2004). Social Power and the Urbanization of Water. New York: Oxford University Press Inc. Tamir, K. (2007). Rio Piedras Restoration Project. Topos, 59: 67–73. Tvedt, T., Jakobson, E. (eds) (2006). Water History is World History. In: The History of Water – water control and river biographies. New York: I. B. Tauris & Co. Ltd. Vescina, L. (2007). São Cristóvão Urban Tissue Studio Reader, KU Leuven, Unpublished.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Water: on the power of forms and devices P. Viganò Department of Urbanism, Università IUAV di Venezia, Italy

ABSTRACT: The text is a reflection on the concept of infrastructure, in particularly on “water” as main territorial support, as a theme that can help in reconstructing a renewed interpretation and a project for the contemporary city. Following water, as well as other fundamental infrastructural layers as asphalt and iron, their superposition, or their autonomy, not only obliges us to cross places and parts too often excluded from our reflection (agricultural areas, systems of irrigation and draining, areas inside nodes and junctions, marginal areas. . .), but builds up a different point of view about the traditional themes of urbanism: settlements, productive systems, the forms of welfare. The water management in the metropolitan area of Venice (Italy) and in the region of Antwerp (Belgium) is questioned starting from the different forms of rationalities embedded in its strata. In both cases it becomes an opportunity to formulate a new territorial project. Keywords:

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Dispersion; infrastructure; rationalisation; territorial design; water

FORMS OF RATIONALITIES

For some years I have been reflecting on the concept of infrastructure, and in particular on “water” together with two other main territorial supports, “asphalt” and “iron”, as themes that can help in reconstructing a renewed interpretation and a project for the contemporary city. Following water, asphalt and iron, their superposition, or their autonomy, not only obliges us to cross spaces and parts too often excluded from the reflection of architects and urban designers (agricultural areas, systems of irrigation and draining, areas closed inside nodes and junctions, marginal areas. . .), but builds up a different point of view about the traditional themes of urbanism: settlements, productive systems, the forms of welfare. Research starting from these supports pre-supposes a dialogue with other forms of knowledge and disciplines to understand their specific logics – those that guide the waters, for example; logics that contributes in a fundamental way to the definition of the contemporary space. In former research1 I have proposed a sequence of steps that can organise the reading of the territory starting from water. It dealt with the re-qualification of a part of the Veneto region following its complex hydraulic and irrigation system: 1 Viganò P., degli Uberti U., Lambrecht G., Lombardo T., Zaccariotto G. (Rekula 2006, Restructuring Cultural Landscapes – INTERREG IIIB, CADSES), Paesaggi dell’acqua/Landscape of water, forthcoming.

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Move 1: the first move was to qualify and identify the physical materials that outline the territory of the waters. To name these materials, frequently a relic, requires recalling a history of marsh drainage and territorial transformations that have overlapped in time, indicating layers of successive (often contradictory) approaches and rationalities, through which contemporary oppositions and conflicts are revealed. Move 2: in second place, we attempted to recognise the various processes during which different forms of rationalities have been posited in the form of concrete infrastructure and objects. Today, this transformation and modernisation process appears extraordinarily accelerated and requires the development of new hypotheses and scenarios. Move 3: in third place, this research has led us to re-think the concept of void space, its functions and symbolic role. The landscape of waters has for centuries been one of the principal infrastructures of the Veneto region and it can also be the starting point for a reflection on the sense and forms of open, public and collective space in a territory of individualised dispersion. Move 4: the project of isotropy. The utopia of an isotropic territory thrives in parts of this area, as it often does in other territories of dispersion. Although incomplete, such grand vision and its consequences in the designs and practices for space are perhaps today the only ones capable of reconstructing an informed inside look and hypothesis,

combined to confer new sense and meaning to the construction of the contemporary territory. Move 5: this research ultimately aims to contribute in the elaboration of new forms of modernity and new alliances between research and regards, among different fields of knowledge. This approach has been tested in different situations of the Venetian plain revealing the inertia of the water system together with the important transformations still affecting its structure. During the research, some elements of interest emerged out of the punctual reading through mappings and fieldwork that showed the difficult relation among different forms of rationalisation stacked one upon the other, century after century.

1.1 From the interconnected mesh to the tree structure The Venetian plain is fundamentally articulated in three types of soils: the dry plain, the middle plain and the low plain of the integral reclamation (bonifica integrale). The high dry plain is divided from the middle wet plain by the resurgence area, a strip 2 to 8 km wide and east-west oriented where the passage from a sand and gravel permeable soil, to a lime and clay soil is situated. These opposite conditions configure two different relations between water and territory. In the high plain the problem has always been that of bringing and keeping the water on site for agriculture, other ways immediately infiltrating in the water table; in the wet plain the attempt has always been to evacuate the waters as fast as possible, draining them by a complex hydraulic system similar, in the low wet plain, to the Dutch polders, dikes, canals and pumping system. During centuries, the dry plain north of Venice has been remodelled by hundreds of water lines accompanied of rows of trees that have transformed the arid landscape, the desert of gravel, in a continuous cultivated garden where dispersed settlements could develop. The Von Zach map shows the consolidated mesh of canals, roads and trees that structured the dry plain at the beginning of the XIX century. The dense network of canals, also widely used for diffused energy production, has been transformed during the 1930’s when the needs of the great modern industry of Porto Marghera led to the restructuring of the hydraulic system. The result were new artificial lakes, underground galleries, hydraulic power plants in the mountains and a new network of canals in the dry plain to irrigate a new industrialised agriculture. The canals were realised in concrete, following a different model, a tree structure that substituted the previous interconnected mesh. The continuous drawing from the Piave River has today reduced its flow to historical minima, with heavy consequences on the environment.

1.2 After the tree structure Today, other important transformations concern the irrigation system of the dry plain and require one to rethink the role of the water in the ecological construction of the territory. In order to reduce water consumption, a new technological and infrastructural shift is modifying the relation between water and territory: it consists of a few open air canals connected to underground pipes that distribute the water directly to each cultivated field. This system leads to less consumption of water (the dispersion of water within the open air canals being around 20–30%), but also to a radical change in the landscape and to a minimisation of the exchange between the canals and the water table. The “lost” water was in reality also a way to aliment the water table itself, which was and still is important, in particular because of its drawdown and its pollution. This incredible vast modification of the territorial structure is already happening without any perception and social consciousness. It is as if in a sudden change of technology all the minor network of roads were to be abandoned in favour of only highways. It deeply undermines the isotropic long durée quality of the region and asks for some considerations. These transformations oblige us to clarify more precisely what urban and territorial designers consider as fundamental in the structure of the existing territory. The situation shows the uselessness of an approach that does not intersect the technical changes occurring to the water management that remains external to them and to the process to which they are the beginning of. It also demonstrates the potential for architects and urbanists to engage a design for a territory; to make its scale and its topic concretely relevant and consistent for all the actors involved in its transformation. Facing the institutions responsible for water management for centuries in the Veneto region, we must be able to explain why it is important to maintain the open air minor system of water distribution, knowing that the argument of water gain has a strong rationality, although it is not a solution to all the problems. 1.3 First conclusions: forms of waters, forms of space The interaction with other disciplines is in this case necessary: in the experience of the reuse of a gravel pit as a lamination basin in the dry plain, the scenario elaborated together with hydraulic engineers, is that if all the hundreds of gravel pits of the Treviso province were utilised to stock the water against the flooding and as a reservoir in drought periods, the situation of the Piave River would be much less problematic and the necessity of saving water less urgent. But this observation is not enough to reverse the tendency to erase the minor water network.

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A second argument is related to the lack of a sewage system in the region or of a separated system, which condition has obvious consequences on the pollution of the water table and over-stresses the existing depurators. Following this line of thought, the existing minor water network of the dry plain might become the structure of a new natural system of depuration or at least of water collection. In this case, the relation between the water lines and the settlements structure and its design are clearer. But again, this is not enough to underline the importance of the minor networks in the contemporary space and it is here that the specific ideas of designers about the form of the city and about its relation with the contemporary practices can be crucial. It is when we have to justify the request to maintain a waterline, a row of trees and propose the introduction of a path along them that we explicitly take position in favour of a type of space. It is when we make clear the type of public space we consider adequate to nowadays and consider the water elements as urban devices. It is exactly the point where the decrease of isotropy due to the selection of traces becomes a problem. 2 THE PROJECT OF ISOTROPY In a second research project2 , still ongoing, we have extended the approach to a wider context – the metropolitan area of Venice. We have started to construct a map of the different rationalisations, of the interventions that a given society in a given historical moment has intended as rational modifications of the existing situation. Many of them contributed to the organisation of an isotropic territory, to the point that it is possible to assert that the metropolitan region of Venice is characterised by a specific form represented by the figure of isotropy. This figure has informed the process of transformation through history. The deepening of the figure of isotropy as ideal, but especially as a figure of rationality: political, economic and ecological, is a crucial point for the research, while also, it meets some paradoxical conditions. Made of a small grain, a fine diffused distribution of houses, productive places, equipments, the territory of the Veneto region represents one of the European territory of dispersion. Studied since the 70’s as a phenomenon and interpreted as a social and economic model, it has represented at the same time a type of living space and a moment of modernisation of an already dispersed territorial structure. Today B. Secchi, P. Viganò + PhD students in Urbanism, Università IUAV di Venezia: Water and Asphalt, the project of Isotropy, Biennale di Architettura di Venezia, 2006; Viganò P., 2008, “Water and Asphalt, The Project of Isotropy in the Metropolitan Region of Venice”, in Cities of Dispersal, Architectural Design Jan./Feb. 2

this model is undergoing strong changes. A series of paradoxes that are appearing on the surface affecting the physical space can be recognised as signals of the same. 2.1 Paradoxes The water paradox, the most interesting in the context of this paper, shows a deficit for the consumer in one of Europe’s biggest water reservoirs; the agricultural paradox features the banalisation of what is still the largest land use; the mixité paradox shows the resistance to the mixed land-use model of the diffused territory; the paradox of the public spaces concerns the crisis of traditional concept of urbanity, but also of the modern public space; finally, the paradox of isotropy shows widespread traffic congestion and the difficulty of pursuing a common aim and making common choices inside a fragmented space. A recent study of Università Iuav reveals that the 31% of people travelling by car would use public transport, spending 30% more, if travelling-time were reduced by 20%, while at the same time only 3.3% of people move as pedestrians in the greater metropolitan area (23% in the urban area of Mestre). The emerging paradoxes reveal a crisis of the idea itself of territory as infrastructure and the need to devise new functional and formal models starting from the water and asphalt systems. These and other paradoxes are examined through descriptions and scenarios, not considering the continuity of the actual trends, but making the hypothesis of a point of fracture. Contemporary projects and interventions that are overruling the general logic embedded in the isotropic territorial structure have to take these paradoxes into account if they want to avoid any risk of provoking new instabilities and contradictions. Rather than considering the isotropic feature of the territory merely as a product of history, a heritage that should be defended, it should be seen and understood as a strong rationality; a resource and an inspiration for contemporary projects. It is also evident that reading by paradoxes is a rhetoric artifice and that the superposition among the different themes are important and cannot be underestimated. Nevertheless, provisionally, they are at the centre of the “Water and Asphalt” research, in particular the paradox of isotropy which needs to be further investigated. The paradox of isotropy has two sides; that of congestion of the mobility network because of the absence of hierarchy in a network which supports a diffused territorial organisation and that of the difficult integration and relation between hierarchisation attempts and the minor network of waters and roads. The notion of isotropy concerns all scales: from the most minute, for instance the isotropic network of the small canals and the dispersion of the single family detached houses, to the largest scales, for instance the

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spatial dispersion of the public equipments, covering the entire territory. On each scale the same isotropic feature of the territorial organisation can be found. These characters are an opportunity for a new territorial vision which can be formulated starting from a series of new conditions, trying to elaborate conceptualisations and models that develop the idea of an isotropic network. 2.2

New conditions for isotropy

The isotropic project3 must not be conceived as a big “urban project”, but as an incremental series of undertakings and of rules acting differently in the different “sponges”, the parts where the density of the water and road network defines a tissue of percolation of different flows. Some new conditions seem to reinforce its legitimacy and actuality: more space for the water: the re-use of the hundreds of gravel-pits in the dry plain as flooding expansions; the re-naturalisation of the rivers and canals in concrete are a priority. The lagoon is at the centre of the system, not only for symbolic reasons, but also from an ecological point of view. The metropolitan area of Venice almost coincides with the territory it drains. agriculture as multifunctional landscape: after 2013, agriculture in Europe will have to renegotiate its extended presence in the territory; minimum 10% of the land to new woods in the plain (agro-forestry systems, productive woods, urban woods) are requested both for depurating the water, the air and for energy purposes; new technology for irrigation in the dry and wet plain will reduce water consumption, but also the exchange with the water table; a mesh of railways, tramways and waterways intersecting with diffuse facilities for public wellbeing: some ongoing interventions on the public transport are reinforcing its presence; living at no more than three kilometres from a railway station; a diffuse system of park and ride; an isotropic net of slow mobility; the sponges: the different principles of integration among water, roads, settlements must be taken into account following for example the evolution of the legislation about water collection, similar others recently introduced in the rest of Europe; use of the diffuse and isotropic road mesh to permit the percolation of traffic in a functionally mixed region. 3

COMPLEXITY AND CONTRADICTION

The third case concerns an extreme condition of separation and hierarchisation of the water network, in B. Secchi, P. Viganò + PhD students in Urbanism, Università IUAV di Venezia: Water and Asphalt, the project of Isotropy. . .

3

which its specialisation and the process of artificialisation has reached the limit producing a complex and contradictory situation. I will not deal with the case of the Antwerp region from a strict hydrogeological point of view, but I will try to clarify which are the spatial possibilities emerging from the reconsideration of the paradigms and the concepts underlying the actual configuration. My reflection starts from the centrality of the water issue in the new Structuurplan4 for the city which considers the relation between Antwerp and the water one of the main design themes and one of the fundamental images of the city. Antwerp as a waterstad is one and the first of the images proposed as guidelines to future projects for the city. 3.1 Stories of waters Generally speaking, the history of Antwerp, like the history of many other European cities, was a history of the reduction, negation and elimination of nature’s presence. In the struggle for space, nature was the weakest actor and apparently the more malleable one. Topography, the water network, soil permeability, the continuity of natural patches have been intensely modified throughout the course of urban history leading to consequences regarding flooding, natural infiltration of water in the ground, fragmentation of open spaces. Water was more present in Antwerp in the past than today and it also had a different configuration. Dredging and the transformation of docks, ditches and moats, concealing and reducing the small tributaries throughout the territory, such as the Schijn, was a continuous operation that deeply affected Antwerp, as the same interventions affected the Veneto region. The result today is a series of opportunities and problems. The maps can show some of the main processes that have characterised this transformation, such as the fortifications’ role in modifying the hydraulic system, the present fragmentation of the water network and the recent transformation of the hydraulic system in relation to harbour expansion. While the “artificialisation” of the territory has always been intense, it is the development of the techniques and practices of concealing water by conveying it into pipes (like in the Schijn river case) that has totally transformed its relationship with the surrounding territory, except when, after flooding, it tragically re-emerges. As an element of urban design, the history of the modern relationship between Antwerp and water, from Napoleon on, and the proposed extension of the harbour along the fortification (today the ring road), is largely composed both of projects which were never built as well as of lost opportunities. We can identify 4

City of Antwerp, B. Secchi, P. Viganò (external team together with Iris Consulting) Antwerpen Structuurplan, 2006.

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four main types of interventions. First are the harbour infrastructural works slowly moving north and taking over new land. Second is the hypothesis of reusing and reinterpreting the splendid fortification and water systems around the city centre starting at the beginning of the 20th century until the realisation of the ring road in the 1970s. Third is the emergence of a new interest in the relationship between the city and the Scheldt, with the opportunities provided by the harbour areas that have been in a stage of decommissioning since the 1980s (the Stad aan de stroom urban design competitions launched at the middle of the 80’s witnessed the new condition). Finally are the minute transformations and adaptations of the different water networks, according to the parameters of hydraulic science which have evacuated, displaced and concealed the principal elements of the water system. The result, as already stated, is a fragmented network and the risk of flooding. Today the main questions can be briefly described as problems relating to the Scheldt estuary, shared by Holland and Flanders (changing water levels, flood areas, higher and higher differences in tide); problems of inundation relating to human modifications of topography, soil permeability and the loss of tributaries and canals due to the extension of the harbour to the North (from the deviation of the Schijn river to the North, to the interruption of the relationship with the Scheldt of rivers and canals in the northern villages); problems relating to the mixed sewage system in which the rain water is not separated from the black water. In the past, these three main problems have stimulated important studies, plans and built projects usually inspired by an “engineering” logic, which attempts to solve each of them through use of forceful infrastructural technology, often incompatible with environmental needs. Today the limits of this approach are clearer and clearer and a new set of studies, plans and projects are being developed for this area. 3.2 Waterstad The reading and design exercises we have made5 inside the Antwerp region show the importance to re-establish a correct space for the water, but also the possibility of a renewed relation between the water and its territory. Along the Groot Schijn valley, for example, the river is a sort of marginal presence at the back of a heterogeneous collection of open spaces, although it is the principal structuring water-system in the eastern part of Antwerp’s territory. It marks the 5

Water and Iron: restructuring a post-industrial and dispersed territory, Spring semester Design Studio, KU Leuven, guidance P.Viganò and E. van Daele.

passage between the sand of the north and the light loamy sand of the south; it is the border between forest and agriculture. The river had a complicated story of displacements towards the north since the beginning of the 20th century and related to the presence of the harbour docks and canals. Put in a concrete pipe and pumped 8 km to the north, it was disconnected from its natural course towards the Scheldt. Today the decision to conclude it into the Lobroekdok and the partial demolition of the pipe may solve the flooding problems it caused in the villages north of Antwerp, but it a solution that is not completely satisfying. In fact, the direct relation between the Schijn and the Scheldt is impossible to restore - not only because its ancient flow has disappeared, a victim of city growth, but also because of the higher tide of the main river, which requires new protections along the city border. The Schijn valley is a typical place of the contemporary city, where a new interpretation of urban agriculture is taking place, together with golf courses, bio-farms, relics of traditional agriculture, urban equipments, rest of fortifications, the largest shopping centre in Flanders, although still not fully integrated in its network of public spaces. The new inundation areas proposed by the Sigma Plan (all situated upstream of the estuary of the Rupel in the Scheldt, near Boom in Antwerp’s territory) are part of a wider strategy of controlled tidal areas, de-poldered areas, retention areas and raising the existing protections. As in the case of the irrigation techniques in the dry plain of the Veneto region, the scale of the territorial transformations does not seem to be totally perceived. In the case of the new inundation area in the left bank, south of Antwerp, the new dike of about 7 km long is a spatial device that needs to totally re-conceive the relation among the linear filament parallel to the river, the polder area and the river itself. At the same time the dike provides the occasion to implement the park of the Scheldt at the regional scale and the concept of the “soft spine”, the system of five territorial parks proposed by the Structuurplan of the city. The dike is the groundwork – a landform – that can be adapted to the different contexts it meets along it. Gentle and sharp slopes can support public spaces and even new residential programs that may profit of their very special location. This first approach to the design of the waterstad has given interesting perspectives on the transformations that will affect the Albert Kanaal, an infrastructural bundle, a monument of Belgium modernity, but also, nowadays, a place fitting into recreational practices, a linear structure intersected by settlements as well as forests and waters, at the same time a space to be reorganised as the extension of the port of Antwerp (projects of widening the canal near Antwerp, building new bridges are already underway).

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Starting from “water and iron” has been the occasion to reconsider the water flows from the northeastern part of Antwerp and their relation with the polder area, its draining/irrigation system; the construction of a buffer between the harbour and the northern villages; the valorisation of the “anti tank canal”, the highly qualitative structure that was never used, whose clean water is separated from the agricultural irrigation and draining system. Technique is not neutral and the different choices regarding solutions to the water problems can have radically different consequences on urban space: if we simply identify the areas connected to different kinds of water, we can distinguish the potential interconnections of a series of open spaces. If we define them as a park network, we suggest both a new interpretation of the existing water networks and a new territorial structure and form. 4

CONCLUSIONS

The three groups of considerations I have developed above have some common roots and show possible common research developments. They put at the centre of the contemporary urban and territorial project the concept of infrastructure and

look at the different components of the water system as basic elements of the territorial support. They are considered as strong agents in the construction of the (new) form of the contemporary city. The theme of form and of the urban form, sometimes confined into a banalised aesthetic attitude, re-emerge at the geographical scale, together with morphology, the study and the thought about forms, in their modification and resistance to change during time. The preoccupation for the theme of infrastructure is traditional in urbanism and urban design, but it is today particularly relevant in relation to the evolutions of society, of its practices and desires for a better and safer life. The water system, in all its complexity, acts as a condition for the reproduction of the social body and although often contradictory its elements constitute a tremendous deposit of efforts and dead work. They wait for new interpretations by different forms of rationalities and inside contemporary ideas of welfare. An important consequence of the approach presented here concerns what we design; the objects of our design; what we select as strategic to anchor the construction of a liveable space; what we project towards the future. To make a contribution to the design of territorial supports seems to me the core of our responsibility, which leads us to question the adequateness of our tools and forms of knowledge.

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Part two: Mitigating natural disasters Natural hazards are a part of life. Hazards only become disasters when lives and livelihoods are swept away. It is estimated that approximately three-quarters of all natural disasters are related to weather, climate, water and their extremes.Yet the impacts of natural hazards can be reduced through prevention and preparedness – developing long-term capacity to live with risk. Properly planned and projected space can mitigate disasters, especially flooding, landslides and avalanches. Technology has advanced to a degree by which disasters can be modelled, predicted and inhabitants warned of their timing. At the same time, beyond mere engineering solutions, urban planning and design can anticipate natural disasters and go beyond technical measures to create, for example, flood absorption spaces that work with the rhythms of nature and simultaneously expand the public realm. Papers in this session present various alternatives to mitigating natural disasters and address the conflict between water and urbanity. Issues addressed include: • • •

over-reliance on urban flood protection measures rediscovery of landscapes hydrological dynamism an increase in urban water calamities (water-logging, flash flood, etc.) and meteorological extremes by climate change • new potentials of rainwater-harvesting and retention basins • climate change and future flood risks • real-time control of urban flooding

Keynote papers

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Implications of global warming and urban land use change on flooding in Europe L. Feyen, J.I. Barredo & R. Dankers Institute for Environment and Sustainability, European Commission

ABSTRACT: This paper presents an integrated methodology to assess the implications of climate change and urban land use changes on future flood damage in Europe. To determine changes in flood hazard due to global warming, high resolution regional climate simulations from the HIRHAM model were used to drive the hydrological model LISFLOOD. Calculated flood inundation extents and depths were transformed into direct monetary damage using flood depth-damage functions and land use information. For each country Expected Annual Damages (EAD) were calculated from the damage-probability functions. To account for flood protection the damage-probability functions were truncated at design return periods based on the country GDP. Results indicate that, under the A2 scenario, most countries in Europe will see an increase in EAD in the coming century. For EU27 as a whole, current EAD of 6.5 billion €is projected to reach 18 billion €(in constant prices of 2006) by the end of this century under the A2 scenario. For the region of Madrid, future developments in urban land use were simulated with the cellular automata (CA)-based model MOLAND. Damage calculations based on the future land use patterns for this region show that the effect of increased exposure due to urban expansion far outweighs the effect of climate change. Keywords:

1

Climate change; damage; floods; urban land use change

INTRODUCTION

Floods are the most common natural disaster in Europe. Over the last decades, the costs of floods have exhibited a rapid increase (Munich Re, 2005; Barredo, 2007). Part of the observed upward trend in flood damage can be attributed to socio-economic factors, such as the increase in population and wealth in floodprone areas, as well as to changes in the terrestrial system, such as urbanisation and deforestation, that have lead to the loss of wetlands and natural floodplain storage (e.g. via dike construction, river straightening and floodplain sedimentation). Changes in climate may also have played a role. However, the conclusion of a positive contribution of climate change is premature (Mudelsee et al., 2003; Kundzewicz et al., 2005), partly because of the inherent difficulties and uncertainties in detecting trends in extreme river flows amidst strong natural variability. Recent advances in climate modelling, however, suggest that climate change will likely play a role in the future. For the coming decades, it is projected that global warming will intensify the hydrological cycle and increase the magnitude and frequency of intense precipitation events in most parts of Europe, especially in the central and northern parts (Christensen and

Christensen, 2003; Semmler and Jacob, 2004). This will likely contribute to an increase in flood hazard triggered by intense rain, particularly the occurrence of flash floods. Flood hazard may also rise during wetter and warmer winters, with increasingly more frequent rain and less frequent snow. On the other hand, ice-jam and early spring snowmelt floods are likely to reduce because of warming (Kundzewicz et al., 2006). In recent years, many climate change impact studies have appeared in the literature. The majority of impact studies on the hydrological cycle have focused on water resources, average flow conditions, and changes in seasonal runoff, in part because long-term average values are generally considered the more reliable outputs of climate and large-scale hydrological models. Regional assessments of climate change impacts on flood hazard have been relatively rare. Most studies have adopted a basin-scale approach (e.g., Booij, 2005; Kay et al., 2006), because floods are often determined by small to meso-scale processes. The application of different climate scenarios, hydrological models and the basin-specific characteristics make it difficult to compare the results of the different studies and to draw an overall picture of the effects of climate change on flood hazards at the European scale.

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Lehner et al. (2006) made an integrated European assessment of changes in flood risk due to climate change. They used climate data from the ECHAM4 and HadCM3 General Circulation Models (GCMs), based on a scenario that is largely consistent with the no-policy IPCC-IS92a scenario, in combination with the global integrated water model WaterGAP to define large critical regions of increases in flood and drought hazards. The monthly averaged GCM output was disaggregated in space and time to the temporal scale (daily) and (coarse) spatial scale (0.5 degrees) of WaterGAP. In the climate signal, only long-term trends and changes in seasonal climate were taken into account, while changes in short-range variability were neglected. These assumptions do not allow a proper evaluation of changes in climatic extremes, which may show a very different pattern compared to the average changes in climate, and constrain the reliability of the results with respect to changes in flood hazard. More recently, Dankers and Feyen (2008) evaluated changes in flood hazard in Europe using very high resolution climate data from the HIRHAM regional climate model driven by the SRES A2 greenhouse gas emission scenario. Their results confirm an increase in flood hazard for many European rivers by the end of this century, but in certain regions, notably in the northeast and parts of central and southern Europe, a considerable decrease in flood hazard was found. Monetary assessments of the impacts of climate change in Europe have been poorly covered to date. Hall et al. (2005) presented a national-scale assessment of current and future coastal and river flood risk in England and Wales. Their analysis uses information on flood defences (including probability of failure), land use, impact (depth-damage and population data) together with datasets on floodplain extent and topography. No changes in land use were considered. Results indicated an up to 20-fold increase in real terms economic risk by the 2080s for the scenario with the highest economic growth. No studies have yet appeared in the literature with a European coverage. The aim of this paper is to estimate future changes in expected annual damage from floods at European scale, taking into account flood protection measurements. The flood risk analysis described in this paper builds upon the flood hazard assessment of Dankers and Feyen (2008). For a case study around Madrid, we also simulate future developments in urban land use and assess the importance of changes in exposed property against climate-induced changes in flood hazard itself. 2

METHODOLOGY TO ASSESS CURRENT AND FUTURE RISK

In this paper we present an integrated methodology to assess the impact of global warming and urban land

use change on flood risk in Europe. The framework is presented in Figure 1. In the remainder of this section, the different steps are explained in more detail. 2.1 Flood hazard assessment Flood generation is a highly non-linear process that depends on factors such as the intensity, volume and timing of precipitation, antecedent conditions of the river basin (e.g. soil wetness, snow or ice cover), river morphology, land use, and flood control measures (e.g. reservoirs, dikes). Because of the small to meso-scale character of these factors, the assessment of climate change impacts on flood hazard is typically carried out at the catchment scale by means of one-way coupling of climate model output with a hydrological model. In recent years, the horizontal resolution of RCM simulations has increased considerably and now approaches a level that allows capturing fine-scale climatic structures induced by complex topography or land use patterns, which is essential for flood hazard assessment. In this paper we use data from a recent experiment with the regional climate model HIRHAM (Christensen et al., 1996) run with a horizontal resolution of 12 km, much higher than the 25 or 50 km typically used in RCM simulations. This experiment has been conducted within the framework of the PRUDENCE project (Prediction of Regional scenarios and Uncertainties for Defining EuropeaN Climate change risks and Effects; Christensen et al., 2007). The simulations consist of two 30-year time slices: a control run with a greenhouse gas forcing corresponding to 1961– 1990, and a scenario run corresponding to 2071–2100 according to the A2 scenario of the Intergovernmental Panel on Climate Change (IPCC) (Nakicenovic and Swart, 2000). In the control run, the lateral boundaries were derived from the HadAM3H high-resolution global atmosphere model, which itself had been forced by low-resolution observed sea surface temperature (SST) and sea-ice extent. The climate change signal in SST and sea-ice extent for future conditions came from the global coupled atmosphere-ocean model HadCM3 (Gordon et al., 2000; Pope et al., 2000). Simulation of extreme precipitation by HIRHAM has previously been described by Christensen and Christensen (2004) and May (2007). The HIRHAM simulations of temperature, precipitation, solar and thermal radiation, humidity and wind speed data were used to drive the hydrological model LISFLOOD (van der Knijff et al., 2008). This model has been developed for operational flood forecasting at European scale and is a combination of a grid-based water balance model and a 1-dimensional hydrodynamic channel flow routing model. Since it is spatially distributed, the model can take account of the spatial variation in land use, soil properties and precipitation. The current, European-wide set-up uses a 5 km grid and input parameters on soil and land use were derived

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Figure 1. Integrated framework to assess current and future flood risk in Europe.

from European databases. The model parameters that control infiltration, snowmelt, overland and river flow, as well as residence times in the soil and subsurface reservoirs, were estimated by calibrating against historical records of river discharge in 231 catchments and subcatchments. For catchments where discharge measurements were not available simple regionalisation techniques (regional averages) were applied to obtain the model parameters. In the current simulations the HIRHAM data were re-gridded to the 5 km grid scale of LISFLOOD without any further downscaling or altitude correction. This means that any bias in (especially) the precipitation fields will directly influence the LISFLOOD simulations. However, at European scale there is presently no high-quality precipitation dataset available with sufficient observation length and spatial resolution that would allow a proper downscaling of the 12-km HIRHAM data (Dankers and Feyen, 2008). To estimate the probability of extreme discharge levels, a Gumbel distribution was fitted to the annual maximum values in every river grid cell, whereby the location and scale parameter were estimated using Maximum Likelihood Estimation (MLE), following Gilleland and Katz (2005). From the fitted Gumbel distributions of extreme discharges, return levels were derived for every river pixel for return periods of 2, 5, 10, 20, 50, 100, 250 and 500 years. For

validation the simulated extreme discharges from the LISFLOOD model run driven by the control climate were compared with observations at 209 gauging stations across Europe for which long enough daily data (30 years covering 1960–90 or 1970–2000) were available. The LISFLOOD model, when being driven by the HIRHAM data, was able to reproduce both mean and high discharge levels across Europe reasonably well, considering that most of these rivers are regulated (see Dynesius and Nilsson, 1994). Over all stations the performance with respect to reproducing yearly maximum flows was satisfactory (r2 = 0.90) (for more details see Dankers and Feyen, 2008). 2.2 Flood risk assessment Flood risk assessment requires the integration of the physical impact results (flood inundation extent and depth) with information on flood defences, land use, and impact (depth-damage functions). Based on a high-resolution (100 m) digital elevation model, the simulated stream water levels for the control and scenario climate were transferred into flooded areas and inundation water depths, and changes in flooded areas and water depths were determined for each return period. In this step, flood protection measures are not taken into account. Using country specific flood depth-damage functions and land use information from CORINE Land Cover 2000 (EEA, 2000),

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Table 1. Qualitative description of meta-narrative for A2 scenario used in studies of urban land use simulation of climate change scenarios. SRES scenario

Madrid region (Barredo and Gómez Delgado, 2008)

Europe (Reginster and Rounsevell, 2006)

A2

•Rapid urban growth • Increasing share of low density areas • Low infilling • Diffuse suburbanisation • Loose spatial planning policy • Increasing population

• Significant increase in the extension of built-up areas • Small/medium size cities expand most rapidly • Suburbanisation and counter urbanisation • Increasing population

direct damage estimates are obtained for each return period. This results in a damage-probability function under present and future climate. In reality, of course, most countries have flood defence measures up to a certain design flood to prevent areas from flooding. To account for flood protection the damage-probability function is therefore truncated at the corresponding design return period. In this way, damages from floods with lower return periods are discarded. The integral of the remaining part of the function corresponds to the expected annual damage (EAD), a measure of the expected yearly loss due to flooding taking into account flood protection measures. The approach used is based on direct estimated potential flood damage caused by water depths on land use typologies. Other factors that might contribute to the increase of losses are not included in this study: flood velocity, building characteristics, content of sediment in water, and estimated of indirect economic losses. It is also important to note that in the calculation of future flood risk we did not account for any projected growth in exposed values, hence all damages are based on current exposed values. 2.3

Flood risk assessment and urban land use changes

To evaluate the effect of urban land use changes on flood damages a land use scenario consistent with the SRES A2 emission scenario was developed for the region of Madrid (Barredo and Gómez Delgado, 2008). The region covers an area of about 10,000 km2 and includes 340 municipalities of the Madrid autonomous Community and other municipalities beyond it representing the functional region of Madrid. It is considered to be one of the hotspots in urban development in the EU (EEA, 2005, Ludlow et al., 2006). A number of interlinked socioeconomic factors, such as social demand for housing and increased mobility, have resulted in an intense de-centralisation of population and economic activity in the region in the last decades (López de Lucio, 2003). As a consequence, the territory of Madrid has been developing towards a sprawled-like region, a

process that has taken place within a weak spatial planning framework that is common to a large number of European urban areas (López de Lucio, 2003; Fernández-Galiano, 2006). For modelling urban land use development the cellular automata (CA)-based model MOLAND (White et al. 1999, Barredo et al. 2003, Barredo et al. 2004) was used. At each time step, the model calculates for each cell a vector of land use transition probabilities based on a number of factors that drive land use dynamics, such as accessibility, land use zoning regulations, suitability and existing land use patterns. In a calibration phase, a set of transition rules is derived based on historical land use trends. The model was calibrated using land use information from CORINE and transport network layers from the TELEATLAS database for Europe for the period 1990 to 2000. A reasonably good agreement was obtained between the observed and simulated map for 2000 (for more details see Barredo and Gómez Delgado, 2008). When modelling future land use, the assumptions defined in the calibration phase are modified based on the meta-narrative description of the SRES A2 storyline describing the socio-economic and political conditions that drive future land use change. For Europe and the Madrid region the set of drivers that characterise the A2 scenario are detailed in Table 1. These drivers were fed into the model and land use was modelled at a horizontal resolution of 100 m. Due to some computational constraints, land use was only modelled until 2040, and it was assumed to remain stable hereafter. This is not fully consistent with the 2070–2100 period for which future flood hazard was estimated, and may result in an underestimation of flood damages when accounting for urban land use changes. Figure 2 shows urban land use in the Madrid region for 1990 and 2000 (both CORINE) and for 2040 under the A2 scenario. Rapid urban growth with little spatial planning policy in this scenario leads to diffuse and peri-urban developments around the core city, with a relevant influence of the road transport network in the distribution of new urban nuclei and growth of urban areas.

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Figure 2. Urban land use in the Madrid region: (top left) CORINE 1990, (top right) CORINE 2000; (bottom left) land use 2040 under A2 scenario (rapid urban growth).

Land use can affect flood damages in two ways. Firstly, land use changes that invoke increasing population and wealth in flood-prone areas directly affect the exposed assets in flood prone regions. Secondly, landscape changes within the catchment, such as urbanisation and deforestation, lead to the loss of wetlands and natural floodplain storage, and may increase flood hazard. In this work, only the first aspect is considered, as it is considered to have more impact on flood damages. This implies that in evaluating the impact of urban land use changes, the calculation of flood hazard is based on static land use in the contributing catchment area. 3 3.1

RESULTS AND DISCUSSION Changes in flood hazard in Europe due to climate change

Figure 3 shows the change in the 100-year return level of river discharge between the scenario and control

run. Although the estimation of discharge levels with high return periods is subject to large uncertainties, the patterns of change between the control and scenario period that can be seen in Figure 3 are comparable to the changes for shorter return intervals or even for the mean annual maximum discharge (Dankers and Feyen, 2008). The 100-year return discharge levels decrease strongly in the north-eastern part of the continent (i.e. Finland, northern Russia and part of the Baltic States). Decreases can also be seen along the Norwegian coast and, to a varying degree, in central Europe and the southern half of the Iberian Peninsula. Strong increases in the 100-year flood level are simulated across much of western and central Europe, including parts of the Balkan, northern Italy and locally also in Sweden and southern Norway. The decrease in the magnitude of the 100-year flood in north-eastern Europe can be attributed to a decrease in snow accumulation. In this area the natural flow regime of the rivers is

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Figure 3. Relative change in 100-year return level of river discharge between scenario (2071–2100) and control period (1961– 1990) as estimated from the Gumbel distribution fitted to the annual maximum discharges. Simulations with LISFLOOD driven by HIRHAM – HadAM3H/ HadCM3 and IPCC SRES scenario A2. Shown here are only rivers with an upstream area of 1000 km2 or more (Dankers and Feyen, 2008).

dominated by a discharge peak in spring due to melting of the winter snow pack. Despite an increase in winter precipitation over much of northern Europe, higher temperatures in winter and spring result in a decrease in the annual snow mass of 40% or more, as well as a shortening of the snow season of locally more than two months. As a consequence the spring snowmelt flood is less severe, which is reflected in the reduced estimate of the 100-year return level over the entire year. In summer and autumn, however, the magnitude of extreme discharges may well increase. 3.2

Changes in flood risk in Europe due to climate change

Figure 4 shows the relative change in 100-year flood damage (averaged over NUTS 2 level) between the control climate and the climate under the A2 scenario.

The pattern in flood damage changes in Europe reflects the pattern observed in the changes in flood hazard, with strong increases across much of western and central Europe, including Italy and eastern parts of Spain and locally also in Greece and southern Sweden. The strongest decrease in flood damage is observed in north-eastern Europe. Similar patterns of change in damage were observed for other return periods. Expected annual damages (EAD) have been calculated from the damage-probability functions. Since data about flood protection levels, including their probability of failure, hardly exist at the national or European level, we assumed for illustrative purposes different levels of flood protection for EU countries based on their GDP (see Table 2). For countries with a GDP larger than 110% of the average EU27 GDP we assumed protection up to 100-year flood events (dark gray in Table 2). For countries with a GDP between

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Figure 4. Relative change in 100-year flood damage (averaged over NUTS 2 level) between scenario (2071–2100) and control period (1961-1990). Simulations with LISFLOOD driven by HIRHAM – HadAM3H/ HadCM3 based on IPCC SRES scenario A2.

55 and 110% of the average EU27 GDP (medium gray in Table 2) a 75-year return level protection was imposed. For countries with a GDP lower than 55% of the average EU27 GDP (light gray in Table 2) the damage probability functions were cut-off at the 50-year return level. No adaptation to increasing flood levels is taken into account. Therefore, the same levels of protection in terms of design discharge were imposed for the control and scenario period. To this end, design discharge levels imposed for the control period (reflecting current levels of protection) were converted into the corresponding return periods in the future climate (which are not necessarily the same as for the control period). These were then used to appropriately truncate the damage-probability function. Country-averaged values of expected annual damages are presented in Table 2 for the control and scenario period. Results indicate that, under the A2 scenario, most countries in Europe will see an increase in EAD in the coming century, assuming the assumed levels of protection remain fixed, with increases that vary between 40 up to 800%, depending on the country.

Only a few countries will see a reduction in EAD, which is most pronounce for Finland. For EU27 as a whole, current EAD of 6.5 billion €is projected to reach 18 billion €(in constant prices of 2006) by the end of this century under the A2 scenario. We would like to stress again that the estimates of future flood losses are based on current exposed values; no growth in exposed values is taken into account. 3.3

Changes in flood risk in Madrid region due to climate change and urban land use change

For the 10,000 km2 window comprising the Madrid region EAD amounted to 13 million € for the control period. For the scenario period EAD is projected to increase to 23 million € in constant prices of 2006 (increase of 75%) with static land use. When taking into account urban land use changes in the damage calculations EAD is projected to rise up to 110 million Ł, or an increase of 750%. These results indicate that the effect of increased exposure due to urban expansion by far outweighs the effect of climate change.

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A2 scenario, most countries in Europe will see an increase in EAD in the coming century. For EU27 as a whole, current EAD of 6.5 billion €is projected to reach 18 billion €(in constant prices of 2006) by the end of this century under the A2 scenario. For the region of Madrid, future developments in urban land use were simulated with the cellular automata (CA)based model MOLAND. Damage calculations based on the future land use patterns for this region show that the effect of increased exposure due to urban expansion far outweighs the effect of climate change. It is important to note that the results in this work are based on the SRES A2 greenhouse emission scenario, and that climate simulations from only one regional model driven by one General Circulation Model have been considered. Simulations based on other greenhouse gas emission scenarios or with other driving GCMs may deviate from those described here. An ensemble approach considering multiple driving models for different emission scenarios should provide a more robust estimate of future flood damages.

Table 2. Country-averaged expected annual damage (EAD) in € for control and future climate (based on SRES A2 scenario). Different levels of flood protection are imposed based on country GDP (dark gray: 100 year return level protection; medium gray: 75 year return level protection; light gray: 50 year return level protection)

4

Country

EAD ctrl (€)

EAD scen (€)

scen/ctrl

AT BE DK FI FR DE IE LU NL SE UK CY CZ GR HU IT MT PT SK SI ES BG EE LV LT PL RO

2.4E + 08 1.6E + 08 1.2E + 07 3.0E + 08 1.0E + 09 6.8E + 08 2.3E + 07 1.1E + 07 3.6E + 08 1.3E + 08 7.8E + 08 0.0E + 00 2.7E + 08 4.9E + 07 3.5E + 08 8.9E + 08 0.0E + 00 2.5E + 07 1.4E + 08 4.8E + 07 2.8E + 08 5.7E + 07 8.3E + 06 2.8E + 07 2.6E + 07 4.3E + 08 2.2E + 08

4.1E + 08 2.7E + 08 9.3E + 07 4.5E + 07 4.0E + 09 1.4E + 09 5.4E + 07 3.9E + 07 9.9E + 08 2.5E + 08 3.6E + 09 0.0E + 00 9.4E + 08 2.3E + 08 7.7E + 08 2.5E + 09 0.0E + 00 9.9E + 06 2.5E + 08 4.0E + 07 5.8E + 08 1.3E + 08 6.4E + 06 3.9E + 07 1.2E + 08 1.1E + 09 1.6E + 08

1.73 1.72 7.85 0.15 3.93 2.09 2.33 3.59 2.79 1.93 4.61 1.00 3.53 4.69 2.19 2.80 1.00 0.39 1.82 0.83 2.02 2.21 0.77 1.39 4.65 2.66 0.70

EU27

6.5E + 09

1.8E + 10

2.77

REFERENCES

CONCLUSIONS

Both global warming and urban land use dynamics are expected to considerably affect future flood damages in Europe. We presented an integrated methodology to assess the implications of these two factors for future flood damage in Europe. Changes in flood hazard for the SRES A2 scenario were obtained by combining high resolution regional climate simulations from the HIRHAM model with a the hydrological model LISFLOOD setup for all catchments in Europe. Calculated flood inundation extents and depths were transformed into direct monetary damage using flood depth-damage functions and land use information. For each country expected annual damages (EAD) were calculated from the damage-probability functions. To account for flood protection the damage-probability functions were truncated at design return periods based on the country GDP. Results indicate that, under the

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Mitigating of water related natural disasters in developing countries Carlos E.M. Tucci Institute of Hydraulic Research, University of Rio Grande do Sul, Rua Lavradio, Brazil

ABSTRACT: The frequency of natural disasters has increased in recent decades in different parts of the world and they are having greater impacts on poorer populations. In this paper, an overview of the main impacts is presented, along with the sources of uncertainties related to the risk areas. The institutional international scenario is described as related to South America. The water management framework for preventing such disasters related to the source of uncertainties is discussed as strategies to deal with these risks. Keywords:

1

risk management; water

NATURAL DISASTERS IMPACTS

From 1992 to 2001, developing countries accounted for 20% of the total number of disasters, and over 50% of all disaster fatalities (WWAP, 2005). There were of about 15 people killed per million inhabitants in developed countries and 25,000 per million inhabitants by disasters in developing countries (based on data of 1994–2003, ISDR, 2005). The economic losses were about US$ 66 billions dollars yearly in the period 1994–2003 (ISDR, 2005). On the top 25 countries affected (inhabitants killed or affected), most are developing or the least developed countries in Africa, Asia and Latin America. Developing and least developed countries are those which have higher risk of disasters in terms of lives lost, injured inhabitants and economic losses. Between 1985 and 1999 the least developed countries lost 13.4% of their GDP to disasters and developed countries over 4%. The increasing trend of natural disasters is related mainly to population growth and occupation of risk areas (flood plains and coastal); economical development as consequence the pressure on the environment and urbanisation; climate variability and change which includes another dimension of risk. In recent years, 90% of natural disasters have been related to weather or climate conditions. These factors are interrelated and this trend of natural and water related risk is one of the main challenges in the reduction of poverty. 2 WATER HAZARD CONCEPTS 2.1

Definitions

international level for external assistance; an unforeseen and often sudden event that causes great damage, destruction and human suffering” (ISDR 2005). Hazard has been defined as “a threatening event, or the probability of occurrence of a potential damaging phenomenon within a given time period and area” (DHA, 1992). It can be seen that “hazard” and “disaster” have similar definitions. In this perspective, Water Related Natural Disaster is an event in which water is the cause or consequence, when the impact is on the water, of the disaster. Vulnerability “is the degree of loss (in % of total) resulting from a potential damaging phenomenon” (DHA,1992) and Risk is the losses in lives, persons injured, damaged and economic activities disrupted, due a hazard event. Risk is estimated as the following (DHA, 1992):

The above definition of vulnerability did not take into account the environmental vulnerability of human development. Natural events are related to the impact on the population. These above concepts are related to the effect of the event and there are other concepts which are related to human or environment to cope with the hazard event. Resilience is the ability to return to a previous state after the event. Capacity is “a combination of all strengths and resources available within a community or organisation that can reduce the level of risk or the effect of a disaster” (ISDR, 2005). The equation 2 was updated to take into account the capacity (C) in the risk assessment (ISDR, 2005)

Disaster is the “situation or event, which overwhelms local capacity, necessitating a request to national or

227

Equations 1 and 2 may be used in different perspective. Equation 1 is used to evaluate the impact and equation 2 evaluates the impact together with the capacity of the system to recover from the event. Risk management in water natural disasters is the development of actions through prevention and mitigation measures in order to reduce the risk of the disaster. ISDR (2005) states that disaster risk management comprises “the systematic process, administrative, decisions, organisation, operational skills and abilities to implement policies, strategies and coping capacities of the society and communities to lessen the impacts of natural hazards and related environmental and technological disasters”. Risk reduction can be planned through structural or non-structural measures. Structural measures are planned to protect the population from the event through the avoidance of impacts. Non-structural measures do not change the event level of occurrence for the population, but reduce the vulnerability through some of the following measures: early warning, insurance, disaster relief, institutional measures.

2.2 Water related risk impacts Water related risk impacts are mainly due to the effects on the population and environment of the natural and anthropogenic process developed in the water systems. In terms of environment and human development they could be classified based on a system such as: • • • • • •

Urban development: supply & sanitation, urban drainage and solids; Energy: demand and production (hydropower); Transport: navigation; Rural development: supply, agriculture environment; Water relater natural disasters: floods, droughts, health, landslide & avalanche, famine; Environment: system sustainability such as wetlands; water quality, forest burn, etc.

This is a very broad classification of impacted areas of water resource management. It is a combination of socioeconomic areas and natural environment systems. There are strong overlaps on these groups such as: During a flood urban development, energy, transport, agriculture and environment could be affected in the same way as during other natural disasters; urban development could also increase the chances of disasters such as landslide, urban drainage floods, environment impacts on water and deforestation, among others. Natural related disasters have been classified in broad groups as (OEA, 1990): (a) Atmospheric: hailstorms, Hurricanes, lightning, tornadoes, tropical storms; (b) Hydrologic: coastal flooding,

desertification, salinisation, drought, erosion and sedimentation, river flooding, storm surges; (c) Seismic: fault ruptures, ground shaking, lateral spreading, liquefaction, Tsunamis, Seiches; (d) Volcanic: Tephra (ash, cinders, lapilli), gases, lava flows, mudflows, projectiles and lateral blasts, Pyroclastic flows; (e) other geologic/hydrologic: debris avalanches, expansive soils, landslides, rock falls, submarine slides, subsidence; (f) wildfires: brush, forest, grass, savannah. ISDL (2005) organised the data of natural disasters into 3 specific groups: •

Hydro-meteorological disasters: including floods and wave surges, storms, droughts and related disasters (extreme temperatures and forest/scrub fires), and landslides & avalanches; • Geophysical disasters: divided into earthquakes & tsunamis and volcanic eruptions; • Biological disasters: covering epidemics and insect infestations. WWAP (2005) presented the water related natural disasters as: Floods, droughts, landslides and avalanches, famines and water related epidemics. It shows that 50% of the events between 1990 and 2001 were due floods and in Americas and Africa 49% of 2,200 water related disaster events occurred in this period. Some statistics on flood impacts are (WWAP, 2005): •

Floods account for 15% of all deaths related to natural disasters; • Approximately 66 million people suffered flood damage from 1973 to 1997; • Between 1987 and 1997, 44% of all flood disasters affected Asia, claiming 228,000 lives (roughly 93% of all flood-related deaths worldwide). Economic losses for the region totalled US$136 billions. ISDR (2005) presented the impacts due to floods, surges and storms as a proportion of other natural disasters for a country classification in Table 1. It can be seen that floods have an important impact on the developing and least developing countries in all aspects and it is the main vulnerability to these countries as well to the others. It represents almost all economic losses for least developing countries (97%). Figure 1 shows the hydro-meteorological evolution of events by decade since the beginning of the twenty century. It shows a high increase in the curve after the 80s.

3

SOURCE OF THE UNCERTAINTIES

The source of risk are related mainly to the pressure society exerts on the environment, impacts of the climate variation on society and social and economics vulnerabilities.

228

Table 1. Proportion (%) of impacts due to floods, wave surges and storms compared to the total natural disasters in the period of 1994–2003 (ISDR, 2005). Type of countries1

Killed

Affected

Economic losses

OECD CEE+CIS Developing countries Least developing countries

10 17 56 21

50 51 70 50

38 79 73 97

OECD – Organization for Economic Cooperation and Development State members: CEE + CIS: Central and Eastern European Countries + Commonwealth of independent Sates;

number of natural disasters

1

climatic fluctuations can bring about conditions which prejudice this sustainability in the medium term. In South America, where all countries can be regarded as being in the course of development, the principal challenges are:

2500 2000 1500 1000

•

How to develop and acquire the quality of life desired by the population without damaging the available natural resources? • How do variations in climate affect the environment, which, in turn, impact upon the planning for growth?

500 0 1900

1920

1940

1960

1980

2000

years

Figure 1. Increase of the number of hydro-meteorological events along twenty century by decade data (ISDR, 2005).

3.1 The pressure that society exerts on the environment

Climate variability has been a major factor in long term human sustainability on the earth. It is well known in history that population movement has occurred due to lack of water or agriculture sustainability (Diamond, 1997). For instance:

This is the scenario where the water and environment are in danger and the impact is on the resource. Development tends to exert pressure on natural resources particularly when: • •

The control of human activities is ineffective; and The impacts of the development are more complex.

The first of these occurs most often in poor and developing countries, where the need for growth and improvement in the quality of life takes precedence over environmental considerations. In the long term, the quality of live is impacted, but decisions are made on short-term issues. The second is much more a problem of more advanced societies, where a great range of products (especially chemical) continues to emerge without sufficient understanding of their complex interactions with the environment of their potential to threaten the improved quality of life that results from the development. 3.2 The impacts of climate variation on society As the demands for water resources of an increasingly sophisticated society increase, together with its requirement that such resources be sustainable,

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•

In Brazil 93% of energy production is from hydropower. In the last 30 years Paraná River mean flow (about 60% of Brazilian energy production) increased about 30%, creating a new level of available firm energy (Tucci and Clarke, 1998). Since this increase could be mainly due to climate variability and could decrease, the system vulnerability is high. • A sequence of bad water years for agriculture without irrigation could be enough to create an important economic stress in a country, which has been the scenario in many countries in Africa after the 70s; • According to the IPCC (2001), it is likely that extreme weather events will increase in frequency and severity during the 21st century as result of the climate variability. Population vulnerability varies with climate conditions. For instance, humid tropics have more intense rainfall that is used in urban drainage which requires more investment for the same level of risk protection of climate outside of the tropics (Tucci, 2001). Since the developed countries are in temperate or cold climates and some of the developing countries are in tropical climates, the lack of funds and prevention in developing and least develop countries increases the inhabitant’s vulnerability;

3.3

assuming that low frequency events will not occur in the decision maker’s term; • Public x professional perception of the risk (Margolis, 1996): Very often it can be seen that the perception of risk between professional and public are in conflict which create a difficult process of decision on the water risk management; • Social, Economical and financial evaluation and decision: Reduction of natural disaster risk usually has high cost, that individual in the population can not afford. Usually it is a public investment and decision is based in social and economic variables taking into account the structural (high cost) and non-structural (lower cost) measures. Public participation should be included in the consultation process of decision making.

Social and economics vulnerabilities: Urban development

Social and economics vulnerabilities are based in the economic, political and institutional development of the societies. Developed countries usually have more funds and sound institutions to deal with hazard events, developing prevention strategies and decreasing the population vulnerability to disasters. The vulnerability increases with poverty and lack of funds, policies, institutions which could minimize the population vulnerabilities. Rees (2002) mentioned four reasons that water risk management has to be developed beyond a good physical science and technology: •

“Risk, in human terms, exists only when humans have a stake in outcomes” (Jarger et al, 2001). The society is always in risk, the measure of the risk and the social and economics investment to decrease the risk is always a decision based on public perception and capacity of investment; • the physical events alone are not the cause of the disasters, but human activity in moving to risk areas, increase the water demand or the pollution of water used for human are the source of the problems; • Physical and hydrologic are only one group of the uncertainties related to risk management; • Relying on technical solutions for protection on high frequency events may increase the vulnerability for low frequency events. The main vulnerability related to social and economic aspects are: •

Poverty is related to the lack of economic sustainability at daily basis, aggravated by occupation of risk areas such hill slopes and flood plains, lack of access to clean water, and adequate disposal of human waste; • Weak Institutional arrangements: most of the developing and least developing countries have weak institutions and decision results in corruption, bad investments, and lack of prevention and mitigation of the disasters events; • Lack of integrated risk water management, which takes into account all the components and uncertainties together with the public perceptions of the risk. Lack of integration can be seen (Rees, 2002) in cost shifting which is the transference of impact in space and time, inequities in risk allocations investments. Very often the poor receives less protection than the others; segmented management usually lead to an specific solution which may be in conflict with others; • Political decision making: Usually the cost of prevention is small compared to disaster scenarios, but there are many decisions made on short-term basis,

The social and economics vulnerability is strongly related to urban development. Most developed countries have its urban population above 75%. In developing countries the urbanisation is smaller (exception of South America which is above 75%) but is moving for high urbanisation. Urban development in developing countries creates a dense population in small areas, poor public transport, lack of some water facilities, and polluted air and water with large vulnerabilities to disasters. Such poor environmental conditions are the main concern for the quality of life in these areas. A major part of this urban population lives in squatter settlements (favelas in Brazil or barrios in Venezuela). Caracas has over 50% of its population in this type of settlement. These slums are built out of cardboard and scrap material in areas which can be flooded or are located on steep hillsides. After a few years, this kind of construction improves and better materials are used, but the settlements are labyrinths of small streets without any planning for water supply, waste disposal and drainage. There are many uncertainties related to climate, human demand, and environment together with complex interactions among these aspects. Some of the main uncertainties related to these aspects are:

230

•

Climate trends have been detected in a number of flow series around the world, and the possible effects of climate change of hydrologic regimes have also been identified (IPCC, 2001); • Soil use has been one of the main concerns on the environment change with consequence on the water systems such as: deforestation, urbanization (flow increase and occupation of flood plains), change in agriculture practices, among others; • Water demand and pollution: increasing population, irrigation and degradation of water quality due to diffuse and point pollution sources and decreasing the available clean water for human, animal and industrial use, together with the supply for

agriculture, conditions for energy production and navigation; • Urban developments are increasing the impervious surfaces, occupation of flood plains and coastal areas, which is increasing and amplifying disasters risks. The increasing social, economics and environment impacts from disasters requires the development of knowledge and actions for prevention and mitigation in order to recover the design risk and decrease the impact of low frequency events, improving the population quality of life and environment conservation. Water hazard is a main international issue for the population and environment sustainability. Management of water related risks has great impacts on the capacity of countries to achieve the Millenium Development Goals (MDGs) (WWF, 2005).

4

INTERNATIONAL AGENDA

Environment concern and investments grew strongly from 1970 onwards in the developed countries. With the 1980s marked by the accident at Chernobyl, society came to see that climate and the factors which influence it must be considered at large, even global, scales. The 1990s were marked by the search for sustainable development strategies. There is widespread concern about water, its uses, and the consequences of the way it is used. In the Plan of Implementation of the World Summit on Sustainable Development (WSSD), held in Johanesburg in 2002, the proceedings highlight the need to “…mitigate the effects of drought and floods through such measures as improved use of climate and weather information and forecasts, early warning systems, land and natural resource management, agricultural practices and ecosystem conservation in order to reverse current trends and minimise degradation of land and water resources”. In Kyoto during IIIo World Water Conference there were many sessions where flood impacts and risk management was discussed and it was one of the main subjects of the Mexico IVo WWC (March of 2006). United Nations General Assembly of 22 December 1989 proclaimed the International Decade of Natural Disasters Reduction (IDNDR) followed by the establishment of High Level Council. Scientific Technical Committee and the secretariat presented the objective as to “reduce through concerted international action, especially in developing countries, the loss of life, property damage, and social and economic disruption caused by natural disasters, such as earthquakes, windstorms, tsunamis, floods, landslides, volcanic eruptions, wildfires, grasshopper and locust infestations, drought and desertification and other calamities of natural origin” (Askew, 1994).

In 1994 the Yokohama World Conference on Natural Disaster Reduction held in Yokohama marked the middle of the decade and stressed some important concepts related to risk assessment, disaster prevention, early warning, vulnerability reduction and mitigation. Through its resolution A/RES/58/214, the United Nations General Assembly convened a World Conference on Disaster Reduction, held in Kobe, Hyogo, Japan, from 18 to 22 January 2005. The Conference was to take stock of progress in disaster risk reduction accomplished since the Yokohama Conference of 1994 and to make plans for the next ten years. The Hyogo framework of actions was an important tangible output of the Conference for future actions and development of the natural disasters mitigation. The gaps and challenges identified on the event were: governance: organisational, legal, and policy frameworks; risk identification, assessment, monitoring and early warning; knowledge managing and education; reducing underlying risk factors; preparedness for effective response and recovery. In this conference declarations was stressed for the relation of disaster reduction to sustainable development, the need for society reduction vulnerability, states responsibility for protection of the society, build resilience and stakeholder participation (UN, 2005). How to move from global goals to actions? There are some initiatives since the 90s on risk management at global levels such as ISDR which has assessed the global impacts and its trends. International Conference on WSSD developed the global goals and other conferences have developed the connections of goals and process what should develop at international level for risk management related to natural disasters (see above). The main need is how to implement the main actions at regional and local levels. WSSD proposed the development of water plans at the country level in order to implement Integrated Water Resource Management to achieve the millennium development goals (MDG). Water plans still have a broad definition and have been understood as a set of principles on water that the country should develop in order to meet the MDG. Water Plans could be developed taking into account the four E’s: Engineering, Economics, Environment and Efficiency. How to develop knowledge and capacity building? It is important that some international institutions develop knowledge and capacity building in order to cope with the aspects of risk management.The UN system relies on donors from developed countries which usually have some part of its budget to support the international agenda. However, the way international cooperation is done does not always result in improved solutions. The activities are developed for international and donor’s country professionals which usually do not have good knowledge of local realities. The main action could be in developing skills for the local

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Assessment, Monitoring and early warning: identification of risk areas; increasing the monitoring of natural variables, develop indicators, and prepare an early warning system. Prevention and resilience: Develop plans for vulnerability reduction and prevention of events.

professionals to learn and develop their own solutions for local realities. 5

REGIONAL AND LOCAL: SOUTH AMERICA

In South America the perception and management of risk has been strongly related to vulnerability to natural events. Some of the main distributions of risks related to natural disaster in the regions are: •

Along the Pacific Coast and Andes the main natural disasters are related to earthquakes, storm surge, snow avalanche, mud flood, land slide and flash flood; • Floods along most of the rivers with important impacts on La Plata River: Paraná, Uruguay and Paraguay due to large flood plains and its population and soil use; • Drought in major areas of regions such as Northeast of Brazil, east of Paraná and Paraguay River and some coast areas of Pacific. • Urban drainage floods in most of the cites as consequence of lack of urban planning and governance; Some of main issues at regional levels are related to the following: •

Lack of governance: in most countries there are not policies related to risk management for natural disasters and the institutions are very weak in capacity building structure, funds, among others. Some of policies and strategies are developed just after a major or a sequence of important events and the capability to deal with disasters decreases with time. In this scenario most of the policies has been effective for high frequency and less efficient for rare events. • Risk identification: there is a very poor monitoring of natural variables and early warning. It varies from country to country and to the type of natural disasters. • Knowledge and capacity: Since the governance is very weak, there is often a lack of information and lack of prevention; there are not incentives to develop knowledge or capacity to deal with these types of events. • Preparedness and resilience: The majority of the population in risk areas are poor with high vulnerability and without resilience. After each event these populations rely on public non-refundable funds to improve its capacity of recovery.

6 WATER RESOURCE RISK MANAGEMENT FRAMEWORK The technological developments of recent decades have resulted in a significant increase in the quality of life for one part of the world’s population. Most of the remainder have yet to benefit from these developments and the thrust of international assistance is to bring this about. Some of the main challenges to society arising from the evolution of technology are discussed in the following sections. The Framework of water risk management is described in figure 2 and is based on the source or cause of risk: Climate change and variability, Social and economics vulnerabilities; actions do reduce vulnerability: Governance, risk identification, knowledge and capacity building, improve prevention and resilience; and the main overall goals: reduction on losses and vulnerability; improve population safety and quality of live, environment conservation, reduce uncertainty on economic sectors: agriculture, energy and transport such as navigation. 7

OUTLOOK ON WATER RESOURCE RISK MANAGEMENT

The main challenges for WRRM were described above and the main line of actions are described below. 7.1 Environment sustainability The pressure that society exerts on the environment is strongly related to environment movement which has been sufficiently covered by many institutions at international and regional level. Usually the component which is not taken into account is the associated risk of natural disasters on the environment. The main opportunities for the assessment of risk management of environment sustainability are:

The main objectives for improvement at regional and local levels are: Governance: develop a policy for natural disasters inside of the water plans; strong institutions, capacity building and research;

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•

Synergic or integrated environment impact of water resource development in a basin and its coastal environment: changing in flora, fauna and population due to combination of water uses and works. • Strategic environment risk management in basin plans: strategic environment development is the actual development decision making process developed in order to develop sustainable economical

Causes

Goals

Actions Governance

Climate variability

Social and economics vulnerabilities

Society pressure on the environment

Reduction of losses and Vulnerability

Risk identification

Improve population safety and quality of live

Knowledge and capacity building

Environment conservation

Improve Prevention and Resilience

Reduce uncertainty on economics sectors: agriculture, energy and transport

Figure 2. Water risk management Framework.

development compatible with environment conservation and mitigation. 7.2

Climate variability and sustainability of water resource systems

The main impact in using non-stationary series in water resource engineering is the increase of the uncertainty of the water investments. River flow forecasting can be used to decrease the uncertainty and the risk of the water resources uses and conservation. Climate variability and the sustainability of water resources systems usually has been studied mainly inside of the climate change agenda, which is significant for future scenarios, about 50–100 years in the future, and it is likely to be in development in the short term. However, it can be seen that independent of the long term climate change or variability scenario, median and short term are very important in the design and management of water systems related to things such as agriculture planting, hydroelectric energy and river navigation. Energy and agriculture products already have hedging in the Chicago market based on median term variability of temperature. In the last 30 years large parts of Africa had rainfall below the mean which created a lack of human economic sustainability in the continent. In La Plata Basin in South America there was an increase in the flow and energy and agriculture production. This interdecadal variability is essential for human sustainability in the space. The engineering design was based in stationary historical records which increase the risk of water resources systems delivered to its planned outputs. There is a need for development of non-stationary methods on design of water resources systems.

This is an important field of development for water resources where prediction scenario is a future condition without a defined date (for instance, climate change) and forecast scenario is a future condition with defined date in the short term (few hours to about 14 days) and long term (of about 1 to 9 months in the future) (Georgakakos and Krysztofowicz, 2001). Usually a short-term flow forecast is always linked mainly to flood forecast and management, but there are many other uses which require a forecast such as: navigation in rivers where the load transported is dependent of the flow depth in unregulated rivers; irrigation and water supply and; integrated water uses such as floods and hydropower. Long – term flow forecasting has been used to describe the methods used to forecast flow in seasonal systems (Villanueva et al, 1987; Druce, 2001), but after the use of climate models (Tucci et al 2002) or empirical and probabilistic relationship among climate variables and flow (Anderson et al, 2001) this forecast has been improved. Long-term forecasting can decrease the uncertainty of the economical evaluation of some commodities related to water resources such as: planning energy price in the system where hydropower has an important share of the production in such countries as Brazil (∼ 91%), Uruguay, Canada, and Norway among others; agriculture production for non-irrigated areas and; management of water conflicts.The framework of development knowledge on this component is presented in figure 3. The main opportunities assessed on climate change and variability related to risk management is the following:

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•

Inter-decadal variability and sustainability of agriculture and energy of some regions;

Short term forecasting

Hydrologic processes

Natural disasters

Hydrologic monitoring Climate and weather processes Climate and weather monitoring

Long term forecasting

Agriculture Energy

Physical system: geology, soil, etc

Information

Prediction of Climate scenarios

Processes

Assessment

Navigation Environment Vulnerability reduction

Figure 3. Framework for risk management related to climate change and variability. •

Effect of Climate change on the variability on extreme events (floods and draughts) in urban developments; • Short-term forecast for warning on extreme events, security of population and works, operation of dams and hydraulics systems and navigation; • Long term forecast for commodities markets such as energy or agriculture and long term planning; • Planning and design of water resources development and management based on non-stationary hydrologic series. 7.3

Social and economics vulnerabilities

Social and economic vulnerabilities are mainly aggravated by urban development in coastal cities. Urban population is increasing and scenarios of developing countries such as in South America (urban population above 75% in all countries) is happening in Central America and other regions in which the urbanisation is moving above 50% of the total population. Lack of urban planning, governance and technical updating on urban drainage (floods), high water demand and pollution (water & sanitation stress and droughts), environment impact on water sources has been the main cause of the increased vulnerability. The opportunities for risk management assessment are: •

Indicators of extreme events such as flood and droughts which take into account the social, economical and climate vulnerability related to the event for the potential conditions of an area. This type of indicator allows the decision makers to

assess comparative conditions and make decisions for investments; • Integration of indicators of urban development and vulnerability to floods, regulation and governance; • Development of regional and global assessment on risk aversion or public perception of risk in water management. It has been a main aspect of decision support processes at different levels. 7.4 Water Plans, Integrated water resource management and risk management The main trends and water resource management on this scenario has been international goals and the MDG for poverty. Reduction of poverty is related to supply of secure water and sanitation and reducing vulnerability of the poor population. The international community has discussed the Water Plans as instrument for in achieving these goals. The Water Plans has as main combination of tool the Integrated Water Resource Management, discussed in many papers in GWP series (GWP, 2000; GWP, 2003; Rees, 2002; Jonch-Clausen, 2004). The main discussion is how to move from general principles to objective action with specific goals in each country or region. Usually there are the following stages of water resource development in the countries, as described in table 2. In the first stage of governance water resource is developed by sectors without a national integrated legislation on water resource. In this scenario water related disasters are not managed, there are only funds that help for relief when events happen. In the second scenario, national legislation on water resource management exists that has mainly instruments for water

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Table 2.

Governance in water resource management.

Stage

Characteristics

Previous

• Without integrated water legislation; • Water resource developed by economic sectors such: urban water and sanitation, energy, agriculture, transport, environment conservation • National integrated water resource legislation is approved • Regulation of the national legislation • Implementation of national institutions: agencies and Councils • Basin committee as space decentralisation • Regulation of sectors: water & sanitation; energy, agriculture; taking into account the integrated legislation in water and environment • Long term Economic Sustainability of the system • Plans: National, regional and basin plans • Implementation

Transition

Decentralisation

Development of Plans and actions

use and distribution. In the third stage, when there is a decentralisation of water resource management, natural disasters such as floods and draughts start to have support due to public participation and assessment of the population needs at local levels. The main opportunities of development for this component are: •

Develop studies in order to suggest risk management aspects of the integrated national legislation and regulations; • Develop knowledge in order to support risk management aspects in the development of water resource plans. 8

CONCLUSIONS AND RECOMMENDATIONS

Human development in recent decades has become more sophisticated due to the increase of population pressuring the natural systems, increases in international economical and resource interdependence, new technologies and needs. This scenario increased the population vulnerabilities to natural and anthropogenic disasters. In the past, a flood or drought would have space and limited impact, but nowadays this events may create vulnerabilities which could spread to other regions such as production reduction and price increases in agriculture commodities, energy (electric and oil), economic impacts reflected in the markets, among others. The main sources of the risks and vulnerability are climate change and variability of the natural systems, and social and economic development of the regions. Understanding the interactions of these conditions is the challenge in modern society and necessary

in order to decrease the risk and develop sustainable approaches for the population and environment. Risk is part of human lives and the sophistication of the impacts and interrelation of modern society shows that risk is increasing, while the perception and knowledge of the integrated impacts remains low. REFERENCES Askew, A.J. (1997). Water in the International Decade for Natural Disaster Reduction. In: Desctrictive Water: Water Caused Natural Disasters, their Abatement and Control Leavesley, G.; Lins, H.F.; Nobilis, F.; Parker, Randolph S.; Schneider, V.; van de Ven, F.H.M. (eds), IAHS Publications. Bogardi, J. (2002). Hazard, Risk and Vulnerability: a New look on the Flood Plains. International workshop on Water Hazard and Risk Management. January 20–22, 2004. Tsukuba, Japan. DHA (1992). International Agreed Glossary of Basic Terms Related to Disasters Management. United Nations Department of Humanitarian Affairs, Geneva. DHA (1994). Disasters Around the World – a Global and Regional View. Information pap n. 4 World Conference on Natural Disasters Reduction. Yokohama May 1994. Druce, D.J. (2001). Insights from a history of seasonal inflow forescating with a conceptual hydrologic model. Journal of Hydrology, 249: 102–112. GWP (2000). Integrated Water Resource Management TAC Background paper n. 4 Global Water Partnership. GWP (2003). Poverty reduction and IWRM. TAC background paper n. 6. Global Water Partnership. ISDR (2005) Introduction – International Strategy of Disaster Reduction http://www.unisdr.org/disaster-statistics/ introduction.htm IPCC (2001). Climate Change 2001: Impacts, Adaptation and Vulnerability. A Report of Working Group II of Intergovernmental Panel on Climate Change. Jarger, C.C. et al (2001). Risk, Uncertainty, and Rational Action. London: Earthscan Publications.

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Jonch-Clausen, Torkil (2004). Integrated Water Resource Management and Water Efficient Plans by 2005. TEC Background Water Management n. 10 GWP Global Water Partnership. Estocolmo. Margolis, H. (1996) Dealing with Risk. Chicago: The University of Chicago Press. OEA (1990). Disasters, Planning, and Development: Managing Natural Hazards to Reduce Loss. Department of Regional Development and Environment Executive Secretariat for Economic and Social Affairs Organization of American States. Washington. Rees, J.A. (2002). Risk and Integrated Water Management. TEC Background Water Management n. 6 GWP Global Water Partnership. Estocolmo.

Tucci, C.E.M. (2002). Variabilidade climática e uso do solo na bacia do rio da Prata. ANA Agência Nacional de Águas Pluviais. Tucci, C.E.M., Clarke, R.T. (1998). Environmental Issues in the La Plata Basin. Water Resources Development, 14(2): 157–173. Tucci (2005). Programa de Drenagem Sustentável: Apoio ao Desenvolvimento do Manejo de Águas Pluviais. Ministério das Cidades do Brasil. UN (2005). Proceeding of World Conference on Disaster Reduction. ISDR Kobe January 2005. WWAP (2005). Managing Risks - World Water Assessment Programme www.unesco.org/water/wwap/facts_figures/ managing_risks.shtml

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Mitigating urban flood disasters in India Kapil Gupta Department of Civil Engineering, Indian Institute of Technology Bombay, Powai, Mumbai, India

ABSTRACT: Flood disasters are now affecting a large number of people living in urban areas in the developing world. Major cities in India have witnessed loss of life and property, disruptions to transport and power and incidences of epidemics during the monsoons, most notable amongst them being Mumbai in 2005, Surat in 2006, Kolkata in 2007 and Jamshedpur in 2008. A special feature in India is that heavy rainfall occurs mainly during the monsoon, for four months from June to September, hence unique solutions and approaches are needed for Indian cities. The annual disasters from urban flooding are now much greater than the annual economic losses due to other disasters. This paper focuses on three main aspects: (i) the increasing incidences of urban flooding in India, (ii) the mitigation measures being taken using Mumbai as a case study, where floods cause disruptions at least twice a year on an average, and (iii) the national guidelines and manuals being formulated by the Government to mitigate urban flood disasters in the major cities and upcoming towns and cities in India. Keywords: Disasters: flood, guidelines; Mumbai: mitigation: urban

1

INTRODUCTION

Flood disasters are now affecting a large number of people living in urban areas in India. Many cities in India have witnessed loss of life and property, disruptions to power, transport and communications and incidences of epidemics during the monsoons, most notable amongst them being Mumbai in 2005, Surat in 2006, Kolkata in 2007 and Jamshedpur in 2008. Major cities in India like Mumbai, Hyderabad, Bangalore, Delhi and Pune are now major international hubs for Business Process Outsourcing (BPO) for major international organisations. Operations of some major international organisations were severely affected when these cities were flooded recently. It is therefore necessary to keep the urban centres operational 24 × 7 and minimise the disruptions, damages and subsequent losses to the global economy due to flooding through proper planning and enforcement. The annual disasters and consequences that result from urban flooding are now much greater than the annual economic losses due to other disasters. Non-structural flood mitigation measures such as flood proofing and improved flood warning systems have been found to be more effective in contributing significantly to flood damage reduction, for example, in Dhaka (Faisal, et al, 1999). The analysis of urban flooding problems and development of technical solution for flood alleviation schemes have been carried out using the Danish model MOUSE to simulate urban flooding in Dhaka City (Apirumanekul and Mark, 2002). In Bangkok, a flood

forecasting system integrating information from radar, raingauges and hydrologic forecasting techniques have been implemented in real-time (Chumchean, et al, 2005). This paper reviews three main aspects: (1) population growth, urbanisation and it’s implications for drainage and flooding in urban areas, (2) the wide variability of rainfall in India, climate change and it’s implications for future drainage in the cities, and (3) measures being taken at the national level for the future so that new urban centres quickly recover from flooding incidences through adequate flood disaster mitigation measures. A case study of the 26th July 2005 severe (944 mm in 24 hours) flooding event in Mumbai and the flood management measures being taken up by the city to mitigate such floods in the future is also presented. 2

POPULATION GROWTH, URBANISATION AND IMPACTS ON DRAINAGE

India has been undergoing rapid urbanisation since independence. The total population of India at the time of independence in 1947 was about 270 million, increasing to 1027 million in 2001 of which the urban population was 285 million. There are now over 108 million people living in 35 metropolitan cities (or “metros”, defined as having a population of one million or more) and these are listed and ranked by population in Table 1. The average annual rainfall for the major cities in India is also shown in Table 1.

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Table 1. Top 20 urban agglomerations/cities having a population of more than one million in 2001 and their rainfall (compiled from census of India, 2001; IMD, 2007). Rank

Urban agglomeration/ city

Population

AAR (mm)

Rainfall (June–Sept) (mm)

% Rainfall (June–Sept)

State

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Mumbai Kolkata Delhi Chennai Bangalore Hyderabad Ahmedabad Pune Surat Kanpur Jaipur Lucknow Nagpur Patna Indore Vadodara Bhopal Coimbatore Ludhiana Kochi

16 368 084 13 216 546 12 791 458 6 424 624 5 686 844 5 533 640 4 519 278 3 755 525 2 811 466 2 690 486 2 324 319 2 266 933 2 122 965 1 707 429 1 639 044 1 492 398 1 454 830 1 446 034 1 395 053 1 355 406

2504 1614 797 1267 970 805 800 722 1207 792 669 1015 1113 1130 960 871 1147 612 775 3099

2302 1216 673 410 523 613 766 546 – – 594 896 963 941 – – 1054 – – –

96 75 84 32 54 76 96 76 – – 89 88 87 83 – – 92 – – –

Maharashtra West Bengal Delhi Tamil Nadu Karnataka Andhra Pradesh Gujarat Maharashtra Gujarat Uttar Pradesh Rajasthan Uttar Pradesh Maharashtra Bihar Madhya Pradesh Gujarat Madhya Pradesh Tamil Nadu Punjab Kerala

Note: 15 more million plus cities are (in order of decreasing population) Visakhapatnam, Agra, Varanasi, Madurai, Meerut, Nasik, Jabalpur, Jamshedpur, Asansol, Dhanbad, Faridabad, Allahabad, Amritsar, Vijayawada and Rajkot.

The urban population is estimated to exceed 600 million by 2021, spread among more than 100 metro cities; about 55% of the total population will be living in urban areas. It can be seen from Table 1 that there is a wide variability of rainfall in India. For example, Kochi which is located on the coast receives over 3000 mm of rainfall during the monsoon from the Arabian Sea while the other cities receive over 600 mm of rainfall depending on their location and geographical features. What is significant, however, is that over 75 per cent of the rainfall occurs during the four months from June to September (with the exception of Chennai and other cities in the state of Tamil Nadu, which also receives rainfall from the north-east monsoon from October to January). There is a marked impact of globalisation on city growth and most growth is increasingly concentrated in and around dynamic urban areas, large and small. With increased urbanisation, there has been a rapid increase in the impervious surfaces in the cities. The pressures of population have resulted in a gradual encroachment in the low-lying areas and on the banks of the open storm drains. The former holding basins and detention ponds have been levelled and new housing estates have been built on these sites. What were once natural drainage channels now have buildings on their flood plains discharging raw sewage into

storm drainage channels. In a few extreme cases, even multi-storey buildings have been built on the top of the storm drains. The capacity of the drains to carry storm flows has therefore been reduced. This has resulted in increased incidences of urban flooding during the monsoons. There are problems acquiring land for drainage, since most drainage banks are occupied by informal settlements. During the remaining part of the year, the flow is due to the discharge of treated, partially treated and un-treated sewage through the outfalls meant for stormwater discharge, resulting in an accumulation of large volumes of sludge and the formation of sand bars in the mouth of the rivers in the case of coastal cities. These overflows have created significant problems for flood protection systems, stormwater drainage and public health. This population is now increasingly vulnerable to flooding and face greater risk from water-related epidemics. In almost all of India’s cities, developments in the water supply sector have outpaced those in the drainage sector. While the new areas have been receiving increased water supply through pipelines or tankers, these localities do not have adequate sewer systems and it is a common sight in most cities to see raw sewage flowing into the open storm drains. Consequently, these drains lack the necessary capacity to convey the storm water flow during the monsoons

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3000

Jan Feb

2500

Mar Apr

2000

May Jun

1500

Jul Aug Sep

1000

Oct Nov

500

Dec Total

o ky

l To

ou

ai gh an

Se

i ba Sh

um M

nd

on

g

on H

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on

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ko ng Ba

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an rle

ew N

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ap

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s

0

Figure 1. Rainfall of major world cities compared (compiled from World Meteorological Organisation).

and drainage managers are faced with the task of managing the overflowing stormwater combined with wastewater from the highly populated areas for which the existing drains are totally inadequate. Ad hoc measures, such as installing additional pumps to pump out water from the low-lying areas, are quite expensive in the short term and often ineffective, since the power supply is not dependable, particularly during heavy rainfall when power lines are sometimes dislodged. Apart from the poor drainage system, the other major reason for water accumulating is the rising level of roads. Figure 1 shows the monthly rainfall in the major cities of the world. It can be seen that the rainfall pattern and temporal duration in Mumbai is unique – it receives almost all of its average annual rainfall of 2504 mm during June to September – the average rainfall received in Mumbai in the month of July alone is 868 mm which exceeds the annual average rainfall of London of 611 mm. Although Singapore also receives an annual average rainfall of the order of 2150 mm, this is spread more or less uniformly throughout the year. Several catchments in Mumbai experience severe flooding, usually when high tide is preceded by heavy rainfall for three hours. This period of heavy rainfall causes severe disruption to the transportation system and paralyses commercial activities on average at least twice a year; the losses are estimated at €3 million per flooding event. Hence, unique solutions and approaches are needed

for Indian cities subject to high intensity monsoon rainfall. 2.1

Climate change, urban heat islands and rising sea-water levels

It is now well documents that urbanisation leads to an increase in rainfall. Horton (1921) noted thunderstorm formations over large cities while there were none over rural areas; Landsberg (1956) reported a 5–10% increase in precipitation, frequency of rainfall, and number of thunderstorms in large cities compared with adjacent rural areas. The well known Metropolitan Meteorological Experiment (METROMEX) conducted by Changnon et al, (1977) in St. Louis, USA, found that urban effects led to a 5–25% increase in summer precipitation within and 50–75 km downwind of the city. This can be very well explained by the Urban Heat Island (UHI) effect – the rising heat induces cloud formation while the winds interact with urban induced convection to produce downwind rainfall. From an urban planning perspective, the urban heat island effect induces a chain of events comprising of rising temperatures, increased use of air-conditioners, and therefore increases the convection over a city and hence increase in rainfall over the city. Modified temporal and spatial rainfall patterns in major urban areas have important implications for urban drainage and flood mitigation and these effects needs to be taken into account tin the

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planning process. In India, urban heat islands over Pune and Madras (now Chennai) have been reported by Deosthali (2000) and Sundersingh (1990) respectively. Global climate change is resulting in changed weather patterns and increased intensities of rainfall, in lesser number of rainfall events, over urban areas during the monsoons. There has been an increase in the average annual rainfall of Hyderabad from 806 mm in 1988 to 840 mm in 2002 (Gupta, 2006). Coastal cities are now facing a new threat: that of rising sea-water levels. Major causes are well known: global climate change, global warming due to increased CO2 emissions, increased storminess – more rainfall in lesser time, natural and human induced land subsidence – sinking of land due to excessive pumping of coastal ground water aquifers, urban heat island effect, and reclamation of low lying/coastal areas. Other factors such the 18-year tidal cycle tides, population growth, urban economic growth, regional temperature variations, atmospheric conditions, sea currents, and undersea and shoreline topography are also known to contribute to this phenomenon. This has resulted in increased concern in recent years, mainly due to the high density of population in coastal cities like Mumbai, Shanghai and Jakarta – a large number of people are at risk from flooding and monsoon storms. Incidences of submergence of low-lying areas and reclaimed coastal areas, increased erosion of coastlines, water flowing further inland during high tide, contamination of fresh groundwater sources due to saline water intrusion into coastal aquifers which in turn is due to excessive pumping of coastal aquifers. We are already witnessing the displacement of people and the loss of livelihood of the people, mostly belonging to the lower strata of society. The UN climate science network has reported that seas rose by a global average of 0.3 cm annually from 1993–2003; compared to 0.2 cm during 1961–1993. The Chinese administration has reported in January 2008 that the seas off the business hub of Shanghai have risen by 11.5 cm over past 30 years and the sea-levels have risen by an average of 9 cm over 30 years on the China coast. Similarly, the Jakarta flood crisis centre in Indonesia has reported that flooding in Jakarta caused thousands of passengers to be stranded at the airport due to submergence of the highway to the airport in November 2007. The water was reported to be 7 m deep and washed more than 1.6 km inland. Future strategies should recognise that sea level rises worldwide cannot be reversed (Herweijer, et al, 2008). The only alternative is to have increased investment in flood defences. The planning criteria should be based on the large population pockets that might be exposed rather than simply the area of land being exposed to the sea. The flood vulnerability maps should be upgraded to at least 1 in 100 year events. New infrastructure (building and flood defences) in

coastal cities must be constructed with protective measures against rising sea-water levels. Building codes should be amended to take into account climate change effects and we must develop away from high risk areas. Planners must take measures to adapt to the change. For example, the Municipal Corporation of Greater Mumbai is now carrying out feasibility studies to install flood-gates in combination with high discharge pumps at several of the hitherto ungated sea outlets. Another proposal being considered is to make stilt construction mandatory in high risk areas. In some chronic flooding spots, people are being provided with alternative accommodation in safe areas. With proper planning we can reduce exposure of key infrastructure by 90% and population exposure by 60%. 3

MUMBAI FLOODING CASE STUDY (944 mm in 24 hours)

Mumbai, formerly Bombay, (lat 18◦ N to 19.20◦ N, long. 72◦ E to 73◦ E) is the capital of Maharashtra state of India and the commercial and financial centre of India. It generates about five percent of India’s GDP and contributes more than 25% of the country’s tax revenues. During the past five years, Mumbai has also become a centre for Business Process Outsourcing (BPO) for major international organisations. The city of Mumbai has developed as a result of continuous reclamation of the sea between the seven islands (Figures 2 and 3) since 1661 and today occupies a total area of 437 km2 . The city is strongly oriented in a north-south direction. The drainage system of Mumbai is a mix of simple drains and a complicated network of rivers, creeks, drains and ponds. A network of closed drains below the roads has evolved in the city – the roads have evolved by covering the old drains in the city whilst there are open drains in the suburbs. The southern city area has long complex networks which drains relatively large low-lying areas, while short drains from small areas drain directly to the sea. There has been rapid and uncontrolled growth of the city; the influx of migrant workers has partially resulted in the sharp population increase from 9.9 million in 1981 to 13.0 million in 1991 and 17.7 million in 2001. Mumbai’s population is projected to reach 25 million before 2025. A majority of the population resides in the suburbs in the north and commutes to the city located in the south. The rail network constitutes the lifeline of the city and over six million people are transported daily by Mumbai’s suburban railway system alone – this is almost 50% of the total number of passengers travelling daily by train in India. There are a large number of vulnerable informal settlements, many of them located on the flood plains of the Mithi River and the open storm water drains. About 65% of the Mumbaites live in informal settlements and over

240

Figure 2. Mumbai Metropolitan region (Source: Mumbai Metropolitan Development Authority).

2,768,910 structures – residential, commercial and industrial – are listed with the Municipal Corporation of Greater Mumbai (MCGM). The average annual rainfall of Mumbai is 2504 mm. 70% of this occurs in July and August and 50% of this occurs in just 2 or 3 events. It has been observed that during severe flooding/inundation, it rains almost uniformly over the city. Inundation depths of 0.5 m. to 1.5 m. are common in low-lying areas. The municipal area is highly susceptible to frequent flooding and witnesses severe disruptions annually. Thus, any

disruption due to flooding results in economic and social disruption – loss of livelihood to the individuals and loss of business to commerce and industry. In addition, this area falls in an active seismological zone. 3.1

Flooding event of 26th July, 2005 (944 mm in 24 hours)

The Santa Cruz observatory at Mumbai airport recorded 944 mm during the 24 hours ending at 0830 on 27th July 2005 while the Colaba observatory

241

Figure 3. The Mumbai city island showing the original seven islands and subsequent physical growth of Mumbai (Government of Maharashtra, 2006).

recorded only 74 mm of rain (Jenamani, et al., 2006). The 26th July 2005 event has been classified as “very heavy” (>200 mm/day as per the criteria for rainfall classification of the India Meteorological Department (IMD)). The event has been attributed to a highly localised “offshore vortex”. The rainfall hyetograph for the 26th July 2005 event is shown in Figure 4. From the figure it can be seen that at Santa Cruz, heavy rainfall started at 1430 with 481.2 mm falling in just four hours between 1430 and 1830 and hourly rainfall exceeding 190 mm/h during 1430 to 1530.

The extremely high rainfall resulted in overflows from the already inadequate drainage system and it was unable to drain out to the sea because of the maximum high tide level of 4.48 m at 1550 on 26th July 2005. The IMD was unable to monitor this extreme rainfall event and issue warnings in real time. This has been attributed to the lack of state-ofthe-art equipment like tipping bucket rain gauges with the IMD. IMD has only two rain gauges in Mumbai and both are of the conventional syphonic type which record data on graph paper attached to

242

200.0

190.3

180.0 Rainfall intensity (mm/hr)

160.0 140.0 120.0 100.2

100.4

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0.0

Time Figure 4. Hyetograph of 26th July 2005 rainfall- 24 hours ending 0830 on 27th July 2005 (source: IMD, 2005).

clockwork-driven drums.They are read only once daily at 0830. Over 60% of Mumbai was inundated to various degrees and the city came to a complete halt (Gupta, 2007). At least 419 people (and 16,000 cattle) were killed due to the ensuing flash floods and landslides in Mumbai municipal area, and another 216 due to flood related illnesses. Over 100,000 residential and commercial establishments and 30,000 vehicles were damaged. A substantial number of buildings were damaged – 2000 residential buildings were fully damaged while 50,000 were partially damaged and 40,000 commercial establishments suffered heavy losses. 30,000 vehicles were damaged and 850 buses of the Mumbai Transport were damaged. Some vehicle occupants lost their lives because they could not open their power windows as their car engines went dead after being submerged in flood waters. The immediate impact of the heavy rainfall was that there was a total collapse of the transport (rail, road and air) and communication systems. Both the Mumbai Santa Cruz airport used for commercial flights and Juhu airport used mainly for helicopter operations had to be closed down for two days on 26–27 July, 2005. The highways, major roads and arterial roads were severely affected due to waterlogging and traffic jams resulting from breakdown of vehicles in deep waters. Intercity train services had to be cancelled for over a week, while suburban trains, which are the lifeline of the city, could not operate from 1630 onwards for the next 36 hours. The mobile phone network also collapsed; the transmitters had diesel generators to last only two hours and the fuel

could not be replenished due to failure of transport; over two million landline phones were also affected. Electricity too was cut off in most parts of Mumbai – this resulted in the failure of sewage pumps and further led to backflow of sewage into the stormwater. Excessive rainfall resulted in waterlogging in several areas of the suburbs, with water entering first floor flats in some areas. 3.2

Post-flood measures

As thousands of people had to wade through sewage waters on 26–27 July, 2005, the risk of epidemics of water-borne diseases such as gastroenteritis, hepatitis, leptospirosis, malaria and cholera was high. To prevent an outbreak of epidemics, 6307 carcasses were disposed of on a priority basis by the staff of the MCGM – these included 1307 buffaloes and 5000 sheep and goats. The removal of the carcasses was facilitated by employing 27 cranes, 87 dumpers and 24 bulldozers during 27–30 July 2005. In addition, extensive spraying of disinfectants and insecticides to control pests and minimise flies and mosquitoes was undertaken. MCGM also provided comprehensive healthcare services through 130 specially constituted medical teams and over 300,000 patients were treated virtually at their doorstep through health camps and outreach camps. 253,612 metric tones of solid waste which had accumulated in various parts of the city was removed by employing 107 bulldozers, 438 dumpers and 511 compactors during 29th July to 21st August 2005.

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Table 2.

Main causes of flooding in Mumbai (FFC, 2006).

S No.

City area

Suburban areas

1 2 3 4

Low ground levels Siltation of drains/nallas Obstructions of utilities Low Level of outfalls

5 6

Dilapidated drains Urbanisation and loss of holding ponds

7

Increased runoff coefficients

Low ground levels Siltation of drains/nallas Obstructions of utilities Encroachment along nallas Slums along outfalls Garbage dumping in SWDs/Nallas mainly in slums No access for desilting

3.3

4.2 Emergency control centre

Chitale committee (2006)

This event has served as an eye-opener for the planners and it has indicated the perils of rapid development in highly concentrated urban areas. A fact finding committee was set up by the Government of Maharashtra to identify the cause of floods and to recommend measures for the future. The Chitale committee reiterated the causes of the flooding as mainly the inadequate drainage system, rapid developments and loss of holding ponds, encroachment by the slums on and over the existing drains and decrease in the coastal mangrove areas (Table 2). The Mithi River in the north has been reduced to an open drain due to severe encroachments and discharge of industrial effluents into the river. Nearly 54 percent of the original river flow has been lost to development (for example slums and roads on the flood plains). The new sea-link has also reclaimed the mouth of the river by about 27 hectares of landfill. Other rivers in the northern suburbs which overflowed are the River Dahisar and the River Poisar. The committee recommended preparation of detailed contour maps of all watersheds, stream gauging, installation of automatic rain gauges by the IMD, regular maintenance and desilting of the existing drains, removal of obstructions and provision of additional gated outfalls/pumping stations and holding ponds. Further, it recommended that the BRIMSTOWAD report be revised to take into account 100 mm/hr rainfall for the major roads and critical structures in the city. 4 4.1

of the ward. A new Mithi River Development Authority has been set up by the Government of Maharashtra State to look exclusively into the restoration of the Mithi River to pre-development conditions. In addition, all development works in the city, especially those affecting the drainage paths and holding ponds, which are carried out by central government organisations would now require clearance from the MCGM. Rainwater harvesting has been made compulsory for development on areas greater than 1000 m2 – this would ensure that no additional runoff reaches the drains from new developments.

ENHANCEMENT OF THE FLOOD RESPONSE MECHANISM Institutional mechanisms

Several institutional mechanisms have been strengthened – the Mumbai Disaster Management Committee in now headed by a very senior bureaucrat, the MCGM Disaster Management Committee is headed by the Municipal commissioner and the Ward Disaster Management Plan is headed by theAssistant Commissioner

The emergency control centre of the MCGM has been upgraded at an estimated cost of US$ two million and now has been made self-sufficient to withstand and handle most disaster situations. It has an array of communications systems, television sets tuned to major news channels, networked computer systems with disaster management related software, video conferencing setup, conference and press rooms, emergency water supplies and rations and uninterruptible power supply with standby generators. 4.3 Development of real-time flood warning system based on automatic weather stations Independent of the recommendations of the Chitale committee, the MCGM had already initiated the procurement and completed the installation of 30 automatic weather stations by June 2006 (under the expert advice of the author). The weather station included tipping bucket raingauges capable of giving rainfall data every minute. The weather station also has a console capable of giving an audible alarm at preset rainfall intensity values (in this case when the rainfall exceeded 40 mm/hr). The weather stations have been spread out on a more or less uniform basis in the city so as to provide representative rainfall data over most of the catchments in Mumbai. Considering the safety of the instrument (protection from vandals) and the fact that the fire and rescue services are the first respondents, the weather stations have been sited on the top of the fire stations in each ward area. The other weather stations have been located at the MCGM headquarters where the emergency control centre is located, and one each in the catchments of Powai Lake (at IIT Bombay), Vihar Lake (MCGM water intake) and Tulsi Lake (MCGM water intake). During monsoons 2006–07, it has been possible for the duty officer at each location to monitor the rainfall every 15 minutes and issue alert too the central control room. As compared to earlier years when real time data for rainfall was not available, this has resulted in a substantially enhanced response mechanism and judicious deployment of resources to the waterlogged areas. It has also

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Rainfall Data (From tipping bucket Rain-gauges)

Catchment Details Chronic flooding spots

Flood Level History

Internet

Computer Model at EOC (Data Processing Subsystem)

Data Dissemination Subsystem

Flood Forecast

Alerting System (Cell Phones/Mass media/Web)

Municipalities, Transport Authorities, Public

Figure 5. A flood warning system for mitigating urban flooding in Mumbai (Gupta, 2004).

enabled the MCGM to issue warnings to the public on an hourly basis through mass media. The schematic for the early warning system is shown in Figure 5. Levels of risk are presently defined on the basis of threshold of rainfall intensities, for example, for a rainfall intensity exceeding 40 mm/h value, a “risk warning” would be issued by the MCGM and rescue teams would be put in alert mode. For rainfall hourly intensity exceeding 40 mm/h, the rescue teams would be sent to the severely affected areas. These thresholds are proposed to be refined in the future based on flow measurements after the procurement of flow gauges which have been installed at the Mithi River in June 2008. The flood disaster management plan (in the form of do’s and don’ts) has also been disseminated regularly through mass media and pamphlets in educational institutions. 4.4

Removal of solid waste from stormwater drains

To prevent clogging of the stormwater inlets, a ban on plastic bags less than 50 microns has been enforced. Enhanced desilting of drains, clearing of blocked inlets and deployment of manpower at critical locations on 24 hour basis has also been carried out. A significant achievement has been the restoration of the width of

the Mithi River to between 7 m to 35 m at various locations through removal of encroachments from the river banks. 4.5

Response mechanisms

For enhancing the search and rescue operations, six fire brigade control rooms have been upgraded to command centres with state-of-the-art equipment and increased manpower. MCGM has also constituted three search and rescue) “Task Force One” comprising of 26 members each from various disciplines. They have undergone training in collapsed structure search and rescue, confined space search and rescue, rope rescue and medical first response. Their training has been based on the United Nations’ INSARAG (International Search and Rescue Advisory Group, Switzerland) and the ADPC (Asian Disaster Preparedness centre, Bangkok) guidelines. These teams have also been equipped with six inflatable boats and 12 kayaks. In addition, there has been an agreement with the navy to deploy boats in seven low-lying areas. The hospitals form the backbone of any emergency response and measures like shifting of medical equipment and wards to higher floors, deployment of additional medical and paramedical staff and

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establishment of additional trauma care centres at various hospitals in the city have been implemented. The following additional measures have also been implemented: 1. To prevent a recurrence of stranded vehicles which was seen during July 2005, 84 parking spots have been demarcated for people to park their cars in the event of severe rainfall. 2. 120 temporary shelters for stranded people have been identified as temporary shelters for stranded people – these comprise of five schools in each of the 24 wards. 3. Additional pumps have been installed in 40 high risk flood prone areas with manpower on 24 hour standby. 4. Involvement of home guards, various voluntary organisations has been enhanced. 5. A comprehensive disaster management plan has been updated (MCGM, 2008) and includes most of the above points. This event has resulted in Mumbai setting up a much better response mechanism based on real-time monitoring of rainfall at 34 locations in the city to handle recurrences of similar events in the future. The Central Water Power Research Station, Pune is currently (2007–09) in the process of preparing a detailed scale model for carrying out the hydraulic model studies for the Mithi River. This model is intended to provide a basis for long-term planning of Mumbai taking into account the impacts of climate change and sea-level rise. It would also help in identifying the tidal impact on the flooding and estimate the extent of inundation of low lying areas through the progression of low and high tides. Concurrently, another study (BRIMSTOWAD-II) with design rainfall intensity of 100 mm/h has been commissioned by the MCGM to revise the earlier BRIMSTOWAD study (1993) which was based on design rainfall intensity of 50 mm/h. The results of this study are intended to recommend various structural, non-structural and pumping options for Mumbai city for the long-term and an amount of 200 m. Euros has been allocated for implementing these measures. 4.6

Decongesting Mumbai

It has been long been realised by planners that Mumbai is overcrowded and Navi (New) Mumbai, perhaps the world’s largest new town, was created in 1970 with the specific purpose of decongesting Mumbai (Vedula, 2007). An autonomous body, the City and Industrial Development Corporation (CIDCO) was formed to develop it. Policy decisions like diverting all offices and industries with an area requirement of 250 m2 away from Mumbai were made. Navi Mumbai has achieved in the past three decades a population of 1.3 million, while the population of Greater Mumbai has increased

by 6 million. Recent surveys have shown that 43% of the city’s population has shifted from Mumbai, the remaining are direct arrivals to the new city. Mumbai’s second international airport (1126 ha) is now being built in Navi Mumbai. 5

MEASURES FOR THE FUTURE

Three major initiatives for urban flood mitigation at the national level are currently in progress. These are: (i) The Jawaharlal Nehru National Urban Renewal Mission; (ii) Development of Guidelines for Urban Flood Disaster Management by the National Disaster Management Authority (NDMA); and (iii) Development of the Manual on Urban Stormwater Drainage by the Ministry of Urban development. The role and objectives of each are briefly described below: 5.1 The Jawaharlal Nehru National Urban Renewal Mission (JNNURM) This urban renewal mission is for revamping the urban infrastructure in 63 cities, mostly with a population greater than 1 million at a total cost of €9000 million during 2006–2011. This includes integrated urban infrastructural development including modern roads, drinking water supply, and sewerage and drainage systems. Twenty percent of this grant will go towards revamping the existing sewerage and stormwater drainage systems. Under the JNNURM, some of the inhabitants residing along the existing storm drains are being offered alternative accommodation in an attempt to restore the drains. 5.2 National guidelines for urban flood disaster management The National Disaster Management Authority (NDMA) has been constituted in 2005 by the Government of India, with the Prime Minister of India as the Chairman, one Vice Chairman and eight Members, under the Disaster Management Act 2005. Under Section 6 of this Act, NDMA is, interalia, mandated to issue guidelines for preparing plans for holistic and coordinated management of all disasters. The guidelines shall form the basis for the concerned Central Ministries/Departments and States/UTs to prepare the National/State Plans. Guidelines are being evolved after a nine step participatory and consultative process which includes detailed consultations with all the stake holders, including government, nongovernmental organisations, academic and scientific institutions, corporate and community at the national level. NDMA has already released national guidelines for management of earthquakes, cyclones, floods and chemical (industrial) disasters. Recognising the

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fact that urban flooding is now a serious problem in India which is increasingly affecting a large number of people in the urban centres of India, country, this subject has been de-linked from (rural) floods to be dealt with separately. The NDMA is now in the process of evolving National Guidelines for Management of Urban Flooding with the involvement of all stakeholders. Various activities in this connection- brainstorming session, national workshop for the 63 million plus cities under JNNURM, formation of core groups and expert sub-groups have already been carried out since August 2007. State-level review meetings are now being held on urban flooding in various states in India to incorporate the needs of the 63 million plus and other upcoming small cities and towns. A review of the present status of urban flood management is currently being carried out in as many cities as possible to identify gaps and challenges and incorporate the needs in the guidelines. The guidelines will focus on incorporating science and technological tools for more effective early warning and monitoring of urban flooding events using state of the art equipment, impact assessment framework, and climate change impacts. It will also address the issues of optimal design of storm water drainage (SWD) systems to handle extreme flooding events, adaptation strategies, management of water bodies, regulation and enforcement, guidelines for new developments, awareness and preparedness, medical preparedness and epidemic control, inert-agency coordinated rescue, response and relief and improved community preparedness, response and mitigation. For efficient flood disaster management, four main objectives have to be achieved: a) warning the people of an impending flooding; b) protecting the existing infrastructure; c) maintaining the transport and communication through the worst possible event (special emphasis on air transport and communications to be 24/7); and d) minimising urban flooding in future cities and suburbs through improved master drainage plans. To better mitigate locations-specific flood disasters, the guidelines will be formulated to address four main categories of cities: (i) located on the coast; (ii) located on river banks; (iii) located on downstream of major dams/reservoirs; and (iv) landlocked with one or more lakes in the city, or a combination of these four. In addition, each city may develop their own city-specific guidelines for handling the flood disasters and mitigation. Mumbai and Surat have already developed their own city specific flood disaster management plans. 5.3

Development of the manual on urban stormwater drainage

An expert committee has been constituted (February 2008) to develop a separate manual on urban storm

drainage by the Ministry of Urban Development, Government of India. 6

CONCLUSIONS

Under the present global economy, where major call centres and other BPO (business process outsourcing) institutions are located in major cities of the developing world, disruption in one city has rollover effects for worldwide business; hence, we cannot ignore flooding in any city as being just a local phenomenon. The present rate of urban development is likely to continue in most of the cities of the developing countries and there is an urgent need to have SOPs in place to mitigate urban flood disasters. When all the resources and infrastructure are concentrated in a very small area, the cities must have a monitoring and response mechanism to handle extreme rainfall events. Future developments in any major city need to have an integrated approach to ensure adequate water supply, wastewater and stormwater disposal systems based on future scenarios and incorporating climate change effects and extreme rainfall events. To survive in a global economy, our urban centres should quickly recover from flooding incidences through adequate flood disaster mitigation measures. REFERENCES Apirumanekul, C. and Mark, O. (2002). Modelling of Urban flooding in Dhaka city in Urban Drainage Modelling-A collection of experiences from the past decade. Census of India 2001 (2001). Urban Agglomerations/Cities having population of more than one million in 2001, Office of the Registrar General, India, Government of India, New Delhi, India, http://www.censusindia.net/ results/million_plus.html Changnon, S.A. Huff, F.A., Schickedanz, P.T. and Vogel, J.L. (1977). St. Louis precipitation anomalies and their impact. Vol 1, METROMEX Final Summary, Illinois State Water Survey, 196. Chumchean, S., Einfalt, T., Vibulsirikul, P., and Mark, O. (2005). To prevent floods in Bangkok: An operational radar and RTC application – Rainfall forecasting, Proceedings, 10th International conference on Urban Drainage, Copenhagen/Denmark. Deosthali, V. (2000). Impact of rapid urban growth on heat and moisture islands in Pune City, India. Atmospheric Environment, 34(17): 2745–2754. Herweijer, C., Nicholis, R.J., Hanson, S., Patmore N., and Muir-Wood, R., Hallegatte, S., Corfee-Morlot, J. and Cahteau, J. (2008). How do our coastal cities fare under rising flood risk?. Catastrophe risk management, April 2008: 12–13. Faisal, I.M., Kabir, M.R., and Nishat, A. (1999). Nonstructural flood mitigation measures for Dhaka City, Urban Water, 1: 145–153. Government of Maharashtra.(2006). Report of the Fact Finding Committee (FFC) on Mumbai floods.

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Gupta, K. (2006). Hydrological Simulation for sizing treatment plant for reducing pollution in Hussain Sagar Lake, Hyderabad (India). J. of the Indian Waterworks Association, 38(2): 15–21 Gupta, K. (2007). Urban flood resilience planning and management and lessons for the future: A case of study in Mumbai, India. Urban Water Journal, 4(3): 183–194. Gupta, K. (2004). An Early warning system for improving resiliency of transport systems in urban areas during natural disasters, Proceedings, World Congress on Natural Disaster Mitigation, New Delhi, 529–532. Horton, R.E. (1921). Thunderstorm breeding spots. Monthly Weather Review, 49:193. Indian Meteorological Department (2007). Rainfall in major cities of India. http://www.imd.ernet.in/section/climate/ newdelhiweb.htm Jenamani, R.K., Bhan, S.C., and Kalsi, S.R. (2006). Observational/forecasting aspects of the meteorological event that caused a record highest rainfall in Mumbai. Current Science, 90: 1344–1362.

Landsberg, H.E. (1956). The climate of towns. In: Man’s Role in Changing the Face of the Earth, Chicago: University of Chicago Press, 584–606. Marsalek, J., Jiménez-Cisneros B.E., Malmquist, P.-A., Karamouz M., Goldenfum, J. and Chocat B. (2008). Urban Water Cycle Processes and Interactions, IHP-VI Technical Document in Hydrology No. 78, Paris: UNESCO. Municipal Corporation of Greater Mumbai (MCGM) (1993). BRIMSTOWAD (Brihanmumbai Stormwater Drainage) Project, Final report (3 volumes). Municipal Corporation of Greater Mumbai, Mumbai Disaster Management Plan, 2 volumes, 2008. National Disaster Management Authority (NDMA) (2008). Draft Guidelines for Urban Flood Disaster Management, New Delhi: Government of India. Sundersingh, S.D. (1990–1991). Effect of heat islands over urban Madras and measures for its mitigation, Energy and Buildings, 15: 245–252. Vedula, A. (2007). Blueprint and reality: Navi Mumbai, the city of the 21st century, Habitat International, 31: 12–23.

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Session papers

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Future flood risks and comprehensive flood management M. Huygens & I. Rocabado Soresma NV, Sint-Denijs-Westrem, Belgium

G. Roovers Oranjewoud NV, Oosterhout, The Netherlands

ABSTRACT: Due to the interest in climate change and associated increase in flood risks, a general awareness for flood management is recognised. Many recent flood disasters that have occurred around the globe – with associated media coverage in print, television and on web of property and environmental damage and human despair – has created a more global concern. But how do we protect ourselves against flooding in the future? This paper presents new, alternative and more sustainable approaches to flood management. By deploying a comprehensive safety chain, the proposed flood management strategy moves beyond traditional engineering and technical design methods such as dikes, urban water settling or flood buffer zones. Instead, it attempts to tackle the flood event in a more integrated and complete manner – from flood prevention to aftercare once a flood disaster has occurred. Keywords:

1

Evacuation; flood management; flood risk; public awareness

INTRODUCTION

Using traditional, technical approaches, engineers have tried to control flood events for many years. But recent flood disasters seem to demonstrate that nature always wins; a full flood control cannot be achieved. Taking into account climate change and the associated increasing flood risks, an efficient and cost-effective flood protection seems no longer feasible, but adapted management of the flood risks may offer an adequate solution. In this philosophy, traditional flood protection engineering becomes one link in an integrated chain of flood management. Consequently, flood management becomes a continuous chain of interactive and multidisciplinary activity links.

2

SAFETY CHAIN OF FLOOD CALAMITY

As indicated in Figure 1, the full management chain of the flood calamity shows two parallel dimensions: one technical that focuses on engineering, and the other a social component working for the overall acceptance of flood appearances. Both aspects are deployed over the full time frame of the flood event. Starting from the pro-action, where a proper analysis and communication of the flood risks is vital, the safety chain runs through the flood calamity to end up with a proper aftercare programme. Each step is crucial to the overall

efficiency of integrated flood management. By this approach, the flood event can be seen as the central knot of a bowtie, connecting prevention on one side with mitigation on the other side. Traditional flood engineering is mainly situated in the prevention phase. Current technical practices often focus on the flood risk assessment in order to develop a proper flood design. In this approach, flood risk is initially defined as a combination of statistical flood appearance chances (probability) and associated damages (economic, social and ecological losses). Bu if extended to reflect the complete flood safety chainflood risk is calculated as:

Flood Risk ⫽ Probability ⫻ (Potential) damage ⫻ Ability to control-avoid the consequences As a result, technical flood protection is nowadays shifting from the traditional dike reinforcement towards an integrated reallocation of the (historical) alluvial valley of the river as (natural) flooding areas. Flood design is no longer a pure technical issue, but already fundamentally integrates spatial planning, ecological features or recreational potentials. Marsh restorations, tidal wetlands, re-meandering projects or spilling dikes are just a few examples of new technical flood protection features. It is important to notice that this flood risk assessment also explicitly includes casualties as an essential flood damage.

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Figure 1. Management chain of the flood calamity.

However, the main shift in flood management is situated in the preparation and response phase of the chain. Preparation includes both proper crisis communication and development of local awareness and consciousness for flooding. Communication should be based on a reliable prediction of the flood event – in time, place and extent. Therefore, proper operational flood forecasting and warning systems are needed to provide river or coastal managers with reliable (technical) information to use as a proper base for their management decisions. In addition to the technically supported forecast and warning system, both individual awareness and general public awakening should be generated, as flood disasters cannot be fully controlled by managers and authorities. Individuals and local communities also play a crucial role in an integrated flood management system. Adding this social dimension to the safety chain is quite revolutionary, as major flood events can only be properly managed when localindividual-private assistance is included. To increase awareness, there needs to be open and direct communication channels established. This will help to build a community consciousness on flood risk, leading in the long-term to an acceptance of flood events as part of life. Education programmes, both for local inhabitants and schools, can also induce a general familiarity with flooding. Effective training on evacuation or calamity

management not only increases the efficiency in the response phase, but also generates a more intensive engagement in flood policy. In this so-called “defensible society”, local inhabitants no longer consider a flood as a critical calamity, but rather as a manageable situation; people have the ability to cope with the event and help themselves, either by leaving the flooded area or by going to a safe shelter. The defensible society can be viewed as the optimum sum of awareness and ability to save oneself. Some absolute boundary conditions to realize this concept are: •

adequate and reliable information facilities and supplies for all people; information should be always and everywhere available; • stimulating and directing government that promotes (not imposes) ideas • adaptive infrastructure in relation to its respective flood management task As a final step in the safety chain, response and aftercare is indicated as a crucial part of flood management. In the Katrina disaster of 2005, it was not the flooding itself that was responsible for fatalities, but the total lack of proper response and aftercare that generated the most devastating consequences. In this new flood management and response strategy, the

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Figure 2. Flood evacuation as part of the emergency response plan.

key to success is an intensive collaboration between the water manager and calamity manager. Although a natural continuation in the flood management chain seems to be obvious, in reality, there is a sharp disconnection between consecutive phases. It is therefore crucial to prepare, communicate and effectively practise proper emergency response plans in advance. Only this approach ensures an efficient evacuation, a proper shelter management plan and a quick socioeconomic restart of the affected areas. As an extension of the aftercare component, special attention can be given to both global and individual flood insurance. In relation to the European Flood Directive, a proper delineation between public (authority) responsibilities and individual insurance contracts has to be made.

3 ASSISTING TOOLS FOR INTEGRATED FLOOD MANAGEMENT 3.1

Operational flood forecasting and warning systems

Real-time flood forecasts are an essential tool for flood management. The primary input for decision makers involves taking into account real-time advice such as: a) identification of potential flood events in the near future; b) detailed forecasts of flood magnitude, spatial extent and timing for previously identified highrisk events; c) reliable warning (communication) system on different user levels. This operational output contributes to increased preparedness in an upcoming flood event; preventive and emergency measures can be taken, evacuation plans can be activated and even rescue operations and victim support can be arranged in advance.

Figure 3. Operational interface OBM River Basin Dijle.

OBM is an acronym for the Flemish Operational Flood Forecasting and Warning System (OFFWSOperationeel BekkenModel in Dutch). The system is a synergistic collection of numerical models (rainfall, runoff, hydrodynamics, flood), protocols, hardware and software tools that allows operators to follow up the evolution of the flood risk in real-time. The OBM system covers the complete Flemish territory and allows operational management at both a regional scale and a more detailed river basin level (for 11 basins). OBM can be understood as a set composed of 4 modules: data gathering, forecasting, warning and decision support. All these components are developed using state of the art software and hardware. The data gathering module collects real-time hydrological data from different sources such as telemetric stations, weather radars, weather satellites, hydroclimatological forecasts, etc. The module acts as an eye that watches over the system, continuously receiving input of the present hydroclimatological conditions and future estimations provided by weather forecasts institutions. The forecasting module makes predictions of future water flow and/or flood conditions based on numerical models which simulate the transformation of rainfall into runoff and water flow over time. These software tools constitute the computing heart of the system. The warning module is responsible for alerting the operators and general public when the operational system shows any kind of functional abnormality or when critical conditions are forecasted. The alarm protocols can rely on different technologies to warn the society such as e-mail, fax, sms and the web. The decision support module allows operators to try out alternative management strategies in real-time. Decision makers can simulate, for example, the impact of opening a breach on the dike before calling the field operator or contractor to carrying it out or the results of altering the control policies related to a series of gates

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can be analysed in advance. This module allows water managers to search for a tailored solution in every critical situation using an infinite number of simulations with real data. Graphical User Interface (GUI) is a very powerful framework within FloodWorks allowing operators to concentrate on the interpretation of analysis results instead of expending precious time in pre-post processing tasks required to manage the huge amount of numerical data associated with making accurate forecasts. OBM is a tool that can communicate directly to the public and stakeholders without requiring specific software or hardware. The system automatically publishes forecasts directly to a website (www.overstromingsvoorspeller.be) where the general public can access detailed technical information including flood maps, summary tables and forecast graphs. The site offers a range of functionalities aimed to offer flood risk managers and local authorities, access to more technical information related to the flood event.

3.2

Individual flood insurance risk

Following the new Belgian housing insurance law, insurance companies need a tool in order to assess their clients’ flood risk; flood hazard and individual flood insurance risk can be determined up to address level. Using GIS data, an open and modular cartographic system generates a geographically oriented application, where the insurer maintains full control of the risk assessment. Only flood hazard is evaluated, whether for a given portfolio of addresses or a range of specific individual clients. Combining individual clients’addresses with a geographical digital information platform (from Digital Street Atlas of Tele Atlas) generates a geographical location for each costumer. Flood hazard or flooding probability is identified on a detailed spatial level by combining different methods of flood mapping. These methods are complementary to each other and contribute to the optimization of the final result. Historical and statistical flood water levels, calamity fund registrations, basic hydrological modelling, proper data from insurance companies and official authority flood risk maps generate geographically oriented flood maps that cover fully the study area. Installation of this interactive graphical tool, and integrated with existing mainframe applications of the insurance company, allows the investigation of the “flood probability” of new clients to be completed online. Additionally, the application allows the insurance company to analyse their existing client portfolio with respect to flood risk and use the results for negotiations with the re-insurance companies.

Figure 4. Flood probability for each individual client.

3.3 Evacuation management Our so-called Decision Support System (DSS) Emergency Planning is designed for use in the event of sea or river flooding. It makes accessible all the information required to make an informed decision of whether or not to evacuate an area – considering issues of safety and available time – during a flood. DSS gives objective support, by providing an overview of the information relevant to the decision and the implementation of the evacuation, to those who must make the final decision. Based on data regarding the demographics and infrastructure, DSS calculates the time required using a specially designed evacuation model. This model selects a strategy that will minimize the duration of the evacuation while avoiding congestion on the evacuation routes. When certain routes cease to be available during the evacuation, DSS suggests alternatives and indicates their impact on the duration of the evacuation. Should it appear that the available time is too short for all the residents to leave the affected area, DSS gives advice as to which residents and areas to prioritise in the evacuation process. The system uses decision rules to arrive at its recommendation. These are entered by the system administrator and can be changed. In addition to the recommendation, DSS calculates the number of people who can get to safety in relation to the available time and the planned evacuation routes. Both the intensity of traffic on the evacuation routes and the number of residents still in the risk area are shown. The DSS Emergency Planning system is a modular structure. The major advantage of the modular structure is that it can be managed and delivered by more than one party and the system can be expanded to meet the required needs. The decision model lies at the heart of the system. This module stores the information required to make a responsible decision. The system’s recommendation is based on this information and the decision rules. Before a recommendation

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Figure 5. The DSS Emergency Planning System’s modular structure.

can be issued, the DSS Emergency Planning system must be fed with relevant data, such as GIS, weather and water level data. These data are then used by the evacuation module to estimate the duration of the evacuation and by the scheduling module to draw up an implementation plan. When DSS is in use, a logbook is maintained. This is an important instrument when the crisis situation is being evaluated. It can be used to assess whether the right decisions were made given the available information. Special attention can be given to the evacuation of those requiring special assistance. Residents without access to a vehicle will be evacuated on buses. Based on a given number of buses (capacity), a proper schedule is generated. If there appears not to be enough time available to evacuate all residents of an affected area, some will have to be accommodated in safe centres in close proximity to the evacuation zone. The evacuation model then uses the same approach for determining the departure times to establish the total evacuation time necessary for everyone to either leave the area or reach a shelter. Based on the outcomes of the evacuation module, the scheduling module generates an implementation plan for the evacuation. This implementation plan consists of activities that can be broadly divided into a decision-making phase, a preparation phase and an implementation phase. DSS is particularly powerful in providing support when disaster containment plans are being drawn up. How the police and other emergency services are deployed depends largely on the routes to be used during the evacuation and on condition that these routes will be protected during the actual evacuation. The use of DSS helps clarify which routes should be used and the activities and amount of time required to prepare the road network for the evacuation (cordoning off routes etc.). It also clarifies whether improvements can be made to the road network to reduce the evacuation

time. Should that happen, DSS can be used to look for other routes and a longer evacuation time must be anticipated. As well as identifying the evacuation routes, DSS also assesses whether the available shelters in the area offer sufficient capacity and are accessible for evacuated residents. DSS has also a role to play in the prevention phase, helping to convince residents of the value of having an organised evacuation and showing them the evacuation routes that will be used in the event of flooding. In the response phase the DSS Emergency Planning system can respond well to the ongoing situation, which has a positive influence on the quality and speed of decisionmaking.

4

CONCLUSION

A fundamentally new approach for flood management is demonstrated with the implementation of a comprehensive flood management system. The fully-integrated safety chain – including an adapted

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definition of flood risks – describes the consecutive management steps from preparation to response. Surpassing traditional engineering flood protection through the integration of social action – individual awareness, risk communication and public

involvement – is the only way to tackle future flood risks. The development of proper technical and social tools will assure a practical implementation of the new flood management strategy and greater “flood protection” in the future.

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Urban flood protection chart B. Stalenberg & J.K. Vrijling Section of Hydraulic Engineering, Delft University of Technology, Delft, The Netherlands

ABSTRACT: Already in Ancient Times, world populations were drawn towards rivers. Nowadays, waterfronts are especially attractive for luxurious dwellings and recreational activities. Refurbishment of former harbour areas into attractive living and leisure districts can be seen throughout the world. In these urban waterfronts, sufficient protection against floods is essential. However, these flood structures are likely to be present in the same realm. Simultaneous improvement of the flood defence and the refurbishment of the riverfront are hard to achieve. The objective of this paper is to develop a decision tool which can contribute in realising a harmonious riverfront from both, urban planning and flood control, point of views. This has been realised through the development of the Urban Flood Protection Chart (UFPC). The UFPC is a matrix in which two datasets are combined: the dataset of urban images and the dataset of flood retaining structures. The matrix gives an overview of which combinations between the two datasets are possible and which are less likely to become a success. The UFPC can be of help with the design of a new waterfront, or an alteration of the existing waterfront, by a team of urban planners and flood controllers, especially during the primary design cycle. Keywords:

1

Decision tool; flood protection; river cities; urban planning

INTRODUCTION

Already in Ancient Times, world populations were drawn towards rivers. Rivers were ideal for transport, supported agriculture and provided drinking water. Especially in developed countries, many cities grew due to the increased commercial activities in the Middle Ages. Cities expanded towards more low-lying areas. Dikes were constructed and even rivers were diverted to give the growing cities better flood protection. By the beginning of the Twentieth century most rivers in developed countries have lost their natural appearance. This can be seen for instance in the Rhine river basin in Europe. Many flood plains were transformed into urban districts or trade centres and led to bottlenecks in the river system. Since the beginning of the Twentieth Century, cities throughout out world have grown substantially. For instance, Tokyo has grown from about 3.7 million inhabitants in 1920 to more than 12.5 million people in 2005. 1.1

former harbour areas into attractive living and leisure districts can be seen throughout the world.These newly developed areas as well as other districts, mostly historical city centres, need sufficient protection against floods. These structures are likely to be present in the same realm. Mostly quay walls or a combination of dikes and water retaining walls are used for flood protection in urban areas. Horizontal expansion of the flood defence can mean destruction of buildings or diversion of roads and, in many cases, face resistance from local residents. Vertical expansion is often inevitable, but can lead to decreases in property values. Contact with the river is often lost. Thus, improvement of the flood defence as the refurbishment of the riverfront is extremely difficult. The spatial claim of urban functions will remain, yet traditional structural measures, such as water retaining walls or dikes are not suitable to relieve the friction between the different functions in densely populated areas.

2

Friction urban functions – flood control

Urban functions and flood protection claim the same area of the waterfront (Figure 1). Waterfronts are especially attractive for luxurious dwellings and recreational activities. Since the end of the Twentieth Century water has been seen as added value and the slogan ‘living with water’ is often heard. Refurbishment of

CONCEPT OF ADAPTABLE FLOOD DEFENCES

Simultaneous improvement of the flood defence and the refurbishment of the riverfront are extremely hard to achieve. The concept of Adaptable Flood Defences (AFD) can bring relief in this matter (Stalenberg 2006). Structures like car parks, buildings, dwellings

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activities. Flood controllers and urban planners are stimulated in working together. 3

OBJECTIVE

The AFD concept aims at decreasing the difficulties of improving the flood protection structures at an urban waterfront and refurbishing the same urban waterfront. TheAFD concept gives a reflection on how to deal with this friction between urban flood control and urban development. It describes several characteristics and features; however it does not give practical information or guidelines on how to apply this new approach. The question in this paper is therefore how this friction can be solved in a more practical way, taking the AFD concept as a point of departure. The objective of this paper is to develop a decision tool which can contribute in realising a harmonious riverfront from both urban planning and flood control points of view. 4

Figure 1. Dutch urban waterfronts: Dordrecht, Arnhem and Nijmegen.

or roads are transformed and redesigned with the additional capability of protection the hinterland against floods. Firstly, the AFD concept integrates several functions into one multifunctional structure. The surplus volume along the spatially limited and popular waterfront is possible and justified through combining requirements for different urban functions. The weakness of constant friction between different functions is converted into the strength of this concept. Secondly, the AFD concept applies to structures which are adaptable. Through these adjustments, the structure has a longer lifespan, leading to more sustainable structures which can anticipate future changes. Finally, the AFD concept leads to synergy. In the past urban planners and flood controllers were only working on their own territory and they created boundaries which interfered with each others working space. Today, a collaborative approach between the two actors is emerging. The concept of adaptable flood defences can intensify this cooperation. Urban planners no longer have to work around the forbidden zone of conventional flood defences. Furthermore, flood controllers, who are for instance working at water boards, are not solely focusing on the flood defence and its reservation zones, but shift towards a broader view that includes urban

DEVELOPMENT OF THE UFPC DECISION TOOL

For the development of the Urban Flood Protection Chart (UFPC) decision tool, two methods are used. Firstly, a list of requirements shows the wishes and demands from the different stakeholders; a successful riverfront can only be established if most of the different stakeholders’ requirements are met. The UFPC decision has to be development within this framework. The AFD concept has also been developed to fit within these requirements. Secondly, an overview of existing reference decision tools, applicable in the field of flood protection, gives inspiration for the development of the UFPC decision tool. The references show what kind of information can be given in a decision tool and to what extend this information can be elaborated. Furthermore, they show possible interface designs. Combining both methods gives the Urban Flood Protection Chart. 4.1

Requirements for a harmonious riverfront

Stakeholders like the local residents and the urban planners of the municipality have several demands and wishes concerning, for instance the attractiveness and accessibility of the riverfront. Alterations of this riverfront due to refurbishment of the area or due to the improvement of flood structures can be approved, but only if these wishes and demands are taken into account. If the urban planners of the municipality were to be in full control of the riverfront refurbishment process the end result would be optimal according to these urban planners. In reality this is almost never the case. The riverfront does not only have to be appealing to the public, it should also serve to protect the hinterland against floods. Therefore, the flood controllers have

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several demands and wishes concerning this riverfront. Urbanisation or refurbishment of the riverfront could be accepted or approved, but again, only if the wishes and demands of the flood controllers are taken into account. If the flood controllers would have total control on the riverfront, river cities would be protected by robust flood structures, which have little failure mechanisms and which are easily accessible for maintenance and improvement.Yet the area would be forbid public access. The challenge is to fulfil as many wishes and requirements as possible from both urban planners and flood controllers. The analysis of the wishes and demands of the different stakeholders outlines several important requirements. Firstly, both urban planners and flood controllers agree on one thing – river cities need to be preserved and protected against floods. Cities are contributing to the economic development of a country and provide employment for both its local residents and for people living in the rural areas. Many river cities also have a long history which has mostly resulted in cultural heritage. Secondly, the following urban requirement needs special attention: preservation or an increase of the quality of the riverfront concerning sight, accessibility and noise. Most inhabitants find it a privilege to live along the riverfront, where they can enjoy the beauty of the river and the passing vessels. However, flood structures tend to decrease the overall quality of the living environment. Flood walls constructed out of concrete or steel are not likely to contribute to the river’s beauty. Refined design might turn this negative aspect around. Thirdly, space needs attention. Both the urban requirement of sufficient space for the refurbishment of existing urban riverfronts and technical requirement of space for maintenance and construction of the flood structures can be difficult to realise. Urban development is only possible if this space is available. On the other hand, if there is not enough space for flood control, the flood structure cannot be maintained and improved as it should be, resulting in a less safe flood system. Finally, the use of flood structures with a small number of failure mechanisms is seen as an important technical requirement. The smaller the number of failure mechanisms, the better the flood structures can be monitored. 4.2

Overview of reference decision tools

For this research three decision tools are used as references.These references are analysed to give inspiration for both the content and layout of the UFPC decision tool. The first decision tool (Pols, Kronberger et al. 2007) is developed by Ruimtelijk Planbureau (spatial planning agency) and aims to reduce the risk of flooding through the use of spatial adjustments, better use of the administrative instruments and changes in public opinion. The focus is on a combination of preventing and anticipating floods. The decision tool is a table of

possible measures, in combination with possible submeasures, for which several specifications are given. It gives information about the effect of each measure and on which locations it can be applicable. The reader uses this information for judging which measure would have the highest potential in a certain case. The second decision tool (Project spankrachtstudie 2002) is developed by a consortium of different Dutch governmental institutions, such as ministries, provinces, municipalities and water boards. It aims to maintain the current safety level in the river area and to contribute to the spatial quality as much as possible. The focus is on a combination of spatial and technical measures which have a reducing effect on the water level in the main Dutch rivers. The decision tool is a catalogue of these measures which are described in detail. It gives information about the effect of each measure and on which locations it can be applied. This decision tool works similar to the first one; the reader uses the catalogue for judging which measure would have the highest potential in a certain case. The third decision tool (Consortium of Dura Vermeer, bre et al. 2007) is developed by a consortium of contractors, municipalities and other companies. It aims to cluster important knowledge about water storage and the construction of waterproof dwellings in the same area. The focus is mainly technical. The decision tool is a matrix in which the rate of success is given between specific types of water storage and specific types of dwellings. Each type and the respective rate of success are discussed in detail. This decision tool differs from the first two, because the matrix consists of two components. The matrix already judges the given information; the reader simply reads the matrix. An analysis of these three references leads to useful recommendations for the development of the UFPC decision tool. It shows that the interface is not universal. However, each interface should be clear and should give sufficient background information. It is therefore important to define whom the decision tool is meant for. Every stakeholder has a different background and can interpret the decision tool differently. This has also consequences for the type of measures which are presented in the decision tool. Are they purely technical or are other types involved? Furthermore, it is important to state for which spatial area the decision tool is applicable. Looking back to the analysis, each reference decision tool has a different field in which it is applicable; the second decision tool is only applicable along rivers on a broad scale, whereas the third decision tool is applicable in polders on a detailed scale. 5

URBAN FLOOD PROTECTION CHART

The UFPC consists of two datasets: urban images and flood retaining structures. The first dataset gives an overview of possible urban waterfronts; the second

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Urban Image 1: moving building

Urban Image 2: urban dike

Urban Image 3: aqua wall

Urban Image 4: Island

Urban Image 5: super quay

Urban Image 6: water building

Urban Image 7: easy water

Urban Image 8: split level

Urban Image 6: moving object

Figure 2. Nine types of urban images.

dataset gives an overview of technical possibilities in blocking water.The datasets are combined in a matrix – the UFPC. Both datasets and the matrix are discussed below. 5.1

Urban images

Urban images show the possible shapes of urban fronts and urban objects which deal in some sort of way with water. This is not restricted to flood-proof or floodadaptive designs but it could also deal with activities requiring water (e.g. rowing, swimming). The development of the urban designs is done through the use of the brainstorm method, the analogy method and the intuitive method (Stalenberg and Vrijling 2007). The large dataset is transformed into a list of nine urban images by clustering similar designs (Figure 2). These urban images are visions of different waterfront senerios. They aim at giving inspiration to the users of the UFPC. In all urban images, two water levels are drawn. The light blue refers to the SLS (serviceability limit state); the dark blue refers to the ULS (ultimate limit state). With Urban Image 1 (UI1) – moving building – the waterfront can change its appearance and appeal,

depending on ideas of the designers. UI2 – urban dike – implies the transformation of a conventional green dike into an urban dike. The rural features of the dike are kept, but at the same time the dike is enriched with an urban quality. UI3 – aqua wall – creates softer weather conditions along the waterfront, due to the fact that the wall also functions as a screen which blocks wind. The aqua wall could be an interesting structure in areas with bars or restaurants. During flood conditions, the wall retains water, protects the hinterland and offers a spectacular view along the quay. UI4 – islands – creates a playful scenery with a more gradual change from water to earth, than for instance a super quay. The fluctuating water level gives a constantly changing scenery of accessible and inundated islands. UI5 – super quay – is a very broad and high quay which consists of many smaller quays. The different quays are all connected which each other and are easily accessible. Every quay can be used for different urban activities in which the frequency of specific water levels is taken into account. In UI6 – water building – water is used as an urban element. Red and blue are combined, creating a playful view. All water buildings are waterproof and can resist changes in water level. UI7 – easy

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water – focuses on the accessibility of a waterfront. A dike is likely to create a barrier between the city and the river. With the introduction of a second waterfront, water can be easily reached and the barrier of the existing dike is reduced. UI8 – split level – focuses on the integration of urban functions. By moving or rotating objects, UI9 – the riverside – will change its appearance. These objects can vary in shape, size and purpose. 5.2

Flood retaining structures

This section gives an overview of technical possibilities for the realisation of flood-proof urban designs (Stalenberg and Vrijling 2008). These flood retaining structures are based on the guidelines of the ENW (former TAW: Technical Advisory Committee on Water Defences) and on fieldwork in the Dutch Rhine cities (Technical Advisory Committee on Water Defences 1998). The structures can be divided in three categories (Technical Advisory Committee on Water Defences 1998): earth structures, special water retaining structures and hydraulic artefacts. Earth structures are weight structures which are naturally formed by morphology or which are constructed with predominantly earth materials. Special water retaining structures are used in areas where other functions are present, causing insufficient space for earth structures. Hydraulic artefacts are mainly applied at utilitarian crossings and cause gaps in the flood defence. Examples of crossings are structures for navigation and water management. Within these categories the following distinction can be made: temporary structures, which are only placed and used during a short period of time; permanent movable structures, which are constructed at location and cannot be stored elsewhere; permanent immovable structures; which only differ from the previous category due to the fact that they are not movable and therefore always present in the urban realm; and combined structures, which are a combination of the above mentioned structures. Stop logs are an example of combined structures within the category special water retaining structures (Figure 3). They are used for filling up gaps within the flood defence or for adding extra height to a permanent flood defence. Stop logs are always used in combination with permanent structures and are only placed during flood conditions. The structure is sealed with rubber profiles for a maximum reduction of leakage. In general, stop logs are applied in three situations: doorways, cross roads and line elements, such as dikes or quay walls. The probability of human error needs attention with these types of structures. A dam is an example of a combined structure within the category hydraulic artefacts (Figure 3). Dams, like weirs, are designed for heading up water upstream of the dam. Dams are constructed for storage of water for irrigation, for the realisation of head difference

Figure 3. Examples of flood retaining structures: stop logs, dam and dike (light blue refers to SLS state; dark blue refers to ULS state).

for generation of electricity or for retention of flood water for protection downstream. Depending on the geological situation and the availability of materials three types are possible: earth dam, rock dam or concrete dam. A dike is an example of a permanent immovable structure within the category earth structures (Figure 3). They are handmade soil bodies (Technical Advisory Committee on Water Defences 1998). The water retaining capacity is based on the dimensions and shape of the cross section. It derives stability for erosion by the use of special material. It must be ensured that there is sufficient strength of the core and the subsoil. 5.3 The matrix The UFPC is a matrix in which both datasets are combined, giving an overview of which combinations between the two datasets are possible and which are less likely to become a success. The UFPC can be of help with the design of a new waterfront by a team of urban planners and flood controllers, especially during the primary design cycle. The UFPC gives inspiration with the help of urban images. It gives several visions of how a waterfront can look like. Urban planners can use these images for inspiration in the design of a waterfront. However, they can also use the UFPC to categorise their urban design. The matrix translates urban visions into technical possibilities; ergo the matrix shows how these visions can be realised. This will help the flood controllers in understanding the urban plans of the waterfront. By categorising an urban design, the urban planners can

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Figure 4. Fragment of the Urban Flood Protection Chart.

show the flood controllers the technical feasibility of their design. Furthermore, this is also useful for the urban planners them selves. It will help them as well in realising if their urban plans are technically feasible. The use of the UFPC can also be initiated through the need to improve the flood defence in a city. Improving the flood defence with explicit refurbishment of the waterfront is bound to result in a more harmonious waterfront than improvement of the flood structures alone. Again, a team of urban planners and flood controllers might benefit from the use of the UFPC during the primary design stage. The UFPC is not only useful in the design process of a new waterfront; it can also be of help with the alteration of an existing waterfront. By analysing which flood retaining structures are already present at the waterfront, an indication can be given about the amount of work it will take to alter the waterfront within one of the presented urban images. Some urban images are more likely to fit in the current urban structure of a waterfront than others. Figure 4 shows a fragment of the UFPC matrix. In this fragment, stop logs, a slender retaining wall and a dike are shown as the flood retaining structures; an urban dike, a super quay and a water building are shown as the urban images. A ☺ indicates that a combination is fruitful; a  indicates that a combination is possible but not preferred, and a  indicates that a combination is not a success and must be avoided.

For instance, a design within the urban image water building is difficult to construct through the use of a dike; a quay wall has more potential. Another example is a design within the urban image urban dike. This vision can be realized through the use of a dike but also through a combination of a quay wall and a dike. Stop logs are also possible, but due to the probability of human error this is not preferred. A dike is preferred in this case. 6

EVALUATION OF THE UFPC DECISION TOOL

The Urban Flood Protection Chart (UFPC) was developed to contribute to the realisation of a harmonious riverfront, for both urban planners and flood controllers. The question is therefore if the UFPC has met the stated requirements earlier. The UFPC provides a broad overview of flood retaining structures which ensures the safety of the waterfront, and hinterland, against floods. Hence, river cities can be preserved and protected against floods. Due to the incorporation of urban images it is also possible to preserve or increase the quality of a riverfront. The combination of urban images and flood retaining structures is the strength of this decision tool. With the use of keen design, it is possible to make sufficient space for both improvements to flood structures and refurbishment of the waterfront.

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But the use of flood structures with a small number of failure mechanisms is hard to meet. Combining urban functions and flood protection is bound to result in rather complex multifunctional structures. This shows that it is impossible to meet all requirements; concessions on both sides are still needed. The rate of success of achieving a harmonious riverfront does not solely depend on the UFPC. Willingness and the actual conditions at the waterfronts are important factors.

team of urban planners and flood controllers, especially during the primary design stage.The UFPC gives inspiration to the design process and it attempts to achieve a mutual understanding between two, sometimes opposing, objectives. Hence, it contributes to the process of improving flood protection structures, as well as the refurbishment of the urban waterfront.

REFERENCES 7

CONCLUSIONS

The objective of this paper was to develop a decision tool which can contribute in realising a harmonious riverfront from both urban planning and flood control point of views. It is meant to address one key question: how could the friction between urban planners and flood controllers be reduced in a more practical way, taking the AFD concept as point of departure? This has been realised through the development of the Urban Flood Protection Chart (UFPC), meeting as much requirements as possible. The UFPC is a matrix in which two datasets are combined: the dataset urban images and the dataset flood retaining structures. The matrix gives an overview of which combinations between the two datasets are possible and which are less likely to become a success. The UFPC can be of help with the design of a new waterfront, or an alteration of an existing waterfront, by a

Consortium of Dura Vermeer, bre, et al. (2007). http://www .waterbestendigbouwen.nl (accessed January 1, 2008) Pols, L., P. Kronberger, et al. (2007). Flood risk as spatial task (in Dutch). Rotterdam: NAi and Ruimtelijk Planbureau. Project spankrachtstudie (2002). Bouwstenennota; an overview of available spatial and technical possibilities to gain a safe discharge pattern for the Rhine. Lelystad, RIZA. Stalenberg, B. (2006). Adaptable flood defences. World Conference on Accelerating Excellence in the Built Environment Birmingham, England. Stalenberg, B. and J. K.Vrijling (2007). Creative flood protection designs in an urban environment. Congress of IAHR: Harmonizing the demands of art and nature in hydraulics. Venice, Italy, Corila. Stalenberg, B. and J. K. Vrijling (2008). Flood retaining structures (in preparation). Fourth International Symposium on Flood Defence. Toronto, Canada. Technical Advisory Committee on Water Defences (1998). Fundamentals on Water Defences. Rotterdam: A.A. Balkema Uitgevers B.V.

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Real-time control of urban flooding P. Willems, P-K. Chiang & J. Berlamont KU Leuven, Department of Civil Engineering, Leuven, Belgium

T. Barjas Blanco & B. De Moor KU Leuven, Department of Electrotechnical Engineering, Leuven, Belgium

K. Cauwenberghs Flemish Environment Agency (VMM), Division Water, Brussels, Belgium

ABSTRACT: Real-time regulation of flood control reservoirs is being researched for the case of the river Demer in Belgium. Model Predictive Control (MPC) was tested as a technique for the most optimal regulation of the hydraulic structures that control the reservoir storage in order to minimize the flood risk given the available reservoir storage capacity. However, before MPC could be implemented for this application, possible solutions to a number of obstacles needed to be explored. The obstacles were related to the highly non-linear response of the water system to rainfall and rainfall-runoff; the strong time variability of the state variables in the system; discontinuous changes in the state variables; uncontrollable variables in the system; and multiple regulation objectives and priorities. Based on the simulation of the historical flood events of 1998 and 2002, it was found that after solving these problems MPC is able to regulate flood control reservoirs in a more efficient manner. Regulation objectives can be reached using MPC, while this was not the case for the current system based on fixed regulatory rules set by local water authorities. Keywords: 1

Flood; real-time control; reservoir

INTRODUCTION

In a research project for the Flemish Environment Agency, the application of automatic and intelligent techniques is investigated for the operation of flood control reservoirs. The aim of the project is to develop an algorithm that can be applied for the future regulation of the hydraulic structures that control the reservoirs’ storage. The study case involves two existing flood control reservoirs along the river Demer in Belgium, upstream of the cities of Diest and Aarschot. The city of Diest experienced very severe flooding in September-October 1998. For the river Demer basin, the Flemish Environment Agency developed a full hydrodynamic model for the main rivers, implemented through InfoWorks-RS software. The model links with comprehensive conceptual rainfall-runoff models (PDM models) for all subcatchments in the basin. Rainfall input estimates for these models are based on 15 minutes rainfall intensities usin a large number of rainfall recording gauges. The InfoWorks-RS model recently was extended with a real-time flood forecasting model, implemented in Wallingford Software Ltd’s FloodWorks software. Flood forecasting is based on

rainfall forecasting, both in the short term using radar data and in the long term through weather predictions made by the Royal Meteorological Institute of Belgium. A data assimilation technique updates the model in real-time (with 15 min time step during critical high flow periods) correcting the model outputs to water level measurements at various locations along the river network. In order to develop the real-time flood control algorithm for the study region, the authors decided to make use of the Model Predictive Control (MPC) technique. This technique is currently in use for a large number of control applications in different disciplines (Camacho, 1999; Rossiter, 2000). In comparison with other, more traditional, control techniques (see e.g. Malaterre et al., 1998; Burt et al., 1998; Brian and Albert, 2002; Litrico et al., 2006), MPC is an advanced control technique, which has some unique advantages. First, it can account for constraints (e.g. upper and lower limits of the gate heights at the hydraulic regulation structures, maximum movement speed of the gates, maximum and minimum storage levels of the flood control reservoirs, flood levels along the river system, etc.). The technique can also account

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for predicted future states of the system (i.e. realtime forecasting results), and for multiple regulation objectives (i.e. flood levels at different locations along the river) and priorities (i.e. first reservoir filling after warning levels, second filling after alarm levels). Application of MPC to river systems has, however, in comparison with other applications, many difficulties: •

The river system, including the flood control reservoirs, has a highly non-linear response to the predicted model input. River discharges, water levels and reservoir levels are related to rainfall and rainfall-runoff responds in a highly non-linear way. • The system is highly time variable. This means that the values, around which the variables describing the state of the system vary, are not fixed but change in time (the so-called “working point” in control theory is not fixed). Also the flood control levels might change in time (e.g. depending on whether warning or alarm levels are reached). Also these conditions differ from the assumptions most often considered in control theory.

Figure 1. Study region in the river Demer basin in Belgium.

•

The system shows some discontinuous changes in the state variables (i.e. closed or open gate, flooding or no flooding). • The regulation objectives and priorities are multiple (regulation at different locations, and with interactions between model results at these locations). These issues were specifically addressed in the first phase of research. This was done by the use of a simple test case, selected from the full case study of the river Demer. The test case focused on the reservoir called “Schulensmeer”. A reduced and simplified model was derived from the InfoWorks-RS model of the full Demer basin. In order to reduce model computational times, a reservoir-based conceptual model was developed for the study area. The conceptual model structure was identified and the model parameters calibrated to the more detailed full hydrodynamic InfoWorks model. The conceptual model has been used within the MPC real-time control procedure. 2

HYDRODYNAMIC WATER SYSTEM MODELLING

Figure 2 shows the scheme of the model components for the study area around the two flood control reservoirs “Schulensmeer” and “Webbekom” in the river Demer basin. This area receives rainfall-runoff inflow via the tributary rivers Mangelbeek, Herk, Gete, Velpe, Zwartebeek, Zwartewater and Begijnenbeek. By means of hydraulic regulating structures A and K7, the local water engineers can anticipate future flood risks. By closing gate K7 and opening gate A, the Schulensmeer reservoir is being filled, the downstream Demer flow reduced, and consequently the flood risk

Figure 2. Scheme of the conceptual model for the study area (dots for the calculation nodes = river or reservoir storage elements; lines for the river reaches; open rectangles for the hydraulic regulating structures; closed rectangles for the fixed spills or weirs).

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of the cities Diest and Aarschot downstream from the reservoirs are reduced. After the flood period, the Schulensmeer reservoir (which consists of different reservoir compartments) can be emptied through the hydraulic regulating structures D and E. The second reservoir “Webbekom” is regulated in a similar way by means of the hydraulic structures K18, K19, K7 at the Leugebeek river, K24∗ and K30. Figure 2 gives an overview of the structure of the conceptual model developed for the study area. River reaches are represented by of lines with positive flow in the direction of the arrows, the hydraulic regulating structures by means of the full rectangles, the fixed spills or overflows by open rectangles, and the model units where water storage (in the reservoir compartments or along river reaches) and water levels by nodes. The symbol “q” denotes discharges, “h” water levels, “v” storage volumes, and “k” controllable gate crest levels. The water levels and volumes are the model variables describing the state of the water system in the MPC controller. The gate crest levels are in the inputs in the MPC controller, the upstream (rainfall-runoff) discharges the disturbances of the MPC controller (figure 3). The conceptual model is of the reservoir-type. The structure of this model (type of reservoir, or storageoutflow and/or storage/inflow equations) is identified and the model parameters calibrated based on simulation results with the full hydrodynamic InfoWorks model. The storage nodes simply describe the water volume after closing the water balance. The discharge through the river reaches is modeled based on the up and downstream water levels. For most river reaches, the discharge in the reach depends on the upstream water level or storage volume calculated using a monotonously increasing equation. This equation was identified and the parameters calibrated based on simulation results derived from the full hydrodynamic model (for two historical high flow or flood events in September 1998 and January 2002). The procedure of Vaes et al. (2002) for identification and calibration of

reservoir-based storage-throughflow relationships was followed. Figure 4 shows a comparison of the simulation results between the conceptual and InfoWorks (IW) models for the Demer water levels and discharges (validation based on four flood events in 1995, 1998, 1999–2000 and 2002); both models have a time step of 5 minutes. Model output results in Figure 4 are aggregated at an hourly time step. 3

REAL-TIME FLOOD CONTROL

The MPC technique was applied to control the gate crest levels of the hydraulic regulating structures (the inputs of the controller) such that the model prediction results (the outputs of the controller) are closest to specified objectives. In order to do so, cost and objective functions are defined. The MPC algorithm determines the inputs of the controller such that the model outputs come closest to the reference values (the objectives) is the shortest time. This is done in a modelbased way, beginning with the knowledge on the current state of the system, and the model predictions of future states. These model predictions are based on predicted future rainfall intensities over the catchment. Short-term rainfall predictions (6 hours ahead) are based on extrapolations of radar images, longterm predictions (5 days ahead) by the Royal Meteorological Institute of Belgium. In the FloodWorks model (which is the extension of the InfoWorks model with a real-time flood forecasting module), a data assimilation technique is applied to correct/update the model states and outputs based on available river water level measurements at several locations in the basin. The MPC algorithm thus requires an optimization problem to be solved. It also introduces feedback in the system, such that model output changes as a result of disturbances (i.e. increased rainfall intensities or rainfall-runoff discharges) and model errors due to modeling uncertainties can be accounted for.

Figure 3. Photo of the river Demer and the “Schulensmeer” flood control reservoir in the background, together with the locations of the main water level and discharge variables.

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The application of MPC to river systems indeed has – in comparison with other applications – many difficulties, as already outlined in the introduction (the system has a highly non-linear response, it is highly time variable, it shows some discontinuous changes in the state variables, and the regulation objectives and priorities are multiple). In addition to these problems, it has been shown in the course of this research that some states of the gates were uncontrollable due to the fact that at low water levels the discharge released by the hydraulic structure was modeled independently on the up- and/or downstream water levels. The problem of the highly non-linear model structure has been solved by applying the technique of iterative multiple linearization (e.g. Allgöwer et al., 1999). The problem of discontinuous changes in the state variables (caused by the if-then-else model structure for specific submodels) and the problem of uncontrollable model states were solved by using a ‘fuzzy control’ model. The multiple regulation objectives (different variables and locations, reference levels versus minimum and warning/alarm levels, different priorities, and other preferences by the water authority) could be implemented through a smart adjustment of the cost

and objective function of the MPC controller. After implementation is was found that calculation times of the controller were very high. They, however, could be reduced by selecting more efficient optimization algorithms. 3.1 Regulation objectives and priorities The regulation objectives and priorities considered in this study were defined by the local water authority. During normal river flow conditions (non-flooding conditions), the upstream water level along the Demer river needs to be kept constant at 21.5 m above the mean sea level (a.m.s.l.). Also during these conditions, the reservoirs are being emptied at the highest possible rate. Strict constraints to be considered are the minimum and maximum gate crest levels at the hydraulic regulating structures.The current fixed regulation makes use of warning and alarm levels at various locations along the river network. When the warning levels are exceeded, the reservoirs will be filled until they reach the first storage level. Afterwards, the river water levels are allowed to further increase to alarm levels, until the reservoirs are completely filled. For the

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current MPC-regulation, the same regulation priorities were implemented. 3.2

Results

The results for the upstream part of the model around the Schulensmeer reservoir are shown in Figures 5 and 6. Results are compared between the current fixed regulation, as implemented in the model, and the results after MPC regulation. Figure 5 shows the results for the largest recent historical flood event of September 1998. It is clear in this plot that during the first 250 hours, the MPC controller successfully regulates the upstream Demer river levels to the reference value of 21.5 m a.m.s.l. During the high flow or flood conditions, the Demer water levels could be kept within the flood level of 23 m a.m.s.l. upstream of hydraulic structure K7 and to the flood level of 22.75 m a.m.s.l. downstream of K7. The improved regulation by the MPC controller is explained by the quicker flow release to the downstream Demer reach shortly after the flood, as well as due to additional storage of water (i.e. upstream in the river Demer bed) just before or after the flood period. To investigate whether the MPC controller can respond to predicted flood conditions, the severe historical flood event of 1998 was simulated twice

(figure 6) with a limited time span between the two events. The figure shows that during the second flood event, upstream Demer levels and reservoir levels are limited to the flood level of 23 m a.m.s.l. This can be explained by additional release of water to the downstream Demer reach during the time span in between the two events, taking into account the predicted second flood event during the time horizon used for the MPC controller.

4

CONCLUSIONS

On the basis of the simulation of the historical flood events of 1998 and 2002, it has been demonstrated that MPC control is a powerful technique that can regulate flood control reservoirs in a more efficient way. Using MPC control, regulation objectives could be reached, while this was not the case for the current method based on fixed regulation rules set by the local water authority. The same conclusions were obtained after simulation of two severe flood events with short recurrence interval. It is shown that the MPC controller developed for the River Demer basin in Belgium has a high degree of flexibility that allows it to implement combined regulation strategies (regulation objectives for different types of variables such as river and reservoir

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levels at different locations) within the context of the regulation priorities set by the water authority. Future research should focus on increasing the computational speed of the controller, so that it can work in an operational environment where real-time control might be needed with time steps of around 15 minutes. A “free” regulation method (without prior defined regulation priorities) should also be considered to test if provides more efficient regulation. This would require a global objective function to be defined (combining the different objectives in one single global objective measure, e.g. based on minimizing the overall flood damage in the basin). Finally, future research must also incorporate real-time rainfall and flood forecasting and the related model prediction errors. ACKNOWLEDGEMENTS The research project is funded by the Division Water (Afdeling Water) of the Flemish Environment Agency (VMM) in Belgium. The full hydrodynamic InfoWorks-RS model of the river Demer basin and hydrometric calibration data were provided by this regional water authority. REFERENCES

Moving Horizon Estimation – Introductory Overview. Advances in Control, Highlights of ECC’99, Springer, 391–449. Brian, T.W., and Albert, J. C. (2002). Performance of Historic Downstream Canal Control Algorithms on ASCE Test Canal 1. Journal of Irrigation and Drainage Engineering, 128, 365–375. Burt, C.M., Mills, R.S., Khalsa, R.D., and Ruiz, V. (1998). Improved Proportional-Integral (PI) Logic for Canal Automation. Journal of Irrigation and Drainage Engineering, 124, 53–57. Camacho, E.F., and Bordons, C. (1999). Model Predictive Control. Springer, London. Litrico, X., Fromion, V., and Baume, J.-P. (2006). Tuning of Robust Distant Downstream PI Controllers for an Irrigation Canal Pool – II. Implementation Issues. Journal of Irrigation and Drainage Engineering, 132, 369–379. Malaterre, P.-O., Rogers, D.C., Schuurmans, J. (1998). Classification of Canal Control Algorithms. ASCE. Journal of Irrigation and Drainage Engineering, 124(1), 3–10. OBM-Demer. (2003). Operational river basin model Demer – Technical documentation v.2.0 (in Dutch), Flemish Environment Agency, Aalst, Belgium. Rossiter, J. A. (2000). Model predictive control: A Practical Approach. CRC Press. Vaes, G., Willems P., and Berlamont, J. (2002). The use of reservoir models for the assessment of the input from combined sewer overflows into river models, 9th Intern. Conference on ‘Urban Drainage’, Portland, 8–13 september 2002, CD-ROM proceedings: 16.

Allgöwer, F., Badgwell, T.A., Qin, J.S., Rawlings, J.B., and Wright, S.J. (1999). Nonlinear Predictive Control and

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The impact of climate change on the hydrology in highly urbanised Belgian areas O. El Farouk Boukhris & P. Willems KU Leuven, Department of Civil Engineering, Leuven, Belgium

W. Vanneuville Flanders Hydraulics Research (Waterbouwkundig Laboratorium), Flemish Government of Belgium, Borgerhout, Belgium

ABSTRACT: The impact of climate change on hydrological extremes (floods and low flows) has been investigated for rivers in highly urbanised catchments in the Flanders region of Belgium. Results of 24 simulations with 10 Regional Climate Models (RCMs) delivered by the PRUDENCE project and processed by the Royal Meteorological Institute of Belgium were statistically analysed for both the control period 1961–1990 and the scenario period 2071–2100. This paper summarises the high, mean and low climate change scenarios for rainfall and potential evapotranspiration (ETo), and applies the input of lumped conceptual hydrological models of the studied catchments. The climate change impacts generally tend towards wetter winters and drier summers. The runoff peaks (flood risk) systematically increase and decrease depending on the scenario showing high uncertainty and can reach increases up to +35%. Low flows decrease severely in all cases. The findings show that the intensity of the impacts is only slightly dependent on location. The local physico-morphological characteristics seem to weakly influence the differences seen in hydrological responses due to climate change scenarios; instead, it may be dependent on natural variability and to uncertainty brought about through hydrological models. Keywords: 1

Climate change; flood and drought risk; scenario perturbation

INTRODUCTION

The Fourth Assessment Report of the Intergovernmental Panel on Climate Change states that: “There is very high confidence that the globally averaged net effect of human activities since 1750 has been one of warming, with a radiative forcing of +1.6 [+0.6 to +2.4] W/m2 ” (IPCC, 2001, 2007). “Most of the observed increases in globally-averaged temperatures since the mid-20th century is very likely due to the observed increase in anthropogenic GHG concentrations” (IPCC, 2007; IPCC, 2001). The modelling of the climate system requires complex physically based models and a large amount of input data and limiting conditions. However, confidence in the ability of models to project future climate has increased largely over the past decade (IPCC, 2001, 2007). A major concern is currently focused on climate change induced hydrological extremes (floods and droughts/ low flows). A modification of the hydrological state has potentially a major impact, especially on economy and human life. These problems are potentially enhanced by a climate change induced modification of

the frequency and intensity of heavy rainfall events as well as periods with low rainfall volumes.The Flanders area of Belgium is likely to be sensitive to potential climate change impacts. Its hydrological regime is strongly influenced by water accumulation variation throughout different sub-basins. A modification of the precipitation and evapotranspiration can considerably affect the hydrological regime and induce important impacts on the water management (Burlando et al., 2002; Jasper et al., 2004). This could have a significant impact on hydrological regime dependent processes, such as navigation or irrigation, but also increase water related risks such as floods and low flows (Willis and Bonvin, 1995; Loukas et al., 2002). Climate change induced modification of the frequency and intensity of extreme hydrological events in the urbanised areas of Flanders is the subject of this paper. Climate change scenarios for the variables of precipitation and potential evapotranspiration have been developed for Flanders based on the European climate project PRUDENCE. This paper presents the overall modelling procedure leading to the assessment of climate change impact on the hydrological extremes

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in the Flanders’ urbanised areas at the subcatchment scale. 2 THE CASE STUDY AREA: FLANDERS, BELGIUM Flanders extends in northwestern Europe with a surface of 13522 km2 from the North Sea in the west to the Netherlands in the north and east while the Walloon Belgian part is situated in the south. It is considered as one of the most densely populated areas in Europe with 442 inhabitants per km2 and a total population of 6,058,368 inhabitants (Economie, 2006). Flanders embraces part of the International Scheldt and Meuse River Basin Districts. The total hydrological system of the Flanders area is distributed over different river basins of different sizes and land uses. A number of these river basins are further divided into hydrographical units; they form the basic water management system. These hydrographical units are mainly delimited hydrographically, but they also take account of the national/regional boundaries. The Flanders part of the International Scheldt River Basin District covers the river basins Dender, Demer, Nete, Ijzer, Leie, Bovenschelde, etc. (ISC, 2005). Agriculture dominates the land use in Flanders with 61% of total area, mainly livestock and arable farming. The basin is highly urbanised due to the high population density, but also due to industrial and commercial activity. The main industrial areas include the cities and the ports of Ghent, Terneuzen (The Netherlands), Antwerp and Vlissingen. In coastal areas, tourism plays an import role. Part of the land used for transportation and communication is also shared with water courses. The land use in Flanders has been developing rather slowly since the beginning of the new millennium. 3 THE PRUDENCE REGIONAL CLIMATE MODELS PROCESSING The European PRUDENCE project has been chosen as the climate data support necessary for the present and future climate investigations to cover Flanders with different spatial resolutions and different time aggregations (http://prudence.dmi.dk). PRUDENCE provides high-resolute climate change scenarios for 2071–2100 in Europe based on the reference (control) period 1961–1990. This is done through 24 different regional climate model (RCM) simulations mostly using the A2 (IPCC SRES, 2000) greenhouse gases emission scenario (DMI, 2004). The PRUDENCE finite resolute results are beneficial for the hydrological studies. The project provides data of precipitation, mean sea level pressure, total radiation balance, cloud covering, 2-meter temperature, 10-m wind and humidity. The latter variables are used to calculate

the evapotranspiration with the Bultot scheme (Bultot et al., 1983). The Royal Meteorological Institute of Belgium (RMI) processed the PRUDENCE simulation outputs as a task of the CCI-HYDR project study under the authority of the Belgian Science Policy Office (BelSPO) (Boukhris et al., 2007). RMI fed this study with the daily precipitation and the potential evapotranspiration data for 24 climate model scenario simulations. The data were provided for both control and scenario periods while being extracted at the closest model grid point to the main RMI meteo-station at Uccle. 3.1 The frequency-perturbation approach: A combined downscaling approach Downscaling techniques are tools to bridge the gap (scale mismatch) between what RCMs can provide and what is needed in hydrological impact studies. Two categories embrace downscaling techniques: the dynamical downscaling and statistical downscaling. The first uses direct RCMs outputs (Giorgi and Mearns, 1991). The second, also known as “empirical downscaling methods”, uses different statistical figures to link between the climate variables and the hydrological variables including past and present records. The perturbation approach is the most commonly used method to transfer the climate change signal from climate models to hydrological models (Vehvilainen and Huttunen, 1997; Lettenmaier et al., 1999; Middelkoop et al., 2001; Carlsson et al., 2005). It is used to make offline simulations with a hydrological model to provide a response to future climate conditions. The downscaling approach selected for this study is the combined dynamical – statistical downscaling method based on perturbations (Figure 1) (describing differences between current and future climate), which are derived based on their dependency on the time scale and the intensity level or return period. They are in this study limited to the precipitation and potential evapotranspiration (ETo) inputs of the model. For the rainfall variable, perturbations are derived separately for the number or frequency of rainfall events (storm events) and for the mean intensity per event. Both perturbations combined lead to perturbations in the mean intensity for a given aggregation level. For the dependency on return periods, a frequency analysis is applied, comparing the frequency distribution between the RCM control and scenario period results. Also a comparison is made with the historical results for the same period. The reason of applying such an approach is based on the fact that when we compare daily times series between RCMs and historical records, we might compare a dry day to a wet day which leads to an incorrect perturbation factors as climate change affects differently the extreme and low ranges of each hydrological variable. Therefore, a frequency analysis approach has been adopted as it

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Figure 1. Selected downscaling approach: the frequency perturbation approach.

extracts the perturbation factors by comparing quantiles for given return periods. In this study, applying the frequency perturbation approach has been done through 5 steps:

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Selection of the RCM daily output series to be processed (e.g., precipitation covering the control and the scenario periods results. The control period acts as a baseline); The control and scenario simulation results are ranked in descending order giving the rank 1 to the highest value in the series; Perturbation factors of the ranked series are calculated as the ratio between the scenario variable value and the control variable value for the same rank; A probability of occurrence (also exceedence probability) is assigned to each factor based on the rank of the variable values considered; Plotting the frequency-perturbation relation to investigate the variation of perturbation factors for the extremes (high and low values). A threshold might be considered to obtain average perturbation for (high or low) extreme conditions.

Figure 2 presents the frequency-perturbation plot for precipitation extracted from the control and A2 scenario simulations for the DMI-HC2 model. The perturbation factors increase slightly for frequencies lower than 0.1 year. They strongly decrease for the lower events, an anomaly caused by the different number of wet days between the control and scenario simulations. The perturbation factors have been calculated for winter and summer periods and for different time aggregation levels (daily, weekly, monthly,

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seasonally and yearly) for precipitation and potential evapotranspiration. 3.2 Selection of potential climate change scenarios for Belgium Two empirical criteria have been used to select future Belgian climate change scenarios. Climate models satisfying the criteria are accepted, the others are rejected. The criteria includes (1) visually checking the factors for the different RCMs for precipitation and ETo for a given aggregation level. The factors varying in the same range are accepted. The outliers are considered for potential rejection using criterion (2) (Figure 3). Criterion (2) involves a consistency check with the historical data (Uccle station data) after comparison of quantiles: RCM control simulation versus historical

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Figure 3. Daily precipitation perturbation factors for winter and the different RCM simulations (mean factors for return periods higher than 0.1 years). Table 1. Mean perturbation factors for daily precipitation and ETo. Scenario

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quantiles. The climate model baseline that satisfies criterion (1) and meets closely with the historical record quantiles are considered accurate for climate change scenarios for Flanders. It appears that the factors depend on the climate models, spatial resolution and on the emission scenarios. Thus, part of the uncertainties in the future Belgian climate is removed by rejecting inconsistent models. The selected RCMs served to build low, mean and high scenarios for the variables of precipitation and ETo. The factors for the daily time scale are reported in Table 1.

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processing contains (1) extraction of the high flow peaks through a peaks-over-threshold (POT) method; (2) extraction of the low flow minima; (3) investigation of the hydrological response heterogeneity in relation to the local characteristics. The figure 4 shows the NAM hourly runoff peaks (top panel) variation after simulating climate change scenarios. The results show that, while for the mean scenario the runoff peaks experience slight decrease reaching a maximum of −14% compared to the current runoff peaks condition, the decrease is very large for the low scenario to the level of −70%. For the high scenario, climate change acts positively where we expect an increase in runoff peaks to the order of ∼35% depending on the sub-catchment. Uncertainties on these impacts are very high. Depending on the ratio between the increase in rainfall versus the increase in ETo, and the ratio between the increase in winter rainfall versus the decrease in summer rainfall, the hydrological impact results (i.e. flood risk) might turn over from a positive trend into a negative trend. Low flows decrease dramatically for the entire Flanders area for all climate scenarios (−88%) indicating that future increase in low flow problems might be of more concern than the increase in flood problems (Figure 4, down panel). Spatial hydrological response heterogeneities are seen within the Flanders area with respect to the simulation of climate change scenarios. These hydrological response heterogeneities have been investigated by means of statistical correlations between the high scenario runoff peaks and three local physico-morphological constraints (soil type, land use and topographical slope). The correlation results show that the signature of the local characteristics does not provide efficient explanation to the spatial hydrological heterogeneity. No strong correlations have been found, although some tendencies detected can be explained by soil type and topographical slope. 5

IMPACT ANALYSIS AND RESULTS

The derived climate change scenarios served to perturb the input series of hydrological models developed for hydrographical units in the Scheldt River Basin District. The hydrological models are of the lumped conceptual type: NAM models implemented in the MIKE11 modeling package of DHI Water & Environmental. The models were developed, calibrated and validated by the Flanders Hydraulics Research administration of the Flemish Government of Belgium and the Hydraulics Laboratory of K.U.Leuven for water management purposes. The models have an hourly time step, but the daily perturbation factors of table 1 were applied to the hourly input given that they appear time scale independent towards the small scales. The hydrological simulation results are processed and compared to the original results (current conditions) in terms of hydrological extremes. This

CONCLUSIONS

Climate change impact on hydrological extremes (floods and low flows) has been investigated for rivers in highly urbanised catchments in the Flanders region of Belgium. Results of 24 simulations with 10 Regional Climate Models (RCMs) delivered by the PRUDENCE project and processed by the Royal Meteorological Institute of Belgium, were statistically analysed for both the control period 1961–1990 and the scenario period 2071–2100. Based on the RCM simulations that were consistent with the historical rainfall and ETo observations, mean, high and low climate change scenarios were derived in the form of perturbation factors that are applied to the input series of the hydrological models of the studied catchments. The scenarios were simulated for different highly urbanised catchments in Flanders, making use of lumped conceptual hydrological models. It was

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Figure 4. Percentage of variation of hourly runoff peaks (top panel) and low flow minima (down panel) for the low, mean and high scenarios for the different modeled subcatchments.

concluded that the hydrological impact of climate change weakly depends on the topographical and soil type characteristics of the catchments. In general, low flows significantly decreased in all studied catchments and might reach 88% reduction. The increase in hourly

river peak flow extremes is less strong, and limited to around 35%. Results indicate that low flow or drought problems will increase and might become more severe in comparison with flood risk problems induced by extreme precipitation.

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Uncertainties in the results are, however, still very high. Depending on the ratio between the increase in rainfall versus the increase in ETo, and the ratio between the increase in winter rainfall versus the decrease in summer rainfall, the hydrological impact results might turn over from a positive trend into a negative trend. While the climate change impacts tend towards wetter winters and drier summers, the hydrological response appears similar throughout the entire area. The findings show that the intensity of the impacts is only slightly dependent on the location. ACKNOWLEDGEMENTS The research work presented in this paper was supported by a research project for the Waterbouwkundig Laboratorium of the Flemish Government of Belgium (Boukhris et al., 2008). In that project, a set of climate change scenarios for Belgium was used, developed within the scope of the CCI-HYDR research project for the Belgian Science Policy Office (BelSPO) – Research Programme Science for a Sustainable Development. The processing of the PRUDENCE regional climate model simulations was carried out in that project by P.Baguis and E.Roulin of the Royal Meteorological Institute of Belgium. The authors would like to sincerely thank them for their project cooperation. REFERENCES Boukhris, O., Baguis, P., Willems, P., Roulin, E. (2007). Climate change impact on hydrological extremes along rivers and urban drainage systems – II. Study of climate change scenarios, Interim report of the CCI-HYDR research project for the Belgian Science Policy Office, Hydraulics Laboratory K.U.Leuven and Royal Meteorological Institute of Belgium, May 2007, 92. Boukhris, O., Willems, P., Vanneuville, W., Van Eerdenbrugh, K. (2008). Climate change impact on hydrological extremes in Flanders: Regional differences, Final report of the research project for the Waterbouwkundig Laboratorium of the Flemish Government of Belgium, April 2008, 91 p. Bultot, F., Coppens, A., & Dupriez G. (1983). Estimation de l’évapotranspiration potentielle en Belgique. Publications/publicaties série/serie A, No /Nr 112, Institut Royal Météorologique de Belgique – Koninklijk Meteorologisch Instituut van België.

Burlando, P., Pellicciotti, F. and Strasser, U. (2002). Modelling mountainous water systems between learning and speculating looking for challenges. Nordic Hydrology, 33(1): 47–74. Carlsson. B., Graham. L. P., Andreasson. J., Rosberg. J. (2005). Exploring the range of uncertainty in climate change impacts on runoff and hydropower for the Lulealven River. 15th International northern research basins symposium and workshop, Sweden 29 Aug, 2005. DMI (2004). Prediction of Regional scenarios and Uncertainties for Defining European Climate change risks and Effects: PRUDENCE. Danish Meteorological Institute. Economie (2006). SPF Economie 1998/2007. Federal Belgian Government, Direction Generale Statistique et Information Economique. http://statbel.fgov.be/figures/ d130_fr.asp Giorgi, F., Mearns, L.O. (1991). Approaches to the simulation of regional climate change. A review, Reviews of Geophysics 29: 191–216. Intergovernmental Panel on Climate Change (IPCC) (2000). Special Report for Emission Scenarios (SRES). Intergovernmental Panel on Climate Change (IPCC) (2001). Third Assessment Report (TAR) 2001. Intergovernmental Panel on Climate Change (IPCC) (2007). Fourth Assessment Report (FOAR) 2007. ISC (Internationale Scheldecommisie) (2005). Scheldt international river basin district, roof report, http:www. scaldit.org Jasper, K., Calanca, P., Gyalistras, D. and Fuhrer, J. (2004). Differential impacts of climate change on the hydrology of two alpine river basins. Climate Research, 26(2): 113–129. Lettenmaier, D.P., Wood, A.W,. Palmer, R,N., Wood, E.F., Stakhiv, E.Z. (1999). Water resources implications of global warming: AU.S. regional perspective. Climatic Change 43: 537–579. Loukas, A., Vasiliades, L., Dalezios, N.R. (2002). Potential climate change impacts on flood producing mechanisms in southern British Columbia, Canada using the CGCMA1 simulation results. Journal of Hydrology, 259(1–4): 163– 188. Middelkoop, H., Daamen, K., Gellens, D., Grabs, W., Kwadijk, J.C.J., Lang, H., Parmet, B.W.A.H., Schädler, B., Schulla, J., Wilke, K. (2001). Impact of climate change on hydrological regimes and water resources management in the Rhine basin. Climatic Change, 49: 105–128. Vehvilainen, B., Huttunen, M. (1997). Climate change and water resources in Finland. Boreal Env. Res. 2: 3–18. Willis, I., Bonvin, J.-M. (1995). Climate change in mountain environments: hydrological and water resource implications. Geography, 80(3): 247–261.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

2D modelling of sewer flooding in the urban environment F. Dow JBA Consulting, Port Neuk, Edinburgh

O. Saillofest MWH/JBA Consulting JV, Belgium

ABSTRACT: Modelling of overland flow of sewer flood water is becoming an essential component of urban flood risk assessment. When assessing the potential impacts of extreme events, the assumption that overland flow is contained within roads and can be modelled in 1D is not always appropriate to follow. This paper introduces the use of a 2D raster based routing overland flow model and its function in assessing flood risk from sewer systems modelled using InfoWorks CS. The case study highlights the role of 2D flood outlines in identifying spatial planning needs for Renfrewshire Council. Keywords: 1

overland flow; spatial planning; urban drainage

INTRODUCTION

Renfrewshire Council have commissioned various studies of overland flow in urban areas during the design of the North Renfrew Flood Prevention Scheme and analysis for the Interreg IIB NWE Project ‘Urban Water’. Through these studies various methods and hydraulic models of the pipe and river network were trialled to assess their suitability for identifying flood locations and volumes and benchmarked against cost and time metrics. These studies have highlighted several issues with hydrological and hydraulic modelling techniques when assessing the extreme flood response of small watercourses in an urban environment. Complications arise in modelling simultaneous flow in pipe drainage networks, watercourses and overland flow. Current established modelling practice deal with these aspects separately, though increasingly integration between these systems is being addressed. A fully integrated approach can be time and data intensive. There was a desire to develop alternative methods to generate flood maps for total coverage of Renfrewshire which was appropriate for informing spatial planning without extensive data collection. The screening techniques were benchmarked against the fully integrated approach and are currently being rolled out for the rest of Renfrewshire. 2

SEWER MODELLING

The most appropriate modelling technique is dependant on the dominant flow regime through pipes,

watercourses or overland. If the majority of runoff is routing through one system the contribution from the other systems can be approximated or ignored. However, a problem occurs when it is not clear from the onset of the study which system is dominant. A pilot study of Johnstone, which is being carried out as part of the Interreg IIB NWE Project ‘Urban Water,’ is primarily concerned with flooding in urban watercourses. One of the aims is to assess the maximum capacity of the watercourses and the return period of the associated flow. The initial approach was to model the watercourses in HEC-RAS. However it became apparent that for detailed studies an InfoWorks CS model was needed to determine the urban runoff hydrographs and flows through the pipe network to the watercourses. Pipe data was available in a format that could be imported into the software. The model was combined with an existing Drainage Area Plan (DAP) model of the combined sewer network. This enabled analysis of flooding from drainage systems as well as the watercourses and analysis of the interaction between the two. 2.1

Limitations of approach

The DAP model is verified on gauged events, with generally low return periods of less than 1 year. The extrapolation of the model to check a 30 year design event, therefore, causes concern and it is uncertain whether the flooding from these higher events is being modelled correctly. For this application, events of up to a 200 year return period are being modelled, which raises more concern. As a result, there is less

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Figure 1. Gully modelling study area.

confidence in the modelled flood volumes for these extreme events. However, the DAP model prediction can be used as a best estimate and can be improved with the further collection of event data and future gauging. Historical flood records have been used to increase the confidence of the model. The DAP model was originally created to store surplus flood volume above the flooded manholes, which is appropriate for the analysis carried out as part of the DAP study. For analysis of more extreme events, this assumption may result in flood water being stored above ground to unrealistic depths. Therefore these ‘flood cones’ were removed and no storage of water above ground was modelling in the 1D model. The DAP model was verified using non-flood events and any errors in the cover levels of the manholes or incorrect assumptions regarding sealed manholes may not be identified. These factors have a significant influence on the flood response during extreme events and should be verified by other survey methods. 2.2

Initial assumptions

The approach adopted is iterative. The initial approach is to assume that all the flood water surcharges from the manhole and flows away and, in the model, water flooding from manholes is lost from the system. This also assumes that any water running over the road system will not be able to re-enter the pipe system, which is appropriate as the entire system is likely to be surcharged during the 200 year event. 2.3

to determine the critical design storm duration. The initial approach was to model the pipe and open channel networks separately, using the most appropriate software, however, this involved exporting and importing flow hydrographs between software packages for various durations in order to identify the critical duration of the watercourse. It was simpler to include the watercourses in the sewer model, as the watercourses were heavily modified for the majority of the length with few natural bends or variations in cross section along a reach. Watercourses modelled in InfoWorks CS require “manholes” at a change in cross section and the software has limited ability to model flow behaviour around structures within open channels. The open channel sections were benchmarked against HEC-RAS models of the same sections and the water surface was found to be within an acceptable tolerance of the levels predicted by HEC-RAS. However, the HEC-RAS models are to be used for design of works within or adjacent to the watercourses.

Modelling open channel sections

Time of concentrations of the watercourses require calculation at key flood locations in the watercourses

2.4

Modelling of gully connections

To add all the gully connections to the entire model would be time and data intensive and therefore is only viable if there is a strong case for including this level of detail. A small section of the model was tested to determine the role of gullies in the flood regime and overland flow. The Cartside area is a small residential estate that drains to a combined sewer and has a long history of pluvial flooding. Even relatively low return period rainfall events results in ponding on the low-lying areas.

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The findings of the study of gully modelling were: 1. In this study area the slopes were not steep enough to have significant bypass of the gully grating and the grating has sufficient capacity to drain the 200 year event. 2. When the sewer system surcharged, the restriction in flow out of the gullies due to the stage discharge relationship reduced the volume of flooding predicted. 3. The constraint in the network occurred at the connection pipe between the gully pot and the combined sewer system, which only constrained very intensive storms of over 100 mm/hr. It was concluded that inclusion of gullies within the sewer models was not justified for this study and the over prediction of flood volumes was acceptable when assessing flood risk at a strategic level. The historical flooding from the gullies was most likely to be from surcharging blockage of either the combined sewer system or the gully pipe connections. 3

OVERLAND FLOW MODELLING

JFLOW is a simple 2D raster based model developed by JBA Consulting. It is ideal for providing fast, cost effective estimates of flood depth, velocity and extent on a catchment scale, as the only data inputs required are inflow data and a Digital Elevation Model. The hydraulics methodology is based on a diffusion wave approximation and is simpler to use and more robust than fully hydrodynamic models. It ensures accurate conservation of the volume of water, which can be a problem in some 2D-hydrodynamic models (Wheater, 2001). Work by Horritt and Bates (2001) has shown that such models are able to give as good or even better predictions of inundation extent where flow is strongly topographically driven. The model has been used for both small-scale breach/overflow analysis and large scale catchment modelling. For each scale an appropriate DEM grid-size is selected. For example, when the model has been applied to urban areas it uses high resolution (2 m) grid size. The basis of the current model is that each grid cell acts as a small flood cell and the links to each of the surrounding cells are automatically calculated; it is capable of simulating the inundation extent at a level of detail equal to the underlying DEM. It is fundamentally volume conservative and, in a given time period, will simulate the peak water levels across the floodplain depending on the volume of water that has entered the floodplain. This approach can be considered halfway between the common 1D hydrodynamic models described above and a 2D hydrodynamic model. 2D hydrodynamic models are based on solution of the depth-averaged form of the Navier-Stokes Equations, which include momentum calculations as well as

mass-conservation. Such models are therefore able to resolve momentum-related aspects of the flow such as recirculation zones and inertial effects in fast-flowing deep channels. However, they are generally more complex to set-up and run and can suffer from mass conservation problems at the wetting/drying front (Wheater, 2001), particularly in finite-element form. Flows in the urban environment are characterised by numerous transitions to supercritical flow and numerical shocks, but the effect of these are localised and they do not appear to affect overall wave propagation. For flood risk studies it therefore does not appear necessary to utilise a shock capturing code unless an oscillation-free solution is important for some other reason (Hunter, 2008). JFLOW is a GIS tool and therefore manhole flood volumes can be easily exported from InfoWorks CS and imported to JFLOW and runs can be carried out instantly without generating a mesh or even knowing the overland flow routes to model. This provides the distinct advantage of being able to model large areas with simultaneous inflows; the limitation resides in computer power rather than set-up time or limited number of cells in a mesh. 3.1 Overland flow results The overland flow simulations show a rate and extent of flooding during the extreme events. The results are also used to determine problem roads where the depth of water would be greater than 150 mm and 300 mm, assumed to prevent access by emergency vehicles. Local knowledge of the topography is still necessary to identify details that may affect overland flow. Following the initial overland flow modelling the modeller should walk through the catchment to identify these features and commission ground survey of influential items. Initial JFLOW results enabled identification of the overland flow routes and ponded areas. The analysis also identified which overland flow paths could be approximated in 1D, which were, in general, those where flow remained within the road network. These overland flow paths could then be added to the InfoWorks CS model. This allowed analysis of a more realistic situation where the flow re-entered the sewer network. The overland flow paths could have been identified using the rolling ball method either in InfoWorks CS of through GIS DEM analysis; however the JFLOW results could identify paths generated by overflowing sinks, which is difficult with the 1D version of InfoWorks CS. Originally, the assumption that the system is surcharged and that no water can re-enter the network was deemed acceptable, as the sewer system is likely to be at capacity during a 200 year event. However this was found not to be the case along roads with gullies

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Figure 2. Flood Extent with and without sewer Re-Entry © Crown Copyright-All rights reserved Renfrewshire Council 100023417-2004.

that connect directly to culverts with large capacities, as identified in Renfrew during the analysis of secondary flood risk as part of the North Renfrew Flood Prevention Scheme. Figure 3 highlights the difference in flood outline and depth once the water is allowed to re-enter the network again. It is also interesting to note that the area to the west had a greater flood depth as the water that re-entered the network added to existing flood volume in a depression.

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RAINFALL MAPPING

JFLOW can also model direct rainfall on a catchment making every cell wet and then route the water over the ground model. The approach is to generate a design hyetograph - in this case the standard summer bell shape was used - and remove some of the rainfall to account for losses to the sewer and watercourse network.A range of return periods, durations and assumed losses to sewers were tested. The final maps produced are of the 200 and 1000 year rainfall events with the peak rainfall intensity from a 30 year design event removed. The 1, 4, 12 and 24 hour storms were modelled and the outlines were generated from an envelope of the results from all these events. As every cell is wet

in the model the flood outlines have to be generated by screening the results above a threshold; in this case, the outlines were generated from depths greater than 50 mm, and the outline was cleaned to remove scatter from ponding in small local depressions. The results were benchmarked against the results from the fully integrated model and found to be an acceptable screening approach to inform spatial planning. The two outlines highlight significant risk to the northwest and identify major overland flow routes to be safeguarded. Figure 3(a) also identifies an overland flow route in the south east which was not predicted by the model. This is because there is a culvert with significant capacity greater than the 30 year event running underneath this flow route and, therefore, the removal of the 30 year event did not sufficiently account for water that would enter the system here. The appropriation of loss to the sewer system can be informed by culvert capacities within regions, but using this standard assumption initially for screening purposes allows the council to establish complete coverage of pluvial flood risk maps for the local authority area within a couple of months for use with spatial planning without any data collection. Over time, these maps will be refined as more data is collected increasing the understanding of the below ground system.

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Figure 3. (a) Rainfall overland modelling, (b) overland flow modelling of flooding from integrated urban drainage model ©Crown Copyright-all rights reserved Renfrewshire Council 100023417-2004.

5

CONCLUSIONS

Modelling of overland flow of sewer flood water is becoming increasingly required for the assessment of urban flood risk. More research is required to test new methods for integrated modelling. A key limitation in overland flow modelling is the lack of accurate DEMs, but improvements are continually being made with further advances in photometry methods and urban surveying techniques. Extreme flooding does not always stay within the road network and therefore cannot be modelled in 1D. 2D modelling needs to be carried out to identify the flow paths that can be modelled in 1D. Designing solutions based on whole catchment analysis of storms critical to the watercourses ensures that all systems are designed to integrate with each other. If attenuation for individual developments is designed separately, the attenuation may result in urban runoff peaking later and coinciding with the rural runoff peak, which would exacerbate flooding. Sewer systems are often analysed in isolation, but integrating the sewer system with the watercourse network allows for the analysis of sewer tailwater levels. Flooding can be caused by sewer systems being prevented from discharging due to high river levels, which is difficult to account for in separate simulations. There is great value in the modeller walking through the catchment to get an appreciation of the topography and watercourse network. Historical flood data is

invaluable. Even if the system has been altered a model should be calibrated to the historic rainfall event. If there are flooding areas in the model which did not flood historically, it is likely that the system has not been modelled correctly. Discovering inconsistencies such as these is the best way to find errors in the model. 6 ACKNOWLEDGEMENT This project is in partnership with Renfrewshire Council, Urban Water Technology Centre, Paisley University, Scottish Environment Protection Agency (SEPA) and Scottish Water. Particular acknowledgement goes to Stephen Tingle at Renfrewshire Council and my colleagues at JBA Consulting for assistance and advice throughout the project. REFERENCES Horritt M.S. and Bates P.D. (2001). Predicting floodplain inundation: raster-based modelling versus the finite element approach. Hydrological Processes, 15, 825–842. Hunter N.M., Bates P.D., Neelz S., Pender G., Villanueva I., Wright N.G., Liang D., Falconer R.A., Lin B., Waller S., Crossley A.J. and Mason D.C. (2008). Benchmarking 2D hydraulic models for urban flooding. Water Management, 161(WM1), 13–30. Wheater. (2001). Whole Catchment Modelling: A review of the state of the art, Presented to the MAFF/EA workshop on Broad Scale Modelling, January 2001.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Intelligent decision support system based geo-information technology and spatial planning for sustainable water management in Flanders, Belgium H.A. Saleh Development Centre, Ministry of Local Administration and Environment, Damascus, Syria Institute for Sustainable Mobility, Ghent University, Belgium

G. Allaert & R. De Sutter Institute for Sustainable Mobility, Ghent University, Belgium

W. Kellens & Ph. De Maeyer Department of Geography, Ghent University, Belgium

W. Vanneuville Flanders Hydraulics Research, Authorities of Flanders, Antwerpen, Belgium

ABSTRACT: The paper outlines the main features of an intelligent decision support system based on existing and planned tools for optimising water management and flood risk reduction. Up to now, flood risk is increasing and environmental degradation is continuing; this requires developing robotic algorithms that can provide a degree of functionality for spatial representation and flexibility suitable for creating real-time solutions that maximize the urban flood protection measures. Moreover, the volume of data collected is growing rapidly and sophisticated means to efficiently optimise the data are essential. There is a need to develop a shared information system for flood management which will promote model and systems integration, monitoring, and decision making in strategic planning and emergency situations. This advanced area of research is a promising direction for producing an effective time-efficient solution to flood risk reduction where other methods failed. Therefore, the objective of this paper is to bring together innovative methods in the field of artificial intelligence, geoinformation technology and spatial and environmental planning to achieve more effective water management and flood risk reduction in Flanders. Keywords: Artificial intelligence; decision support; flood management; sustainable spatial planning

1

INTRODUCTION

Floods are regularly recurring natural disasters caused by extreme weather conditions, and in comparison with other natural disasters, floods can often cause tremendous economic damage and lead to environmental emergency situations that compromise the integrity of large infrastructures and the lives of many human beings. This is clearly evident in the recent devastation caused by Hurricane Katrina in 2006, when historic flooding affected not only the New Orleans area, but three coastal states in the USA. Over the last decade, Europe has experienced a number of unusually long-lasting rainfall events that resulted in severe floods – in the Netherlands, France and Germany (1993, 1995); the Czech Republic, Poland and Germany (1997); North Italy (1994, 2000); the UK (1998, 2000); and recently in Germany, Austria,

the Czech Republic, Slovalia, Russia, and Romania (2002, 2004). At the same time, Flanders has suffered repeated major flooding events (December 1993, January 1995, September 1998, and December 1999), and wide areas of the region were inundated causing significant damage to many essential infrastructures, as well as distress to the local population. Based on the increasing frequency and magnitude of flood events and responding to the above critical situation, the Flemish water administrations (Flanders Hydraulics Research (FHR) and Flemish Environmental Agency Water Department) encouraged several programmes for its flood management policy and to establish a preventive approach of flood protection. FHR has already developed several computer models of the most important streams to imitate the floods and to predict their geographical extent. This is done in online and offline mode. The offline study mode is used for scenario

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calculations based on synthetic hydrographs while the online mode uses more than 400 rainfall, water level, velocity and discharge measuring stations sending values to the database with intervals between one minute and 60 minutes. To calibrate these models, an inundation database is provided with the models and contains the natural flooding areas (NOG) and the recently flooded areas (ROG) in Flanders from 1988 to 2005 (NOG/ROG data base). The database has been built up with information from local authorities, Flemish administrations and consultancy agencies. Also, the database is used as an important instrument for the policy of regional planning and the operational water system management. Statutory maps for the Watertoets (water test) or disaster insurance law are based on a combination of modelling results and the ROG database. The research described here will effectively support an existing programme called ‘LATIS’ which has been developed by the Department of the Geography, Ghent University, for flood management at Flanders Hydraulics Research. The main objective is the development of a new and improved methodology to optimise the functionality of the existing model, using robotic and innovative procedures, based on the ideas of artificial intelligence. The developed methodology will take into account all relevant aspects of flood management: preventive measures, water management, land-use, urban development at all levels (local, regional, and national), monitoring and forecasting overflows, early warning, simulation and optimisation procedures, etc. This will generate knowledge contributing to the design of effective response actions that maximise the urban flood protection and safety measures. 2 THE CURRENT SITUATION OF FHR-RISK MODEL PROGRAMME

water levels and discharges were taken into account, this methodology allows a more objective comparison between different hydrographic catchments. Instead of working with freeboards based on known water levels, the FHR-Risk Model is based on robust time series statistics and Peak Over Threshold (POT) selection for the derivation of return periods. However, the model still has several weak points on important technical issues such as: working with a very fine grid (making the calculation times very long), no optimal use due to the doubles (calculations are sometimes done twice in different sub-modules of the program), not enough output information about levels of uncertainty around the result, and limited knowledge about the propagation of input errors in the result, etc. Some of the uncertainty questions are solved partly based on case studies and parameter variation, but due to calculation times and model restrictions an additional system is needed. The developed system will be designed to consider several levels of planning and decision making through the management of spatially referenced data with advanced computer simulation, graphical visualisation, and dynamic metaheuristc methods. Several important elements must be integrated into a new strategy that will be practically embedded in the current model. The proposed strategy involves aspects of: (1) spatial planning and land-use regulation (e.g., declaration of flood risk areas as priority and reserve areas, etc), (2) water management (e.g., determination of flood areas, installation of flood action plans, and installation of regional flood concepts, etc.), and (3) risk management (e.g., flood forecasting, implementation of early-warning systems, and development of flood hazard and vulnerability maps, etc.).

3

Because of the complexity of flood prevention, the research has concentrated on achieving a better understanding of causes, methods of prediction and management of floods and their damage, and preventative risk reduction by sustainable spatial planning (e.g., landuse control, regional and urban development planning, etc.). The paper will describe the planned improvement and optimisation stages of FHR-Risk Model programme which is in use at FHR and many engineering companies for studies ordered by public and private organisations in Belgium and Europe. It is used for the EU InterregIIIb projects, COMRisk and SAFECoast, and is one of the base methods for the social cost benefit analysis of the New Sigma Plan (Schelde Area) and the Integrated Coastal Safety Plan (a description of the modelling tools used and some results can be found in (Vanneuville et al 2003, 2005) and (Verwaest et al 2005)). Compared to previous approaches where only

RULES OF SPATIAL PLANNING IN FLOOD MANAGEMET

As a consequence of the enormous economic damage caused by recent floods, various flood mitigation measures –and not only structural measures such as dams and dikes– must be combined in an integrated approach to flood management (Friesecke, 2004). Flood reduction is part of sustainable urban water development and there are methods of improving preventive flood protection based on spatial planning and urban development: 1) Protection of existing retention areas: e.g., declaration of flood areas, determining the access to rivers, cleaning out the riverbeds, protecting and increasing the vegetation areas on the banks, the execution of a water test for all future interventions in the river bed, the banks, retention areas, and keep controlling the disposal within environmental permission, etc.

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2) Extension of retention areas: e.g., backward relocation of dikes, creating detention ponds, restoration of large streams, flood plain scrapes/deepening of retention areas, etc. 3) Retention in the catchments: e.g., rainwater storage and grey water use, restriction of sealed surface, reduction of interflow on agricultural and forestry land, restoration of small streams, etc. 4) Minimisation of damage potential: e.g., preventive land-use management, precautionary measures of construction, information of the public, improvement of public awareness, prediction of floods and warning, disaster prevention/control, etc. 5) Technical flood protection measures: e.g., dikes, flood protection walls, retention ponds, river dams, barrages, etc.

IDSS (Decisions) Dynamic Model (Knowledge) Central Database (Information) All the related Data Figure 1. Structure of the Intelligent Decision Support System (IDSS).

Flood risk can only be effectively reduced if, in addition to technical measures, spatial planning strategies are used to regulate land-use in flood-prone areas. Precautionary and sustainable spatial planning efforts must strive to achieve a balance between economic urban development and urbanisation, while securing more space for water retention. Land-use planning plays a vital role in preventive flood management and directly contributes to flood control (determination of flood risk areas), and indirectly contributes to the minimisation of flood hazards (reforestation, avoidance of sealing). In addition, flood mapping is an important basis for all flood damage reduction programmes.

an experienced designer to find an optimal design using current methods, as they do not provide spatial representation of the whole situation and lack the ability to select ‘interesting’ contingencies for which to optimise. Once such designs are obtained, the technical-user will be able to select an acceptable design by trading off the competing objectives against each other, as well as taking into account other practical considerations. The final design should be robust (i.e., performs well over a wide range of environment conditions), sustainable (i.e., not only optimal under current conditions, but also taking into account predicted changes in climate and hydrology parameters), and flexible (i.e., allows easy adaptation after the environment has changed).

4

4.1 Metaheuristic techniques

INTELLIGENT DECISION SUPPORT SYSTEM (IDSS)

It is envisioned that the main component of the conceptual framework for flood management is a decision support system (Loucks, et al 1991). The main innovative aspect of the developed system is the integration of a comprehensive geographical and environmental data collection, and data management tools with simulation and decision tools for flood management. Metaheuristic algorithms (which are based on the ideas of artificial intelligence) potentially have the ability to produce sets of high quality real-time designs that can model more closely and easily many objective functions, visualize the trade-offs between them, and then filter and cluster top optimal solutions (Osman and Kelly, 1992). In addition, metaheuristics can provide instantaneous comparisons of the achieved results of different developed designs using several procedures such as convergence, diversity, and complexity analysis. This will allow the modeller to develop a precise and unambiguous specification that can help in estimating the impacts of the proposed metaheuristics on an actual development process in the presented design. Currently, it is almost impossible even for

The developed system will be combined with more classical techniques of engineering analysis, data processing and computer simulation and coupled with metaheuristic techniques. The well-known optimisation metaheuristics that have been successfully applied to real-life applications are: simulated annealing, tabu search, ant colony optimization, and genetic algorithm (Saleh and Dare, 2002). These metaheuristics are inspired, respectively, by the physical annealing process, the proper use of memory structures, the observation of real ant colonies, and the Darwinian evolutionary process. 4.1.1 Simulated Annealing (SA) technique The SA technique is flexible, robust and capable of producing the best solution for complex real-life problems (Aarts and Van Laarhoven, 1995). This technique is derived from physical science and is based on a randomisation mechanism that creates solutions and accepts the best one. The annealing parameters that have to be specified are: initial temperature, the temperature update function, the length of the Markov chain and the stopping criterion. The initial temperature simulates the effect of temperature in the

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search process to find the best candidate of the final design. The temperature update function determines the behaviour of the cooling process, while the length of the Markov chain represents the number of iterations between successive decreases in temperature. The optimisation process is terminated at a temperature low enough to ensure that no further improvement can be expected. With suitable annealing parameters, an optimal (or close to optimal) solution to a flooding problem can be achieved for (Saleh and Dare, 2001). 4.1.2 Tabu Search (TS) technique The TS technique, which is a global iterative optimisation, exploits knowledge of the system or “memory” under investigation to find better ways to save computational efforts without effecting solution quality (Glover and Laguna, 1997). The most basic form of the TS is the construction of a tabu list which prevents the search from cycling by forbidding certain candidates and then directing the search towards the global optima.At the beginning of the process, this list is often empty but is created during the search process by the addition of candidates that could return the current candidate to previous local optima. Implementation of TS requires specification of tabu parameters: the tabu list, the candidate list, the tabu tenure, and the stopping criteria. The tabu list is a memory structure that prohibits moves that have recently been interchanged to prevent cycling from occurring. The candidate list contains a set of selected moves that gives the bestgenerated neighbouring candidates that surround the current candidate. The tabu tenure determines the number of iterations for which a candidate maintains its tabu status (Saleh and Dare, 2003). 4.1.3 Ant Colony Optimization (ACO) The ACO is a multi-agent approach to search and reinforce solutions in order to find the optimal ones for hard optimization problems. This technique is a biological-inspired agent based on the foraging behaviour of real ant colonies for distributed problemssolving (Dorigo and Gambardella, 1996). The basic idea underlying this metaheuristic is the use of chemical cues called pheromone (form of collective memory). The function of this pheromone is to provide a sophisticated communication system between ants that cooperate in a mathematical space where they are allowed to search and reinforce pathways (solutions) in order to find the optimal one. This metaheuristic includes positive feedback (intensity to quickly discover good solution), distributed computation (to avoid premature convergence), and the use of a constructive greedy metaheuristic (visibility to help find an acceptable solution in the early stage of the search process) (Saleh, 2002a). 4.1.4 Genetic Algorithms (GAs) Unlike the above mentioned techniques, GAs, which are inspired from population genetics, operate on

a finite pool of solutions (usually called chromosomes) (Goldberg, 1989). The chromosomes are fixed strings with binary values at each position. The main idea behind GAs is to maintain this pool of selected solutions that evolves under selective pressure that favours better solutions. To facilitate production of better solutions and prevent trapping in local optima, a set of genetic operators are used. These operators include cross-over, mutation, and inversion. In cross-over, some cut-points (members of the population) are chosen randomly and the information between these chromosomes is exchanged. The mutation operator prevents GAs from trapping in local optima by selecting a random position and changing its value. In Inversion, two-cut points are chosen at random and the order of the bits is reversed (Saleh and Chelouah, 2003). 4.2

Geo-information technology

More than 85% of all the information used by water management is geographically referenced or, at least, geo-coded.The developed system utilizes the strengths of geo-information technologies (Geographic Information Systems (GIS), Remote Sensing (RS), Global Navigation Satellite Systems (GNSS), Internet, etc) in providing and representing spatial data, and dynamic models in analysing and representing temporal processes. Satellite imagery, which is in digital format, allows for the acquisition of environmental data and land occupation patterns and features over large areas. The main limitations of satellite images are cloud cover and resolution. Some of these problems may be circumvented using GNSS receivers. When associated with GIS, a GNSS receiver is the main reliable source for quick and accurate on-line information as well as a powerful dynamic mapping tool (Leick, 1995). Vegetation, land-use patterns, surface waters, quality and humidity of the soil, tracking the environmental characteristics and changes useful to the study of freshwater resources; changes in climate may be monitored by GNSS satellites. GIS facilitate the integration of quantitative water determination and control data with data obtained from maps, aerial photos, satellite images and satellite navigation systems (Saleh, 2002b). 4.3 The Objectives of IDSS and its central database The developed decision support system will be connected to a power database to effectively optimise flood management over other existing methods by: 1) Providing access through a multiple-level webbased interface to a wide range of data types collected at investigated region in real-time. The user interface includes a module for computer

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simulation of different flood scenarios, a tool for managing simulation results, communication tools, etc. This , for example, will help to optimise the stream gages locations and their operations for flood predictions (including early warning and cost-benefit analysis). 2) Combining the observational data with innovative data analysis to improve forecasting and risk assessment and analysing and providing a clear physical representation of the processes involved that define risk zones and emergency scenarios (which is one of the main limitations in the existing model) (Saleh and Allaert, 2005). For example, values of water depth, velocity and their combination, and the flood time are visualised in a global map, providing a useful tool for emergency management and for determining protective measures against floods. This will support a human interface and allow the technical-user to interact with the current representation of the design, enhance the user’s understandings, make it quicker for information to be reached on time, and react properly to warnings. 3) Developing advanced computational methods for collecting, processing, and generating the data necessary for the fast and accurate simulation of different flood situations and the 3D visualization of numerical results. This will: a) give the synthesise results of monitoring data from different sources, models, data analysis, etc; b) support the evaluation of the effect of alternative response scenarios by optimising the information overload (i.e., how to filter information and still get the right information, to the right people, at the right time); and c) assist in establishing the social, economic and environmental goals for managing floods. 4) Developing a flood warning network for assisting in real-time emergency services (Saleh, 2006). Metaheuristics can successfully handle a mix of continuous and discrete parameters, as well as select individual components from the database. The network will be connected to a database that combines environmental and geophysical data from earth observation, satellite positioning systems, in-situ sensors and geo-referenced information with advanced computer simulation and graphical visualisation methods (Peng, et al 2002). The database will provide the following internet-based services: quickly locate and ensure data availability where and when needed; detailed descriptions of contents and limitations of the data; and present the data in different formats (maps, graphs, pictures, videos, etc.). In addition, the database will be designed to be searchable by data type, data holder/owner, location, etc, and will be used in three modes: planning and design for flood protection; real-time flood emergency; and flood recovery.

5

CONCLUSION

Flood protection is becoming more and more important in meeting sustainable water development objectives. In order to be effectively prepared for floods, interdisciplinary and precautionary measures with regard to water management, spatial planning, and land management are necessary to increase protection measures and reduce flood damage. The proposed research constitutes a crucial step in water management by elucidating how artificial intelligence and spatial planning could be efficiently introduced in the design process of flood prevention to create dynamic optimisation methods that potentially reduce damage. In comparison to the use of metaheuristic methods to optimise other real-life applications in the domain of disaster management and risk reduction, these methods can potentially provide vital information that is quicker, better, and at a lower cost than existing methods (Saleh and Dare, 2000). The project will also show how a novel approach to the parallelisation and hybridisation of metaheuristics, coupled with local search procedures, can simplify the handling of data, minimize execution time, and facilitate the design modelling approach based on the simulation and optimisation process (April et al 2003). Furthermore, a sensitivity analysis, using an anticipatory process, will be performed in order to handle robustness and simulate an appropriate behaviour of the design parameters in real-time (Glover et al 2004). This project, by developing a new methodology for effectively optimising the use of these technologies, coupled with a longterm sustainable spatial planning strategy, can help to increase protection measures and reduce flood damage in Flanders. REFERENCES April, J., Glover, F., Kelly, J. and Laguna, M. (2003). Practical Introduction to Simulation Optimisation, Proceedings of the 2003 Winter Simulation Conference, New Orleans, USA. Arts, E. and Van Laarhoven, P. (1985). Statistical Cooling: A General Approach to Combinatorial Problems. Phillips Journal of Research, 40, 213–225. Deb, K., (2001). Multi-objective Optimisation using Evolutionary Algorithms. Wily & Sons, Ltd, Chichester. Dorigo, M. and Gambardella, L. M., (1996). Ant Colony System: a Cooperative Learning Approach to the Traveling Salesman Problem. IEEE Transactions on Systems, Man and Cybernetics-Part B, 26, 29–41. Friesecke, F. (2004). Precautionary and Sustainable Flood Protection in Germany–Strategies and Instruments of Spatial Planning, Proceedings of the 3rd FIG Regional Conference, Jakarta, Indonesia. Glover, F. and Laguna, M. (1997). Tabu Search, Kluwer Academic Publishers, Boston, USA. Glover, F., Cavin, L. and Fischer, U. (2004). Multi-objective process design in multi-purposes batch plants using Tabu

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Search optimisation algorithm. Computers and Chemical Engineering, 28(4), 459–478. Goldberg, D. E. (1989). Genetic Algorithms in Search, Optimization and Machine Learning. Addison-Wessley Publishing Company, Inc, USA. Loucks, D.P., and daCosta, J.R. (eds.). (1991). Decision Support Systems: Water Resources Planning. SpringerVerlag, Berlin. Osman, I. and Kelly, J. (1992). Meta-heuristic: An overview. In: Meta-heuristics: Theory and Applications, Dordrecht: Kluwer Academic Publishers. Peng, G., Leslie, L. and Shao, Y. (2002). Environmental Modelling and Prediction. Springer-Verlag, New York. Saleh, H. and Dare, P. (2000). Local search strategy to produce schedules for a GPS surveying network, Tutorial & keynote papers of the 11th YOR Conference, Cambridge, UK, 28–30 March. Saleh, H. and Dare, P. (2001). Effective Heuristics for the GPS Survey Network of Malta: Simulated Annealing and Tabu Search Techniques. Journal of Heuristics. 7(6), 533–549. Saleh, H. (2002a). Ants can successfully design GPS Surveying Networks. GPS World, 13(9), 48–60. Saleh, H. (2002b). Metaheuristics for optimising the use of Geographic Information Systems, Proceedings of the Euro-conference of the Science for Water Policy (SWAP): The Implications of the Water Framework Directive, East Anglia. UK. Saleh, H. and Dare, P. (2002). Heuristics for Improved Efficiency in the Use of the Global Navigation Satellite

Systems (GNSS) for Establishing Positioning Networks. Marie Curie Fellowship Annals (MCFA), II, 62–74. Saleh, H. and Dare, P. (2003). Near-optimal design of Global Positioning System Networks using Tabu Search Technique. Journal of Global Optimization, 25, 183–208. Saleh, H. and Chelouah, R. (2003). The design of the Global Navigation Satellite Surveying Networks using Genetic Algorithms. Journal of the Engineering Applications of Artificial Intelligence, 17(1), 111–122. Saleh, H., and Allaert, G. (2005). Dynamic Optimization for Environmental Pollution Control and Risk Management, Proceedings of the Sustainable development for the Syrian Coast, Lattakia, Syria. Saleh, H. (2006). Space and Information Technologies for Designing Disaster Warning Network. Proceeding of the 15th International Symposium on Remote Sensing and Assisting Systems, Damascus, Syria. Vanneuville, W., De Maeyer, Ph., Maeghe, K., and Mostaert, F. (2003). Model the effects of a flood in the Dender catchement based on a risk methodology, Society of Cartography Bulletin, 37 (2), 59–64. Vanneuville, W., De Rouck, K., Deschamps, M., De Maeyer, Ph., and Mostaert, F. (2005). Spatial Calculation of Flood Damage and Risk Ranking. Proceedings of AGILE2005, Lissabon, Portugal. Verwaest, T., and Trouw, K. (2005). Risk Assessment into Flanders–COMRisk Subproject 6. Die Küste, 70, 75–85.

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A trans-disciplinary approach to confronting climate trends and extreme weather in urban areas M. Siekmann∗ , P. Staufer, S. Roder, Ch. Hellbach & J. Pinnekamp ∗ Institute

of Environmental Engineering Aachen University (RWTH), Germany

ABSTRACT: In the context of climate change, an increase of storm water events combined with longer droughts is predicted. subsequently, this results in growing discharges of sewage into receiving water bodies with harmful consequences for surfaces water. As well, longer dry weather periods and an increase of the annual average air temperature will produce a shift of water balance and a decrease of available water resources, with particular hazard for drinking water supply. Due to the currently foreseeable remodelling of settlement areas – not least activated by the looming population development in Germany and Europe – actions should be taken to counteract the consequences for water management out of the climate trends and the shift of extreme weather statistics. To meet these challenges an interdisciplinary competence network was formed including participants from urban planning, water resources management, drinking water supply and social scientists. The interdisciplinary cooperation shall assure that the predicted harmful outcomes on the urban water management not only can be attenuated but also be compensated by sustainable water sensitive methods. This paper deals with a first assessment of the primary issues, states scenarios to assess the range of change and to overcome lack of information, and presents matrices containing adaptation measures. Keywords: Adaptation; climate change; global warming; residential areas; water sensitive urban design

1 1.1

INTRODUCTION

2007, Jacob 2006, Lehner et al. 2001, Middelkoop et al. 2001).

Impacts of climate change to the hydrological cycle

Climate change will affect the temperature as well as the frequency, duration and intensity of storm water events. The hydrological balance of rivers and watercourses normally will rely on large-scale processes in time and space, while urban runoff depends on local storms and needs to be modelled by higher temporal (minutes) and spatial (hectares) resolution. The size of the shift in the water balance, however, differs greatly between the various climate zones of Europe. Nevertheless, the sensitive hydrological cycle is bound to react with

It is predicted that the changes of the hydrological cycle of large areas and whole river basins will be severe. When these changes are investigated in combination with impacts on the hydrological cycle that has already been modified by urbanisation the outcome will be more hazardous. The processes involved in the hydrological cycle within urban areas reacts more quickly than those of pervious areas. Not only hydrological aspects but also water quality will be affected by the given changes. 1.2

•

a smaller groundwater recharge and lower groundwater level; • rising water stress in areas which are already confronted with water shortage; • an increase in the number of flooding due to storm water events and; • higher fluctuating discharges of water bodies throughout a year as a result of an increase of the occurrence of flooding (EEA 2007) and longer periods of low river-flows (Figure 1) in summer (EEA

Migration, population and demographic changes

Infrastructure systems are designed to accommodate a certain population. If the population exceeds the infrastructure limits, e.g. water supply system or sewerage, the system needs to be expanded. In European countries enlarging a given system is possible, because population growth is accompanied by economic growth. In contrast, at the centre of the current debate about future European water infrastructure systems is declining consumption consequential

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wastewater managers cooperate within the established network “Klimanet” with town planners, the administration and local authorities, as well as social scientists. The social scientists have the task to identify the risk awareness of the population and its willingness to take part in the change.

2

Figure 1. Rising number of low flow periods (Q < 750 m3 /s) in River Rhine at Gauging station Kaub, Germany, based on the IPCC B2 Scenario (Jacob, 2006).

of declining populations, often influencing, as well, shifts in consumption patterns and reindustrialisation. This is a considerable driving force in the transformation process currently taking place in the water sector (Libbe and Moss 2006). As much as we have to welcome a trend of saving water due to technical innovation, rising prices etc., with regard to environmental aspects, the consequences for the infrastructure systems dimensioned on increasing demand and mass flow rate are significant (Schiller and Siedentop 2005). Because of the longer amount of time that water and wastewater stay in the pipelines, there are deficits regarding the quality, transmissibility, odours, and corrosions as well as increasing deposits. If deposits are remobilised during storm water events, combined sewer overflows and wastewater treatment plants emit higher pollution loads into the receiving water bodies. Furthermore, the infrastructure system features an extremely long-term economical and technical lifecycle. The security connected with this comes with a period of dependency and lack of flexibility of the system. With decreases in utilisation but increasing operating costs, a pitfall of fixed costs will occur. In order to generate the large fixed costs, higher unit prices have to be charged to fewer consumers. This will not only lead to a further fall in the consumption of water, but will also have unforseen socio-political implications in structurally weak areas.

1.3

Local focus

By the use of river bank filtration, the river Ruhr in Germany provides for a significant amount of the water consumption of the region. With regard to climate change, a network was formed to identify the most pressing issues. While including the “lessons learned” from the implementation of the water framework directive (WFD) it was reasoned that a transdisciplinary approach is necessary. Thus water and

OBJECTIVE AND METHODS

The study is based on the first assessment of problems arising in highly industrialised regions due to global warming, demographic changes and migration. Three objectives were pursued. Firstly, the major problems caused by the named anticipated developments were identified and qualitatively approximated. This was carried through with respect to the German technical guidelines and with linear approaches, e.g. in case of sewer discharge by the rational method. Detailed numerical surveys are planed for the future. Secondly, the level of involvement of the population and administration was examined. All developed scenarios are supposed to be dealt with by using water sensitive urban design measures. In order to distinguish this approach of already applied methods of “integrated water management” (Sieker, 1998, Sieker et al., 2005), we chose a system that originated in Australia (Wong, 2005). Because the climate, water infrastructure and local circumstances in Australia differ from Germany some fields and definitions had to be reshaped.

3

LOCAL CIRCUMSTANCES AND PREDICTIONS

The Ruhr area is located in western Germany and covers about 4435 km2 space with about 5246 million inhabitants. The economy developed from formerly mining and steel-producing industries to services and high-end electronics. This economic development will cause a decrease in population (−7 to −2%) within the next 25 years. At best, the cities will have a stable number of inhabitants (−2 to +2%). A small number of cities will even have to endure a loss of up to 12% (Bertelsmann, 2006). However, studies from East Germany illustrate that a decrease in population does not necessarily lead to a reduction of impervious areas (Deilmann, 2007). More so, the impervious areas across Germany increase at a rate of about 100 ha/d (UBA, 2003). Besides theses influences, a slanting demographic pyramid will contribute to new challenges for the water sector and city planning. For instance, rising amounts of micropollutants from medicines may be expected within the sewage. These predictions will also cause many challenges for water and wastewater services.

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Nevertheless, these challenges can also be understood as opportunities originating from former commercial and industrial areas; 8360 ha are presently available for development (RVR, 2006). Three structural scenarios were selected. The first focuses on the city of Bochum where the population is predicted to decrease and a receiving water body is threatened by increased concentration of pollutants from combined sewer overflows. The second scenario covers the transformation of former industrial sites with water sensitive components or their transformation to retention facilities. The last and third structural scenario is the development of green areas within cities in order to prepare and adaptation to climate change and simultaneously advance the aesthetic appeal of the city and contribute to the inhabitants’ well being.

4 4.1

RESULTS AND DISCUSSION Qualitative analysis for the Ruhr area

Based on the report by the IPCC (2007) and regional analyses by the German environmental agency (Zebisch et al., 2005), the assessment lead to the following climate scenarios. The total annular amount of precipitation remains stable while the annular temperature will rise about 2◦ C. Furthermore, 10% to 15% of the precipitation shifts from summer to winter while snow days will almost cease to exist. With respect to extreme storm water events it is predicted that the intensity of rainfall events with short durations less than one hour will become more frequent; a current five year event will become a three year event. This procedure was chosen because reliable data or prognoses are currently not available for durations below 12 h. The 5to3-scenario would lead from a former 15 min design storm of r15,n=3 = 143,5 l/(s∗ ha) to a novel climate change design storm of r15,n=3(cc) = 159,8 l/(s∗ ha) (data from Kostra-DWD, 1997). These scenarios were checked against the current valid technical guidelines. Examples are DWA A-118 (DWA, 2006), DIN EN 752 (DIN, 1996), and ATV A-128 (ATV, 1992). The results of the qualitative assessment are presented in table 1. The vulnerability of raw water quality and water supply, surcharges and operation of drainage systems, as well as the special circumstances of combined sewers is evaluated. With respect to sewer systems, extreme weather in the form of storm water events and longer dry weather periods will have a detrimental impact on the functionality of these systems. This results from increased runoff during extreme storm water events, which exceed the capacity of existing sewer systems. Longer dry weather periods will lead to increasing peak concentrations of first flush events (Arthur, 1996). This may

Figure 2. Space of complexity dealing with water sensitive urban design to adapt the built environment.

contribute to increasing loads emitted by combined sewer overflows and increasing loads from wastewater treatment plants (Langeveld et al. 2003, Pinnekamp et al., in preparation). These processes are valid for the separate system, too. The shift in water balance will cause more overflow events either by increased amount of rainfall per event or longer rain duration, although the total amount of annual precipitation maintains varies little. From case studies carried out in this area (Becker and Raasch, 2002, 2003; Becker et al., 2006) it is known that two strategies have to be pursued. On the one hand, proper administration, political consensus, and effective town planning strategies are necessary. On the other hand conventional methods, e.g. bigger cross-sections that would be able to transport the runoff, may worsen the processes that lead to extended sedimentation within the sewer system and would be too costly. 4.2

Identifications of interdisciplinary aspects and scales

The adaptation of the built environment will need at least the same efforts as the implementation of the water framework directive (WFD) and has to involve people down to the individual level. The implementation of the WFD and the design of River basin Management plans (RMP) according to the WFD have shown that participation is very important to the creation of an ecologically sound state. There is no doubt that in the process of adaptation fewer parties need to be involved. As a first step it is necessary to define the relevant people and groups, e.g. citizens, stakeholder of related organizations and industries, administration department and politicians. In the next phase, the role of every participant has to be identified to prepare to face the predicted changes. Because of the complexity of the process (figure 2) a thorough analysis of stakeholder and policy-makers’ expectations and

291

Table 1.

Existing types of development in Bochum, Harpen.

Type of urban development

roof pitch

proportion of paved area

Runoff coefficient1) (
s )

residential area – detached and semi-detached houses 40◦ –50◦ 43% 0.47 – row houses predominantly flat roofs flat roof 45% 0.41 – apartment buildings, administrative flat roof 45% 0.41 buildings / school buildings industrial park/ commercial sites flat roof 78% 0.70 parking places and parking garages – >90% 0.87 access road without important interconnecting residential Road – from 100 vehicles/h to 400 vehicles/h – >90% 0.87 following technical data sheet ATV M-165 and the technical guideline DWA A 118 (2006)

requirements with regard to the adaptation of urban water and wastewater management is made. Moreover, the dependencies between risk awareness and slowly changing weather patterns have to be investigated to be able to start long-term implementation of mitigation and adaptation measures. In order to increase the efficiency of adaptation measures, any planning of a town’s future economic, social and environmental development should include both mitigation and adaptation measures. 4.2.1 The trans-disciplinary paradigm Trans-disciplinary, as a principle of integrated research, is a methodical procedure to combine scientific and practical knowledge. Within this understanding trans-disciplinary, research starts out from social problem definitions, and meets the interdisciplinary approach of the WFD. Each of the formulated issues that will be addressed in detail need to consider all of the following: • • • • •

trans-disciplinary integration and transfer of knowledge across all stakeholder parties; implementation using processes on both emotional and cognitive levels; context related examples, participation of individuals and supervision of success; evolution of scenarios as subject for transfer of know-how and tuition concepts, and; promotion of water sensitive urban design (WSUD).

4.3

presents different types of developments. The used runoff coefficients originate from the German technical guideline DWA A-118 (DWA, 2006) and the technical data sheet ATV M-165 (ATV, 2004) (q.v. Butler and Davies (2004) for Great Britain). It is reasonable to expect that with rising air temperature will affect both infiltration rates and evapotranspiration rates. However, for this preliminary investigation it was assumed that runoff coefficients will remain the same. According to the 3 to 5scenario and the rational method, runoff has to be reduced by 11%. This can be achieved by reducing the overall connected surface or by reshaping the surface so that the runoff coefficient falls. For many reaches at the beginning of the sewer system, exiting cross-sections may be sufficient. The problems with regard to surcharge will arise further downstream. Those types of urban development listed in table 1 have been checked against different measures that might help to mitigate the impacts of higher rain intensities. The results are summarised in matrices that can be implemented into a toolbox, working as a decision support framework. The appendix shows the matrix for the set of a residential area.

5

CONCLUSIONS

From the investigation and discussions during the first phase of the Klimanet network, the following conclusions have been drawn:

Development scenarios (decision support framework)

•

With respect to the structural scenario in Bochum, where predominantly housing and commercial areas are to be adopted, the structural and architectural aspects have been analysed in the first step. Table 1

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Traditional solutions in concrete are not the most desirably methods. Economic and population changes demand flexible and sustainable solutions wherever possible. • Adaptation will concern existing systems which are in operation well for up to 100 years.

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– upgrading the residential quarter – development of identity – no conflicts of interest

– relative short payback period – success depends on the behaviour of the residents

Resident/ Occupant/ Property Owner

– hatchery for midges – peril point for children

– increase groundwater recharge

– contribution to environment protection

– effectual dimensioning possible – impoundage for a long period → adequate evaporation – active microorganisms and sedimentation effects increase the purifying capacity

public area – existing land use planning are to consider – no influence for passerby – upgrading of the residential quarter – effectual dimensioning possible – complete disengagement possible

– consider coefficient of permeability – little contaminated RW – existing of public area a lot of undeveloped area existing

Infiltration, Field Ditches/ Drain Pipe Systems

Climate/ Environment

Water Management

– no influence for passerby – upgrading of the residential quarter

– existing of public area – a lot of undeveloped area existing

– property owner is responsible for big area – cisterns needed toilet flush etc. – installation of a second pipe – system difficult to combine with green roof

Constraints

Effects Urban Development

Reservoir

Rainwater Harvesting

Activity

Table 2. Residential area – apartment building, administrative building/school building; flat roof proportion of paved area about 45 %.

– upgrading the microclimate at a non- effective level for the residents – co-financing by the residents of possibly not required activities

– high capability of disengagement – if adequate carrying capacity even peak flow possible

– minor modifications of the appearance of the residential quarter

– predominantly flat roof → high capability of disengagement – difficult to combine with RWH

Green Roof

•

•

• •

•

Points of interest must be located at the head to the sewer system. This ensures disconnection of surfaces, pollution control, retention and infiltration are more effective. A great number of decentralised facilities that attenuate the surface runoff can prevent damage caused by flooding from extreme storm water events. Due to vague approximations, 3to5-scenarios lead to an increase of maximum discharge of 11%. If former 10, 20 or even 50 year events become more frequent, the urban drainage master plan would need further extensions, e.g. emergency plans or detailed numerical surveys. Constraints – Being active on the individual level leads to a great number of participants that are located primarily on the private level, supported by political representatives. – Rainwater treatment facilities need maintenance and emergency outlets. – Regionalisation of climate models that can predict the change in the storm water characteristics for grids of hectares is currently not available.

ACKNOWLEDGEMENTS We would like to acknowledge the support of the study in the framework klimazwei by the federal ministry of education and research of Germany (BMBF). Also, we would like to thank the contributors and members of the Klimanet-Network: Mr. Ahlbach (Municipality of Bochum), Dipl.-Ing. J. Becker (Municipality of Herne), Dipl.-Ing. M. Becker (Emschergenossenschaft und Lippeverband, Essen), Dipl.-Ing. Bauass. J. Benden (ISB, RWTH Aachen), Dipl.-Geol. M. Böddeker (Gelsenwasser AG), Dr. T. Grünebaum (Ruhrverband, Essen), Dr. M. Hunecke (Bochum University), Prof. Hoelscher (University Essen-Duisburg), Prof. Dr. N. Jardin (Ruhrverband Essen), Dipl.-Ing. B. Sprengler (Emschergenossenschaft und Lippeverband, Essen), Dipl.-Ing. H.-J. Steins (Grün und Gruga Essen) REFERENCES Arthur, S. (1996). Near bed solids transport in combined sewers, PhD-Thesis, University of Abertay Dundee, GB. ATV (1992). ATV – Arbeitsblatt A – 128 Richtlinien für die Bemessung und Gestaltung von Regenentlastungsanlagen in Mischwasserkanälen, Gesellschaft zur Förderung der Abwassertechnik e. V. (GFA), St. Augustin. ATV (2004). Anforderungen an die Niederschlag-AbflussBerechnungen in der Siedlungsentwässerung, ATVRegelwerk, Merkblatt 165, Hennef.

Becker, M. and Raasch, U. (2002). Sustainable rainwater management in the Emscher river catchment area, Water Science & Technology (45) 3:159–166. Becker, M. and Raasch, U. (2003). Sustainable stormwater concepts as an essential instrument for river basin management Water Science & Technology. (48) 10: 25–32. Becker, M., Geretshauser, G., Spengler, B. and Sieker, H. (2006).A stormwater management information system for the catchment area of the River Emscher, Water Practice & Technology, 1(1). Bertelsmann (2006). Wegweiser Demographischer Wandel 2020-Analysen und Handlungskonzepte für Städte und Gemeinden (Report about demographic changes 2020Analysis and approach plan for towns and municipalities), Report, Bertelsmann Stiftung (ED). http://wegweiserkommune.de/ (accessed 12 Dec 2007) Butler, D. and Davies, J. W. (2004). Urban Drainage, Second Edition. London: Spon Press. Deilmann (2007). Sustainable Use of Recourses under Conditions of Population Decline – The Case of shrinking Cities, Proceedings, 4th BMBF Forum for Sustainability, 8th–10th May 2007, Leipzig, Germany. DIN EN 752-2 (1996). Entwässerungssysteme außerhalb von Gebäuden – Teil 2: Anforderungen (Drainage systems outside of buildings – Part 2: needs); Deutsche Fassung EN 752-2:1996, Beuth-Verlag, Berlin. DWA (2006). Richtlinien für die hydraulische Berechnung von Schmutz-, Regen- und Mischwasserkanälen (Directives for hydraulic calculation of sewer for waste water, rain water and combined wastewater); DWA-Arbeitsblatt A 118, Gesellschaft zur Förderung der Abwassertechnik e.V. (GFA), Hennef. EEA (2007). Climate change and water adaptation issues, Technical Report, No. 2/2007, European Environment Agency, Copenhagen. IPCC (2007). Climate Change2007: The Physical Science Basis – Summary for Policymakers, http://www.ipcc.ch (accessed 12 Dec 2007) ISA RWTH (in preparation). Wassersensible Stadtentwicklung – Netzwerk für eine nachhaltige Anpassung der regionalen Siedlungswasserwirtschaft an Klimatrends und Extremwetter (Water sensitive urban development – network for a sustainable adaptation of the regional environmental engineering to climate trends and extreme weather), Report, Institute of Environmental Engineering, Aachen University. Jacob, D. (2006) Overview of climate change projections over Europe, Max-Plank-Institute for Meteorology, Hamburg, International Workshop, Climate Change Impacts on the water cycle, resources and quality, Brussels, 25–26 September. KOSTRA-DWD (1997). Koordinierte Starkregen Regionalisierungs Auswertung (Coordinated intense rain regionalisation analysis), Deutscher Wetterdienst (DWD). Hannover: ITWH. RVR (2006). Regionalverband Ruhrgebiet. http://www.rvronline.de/publikationen/geodatenserver/ geodatenserver.php Langeveld J.G., Clemens F.H.L.R., van der Graaf J.H.J.M. (2003). Interactions within the wastewater system: requirements for sewer processes modelling, Wat. Sci. Tech. 47(4): 101–108.

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Lehner B., Henrichs, T., Döll, P., Alcamo, J. (2001). EuroWasser – Model-based assessment of European water resources and hydrology in the face of global change, Kassel World Water Series, Report Number 5, Center for Environmental Systems Research, University of Kassel, Germany. Libbe, J. and Moss, T. (2006). Netzgebundene Infrastruktursysteme im Wandel: Das Beispiel der Wasserversorgung (The change of network-bounded infrastructure systems: The example of water supply). In: Kluge, Thomas und Jens Libbe (2006): Transformation netzgebundener Infrastruktur. Strategien für Kommunen am Beispiel Wasser (Transformation of network-bounded infrastructure systems. Strategies for communes at the example of water). Berlin (Difu-Beiträge zur Stadtforschung Bd. 45), 19–33. Middelkoop, H., Daamen, K., Gellens, D., Grabs, W., Kawadijk, J. C. J., Lang, H., Parmet, B. W. A. H, Schädler, B., Schulla, J., Wilke, K. (2001). Impact of Climate Change on hydrological regimes and water resources in the Rhine basin, Climatic Change 49, 105–128. Pinnekamp J., Staufer P., and Gerke, K. (in preparation). Reduzierung der Gewässerbelastung durch quasikontinuierliche Reinigung eines Mischsystems (Reduce of water loading with a quasi-stepless cleaning of a combined sewer), Institute of Environmental Engineering, Aachen University, Aachen. Schiller, G and Siedentop, S. (2005) Infrastrukturfolgekosten der Siedlungsentwicklung unter Schrumpfungsbedingun-

gen (Follow-up costs for infrastructure of settlement development in the case of decrease in population). Dresden (pdf-Download des Leibnitz-Instituts für ökologische Raumentwicklung e.V.). Sieker, F. (1998). On-site storm water management as an alternative to conventional sewer systems: a new concept spreading in Germany, Water Science and Technology, 38(10): 65–71. Sieker, H., Bandermann, S., Schröter, K., Ostrowski, M., Leichtfuss, A., Schmidt, W., Thiel, E., Peters, C., Mühleck, R., (2005). Development of a decision support system for integrated water resources management in intensively used small watersheds, Proceedings 10th International Conference on Urban Drainage, Copenhagen. UBA (2003). Reduzierung der Flächeninanspruchnahme durch Siedlung und Verkehr (Reduce of area demand of settlement and traffic) – Materialienband -, Report, Vol. 90, ISSN 0722-186xx, Umweltbundesamt (UBA), Berlin. Wong, T. H. F., (2005). An overview of water sensitive urban design practices in Australia, Proceedings on CD, 10th International Conference on Urban Drainage, Copenhagen Zebisch M, Grothmann, T., Schröter, D., Hasse, C., Fritsch, U. and Cramer, W. (2005). Climate Change, Umweltbundesamt (ED), Nr. 08/2005, Förderkennzeichen: 201 41 253, Dessau.

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Disaster mitigation lessons from “build back better” following the 26 December 2004 Tsunamis J. Kennedy Design Knowledge Systems Group, Technische Universiteit Delft, Delft, The Netherlands

J. Ashmore 30 Carlyle Street, Brighton, UK

E. Babister CARE International UK, London, UK

I. Kelman CICERO, Oslo, Norway

Jake Zarins 6 Temperley Road, London, UK

ABSTRACT: Following the 26 December 2004 tsunami disaster around the Indian Ocean, many organisations and governments involved in the reconstruction subscribed to the phrase “build back better”. Different definitions and interpretations of this phrase led to widely varying actions and outcomes in the ongoing reconstruction, particularly with regards to shelter and settlement. Drawing on field experience from Aceh, Indonesia and Sri Lanka, this paper examines disaster mitigation lessons from the theory and practice of “build back better”, discussed in three categories: 1. Different meanings of “better”. 2. Raised expectations. 3. Thinking beyond tsunamis. The framing used is the combination of disaster relief principles articulated in 1982 and the tsunami “build back better” propositions developed in 2006. Based on the field evidence, alternative phrases are proposed and discussed. Overall, the most significant concern with “build back better” is that it tried, but failed to invent a new concept for post-disaster aid and, instead, caused confusion and practical difficulties in post-tsunami disaster relief and disaster mitigation, creating problems which should not have arisen given previous knowledge and experience. Keywords: build back better; disaster mitigation; settlement; shelter; tsunami; urban protection

1

INTRODUCTION

On 26 December 2004, an earthquake off the coast of Indonesia led to tsunamis which propagated across the Indian Ocean, killing over 250,000 people in more than a dozen countries. The disaster necessitated extensive post-disaster reconstruction of settlement and shelter. Seeking to rebuild old communities and to build new communities, the previously coined phrase (e.g. Monday, 2002) “build back better” or “building back

better” came to define and represent the efforts (e.g. James Lee Witt Associates, 2005; UNICEF, 2005; USINFO, 2005; Clinton, 2006). As detailed by Kennedy et al. (2008), “build back better” was used to imply the need to link humanitarian relief and post-disaster reconstruction with longer-term disaster mitigation and vulnerability reduction efforts in order to ensure that reconstruction would not lead to conditions which could result in a similar disaster recurring. Establishing this link

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is particularly challenging regarding post-disaster settlement and shelter (e.g. Cuny, 1983; Shelterproject, 2003). The preferred principles to adopt have been known for some time, because after Turner’s (1972: 148) “housing as a verb”, Davis (1978: 33) proposed that ‘shelter must be considered as a process, not as an object’. Especially for “shelter after disaster” (the title of Davis, 1978), shelter is not the structure only, such as a particular type of tent or house, but is an ongoing and interconnected series of tasks or actions which fulfil the needs of (from Kennedy et al., 2008): (i) Physical and psychological health including protection from the elements and a feeling of home and community. (ii) Privacy and dignity for families and for the community. (iii) Physical and psychological security. (iv) Livelihood support. During post-disaster reconstruction, before permanent communities are ready, these needs still exist and can be met through adequate settlement and shelter. The term “transitional settlement and shelter” (Corsellis and Vitale, 2005) is now used to express the transition phase between (i) meeting immediate, emergency needs and (ii) completing new communities and infrastructure where disaster survivors will settle. Examples of transitional settlement and shelter are lacing displaced people with willing host families, voluntarily or with compensation; planned camps with simple structures that allow for easy upgrade; and trailers or mobile homes set up in the yards of ruined homes. 2

3–4). The words after the colon paraphrase the explanation given in UNDRO (1982): Principle 1.

Principle 2.

Principle 3.

Principle 4.

Principle 5.

Principle 6.

Principle 7.

Principle 8.

METHODS

This paper uses field work evidence from tsunamiaffected locations to examine disaster mitigation lessons from the theory and practice of “build back better”, particularly with respect to settlement and shelter. The field work was done from the beginning of 2005 to the end of 2007 and focused on operational tasks for several non-governmental organisations, which are not identified here in order to preserve confidentiality, mainly attempting to implement transitional settlement and shelter. The geographical areas covered were Aceh and Sri Lanka, which were amongst the worst hit by the disaster. The experiences in these places have been compiled for the analysis and discussion presented here. The discussion is completed based on the principles for post-disaster settlement and shelter as described by Davis (1978) and then revised in UNDRO (1982). In the list of principles below, the first phrase, in quotation marks, is taken directly from UNDRO (1982:

Principle 9.

Principle 10. Principle 11. Principle 12.

Principle 13.

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‘Resources of survivors’: Assistance should not duplicate what can be provided by the survivors, their friends, and their families. ‘Allocation of roles for assisting groups’: Roles should be assigned logically and by the local authorities. ‘The assessment of needs’: Assessments should focus on survivors’ needs, not on property damage. ‘Evacuation of survivors’: Mandatory evacuation should be avoided, but voluntary movement including return, should be assisted. ‘The role of emergency shelter’: Imported shelter does not always play a primary role, because local materials and techniques are preferred by the recipients. ‘Shelter strategies’: Many options exist for transitional shelter and all should be considered in order to select the best one, but the reconstruction process should start as soon as possible. ‘Contingency planning (preparedness)’: Post-disaster shelter needs should be considered and planned for before an event strikes. ‘Reconstruction: the opportunity for risk reduction and reform’: Postdisaster reconstruction should be used to improve communities through reducing the risks faced. ‘Relocation of settlements’: Complete relocation rarely works, but reconstruction should consider avoiding the most hazardous areas. ‘Land use and land tenure’: Reconstruction must consider these issues. ‘Financing shelter’: Disaster-affected people should participate in financing the reconstruction. ‘Rising expectations’: Shelter assistance should not raise expectations of the reconstruction beyond what can be realistically achieved. ‘Accountability of donors to recipients of aid’: Assisting groups must be accountable to the aid recipients.

Table 1.

Comparing Clinton’s (2006) propositions with UNDRO’s (1982) principles.

Propositions from Clinton (2006)

1

2

3

4

5

6

7

8

9

10

Principles from UNDRO (1982)

1, 5, 11

2, 3, 10, 13

7, 8, 9

2, 14

3

2, 13, 14

2, 13, 14

11

13

7, 8, 9

Proposition 10: Good recovery must leave communities safer by reducing risks and building resilience.’

Principle 14. ‘Guidelines for the local level’: Qualified, local personnel should develop shelter guidelines for their particular situation. These principles are currently in the middle of being revised to ten principles by the Geneva-based Shelter Centre (http://www.sheltercentre.org) with the support of the transitional settlement and shelter sector. Here, UNDRO’s fourteen principles are matched with Clinton’s (2006) ten propositions which tended to be used to define “build back better” in the tsunami’s aftermath (Table 1). The propositions directly quoted from Clinton (2006) are: Proposition 1:

Proposition 2: Proposition 3: Proposition 4:

Proposition 5: Proposition 6:

Proposition 7:

Proposition 8:

Proposition 9:

Governments, donors, and aid agencies must recognize that families and communities drive their own recovery. Recovery must promote fairness and equity. Governments must enhance preparedness for future disasters. Local governments must be empowered to manage recovery efforts, and donors must devote greater resources to strengthening government recovery institutions, especially at the local level. Good recovery planning and effective coordination depend on good information. The UN, World Bank, and other multilateral agencies must clarify their roles and relationships, especially in addressing the early stage of a recovery process. The expanding role of NGOs and the Red Cross/Red Crescent Movement carries greater responsibilities for quality in recovery efforts. From the start of recovery operations, governments and aid agencies must create the conditions for entrepreneurs to flourish. Beneficiaries deserve the kind of agency partnerships that move beyond rivalry and unhealthy competition.

Not all principles are covered by the propositions, but that is in part because Clinton (2006) applied “build back better” beyond UNDRO’s (1982) focus on shelter and settlement. As well, sometimes one document is more general than the other. For instance, “the conditions for entrepreneurs to flourish” (Proposition 8) implies private enterprise rather than Principle 11 which encompasses, but does not limit, shelter financing to entrepreneurs. Similarly, Propositions 6 and 7 divide multilateral agencies from non-profit groups, whereas the principles emphasise the need for bottom-up approaches irrespective of the outside organisation. Table 1 shows that Clinton (2006) does not provide any material substantively different from UNDRO (1982) and, based on the 24 years of experience between the two documents, it is questionable whether or not improvements have been made. 3

RESULTS AND DISCUSSION

For brevity, only limited examples can be provided, so they are focused directly on meanings and interpretations of “build back better” as experienced during the field work. These are provided as three categories: 1. Different meanings of “better”; 2. Raised expectations; 3. Thinking beyond tsunamis. 3.1 Different meanings of “better” The use of “better” led to subjective viewpoints regarding the word’s meaning. Many organisations working in the tsunami-affected areas were focused on longer-term goals and wider aims, as articulated in UNDRO (1982) and Clinton (2006). Examples include making communities less vulnerable to disasters; addressing some development concerns simultaneously with reconstruction; offering more accountability of external organisations to the local population; increasing participation of those affected by the disaster and by the reconstruction; and being able to implement established field standards such as Sphere (2004). In contrast, many local organisations and disasteraffected people understood “better” to include

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elements such as appearing to be more affluent, being more modern, or emulating Western construction styles. This interpretation was exemplified by the selection of building materials in Aceh. Traditional building techniques used timber, with a shift in recent decades to softwood from hardwood due to population expansion and, in turn, decreased availability and increased expense of hardwood. External organisations wished to rebuild the pre-tsunami building stock, which they saw as being mainly softwood, making it “better” by addressing some risk reduction and development concerns. The Acehnese preferred hardwood or masonry dwellings because “better” was identified as being more affluent or appearing to be more modern. In many instances, people removed key structural components from their new houses in order to save materials or money. They then used these components to extend the building or for fancy finishes, to appear more affluent. Similarly, families were seen reducing the amount of cement used in bricks and mortar, thereby decreasing the houses’ earthquakeresistance. The cement could then be used for extensions or for external ornamentation, which not only has aesthetic value but also makes the family appear to be modern and affluent. In these cases, “building back better” meant that aesthetics and an affluent appearance dominated safety. Another factor in these changes was that traditional building skills were based on timber rather than masonry, so masonry dwellings had a higher likelihood of displaying unsafe practices and poor workmanship. As well, masonry buildings are less suited to Aceh’s climate and pose more risk in the event of an earthquake than do timber dwellings. The definition of “better” led to different selections of building materials depending on the definition adopted for “better”. Discussions with local officials and locals receiving shelters in both case study sites demonstrated the variety of meanings of “better”. Examples of views which were articulated upon hearing “build back better” (usually in their native language which was generally Achenese, Bahasa, Sinhalese, or Tamil) were: •

• • •

• •

Expectation of indoor plumbing and electricity in free dwellings where those services had not existed before; sometimes having a kitchen and bathroom were specifically of interest; A larger house, larger rooms, and/or more rooms; Improved access to improved education and health facilities; Appearing to be of a higher socio-economic status (e.g. masonry rather than wood irrespective of the safety and comfort consequences); Legal land ownership; A better location than before, such as easy access to market or a hospital or not in areas deemed to be vulnerable to flooding alongside a river or along the coast;

• •

Safe and secure; Adhering to the Western concept of a nuclear family with each married couple or bereaved spouse plus their children having a right to a dwelling rather than a large extended family living in the same dwelling.

3.2 Raised expectations The different interpretations of “build back better” led to expectations being raised which were then challenging to meet, exactly the problem which Principle 12 warns against. Part of the challenge in Sri Lanka and Aceh arose due to limits with community participation exercises, noting that community participation is appropriate as espoused by Principles 1, 5, and 11 and by Proposition 1. The full settlement and shelter process, and especially timescales for enacting that process, were not always communicated or understood, so “build back better” led to differing expectations regarding the reconstruction and the reconstruction speed. Three main, but linked reasons emerged for why that happened, despite the Principles and Propositions. First, the large scale of the disaster stretched the personnel and training resources of international organisations that often could not provide enough staff trained and experienced in shelter and settlement issues. Second, working with inexperienced government officials—who had often lost family members, their offices, and their homes to the tsunami—plans were created and presented to communities promising timelines and results which could not be met. Third, in many places in Aceh and Sri Lanka, the workforce was largely the homeowners themselves, as part of the participation and ownership process, meaning that individuals and families created their own expectations of “build back better” and then, often supported by local officials, expected international organisations to fulfil those expectations. Overall, “build back better” appropriately tried to include communities in the planning and construction of settlement and shelter, yet did not fully account for the time and personnel necessary to train and monitor a workforce (local, national, and international) previously unskilled in shelter and settlement issues. The increasingly unfulfilled expectations, in terms of both timeline and final result, led to an increased focus on finishing construction irrespective of quality and people pursuing their own construction irrespective of deficiencies which might result. 3.3 Thinking beyond tsunamis Disaster mitigation measures are frequently enacted to counter the disaster which has just occurred, regardless of the consequences for other possible events. Many organisations and government officials interpreted

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“build back better” to mean that a similar tsunami disaster should never happen again, even though that is only part of Principles 7, 8, and 9 and Proposition 10. The most obvious “build back better” measure against tsunamis was taken: banning development near the shoreline. “Buffer zones” or “exclusion zones”, sometimes labelled according to support for or against the measure, were instituted and changed arbitrarily and inconsistently in Aceh and Sri Lanka. This meant that the land available for permanent settlement was not known or it changed during the transitional phase. The transitional-to-permanent connection was weakened. Focusing exclusively on the just-experienced disaster, in this case the tsunami inundation zones, has a strong potential for exacerbating existing vulnerabilities or for creating new and unnecessary vulnerabilities (Lewis, 1999; Wisner et al., 2004). In Aceh and Sri Lanka, some previously coastal communities were rebuilt inland, severing the connection between fishers, their equipment and knowledge of the sea. In Sri Lanka, ActionAid (2006) made accusations that coastal land off-limits for local reconstruction was being allocated for hotel construction. Local livelihoods would become less focused on subsistence and more dependent on external investment, creating vulnerabilities based on social inequities and economic dependence. Finally, few locations for transitional or permanent settlement had multi-hazard assessments completed, so reducing the tsunami hazard through relocation could place a community in areas of increased hazard from other events such as earthquake-induced liquefaction, freshwater flooding, and landslides. “Build back better” was frequently interpreted in the context of only the 26 December 2004 tsunamis—and in Aceh, at times, even forgetting the earthquake, which does not fully match the intent of the Principles or the Propositions. 4

CONCLUSIONS

The observations made during the field work suggest that some concern in successfully implementing the “build back better” approach emerged from the phrase itself. The attempt to use and market a catchy phrase seemed to be the problem more so than attempts by personnel on the ground to implement it according to their own interpretation and experiences. For example, many organisations used Sphere (2004) and Corsellis and Vitale (2005) which support the “build back better” Propositions, but which were developed using UNDRO (1982), preceding Clinton (2006). Choosing “better” as the main adjective was unhelpful in that it generated confusion, as demonstrated by the different interpretations of the word. Other

possibilities which could have been considered include “build back safer” (Kennedy et al., 2008) and “build back sustainably”. “Safer” helps to focus on reducing risk and creating communities which will not be devastated by the next extreme event, but it fails to define just who will be safer and for how long. “Sustainable” and its variations are frequently criticised as being subject to widely disparate interpretations. The phrase “build back safer, stronger, and smarter” was used in the USA following Hurricanes Katrina and Rita in 2005, but both “stronger” and “smarter” suffer from the concerns articulated for “better”. Further misunderstandings could also result. For example, in UK English, “smarter” means “neater” or “tidier” in addition to “more intelligent”. “Stronger” is not necessarily appropriate for dealing with disasters over the long-term, as exemplified by the “Living with Risk” approach (ISDR, 2004) and the movement away from the paradigm of “protection from nature” (e.g. Kelman and Mather, 2008). Given that these phrases are English in origin, and some subject to different English interpretations, translation of these phrases to other languages—Achenese, Bahasa, Tamil, and Sinhalese for the cases discussed —would naturally be expected to generate confusion and even more interpretations. The evidence presented from the case study sites reveals such confusion. Rather than succumbing to the marketing glee which often pervades the “humanitarian business” and which can marginalise dedicated and competent personnel, it might be appropriate to avoid a single tagline. Instead, a set of principles or guiding statements could be emphasised, with UNDRO (1982) forming the most solid basis, albeit requiring the update which Shelter Centre is undertaking. While there were few substantive changes between UNDRO (1982) and Clinton (2006), much has been learned between the two documents and many of the concepts have been more formally detailed, extensively investigated theoretically and in the field, and critiqued. Examples of more formal labels which have substantively influenced disasters and development work since UNDRO (1982) are the sustainable livelihoods approach (Chambers and Conway, 1992; Chambers, 1995), sustainable development (Brundtland, 1987), the entitlement approach (Sen, 1981), “do no harm” in humanitarian work (Anderson, 1999), and a rightsbased approach (COHRE, 2005). Many of these strategies are actively applied, such as in Sphere (2004) and Corsellis and Vitale (2005). This pre-tsunami work suggests that perhaps the most significant concern with “build back better” is from an academic perspective: it tried to invent something new when something new was not needed. Instead of ten new Propositions, the fourteen original Principles could have been applied in the field

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immediately, while experiences since the creation of the Principles could have been used to support or discredit where appropriate. This post-tsunami field evidence demonstrates how discrepancies in interpretation led to practical difficulties, and created problems which should not have arisen given previous knowledge and experience. Other disaster mitigation efforts—for tsunamis, floods, and other events—should heed these lessons to avoid “build back better” attempts that, in the end, only make the situation worse.

REFERENCES ActionAid (2006). Tsunami Response: A Human Rights Assessment. ActionAid, Johannesburg. Anderson M. B. (1999). Do No Harm: How Aid Can Support Peace—Or War. Lynne Rienner Publishers, London. Bruntland G. (ed.) (1987). Our common future: The World Commission on Environment and Development. Oxford University Press, Oxford. Chambers R. (1995). Poverty and Livelihoods: Whose Reality counts? Environment & Urbanization, 7(1), 173–204. Chambers R. and Conway G.R. (1992). Sustainable Rural Livelihoods: Practical Concepts for the 21st Century: Discussion Paper 296. Institute of Development Studies, Brighton. Clinton W. J. (2006). Lessons Learned from Tsunami Recovery: Key Propositions for Building Back Better. United Nations Secretary-General’s Special Envoy for Tsunami Recovery, United Nations, New York. COHRE. (2005). The Pinheiro Principles: United Nations Principles on Housing and Property Restitution for Refugees and Displaced Persons. COHRE (Centre on Housing Rights and Evictions), Geneva. Corsellis T. and Vitale A. (2005). Guidelines for the Transitional Settlement of Displaced Populations. Oxfam, Oxford. Cuny F. (1983). Disasters and Development. Oxford University Press, Oxford. Davis I. (1978). Shelter After Disaster. Oxford Polytechnic Press, Oxford.

ISDR (2004). Living with Risk: A Global View of Disaster Reduction Initiatives. United Nations ISDR (International Strategy for Disaster Reduction), Geneva. James Lee Witt Associates (2005). Building Back Better and Safer: Private Sector Summit on Post-Tsunami Reconstruction. James Lee Witt Associates, Washington, DC. Kelman I. and Mather T. A. (2008). Living with volcanoes: The sustainable livelihoods approach for volcano-related opportunities. Journal of Volcanology and Geothermal Research, in press. Kennedy J., Ashmore J., Babister E. and Kelman, I. (2008). The Meaning of ‘Build Back Better’: Evidence from Post-tsunami Aceh and Sri Lanka. Journal of Contingencies and Crisis Management, in press. Lewis J. (1999). Development in Disaster-prone Places: Studies of Vulnerability. Intermediate Technology Publications, London. Monday J. L. (2002). Building Back Better: Creating a Sustainable Community After Disaster, Natural Hazards Informer, (3), 1–12. Sen A. (1981). Poverty and famines: An essay on entitlement and deprivation. Oxford University Press, Oxford. Shelterproject (2003). Report on the Transitional Settlement Sector. Shelterproject, Cambridge. Sphere (2004). Sphere Humanitarian Charter and Minimum Standards in Disaster Response. Sphere Project, Geneva. Turner J. F. C. (1972). Housing as a Verb. In: Freedom to Build: Dweller Control of the Housing Process, J. F. C. Turner and R. Fichter (eds.), New York: Macmillan Company, pp. 148–175. UNDRO (1982). Shelter After Disaster, Guidelines for Assistance. UNDRO (United Nations Disaster Relief Organisation), New York. UNICEF (2005). Building Back Better: A 12-Month Update on UNICEF’s Work to Rebuild Children’s Lives and Restore Hope since the Tsunami. UNICEF (United Nations Children’s Fund), New York. USINFO (2005). Tsunami Relief Done Well Becomes Future Model, Clinton Says. US Department of State’s Bureau of International Information Programs, Washington, DC. http://usinfo.state.gov/gi/Archive/2005/ Apr/26-105009.html (accessed 22 December 2007). Wisner B., Blaikie P., Cannon T. and Davis I. (2004). At Risk: Natural Hazards, People’s Vulnerability and Disasters (2nd ed.). Routledge, London.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Coastal reformulations and hydrologic management in Sri Lanka after the December 2004 Tsunami: A landscape urbanism methodology I. Karydi KARIDIS Architects & Planners, Greece

ABSTRACT: This paper focuses on a regeneration and recovery design scheme for Hambantota, a coastal town in the southern part of Sri Lanka, after it was totally destroyed by the tsunami in December 2004. The main objective is to create a landscape that diversifies and fosters the local economy through the regeneration of existing small scale fishing businesses. Principal development potential is seen in combining the three local and interconnected means of income generation: aquaculture, marketing of goods and services’ market, and coastal fisheries. This three-fold strategic plan permits a sustainable and flexible compromise between environmental conditioning and economic growth within a water-located economy. Keywords: Aquaculture; coastal fisheries; ecologic circuit; filaments; integrated local development

1

INTRODUCTION

The 2005–2006 Graduate Course on Landscape Urbanism at the London Architectural Association School was dedicated to reconstruction and resettlement needs in the Southern coastal zone of Sri Lanka, which was hit by the devastating tsunami waves in December 2004. The design studio’s brief stated that coastal areas require careful determination of potential hazard zones to avoid future loss of life and property. At the same time, the new socio-political configurations generated as an immediate consequence of the local death toll call for a reinterpretation of the traditional patterns of spatial inhabitation, both at the macro and micro scale. This paper will highlight the key characteristics of the sustainable regeneration and recovery planning project of the coastal city of Hambantota that the author elaborated for the dissertation thesis.

1.1

Existing policies and alternative scenarios for Hambantota Town

The tsunami waves that hit Hambantota Town decimated coastal fishing communities. Nearly 80% of the 30,000 fishing vessels had been completely destroyed, while fishing ports were devastated with extensive loss of essential infrastructure such as ice plants, cold rooms, workshops, slipways and marine structures. Action plans have been promulgated by the government and considerable funds have been raised with the co-operation of UN agencies; local and international NGO’s have already responded on the short-term

level (relocation camps, sanitation and water services) (Figure 1). However, on the long run, the new coastal protection zone and the rehabilitation strategies which have been proposed by the local urban development authority tend to cause serious disconnections and dislocations to the fishery communities. Such is the case for Hambantota Town, situated on the south coast of the island. The respective government policies are promoting a two-fold strategy for advanced urbanisation projects on the continental part, allocating coastal communities and exposing the old waterfront to future schemes of a mega-port plan drawn as a blue print for posttsunami redevelopment. But these schemes divide and fragment sustainable settlement patterns rather than creating them, as well as compromising existing local values. The following proposal seeks alternatives to the government plans raised for Hambantota Town introducing, with a critical response, a fast growing regeneration and recovery scheme that reflects patterns of local economy. As a matter of fact, small-scale fisheries are distinctive territories. They form a “breaking point” of dynamic environments on the highly congested fringe along the coast where processing and marketing activities emerge in close association to fish landing sites (Figure 1). It is significant that fishing on marine and brackish waters is considered one of the most important economic activities providing employment opportunities and contributing, as an entire fishing industry, nearly 2.7% to the Gross Domestic Product for the country. The proposal suggests urbanisation of the devastated lowlands, with

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Figure 1. New towns development is already in progress. (See Urban Development Authority of Sri Lanka, GIS Centre.) The figure shows project site Close to Hambantota Town, within the wider context of the area that was affected by the tsunami and the allocation centres (in circles) the government proposes.

a new design scheme for the costal fringe of the town, expanding new urban and economic possibilities in the interstitial sand-ridge between the sea and Karagan Lagoon (Figure 2). 1.2

Urban principles & steps for a surface strategy

While the tsunami destroyed the conditions that supported the traditional local economy, it also prepared the territory to accept more dynamic and diverse forms of economic activity. The focus of this proposal is on existing local dynamics, as it attempts to uncover economic relationships that make new urban mixtures possible. The objective is to reformulate ground conditions so that interrelated fields can act as generators and prolific incubators of new enterprises. In this context, it is initially necessary to diversify the activities that are related to small-scale fisheries. Synergy. Bands of differential densities are developed as activity tracks across 2 ecological niches – the littoral zone of Karagan lagoon and the coastal stretch of Hambantota Bay. These bands grow in specification to a field of existing informal activities that emerge around key nodes and are recognised as starting points for cross-over relations (Figure 3). Corridors. A set of cross-water connections prioritize three interconnected systems – fisheries harbour, market and aquaculture – with the aim of bringing supply and demand under local control. Corridors are

Figure 2. Juxtaposed design scheme on aerial photo. Activity tracks emerge as bands of differentiated densities in synergy with the environmental conditioning of the isthmus that forms the hinge between two distinctive ecological niches – the littoral zone of Karagan Lagoon and the coastal stretch of Hambantota Bay.

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Figure 3. Field of primary, secondary and tertiary associations in between potential new market centres based on city expansion. Bands of differential densities are developed as activity tracks across 2 ecological niches – the littoral zone of Karagan lagoon and the coastal stretch of Hambantota Bay.

“recognised as continuous infrastructural elements, littoral productive embankments, piers and dykes that are expanded landwards to organise and interconnect market activities” (Han Meyer, 1999). Filaments. As assemblage of linear open ended corridors that have varying in-between distances, filaments introduce fields of differentiated parcels that intensify and organize circulation of products and people and formulate an extending trading area that the city may use to represent itself. (Figure 4)

2

METHODS

2.1 Towards a segenerative alternative scheme As observed by Jane Jacobs, “city diversity permits and stimulates more diversity” (Jacobs, 1961). Conditions for diversity require ground formations to act as natural generators of interconnected uses and activities.

In this sense, an objective of this project is to create a networked of interconnected activities that can be identified as three larger systems: aquaculture, product and services market, and fisheries harbour. Bottled-shaped channel terminals prolongate a set of aquaculture activities towards the centre of the town. These waterways are seen as a means of local transportation, while a set of basins in proximity to the main street provide new economic pools for floating markets and specialized oyster markets. The market, as an extended logistical enterprise zone, grows upon a thick and concentrated network of small parcels that permit cross-use and bring fluidity of use to the area. A densified armature develops around the main road, permitting maximized frontage for market stalls and other services. Harbouring facilities, piers and groins are extended landwards, providing a thickened ground for the various fishing activities. Landward prolongation of the infrastructural element permits direct connection with market while “fish traps” – instant

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Figure 4. Study diagrams monitoring erosion due to wave action and runoff. Left diagram monitors erodibility of the coast due to wave action and long shore current. The mapping on the right shows overland flow.

economic source pools – emerge at the point where land meets water. 2.2 Topographic reconfiguration The urban principles guiding the alternative plan for Hambantota are designated so as to develop symbiotically with nature’s dynamic patterns – specifically the long lasting rains and accompanying floods. Hambantota is a landscape characterized by change, where seasonal patterns influence the local economy. In fact, Hambantota finds itself within a dynamic coastal environment, evolving in cycles of erosion and Aeolian depositions, where successive floods and droughts occur along with two monsoon seasons (maha and yala). Hence, reconfiguration of the landscape has a twofold objective – to expand and differentiate programmatic possibilities in parallel to environmental conditioning and protect the area from future hazards (Figure 4). The aim is to develop a thick edge infrastructure were groynes and new vegetation layers (casuarinas and mangrove forests) will create a safe environment for fisheries and aquaculture. This means that patterns of growth are differentiated according to programmatic and hydrologic requirements. The aim is to create a topographic fit between existing landscape features and proposed design layout by maximizing the impact of applications and minimizing overall landscape disturbance, time and cost. The above objectives are manifested in the following tectonic system: Linear grading is an economic earthwork technique, based on cut and fill that is used to accommodate roads, paths, drainage swales and ponds; it results in a linear armature that is highly differentiated throughout the field, yet constantly articulated through

well drained surfaces (ridges) and slow draining channels (valleys). Differentiation and repetition of curvature and slope applied to a linear berm-shaped generic ground form, inscribed to a rhomboid geometry, creates a system that develops sensitivity to hydrologic management criteria (sheet flow, run off control, flow diversion or even capacity of the pond to capture sediments). What is achieved is an optimal performance ground that can regulate trading and fisheries activities, by promoting surfaces for human occupation while, at the same time, maintain vegetation growth (on the slow drying valleys and channels), and provide sediment and runoff mitigation, as well as stabilization of soils and beach nourishment (Figure 5). 3

RESULTS

This design proposal aims to achieve the following three objectives: provide surfaces for humanreoccupation using grading techniques that complement the remaining natural landforms; formulate escape corridors and are easily accessible programmatic paths that can control run off and soil erosion; promote natural infiltration, using elements such as grass-lined swales, to restrain surface flows, filter water, and reduce storm water drainage. Three systems are established to structure processes for environmental conditioning and to bind programmatic elements into sub-circuits. These are: System 1: Integrating fish and plant culture. Waste water flows within a gravity system – from the fishponds to the water gardens – where it is aerated to maintain dissolved oxygen concentration before being released into the lagoon. This system requires of the use of retention basins, where phyto-remediation

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Figure 5. Reconfiguration of the landscape can expand and differentiate programmatic possibilities; patterns of growth are differentiated according to programmatic and hydrologic requirements.

processes treat the toxic effluents before they are released into Karagan Lagoon. For this kind of treatment, local aquatic species should be used, strengthening the riparian habitat ecosystem and augmenting biodiversity. System 2: Market area + infiltration beds to treat wash effluents. In this case, detention ponds, filter strips and sand filters can be employed to enhance water quality by removing sediment and pollutants from storm water. Detention basins are developed as three main zones – a pollutant trap to remove litter and sediment, a macrophyte zone that filters pollutants, and an outlet zone. Filter strips treat sheet flow, while sand filters are used an alternative where space is limited. Sand traps and strains pollutant from runoff before it is collected in an underground drainage system.

System 3: Groins – programmatic corridors. A series of elevated pathways and service corridors is to be developed along with linear directional berms in order to prevent sensitive grounds such as sand dunes and riparian wetlands from being destroyed. This system provides public access to encourage programmatic connections, interest and observation but discourages intrusion into sensitive habitat areas. Corridors may also act as directional berms, which form long canals and raised fields that convert the floodplain areas into farm fields while the canals divert the flood towards natural depressions. Groins are also implemented along with vegetation regeneration as a soft system of coast stabilization and beach nourishment that expands the coastal field and slows down the process of erosion.

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Figure 6. The ecologic circuit.

3.1 The ecologic circuit The three-part system that has been presented above as aquaculture, fisheries and market, informs an ecologic circuit of interrelated systems where the new market grows in association to environmental needs. Wash effluents are treated in infiltration beds, organic waste is used as nutrient material for fish ponds, and run off from impervious surfaces and toxic waste from aquaculture zones are treated in purification basins (Figure 6).

4

CONCLUSION

Combining knowledge about the local society and geographical circumstances, while also considering development potentials that benefit the overall population, a number of key concerns can be identified that must be taken into consideration. Firstly, the local population has a dependence on the waterfront. The numerous small scale fisheries along the

coast of Hambantota provide ample testimony for the commercial and economic value of the coastal location. The fishermen’s work and culture require that access to the coast remain. It is evident that there is a need for an integrated strategy of coastal protection against natural hazards that reserves adequate space for the development for fisheries and other interrelated activities. Secondly, rebuilding after the tsunami disaster must include at least minimal protection against future tidal waves. Using principles of green urbanism, fishing communities can be clustered alongside a protective green belt that provides pockets of low drying surfaces. Finally, the development proposal that has been presented simultaneously allows for both a partly self-sustaining ecological regeneration and recovery scheme visible in the amended topographical profile, and a more diversified economic and settlement pattern that is sustainable in a territory that is constantly exposed to minor and major natural hazards. The operative framework of the proposal envisages short-term provisions that support the revitalisation of

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Figure 7. Detailed plan.

existing fishing communities that can then lead into a long-term and diversified economic development strategy. This contrasts to the plan from local government that envisions the construction of a mega-port and oil tanks that would eventually destroy the ecological reserve of Karagan Lagoon. However, in spite of the political enthusiasm and possible job opportunities resulting from the new port scheme, all feasibility studies to date have deemed the plan as failure both economically and otherwise. This demonstrates the

need for more exploration in the field before any redevelopment is to happen, and desing proposals that emphasise processes rather than rules.

REFERENCES Jacobs, Jane. (1961). The Death and Life of Great American Cities. Random House, New York. Meyer, Han. (1999).

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Disaster management in Bangladesh: Experiences from the Tsunami warning in Cox’s Bazar District – September 12, 2007 M. Jobair BUET-CDMP Partnership Project: Development of a Disaster Preparedness Program for Earthquake and Tsunami Hazards in Cox’s Bazar, Funded by UNDP thru Comprehensive Disaster Management Programme, Ministry of Food and Disaster Management, Government of Bangladesh, implemented by Department of Civil Engineering, Bangladesh University of Engineering and Technology (BUET), Dhaka, Bangladesh

A. Sutradhar & M.A. Ansary Department of Civil Engineering, Bangladesh University of Engineering and Technology (BUET), Dhaka, Bangladesh

ABSTRACT: As a cyclone prone country, cyclone preparedness and early warnings are common phenomena in Bangledesh, yet early warning creates mixed reaction among indigenous people. False or improperly justified warnings misguide about preparedness and expose people to artificial panic situations that may have unforeseen consequences. On the 12th September 2007, an unjustified early warning related to a Tsunami was disseminated through different media. Just after the broadcast of the warning, those in coastal areas move quickly to find safe shelters, whether in cyclone shelters, upon the hilly region, or on the roof of neighbouring multi-storeyed buildings. A massive move of coastal inhabitants to elevated areas was found to be unmanageable, and the situation was somewhat out of control. This article attempts to focus on the possible social impacts associated with false warnings and evaluates existing disaster preparedness strategies. Just after the 13th September 2007, a quick survey was all around Cox’s Bazar was taken, representing sampling of whole coastal district. Local newspapers were also considered as input. The unexpected loss – an outcome of such improper warnings and lack of a proper warning authority of the Government of Bangladesh – brings into question the believability of future warnings to particular segments of society. Keywords: Alert; earthquake; emergency response; evacuation; safe shelter; tsunami

1

INTRODUCTION

1.1 Warnings of tsunami on September 12, 2007 At 5.09 pm of September 12, 2007, the Earthquake Observing Centre, Agargaon, Dhaka detected an earthquake that measured 8.5 on the Richter scale. The centre of that earthquake was located 3718 km from the Earthquake Observing Centre, Agargaon. After that occurrence, Pacific Tsunami Warning Centre (PTWC) issued a bulletin: “A tsunami watch is in effect for Indonesia, Australia, India, Sri Lanka, Thailand, United Kingdom, Maldives, Myanmar, Malaysia, Bangladesh, Mauritius, Seychelles, Madagascar, Somalia, Oman, Pakistan, Iran, Yemen, Mozambique, Kenya, Tanzania, South Africa and Singapore” (The Daily New Age, 2007). Tsunami warnings were issued in much of the 24 regions of the Indian Ocean after a terrific earthquake shook in the Sumatra island of Indonesia on September 12, 2007 (The Daily Jugantor, 2007).

The Director of Bangladesh Meteorological Department (BMD), Dhaka said that a warning message from the Pacific Tsunami Warning Centre (PTWC) was received just after the earthquake in Sumatra. It had said that a tsunami might hit the coastal area of the Bay of Bengal, in the north of Indian Ocean, after midnight (Wednesday, September 12, 2007) (The Daily Prothom Alo, 2007). After receiving the tsunami alert from PTWC, the Government of Bangladesh issued a tsunami alert on Wednesday (September 12, 2007) night. Inter Services Public Relation Director informed certain channels that a tsunami might hit in the early morning hours of September 13, 2007 (The Daily Ittefaq, 2007). The media announced a tsunami warning: “Today (September 12, 2007) a powerful tsunami may hit in Bangladesh at any time after midnight” (The Daily Purba Kone, 2007). Thus, only after the national departments were alerted were regional headquarters and the administrative centres informed

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about the impending disaster. From there, regional administrative centres disseminated the tsunami warning to the coastal areas of Bangladesh. The tsunami warning was lifted by India and Sri Lanka at 10:30 pm. The meteorological department of Indonesia assured the news agencies that the risk of tsunami had lessened. Bangladesh did not lift the warning until 2 pm the following day, but an official with the meteorological office stated that “now there is no threat of tsunami” (The Daily Jugantor, 2007). The following day, a local news paper stated that the tsunami warning was lifted late at night (The Daily Apon Kontho, 2007), when, in reality, the Bangladesh Meteorological Department did not act until several hours later (The Daily New Age, 2007). 1.2

Situation observed and conceptualization

The BUET-CDMP Project Team was responsible for undertaking a community awareness programme in a Muslim community in a mosque at Shahporirdwip, Teknaf Upazila, the far south-east part of Cox’s Bazar District on 12th September, 2007. Just after completion of the programme, the team was informed about the tsunami alert. The water level at Cox’s Bazar shore unusually rose by 0.75 metres at 8:20 pm and the lowlying areas of the district were inundated (The Daily Star, 2007). In Teknaf, the water of the sea increased slightly during the ebb tide and the water of the river Nuf also increased slightly. In Moheshkhali, the rising water from the sea hit on the embankment in that evening (The Daily Amardesh, 2007). At that time, the water of the river channel and the sea rose from 0.9 to 1.2 metres and entered into the low lying areas and the household, agricultural land, ponds of those low lying areas has been inundated. The water entered into Boroghop Upozilla Parishad. The water quake was felt for a very short period of time and little damage occurred (The Daily Ajker Deshbidesh, 2007). To grasp the immediate experience and reaction of the community all around Cox’s Bazar District, the team conceptualized undertaking a small survey. 2

METHODS

An open ended questionnaire was prepared to collect the field information of the preparedness situation, accessibility of safe shelters, effectiveness of warning broadcast to the local communities, and so on. Samples were taken from different safe shelter locations (Figure 1). Locally published newspapers and clippings were also collected to enrich writings. Members of the BUET-CDMP team attended different meetings to listen to the concerns and issues present by the public. The District Disaster Management Committee meetings were also observed.

3 3.1

RESULTS System of dissemination of warnings

The warning was mainly disseminated through loud speakers by different agencies. Beside this, in some areas the local mosques were also used to project the warning through the loud speakers. The national media broadcasters (Bangladesh Television, Radio Bangladesh) also helped the authorities to spread the message, as well as cabled channels of satellite television receivers (STVR). In some places sirens were used to sound to general warning. The peoples’ representatives and local government officials had provided their full effort in this respect. Moreover, the mobile phones also played an important role to spread the information as quickly as possible. Immediately after the national warning about the tsunami, the Deputy Commissioners (DC) in the coastal districts and the Bangladesh Red Crescent Society (BDRCS) made arrangements for announcements through loud-speakers about the possible disaster, asking the people to quickly evacuate (The Daily New Age, 2007). The Deputy Commissioner of Cox Bazar said, “We are taking preparation according to the order of the Bangladesh Meteorological Department, Dhaka”. By this time the whole district had been told to go to the safe places and shelters. The volunteers of Red Crescent Society, community police, along with district and police administration, were all prepared (The Daily Prothom Alo, 2007). “We started using loud-hailers at 8:00 pm (1400 GMT) after the Government’s order,” said Mahbubur Rahman, Police Chief of the southern island of Swandip (AFP, 2007). The Chittagong District Commissioner, Ashraf Shamim told BSS at 8.30 pm that the announcements through loudspeakers had already been started. The Red Crescent workers (especially Cyclone Preparedness Programme – CPP) had been disseminating the news at the coastal areas with the help of hand mikes (megaphone) and taxis. The Chittagong City Corporation officials had been disseminating the news through loudspeaker (The Daily Karnaphuli, 2007). An urgent government warning that a tsunami could hit after midnight was repeated frequently by both state and private television and radio stations (AFP, 2007). Announcements were also made from mosques to alert people (The Daily Star, 2007). Once announced, the news travelled quickly through the use of mobile phones (The Daily Apon Kontho, 2007). The questionnaire survey asked respondents where they had heard about the tsunami alert. It was found that media has played an important role in the dissemination of tsunami warning information. About 43% of the coastal people of Cox’s Bazaar District had claimed that they had first heard the warning through national media like television and radio. Besides the media, the local government units like Paurashava

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Figure 1. Cox’s Bazar District and locations of samples collected from safe shelters.

(Municipality), Union Parishad and the CPP workers had shown to have a higher success rate in spreading the tsunami alert message (Table 1). The tsunami warning was finally cancelled at 1:30 am, Thursday, September 13, 2007 (AFP, 2007). The DC stated that “we announced the withdrawal of tsunami warning at 2:30 am and people started moving back home” (The Daily New Age, 2007). 3.2

Immediate response

When the tsunami alert was issued to the costal areas of Bangladesh, a hazardous situation was created. The people started running here and there in search of safe

shelter. As this was the first tsunami warning for the country, people were not sure what they were supposed to do. Panicked people ran for safety in the dark, along with children and elderly relatives, and as much of their belongings as they could carry. Thousands of people ran for safety, evacuating beaches and areas near the shore after authorities issued the tsunami warning. Thousands of people came in Cox’s Bazar main town after fleeing the coastal area. About half of one million people ran for safety. Apart from Cyclone Shelters, all school buildings, markets, DC offices, Upozilla Headquarters, Paurashava Offices and roads at higher places were crowded with people, who stayed overnight to escape the possible disaster.

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Table 1. The distribution of the performance of tsunami alert dissemination. Agencies Media (Radio, BTV and STVRs) Local Government (Municipality and Union Parisahd) Bangladesh Red Crescent Society (BDRCS-CPP Part) Relatives (over mobile phones) TNO Office (Upazilla) NGOs

Frequency*

Table 2. People taking shelter after dissemination of tsunami warning.

Percentage∗

82

43

No.

68

35

1

53

28

10 10 10

5 5 5

2 3 4 5

Name of the stations

No. of cyclone shelters

Cox’s Bazar Zone Office Teknaf Chakaria Moheshkhali Kutubdia

No. of people who took shelter

54

115,000

37 128 86 90

60,000 120,000 110,000 100,000

Source: International Federation of Red Cross and Red Crescent Societies (IFRCS), 2007.

Source: Field Survey, 2007. Note: The frequency is more than total population size because a single respondent responded for more than one agency. Mode (%)

Many residents were also found to take shelter on their rooftops. The inhabitant of Kutubdia, who were not aware of the water quake, had become frightened as the sea water had risen and entered into the locality suddenly and without warning. They thought that the tsunami which was forecasted earlier was going to hit. So, many men and women became injured when they tried to go to safe shelters in a hurry. At midnight, the inhabitants of the coastal area, especially the inhabitants of Kutubdia and Moheshkhali, took shelters at the cyclone shelters after the administration had announced the tsunami alert. The scene was different within the town; tourists left their hotels to take shelter at the deputy commissioner office and other tall buildings. Special prayer was organized to seek the help of the almighty at different localities (The Daily Purbokon, 2007). From the questionnaire survey it was found that there were some people who did not take any shelter because of their belief that the almighty Allah would save them. It was found the some people had sent their family members, relatives and neighbours to a safe shelter but they did not go after the home and their belongings. Another class of people was found who did not go to any shelter, instead remaining behind and taking shelter on their roof. From the survey it is found that 118 out of 190 respondents – that is about 62% of the respondents – had taken shelter at designated places and the rest – 38% of respondents – remained in their homes or on their roofs. According to the estimation of BDRCS, a total of 505,000 people had taken shelter at one of 395 cyclone shelters in the Cox’s Bazar District. It was also found from the questionnaire survey that the majority of people took shelter at a cyclone shelter or building which was less than 9 m in height. There were some shelters which were only 3 m high. It was a matter of question that if tsunami actually came

Average (%)

Maximum (%)

Minimum (%)

0

20

40

60

80

100

120

Figure 2. Respondents opinion about taking a safe shelter (Source: Field Survey, 2007).

then did those cyclone shelters could save the lives and belonging of the people. Though the shelters were not adequate, the majority of the respondents claimed that most of the people of their own locality took shelter in a safe place. On average only 63% people could reach a safe shelter, far from adequate performance. One thing to note is that the majority of the respondents took more than 30 minutes to leave their houses after hearing the warning. Some people even took 3–4 hours to leave their houses. 30 minutes is enough time for a tsunami to destroy the whole coastal area. People need to respond more quickly after hearing a tsunami alert and the authorities need to ensure the people react quickly. At midnight when the authority confirmed that there was no possibility of the tsunami striking the coastal belt of Bangladesh, the people began to return to their homes. Some people started leaving the shelters before dawn after hearing the announcement that the tsunami warning had been lifted. But when a press agency announced that the warning for the area was removed, people seemed confused and did not immediately understand what was happening (The Daily Jonokontho, 2007).

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Figure 3. Emergency food supplied to the shelter; people in the DC office building grounds. Table 3. Distribution of participating agencies in safety programs. Agencies

Frequency∗

Red Crescent-CPP members Local Governments NGOs UNO office/Upozilla Porishads

103 96 35 17

Percentage∗ 54 50 18 9

Source: Field Survey, 2007. Note: ∗The frequency and percentage is more than total population size because a single respondent responded for more than one agency.

3.3 Actions taken by various authorities Emergency steps were undertaken by the government to deal with the situation; it took action by removing thousands of people from coastal areas following the announcement of tsunami risk by the BMD on September 12, 2007. The Disaster Management Bureau, Dhaka triggered a quick evacuation after warnings were sent to all coastal districts. Government officials, unwilling to take chances, opened disaster control rooms in the capital and the districts to coordinate the evacuation after the quake. The district administrations in the coastal areas had been ordered to open temporary shelters so that people could stay the night (AFP, 2007). Emergency orders were sent by the Ministry of Disaster Management to the DC and police chief of Cox’s Bazar at night by fax and telephone. Red Crescent society took steps to ensure people made it safely to the shelters (The Daily Jugantor, 2007). The district administration proclaimed red alert to face the disaster, when they received the tsunami warning message (The Daily Jonokantha, 2007). 109 cyclone centres were opened in the district. A main control room was opened in the district headquarters immediately after the tsunami warning was announced (The Daily Prothom Alo, 2007). Moreover, the Upazila Nirbahi Officers (UNOs) were asked to alarm the coastal people in their respective areas and advise them to move to cyclone shelters or high elevated

places if necessary (The Daily New Age, 2007). Mike announcements had been conducted in different places to warn people about the tsunami. The district control room said that the administration has transferred 30,000 people from low lying area to safe shelter (The Daily Ajker Deshbidesh, 2007). 10 jeep and microbuses were used to take people to safe places from the costal area. Police and security guard ensured security (The Daily Apon Kantha, 2007). People were also warned from the mosques in some areas. According to the survey, most respondents claimed that the Red Crescent CPP workers had provided the safety programs at their locality. Besides them Local Government unit, Upazilla Parishad and different NGOs played important roles in the administration of the safety program. But the role of local government units was not so clear. They should take more initiatives in this regard, as they are there to represent the people. 3.4

Hazardous situations and incidents

As the news of tsunami spread throughout the coastal area of the country, a massive panic environment was created. This news was transferred rapidly by mobile phones, affecting the reliability of the mobile network. But the tsunami warning and subsequent evacuation created a chaotic situation. Local hotels took full advantage of the situation and charged higher prices in return for shelter. About one half million people flooded the streets after getting the news of tsunami strike. Looting of residential and commercial properties occurred. Many evacuees were seen taking with them luggage and household items hiring microbuses at exorbitant rents from Patenga, Anwara and Banskhali coasts (The Daily New Age, 2007). 4

CONCLUSION

“Before reaching the country’s coast the velocity of the tsunami water column would reduce by hitting the sea

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slope lying as far as 100 kilomet from the shore. Then it would float over the sea shelf and when it reaches the coast the velocity of the waves would be so little that it would hardly do any harm in our coastal belt,” said ASM Maksud Kamal, National Expert, Earthquake and Tsunami Preparedness Project (The Daily Star, 2007). Therefore, it is questionable whether or not such warnings delivered from international or national frameworks are effective. Before issuing any tsunami warnings in Bangladesh, the location and magnitude of the quake and the tectonic and geographic condition of the country must be carefully considered. REFERENCES AFP (2007). Tsunami panic hits southern Bangladesh, September 12, 2007. http://afp.google.com/copyright? hl=en (accessed on December 14, 2007). The Daily Ajker Deshbidesh (2007). The inhabitants of the district has passed a night on tsunami fear, September 13, 2007. The Daily Amar Desh (2007). Tsunami alert at Coastal area, September 13, 2007. www.amardeshbd.com (accessed on December 14, 2007).

The Daily Ittfaq (2007). Warning at Coastal area in apprehension of tsunami, September 13, 2007. The Daily Jonokontho (2007). Earthquake’s Strike, Risk of Tsunami, September 13, 2007. The Daily Jugantor (2007) The Danger of tsunami has departed, September 13, 2007. http://jugantor.com/online/ print.php?id=95850&sys=3 (accessed on December 14, 2007). The Daily Karnaphuli (2007). Tsunami Alert has been issued in the Coastal Belt, September 13, 2007. The Daily New Age (2007). Tsunami alert prompts evacuations in Bangladesh coastal areas, September 13, 2007. http://www.newagebd.com (accessed on December 14, 2007). The Daily Prothom Alo (2007). Thousands of people is living their houses in apprehension of tsunami, September 13, 2007. http://www.prothomalo.com/archive/print.php?t= h&nid=MTA0MDc= (accessed on December 14, 2007). The Daily Purbakun (2007). Apprehension of tsunami, September 13, 2007. The Daily Star (2007). Coasts evacuated on tsunami alert 10 dies in Indonesia, September 13, 2007. http://www.thedailystar.net/story.php?nid (accessed on December 14, 2007).

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Virtual nature systems for management of urban disasters V.I. Klenov Personal, 98-5-80 Profsouznaya, Moscow, Russia

ABSTRACT: Urban areas lie inside nature systems, in river basins and nearby coastal zones. The development of and threat to an urban area is dependant upon processes and events occurring in surrounding territory. This paper looks at two towns that are located inside river basins. In the first case, the urban territory is under threat of floods originating upstream. In the second case, flash floods occur due to local upstream storms. Protection and mitigation strategies for water floods were simulated using the Virtual Nature System (VNS). The VNS uses models of urban and surrounding areas and, when used in combination with continual inflows from 2D remote sensing data and the Moving Digital Earth (MDE) technology, provides quick continual reforming of the 2D information and applies it to processes in natural systems. It offers real-time recognition of location and intensity of impending disasters such as floods, debris-flows, spreading of pollution, and other hazardous events that affect the urban environment. The VNS and MDE support the GeoInformatics processes and spatial-temporal GeoDynamics. Keywords: Systems

1

Digital Systems Analysis; GeoDynamics; GeoInformatics; Moving Digital Earth; Virtual Nature

INTRODUCTION

The timely recognition of the need for urgent response during sudden floods and debris flows from upstream catchments, or impending disasters from large rivers upstream remains a problem when proposing mitigation strategies. The objective when using the proposed technology of the Moving Digital Earth (MDE) is to join remote sensing Digital Earth (DE) technology with methods of the Automatic Systems Analysis for estimation of all environmental flows in nature systems. The Virtual Nature System and advanced version as the MDE offer overview, assessment, and propose courses of action for mitigation of natural hazards due to storms in any type of urban area. When an urban area (site) is partly within one of several river basins, or set near a big river and/or near a coastal zone, the most vulnerable areas are flood plains (for floods), small rivers and streams (for flash floods and debris flows), and coastal zones. Other risks are associated with overfilling and blocking of dams. The Virtual Nature System provides a digital model of the actual systems and enables monitoring of high-risk areas. The size of an urban area determines the scale of the surrounding area. Analysis of upstream basins provides recognition of potential upstream disasters and the manner in which they move through an urban zone. The scale of the area influences the resolution of the

map; for example, the resolution of small scale basin (about 6–7 km2 ) is satisfactory to estimate the time for floods/debris flow (Figure 2). For example, 1 km resolution does not provide the small details of a river bed, and of low terraces. Hence, the basic computer grid must be relevant to the task. The methods for Automatic Digital Systems Analysis estimate interactions between cells of the matrix. The major aim is to determine source and destination cells for the order of water/mass/energy exchange for estimation of direction and value of exchange between all neighbour cells. It is done by grid scanning and by comparing the height of all neighbours. The square of an area including urban territories is strongly variable, from local to regional. Urban areas may be set in various environments: in plains, deltas, piedmonts, and mountains. Therefore, to protect urban areas against climatic and tectonics disasters (floods, tsunamis, landslides, earthquakes, and others hazardous processes), it is necessary to analyse surrounding processes because sources of disasters may be found outside towns, but inside river basins to which metropolitan areas belong; this approach can significantly enlarge a source area. It includes all upstream basins and nearby coastal zones. The Virtual Nature System must include a whole urban related environment for the effective protection on catastrophes.

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The Virtual Nature System (VNS) was constructed as a computer double of the Nature System. It must evaluate all governing processes in the Actual Nature System (ANS). The ANS includes one of several river basins and respective river nets, coastal zone, and one or several urban areas. The simulated system must be be installed and run by powerful computing systems, as it requires an enormous amount of calculations to be preformed. Being initially “dry”, the VNS must be filled up by water, by spatial data on the area, and on governing external drivers. These influences must be including 2D meteorological data on precipitation, air temperature, winds, tectonics observed on gauge stations and by satellites. Sources of initial data can also be found in processes in the coastal zone (tides, tsunami, etc.), and other geophysical processes. The geodynamics of nature systems is found in the compound interaction of endogenous and exogenous processes. These interactions and response of the nature systems determine the dynamics and evolution of the ANS. It is evident that the geodynamics cannot be satisfactory reflected through cartographic methods and by traditional geoinformation Systems (GIS). Current functions of these GIS to store and map the fixed state of nature should be expanded to include spatial-temporal activities inherent in environmental processes. The description and evaluation of interactions between components of the nature systems are provided by the Digital Systems Analysis (DSA) for the ANS. The next step is to estimate water/mass energy exchanges and flows inside an area under external drivers and under existing system gradients. The estimation of environmental processes in action is provided for the Actual Nature Systems by the Virtual Nature Systems (VNS). Both exogenous and endogenous exterior influences on a concrete area cause environmental flows and processes (water, sediments, and energy) throughout an area. The Virtual Nature System is a computer program, which continually and completely calculates water, sediment, and energy exchanges and processes affecting the urban and surrounding area. The automatic Digital Systems Analysis (DSA) is an improvement over the Qualitative Systems Analysis. The systems analysis has existed for a long time for the research of natural processes and interactions between them. This systems analysis is a foundation for the geography, geology, geophysics, and other sciences, which observe the earth as a complex unit. The Virtual Nature System makes available continual monitoring of a whole area with a high spatial resolution. It is because of this that the VNS acts as an information machine, which reforms external influences to environmental flows similar to Actual Nature Systems. The state of the environment is simulated by continual corresponding computer mapping of an area with a high spatial resolution. The initial and current

state of the VNS is altered by the same influences as for the ANS. The VNS is supplied with continual visualisation of disastrous and background processes by periodically renewed computer mapping. The modification of the VNS discussed here is Moving Digital Earth (MDE) technology. The Moving Digital Earth enlarges theVNS scope for quick reforming of real-time 2D data on the external influences to assess the processes in the Actual Nature Systems. The MDE must be provided with efficient communications for immediate transfer of data into the MDE. The MDE continually and quickly reforms the observed data to update the computer mapping of an area. Outstripping computer mapping results from the delay of the nature systems’ response on external influences. Quick estimation of the impending future outstrips receiving of the next step data. The result is automatic recognition and visualisation of hazardous flows before their initiation in realty, and estimation of their tracks forever. The computer program complex was worked out and satisfactory validated by monitoring floods in plain rivers (Klenov, 2000) and debris flows in mountains (Klenov, 2003), both based on observed records. The MDE is not yet implemented due to inaccessibility of 2D remote sensing (satellite) data. Before the data is accessible the VNS must be used for scenarios of interactions between exogenous and endogenous external pressures and impacts on nature systems. 2

DIGITAL SYSTEMS ANALYSIS AS FOUNDATION FOR VIRTUAL NATURE SYSTEMS

The Digital Systems Analysis (DSA) is estimation of all interactions between main components of Virtual Nature Systems (VNS). While in nature systems all elements depend on all others, the DSA uses a relatively small number of processes, parameters, and exterior influences. The processes include environmental flows (water and sediments) across land (including also groundwater), wind and sea currents. The parameters are as follows: elevation, soil properties for major processes (water delay, soil resistance, infiltration, among others), and parameters of empirical equations for estimation of processes and interactions between them. The external influences are drivers of earth processes: precipitation, air temperature, wind, and tectonic distortion of the earth surface. The DSA uses the 2D matrix (of square cells) of variables and parameters in separate layers. The 2D external influences provide estimation of water/mass/energy exchange between all neighbour cells and over a whole matrix. The matrix includes one of several bordering nature systems: river basins and reservoirs, and coastal zones. Because external

318

Figure 1. Layer of snow and water in the virtual river basin.

energy is a driver of earth/bottom processes, nature systems belong to the Open Non-Equilibrium Systems (ONES). The repeated estimation of all inner exchanges under external influences turns into estimation of various flows throughout an area. The DSA turns into the Virtual Nature Systems (VNS). The VNS automatically reforms all external exogenous and endogenous influences to water/mass/energy exchange and flows throughout the whole matrix for each step and in unlimited time. The method for estimation of environmental flows is the method of the genetic matrixes (Klenov, 2000). The basic matrix is multi-layer grid of variables, parameters, and external drivers, which now includes about 20 layers. Grid resolution determines size of each square cell. The cell should be small enough to show major elements of earth surface (river beds, slopes, terrace layers, details of human activities (fields, buildings, etc). Together a size of nature systems depends on its scale, because of estimation of flows through any system must be done for basins from local to subcontinental scale, and in dependence of size of urban area to be included in this ‘system of borders’, which must use natural environmental borders (Figure 1). This is the most difficult problem for large basins, as they require giant matrixes and require numerous complex computer calculations. The automatic Digital Systems Analysis provides spatial and temporal evaluation of major interactions

and water, mass, and energy exchange between all bordering cells of the matrix (Klenov, 2000, 2003, and 2006). The algorithms of the DSA present estimation of all flows through the area, estimate transport capacity of water cover on the cell, and water/mass/energy exchange between cells. If the DSA is a method for estimation of interactions between components of a system, then the VNS is a method for estimation of governing environmental processes in nature systems.

3

EXPERIENCE ON A VARIETY OF VIRTUAL NATURE SYSTEMS

The Virtual Nature System is a tabletop computer copy of the Actual Nature System of any type. Each VNS installation corresponds with actual areas by including in digital information on actual system in the matrix. The VNS may include a single river basin, several river basins, section (gulfs) of the coastal zone, reservoirs, any complex of river basins, and combination of river basins with coastal zones, including interactions and overlap between them. The single and major restriction for the VNS is that it must include a whole system, without any cutting of watersheds. A foundation of the VNS is the matrix of elevation. The elevation matrix must be set up inside a rectangular grid of square cells. The size of a cell determines spatial resolution of the matrix. The dimension of the matrix determines

319

Figure 2. Layer of summary energy for the same area as on Figure 1.

the area under evaluation. Increasing both the size of the matrix and decreasing the cell size nonlinearly increases the time for estimation of interactions between all cells over the multi-layer matrix of the current system’s state. A number of separate layers of variables, parameters, and external influences are set in common coordinates. The digital layers for the land are as follows: elevation/bathymetry; soil resistance to erosion; delay coefficient; infiltration; evaporation; water depth/content; snow cover thickness; and others on necessity. Content of a matrix for the coastal zone includes the bathymetry, bottom grunt resistance, and coastline resistance to abrasion, wind direction, wind power, and others.To be completed, the matrix should include conditions for groundwater (watertight, aquifer, parameters of water penetration through unsaturated zone, etc.) for estimation of interactions between surface and groundwater. The observed data on parameters and on external exogenous factors (precipitation, temperature, wind) and endogenous (several tectonics factors) not always are observed with a required spatial g resolution. In the case, existing available data should be distributed over relevant layers. For example, single gauge stations (precipitation) should be stretched over the matrix. Otherwise, air temperature data from meteorology gauges must be spread over a whole area with corrected on difference of altitude for each cell (by dry or wet adiabatic function), and so on. A row of

common parameters are assigned empirically and set over cells by corresponding data on geology, geomorphology, etc. The VNS should be filled up and optimised before its continual exploitation. Then the VNS becomes an acting real-times model simulator for an actual area. It is expected to provide governing structures and population by timely information support for the regional management, by communication nets, through the internet, etc. The installation of the VNS-MDE over time may become an essential tool used to address a variety of issues. The used of VNS for certain functions is not recommended until careful checking and validation is completed. The VNS is not effective without corresponding computer mapping of an area.The mapping is provided for VNS by simultaneous reforming of raster (grid) data to vector forms (in contours). The current information may be saved for outside use and presented both in raster (grids of current data) and as computer images (maps with a cell resolution) of an area. The common requirement is to provide the portrait VNS with fresh (for the MDE) or artificial/former 2D information (for the VNS). The spatial-temporal regime for input of the 2D data to the VNS turns it to the information machine. If the required data are irregular or if the time interval is too long then preciseness for current assessment of the system is reduced. Specialized computer maps are smoothly renewed in accordance to temporal steps. Use of contours instead of a raster facilitates overlapping of several layers

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directly on the screen. The layers may be combined by the user to meet concrete objectives. For example, one computer map may contain the following layers: elevation, water thickness/depth, snow depth, or any others, but no more then 2-4 layers in view to be easy visible (Figure 1). Cumulative corresponding graphics for local sites, such as measured and computed data on air temperature, precipitation, and water discharge, sedimentation, and erosion, are set up outside a map with annual or monthly renewing of data. The order of the matrix scanning depends on the spatial properties of external factors. For the calculation of processes in a coastal zone the major factor is wind/wave energy of any power and direction. The energy power depends on variations in exposure of the coastline. The Figures 1 and 2 demonstrate two layers of the VNS for a mountainous river basin in the process of monitoring by real records of precipitation and air temperature, shown on the right side of central computer map. All others information is evaluated and mapped independently by the VNS as snow thickness contours and spatial dynamics of erosion processes are shown in coloured counters of snow thickness, border of 0◦ air temperature, snow line and deepness of water flows, by continual influence of both changes in temperature and precipitation oscillations and changes in season. The Figure 2 map is made by parallel estimations of summary tracks of debris flows, as well as influences from human activity. The basin is also an arena for interaction of exogenous (climatic) and endogenous (earthquakes, fault zones, surface distorts) (Moutaz, 2005) with resulted sudden activation of debris flows by simultaneous or later precipitation. The basic method of genetic matrices was also implied for estimation of changeable structure of flows in specific tasks as follows: estimation of oil spreading over a land; over a water surface; over a land and a water surface; and interaction of surface flows with groundwater outlets. All these tasks use elevation and other necessary layers as variables and parameters. 4

CONCLUSIONS

The DSA-VNS-MDE is an alternative for nonrestricted storage of non-linearly rising volumes of observed data by the Cartographic geoinformation Systems (GIS). The problem of climate warming and the widespread increase in frequency of disasters requires adequate response by new methods geoinformatics. The geoinformatics should reflect the geodynamics. The DSA-VNS-MDE are steps to advance geoinformatics through the use of efficient tools (DSA, VNS) and by their ability to estimate the following states of an area, for timely and outstripping recognition of calamities by their estimation, and as an efficient instrument for regional management. Only

recently has digital Automatic Systems Analysis been possible, where powerful and quick estimations using a giant volume of information both on system’s geology, geomorphology, soils and waters. The setup for VNS includes the following: •

• •

• •

Setup of the elevation grid for the urban and surrounding areas in the matrix. The first step requires set up of all of the upstream basins to provide non-disturbed flows without cutting of upstream watersheds. Location of an urban area in a mouth of a great river requires for accessible resolution (cell size) to be able to read main relief parameters (streams, slopes, and flood plains). On the other side, a large area offers monitoring of multiple small urban areas in the basin. The preliminary set up of theVNS using information on the system’s current state (parameters). Use of real time data sources (by remote sensing and others). Regular transfer of data into the MDE must be facilitated (without their storage in GIS) to provide continual monitoring of an area and of water related hazardous flows (floods, debris flows, and others). Training of the VNS to avoid false alarms and for accident recognition. Running of the VNS-MDE for regional outstripping estimation of water related accidents. The outstripping effect is because step-by-step estimation of flows outstrips step-by-step observation due to quick computing. The VNS-MDE quickly reforms the data to mapping of the next system’s state. If real-time information sources are inaccessible then the VNS is a competent tool for estimation of scenarios for floods management through engineering. For the most effective use, the VNS must be validated by use of formerly observed data (records). The satisfactory use of VNS is based on experience of estimation of several scenarios for safety of urban environment related to human impact.

If remote sensing data is a necessary ‘feed’ for the MDE, then a special task is to extract necessary information from mixed observed information. The problem is in support of remote recognition by direct field observation of etalon and surrounding objects. Etalons of objects (their remote sensed oblique) are also variable in place and seasons, and require continual monitoring. The VNS experience with reasons for initiation of disasters includes evaluation of nature system’s response on earthquakes and on others earth surface occurrences. Shocks and transformations of soils initiate earth processes, which are enlarged by simultaneous precipitation, snow melting, and other interaction of endogenous and exogenous factors. Here the experience by the VNS is necessary. The vitally important threat of recent warming on the

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environment, on the increase in frequency and power of disasters requires direct VNS-based scenarios of pressure and impacts of external influences (increasing of precipitation, air temperature, and of their oscillations) on common and local accidents. The scenarios should be played out for actual areas using past records. Some results of experiences of VNS are as follows: •

The first is the outstripping effect of the VNS-MDE. It became possible only by support of efficient modelling by regular/incessant 2D information and by immediate reforming of the data to estimated hazardous/disastrous flows over any area, under condition of quick computing of the regionally installed VNS-MDE. The importance to view even the nearest future seems to be obvious. • The additive mapping of hazardous flows (Figure 2), which is the foundation for regional management, including the insurance. This requires further expansion of experience for other objects, from the beginning, in small and medium scale nature systems.

REFERENCES Prigogine, I., Stengers, I. (1984). Order Out of Chaos. London: Heinemann. Klenov, V.I. (2000). Experience of Nature Systems Simulation. Hydroinformatics 2000, Proceedings: Abstract Volume, Papers on CD-ROM, Iowa, USA. Klenov, V.I. (2003). Debris-flow recognition using an extended version of the river basin simulation model. Debris–Flow hazards mitigation: Mechanics, Prediction, and assessment. Dieter Rickenmann, Cheng-lung Chen (Eds), Rotterdam: Millpress, 139–145. Moutaz, D. (2005). Applications of Remote Sensing to Geological Hazards: Case Study Detecting the Active Faulting Zones NW of Damascus, Syria. Geo-information for Disaster Management. Late papers, P. Oosterom, S. Zlatanova, and E. M. Fendel (Eds.), Delft University of Technology, the Netherlands, 59–64. Klenov,Valeriy (2006).The Moving Digital EarthTechnology (MDE) for monitoring of Forthcoming Disasters, Proceedings of the 3rd International ISCRAM Conference, B. Ban de Walle and M. Turoff, eds., Newark, NJ (USA), May 2006, 17–23.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Managing urban water disasters in Gujarat: Risk assessment and risk reduction S. Lodhia Ahemdabad, Gujarat, India

ABSTRACT: Gujarat is the third most urbanised states in India and is currently experiencing a very high rate of economic growth. High levels of urbanisation have made much of the urban areas highly impermeable. This has made urban areas more vulnerable to water-related disasters. At the same time, the overall occurrence rate of climatic induced water-related disasters in Gujarat has increased. Recent flash floods have shown their adverse impact on urban areas and the existing management of the water supply is inefficient and unable to cope with the high risk of water-related disasters. Often, it is the poorest city dwellers who are most affected by this mismanagement. The current disaster management plan is inadequate and does not consider proactive risk reduction strategies. This paper has assessed the risk and vulnerability aspects of urban disasters in Gujarat and has proposes more concrete strategies. There is a need to have strong disaster management strategies which not only reduce the risk due to water-related disasters, but also augment access to sage, urban water resources for all urban dwellers. Keywords:

1

Gujarat; flood; risk management; urban disaster management; urban vulnerability

INTRODUCTION

Gujarat is the third most urbanised state in India and is experiencing a very high rate of economic growth. The high level of urbanisation has transformed agricultural land into built-up areas with buildings, roads and pavement. This has made the urban areas highly impermeable and more vulnerable to water related disasters. As well, the rate of occurrence of climatic induced water-related disasters in Gujarat has increased. Currently, Gujarat is more likely to experience a flood over any other major disaster. Recent flash floods have shown their adverse impacts on urban areas and the existing inefficient water supply management system is not able to cope with the high risk of water related disasters. Often, it is the poorest city dwellers who are most affected by this mismanagement. The current disaster management plans are inadequate and do not consider risk reduction strategies. This paper has assessed the risk and vulnerability aspects of urban disasters in Gujarat and has come out with concrete strategies to address current shortcomings. Risks associated with disasters are as much a result of the hazard as it is the vulnerability of the response system. Disaster management strategies in urban Gujarat must take into account current status and pattern of development before proposing solutions to mitigate the risk due to natural disasters.

The paper is divided in five sections. The first section assesses the risks due to water disasters in urban Gujarat. The second section discusses the urban vulnerability in terms of unplanned urban development and an inefficient water supply system. The third section critically reviews the current disaster management strategies of the state government and identifies the gaps for mitigating urban water disasters in the state. The fourth section provides strategies for mitigating floods in urban areas. The last section concludes with a comprehensive analysis of the paper. 2 WATER DISASTERS IN GUJARAT: A RISK ASSESSMENT With the longest coastline in India and a variety of geological formations, Gujarat is prone to many disasters. The natural disasters faced by Gujarat include extremes in weather disturbances, resulting in rampaging floods and scorching droughts. The four major disasters faced by Gujarat include flood, drought, cyclone and earthquake. The data indicates that the frequency of disasters has increased sharply over a period of time. The data further shows that the annual probability of flooding (25%) is more than any other disaster. Some of the most devastating floods that struck Gujarat during the

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Table 1.

Frequency of Extreme events in Gujarat over a period of time.

Decade

Earthquake

Drought

Epidemic

Flood

Cyclone

Total

1940s 1950s 1960s 1970s 1980s 1990s 2000–03 Total Annual Probability

0 1 0 0 0 0 1 2 3

0 0 0 0 2 3 1 6 8

0 0 0 0 3 2 0 5 6

0 3 3 2 1 8 3 20 25

1 2 0 3 4 2 2 14 18

1 6 3 5 10 15 7 47

Source: EM-DAT: The OFDA/CRED International Disaster Database

Table 2. Socio-economic impact of floods hit the state over a period of time.

Decade

Deaths

Injured

Affected people

1950s 1960s 1970s 1980s 1990s 2000–03 Total

62 879 1156 1421 2481 452 6451

0 0 23 0 0 0 23

40,000 2502000 1601023 0 36559000 12016500 52718523

Damage Estimation in Rs. Lakhs – 0.11 115 19640 21465 5230 46450

tolls in urban areas. The economic impact of floods is very significant and has continuously increased over a period of time. With the increase in frequency of floods, the causes are also changing. In the 1970s the floods were caused by rising water in rivers. Gradually, the causes for flood shifted to manmade interventions. The floods in the last two and half decades are mostly due to over estimation of dam capacities and inadequate storm water collection networks in the city areas. 3 VULNERABILITY ASPECTS OF URBAN GUJARAT

Source: “EM-DAT: The OFDA/CRED International Disaster Database

last few decades include Morbi flood of 1978, the flood of Surat that was followed by a plague in 1994, the floods which swept across Ahmedabad, Baroda, Surat and Mehsana in 2000, and the flash flood in Surat in 2006. It is very important to note here that most of the floods which have hit the state can be identified as manmade disasters. The major causes of floods in Gujarat are dam break flow, inadequate capacity within river banks to contain high flows, and poor natural drainage. In spite of the fact that floods are very frequent disasters with the highest annual probability, the state’s attention is focused on earthquake disaster management. While there is little doubt that the social impact of earthquakes in Gujarat is very big, the probability of an earthquake occurring is very low. Floods have been shown to have adverse socioeconomic impacts on the state. Death tolls due to floods have continuously increased over a period of time. In fact, the above data does not include the recent floods of 2005 and 2006 which had high death

Although the disaster risk is similar in both the rural and urban areas, urban areas face greater adverse impacts due to increased economic development. Higher exposure of infrastructural assets makes urban areas more vulnerable to disasters. For this research, vulnerability in urban Gujarat has been analysed in relation to two major aspects. Firstly, the extent and pattern of the urbanisation process that the state followed in the past has made the urban areas more vulnerable towards urban floods. Secondly, the existing unsustainable water supply system serves to increase the pressure on urban areas during the flood seasons. 3.1 The extent and pattern of urbanisation in Gujarat 37.35% of people in Gujarat live in urban areas, well above the national average of 27.78%. In this respect, Gujarat ranks third among big states of India just after Tamil Nadu (43.86%) and Maharshtra (42.40%). Overall, there are 18.93 million of people residing in urban Gujarat. With this much of the population living in cities and towns, the total number of statutory towns in the state has more than doubled in one decade (1991–2001).

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Table 3.

Patterns of urbanisation in Gujarat.

Table 5. Gujarat.

Size of Town

1981

1991

2001

Class I Class II Class III Class IV–VII

57.92 14.53 13.37 14.18

66.43 12.73 10.52 10.32

76.50 9.67 9.47 4.36

Infra-urban growth differentials in cities of

1981–91

Source: Census of India, 1981–2001 Note: Class I Town – Population of 100000 and above Class II Town – Population of 50000 – 99999 Class III Town – Population of 20000 – 49999 Class IV onwards Town – Population < 20000

1971–81

1981–91

1991–2001

Class I Class II Class III Class IV

4.11 2.68 2.76 2.87

3.13 2.66 2.14 2.31

3.60 1.98 2.10 1.99

Source: Census of India, 1971–2001

Looking at the pattern of urbanisation in Gujarat, the population of class I cities has been growing at an accelerated rate, while populations in class II and III urban centres have slightly declined or remained stable. The share of urban population living in small towns has been significantly declining. This indicates that large cities are growing at alarming rates, many being over-populated and lacking the infrastructure and services necessary to provide adequate support. High densities in these large urban areas make cities more vulnerable towards floods. The annual exponential growth rates of urban centres indicates that the class I cities are growing at higher rates when compared to small urban centres. The exponential growth rates of class I cities are significantly higher. On the other hand, the annual exponential growth rates of class II to class VII towns have declined in 1990s. Once again, this indicates that class I cities are growing at the fastest rates among all the urban centres in Gujarat. Therefore, these cities face more risk of water logging and flash floods resulting from disasters. 3.2

Cities

Core

Periphery

Core

Periphery

Ahmedabad Rajkot Surat Vadodara

2.11 2.29 4.84 3.39

2.58 3.86 4.97 3.65

2.00 5.47 4.85 2.36

3.11 4.26 6.16 2.81

Source: Census of India, 1981–2001

Table 4. Annual exponential growth rate of population in urban areas. Size of Town

1991–2001

Growth of million plus cities or urban agglomerations

Looking at the growth of four major urban agglomerations of Gujarat, the following table shows the intra-urban agglomerations of large cities. Urban agglomerations include core city and surrounding urban areas.

A careful look towards the above table indicates that large cities in Gujarat show differential infraurban growth rates. Surat and Rajkot are the fastest growing cities, as the growth rates of population in both core and periphery areas have increased throughout the 1990s. While in Ahmedabad, the growth of periphery is occurring faster than in the core city. Both the above phenomena (growing city, growing periphery and declining city, growing periphery) have great implications on urban vulnerability towards floods, as high levels of development leads to more construction and a decline in the total amount of permeable surfaces. Risk of flood is especially increased from unplanned development activities where this is little attention given to obstruction of natural drainage systems and natural run-off patterns. The land-use pattern of a part of Ahmedabad, shown in the following table, indicates a very high portion of land used for only residential purposes. Most of the land is developed, in the process of being developed or marked for future development. The total water area is only 2.48%. Shifts in urban governance and planning have also made cities more vulnerable towards floods and water logging. During the pre-industrial period (1950s and 1960s), regional planning regulated the industrial growth of large cities. However, today, with the process of decentralisation, decisions regarding location of industries or change in land use are decided by local Government. As a result, most of the local governments violate zoning restrictions as well as building laws and by-laws. Cities are working on their own without having state level controls as they compete for industry. The high growth rate of urban population over a period of time has put a lot of pressure on existing, basic amenities. Many times, such pressure results in deterioration in standards of living for poor urban dwellers. Although, the average slum population (7.13%) in the state is below national average (14.12%), four major cities have reported higher proportion of slum population in the year of 2001. Cities experiencing a very high population growth are facing extreme pressure on existing water supply systems.

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Table 6.

Land use of west zone under Ahmedabad Municipal Corporation (AMC).

Land use

Residential

Commercial

Open land

Core

Education

Water bodies

Roads

Total

Areas in sq. km. % to total

23.61 54.5

5.64 13.01

6.02 13.9

2.06 4.76

1.1 2.53

1.07 2.48

3.82 8.82

43.32 100

Table 7.

Slum population in major cities of Gujarat.

Cities

Urban population

Slum population

% of Slum population

Ahmedabad Surat Vadodara Rajkot Gujarat

35.15.361 24.33.787 13.06.036 9.66.642 1.89.30.250

4.39.772 4.05.956 1.07.226 1.50.506 1.3.49.727

12.51 16.68 8.21 15.57 7.13

Table 8. Water supply in municipal towns according to size class. Average per capita water supply (LPCD) Class

Minimum

Maximum

Average

Norms

Class-A Class-B Class-C Class-D

16.22 8.37 9.52 0.13

171.63 161.88 182.46 250.85

74.46 84.62 73.54 57.57

180 140 120 100

Source: Director municipalities, Gandhinagar

Source: Director municipalities, Gandhinagar

Although, it is perceived that social amenities are better in urban areas, there is a great level of disparities prevailing between and within urban centres.

Table 9. Timings of water supply under municipal corporations. Average Hours of WS

3.3 Non-sustainable water supply system in urban Gujarat The urban water system in the state is suffering from inadequate levels of supply and service. An increasing gap between demand and supply along with poor performance of the water supply system has become a major problem. The urban water supply system also continues to suffer form many technical and financial constraints. There is a lot of variation within the urban centres in terms of per capita per day (lpcd) water supply. The slum areas in urban centres get much less water. Slum population in Class I cities get 16 lpcd, while those in class IV to class VII towns get only 0.13 lpcd of water. This shows high disparity between urban centres. In slum areas, water supply is highly erratic and unreliable. The distribution networks are usually old and poorly maintained, often suffering from leakages and breakages. As a result, there is a high risk during the flood season that outside impurities can easily enter into the water supply. The daily time period for which water is supplied to urban dwellers is also significantly less. Two major cities – Ahmedabad and Surat – receive water for two and one half to three hours per day. In slum areas, more than 100 people are dependant on a single stand post located in a common area. During flood and drought periods, the situation becomes worse. Issues and Problems of Urban Water Supply and Water Resources. The main source of urban water supply is ground water. Almost 77% of urban centres are

City

Households Population per connected by stand port Per day water connection in slums

Ahmedabad Surat Rajkot Jamnagar Bhavnagar Vadodara

2.5 3.0 0.25 0.50 0.49 0.67

38.36 37.07 73.33 69.60 59.57 62.51

133 154 143 143 290 100

Source: City sectoral analysis and graphs, CMAG (2000–2001)

provided water from ground water resources. About 28.6% of towns are provided water by purchasing bulk water from the water sources located far away. Yet, there is potential to develop waste water recycling and rain water harvesting as sources of water supply; however, these sources have not been fully explored. The urban water services lack proper systems of operation and maintenance. The City Management Association of Gujarat (CMAG, 2003) has estimated that the Gujarat urban water supply is suffering from 50% of leakages; this results in huge water losses. As well, breakages during the flood period frequently results in severe health hazards. It also results in water logging in low lying areas. Poor operation and maintenance systems make it impossible to maintain the economic viability of the water supply system. The water tariff in urban areas is

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not uniform. The charges collected from a household vary in a range of Rs 50 to Rs 400 per household per year. But collection of water charges is very poor; the recovery of collected water charges is only in the range of 10 to 50%. Most of the cities have not paid their water supply charges or electricity bills. This has made the system economically unviable and has increased overall debt. Poor sanitation facilities and hygiene practices have made the cities more vulnerable than ever before towards the flood situation. A survey carried out by Gujarat Municipal Financial Board (GMFB) in 1999 reported that 75% of urban households did not have separate toilet facilities. Further they reported that 52% urban households did not have access to sanitation facilities and 34% of urban areas were not covered by drainage systems. 4

RESPONSE OF THE STATE WITH RESPECT TO URBAN DISASTERS

Although the state government has started working on disaster management strategies, their focus is only on preparedness. Ahmedabad City Disaster Management Plans prepared by GSDMA, (a nodal agency for disaster management) does not include any risk reduction strategies. Such plans have provided only basic statistical information. The plan has identified low lying areas in the city. However, there is no further activity suggested to construct water harvesting structures for capturing maximum run-off. The plan has simply suggested that in the situation of a flood, slum dwellers living in low lying areas should be shifted to school buildings which have been identified as safe buildings. The plan does not suggest any strategies to solve the water logging problems of low lying areas. As a result, the institute is mainly engaged in preparation for floods rather than mitigating their adverse impacts. 5

UNTAPPED SUPPLY AUGMENTATION SOURCES FOR FLOOD MANAGEMENT

The storm water collection is still inadequate and requires lot of attention. Ahmedabad has only 23% of areas covered with storm water drains. Further water is discharged into Sabarmati River at 42 locations. However, only 27 locations are presently functional. Two major solutions to deal with increasing demand of water in urban areas are recycling of waste water and rainwater harvesting. These will not only help in augmenting the water supply, but will also protect cities from water logging and flooding. Recycling of wastewater through the filtration method of soil aquifer treatment (SAT) is very important. In this filtration process, the layers of unconsolidated sand aquifers in riverbeds are used for rapid infiltration of

wastewater. This method is suggested by the Physical Research Laboratory and requires simple earthwork (Gupta, 1997). The another untapped solution for augmenting the water supply and reducing storm water runoff is rain water harvesting at various levels. At the individual household level, rain water can be collected from roofs and stored in underground tanks. The collected water can also be recharged in bore wells which exist to supplying water to urban dwellers. In low lying areas, runoff water can be diverted to underground water sources by using percolation wells, locally known as “Khambhati wells”. This will not only reduce the water logging problem but will also augment the local water resources. At city level, pavement can be replaced with gravel and pebbles for facilitating rain water percolation in underlying soil, reducing the amount of runoff. This can also help to filter suspended particles and other pollutants present in the runoff from the city areas and roads. There is also a need to create storm water retention ponds or wetlands in low lying areas where surrounding lands can be used as gardens or parks. This requires changes in land-use planning. Urban development agencies should identify the low lying areas in newly emerging peripheral areas. Such areas should not be authorised for construction. 6

CONCLUDING OBSERVATIONS

The paper has assessed the urban disaster risk in terms of the growing trend of natural disasters (especially floods) and vulnerability of urban areas towards flood risk. It is very clear that the high level of growth rates of large cities, along with unplanned city development, has aggravated the risk of flash floods in urban areas of Gujarat. 1. The trend of floods in Gujarat has increased very sharply over a period of time. This has resulted in high annual probability of urban floods. Further, floods in Gujarat in the recent past have incurred heavy losses in terms of social and economic costs. 2. Decline in permeable areas as a result of large built up areas has increased the risk of urban flash floods. Urban centres in Gujarat face flood risks during almost every monsoon. Inadequate storm water drains in city areas results in water logging of low lying areas and makes the city more vulnerable towards flash floods. 3. Urban governance systems are not capable to making existing water systems and other service networks financially viable or efficient. Poor urban management exposes urban dwellers to more natural disasters. 4. Urban water supply systems are far from satisfactory. Inadequate and irregular supply of water in

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cities makes urban society less resilient to disasters induced by climatic changes. 5. There are simple solutions available for augmenting the urban water resources along with reducing the risk of flooding. This requires the integration of disaster risk reduction strategies into ongoing urban development planning. REFERENCES

Ghosh, S. (2006). Flood Control and Drainage Engineering. New Delhi: Oxford & IBH Publishing Co. Pvt. Ltd. Gupta, S.K. and Sharma, P. (1997). A Sustainable Water Resources Development Plan for Ahmedabad: 2001 and Beyond – An Outline Proposal, Water Resources Research Foundation, Mimeo, Ahmedabad. Gupta, S.K. (1993). Water for Recharging of Aquifers in Ahmedabad, India, Indian Journal of Earth Sciences, 20(1): 28–36. Hirway, I. and Lodhia, S. (2004). Status of Drinking Water in Gujarat: Towards a Sustainable Approach, a paper submitted to Government of Gujarat.

CMAG (2003). Best Practice Catalogue 2002, City Manager’s Association Gujarat, Ahmedabad. GMFB (2002). Yojanao, Gujarat Municipal Finance Board, Ahmedabad.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Flash floods due to glacier lake outburst floods in the mountainous regions of Nepal: A case study of Kawache Glacier Lake outburst flood P.C. Shakti Faculty of Bioscience Engineering, ICP in Water Resources Engineering, KU Leuven, Belgium

ABSTRACT: Natural disasters like Glacier Lake Outburst Flood (GLOF) severely disrupt livelihoods, infrastructures and community development whether they occur at the large or medium scale. The latest GLOF occurred in the head reach of Madi River, a main tributary of Gandaki River. From 1954 to 2002, floods have affected over a million people in Nepal. The episode of Kawache Glacier Lake Outburst Flood that occurred on 15 August 2003 in the upper reach of Madi River watershed caused a disastrous flash flood in the Madi River. This paper investigates the basic cause of the GLOF linked with an important meteorological parameter i.e. temperature. Analysis of temperature within the Madi River watershed indicates that there is slight increasing trend in temperature which may be one of the causes that triggered such disasters. The more or less steady rising trend of temperature has been the main cause of GLOF in the past and present so it is necessary to do complete detailed and multi-disciplinary investigations of the total environment of the lakes, glaciers and associated factors in that surround it. Keywords:

1

Flash floods; glacier; global warming; landslides; temperature

INTRODUCTION

In general, glacier floods represent the highest and most far-reaching glacial risk with the highest potential for disaster and damage (Richard and Gay, 2003). GLOF (glacial lake outburst floods) are catastrophic sudden discharges of huge amounts of lake water, which amplifies along the stream channel downstream in the form of dangerous flood waves. These floods waves are comprised of water mixed with morainic materials and cause devastating consequences for downstream riparian communities, hydropower stations and other infrastructure. The severity of flood wave depends upon the amount of water released, debris load and the characteristics of the watershed basin. Nepal is especially vulnerable to GLOFs because of the numerous glacial lakes located along the Himalayas. Glacier lakes are a common feature at altitudes of 4,500 to 5,500 m (Kattelmann, 2003). The Himalayan Region, covering nearly 35 percent of Nepal, contains 200 peaks more than 6,000 meters in elevation and 13 peaks more than 8,000 meters high, including Mount Everest (Sagarmatha). There are about 3,252 glaciers, 2,315 glacial lakes, and 20 potential GLOF sites (UNEP, 2002). The area covered by these glaciers is 143.23 km2

with an estimated ice reserve of 10.06 km3 (Mool et al., 2001a). Although the GLOFs originate in the high mountain areas, their damage effect may exceed 100 km downstream to the plains along the river valley. The most pressing risk for Nepal stems from the potential increase of climate-enhanced GLOFs. Historical records of past GLOFs suggest that the frequency of these events appears to be increasing (Agrawala et al., 2003). About 29% of the total annual deaths of people and 43% of the total loss of properties from all different disasters in Nepal are caused by water-induced disasters like floods, landslides and avalanches (Khanal, 2005).The GLOFs are yet another threat due to the effects of climate change in the Nepal Himalayas (Horstmann, 2004). Empirical and model studies suggest that there will be more new glacier lakes and existing glacier lakes will grow rapidly in the Nepal Himalayas as a result of climate change. People who lives are lived downstream from the snowfed river may increasingly face loss of millions of dollars worth of property, tourism facilities, trekking trails, roads, bridges and hydropower plants. Since glaciers are excellent indicators of climate change (Oerlemans, 1994), Nepali glaciers provide an excellent opportunity to study the impact of global climate change in this region.

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Figure 1. Glacial lakes and potential GLOF sites in Nepal. (Source: ICIMOD/UNEP 2002)

2

GLOF EVENT AND ITS DAMAGES

There have been 13 reported cases of GLOFs in Nepal since 1964 with substantial losses of human lives, livestock, land and infrastructures (Rana et al., 2000; Mool et al., 2001a and 2001b). GLOFs have become one of the most disastrous events in Nepal in the second half of the last century. The Zhangzangbo Glacier Lake at the headwater of the Sunkoshi River collapsed twice (in 1964 and 1981) and the Ayaco Glacier Lake at the head of the Arun River collapsed three times – in 1968, 1969 and 1970. The Zhangzangbo GLOF on the 11th of July 1981 caused substantial damage to the diversion weir of the Sunkoshi Hydropower plant, the Friendship Bridge at the Nepal-China border, two other bridges and extensive road sections of the Arniko Highway amounting to a total loss of more than US $3 million. On the 3rd of September 1998, the Tam Pokhari GLOF in the Dudh Koshi Basin, eastern Nepal destroyed 6 bridges and farm lands (estimated total loss of US $2 million) and resulted in the death of 2 people (Mool et al., 2001a). The most significant GLOF event in terms of recorded damages occurred on the 4th of August 1985, from Dig Tsho glacial lake in Eastern Nepal, in a valley next to the Mount Everest. This event especially brought awareness of potentially dangerous glacial lakes in the high Himalayas, nationally and internationally. This GLOF caused a 10 to 15 meter high surge of water and debris to flood down the Bhote Koshi and Dudh Koshi Rivers over a distance of 90 kilometres.

At its peak, the discharge was 2,000 m3 /sec, two to four times the magnitude of maximum monsoon flood levels. It destroyed bridges, homes, agricultural land and the nearly completed Namche Small Hydropower Plant, two weeks before its inauguration, which resulted in an estimated loss of US$ 1.5 million and properties of many families, and 3 human lives (Yamada, 1998). Remarkably, only 4–5 people lost their lives in the flood itself because a Sherpa festival was in progress and few people were walking the trails at the time (ICIMOD/UNEP, 2002; Kattelmann, 2003). Tam Pokhari GLOF is one of the well-studied GLOF events in Nepal. On the 3rd of September 1998, the outburst of Tam Pokhari in Nepal killed two people, destroyed more than six bridges and washed away arable land. Losses worth over 150 million rupees have been estimated. A high water level was observed even after 19 hours in the Koshi barrage near the Indo-Nepal border. The river reverted to its original flow only after three days (Dwivedi, 2000). 3

STUDY AREA

InAugust 2003, it was reported by media that there was a sudden flood in the upper reaches of Madi River in Kaski district which had destroyed the households of more than a dozen families and other infrastructures causing complete disruption of access and communication in the affected areas. Media had reported at least 5 causalities and attributed this to the outburst of

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Table 1. Past GLOF events in Nepal and Tibet affecting Nepal (Source: Galay, 1985; LIGG, WECS, NEA, 1988; Damen, 1992, Dwivedi et al., 1999).

SN date

Name of the lake

Major river basin

1

15th Lake in the Seti River century Machapuchhre

2

Aug. 1935 25 Aug. 1964 1964

3 4 5 6

Sub river basin Longitude

Latitude

Poiqu(Bhote-Sun Koshi) Basin Longda Clacier Trisuli River lake Basin Zhangzangbo Poiqu (Sun Koshi) basin 21 Sept. Gelhaipu Co Pum qu(Arun) 1964 basin

28◦ 17.49 Targyailing 86◦ 07.90 Gully Gyirongzangbo 85◦ 20 25.5 28◦ 34 16

1968

Ayaco or Ayico Pum Qu (Arun) Basin

Nare

7 8 9

1969 1970 3 Sept. 1977 10 25 July 1980 11 11 July 1981 12 27 Aug. 1982 13 4 Aug. 1985

Taraco lake

Dudh Koshi

Nagma Pokhari Tamor basin

Pokhara valley was filled by >60 m thick sediments with >10 m big boulders Wheat field destroyed, several Yaks lost

86◦ 03.16

28◦ 04.62

87◦ 48 43.84

27◦ 58 1

Zangboxan River

86◦ 29

28◦ 21

4.59 million m3 sediment deposited

Imja Khola

86◦ 50

27◦ 50

Yagma Khola

87◦ 51 58.14

27◦ 52 3.13

Mini-Hydro, Bridges, Farm land destroyed One village destroyed and people migrated

86◦ 03.16

28◦ 04.62

Zhangzangbo Gully Natang Qu, Gelhipu Qu

Zhangzangbo 2nd time Jinco

Poiqu (Sun-Koshi) Zhangzangbo basin Gully Pum Qu (Arun) Yairu Zangbo

87◦ 38 43.7 28◦ 12 32.4

Dig-Tsho

Dudh Koshi

Langmoche Khola

86◦ 35 18

Tama Koshi

Rolwalig Khola 86◦ 27 41.2 27◦ 52 31

Dudh Koshi

Inkhu Khola

14 12 July Chubung 1991 15 3 Sept. Tam pokhari 1998

Impacts and damages

a lake named Kawache, situated in the head waters of the river. The station Chame, index number 0816, is the climatological station with latitude 28◦ C33 N and longitude 84◦ C14 E, lies in Manag district in the northern part of the Madi River watershed. It is situated 2680 m above mean sea level. Temperature data were collected and published by the Department of Hydrology and Meteorology (DHM), Government of Nepal. Data from 1971 to 1994 are published, while data after 1994 are still in the preliminary stage of publication and not in accessible formats (DHM 1998). The main objective of the study presented herein is analysis of the causes of GLOF, its relation to trends in temperature, analysis of the impact of GLOFs on the Madi river corridor and the present condition of the Kawache Glacier Lake.

86◦ 50 49

27◦ 52 30

27◦ 44 33

Destroyed highway, intake of Sun Koshi HEP 8 Villages affected 1600 livestock lost Namche HP, 14 bridges, trails, agri. Land destroyed House and farm lands destroyed Destroyed 5 bridges, agri. Land and 2 human causalities

3.1 Madi river The Madi river is a tributary of the Kali Gandaki which is a tributary of Narayani River, and lies in the Kaski, Lamjung and Tanahun Districts in the western region of Nepal, between 28◦ 05 and 28◦ 35 N and longitude 84◦ 00 and 84◦ 30 E. The area of the basin above the Shisa Ghat is 858 km2 . Madi River is a snow fed river originating from Annapurna II and Lamgung Himal crossing high and middle mountains with elevation varying from 7200 m to 457 m from mean sea level. The altitude of the Madi watershed ranges from 300 m in the south to 7937 m in the north within a north south distance of 68 km. Climate conditions range from subtropical in the south to alpine and artic in the north. Nearly 20 percent of the total basin lies above 3000 m altitude. A part of the basin lies in the Annapurna Conservation Area Project (ACAP).

331

as possible the size of the disaster along the Madi river watershed. The flood was initially in the form of black clay with some large boulders and trees. According to most respondents the exact time of the GLOF was at noon. The flood washed out five members of one family, including children, in Jogigupha, Chansung; around twenty mules were washed out by flood while they were grazing at Thunsikot, Bhagabatitar; and about 17 hectares of low lands were converted into bare land and scattered with big boulders. Primarily landslides had occurred in the surrounded area of the Madi River affecting trails and roads. The facility buildings of the Annapurana Conservation Area Project (ACAP), a temple, some parts of the Dhudapokari secondary school area and some buildings in the Jyamadung and Sonda area were washed away as well. A cross section and flood marks study was conducted at Hog Goth (Upstream site) and Sonda (downstream site) to estimate the peak flood discharge of the flood event in August 2003. The peak flood estimated at Hog Goth and Sonda was 120 and 140 m3 /s, respectively. Most of the respondents said that the weather condition was fairly good, i.e. a sunny day in the upper part of the Madi watershed with light rain during the flood in the lower part. 4.1 Present condition of Kawache glacier lake Figure 2. Location of study area (Source: Survey department, HMG, 1998/2001).

The Madi river basin covers 33% of Kaski, 10% of Lamjung and 38% of Tanahun districts. It lies in the middle and high mountain physiographic region. The cultivated areas represent 4% of the catchments. Irrigated cultivation occupies about 91% of the total cultivated area (HMG, 2002). 3.2 Kawache glacier lake The word Kawache was derived from the two Gurung langauge words: “kabu”(Kapas or white maidan) and “Che” (Maidan or Plane area) that is “Capsko Maidan” or flat of cotton, perhaps indicating flat land covered with snow. Kawache Glacier Lake is one of the main headwater’s of Madi river. The source of the Kawache glacier is named Annapurana II. The lower part of the Kawache is located around 2700 m a.m.s.l. 4

IMPACT OF KAWACHE GLOF

A field investigation, based on a community survey, was conducted following the GLOF of the 15th of August 2003 with the objective to define as accurate

Glaciers are slowly retreating and new glacier lakes are being formed. Such glacier lakes generate serious multidimensional effects on the hydrology of the mountainous region of the country. Now water resources planners in Nepal have started to encounter the problems arising from the GLOF. Many scientific studies examining the processes responsible for the development of glacial lakes and outburst flood events discovered that the Himalayan regions of Nepal are currently experiencing significant warming trends (Shrestha et al., 1999). At present, the Kabuche Glacier Lake is about 600 m long and 150 m wide and has a large chunk dead ice buried under debris in the lower side of the lake, with many small ponds forming alongside the main lake. The severely sloped land and avalanches of snow from the upper side of the lake might be the cause of other disasters in the near future. 4.2 Temperature trend in the Madi river watershed Global climate usually changes little over the course of a human lifetime, but a large and rapidly growing body of research has begun to reveal just how variable it is on longer time scales. Rising temperatures would increase the rate of melting for permanent ice in the Himalayan regions; this results in the formation of

332

Figure 3. Landslides on the Madi River after the GLOF event: (a) right photo upstream section, (b) left photo downstream section at Hog Ghot, upper part of the Madi River watershed.

Figure 4. Present condition of Kawache glacier lake (a) main lake (b) Ponds formation along side of lake.

glacier lakes. Rapid melting would also trigger slides and avalanches falling in the lakes, triggering the outburst of the lake. Analyses of maximum temperature data from 49 stations in Nepal for the period 1971– 1994, revealed warming trends after 1977 ranging from 0.068 to 0.128◦ C/yr in most of the Middle Mountain and Himalayan regions (Shrestha et al., 1999). According to the Third Assessment Report of the Intergovernmental Panel on Climate Change (IPCC, 2001) by using current climate change trends, the average global temperature may rise by 1.4 to 5.8◦ C, most likely increasing the frequency and size of GLOFs in the Himalayan region of Nepal. The annual and monthly mean maximum temperature at Chame, the northern part of Madi river watershed, has been analysed for a period of 23 years, in the period 1981–2003. The analysis clearly shows an increasing trend in the mean maximum temperature, starting in the period 1981 to 1985. From 1986 onwards, the mean maximum temperature shows a steadier trend, becoming very steady after 1997.

Figure 5a and b show the rise of the mean maximum temperature for the Chame station in August and the mean maximum annual temperature for the period 1981–2003, respectively. The trend analysis shows correlation values for the monthly (August) and annual mean maximum temperature of 0.63 and 0.61, respectively. This shows that the mean maximum temperature in August and on an annual basis increases yearly with 0.0526◦ C and 0.0522◦ C, indicating that the temperature of any particular month, as well as on an annual basis, is rising. This is likely the major cause of increasing GLOF risks in the Himalayan region. 5

NATIONAL GLOF MITIGATION STRATEGY

The need for more glaciological studies of the Himalayas had been felt for a long time. Glacier studies in Nepal really only began on a regular basis in the early 1970s. Since then, several glaciers in Hidden Valley of

333

21.0

on regional food security. Nepal must give due consideration to the linkage and cooperation at regional and international level as there are many catastrophic GLOF events in Nepal.

(a)

Temperature(⬚c)

20.5 20.0 19.5 19.0

T ⫽ 0.0526yr ⫺84.8 R2 ⫽ 0.63

18.5

6

CONCLUSIONS

18.0 17.5 2003 2002 2001 2000 1999 1998 1997 1996 1995 1994 1993 1992 1991 1990 1989 1988 1987 1986 1985 1984 1983 1982 1981 Years

Figure 5(a). Mean maximum monthly temperature in August at Chame in the period 1981–2003.

17.5

(b)

Temperature(⬚c)

17.0 16.5 16.0 15.5

T ⫽ 0.0522yr ⫺ 87.682 R2 ⫽ 0.61

15.0 14.5

2003 2002 2001 2000 1999 1998 1997 1996 1995 1994 1993 1992 1991 1990 1989 1988 1987 1986 1985 1984 1983 1982 1981 Years

Figure 5(b). Mean maximum annual temperature at Chame in the period 1981–2003.

Dhauligiri Region, Langtang Region, Khumbu Region and Kanchenjunga Region have been studied. These studies include topographical survey of the glaciers, mass balance studies and photogrammetric study of the terminus location. In the 1980s, the Royal Nepal Academy of Science and Technology (RONAST) was striving to set up an international centre for the study of snow and ice, primarily concerned with the glaciological studies in the Himalayas, to promote sustainable economic and social development in Nepal and in adjacent countries. GLOFs attracted scientific and government attention only when Dig Tsho Glacier Lake flooded on 4 August 1985 in the Langmoche valley, Khumbu (Yamada 1998). Nepal is now moving towards integrating climate change and other environmental concerns with development planning. Climate change has impacted the glacial ecosystem tremendously. Sixty-seven percent of glaciers are retreating at a surprising rate in the Himalayas and the major causal factor has been identified as climate change (Ageta and Kadota, 1992; Yamada et al., 1996; Fushinmi, 2000). Glacial melt will affect freshwater flows with dramatic adverse effects on biodiversity, and people and livelihoods, with a possible long-term implication

Glacier Lake Outburst Floods (GLOFs) occur in high mountains areas normally above 3500 m, while the losses of humans life, landslides, flash floods, losses of infrastructures and landslide-dammed floods are common between 500 and 3500 m elevation zones (Chalise, 2001). At present, the Kawache Glacier Lake is about 600 m long and 150 m wide and has a large chunk of dead ice buried under debris in the lower side of the lake, with several small ponds forming alongside the main lake. Analysis of the mean maximum temperature of the station Chame, situated in the Madi river watershed, clearly reveals that in August the monthly average maximum and annual average maximum temperature are increasing yearly with 0.0526◦ C and 0.0522◦ C, and will likely result in an increasing frequency of GLOFs. To estimate the total damage of potential GLOFs in Nepal, it is necessary to make a detailed survey of all individual glacier lakes and risk prone areas. Each GLOF may have its own damage magnitude, which is difficult to compare with others because the damage magnitude of any GLOF depends not only on the physical characteristics of the lakes, but also on the hydro-meteorological characteristics and socioeconomic conditions along the river channel. It is quite difficult to forecast when and how a GLOF event will take place in Nepal’s Himalayas. There is a need for more detailed and multidisciplinary research investigating the total environment of the lakes and associated factors in the surroundings as a whole, using advanced techniques (Kattelmann, 2003). The conclusion of the studies of past GLOF events and applied risk reduction measures in Nepal demonstrates that the threat of potential damage by GLOFs in Nepal is increasing, yet the costs of possible risk reduction measures remain extremely high. ACKNOWLEDGMENT The author wish to express his thanks to Prof. K.B. Thapa, head, Central Department of Hydrology and Meteorology, Tribhuvan University, for his support and the people of the Madi River watershed who helped with the questionnaire based survey. Special thanks go to Mr. Suresh Marahatta, Chairman, and Mr. Barun Paudel, member, of RECHAM consultancy (Pvt.) Ltd. for providing help and suggestions throughout the field visit. Similarly, the author is very grateful to Mr. Suman Panthee, lecturer, Central Department

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of Geology, T.U. for his suggestions during paper preparation. REFERENCES Ageta Y. and Kadota T. (1992). Predictions of changes of glacier mass balance in the Nepal Himalaya and tibetan Plateau: a case study of air temperature increase for three glaciers. Annals of Glaciology 16: 89–94. Agrawala S. V. Raksakulthai, Aalst M., Larsen P., Smith J. and Reynolds J. (2003). Development and climate change in Nepal: Focus on water resources and hydropower. Organization for Economic Cooperation and Development, Paris. Chalise S. R. (2001). An introduction to climate, hydrology, and landslide hazards in the Hindu Kush- Himalayan region. In: Landslide Hazard Mitigation in the Hindu Kush-Himalayas, Li, T., S.R. Chalise and B.N. Upreti (eds.), Kathmandu: ICIMOD: 51–62. DHM (1998). Climatological records of Nepal 1991–1994. Department of Hydrology and Meteorology, HMG-Nepal. Dwivedi Shree Kamal, Acharya Madhav Dev and Simard R. (2000). The Tam Pokhari Glacier Lake outburst flood of 3rd September 1998, Journal of Nepal Geological Society, 22: 539–546. Horstmann B. (2004). Glacial lake outburst floods in Nepal and Switzerland: New threats due to climate change. Bonn: Germanwatch. ICIMOD/UNEP (2002). Inventory of Glaciers, Glacial Lakes and Glacial Lake Outburst Floods Monitoring and Early Warning Systems in the Hindu Kush-Himalyan Region – Nepal. International Centre for Integrated Mountain Development and United Nations Environment Programme. IPCC (2001). Climate Change 2001: Synthesis Report. Contribution of Working Groups I, II, and III to the Third Assessment Report of the Intergovernmental Panel on Climate Change, Watson, R.T. and the Core Writing Team (eds.), Cambridge: Cambridge University Press. Kattelmann R. (2003). Glacial lake outburst floods in the Nepal Himalaya: a manageable hazard Flood Management in India. In: Natural Hazards 28, Mirza, M.N.Q,

A. Dixit and Ainun Nishat (eds.), Dordrecht: Kluwer Academic Publishers: 145–154. Khanal N. R. (2005). Water induced disasters: Case studies from the Nepal Himalayas. In: Landschaftsökologie und Umweltforschung 48, Proceedings of International Conference on Hydrology of Mountain Environments, Berchtesgaden, Germany, 27 Sept-1 Oct 2004 48, Herrmann, A. (ed.), Braunschweig. Mool P. K., Bajracharya S. R. and Joshi S. P. (2001a). Inventory of Glaciers, Glacial Lakes and Glacial Lake Outburst Floods Monitoring and Early Warning Systems in the Hindu Kush-Himalayan Region, Nepal. Kathmandu: ICIMOD. Mool P. K., Bajracharya S. R. and Joshi S. P. (2001b). Glacial Lakes and Glacial Lake Outburst Flood Events in the Hindu Kush-Himalayan Region. In: Global Change and Himalayan Mountains, Shrestha, K.L. (ed.), Lalitpur: Institute for Development and Innovation: 75–83. Oerlemans, J. (1994). Quantifying global warming from the retreat of glaciers. Science 264: 243–245. Rana B., Shreastha A. B., Reynolds J. M., Aryal R., Pokharel A. P. and Budhathoki K. P. (2000). Hazard assessment of the Tsho Rolpa Glacier Lake and ongoing remediation measures. In: Journal of Nepal Geological Society, 22: 563–570. Richard D. and Gay M. (2003). Guidelines for scientific studies about glacial hazards. Survey and prevention of extreme glaciological hazards in European mountainous regions. Glaciorisk Project, Deliverables. http://glaciorisk.grenoble.cemagref.fr Shrestha A. B., Cameron P., Wake P., Mayewski A. and Dibb J. E. (1999). Maximum temperature trends in the Himalaya and its vicinity: An analysis based on temperature records from Nepal for the period 1971–1994. Journal of climate, 12: 2775–2786. UNEP (2002). Global warming triggers glacial lakes flood threat. Himalayan mountain lakes at high risk of bursting their banks with devastating consequences for people and property. UNEP News Release, Geneva, London, 16.April 2002. Yamada T. (1998). Glacier Lake and its Outburst Flood in the Nepal Himalaya. Monograph No.1, Data Center for Glacier Research, Japanese Society of Snow and Ice.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Selection of flood frequency model in Niger Basin using maximum likelihood method G.A Bolaji Department of Civil Engineering, University of Agriculture, Abeokuta

O.A. Agbede Department of Civil Engineering, University of Ibadan

J.K. Adewumi Department of Agric Engineering, University of Agriculture, Abeokuta

J.O. Akinyemi Department of Agric Engineering, Olabisi Onabanjo University, Ago Iwoye

ABSTRACT: At site records of seasonal maximum discharge at 7 stations on River Niger and 3 stations on River Benue were split into seasonal series of wet and dry seasons and subjected to analysis using four candidate probability distribution functions (Gamma, Log-Gamma, Weibull and Log-Normal). These records were tested for randomness, stationarity and presence of outliers. Out of the four candidate distributions, Weibull was selected to be the best for 8 stations while Log-Gamma and Gamma were selected for one station each, in both the wet and dry seasons. Log-Normal was not selected to be the function that best analyzed any of the station data. Overall, Weibull function is regarded as the best probability distribution function suitable for analysis of site data for the Niger Basin.

1

INTRODUCTION

Flood frequency analysis is an established method for determining critical design discharges for small to moderate sized hydraulic structures. In water resources planning and other water related design projects, engineers require flood estimates at particular site locations; this includes the design of structures like spillways, bridges, culverts, water supply systems and other diversion structures. Flood volume estimates are also required for flood plain zoning and the design of flood control structures such as levees and barrages. The major problem usually encountered in many aspects of water resources engineering is that of estimating the return period of rare events, such as extreme floods or precipitation for a site or group of sites (Hosking, 1994; Cunane, 1989). With adequate records, statistical methods will show that floods of certain magnitudes may, on the average, be expected annually, every 10 years, every 100 years and so on. Frequency analysis involves the definition and selection of the type of hydrological event and extreme characteristics to be studied, the selection of

an appropriate extreme value model and probability distribution to describe the data, the estimation of the parameters of the distribution, and lastly, the calculation of extreme values or risks estimated for the given problem. When hydrologists assign a return period to an extreme flood event, the accuracy of estimation depends on the length of the record; it may be necessary to have a record that covers more than 30 years. The records of observed flood events should be comprised of independent series; the maximum event in each year is extracted since it is unlikely that the maximum flow in one year will be affected by that of the previous year. Therefore a selection of this type is known to constitute an annual series of data. Existence of extremely large values (outliers) in data series causes most statistical flood frequency methods to underestimate the occurrence of very large floods. If these outliers are omitted from the analysis, the resulting quantiles are more accurate, but the sample can no longer be regarded as random and unbiased. Cunane (1989) observed that the effect of these outliers is negligible if appropriate methods for parameter estimation are applied. The challenges being faced

337

Figure 1. Rivers and lakes of the Niger-Benue system (Welcomme 1972).

today are centred on determining the most appropriate form of model, the “underlying distribution” of floods, and then estimating the parameters of this underlying distribution (Ware and Lad, 2004). Prior to the emergence of the methods of probability weighted moments and L-moments, the maximum likelihood (ML) method was generally claimed to provide more efficient estimates of parameters, where the estimates had small variances. The numerical difficulty in the application of the ML method has always been a deterrent, but many practitioners are now acknowledging its positive merits. 1.1

Study area

River Niger is the largest river in West Africa and the fourth longest river on the continent. It is classified as a Sudanian river as it drains the arid Sahelian savannah for the main part of its course (Figure 1). Nigeria derives its name from the river, though only less than one-third of its length lies in its territory. With a total length of 4,200 km, the Niger is the eleventh longest river in the world; it has a total drainage area of 1,595,000 km2 out of which 482,300 km2 falls within the desert that produces no runoff (Welcomme, 1986; Lae, 1995). The Niger River system can be divided into four parts: The Upper Niger basin, The Central

Delta, The Middle Niger Basin and The Lower Niger Basin. 1.2 Methods Data used for the research were collected from the hydrological division of Nigerian Inland Waterways Authority (NIWA) at Lokoja, Nigeria and the desk officer of Niger Basin Authority at Federal Ministry of Water Resources in Abuja. Data collected from NIWA were checked and validated using rating curves that were prepared for them and the veracity of the raw data that were used in preparing them was checked by visiting the gauging station at Lokoja and reading the gauge immediately following the official gauge. The data for 32 stations were screened and the ones with data less than 30 years were discarded, leaving 10 stations (7 on River Niger and 3 on River Benue). The yearly records of discharge at each gauging station were split into wet and dry season flows so as to form seasonal flow series. The maximum value in each of the season for each year was taken as the seasonal maximum. For each of the stations, these seasonal maxima were chronologically arranged to form a seasonal series and tested for homogeneity. The data series were then subjected to analysis to estimate their probability distribution parameters for four candidate

338

functions by maximum likelihood method. The best fitted functions that best describe the probability distribution of each data series was selected from the candidate functions (IMWM, 2003).

Where: n – size of the analyzed measurement series N ≥ 10 rs – Spearman rank correlation coefficient equal to

1.3 Tests for homogeneity After physical assessment of data series for nonhomogeneity, statistical analysis was carried out to further investigate non-homogeneity of the measurement series. The following tests were applied to each of the seasonal series: 1.3.1 Tests for outliers (The Grubbs-Beck test) The test statistics consider elements xi of the measurement series to be outliers, the values of which exceed the values of lower XD or upper XG limit of confidence interval of the test assumed for significance level α = 0.1. 1.3.2 Tests for stationarity The non-parametric tests carried out for this verification were Kruskal-Wallis test, Spearman rank correlation coefficient test for trend of mean value and Spearman rank correlation coefficient test for trend of variance. 1.3.3 Kruskal-Wallis test It is assumed for this test that independent random variable X is subject to any continuous probability distribution. Chi square test was carried out on maximum seasonal data for each station. Chi squared test (χ2 ):

Where: k – number of comparable sub-series into which the analyzed measurement series has been split, Ti – sum of element ranks in i-th subseries (i = 1, 2, . . . , k), Ni – size of i-th subseries (Ni ≥ 5), k
Ni . N – size of measurement series N = i=1

Spearman rank correlation coefficient test for trend of mean value For this test, it was assumed that independent random variable Z is subject to any continuous probability distribution The t-test:

N
i=1

N
i=1 N
i=1

di2

– sum of rank differences di2 = (Xi − Yi )2 of elements of chronological measurement series X and arranged into non-decreasing series Y ,

xi2 =

N3 − N 12

– square sum of elements ranks in chronological series,

yi2 =

N3 − N 12

– square sum of elements in non-decreasing series.

1.3.5 Spearman rank correlation test for trend of variance The series of values xi of the analyzed random variable X were transformed into series of values zi of new random variable Z using the transformation:

Where: x¯ – mean value calculated from the values of elements xi of measurement series of random variable X , i = 1, 2, . . . ., N N – size of the measurement series

1.4 Selection of the best fitted function with individual types of distributions of seasonal series In order to select the best fitted function, minimum Kolmogorov distance, i.e. min (Dmax ) was assumed as criterion. Kolmogorov distance Dmax is the upper boundary of the distance between theoretical p(x) and empirical pN (x) function of probability distribution:

1.3.4

Within the individual distribution type the probability distribution function for which the Kolmogorov distance Dmax reaches minimum value, is referred to as the best fitted function in the Kolmogorov distance criterion sense. Such individual functions determined for each of the applied distribution types form a set of the best fitted functions.

339

Table 1.

Results of tests for outliers and stationarity on stations’ seasonal data series. G-B

K-W

SRTM

SRTV

Station

D

W

D

W

D

W

D

W

Ansongo Mallanville Baro Idah Lokoja Onitsha Shintaku Ibi Makurdi Umaisha

Y Y Y N Y N Y Y N N

Y N Y Y Y N Y Y N N

Y N Y Y N N Y N N N

Y N Y Y N N Y Y N N

Y N Y Y Y N Y N N N

Y N Y Y Y N Y Y N N

N N N N N N N N N N

N N N N N N Y N N N

Grubbs-Becks (G-B); Kruskal-Wallis (K-W); Spearman’s rank coefficient for the trend of mean (SRTM); Spearman’s rank coefficient for the trend of variance (SRTV); Dry season (D); Wet season (W); Yes (Y); No (N).

Table 2.

Results of the most credible function for wet season by Akaike Information Criteria (AIC). Distribution functions

Stations

Rivers

Gamma

Weibull

Log-Normal

Log-Gamma

Ansongo Mallanville Baro Lokoja Shintaku Idah Onitsha Ibi Makurdi Umaisha

Niger Niger Niger Niger Niger Niger Niger Benue Benue Benue

692.99 763.01 539.36 686.73 640.31 – 588.70 629.84 (603.89) 596.33

(689.98) (760.29) (527.43) (684.42) (636.73) (682.39) (586.62) (626.26) 603.98 (595.65)

693.99 764.35 531.20 688.22 641.90 – 589.91 630.41 603.93 596.66

694.44 744.47 532.10 688.90 642.61 – 590.45 631.14 603.93 596.89

1.5

The most credible probability distribution selected is the one with lowestAkaike criteria (KA ) values for each sample.

Selection of one most credible function of probability distribution from the set of the best fitted functions of seasonal series

One most credible function of probability distribution was selected from the set of the best fitted functions for each data series (for each station). The selections were done by calculating the type of Akaike information criterion (AIC) KA for each function of investigated type from the expression:

Where: l – number of parameters of probability density function f (x) f (xj ) – value of probability density function for value xj of random variable X N – size of random sample.

2

RESULTS AND DISCUSSIONS

The result obtained from testing the data series are summarized in Table 1. Spearman’s rank coefficient for the trend of variance (SRTV) showed that most stations’ data series had no trend of variance except Shintaku’s station data series for the dry season. The result of Grubbs-Becks test for presence of outliers showed that five stations have outliers in their data series for both dry and wet seasons; 3 stations did not have outliers for both the dry and wet seasons while 2 stations have outliers in 1 of the season’s data series. The results of Kruskal-Wallis and Spearman’s rank for the trend of mean connotes with one another except for Lokoja station. The results obtained from the analysis of data series for stations on River Niger and Benue for wet season is

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Table 3.

Results of the most credible function for dry season by Akaike Information Criteria (AIC). Distribution functions

Stations

Rivers

Gamma

Weibull

Log-Normal

Log-Gamma

Ansongo Mallanville Baro Lokoja Shintaku Idah Onitsha Ibi Makurdi Umaisha

Niger Niger Niger Niger Niger Niger Niger Benue Benue Benue

– – – 598.59 551.28 (574.28) 514.59 508.55 529.88 527.27

(718.07) (704.59) (460.07) 596.85 (550.26) 574.38 (514.38) (508.10) (526.81) (536.41)

– – – 596.57 550.75 574.39 514.64 509.12 531.99 528.83

– – – (596.14) 550.67 574.43 514.81 509.69 – 529.58

Table 4.

Results of the best fitted function for the wet season by minimum Kolgomorov distance criteria (minimum Dmax). Distribution functions

Stations

Rivers

Gamma

Weibull

Log-Normal

Log-Gamma

Ansongo Mallanville Baro Lokoja Shintaku Idah Onitsha Ibi Makurdi Umaisha

Niger Niger Niger Niger Niger Niger Niger Benue Benue Benue

11.97 10.00 11.90 10.71 12.89 – 12.25 10.02 9.90 (7.13)

(7.73) (9.34) (8.90) (8.41) (7.64) (12.00) (7.59) (5.98) 10.89 7.80

12.7 10.39 13.29 12.19 15.15 – 13.77 11.46 9.52 7.80

12.91 10.55 13.80 12.80 14.65 – 14.40 12.05 (9.42) 8.21

shown in Table 2 and the selected values are shown in brackets. In the selection of most credible function of probability distribution by Akaike Information Criteria (AIC) for the wet season, it was found that Weibull function is the most credible function for 90% (9) of all the stations while Gamma was most credible for 10% (1) of the stations. Log-Normal and Log-Gamma were not credible for any of the stations. The results for the dry season are given in Table 3 where Gamma, Log-Normal and Log-Gamma functions gave no value for Ansongo, Mallanville and Baro stations. Weibull function was selected as the most credible function for 80% (8) of the stations while Gamma and Log-Gamma were selected for 1 station (10%) each. Log-Normal function was not selected for any of the stations. 2.1

shown in brackets. Weibull function was selected as the best fitted function for 8 stations (80%), Gamma and Log-Gamma were selected for 1 station each (10%) while Log-Normal was not selected at all. The results obtained for data series are shown in Table 5 with the selected values in brackets. In the data series for the dry season, Gamma, Log-Normal and Log-Gamma did not give results for Ansongo, Mallanville and Baro stations while only Weibull function gave results for all the stations. In selecting the minimum value of Dmax for each station, Ansongo, Mallanville and Baro earned Weibull function as the best fitted function. In the overall selection, Weibull was selected to be the best fitted function for 8 stations (80%), Gamma and Log-Gamma were selected for 1 station each (10%) while Log-Normal was not selected at all.

Best fitted function

The selection of the best fitted function that best meets the criterion of goodness of fit is based on minimum Kolgomorov distance (min Dmax) from data analyzed for each station. The result of the best fitted function within individual type of distribution for the wet season is given in Table 4 and the selected values are

3

CONCLUSION

The study has examined the role of statistical models in flood frequency analysis in Niger River basin using at site records. It also determined and selected

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Table 5.

Results of the best fitted function for dry season by minimum Kolgomorov distance criteria (minimum Dmax). Distribution functions

Stations

Rivers

Gamma

Weibull

Log-Normal

Log-Gamma

Ansongo Mallanville Baro Lokoja Shintaku Idah Onitsha Ibi Makurdi Umaisha

Niger Niger Niger Niger Niger Niger Niger Benue Benue Benue

– – – 10.51 8.32 8.16 9.21 (4.93) 12.19 7.37

(14.12) (8.90) (12.26) (10.06) (7.34) 8.68 (8.69) 5.99 (11.20) (7.53)

– – – 11.28 8.80 7.82 10.29 5.52 12.64 10.23

– – – 11.49 8.95 (7.75) 10.46 6.63 – 11.77

the most suitable models that can be used for analysis at specific stations. River Niger is an important waterway both for navigation associated with active trading and for small canoe traffic over its whole course. The riparian rural and urban populations benefit from its important fish resources while the floodplains and its inland delta are used extensively for agriculture. Riparian cities like Niamey and Lokoja, located on the banks of River Niger, will need to have ports in the future and developments such as hydroelectric power generation and irrigation have also given the river a significant economic role. Therefore, flood frequency information will become more relevant and useful for design of water resources structures as the basin witnesses various forms of development in the future. REFERENCES Cunane C. (1988). Methods and merits of regional flood frequency analysis. Journal of Hydrology, 100, 269–290.

Cunnane C. (1989). Statistical distributions for flood frequency analysis. WMO operational Hydrology Report No. 33, World Meteorological Organization, Geneva, Switzerland. Hosking J. R. M. (1994). The four parameter Kappa distribution. IBM J. Res. Development, 38(3). IMWM. (2003). Manual for Software Flood Frequency Analysis, Institute of Meteorology and Water Management, Poland. Laë R. (1995). Climatic and anthropogenic effects on fish diversity and fish yields in the Central Delta of the Niger River. Aquatic Living Resources, 81, 45–58. Ware R. and Lad F. (2004). Flood frequency analysis of the Waimakariri River. Technical Report UCDMS2004, Department of Mathematics and Statistics, University of Canterbury, Christchurch, New Zealand. Welcomme R.L. (1986). The effects of the sahelian drought on the fishery of the central delta of the Niger River. Aquaculture and Fisheries Management, 17, 147–154. Welcomme R.L. (1972). The inland waters of Africa. CIFA Tech. Pap, 1, 117.

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Part three: Urban water management Urban water management poses one of the greatest development challenges of the 21st century. Specific issues are very different in tropical humid low-laying urban areas than in desert cities. Whereas the first condition is confronted with an abundance of water, desert territories have to cope with severe shortages of water. In both contexts, the lack of safe drinking water, access to sanitation and the increased frequency of flooding/drought demands innovative thinking and partnerships. The variability and increase in urban water demand forces the question of how to optimally operate an urban water supply system. Water harvesting in dry climates and methods for recharging urban aquifers are gaining relevance. Equally challenging are solutions for the organisation and management of urban wastewater and urban storm-water. Debates concerning centralised or dispersed treatment area are leading to new systems design. Methods for mitigating pollution and re-use potentials and challenges of treated wastewater are stimulating new solutions for age-old problems. Accurate analysis of hydrological changes and management of urbanised catchments allows for real-time decision support systems. Papers in this session address the fact that the world is witnessing a drastic increase in water demand and with it a renewed need for effective urban water management. Issues addressed include: •

infrastructure for the safe evacuation of effluent water innovative design of sewerage systems and water treatment plants • maintenance and redesign of old sewerage systems, problem of groundwater infiltration and wastewater seepage • consumption versus conservation of resources • potential re-use of storm water run-off/irrigation water; desalinisation

Keynote papers

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Estimation of urban design storms in consideration of GCM-based climate change scenarios V-T-V. Nguyen, N. Desramaut & T-D. Nguyen Department of Civil Engineering and Applied Mechanics, McGill University, Canada

ABSTRACT: This paper presents a spatial-temporal downscaling approach to the assessment of the climate change impact on the estimation of design storms at a local site. More specifically, the proposed approach is based on a combination of a spatial downscaling method to link large-scale climate variables given by General Circulation Model (GCM) simulations with daily extreme precipitations at a site and a temporal downscaling procedure to describe the relationships between daily and sub-daily extreme precipitations based on the scaling General Extreme Value (GEV) distribution. The proposed method was tested using simulations from two GCMs under the A2 scenario (HadCM3A2 and CGCM2A2) and annual maximum (AM) precipitation data available at 15 raingages in Quebec (Canada). It was found that GCM-based daily climate predictors can be linked to sub-daily AM precipitations at a site. Finally, the IDF relations and the resulting three different design storm models for present and future periods were constructed for Dorval Airport location. Peak flows and volumes were then estimated for several urban watersheds of different shapes, area sizes and imperviousness levels using the SWMM model. It was found that AM precipitations and design storm rainfall intensities downscaled from the HadCM3A2 displayed small decreasing trends in the future, while those values estimated from the CGCM2A2 indicated large increasing trends. Similar variations were found for the estimated flows characteristics of the various urban watersheds considered. Keywords: Climate change; extreme rainfalls; generalised extreme value distribution; intensity duration frequency relations; statistical downscaling methods; urban design storms 1

INTRODUCTION

A “design storm” is a rainfall temporal pattern that is commonly used in the design of urban drainage systems. The design storm of a specified exceedance probability is obtained from the intensity-durationfrequency (IDF) relationship based on the specified probability and duration. For a site for which sufficient rainfall data are available, a frequency analysis of annual maximum rainfalls can be performed. Results of this analysis are often summarised by “intensityduration-frequency” (IDF) relationships for a given site, or are usually presented in the form of a “precipitation frequency atlas”, which provides rainfall accumulation depths for various durations and return periods over the region of interest (Hershfield, 1961; Hogg and Carr, 1985; Institute of Hydrology, 1999). Peyron et al. (2005) have provided a critical assessment of the performance several different design storm models in the estimation of peak flows and volumes for urban watersheds of different sizes, shapes, and imperviousness levels. Several probability models have been developed to describe the distribution of extreme rainfalls at a single

site (Buishand, 1989; Wilks, 1993; Zalina et al., 2002). Unfortunately, these models are accurate only for the specific time frame associated with the data used. It has necessitated the need for formulating models that could statistically and simultaneously matches various properties of the rainfall process at different levels of aggregations. The most important practical implication of such models is that, from a higher aggregation model we could infer the statistical properties of the process at the finer resolutions that may not have been observed. Another major advantage of such procedure involves the parsimonious parameterisation since these models would normally require a much smaller number of parameters, while traditional models need different sets of parameters for each particular time scale of the rainfall series considered (Burlando and Rosso, 1996; Kottegoda and Rosso, 1997). Nguyen et al. (2002) has proposed a scaling General Extreme Value (GEV)-based estimation method that can be used to estimate extreme rainfalls for a given return period at a local site for sub-daily time scales (hourly, 30 minutes, etc.) from statistical properties of extreme rainfalls at a daily scale. Results of a numerical application of this scaling GEV approach using

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annual maximum rainfall time series from a network of 88 raingages in Quebec (Canada) has demonstrated the feasibility and accuracy of the proposed method (Nguyen, 2004). Climate variability and change will have important impacts on the hydrologic cycle at different temporal and spatial scales. The temporal scales could vary from a very short time interval of 5 minutes (for urban water cycle) to a yearly time scale (for annual water balance computation). The spatial resolutions could be from a few square kilometres (for urban watersheds) to several thousand square kilometres (for large river basins). General Circulation Models (GCMs) have been recognised to be able to represent reasonably well the main features of the global distribution of basic climate parameters, but outputs from these models are usually at resolution that is too coarse (generally greater than 200 km) for many impact studies. Hence, there is a great need to develop tools for downscaling GCM predictions of climate variability and change to regional and local or station scales. In recent years, different downscaling methods have been proposed. Of particular importance for hydrological impact studies are those procedures dealing with the linkage of the largescale climate variability to the historical observations of the precipitation process at a local site. If this linkage could be established, then the projected change of climate conditions given by a GCM could be used to predict the resulting change of the local precipitation characteristics. The required linkage can be developed using a wide range of (statistical and dynamic) downscaling methods (Nguyen et al., 2006). In view of the above-mentioned issues, the present study proposes a statistical downscaling approach that can be used to link the climate change scenarios given by GCMs to the estimation of design storms at a local site. More specifically, the proposed approach is based on a combination of a spatial downscaling method to link large-scale climate variables as provided by GCM simulations with daily extreme precipitations at a local site and a temporal downscaling procedure to describe the relationships between daily extreme precipitations with sub-daily extreme precipitations using the scaling General Extreme Value (GEV) distribution. The proposed spatial-temporal downscaling method was tested using annual maximum (AM) precipitation data at 15 raingages in Quebec (Canada) and based on A2 climate change scenario simulation results (denoted by CGCM2A2 and HadCM3A2, respectively) available for the study region provided by the Canadian and UK GCMs for the current 1961–1990 period as well as for future 2020s, 2050s, and 2080s periods. Results of this numerical application have indicated that, after a bias-correction adjustment, it is feasible to develop an accurate linkage between the AM daily precipitations spatially downscaled from GCM simulations with the observed AM daily precipitations

at local stations for the 1961–1990 period. These results suggest that it is possible to use the climate predictors given by GCM simulations under the A2 scenario for projecting the variability of AM daily precipitations for future periods. On the basis of these results for AM daily precipitations, the IDF curves for the current 1961–1990 period and for future periods (2020s, 2050s, and 2080s) were constructed using the proposed temporal GEV-scaling method for subdaily AM precipitations. In general, it was found that the IDF curves based on HadCM3A2 simulations for future periods are quite similar to those for the current period while those using CGCM2A2 indicated a large increasing trend in the future. Finally, on the basis of the derived IDF relations, three different design storm models were constructed for the Dorval Airport location and the resulting peak flows and runoff volumes were estimated using the SWMM model for several urban watersheds of different area sizes, shapes, and imperviousness levels. It can be seen that for Dorval Airport location the design storm rainfall intensities and the resulting runoff characteristics derived from the HadCM3A2 displayed a small decreasing change in the future, while those estimated from the CGCM indicated a large increasing trend for future periods.

2 A STATISTICAL DOWNSCALING METHOD As mentioned above, the proposed downscaling approach consists of two basic steps: (1) a spatial downscaling method to link large-scale climate variables as provided by GCM simulations with daily extreme precipitations at a local site using the popular Statistical Downscaling Model (SDSM) (Wilby et al., 2002); and (2) a temporal downscaling procedure to describe the relationships between daily extreme precipitations with sub-daily extreme precipitations using the scaling GEV distribution (Nguyen et al., 2002) for the construction of the IDF curves at the site of interest. 2.1 A spatial downscaling method using SDSM In general, a spatial (statistical) downscaling technique is based on the view that the regional climate is conditioned by two factors: large scale (global) climatic state and local physiographic features (von Storch, 1993). From this perspective, local information is derived by first determining a statistical model which relates global atmospheric variables (called predictors) to any of local weather variables (called predictands). Predictors given by GCM simulations are then fed into this statistical model to estimate the corresponding predictands. In particular, the linear regression-based spatial downscaling technique, called SDSM, as proposed by Wilby et al. (2002) have been commonly used in practice for constructing climate scenarios for various

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climate-related impact studies. The SDSM could provide a linkage between surface climate variables at individual sites for daily time scale (e.g., precipitation and temperature extremes) with grid-resolution daily GCM climate simulation outputs. Detailed description of the SDSM can be found in Wilby et al. (2002). As expected, the daily AM precipitations that are extracted from daily precipitation series given by the spatial downscaling of GCM outputs using the SDSM method are often not comparable to the observed daily AM precipitations at a local site. Therefore, a biascorrection procedure is needed in order to improve the accuracy of the spatial downscaling SDSM technique in the estimation of local daily AM precipitations. The proposed bias correction can be described in more detail as follows: Let

in which α(k) = E{f k (1)} and β(k) = β k. Notice that if the exponent β(k) is not a linear function of k, in such cases the process is said to be “multiscaling” (Gupta and Waymire, 1990). Application of the GEV distribution to model the annual series of extreme rainfalls has been advocated by several researchers (Natural Environment Research Council, 1975; Schaefer, 1990). The cumulative distribution function, F(x), for the GEV distribution is given as

where ξ, α and κ are respectively the location, scale and shape parameters. It can be readily shown that the k-th order NCM, µk , of the GEV distribution (for k = 0) can be expressed as

in which yτ is the adjusted daily AM precipitation at a probability level τ, yˆ τ is the corresponding GCMSDSM estimated daily AM precipitation, and eτ is the residual associated with yˆ τ . The estimated residual eτ can be computed using the following equation:

in which m0 , m1 , and m2 are parameters of the regression function, and ε is the resulting error term. 2.2 A temporal downscaling method using the scaling GEV distribution The proposed temporal downscaling method is based on the concept of scale-invariance (or scaling). By definition, a function f (x) is scaling if f (x) is proportional to the scaled function f(λx) for all positive values of the scale factor λ (see, e.g., Fedder, 1988). That is, if f (x) is scaling then there exists a function C(λ) such that

where (.) is the gamma function. Hence, on the basis of Equation (8), it is possible to estimate the three parameters of the GEV distribution using the first three NCMs. Consequently, the quantiles XT can be computed using the following relation:

in which p = 1/T is the exceedance probability of interest. Further, for a simple scaling process, it can be shown that the statistical properties of the GEV distribution for two different time scales t and λ t are related as follows:

It can be readily shown that

in which β is a constant, and that

Hence, the relationship between the non-central moment (NCM) of order k, µk , and the variable x can be written in a general form as follows:

Hence, based on these relationships it is possible to derive the statistical properties of short-duration (e.g., λt = less than 1 day) extreme rainfalls using the properties of daily (t = 1 day) extreme rainfalls. The exponent β is computed based on the scaling properties

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Figure 1. Probability plots of daily AM precipitations downscaled from CGCM2A2 and HadCM3A2 before and after adjustment for Dorval Airport station for the calibration 1961–1975 period.

Figure 2. Error-adjustment functions for daily AM precipitations downscaled from CGCM2A2 and HadCM3A2 for Dorval Airport station for the calibration 1961–1975 period.

of the NCMs of extreme rainfalls for various durations. Therefore, the proposed scaling GEV can be used to derive the IDF relationships for AM precipitations for different durations. On the basis of the estimated IDF relations, the impacts of climate change on the design storms and the resulting runoff conditions for an urban watershed can be assessed. In the present study, three different design storm models (Peyron et al., 2005) will be used in the assessment of the runoff characteristics for some typical urban areas with different sizes (from 0.4 to 10 hectares), different shapes (square and rectangular) and impervious levels (35%, 65%, and 100%) using the popular SWMM model for describing the rainfall-runoff relations. 3

NUMERICAL APPLICATION

To illustrate the application of the proposed spatialtemporal downscaling approach, a case study is carried out using both global GCM climate simulation outputs and at-site AM precipitation data available at 15 raingage stations in Quebec (Canada). The selected

global GCM predictors are given by the CGCM2A2 and HadCM3A2 simulations for the 1961–1990 period as well as for some future periods 2020s, 2050s, and 2080s, while the at-site AM rainfall series for durations ranging from 5 minutes to 1 day used in this study are available only for the 1961–1990 period. Furthermore, data for the 1961–1975 period were used for SDSM model calibration and data for the remaining 1976–1990 period were for validation purposes. For purposes of illustration, Figure 1 presents the probability plots of AM precipitations downscaled from CGCM2A2 and HadCM3A2 as compared to those of observed at-site AM precipitations for the 1961–1975 calibration period for Dorval Airport station. It can be seen that the GCM-downscaled AM precipitations do not agree well with the observed at-site amounts. Figure 2 shows the good fit of the second-order correction function (Equation 2) to these differences (or residuals) for both GCMs. Hence, as indicated in Figure 1, after making the bias-correction adjustment of the downscaled AM precipitations using the fitted correction function, a very good agreement can be achieved between the adjusted mean

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Figure 3. Probability plots of daily AM precipitations downscaled from CGCM2A2 and HadCM3A2 before and after adjustment for Dorval Airport station for the validation 1976–1990 period.

Figure 5. The plot of the scaling exponent β(k) versus the order k of maximum rainfall non-central moments for Dorval Airport station.

Figure 4. The log-log plot of maximum rainfall non-central moments versus rainfall duration for Dorval Airport station.

GCM-downscaled amounts and the observed at-site values. The bias-correction functions developed based on data for the 1961–1975 calibration period were then applied to the downscaled AM precipitations for the 1976–1990 period to assess their validity. Figure 3 shows the highly improved closeness between the adjusted downscaled AM precipitations and the observed values as compared to the unadjusted downscaled AM amounts. Hence, it is feasible to use the bias-correction function derived from data for the 1961–1975 calibration period for other time periods in the future. Similar results were found for other stations. To assess the scaling behaviour of the at-site AM precipitation series, the log-log plots of the first three rainfall NCMs against duration are prepared for all 15 stations. For purposes of illustration, Figure 4 shows the plot for Dorval Airport station. The log-linearity

exhibited in the plot indicates the power law dependency (i.e., scaling) of the rainfall statistical moments with duration (Equation 6) for two time intervals: from 5 minutes to 1 hour, and from 1 hour to 1 day. Further, the linearity of the scaling exponent β(k) with the moment order k as shown in Figure 5 supports the assumption that the extreme rainfall series considered can be described by a simple scaling model. Hence, for a given location, it is possible to determine the NCMs and the distribution of rainfall extremes for short durations (e.g., 1 hour) using available rainfall data for longer time scales (e.g., 1 day) within the same scaling regime (β is known). For illustrative purposes, Figure 6 shows the comparison between the empirical (observed), traditional fitted GEV and estimated scaling GEV distributions of 1-hour and 30-minute rainfall extremes at Dorval Airport station. It can be seen that the estimated scaling GEV distribution is in very good agreement with the observations as indicated by the closeness of the estimated values with the perfect-fit 450 line. In addition, Figure 7 shows the accuracy in the estimation of 5-minute and 30-minute AM precipitations from 1-day amounts using both biascorrected HadCM3A2-downscaling and scaling GEV procedures as compared to the traditional GEV fitting

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Figure 6. Estimated 1-hour and 30-minute AM precipitations by downscaling from 1-day AM precipitations using scaling GEV method and by traditional GEV fitting method for Dorval Airport station.

Figure 7. Estimated 5-minute and 30-minute AM precipitations by downscaling from 1-day AM precipitations using scaling GEV method and by downscaling from adjusted HadCM3A2 daily AM precipitations for Dorval Airport station.

Figure 8. Probability plots of 5-minute AM precipitations projected from CGCM2A2 and HadCM3A2 scenarios for the 1961–1990 period and for future periods (2020s, 2050s, and 2080s) for Dorval Airport station.

method. Similar results were found for the CGCM2A2 and for other durations as well as for other stations. These results have thus indicated that it is feasible to estimate accurately the sub-daily AM precipitations from the bias-corrected GCM-downscaled daily AM precipitations. For purposes of illustration, Figure 8 shows the plots of the estimated 5-minute AM precipitations at Dorval Airport station for the 1961–1990 period and

future periods (2020s, 2050s, and 2080s) using the proposed spatial-temporal downscaling method. It can be seen that the HadCM3A2 scenario suggested a small change of AM precipitations in the future, while the CGCM2A2 model indicated a large increasing trend for future periods. Hence, on the basis of the proposed spatial-temporal downscaling method, the IDF curves for the current (1961–1990) period and for future (2020s, 2050s, and 2080s) periods can be derived.

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Figure 9. IDF relations and design storms for the 1961–1990 period for Dorval Airport station.

As mentioned previously, Peyron et al. (2005) have performed a critical assessment of the accuracy of different design storm models used in various countries in the estimation of runoff peaks and volumes for urban watersheds located in the Dorval Airport region. It was found that the design storm proposed by Desbordes (1978) is the most accurate for estimating the runoff peaks and the model by Watt et al. (1986) is the most appropriate for computing the runoff volumes, while the optimal model developed by Peyron et al. (2005) can provide an accurate estimation of both of these runoff characteristics. Figure 9 shows the IDF relations and the resulting temporal patterns of these three design storm models for different return periods for the current 1961–1990 period. Similarly, on the basis of the IDF curves for future (2020s, 2050s, and 2080s) periods the corresponding design storm models can be estimated. For purposes of illustration, Figure 10 shows the design storms for the 2080s period based on the CGCMA2-projected changing climatic conditions. In general, the design storm rainfall intensities for future periods show significant increases but the shape of these storms did not show important changes. Furthermore, it can be expected that the rainfall intensities of the design storms derived from the IDF curves for the CGCMA2 will show a large increasing trend, especially for the high rainfall intensity values, while those estimated from the IDF relations for the HadCM3A2 will indicate a small decreasing trend. For purposes of illustration, Figure 11 shows

the estimated 50-year design storms for Dorval Airport station based on the CGCMA2 and HadCM3A2 climate simulations. In addition, to study the impacts of the projected climate change scenarios on the peak flows and runoff volumes and to explore the design storms sensitivity, the analyses were carried out for a set of hypothetical basins that possess widely varying physiographic characteristics. The basins were patterned after some typical urban basins located in residential development in Quebec (Canada). More specifically, these basins were chosen based on the three main characteristics that affect directly the properties of the runoff process: the basin shape, the basin size, and the basin imperviousness level. Runoff simulations based on the SWMM model were then conducted to evaluate the influence of these basin characteristics on the performance of the different design storm models. The basin shapes considered in this paper represent the most common forms for parking lots, multiresidential and typical residential areas in Quebec (Canada). Square basins and rectangular basins with a ratio of the length over the width equal to 2 and 4 define regular parking lots and multi-residential areas. For such basin configurations, outlets are located in the centre of the watershed as commonly designed in practice. The shape of typical residential basins for the Montreal City is also rectangular, but established from the observation that cross-streets are approximately 300 m apart. The outlet is in this case placed at the bottom left corner of the rectangular shape. The major

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Figure 10. IDF relations and design storms for the 2080s period for Dorval Airport station based on CGCMA2 climate change scenario.

Figure 11. Temporal patterns of a 50-year Peyron design storm model for current and future periods based on CGCMA2 and HadCM3A2.

difference between the various shapes is the width parameter, which represents the drainage length. In addition, different percentages of imperviousness are examined for each basin shape. Imperviousness values of 35, 65 and 100% are respectively commonly assigned to residential, multi-residential and parking lots. The present study focuses on small urban areas, up to 10 hectares. Hence, area sizes of 0.4, 0.75, 1, 2, 5 and 10 hectares are assigned to each basin shape, except for the typical residential basins where the size of 0.4 hectare is not considered because this size is not

realistic for such a basin. Finally, the present study is restricted to basins with a fixed slope of 1% since it represents a typical condition for urban watersheds in southern Quebec. For purposes of illustration, Figure 12 shows the impact of the projected climate change scenarios on peak flows and volumes for a typical 10-hectare square area with a 65-percent impervious surface. In general, the increasing trends in flow characteristics were found for CGCMA2 and the decreasing trends were observed for HadCM3A2. Similar results were found for other

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Figure 12. Peak flows and volumes from a square 10-hectare residential area with 65-percent imperviousness for current and future periods.

areas of different sizes, shapes, and impervious conditions considered in the present study as mentioned above. 4

CONCLUSIONS

A spatial-temporal downscaling approach was proposed in the present study to describe the linkage between large-scale climate variables for daily scale to AM precipitations for daily and sub-daily scales at a local site. The feasibility of the proposed downscaling method has been tested based on climate simulation outputs from two GCMs under the A2 scenario (HadCM3A2 and CGCM2A2) and using availableAM precipitation data for durations ranging from 5 minutes to 1 day at 15 raingauge stations in Quebec (Canada) for the 1961–1990 period. Results of this numerical application has indicated that it is feasible to link daily large-scale climate variables to daily AM precipitations at a given location using a second-order bias-correction function. Furthermore, it was found that the AM precipitation series in Quebec displayed a simple scaling behaviour within two different time intervals: from 5 minutes to 1 hour, and from 1 hour to 1 day. Based on this scaling property, the scaling GEV distribution has been shown to be able to provide accurate estimates of sub-daily AM precipitations from GCM-downscaled daily AM amounts.

Therefore, it can be concluded that it is feasible to use the proposed spatial-temporal downscaling method to describe the relationship between large-scale climate predictors for daily scale given by GCM simulation outputs and the daily and sub-daily AM precipitations at a local site. This relationship would be useful for various climate-related impact assessment studies for a given region. Finally, the proposed downscaling approach was used to construct the IDF relations and the resulting design storms for Dorval Airport for the 1961–1990 period and for future periods (2020s, 2050s, and 2080s) using climate predictors given by the HadCM3A2 and CGCM2A2 simulations. It was found that AM precipitations downscaled from the HadCM3A2 and the resulting design storm rainfall intensities displayed a small decreasing change in the future, while those values estimated from the CGCM2A2 indicated a large increasing trend for future periods. Similar trends were found for flows characteristics of typical urban areas with different sizes, shapes, and imperviousness levels. This result has demonstrated the presence of high uncertainty in climate simulations provided by different GCMs. Further studies are planned to assess the feasibility and reliability of the suggested downscaling approach using other GCMs and data from regions with different climatic conditions.

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REFERENCES Buishand,T.A. (1989). Statistics of extremes in climatology. Stat. Neerlandica, 43(1): 1–29. Burlando, P. and Rosso, R. (1996). Scaling and multiscaling models of depth-duration-frequency curves for storm precipitation. Journal of Hydrology, 187: 45–64. Fedder, J. (1988). Fractals. New york: Plenum Press. Gupta, V.K. and Waymire, E. (1990). Multiscaling properties of spatial rainfall and river flow distributions. Journal of Geophysical Research, 95(D3): 1999–2009. Natural Environment Research Council (1975). Flood Studies Report, Volume II: Meteorological Studies. London. Hershfield, D.M. (1961). Rainfall frequency atlas of the United States for durations from 30 minutes to 24-hours and return periods from 1 to 100 years, Technical Paper 40, U.S. Weather Bureau, Washington, D.C. Institute of Hydrology, (1999). Flood Estimation Handbook. Wallingford: CEH. Hogg, W.D.,and Carr, D.A. (1985). Rainfall frequency atlas for Canada. Ottawa: Canadian Government Publishing Centre. Kottegoda, N.T., and Rosso, R. (1997). Statistics, Probability, and Reliability for Civil and Environmental Engineers, McGraw-Hill. Nguyen, T-D. (2004). Regional estimation of extreme rainfall events. Doctoral Thesis. Department of Civil Engineering and Applied Mechanics, McGill University, Montreal (Quebec). NguyenV-T-V., Nguyen,T-D., andAshkar, F. (2002). Regional Frequency Analysis of Extreme Rainfalls. Water Science and Technology, 45(2): 75–81.

Nguyen, V-T-V., Nguyen, T-D., and Gachon, P. (2006). On the linkage of large scale climate variability with local characteristics of daily precipitation and temperature extremes: an evaluation of statistical downscaling methods. In: Advances in Geosciences, Vol.4: Hydrological Sciences, N. Park et al. (ed.), World Scientific Publishing Company, 1–9. Peyron, N., Nguyen,V-T-V., and Rivard, G. (2005).An optimal design storm for the design of urban drainage systems (in French), Annales du bâtiment et des travaux publics, France, No. 3, 35–42. Schaefer, M.G. (1990). Regional analyses of precipitation annual maxima in Washington State. Water Resources Research, 26(1): 119–131. von Storch H., Zorita E., and Cubasch U. (1993). Downscaling of global climate change estimates to regional scales: An application to Iberian rainfall in wintertime. Journal of Climate, 6: 1161–1171. Wilby, R.L., Dawson, C.W., and Barrow, E.M. (2002). SDSM – a decision support tool for the assessment of regional climate change impacts. Environmental Modelling & Software, 17: 147–159. Wilks, D.S. (1993). Comparison of the three-parameter probability distributions for representing annual extreme and partial duration precipitation series. Water Resources Research, 29(10): 3543–3549. Zalina, M.D., Desa, M.N.M., Nguyen, V-T-V., and Amir, K. (2002). Statistical Analysis of Extreme Rainfall Processes in Malaysia. Water Science and Technology, 45(2): 63–68.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Slum networking – A paradigm shift to transcend poverty with water, environmental sanitation and hidden resources H. Parikh Himanshu Parikh Consulting Engineers, Ahmedabad, India

P. Parikh Newnham College, Department of Engineering, Cambridge University, Cambridge, UK

ABSTRACT: This paper explores an alternative development paradigm which shifts from the present ‘social paternalism’ to the one which uses water and environmental sanitation infrastructure to alleviate poverty. As aid is neither adequate nor sustainable, it argues that aid dependence for infrastructure investment can be overcome by inherent resources within the developing world and the hereto unrecognised latent resources of the ‘poor’. On the technical side, an innovative concept of Slum Networking is put forward to bridge the gap between the costs and affordability. It exploits the correlation between slums, natural riverine paths and infrastructure at macro level and technical innovations at micro level to improve performance and provide house-to-house integrated services at costs less than public latrines and handpumps. The paper is based both on actual work covering about a million people in India as well as research and data analysis of developed and undeveloped slum settlements. Keywords:

1

Poverty alleviation, water, environmental sanitation, latent resources, multiplier, Slum Networking

INTRODUCTION

1.1

According to a UNHABITAT study, 924 million people, or 31.6% of the world’s urban population, lived in slums in 2001 (UN-HABITAT, 2003). The Planning Commission of India estimates that 26.1% of India’s population was living below the poverty line in 2000; the slum population in urban India in 2002 was 61 million (CSO, 2002). However, the United Nations website for the Millennium Development Goals Indicators has higher slum figures based on tenure criteria showing that 55.5% of urban India lived in slums totalling 158 million. Going by the $1 per day (PPP) definition, 43.3% of India’s population falls below the $1 income mark (UN, n.d.a.). More than a billion people worldwide have no access to an improved water source, and 2.5 billion do not have access to improved sanitation (WB, 2004). Studies show that there are inequities in service provisions across and within countries either in the form of the rich-poor or urban-rural divide (UNICEF/WHO 2004, WB 2004, UNDP 2006). The poor often consume fewer infrastructure services and pay higher prices. The price subsidies reach the rich consumers, but not the poor who equally contribute to the economy in the form of market labour.

Shortcomings of millennium development goals

The Millennium Development Goals developed by United Nations to address global poverty noted that a large proportion of the world’s population is not covered by the most basic amenities. It is anticipated that there might be 2 billion people living in slums in the next 30 years (UN-HABITAT, 2003). Goal 7, which addresses environmental sustainability, has three key targets: •

Target 9: Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources. • Target 10: Halve by 2015 the number of people without access to safe drinking-water and sanitation. • Target 11: By 2020 achieve significant improvement in the lives of 100 million slum dwellers. The recent DFID Target Strategy Papers recognise infrastructure development as an essential prerequisite to achieving the Millennium Development Goals (DFID, 2002). The UNICEF/WHO (2004) mid-term progress report demonstrates how all the goals of the Millennium Development to alleviate poverty are directly or indirectly linked to improvements in water and sanitation.

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Figure 1. Correlation between the city slum fabric and natural drainage paths.

However, the current trend to poverty alleviation entails a cocktail of interventions in health, education, governance with water and sanitation playing a subsidiary role and funding is invariably through aid assistance or soft loans. Studies (UNICEF/WHO 2004, UN 2007, HC 2007) show that the world is lagging behind a long way from meeting the Millennium Goals. For instance, the WHO/UNICEF (2004) monitoring report acknowledges that without a sharp acceleration in the rate of progress, the world will miss the sanitation target by half a billion people with the situation being most serious in South Asia, Sub-Saharan Africa, East Europe, Eurasia and Oceania. On the present trajectory the living conditions of the poor are unlikely to improve in the foreseeable future. 2

of the community and local partnerships. It does not accept that the constraints, both physical and financial, are insuperable and is underpinned by a fundamental belief that slums need not exist in India and this massive transformation can be achieved in a short time span (Parikh H, 1995). The approach demonstrates three innovations new to the present development thinking:

SLUM NETWORKING

2.1 An alternative paradigm In a paradigm shift from “social service” to “business on hand”, Slum Networking uses water and sanitation infrastructure correlated with nature to alleviate poverty; overcoming aid dependence with resources

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•

Of all the leverages available, water and environmental sanitation infrastructure can alleviate poverty cheaper and faster than any other interventions to dramatically improve incomes, community investments, health, literacy and other social indicators. • The “poor” have a latent resource potential yet to be tapped fully. We have seen that the water and environmental sanitation stimulates massive community investment in its own shelter and the poor can, in conducive circumstances, mobilise huge resources. Thus, the community is not a “beneficiary” but a capital partner committed to the development and its subsequent maintenance. Community investment is also an acid test of the efficacy of the solutions. As aid is not sustainable or adequate to meet the

Figure 2. Indore river before and after Slum Networking.

global needs, the challenge can only be met from the internal resources of nations through constructive partnerships. The business and banking partners replace aid and assist with implementation on a business model. The government’s role is to establish a financial, administrative and legal structure to enable all actors to participate. • The gap between the costs and resources can be bridged through technology and nature. There is a close correlation between water and sanitation infrastructure, natural drainage topography of settlements and the location of poor areas. This can be exploited to improve the environment and provide high quality, gravity based, house-to-house water, sanitation, storm drainage, roads and landscaping at costs lower than the conventional “slum” solutions such as public standposts and community latrines.

2.2 The macro level The idea of Slum Networking first germinated in 1987, when working in the slums of Indore, their proximity to streams and rivers was noticed. Studies of other cities in India and abroad showed the same relationship. Could this correlation with nature provide economic, gravity based water and drainage networks? If rivers do not need pumping stations, why should drainage? If slum services are interconnected along these riverine paths, the main city can also gain cost effective networks in the process. Thus slums, instead of being resource-draining liabilities, become opportunities of a quantum change in the infrastructure levels and environmental quality of the city. This co-ordinated process of treating the city slums as an urban net can replace the overlapping and often conflicting infrastructure developments which are currently being undertaken in a piecemeal way by a multitude of agencies (Sandhu, 1998). Over a period of six years, the slum matrix of Indore city, covering 450,000 persons, was upgraded with environmental and sanitation improvements. The

slums were integrated into the city fabric through the improved road and sewerage networks (Diacon, 1997). An arguable weakness of the Indore project is that it was funded from a UK government grant and the community did not have a role in project formulation, implementation and maintenance. Whilst the Development Authority executed the programme, the subsequent maintenance was handed over to the Municipal Corporation (local government) without the commensurate resource mechanism. The result was that the communities failed to take ownership of the underground sewerage, storm drainage, landscaping, earth management, solid waste and maintenance. The next step, therefore, was to move towards greater self sufficiency and greater community control. A pilot project was implemented in Ramdevnagar slum in Baroda city, in which the community, Municipal Corporation and UNICEF shared the project costs. Baroda Citizen’s Council (BCC) an NGO set up by local federation of industries successfully implemented the project. The outcomes of the project have been documented by UNICEF. According to UNICEF (1999, page 6):

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• Incidence of malaria and typhoid were reported to have reduced drastically during the last three years. • The facades of all households had undergone dramatic changes for the better. Obviously, the community had mobilised substantial resources on their own to give a facelift to their dwellings. All households had constructed their own toilet and bathrooms, and had availed of house-water connections. As all the households had got individual drainage connection, no wastewater was let out in the streets. • Reportedly, due to various ongoing construction activities in the project area, the artisans of the community had got employment opportunities for the past three years. This had helped them

Figure 3. Sanjaynagar before, during and after development. Note the change in housing stock.

“As on December 2005, SNP has reached 8,703 families, making a significant contribution to the lives of 43,515 people in 41 slum communities of Ahmedabad. The community members have paid a total of US$ 301,600 to the AMC as their contribution towards the services, something never done by slum dwellers anywhere else in India” (AMC, 2005).

considerably in increasing their income and provided motivation for upgrading their own houses. • The Anganwadi (Nursery) centre in Ramdevnagar was in poor shape prior to implementation of the project. The project provided for the building material and the local community provided skilled labour to give a total face-lift to the centre. Attendance at the Anganwadi as well as the nearby primary school had improved considerably in the last 3 years. • It was reported that the prices of real estate had gone up from Rupees 25,000 for an average sized house to Rupees 85,000. This could be a definite marker of the value addition to the slum (1$ = 40 Rupees). • On the whole the Ramdevnagar slum, with neatly dressed school children, women and proud adults going about their businesses, projected a picture of positive development with a human face.

2.3 The micro level

Following Indore, Bhopal and Baroda, a project implemented in Sanjaynagar slum in Ahmedabad took Slum Networking a step further by replacing external aid with contributions from business (Arvind Mills) to match the resources put in by the slum dwellers and the Municipal Corporation. The provision of basic services like water, drainage, street lights, toilets and internal roads was made possible by making legal amendments in Section 82C of the Bombay Provincial Municipal Corporation Act, 1958 which would permit Ahmedabad Municipal Corporation (AMC) to provide basic services in the slums located on reserved and private lands (Acharya and Parikh, 2002).

At the micro-level Slum Networking provides holistic physical improvements, namely, roads, individual water supply and sewerage, storm drainage, earthworks, soft landscaping, power and streetlighting. All the components of infrastructure are bundled for economy and integrated from slum to city with respect to topography. Innovations such as holistic computer modelling, roads as storm channels, earth management, miniature appurtenances, constructive landscaping, flushing of sewers with rain and self ventilated manholes improve performance and cut costs (Parikh P, 2005). 2.4 Roads and topography management Roads are the main corridors of all other services and, if planned well to the natural topography, lead to efficient and economic infrastructure as a whole. The roads are placed in cut below the surrounding ground and engineered to slope continuously down, so that storm water and sewage flow by gravity without pumping and manholes remain shallow and cheap. The design challenge is to provide minimal roads, with least disruptions to existing settlement, and yet

360

Figure 4. Principles of earth management in road design.

Figure 5. Roads complementing storm drainage.

giving maximum access. The design optimisation was in trading off between the road placed predominantly in cut, balancing cut and fill, continuously sloping the road down and maintaining its levels just below the house plinths (to stop house flooding). The layers of road pavement were optimised to use maximum thicknesses of the cheaper local materials (such as murum) for the base and sub-base, whereas the more expensive materials were limited to the thinner surfacing layers.

2.5

Storm water

The absence of storm drainage in Indian cities has devastating impact in monsoons, especially when coupled with other infrastructure deficiencies. Dirt roads become treacherously muddy. The logged areas, contaminated by overspill from open sewers, become breeding grounds for mosquitoes and flies. Outbreaks of epidemics are common during monsoons. Conventional piped storm drainage is unaffordable in view of the huge monsoon storm loads. Open masonry storm drains are equally expensive, difficult to maintain and

unsanitary as they get clogged by solid waste and excreta. To meet the challenge, an innovative concept of road section combined with piped drains was developed. Roads laid as channels, in excavation and continuously sloping down, act as primary water carriers, supplemented by piped drains only when the road edges flood to a tolerable limit of 50 mm. Thus, both the pipe lengths and their diameters reduce substantially. The system has all the advantages of a fully piped system at a tiny fraction of the cost. Studies by Kolsky of Indore slums have validated this concept (Kolsky, 1998). The complex calculations of open channel flow on roads in combination with the closed flow of the piped storm drainage are incorporated in the computer model so that the two can be designed interactively for better performance and economy. Using these measures, the storm pipes below Sanjaynagar roads were totally eliminated. 2.6 Water supply Before development, women and girls had to queue long hours for water at the public taps in surrounding

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societies at a loss of time and dignity. Thus, there was a strong demand for individual connections. Looped networks were preferred to branches for better pressure balance across the system and smaller pipes are required to achieve the same terminal pressures. The principal design trade offs are between the network layout and pipe diameters (cost) against the terminal pressures across the system, both evenly balanced and with reasonable head (performance). PVC pipes were laid shallow for economy but protected from impact damage by the concrete pavement above. Evaluation of Sanjaynagar ten years after implementation has shown that this has turned out both cheaper and more durable than using stronger but dearer cast iron pipes as conventionally preferred. 2.7

even if that entails contributions from them. A comparison of individual versus community facilities show that the former may possibly be an effective solution in terms of not just capital costs but also in the subsequent running, maintenance and failure costs. For example, the total cost in Sanjaynagar for the total infrastructure and individual services was Rs. 13,000/family ($325) in 1995 (including household toilet cost) whereas the cost per family for a slum sanitation project in Mumbai in the same year was Rs. 11,000 ($275) just for public

Sewerage

Underground protected sewerage is sparse in most cities and villages of India. Sewage, sullage and storm water collect on streets or in open drains, which are usually blocked, creating serious health and safety risks. In slums, individual toilets are very few and most people defecate in the open as they have no sanitation facilities, private or public. There is a huge demand, especially from women, for better sanitation facilities

Figure 6. Road on a dry and a wet day.

Figure 8. Ventilated manhole cover.

Figure 9. Miniature gulley trap replacing manhole.

Figure 7. Sanjaynagar public toilet before development and individual toilets afterwards.

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latrines without any other infrastructure, considering the number of dysfunctional public toilets in Mumbai at about 45% (MCGB, 1995) compared to almost none for Sanjaynagar settlement. “Shallow sewers” have been successfully used in Slum Networking projects in India. To attain flushing velocities in the initial runs, star pattern collection is used to accumulate flows and the runs are kept flat and shallow with “tractive force” design. This requires lower velocities to keep solids just moving as against the normal velocities to keep them in suspension. As an added insurance, sewer lines are flushed with storm overflows. The sewerage is laid along road centres and the manhole covers provided with holes to let in storm overflows, which reach the crown levels once or twice each year when the rain intensities exceed that of the design return period. The breathing holes in manhole covers help to ventilate the system. The expensive appurtenances such as flushing tanks, vent shafts and pumping stations are eliminated. Small intercepting traps replace the house connection manholes, saving about 25% on the sewerage cost. The traps are placed at the doorsteps so that the misuse at entry points, which accounts for most blockages, is controlled directly by individual families who assume responsibility instead of the local authority. 2.8

Solid waste management

Solid waste management is a vital urban service from the point of view of environment and hygiene and yet often neglected. The problem cannot be solved by mere provision of dustbins. Open drains are avoided in the design as they become dumping grounds for solid waste. The collection, transportation and disposal of solid waste outside the slums is managed by the local authority and by the community within the settlement. Rag pickers are integrated into the process to generate incomes from recycling and at the same time provide training for safe handling of waste.

2.9 Landscaping Thoughtful planting can improve the microenvironment. Trees shade the streets in summer and at the same time reduce the dust in the air. Decorative trees and flowering plants add to the beauty. The vegetable, herb and fruit plants supplement the daily needs of the families. Landscaping is also used as an engineering tool. By sinking the roads below the adjacent land, the excavated material is used to fill up the low-lying areas and regrade the slopes. This helps to drain the water towards the roads and the storm systems instead of ponding. Subsequent grassing binds the surfaces at a fractional cost of hard paving and checks silt erosion. Grasses absorb water and reduce its speed of flow, thus recharging the ground and reducing the peaks in the storm systems. 2.10 Power and streetlighting Overhead cables pose a serious safety risk in slums, where pilferage from the poles is common, sometimes resulting in injuries and deaths during illegal tapping. Similarly, in Uttarayan, the kite festival, the kites get entangled with overhead lines and cause injuries and power disruptions. In Sanjaynagar, underground cables were used for power and streetlights, although this is not a conventional practice. The industry partner Arvind Mills helped with the negotiations between the community and the electricity company and co-ordinated the works so that the lines were installed before the road works to avoid subsequent re-digging (Tripathi, D., 1998). Apart from improved visibility, streetlighting greatly increased the sense of safety and security of the community. The huge impact of electricity at home is discussed in the subsequent sections. 3

DATABASE AND ANALYSIS

This paper is based on the observations in the slums of four Indian cities where a million people have

Figure 10. Impact of landscaping on Indore slum before and after development.

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Monthly Work Days lost due to Illness

Household Medical Expenses Rs./month 1200

70

1069 1000

64

60

800

50

650

600

40 350

400

30

200

20 9

0

10 Average 1995 Inflated to 2005 Sanjaynagar

2005 Sanjaynagar

0

2005 Khokhra

Pre Project Sanjaynagar

After Project Sanjaynagar

Figure 11. Household medical expenses. Figure 12. Monthly work days lost to illness.

directly benefited from the concept, together with pilot research undertaken in 2005 in Sanjaynagar slum, Ahmedabad, where holistic physical infrastructure under the Slum Networking Project was implemented in 1997. The special features of this case study are the involvement of the corporate sector, provision of tenure rights and community ownership. For comparative evaluation, second case study was an undeveloped slum located in Khokhra ward of the city, the primary difference between the two cases being the provision of physical infrastructure. In 2006 and 2007, the research was expanded to 500 households in five slums of India, and 200 households in two settlements in South Africa, both serviced and non-serviced, to validate the findings on a larger scale and across geographical and cultural range. (Parikh P, 2005 and 2008)

4 4.1

Infant Mortality Rate 12

11

10 8 6 6 4

3

2 0 Pre Project Sanjaynagar

After Project Sanjaynagar

2005 in Khokhra

Figure 13. Reduction in deaths for children under 4 years of age.

incomes and more time for other meaningful activities like education.

IMPACT ON HEALTH 4.3 Infant mortality

Medical expenses

The comparison of average household monthly medical expenses shows marked differences in medical expenses between pre and post project Sanjaynagar. The monthly medical expenses for Sanjaynagar have reduced to almost one- third of the pre project. Similarly the current medical expenses in undeveloped Khokhra are double those in Sanjaynagar. The reduction in medical expenses means that the community has greater disposal resources and savings.

4.2 Work days lost to illness The comparison between pre and post project scenario in Sanjaynagar shows the number of work days lost to illness reducing significantly. Although the results could not be compared with Khokhra due to statistical incompatibility of unequal responses, the residents of Khokhra did complain of heavy loss of work days due to time spent in hospitals when they or family members are ill. The reduction in lost work days means increased

Children are particularly vulnerable to diseases like diarrhoea and malaria. Owing to reduced immunity any major or prolonged illness can result in death. The comparison between pre-project Sanjaynagar, post project Sanjaynagar and Khokhra shows infant mortality rate reduced to a third in Sanjaynagar post project implementation and also less than in the control Khokhra slum. The result matches with secondary studies for Sanjaynagar (SHARDA Trust and SAATH, 1999) for % deaths across various age groups. The most dramatic reduction is observed in the 0–4 age group. Environmental sanitation appears to have brought about changes which would otherwise be very difficult to achieve even with the most intense care programmes. 4.4 Reasons for health improvements There are clearly health improvements in Sanjaynagar after development, with results better than the current Khokhra situation. Health interventions are ruled out

364

No. of diseases immuned against

0 1 2 3 4 5 Total Total children

of water which, apart from saving time and labour, has reduced their back problems. Other quotes:

% of children protected Before After 0.78% 17.19% 12.50% 17.97% 20.31% 31.25% 100.00% 128

“Today we have running water in the house. I bathe everyday with soap and take a head-bath every alternate day. Previously I used to bathe once in 10 days in the open fields using coir cots as a cover.” Source: Change After Alliance

13.86% 2.97% 3.96% 14.85% 19.80% 44.55% 100.00% 100

“Not having bath everyday creates body odour, due to perspiration. Also, bathing everyday makes my body feel sfurt (energetic). Previously I would feel sust (lethargic). Diseases do not come if you bath. Now I sweep and mop the floor of my house.” Source: Change After Alliance

Figure 14. Immunisation in Sanjaynagar.

Perceived Health Problem Causes in Khokhra 18

“Girls had to spend time disposing waste water from the house as boys wouldn’t do this work. They can now wake up late and sleep more.” Group Discussion 2005

Dirt 16

16

No facilities

14 12

11

Waste water outside house

10

“We had no toilets. We would go to relieve ourselves in the open at 5 am and would be anxious of oversleeping.” Group Discussion 2005

Mosquitoes

8 6 4 2 0

Air pollution

3 111

No taps

“Water and drainage is a necessity for not only a king but also a pauper.” Group Discussion, Sanjaynagar, 2005

Figure 15. Causes of health problems, Khokhra.

for this improvement as they were neither substantial nor durable. The health clinic established during the project did not survive for long. For example, figures for Sanjaynagar show that immunisation drive during the project was not particularly effective (SHARDA Trust and SAATH, 1999). 100% of the households surveyed in Sanjaynagar attributed health improvements to the provision of infrastructure. The Khokhra residents reported a high proportion of illnesses of recurring nature in their settlement. Dirty environment was perceived to be the main reason for the health problems. The next one was lack of facilities and then waste water outside house, mosquitoes, air pollution and no taps. All the causes related to infrastructure deficiencies of unpaved dirt roads, open drains and water logging. 4.5

Qualitative perceptions on health

During the group discussions and household interviews many other interesting observations were recorded. They are presented in the form of quotes as it is difficult to measure or quantify some of the benefits. For instance a lot of women in Sanjaynagar have highlighted that they no longer have to carry buckets

5

IMPACT ON EDUCATION

The impact of education has been estimated both from attendance and the quality of education, based on the household interviews in Sanjaynagar and Khokhra. Information has also been drawn from community surveys (Sneh Prayas, 2004) which look at the educational background of all children in Sanjaynagar. 5.1

School attendance

The % attendance is a ratio of number of children between the ages of 6 to 18 attending school divided by the total number children in that age group. On all counts post project Sanjaynagar shows a higher % attendance compared to Khokhra. The Sanjaynagar figures also reflect the national trend of higher attendance rates of the male child, though it is worth noting that the percentage of female attendance has significantly increased post project. 5.2

Quality of education

In India municipal schools are run by the government. They do not charge fees to reach the children

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% Children Attending School 0.80 0.70 0.60 0.50 0.40 0.30 0.20 0.10 0.00

0.72

4000

0.65

Annual Expense for Education Rs. 3872

0.62

3000 0.29 0.22

2000

0.19

1000 0 Total

Male Sanjaynagar

0

Female

Khokhra

Sanjaynagar

Khokhra

Figure 16. % children attending school. Figure 18. Annual expense on education. Number of Children Attending Private School 12

11

10 8

7

6 4 4 2

2

2 0

0

0

0

0 Total Sanjayanagar before

Male

Female

Sanjaynagar after

Khokhra

Figure 17. Children attending private school. Figure 19. Television.

in the lower income strata. Private schools in India cater to middle and high income groups, though they are not normally as exclusive as the in the west. The group discussions and household interview showed that in Sanjaynagar private schooling was perceived as superior. In Khokhra not a single child from the interviewed households went to a private school. A comparison of Sanjaynagar settlement showed an increase in the number of children, both boys and girls, attending private school post development. In order to send their children to private schools the families had to incur an average expense of Rupees 3872 per year for the fees, books, uniforms and transport. The average annual expense on education is equivalent to 40% to 75% of monthly incomes. In contrast the residents of Khokhra have not invested money for their children’s education. It is not just the expense but the change in perception about education and the zeal to strive for high quality education which is more noticeable. The necessity of education is now entrenched in the mindset of Sanjaynagar residents whilst those in Khokhra feel that education is irrelevant as their children will work as labourers when they grow up.

5.3 Impact of electricity and television on education With electricity, people now have fans and lights to sit and read in the house during day and night. In Sanjaynagar people’s lives have been transformed by television. Outside the classroom, this is an important medium of education. Out of 20 houses interviewed 17 families now have televisions against the earlier 3.8 out of 20 houses in Sanjaynagar reported an increase of the age of marriage from 10–16 years to 18–20 years, respondents citing greater awareness due to television and education as a cause. The quotes below give some qualitative changes in lifestyle:

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“90% or more houses have TV. We are now in the contact with the world and know what is happening around us and we see the news. Ignorance is now reducing and TV shows like Discovery channel shows us things that we have never dreamt or seen before.” Group Discussions, 2005

“Young girls watch all the soaps carefully. They want to now wear nice clothes, cut their hair regularly, shampoo hair and use cosmetics. Expenses have now increased as girls are now influenced by advertisements in radio and TV.” Group Discussions, 2005 5.4

Expenditure Rs./month Comparison 6000

4000

2000

Reasons for improvement in education

Qualitative perceptions on education

“Education is the foundation of life and can help us immensely. People think that computers will also come one day.” Group Discussions, 2005 “Municipal schools do not teach well. Children in private schools know ABCD and English from class 1 but children in municipal schools cannot even write their names in class 7. So we prefer to send our children to private school even though the fees are high.” Group Discussions, 2005

4025 Sanjaynagar reported 2005

1000

Estimated Spending Sanjaynagar 2005 Khokhra Reported 2005

0

Figure 20. Expendable income comparisons.

changes, investments in education, shelter upgradation and other spending. However, the problem in comparing directly reported incomes with secondary data is that the community on the whole is suspicious about income surveys.They under report their incomes and do not include informal cash transactions and subsidiary seasonal and irregular incomes, whereas secondary sources and cross checking with neighbours gives a different picture. It was thus decided to derive income from the quantifiable expenditures. Comparisons were made between the reported expenditures for pre and post Sanjaynagar scenario and Khokhra and the estimated current monthly spending for Sanjaynagar – i.e. expendable income. The current monthly spending was estimated from medical expenses, education costs, bills, electricity charges, cable TV costs and investments in vehicles and housing. Food, grocery and clothes expenditure was estimated from the consumption patterns and the number of members in a family. Expenditure patterns showed very clearly that disposable incomes in Sanjaynagar have almost increased by 50% in real terms post project and are almost double that of Khokhra. This is a remarkable increase. 6.2 Reasons for Higher Expendable Incomes The expenditure pattern demonstrates almost a doubling of disposal incomes comparing post project Sanjaynagar with undeveloped Khokhra. The reasons for this increase cannot be absolutely established by simple surveys and statistical analysis. As the only major intervention in Sanjaynagar was in the physical facilities, and also as corroborated in group discussions, infrastructure provisions appear to be the principal catalyst of change.

“Children go to school now. Previously there was no time to send children to school. If the women go out of their houses to fetch water who will get the children ready to go to school?” Group Discussions, 2005

6.1

3564

2950

“The time saved on water collection and disposal is used by children for schooling and by women for sending children to school, cleanliness and educating children.” Group Discussions, 2005

6

Sanjaynagar Preproject Inflated

3000

Previous sections show a change in education both in terms of the numbers and the perceived value of education. The crucial question is the cause of this change. The main intervention in Sanjaynagar during this time was the provision of physical infrastructure/facilities. SAATH started a Balwadi (child education centre) but the centre was closed recently. All the respondents in Sanjaynagar cited the infrastructure facilities to be the main cause of improvement in education. Similarly when the counter question was posed to the residents of Khokhra all the respondents highlighted that the lack of facilities as a reason for the problems with education. These perceptions strongly support the linkage between facilities and education.

5.5

5475

5000

IMPACT ON INCOMES AND INVESTMENT Expendable incomes

In Sanjaynagar an impression of increased spending was clear during the field work, as seen from lifestyle

367

“Income has increased and so have expenses. But people still feel happy as they have added facilities now and a different life style.” Group Discussions, 2005

Figure 21. Change in investment priorities before and after development.

Figure 22. The housing stock – before and after development. Multipliers

“Time saving for water collection and disposal also leads to income generation.” Group Discussions, 2005

24.6

“There is a better chance to find work if we live in serviced houses as we will spend less time on water collection. Also it would be safer for women to work until late and come back in the night if the streets are paved and well lit.” Group Discussions, 2006, Imizamo Yethu, South Africa

6.3

Housing & Goods/Infrastructure Cost

8.2

0

4

8

12

16

20

24

Housing & Goods/Partnership

28

Figure 23. The investment multiplier after services.

professing community participation and grass roots planning, it is ironic that the developmental scene is discordant with people’s wishes (Parikh P, 2008).

Community willingness and ranking of investment priorities

Prior to development all communities gave unequivocal top priority to investments in water and sanitation infrastructure in preference to housing, health, education and employment. This is reinforced by the reversal in priorities from infrastructure to other segments once the physical development work was done in Sanjaynagar. This is in contrast to the perceptions in most development agencies that, whilst water and sanitation is important, priority investments should be in sectors such as health, education and governance. Whilst

6.4 The investment multiplier The investments in housing by the community were recorded in the study. However, as these were carried out in stages with the possibility of under or over reporting, the stated investments were cross checked and brought on par to present prices on the basis of built up area, type of construction and the prevailing construction costs. In addition, there were substantial investments in goods like televisions, phones, refrigerators and

368

Figure 24. Partnership in Sanjaynagar.

Figure 26. Investment pre-conditions, Khokhra.

interested in investing in housing if they were provided infrastructure facilities and land security.

7

Figure 25. Reasons for investment, Sanjaynagar.

vehicles. The figure below shows that investment in housing and goods in Sanjaynagar was 8.2 times the initial investment in physical infrastructure. If the infrastructure costs are shared on partnership basis, the government investment drops to a third and the multiplier on the state investment increases to a massive 24.6 times! This is a crucial point for formulating habitat projects in countries, where government resources are scarce and the problems of poverty widespread. Huge public investments have gone into housing, whereas the same end results can be achieved at far lesser costs through catalytic investments in infrastructure and financial partnerships.

CONCLUSIONS

The conventional development wisdom entails interventions in health, education, income generation and governance as prime leverages of poverty alleviation with safe water and infrastructure sanitation assuming a supportive role. This paper explores the alternative philosophy that water and environmental sanitation can be the principal catalyst of change, alleviating poverty most effectively and at affordable costs. It also assesses the resource potential of the communities and the subsequent investments in improving their housing stock. The main findings are: •

Water and sanitation have a positive impact on health, education, income and housing. • Communities have highlighted the benefits of individual services in the house interviews and group discussions. • Communities are willing and can contribute to capital and maintenance costs for infrastructure. • The “multiplier effect” of water and sanitation on the ultimate community investment in shelter and goods was found to be 24 times the initial government investment in services.

6.5 The reasons for investments in housing It is established that the community has made huge investments in shelter upgradation and it is important to understand why. As per the household interviews in Sanjaynagar, provision of physical infrastructure was reported as most important reason. Better social standing and security of tenure came second and third as reasons for investment. Other reasons stated for investment in housing included marriage in family, dignity of being able to invite relatives to come and stay and the better environment that a new house creates. Similarly, the residents of Khokhra said that they would be

REFERENCES Acharya, S. and Parikh, S. (2002). Slum networking in Ahmedabad – Poverty and vulnerability in a globalising metropolis. Ahmedabad: Manak Publications, 309–348. Ahmedabad Municipal Corporation (AMC) (2005). Slum Networking – A partnership programme of infrastructure and social development in slums of Ahmedabad city. Central Statistical Organisation (CSO) (2002). Compendium of environmental statistics India, 2002, chapter 7. Ministry of Statistics & Programme Implementation, Government of India.

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DFID (2002). Making connections: Infrastructure for poverty reduction. www.dfid.gov.uk/pubs/files Diacon, D. (1997) Slum Networking – An Innovative Approach to Urban Development, Building and Social Housing Foundation. HC (2007). Sanitation and Water. Sixth Report of session 2006-07, Vol. 1, Prepared by the International Development Committee, Ordered by the House of Commons (HC), April 2007. Kolsky, P. (1998). Storm Drainage: An Engineering Guide to the Low-Cost Evaluation of System Performance. IT Publications. MCGB (Municipal Corporation of Greater Bombay) (1995). Brief note for World Bank appraisal mission on the Bombay slums and sanitation facilities provided by MCGB. Parikh, H. (1995). Slum networking: A community-based sanitation and environmental programme: Experiences of Indore, Baroda and Ahmedabad. Sponsored by Human Settlement Management Institute, New Delhi, India and Institute for Housing and Urban Development Studies, Rotterdam. Parikh, P. (2005). An Innovative Approach to Physical Infrastructure as a Means to Overcoming Poverty in Developing Countries. MPhil thesis submitted to Cambridge University, Cambridge. Parikh, P. (2008). Impact of Water and Sanitation Infrastructure on Poverty Alleviation in Low Income Settlements,

PhD thesis submitted to Cambridge University, Cambridge. Sandhu, R. (1998). Infrastructure development in slums: An experience of a medium size city in Punjab. In: Slum Upgradation, Bookwell Publications. Tripathi, D. (1998). Alliance for Change – A Slum Upgrading Experiment in Ahmedabad, Tata McGraw-Hill. United Nations (UN) (2007). The millennium development goals report 2007. New York UN-HABITAT (2003). The challenge of slums: Global report on human settlements, 2003. United Nations Human Settlements Program, Earthscan Publishing Ltd. UNICEF (1999). Urban Initiative – Slum Networking strategy: A community based water and environmental sanitation demonstration project in Ramdevnagar, Baroda. Gandhinagar. UNICEF/WHO (2004). Meeting the MDG Drinking Water and Sanitation Target, A Mid Term Assessment of Progress. UN (date unknown) United Nations Millennium Development Goals Indicator. http://mdgs.un.org/unsd/mdg United Nations Development Programme (UNDP) (2006). Human Development Report (HDR): Beyond scarcity: power, poverty and the global water crisis. New York. World Bank (WB) (2004). World Development Report, Making Services Work for Poor People, New York: Oxford University Press.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

The Dutch Delta: Looking for a new fusion of urbanism and hydraulic engineering Han Meyer Department of Urbanism, Technical University Delft, Netherlands

ABSTRACT: The relationship between hydraulic engineering and urban planning as a central axis of national coherence and identity has eroded strongly during the last two decades. In the world of urban planning, there is no clear consensus concerning the perspectives of urban and regional entities. At the same time, concepts of hydraulic engineering are changing because of new theories concerning “building with nature” and “more space for the rivers”, hitching to an increasing attention of the public to environmental issues and the rise of appreciation of historic landscapes and urban patterns. The provisional result is that the “traditional” approaches of civil engineering and urban planning have become more and more suspect and blameworthy, but this approach has not yet been substituted by an approach which creates a new and better protection against flooding, nor by clear concepts and consensus regarding the un-going process of urbanisation in this densely populated territory which is partly below sea-level. Keywords: European megapolis; hydraulic engineering; land of cities; nation-state; spatial planning; urban design; urban water-landscapes; water-cities

1

INTRODUCTION

A well-known saying is “God created the world, but the Dutch created Holland”. It might be interpreted as a joke, but for a long time the Dutch seriously were considered to be able to create and control the territory of this country as well as the society. Especially in the 20th century, there seemed to be an ongoing success-story of constructing a territory of landscapes and cities, conquered from nature by reclaiming, draining, dredging, damming and embanking, and building a well organised and controlled welfare state. Urban planning and hydraulic engineering were considered as two important pillars of this policy, contributing to the idea of the Netherlands as a coherent nation. This coherence involved as well a societal as a territorial coherence. However, from the end of the 20th century the Netherlands have entered new realities: the reality of neo-liberalism and globalisation, and the reality of climate-change. Both new realities dropped the Netherlands into social and political confusion – both of which greatly affected the disciplines of urbanism and hydraulic engineering. In Holland we find ourselves in a strange paradox of devoting most attention to the theme of water and climate-change, with an enormous amount of proposals concerning the creation of new

water-structures in cities and landscapes, but at the same time experiencing intense confusion about the real meaning of these proposals in the context of safety, risk management, and spatial planning. It is especially the combination of climate-change and societal changes which has undermined the national consensus on the idea of the controlled balance between territory and water. In these circumstances, it is tempting to look back to history, considering the historic Dutch water-cities and hydraulic works as ideal and heroic products of an integrated and collective approach concerning watermanagement and urban planning. Compared to this heroic tradition, it seems that the present situation can be characterised as a crisis and as an absence of a clear, guiding paradigm. But does this point of view reflect reality? Is the tradition of Dutch urban planning related to water-management really so collective and integrated, and is the present-day situation in stark contrast to it? The road of urban water-management in the Dutch Lowlands is paved with countless conflicts: conflicts between water-boards and cities; rural, agricultural communities and urban economies; between civil and military aims; local and regional/national interests; public and private interests; and – recently – between economy and ecology, and technological efficiency and appreciation of cultural history.

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Conflicts and crises concerning urban planning and water-management are not new, but the character of these conflicts is changing because of changing circumstances and conditions. The most important issue to consider is the scale which is relevant to the solutions. Considering this question of scale, we can see a clear distinction of the present day situation with two previous periods: the period of the rise of a land of cities (13th–18th century) and the period of the nationstate (19th–20th century). For the present and future, a prolongation of the approach of the nation-state does not seem fruitful anymore, nor a nostalgic return to the concepts of the period of the Land of Cities.

2 A LAND OF CITIES: THE FUSION BETWEEN URBAN DESIGN AND HYDRAULIC ENGINEERING 2.1

Four urban systems

The process of urbanisation of the Dutch lowlands is linked directly to water-infrastructure and water management. The first urban settlements, during the Roman period, were fortified settlements along the rivers Maas and Rhine, like Maastricht and Nijmegen. The river was important as defence line (the Rhine was the border of the Roman Empire) and as transportation infrastructure; the settlements were situated on natural heights and safe from floods. Also the first Dutch trade cities, linked to the international “Hanze-league” in the 12th until the 15th century, were mainly situated on high grounds along the banks of the rivers.1 The development of drainage and dredgingtechniques created the condition for a change in the emphasis of the urbanisation towards the areas surrounding the two big estuaries of the Dutch Lowlands: the Rhine-Scheldt-estuary and the Zuider Zee. Both estuaries where extremely difficult, but also extremely attractive for urbanisation: difficult because of the swampy condition of the territory and the danger for flooding; attractive because the neighbourhood of rich fishing grounds, the fertility of the soil for agriculture, and the propitious conditions for port development, trade and commerce. Around both estuaries two urban systems developed, as the estuary was considered the most favourable situation, offering an open connection to the sea and relative protection against the direct influence of storms and high tides. Originally, the Rhine-Scheldt estuary seemed to have the best potential for urbanisation. In the 14th century Dordrecht and Antwerp were rich and powerful cities; during the 16th century Antwerp became the most important port city of Europe, surpassing the Mediterranean portcities.2 But the war between the Dutch Provinces and 1 2

Rutte, van Engen, 2005 Braudel

the Spanish (Habsburg) King, with the occupation of Antwerp by the Spanish army late 16th century, created the condition for a downward slip in the economy of Antwerp and an increase of trade and commerce in the independent northern provinces. The settlements at the northern part of the Rhine-Scheldt estuary and on the banks of the Zuider Zee increased very fast in size, economic activity and population, including Middelburg, Vlissingen, Veere, Rotterdam, Goedereede, in and around the Rhine-Scheldt estuary, and Amsterdam, Hoorn, Enkhuizen, Harlingen and other cities around the Zuider Zee. The propitious conditions of the estuaries for urbanisation resulted not only in an explosion of urban expansions of existing towns and cities, but also in a boom of new towns, initiated by land-owners. From the 14th until the 19th century the Dutch lowlands were characterised by these two powerful urban systems in and around the estuaries. A third range of urban settlements could be found near the coast, just behind the dunes: cities like The Hague and Haarlem were considered as attractive residential places because of their dry and safe position. The area between these urban systems (during the 20th century discovered as a “Green Heart”) was mainly suitable for agriculture and shows a modest urbanisation-process of villages and small towns. All together, this process of urbanisation with the four urban systems, resulted in the situation that the Dutch Republic was the most urbanised area in the world during the 17th century, with more than 60% of the population living in cities of more than 10,000 inhabitants.3 2.2 The city as a hydraulic construction The spatial composition of the Dutch water cities was an ingenious combination of hydraulic engineering and urban design, characterised by a strong interweaving of port and urban infrastructure, and by a strong interweaving of natural conditions of the landscape and port-infrastructure.4 The construction of portinfrastructures was possible because of the presence of natural artefacts such as bays, creeks, etc. Most of these cities were located at the mouth of a small creek into the estuary: the creek-mouth was a favourable condition for a harbour. The creek was used as transport infrastructure to the hinterland, and as spout system to clean the harbour. A dam in the creek protected the hinterland, together with a system of dikes, against floods; a lock in the dam made it possible to control the water-level of the creek and to manipulate the creek as spout-system. Many cities with this “dam” system can be recognised because of their names (e.g.Amsterdam, Rotterdam, Schiedam). 3 4

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De Vries & van de Woude Hooimeijer, Meyer, Nienhuis, 2005

Figure 1. Four urban systems, ca. 1600: (1) River-cities; (2) cities around the Rhine-Scheldtt estuary, (3) cities around the Zuider Zee estuary, (4) cities along the dune-coast.

Development, construction and maintenance of the port, water management and urban infrastructure were combined in one policy. The urban port infrastructure was a transformed and manipulated part of the landscape-drainage-system. The systems of harbours and canals in cities like Amsterdam, Rotterdam, Dordrecht, Vlissingen, Hoorn, Harlingen, etc., functioned as port infrastructure, as drainage-system, as well as main structure of the urban fabric. The elements of hydraulic engineering – canals, quays, dikes, dams, sluices – were in the same time the main framework

of the urban fabric. The quays and dikes were the most important urban streets; the dam was the mainsquare and the core of the Dutch water city. City, port and water management infrastructure were interwoven completely. It is this special tradition of constructing cities which resulted into the finest masterpieces of urban design, praised by authors such as Bacon, Burke, Rassmussen.5 5

373

Bacon 1969, Burke 1955, Rasmussen 1949

Figure 2. Amsterdam, 1667. The hydraulic system is also the main-structure of the urban fabric.

During the 17th century, the urban systems of the two estuaries and along the dunes became interlinked to each other by a network of canals, used by towboats.6 The cities themselves initiated the construction of this network – knowing that they were competing with but also dependent from each other. The local public works concerning hydraulic engineering were developed as the most monumental, representative public works of the city. If there is something like “the architecture of the city” in the cities of the Dutch lowlands, then is was linked with and expressed by the elements of the hydraulic system: the construction of the river-quays of cities like Dordrecht and Rotterdam was not only based upon functional and technical considerations regarding ship-handling, but the quay was also supposed to contribute to the urban riverfront as a representative icon of the city. Sea-front cities like Vlissingen, Hoorn, Enkhuizen combined their flood defence systems with military defence systems and with a representative expression. Seen from the river or the sea the view on the city offered impressive panorama’s, recorded by many painters for the benefit of the interiors of the patrician mansions.7 But the most monumental and significant element of the city was the dam, combining the functions of central instrument of regulating water-heights and currents, trans-shipment of cargo and exposure of independence and self-governance of the city. 2.3

Hydraulic systems as source of conflicts

Considered in a regional context, the dams were also the most controversial elements of the watermanagement-systems. The 15th, 16th and 17th centuries show a large range of conflicts between cityadministrations and water boards (responsible for the 6 7

De Vries 1981 Van Lakerveld, 1977; Bakker, Schmitz, 2007

Figure 3. North-Beveland, from archipelago (top) to reclaimed polder with the town Colijnsplaat (bottom).

drainage and flood defence of the polders), concerning the management of the dams: maintaining the tidal difference in the hinterland was important for the city (to be able to spout the harbour and to refresh the urban water-system daily), but was very uncomfortable for the rural community and for the agricultural economy. Sometimes the regional water board succeeded to overrule the city by reclaiming the water in the hinterland and closing the dam. This happened in the case of Edam, resulting into the end of the prosperous port of this city. In other cases, like in the city of Rotterdam in the mid-19th century, the city developed an autonomous water regulation system, independent from the regional water system.8 2.4 The rise of the regional dimension These conflicts clarified that an efficient relation between regional water management and local city politics was necessary. During the 17th century, several new reclamations were executed in the Rhine-Scheldt Estuary and in the Northern part of Holland, showing the first experiments with an integrated approach of regional water-management and city-building. In the Rhine-Scheldt estuary, a plan for the extension of the Noord-Beveland was combined with the founding of the new town Colijnsplaat. The new town was located at the mouth of a creek, the most strategic site regarding 8

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Hooimeijer, Kamphuis 2001

water management. The new town was also important to connect the island of Noord-Beveland to other isles and cities by ferries. In the Northern part of Holland, several sea inlets were reclaimed in the same period. The most interesting is the Beemster, developed by Amsterdam merchants. The layout of the polder is an echo of the principles of the ideal city by Simon Stevin, Holland’s most famous and influential 17th century engineer. The reclamation of Noord-Beveland was still based upon an idea of a large agricultural area with a small town; in the Beemster the new agricultural land is developed as an urban system, with market places at every crossing of the road-system.9 3 THE NATION-STATE: THE FUSION BETWEEN NATIONAL SPATIAL PLANNING AND HYDRAULIC ENGINEERING 3.1 Towards a national hydraulic concept: closing the estuaries From the mid-nineteenth century, new conditions created new possibilities for the approach of questions concerning economic and urban development and water management. With the new technical conditions such as the introduction of steam energy, and later electricity and gas, hydraulic works with an unprecedented scale became possible; with the forming of the nationstate, a coordinated and uniform policy at a national scale became possible. The foundation of the National Agency for Water management (Rijkswaterstaat)10 in 1798 was a forerunner of this development. The rise of new industries in Europe changed the economic position of the Dutch urbanised lowlands essentially. The policy of the Dutch state became dominated by the ambition to change the rather loose collection of more or less independent cities, into a strong and safe system which should be able to fulfil a central role in the transport of bulk and cargo among the new industrial centres of Europe and the world. Strengthening the economic position of the Netherlands and diminishing the risk of flooding of the most important economic areas went hand in hand: a large series of floods in the 19th century – as well in the two estuaries as in the river area – was considered as a dangerous threat of the economic policy of the young nation-state. Constructing efficient shipping routes and constructing flood-defences were the two main-elements of this policy, which resulted into the construction of a nation-wide infrastructure of shipping routes and flood defences, together with railways, telecommunication-networks and roads.11 9

Meyer e.a., 2006; Reh, Steenbergen, Aten, 2005 Bosch, van der Ham, 1998 11 Van der Woud, 2007 10

New efficient shipping routes were important because the entrances of the nation’s largest ports, Amsterdam and Rotterdam, became critical. The shipping routes through the estuaries of Zuider Zee and RhineScheldt delta were not suitable anymore for the sizes of the modern steamships. The construction of two deep canals, which connected the ports of Amsterdam and Rotterdam immediately to the sea, created new perspectives. Especially the position of the port of Rotterdam changed drastically. Because the new canal “Nieuwe Waterweg” (new waterway) functioned also as a new river mouth of the Rhine and Maas rivers, a lock-system between port and sea was not necessary. This new open relationship with the sea and the direct connection with the German hinterland via the rivers provided Rotterdam a position which made this city the largest port of Europe and, in the 20th century, the world. The position of the Amsterdam port also improved, but not as much as Rotterdam: the construction of the new “North Sea Canal” was only possible by introducing large lock systems, and the connection with the great rivers was more cumbersome and needed the construction of an extra canal (the “Amsterdam-Rhine Canal”). At the same time, the quality of the rivers as main shipping arteries was improved by channelling, straightening, dredging, and dike construction. Heightening the dikes and narrowing the channel became a policy which provided deeper water for shipping as well as better protection against flooding of the polders. By constructing the new canals between Amsterdam, Rotterdam and the sea, the estuaries lost their function as entrances to these ports. But they did not loose their danger for flooding. Studies and proposals for closing the estuaries with dams and dikes had been made already in the 17th century, but with the new technology and the new shipping routes of the 19th century realisation of this idea became within reach. However, it still took many debates, years and several serious floods before the closing of the estuaries was completed. 3.2 The new polders: test case for comprehensive spatial planning Besides safety, another argument became important and resulted in the final decision: the argument of the necessity of an independent agricultural economy. During the First World War, the Netherlands suffered serious famine. The nation took a neutral position in the war, but this did not help to solve the lack of food. The push for an independent production of sufficient food for the nation became an official policy and created the necessity of an increase of the amount of fruitful and efficiently parcelled agricultural land.

375

Figure 4. Randstad Holland 2000; with direct connections to the sea and dammed estuaries.

The existing agricultural land was considered as too fragmented, based upon parcelling systems from the 17th century, not suitable for efficient, modern agricultural production. Modernising and rationalising agriculture by re-parcelling al agricultural land in the country became a primary goal of the national government, represented by Sicco Mansholt, minister of agriculture in the 1950s.12 Mansholt exported this idea of modernising agriculture to the European community during his European commissionership for agricultural affaires in the 1960s. With this national ambition concerning agriculture, the Zuider Zee-works offered an enormous chance for modernisation. By damming the Zuider Zee with the Afsluitdijk (Closing dike) and reclaiming a large part of this sea during the 20th century, the agricultural land of the Netherlands would extend with 1650 km2

(4% of the land surface of the country). Zuider Zee was renamed in IJsselmeer (IJssel-lake). The new IJsselmeer polders became the prestigious and exemplary model of modern agriculture, showing a new type of efficiently parcelled agricultural land, provided with a carefully planned and designed system of new towns and villages.13 Combined with a policy regarding selection of the population, the new polders became also a model of spatial planning as the central discipline which integrates agricultural and economic policy, town planning and urban design, hydraulic engineering, and demographic and social strategies. The polders became a testing model for a comprehensive spatial planning approach which would be applied for the nation as a whole some years later.14 13

12

Andela, 2000

14

376

Van der Wal, 1997 Bosma, Andela, 1983

After a disastrous flood in the Southwest of the Netherlands in 1953, the government decided to close the Rhine-Scheldt estuary too. The prestigious project “Delta-work” supplied the closing of all sea gates of the estuary with dikes – except the Westerscheldt River, providing the entrance to the port of Antwerp. Also these Delta-works produced not only in an improvement of the safety, but also in an improvement of agricultural conditions for the south-west of the Netherlands. By moving the primary flood-defence westbound, the fresh-salt water balance moved also to the west, resulting into a higher productivity of the surrounding agricultural land. Moreover, Afsluitdijk and Delta-works provided also new highways on the top of the new dikes and dams, resulting into better connections and an integration of the northeast and the south-west parts of the Netherlands in a comprehensive road-network. It was especially this combination of goals which provided the arguments and political consensus concerning the need of construction of these large scale infrastructures: this combination of improvement of the flood defence, enlarging agricultural land and a comprehensive national road-network provided the arguments for the enormous expenses of public money. The construction of the Afsluitdijk combined with the reclamation of the new polders was calculated originally at 200 million Dutch guilders, which was the amount of the total governmental yearly budget in 1920. The expectations on the long term (no need for dike-heightening along the original Zuider Zee-coastline, high agricultural productivity) were promising a final positive balance. The Delta-works were estimated originally (1956) at 1.5–2 billion Dutch guilders (680–900 million Euro), but the final expenses were more than 10 billion guilders (4.5 billion Euro). All these costs were paid with public money. All together the flood defence policy resulted in a situation that it the western part of the Netherlands (roughly the area of the Randstad) has been calculated to have a chance of flooding once in 10,000 years. Because it is the most important area of the Netherlands in terms of population and economic growth, the consequences of a flood would be disastrous: the damage would amount to 300 billion euro, and 4.5 million people would be in serious danger.15 This results in what has been called the flood-paradox: never before was the chance so low, but at the same time never before was the risk associated with a flood so high.16

15

Hoogheemraadschap Rijnland 2003 Risk of flooding has been defined as: chance of flooding x consequences of flooding. See Rijkswaterstaat 2005 16

3.3 A national urban concept: The Randstad The physical change of the Netherlands, with the damming of both estuaries, the construction of new canals between the main ports and the sea, and the construction of railroad and (later) highway systems, resulted into a dramatic change of the reality of the urban systems of the Netherlands. The importance of the urban systems around and in the estuaries decreased drastically; only the biggest cities Amsterdam and Rotterdam succeeded to maintain and extend their position – thanks to the new canals. The railroad and highway networks created stronger connections with the cities at the dune-coast (The Hague, Haarlem) and at the east (Utrecht). Thus, a new reality was arising, the reality of a system which obtained the name “Randstad”. During the second half of the 20th century, the national government developed a spatial planning policy which included urban growth, demographic development, industrialisation, port and shipping economy, agricultural economy, and water management. The Randstad was considered as the economic engine of the nation, but the growing together of these cities into one large metropolis was considered a danger for social harmony.17 Controlling the size and development of the cities in the Randstad, and creating a balance in demographic and economic development between the Randstad and other parts of the country were important cornerstones of national policy. This balance between centre and periphery, considering the Netherlands as one coherent nation, became possible because of the new infrastructure of dams and dikes, which were provided with roads and contributed to the interlinking of several regions to each other. 3.4 Celebrating the nation Thus the construction of a national hydraulic infrastructure had not only a meaning concerning safety, port and shipping economy, agriculture, but especially contributed to a holistic spatial planning policy and to the creation of an idea of national coherence. The physical character of the delta, as an archipelago of islands, peninsulas, wetlands, cut by many rivers and estuaries, originally created a condition for emphasising the autonomy of the cities and regions and not for a broadly supported national identity. With the transformation of this fragmented territory into one interlinked system, the physical structures of this system became the symbols of a new national identity. This symbolic function of the Afsluitdijk and Deltaworks, as the monuments of the Dutch nation, was emphasised and cultivated with large sculptural buildings, designed by famous Dutch architects as Dudok (monument Afsluitdijk) and Quist (Haringvlietdam). 17

377

Van der Cammen, De Klerk, 1986

Figure 5. Afsluitdijk with monument.

Two publications can be considered as the monuments of the melting of spatial planning and hydraulic engineering at the national scale: the book Dredge, Drain, Reclaim- the Art of a Nation (1950) by Joh. van Veen, Chief Engineer of Rijkswaterstaat and the genius behind the 20th century national hydraulic works, and the government’s Second Memorandum on Spatial Planning (1966). Van Veen’s book shows the optimistic approach of the transformation of the Netherlands from fragmented hotchpotch into one coherent territory, by giant damming and reclamation projects. He claimed also the necessity of reclaiming all the water areas of the Rhine-Scheldt estuary and the Waddenzee, north of the Afsluitdijk. These proposals were not all completed, but the sum of realised projects was more than enough to underline the ideas of Van Veen. The Second Memorandum on Spatial Planning shows the optimistic ambition to combine urban, demographic, economic, industrial, agricultural, traffic and hydraulic plans in one comprehensive plan. The goals of rationalising and modernising the economy, agriculture, transport, and flood defence were combined with goals of rationalising the society and creating ideal urban communities. The Memorandum was the spatial expression of the idea of the Welfare-state. The Memorandum shows the planned situation for the Netherlands in the year 2000, with an expected

population of 20 million inhabitants in a territory of 40,000 km2 . This was considered as the definitive shape and content of the nation. The last ambitious plan, continuing the ideas of van Veen and the 2nd Memorandum on Spatial Planning, was the plan “Rotterdam 2000+”, presented in 1969. The plan shows an enormous extension of the port of Rotterdam, which was already the largest port of the world, covering 100 km2 , as well as a large new town, both in the area of the Delta-works. The rejection of this plan heralded a new era, which would show a total run-down of the consensus of the previous decades. 3.5

Disappearance of water from the cityscape

The rise of monumental hydraulic works at the national scale was accompanied by the disappearance of hydraulic constructions and water-systems in the cities. Or, better, they did not disappear but became invisible. Water and water management was not anymore a central matter in the cities, at least it was not treated that way by hydraulic engineers nor by urbanists. From the end of 19th century it was not necessary anymore to interweave the water systems in the urban network because of the vanishing function of water as traffic and transport system. The introduction of steam, electricity and oil meant also that the role of water-networks was overtaken by railroad and

378

Figure 6. 2nd Memorandum on Spatial Planning, 1966.

road networks. Drainage could be arranged with underground networks of pipes. In Dutch wateroriented cities a big part of the urban water-networks has been filled up from the end of the 19th century. Flood defences were not regarded anymore as a matter of concern of individual cities. The regional water boards but especially the national agency Rijkswaterstaat had taken over the main responsibility for this infrastructure. A possible contribution of the new dikes to an urban civic space was not a matter of concern anymore. Two examples, the reconstruction of the city centre of Rotterdam after the 2nd World-war, and the building of the new town Lelystad in the IJsselmeerpolders, show the attempts of local urbanists to integrate the new dikes in the urban pattern of the city. However the increased autonomy of the Rijkswaterstaat-agency frustrated these goals by maintaining its own standards of dike-construction.18 18

Meyer 1999, Hemel 1994

4 AFTER THE WELFARE-STATE: CONFUSION AND RECONSIDERATIONS 4.1 Bursts in the trust in modernity While in the previous decades, agricultural independency, efficient production-land, industrialisation, efficient road-systems, modern town-planning and hydraulic engineering were interwoven, all these elements became subject of doubt, resistance and reconsideration. The last three decades of the 20th century show a transition to another reality, a farewell to industrialisation, agricultural independency, rationalisation of town-planning and the approach of hydraulic engineering, and a farewell to the welfare-state. Several new trends undermined the existing consensus and paradigms of urban planning and hydraulic engineering as a nucleus of societal and spatial coherence. These trends are based upon (1) economic motives, (2) ecological motives and cultural motives,

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(3) political and financial motives, and (4) spatial development motives. Finally, the climate-change is a fifth motive, which seems to function more as an excuse than as a real reason for drastic changes in the policies concerning spatial planning and hydraulic engineering. 4.2

Economic motives

While the 20th century often has been described as the century of industrialisation and agricultural rationalisation, the emphasis of governmental policy on these items did not take longer than two decades: from 1950 to 1970. The restriction of the plan “Rotterdam 2000+” showed the end of the optimistic belief in endless increase of industrial production. The 1970s signalled the start of the end of the industrial era with the closure of many shipyards, textile industries, followed by the closure of the national car and aircraft industries. Also the policy of agricultural autonomy disappeared from the national political agenda during the 1970s. It was the Dutch state itself which was one of the main initiators of a new European agricultural policy, which aimed to create a more efficient agricultural production at the European scale and to stop the protective policies of the individual states. The powerful and solid coalition of industrial economy, agriculture, hydraulic engineering and spatial planning of the previous decades melted into the air. Since the 1970s, economic governmental policy has been meandering between emphasis on services, transport and distribution, and finally on knowledge and creativity. This political meandering did not produce a new clear idea and national consensus about a new relationship between economy, spatial planning and hydraulic engineering.

Figure 7. East Scheldt Dam.

From the 1980’s, an increasing concern with the ecological and cultural consequences of the modern approach in hydraulic engineering (canalising the rivers, sharpening the edge between sea and land, etc) resulted in new experiments regarding the defence against sea-floods and the treatment of the river area. Also cultural motives played a role in an increasing resistance against modernising flood defence systems. Ecological and cultural motives often were interwoven and supported each other. In 1970, the National Agency for Watermanagement (Rijkswaterstaat) employed the first ecological experts.19 They were commissioned to look after the ecological quality of the Rhine-Scheldt estuary after the construction of the Delta-works. Their

first observations were alarming. They found a dramatic change of the water-quality in the estuary. The essence of the estuary is its character as a transition zone between fresh (river) water and salt (sea) water. The daily tidal change produced wetland zones alongside the borders of the islands, which is a condition for a complex ecological system. Also the RhineScheldt estuary functioned as an incubator of many fishes, shellfish and seaweed, etc., and was one of the important incubators of North-sea and Atlantic Ocean. The transformation of these bays into dead fresh water lakes had disastrous effects on this ecological complexity. Repair of the estuary is considered as important not only for the delta itself, but also for the survival of many fishes and plants in the seas.20 As a result of this new awareness, a new type of construction of the final element of the Delta-works was invented, to protect the East Scheldt against flooding. The East Scheldt was also a main incubator for shellfish and lobsters and an important condition for local fishing industries. Damming the East Scheldt in the traditional way would kill all flora and fauna as well as the linked industries. The new flood barrier in the East Scheldt, opened in 1984, showed a new type of flexible barrier between sea and estuary, with the aim to maintain the special ecological balance of this part of the estuary. Besides a revolutionary innovative concept, the East Scheldt dam was also an extremely expensive construction. The final costs of the dam, 3.6 billion euro, were a multiple of the originally calculated budget and amounted to 80% of the total costs of the Delta-works.

19

20

4.3

Ecological and cultural motives

Saeijs, 2006

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Saeijs, 2006

But the most drastic example of the new domination of ecological and environmental motives was the cancelling of the final large project of the IJsselmeerreclamations, the Markerwaard. Although the construction of the surrounding dike of the Markerwaard was completed in 1975, the draining of the Markerwaard was blocked by strong resistance of environmental action groups, emphasising the ecological value of this part of the IJsselmeer. Moreover, the agricultural argument for making these polders was disappeared because meanwhile the Dutch government had abandoned the idea of national agricultural independence and had become one of the engines of the new European policy concerning agriculture. Later, new proposals have been made for residential areas or an airport in the Markerwaard, but they all were cancelled too. The Markerwaard story is the clearest example of the turn in the approach concerning spatial planning and hydraulic engineering: the process of extending the territory with hydraulic works stopped abruptly, and changed into a process of returning to a situation of more water and less land. Also the river-area was subject of debates. Plans of Rijkswaterstaat to heighten the river-dikes in the 1980’s met serious resistance because of an increasing concern of the public with the cultural and historic values of the river-landscape. These pleas for maintaining the cultural-historic character of the landscape were mixed with pleas to maintain and repair the former environmental quality of the rivers. In 1986 a design-competition concerning a new lay-out for the river-area near the city of Arnhem resulted in the first price winning and implemented design ‘Blauwe Kamer’ (‘Blue Room’), which shows a repair of retention-areas and wetlands, resulting into a come-back of the ecological balance of the river area before the canalising. It was the pilot for a series of ‘de-polder’-projects in the river- and delta-area in the next decades, with the aim to create new wetlands which provide more space for river-water as well as a repair of environmental qualities. 4.4 Spatial development motives During the last two decades the policy concerning spatial planning has changed substantially, because of several reasons. First, the main streams in politics tend to a general farewell to the welfare state, like in many other western countries. The embracement of neoliberal concepts resulted into an abolishment of the central position of the national government in spatial policy. Prepared during the nineties, and formalised during the first years of the 21st century with the “Nota Ruimte” (Memorandum on Space), the national government has moved many responsibilities to the municipal and provincial authorities, and stimulates the role of the market in spatial development.

Second, a general awareness of importance of the scale of the region has increased. To be able to develop a coherent policy concerning economic development, demographic development, culture, infrastructure, and urban planning, it has become clear that the scale of the region is more appropriate than just the local or the national scale. However, the big problem is that there is not a self evident authority and “owner” of the regional scale. While the national government has thrown her responsibilities in spatial planning over the fence, there are no clear institutions to pick up these responsibilities.21 The most essential exponent of the disappearance of a consensus regarding spatial planning is the eroding of the Randstad concept. An illustration of this erosion is 2006 the report “Vele steden maken geen Randstad” (Many cities do not a Randstad make), published by the Netherlands Institute of Spatial Research in 2006.22 The statement of this report is that the Dutch Randstad does not function as a single cohesive whole, and hence neither does it function as a “network city”. According to this report, the individual cities are more involved in a new competition with each other (in which Amsterdam is more and more a winner) rather than becoming a coherent metropolis. Meanwhile, the lack of a clear national or regional governance has meant that municipalities have started to develop their own policies concerning spatial development, resulting into an incoherent sprawl of suburban and industrial settlement. The big cities started to define their own interpretation concerning the question which regional context is relevant and which position the city should develop in this regional context. In this context, the rediscovery of the potential meaning of urban water-landscapes is discovered as an important issue. The new attention to urban waterscapes originally was based upon cultural motives, starting with the recovery of obsolete docklands in the port-cities in the 1980s. In the period when city administrations started to reject modernist urban design schemes, regarded as anonymous and boring, docklands and urban river landscapes were discovered as potential carriers of improvement of the image and identity of the city.23 Also cities where the structures of canals and harbourbasins were disappeared because of filling up in the 1950s and 1960s, decided to repair these canals and harbours in the 1980s and 1990s.24 This revival of a marriage between water and urban design is surprising, considered in the framework 21

Meyer 2007 Jan Ritsema van Eck, Frank van Oort, Otto Raspe, Femke Daalhuizen, Judith van Brussel, Vele steden maken geen Randstad, Rotterdam/Den Haag: NAi Uitgevers/RPB 2006 23 Meyer 1999 24 Hooimeijer 2003 22

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of increasing national confusion about the future of hydraulic engineering and spatial planning. Regarding the ambition of the big cities to play a central role in the development of regional entities, water-systems and water-landscapes are discovered as important potential carriers of regional spatial structures. Especially the city of Amsterdam seems to succeed with a strategy based upon the spatial development of a regional water-structure along the IJ and IJ-lake.25 4.5

Political and financial motives

The new emphasis on ecological and cultural motives resulted not only in different approaches concerning hydraulic engineering, but also in extreme expensive interventions – without a clear benefit at the other side of the financial balance. The extreme high costs of the East Scheldt dam and the debacle of the Markerwaard – just a surrounding dike without any purpose – gave cause for serious reconsiderations regarding public expenses for flood defence operations. These reconsiderations especially played a role in the general reconsiderations regarding the role of public authorities and the role of the state in relation to the private market. The Netherlands did not escape the general wave of neoliberal ideology which overran the western world from the 1980s, with a plea for decrease of public investments and concerns and a bigger role for the private market. From the 1990s, many parts of Dutch public services were privatised, such as the railroads, telecommunication, post, social housing, and the port of Rotterdam. In this context it was not obvious anymore if the policy concerning flood defence should be continued in the same way as before. This paradox seemed to paralyse the debate on the future of flood defence and water management, until 1993. 5 THE NORTHWEST-EUROPEAN LOWLANDS-MEGAPOLIS AND THE CHALLENGE FOR NEW URBAN WATERLANDSCAPES 5.1

Climate-change: The paradox of absolute and relative investments in flood defence

In 1993 and 1995 the Netherlands were confronted with two serious floods in the river area, and with the danger of breaking dikes which would cause even more serious problems. It was the start of a series of new initiatives of the government and national agencies as Rijkswaterstaat. Climate change was regarded as a serious condition which made it necessary to reconsider flood defence policies. 25

Meyer 2007

In this process of reconsideration, we see a remarkable rise in a new type of coalitions. A new emphasis on “building with nature”, “more space for the rivers”, and “living with water” seems to combine environmental motives with new approaches to flood-defence. However, on the background the financial motives play an important role. The new strategies of more space for rivers and resilient coastlines do not mean that flood defence systems should not be strengthened. The strengthening of flood defence systems have become more complex, because of the increased interweaving with urban structures. In 2006, a committee of experts calculated that the maintenance of the flooding-chance of 1:10.000 years would cost an investment of 900 million euros a year until the year 2025, which is about 0.5% of the annual governmental budget and 0,14% of the Gross National Product.26 After 2025, even taking into account a rise of the sea-level of 150 cm in this century (the most pessimistic scenario), the yearly investment would amount less than 0.1% of the GNP. So here is another paradox: never before was flood defence maintenance so expensive in absolute terms, but also never before was it so cheap in relative terms, because of the increased wealth of the country. However, the national government is not convinced that this operation should be paid with public money. The power of the 20th century approach of national hydraulic engineering and spatial planning, was the combined perspective of extending agricultural productivity, new possibilities for shipping, ports and industry, and the creation of a new social, national harmony. This combination of different goals created the legitimating of the high public expenses in the Zuider Zee-works and Delta-works. This type of combination of different interests and policies is lacking now, and results into a hesitating policy. Instead of creating conditions for a safe territory, by following the advises of the committee of experts concerning flood defence improvements, the national government is obsessed by the theme “innovation”, which should be promoted to stimulate the knowledge industry in the country. Also water management and flood protection has been considered as interesting issues when it is innovative. A special “innovation platform” has been installed by the government and is chaired by the Prime Minister. This platform firmly supports “innovative” ideas like the creation of a “tulip island” in the North-Sea – a variation of the “Palm-tree-islands” of Dubai.27 The Tulip would show to the world a revival of Dutch hydraulic engineering. However, the proposal has been rejected by hydraulic experts as meaningless for the purpose of 26

Adviescommissie Financiering Primaire Waterkeringen, 2006 27 Weblog ‘Nederland innovatief ’ 2007

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improving the coastal defence.28 The irony is that the proposal shows that the political arena has more attention for spasmodic and nostalgic attempts to return to the glory of the autonomous nation-state, than for serious investments for sustainable protection against flooding in the future. Until now, the most serious proposal from the national government is the building of a “sand engine” – a large sand concentration dumped on a strategic location in front of the coast, which will be spread along the coast by natural streams and result in an extension of sandbanks along the coast.29 It seems to be a relatively cheap and simple intervention with a relatively strong impact. However, while the sand engine has been regarded as an interesting contribution to the coastal defence, it will not be sufficient. 5.2

Balancing international, national, regional and local scales

Instead of focusing on the strength and history of the nation, it would make more sense to take the processes of internationalisation serious. These processes create new possibilities for an approach to rising sea levels. The increasing unification of Europe and collaboration among states should enable an approach which pays attention to coherent strategies concerning coastlines and rivers. Concerning the problems of the pollution of the European rivers Rhine and Meuse, such an approach already has been developed and has led to positive results. Also for the floodingproblems of the European rivers and the coastlines such an approach would be necessary. Concerning the coastlines, an interesting example is the sandy coastline which stretches from North France, via Belgium to the West Netherlands. This coastline is a morphological unity and is essential for what has been considered as the North-west European Megapolis, which includes Randstad Holland, the Belgium “Diamond”, the Lille-Roubaix-conurbation and the German Ruhr-area.30 This Megapolis accommodates a population of more than 20 million inhabitants, an enormous amount of economic capital, the two largest ports of Europe, the capital of Europe, etc. The coastline of this part of Europe is not only important as defence system against flooding, but also as recreation and tourism areas, as entrance to the ports and as an environmental system which influences large parts of the North Sea and the Atlantic Ocean. Seen from a European perspective, it would make sense to develop a comprehensive approach concerning this coastline, combining the different aspects of flood defence, recreation, environmental qualities and port economy.

The international approach to the coastline as a whole can easily be combined with and take profit from local and regional initiatives. While especially the larger cities are taking initiatives to create conditions for more regional coherence, infrastructures of water, roads and flood defence are considered as important means for new regional coherence. 5.3 Two examples: Combining different interests, meanings and scales An interesting example is the plan for improvement of the flood defence of Scheveningen, the beach resort of The Hague. The existing dike is an intensively urbanised seafront, providing space for a promenade, bars, hotels, residential buildings. It is the most urbanised and complex part of the coastline in the Netherlands, but one of the weakest spots in the national coastline. The Province of South Holland and the City of The Hague took the initiative for a plan for heightening the flood defence, which means a complex operation in this urbanised context. For the city this initiative can also contribute to the ambition of the city to present itself as ‘World City at the Sea’.31 The Spanish architect and urbanist Manuel de Sola-Morales designed the new seafront as an elegant meandering urban element, reminding to the previous line of the coast, which created with this meandering the condition for the settlement of the fisherman’s village Scheveningen in the 17th century.32 The design introduces a new type of urban monumentality, which combines different meanings: the design organises the enthusiastic support of the City of The Hague, which recognises its ambition of “world city at the sea”; the local community of Scheveningen recognises a repair of its raison d’ètre; the Province of South Holland can be satisfied because of the substantial improvement of the safety against flooding; and the national as well international communities can regard this intervention as an interesting example of a local contribution to a large scale problem. A second example is the Rhine-Scheldt estuary, which is the Dutch-Belgian area between the cities of Rotterdam and Antwerp. Rotterdam and Antwerp are the two largest ports of Europe, and are looking for the possibility to start extending with satellite ports in the delta area, as their own port area’s are not able to accommodate the still increasing port economy. The government of the Netherlands started a policy to repair the salt-fresh water balance of the estuary. Also the sea defence should be improved because of the rise of the sea level. One of the proposals, presented in different variations by different groups, is a new series of islands in front of the existing coastline,

28

Terbruggen 2008 Terbruggen 2008 30 Hall, Pain, 2006 29

31 32

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City of The Hague, 2006 Hooimeijer, Meijer, Nienhuis, 2005

Figure 8. Design coastal defense The Hague, M. de Sola-Morales (model 2005).

which also can contribute to the repair of the estuary. Finally, urbanisation and especially tourism and holiday resorts are increasing in the area. The challenge is to combine these four developments (port-extension, repairing the ecological balance of the estuary, improving sea defence and urbanisation/recreation). The port authority of Rotterdam has started with studies to introduce more natural landscape in the port area itself. At the same time, the port authorities of Rotterdam and Antwerp are taking responsibility in financing improvements of landscape and nature, compensating the construction of a new deep sea port area (Rotterdam) or a deeper fairway in the Scheldt (Antwerp). One of the most challenging possibilities would be the creation of a new island in the mouth of the West Scheldt, which can combine different functions: part of a new flood defence for the estuary, enhancing the differentiation of environments in the estuary itself, and providing a new port-terminal for Antwerp that links to deep sea water.

5.4 Wanted: Multi-disciplinary and multi-institutional approaches

Figure 9. Rhine-Scheldt estuary, with new port-island in the West Scheldt.

These new circumstances concerning water management, port development and urban development can be regarded as the start of a new paradigm concerning urbanised coastlines and delta landscapes, with a new

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coherence between landscape, urbanisation and port development, and between landscape design, urban design and hydraulic engineering. The design of the new urban waterfronts, the re-conversion of obsolete docklands, the lay-out of new port terminals, the maintenance or repair of vulnerable estuaries and the defence against floods have in their combination the challenge to develop and design new sustainable urban water landscapes. This approach in planning and designing urbanised delta and coastal areas creates the necessity of reconsidering the existing assignment of duties of planning institutions and authorities. Existing separations of port authorities, city planning departments, water boards and landscape organisations should be changed into collaboration or even a melting together. And also the existing separations of urbanism, hydraulic engineering, landscape architecture and environmental design should be changed into a close collaboration and interweaving of these disciplines. This can be considered as an important challenge for the schools and universities. REFERENCES Adviescommissie Financiering Primaire Waterkeringen (2006). Tussensprint naar 2015. Advies over de financiering van de primaire waterkeringen voor de bescherming van Nederland tegen overstroming, Den Haag. Gerrie Andela (2000). Kneedbaar landschap, kneedbaar volk. De heroïsche jaren van de ruilverkavelingen in Nederland, Bussum. Koos Bosma, Gerrie Andela (1983). Het Landschap van de IJsselmeerpolders. In: Koos Bosma (ed), Het Nieuwe Bouwen, Amsterdam. Gerald L. Burke (1995). The Making of Dutch Towns. A Study of Urban Development from the Tenth to the Seventeenth Centuries, London. Hans van der Cammen, Len de Klerk, (1986). Ruimtelijke Ordening. Van plannen komen plannen, Utrecht. City of The Hague (2006). Structuurvisie Den Haag Wéreldstad aan Zee, The Hague. Peter Hall, Kathy Pain (2006). The Polycnetric Metropolis; Learning form Mega-City Regions in Europe, London. Zef Hemel (1994). Het Landschap van de IJsselmeerpolders. Planning, Inrichting en Vormgeving, Rotterdam.

Hoogheemraadschap Rijnland (2003). Waterkeringsbeheersplan 2003–2007, Leiden. Fransje Hooimeijer, Marriët Kamphuis (2001). The Waterproject. A Nineteenth-century walk through Rotterdam, Rotterdam. Fransje Hooimeijer (2003). Water terug in de stad, in Stedebouw & ruimtelijke ordening, 84(04), Den Haag. Fransje Hooimeijer, Han Meyer,Arjan Nienhuis (2005).Atlas of Dutch Water-Cities, Amsterdam. Carry van Lakerveld (ed) (1977). The Dutch Cityscape in the 17th Century and its Sources, Amsterdam/Ontario. Han Meyer (1999). City and Port. Transformation of PortCities – London, Barcelona, New York, Rotterdam, Utrecht. Han Meyer, Hans Venema, Leo van den Burg, Natascha Kromer, Wout Smits (2006). Ruimtelijke Transformaties in Kleine Nederzettingen West Nederland, research report, TU-Delft. Steen Eiler Rasmussen (1949). Towns and Buildings – described in drawings and words, Boston (Mass). Regeringsnota aan de Tweede Kamer (1966). Tweede Nota Ruimtelijke Ordening, Den Haag. Wouter Reh, Clemens Steenbergen, Diederik Aten (2007). Sea of Land. The polder as an experimental atlas of Dutch landscape architecture, Amsterdam. Reinout Rutte (2002). Stedenpolitiek en stadsplanning in de Lage Landen (12de–13de eeuw), Zutphen. Reinout Rutte, Hildo van Engen (eds) (2005). Stadswording in de Nederlanden – op zoek naar overzicht, Hilversum. Rijkswaterstaat (2005). Veiligheid Nederland in kaart. Hoofdrapport onderzoek overstromingsrisico’s, Den Haag. Henk L.F. Saeijs (2006). Weg van water. Essays over water en waterbeheer, Delft. S. Terbruggen (2008). Wilde Waterplannen – Zandmotor en energie-eiland vormen de meest kansrijke projecten, in De Ingenieur nr.3. Joh. van Veen (1950). Dredge, Drain, Reclaim. The Art of a Nation, The Hague. Jan de Vries (1981). Barges and capitalism: Passenger transportation in the Dutch economy, 1632–1839, Utrecht. Jan de Vries, Ad van der Woude (1997). The First Modern Economy. Success, failure and perseverance of the Dutch economy 1500–1815, Cambridge (UK). Coen van der Wal (1998). In Praise of Common Sense – Planning the ordinary. A physical planning history of the new towns in the IJsselmeerpolders, Rotterdam. WL/Delft Hydraulics (2005). Island in the sea – part of a resilient coast, Delft.

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Risks and integrated management of the urban water cycle in megacities of the developing world: Mexico City Blanca Jiménez Treatment and Reuse Group, Universidad Nacional Autónoma de México

ABSTRACT: This paper describes the urban water cycle in Mexico City as an example of the challenges to managing water in a megalopolis in the developing world. As happens in several cities, water quality in Mexico City is affected not only by its use but also from pollutants coming from non-point sources such as air and soil. Cities, as shown in the example, can have an important impact on water resources located far beyond their geographical area. To avoid negative effects produced by the urban use of water in megalopolises, several types of measures that go beyond the simplistic approach of using wastewater treatment plants to control pollution are proposed. Some of them include new concepts which also consider that treated effluents may become indirect sources of water. Therefore it is important to perform truly integrated management of water, including air and soil management in cities. The Mexico City study case illustrates water management requirements for a city of 21 million inhabitants that is not only overexploiting the local aquifer, but also relying on different basins to meet its water requirements. Because the amount of water used is very large, the amount of wastewater produced is also large, and its disposal – without any treatment – is resulting in non-intentional reuse for human consumption. In the long term, in order to address its own needs as well as prevent negative impacts in other places, Mexico City will need to perform integrated management of its water. Keywords:

1

Mega-cities; Mexico City; urban water reuse; water supply; wastewater

INTRODUCTION

In order to function, cities need water of acceptable quality. However, by functioning they affect water availability in terms of both quantity and quality. This is because cities concentrate and synergistically combine different human impacts affecting water that are frequently overlooked. To control such impacts the causes need first to be identified, and this can be done by applying the hydrological urban water cycle concept (Figure 1). This paper describes the urban water cycle in Mexico City, one of the 30 largest cities in the world. Using available data, the urban interactions with water and between it and air and soil are described. The paper also presents as options to better manage water in Mexico City that are applicable to the world’s other mega cities. 2

BACKGROUND

The urban waste water cycle has been explored in the literature in terms of the effects on water quantity and quality, the latter almost always limited to point sources of pollution (Marsalek et al., 2006 and Maksimovic and Tejada-Guibert, 2001). Nowadays,

the effects produced by non-point sources are becoming more evident as their pollution content is increased. The reuse of water (intentional or not) is becoming more important as emerging pollutants are considered as new sources of concern. Table 1 lists some non-point sources of pollution in cities. Emerging pollutants include a large variety of compounds that come from urban run-off, polluted soil, atmospheric deposition, sanitary landfills, dumping site leachates, industrial spills, disinfection by-products, and treated or non-treated wastewater. Emerging pollutants have been detected in surface water, often at locations near wastewater treatment plants and in groundwater recharged with untreated or treated wastewater. 3

MEXICO CITY

Mexico City is the capital of Mexico, a country with around 103 million inhabitants. Since Aztec times, Mexico City has been the most important city in the country. It comprises, at the present time, nearly 21 million people and is responsible for 21% of the national GDP (Gross Domestic Product) due to its commercial, industrial and political activity. This intense activity combined with a

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Figure 1. Hydrological urban cycle (adapted from Marsaleck et al., 2006).

huge population living within a closed basin high above sea level has created a peculiar and complex water problem (supply and disposal). The City lies in the Mexico Valley which is an endorreic basin of 9,600 km2 located 2,240 meters above sea level between 98◦ 31 58 and 99◦ 30 52 west longitude and 19◦ 01 18 and 20◦ 09 12 north latitude. The mean annual temperature is 15◦ C while pluvial precipitation is around 700 mm, varying from 600 mm in the north to 1,500 mm in the south. Pluvial precipitation is from May to October and is characterised by intense showers lasting short periods. For instance, one single storm may produce 10–15% of the mean annual pluvial precipitation. In the MexicoValley there are few perennial rivers most of which carry water only during the rainy season. Initially Mexico City was located only in the Federal District, but now it includes 37 adjoining municipalities from the State of Mexico. Currently, there are more people living in the State of Mexico (around 60% of the population) than in the Federal District. Water is managed in the Federal District by a Water System that is partly public and partly privately operated, while the 37 municipalities of the State of Mexico manage water through public systems, independently of each other. This represents a complex problem for integrated water management.

4 WATER SUPPLY AND USE During the Aztec period, excess water was the problem rather than the lack of it. Tenochtitlan City (the ancient name of Mexico City) was designed to manage floods by controlling the water level in lakes and canals (used

also as a means of communication) through a complex set of sluices. In 1942, when the City was made up of 2 million people, water had to be imported from the Lerma River, located in a basin 100 km from and 300 m above Mexico City level, and in 1951 from the subsoil of this same basin. In 1975 the population reached 7 million, and surface water had to be imported from the Cutzamala region, 130 km away and 1,100 m below Mexico City’s level. At the present time, Mexico City, uses 85.7 m3 /s of water (Figure 2), 48% of which is supplied through the network system, 19% directly pumped from local aquifer by farmers and industries and the rest, 9%, corresponding to treated wastewater that is being reused. First use water (78 m3 /s) comes from (Jimenez, in press-a): 1,965 wells that are pumping 57 m3 /s from the local aquifer • local rivers located in the southern part (1 m3 /s) • the Lerma region (5 m3 /s) • the Cutzamala region (15 m3 /s) •

Supplied water is for municipal use (74%), fresh water irrigation (16%), self-supplied industries (2%) and for non drinking water reuse (1%). Agriculture takes place in 40,000 ha of the Valley. Reuse is performed to refill recreational lakes, parks and green area irrigation, car washing, environmental restoration, fountains and for industrial uses. Water service is provided through the network to 89% of the population, and so there are 2.3 million people receiving water through water tanks at a high price and with a lower quality. Due to leaks, 40% of the water distributed to the population (62 m3 /s) is lost; therefore the actual per capita supply is 153 L/d instead of 255 L/d.

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Table 1.

Non point sources of pollution of urban water and their effects, with information from Jiménez (in press-b).

Source/origin/affectation and observed effects Water leaks from pipelines Pipelines are used in cities to convey water, wastewater and also chemicals such as oil. Due to aging, bad construction, soil subsidence or even earthquakes, wear and tear occurs producing leaks that potentially can reach the underlying aquifer. In cities in developed countries, water network leaks are within the range 5–15% of total supply while in those of developing countries they can reach of up 60%. Infiltration from sewers can be as high as 500 mm/yr in highly populated urban areas. Recharge of aquifers with sewage leaks have been reported in Minnesota and Long Island in the United States, Mexico City (around 1 m3 /s), Merida and Tijuana in Mexico, Santa Cruz, Bolivia, Bermuda, Narbonne in France, Birmingham and Nottingham in the UK and Madras in India. In most of these places, groundwater is also used as water source. Septic Tanks and latrines These are used in cities when sewers are not available or where soil is hard or has no slope. They may cause groundwater or surface water pollution because they frequently leak and/or discharge partially treated wastewater. Infiltration from septic tanks has been reported in the southern part of Mexico City, in Sana’a, Yemen (representing 80% of the urban recharge,) and in Amman, Jordan (where 250 L/s of the recharge comes from latrines). In Jakarta, the effluent of more than 900,000 septic tanks is discharged directly to surface water channels. Storage or treatment ponds and tanks Ponds are used to treat wastewater, to evaporate or store industrial liquid wastes or to store stormwater. Even if some are waterproofed, infiltration to subsoil occurs to a variable degree depending on the ponds’ construction and maintenance. Infiltration rate from storage tanks of 10–20 mm/d have been reported. Subsurface tanks are used to store gasoline and oil and frequently when they are >20 years old they leak. Fuel station tanks are often responsible for groundwater contamination; in the United States they account for at least one in 30 leaks. Dumping sites, Municipal landfills and Hazardous waste confinement sites They are a potential source of pollution to water bodies, particularly to aquifers. Most of the pollution comes from dumping sites and old landfills built before the 1970’s without considering design criteria to control leachates. Emerging pollutants have been reported in landfill leachates. Industries Industrial activities can seriously pollute water bodies as result of handling liquid and solid products and wastes. Industries using >100 kg of toxic substances per day (hydrocarbons, organic synthetic solvents, heavy metals, etc.) represent the higher risk. Factories and small commercial sites Mechanical and dry cleaning services, for instance, use toxic substances such as chlorinated solvents, aromatic hydrocarbons and pesticides that are frequently discharged to the sewer system. Irrigation of amenity areas Urban green areas are frequently over-irrigated. Although they represent a small portion of cities, the volume of used water is often large. Water applied in excess, as well as fertilisers and pesticides, is recovered either in aquifers, surface water courses or sewers. Irrigation is sometimes performed with reused water. Transport and transference of material Different material is always being moved around cities as well as being transferred from one deposit to another. Spills and leaks from these operations can introduce pollutants to the environment with highly localised effects. These materials may either remain fixed to the soil or be transported to water bodies. Transportation of polluted water in channels or rivers Rivers or channels transporting wastewater are a source of pollutants to water bodies Non-treated municipal wastewater disposal In several cities in the developing world, wastewater is not treated but simply disposed of into rivers, lakes, the ocean or soil. It is estimated that at least 20 million hectares in 50 countries (around 10 percent of irrigated land) are irrigated with raw or partially treated wastewater. Treated wastewater disposal There is increasing evidence that treated wastewater disposal still has an impact in the environment. It is the origin of emerging pollutants in several water sources around the world. Atmospheric deposition Air pollutants may end up in water courses either by direct deposition or indirectly after settling in soil and being transferred to water. Some examples include nitrogen compounds, acids, sulfur compounds, mercury, pesticides, hydrocarbons and other toxins.

389

•

The metro (metropolitan train) rails need to be levelled each year, and in some parts accumulated changes are compromising its operation.

The transference of water from other basins also creates negative effects. The Lerma region used to be a lake, but due to water extraction fish disappeared and people had to live off the land. Furthermore, locals have gone from using surface water as supply to using water from deep wells. The Chapala Lake that was fed partly by the Lerma system has experienced a level reduction of 5 m. The transfer of water from the Cutzamala region reduced the amount of water available for power generation and caused the loss of a large area of irrigated agricultural land. Figure 2. Water sources of Mexico City.

6 ATMOSPHERIC DEPOSITION

5

In 1998 Capella and Pegueros reported the regular presence of gasoline and oil-derived compounds in Mexico City’s wastewater. In part of these come from emissions from automobiles (82,000 tons/yr), solvents used as cleaning products (77,000 tons/yr) and the evaporation and leaks of unburned hydrocarbons (27,000 tons/yr). It is estimated that in Mexico City there are 3 million vehicles that each year discharge to the urban air 19,889 tons of 1 indicates that the event is more likely in group a and 3) OR < 1 indicates that the event is less likely in group a. By combining equations 1 and 4, Bewick et al. (2005) have shown that the logistic regression coefficients of each grouping variable (β) can be used to estimate the odds ratio:

The aim of logistic regression is to correctly predict the category of outcome for individual cases using the most parsimonious model. To achieve this, a model is created that includes all predictor variables that largely explain the outcome variable. During the model build up, there are several options available with respect to the inclusion or exclusion of predictor variables. In this study, the backward stepwise regression method is used, whereby the analysis begins with a full or saturated model; variables that are not explaining the data or are redundant are eliminated from the model in an iterative manner. To ensure that the model adequately fits the data, the fit of the model is tested after elimination of each variable. The process is terminated or completed once no more variables can be eliminated. The importance of each of the explanatory variables is assessed by carrying out statistical tests of the significance of the coefficients. The following statistical tests are used toward this end: The Wald statistic. This is used to test the significance of an individual coefficient in the model, i.e. it tests whether an independent variable has a statistically significant relationship with an outcome or dependent variable. It is calculated as follows:

where βi is the coefficient of predictor variable i and S.E.i is the associated standard error of the coefficient. Each Wald statistic is compared with a χ2 distribution with 1 degree of freedom. The likelihood ratio test. This test compares the likelihood of obtaining the data when the coefficient is

496

Table 1.

Dependent and predictor variables considered in the analysis. Data distribution

Variable

Measure

Category/Code

Sewer condition

Nominal

Construction year

Ordinal

Condition classes: 1, 2, 3 Condition classes: 4, 5 Pre-1940 Post-1940

1 0 0 1

1,187 161 718 630

88 12 53 47

Sewer age Material

Scale Nominal categorical

Function

Nominal categorical

Type Shape

Nominal categorical Nominal categorical

Concrete Non-concrete (bricks, ceramci, PVC) Combined Separated (storm, foul) Gravity Circular Non-circular (egg-shape, rectangular)

0 1 0 1 0 0 1

1,070 270 1,274 74 1,348 688 660

80 20 95 5 100 51 49

Size Depth Length Slope Location

Scale Scale Scale Scale Nominal categorical

zero (L0 ) with the likelihood (L1 ) of obtaining the data evaluated at the MLE of the coefficient. It is calculated as:

Similar to the Wald statistic, it is compared with a χ2 distribution with 1 degree of freedom. Logistic regression analysis can be carried out using available commercial statistical packages. In this work, the statistical package SPSS® (Nurosis, 2005) was used. 4

DATA

The analysis was done on a set of data comprising 1,348 sewer pipes, equivalent to 52.17 km of pipes. These sewers represent approximately 15 percent of the Leuven (Belgium) sewer network. Sewer condition data collection, i.e. CCTV inspection, was done on the network in 1998, 2001 and 2004. A total of 11 sewer physical properties were investigated as to their influence on the structural condition deterioration of the Leuven sewers. These are sewer construction year, age, material, function, type, shape, size, depth, length, slope and location (Table 1). The selection of these 11 factors or variables was dictated by what was available from the dataset and guided by literature, Davies et al. (1999). Based on NEN3399 (1992), sewers under condition states 1, 2 and 3 were considered in good state and sewers in condition states 4 and 5 were in bad

No. of pipes

%

or failed states. Since logistic analysis takes only on binary outcome, i.e. the sewer is either in a good condition state (code = 1) or in a failed condition state (code = 0), there was a need to reclassify the condition states: sewers under condition states 1, 2 and 3 were aggregated and reclassified as under condition 1 (good condition state), while sewers under condition states 4 and 5 were aggregated and reclassified as condition 0 (failed condition state). As shown in Table 1, 88 percent of sewers in the data are still in good condition states, while 12 percent are in failed condition states. The sample sewers were subdivided into two categories with respect to their construction year, before 1940 and after 1940, due to perceived technological difference between the two periods. More than half of the sample (53%) belonged to sewers constructed before 1940, some as early as 1873. With respect to material type, the Leuven sewer network is predominantly made of concrete sewers. In the analysis, sewer material type was subdivided into two categories, namely, concrete (80%) and non-concrete (20%). The non-concrete sewers were composed of a variety of materials such as bricks, PVC and steel pipes. In terms of shape, a distinction was made between circular (51%) and non-circular (49%) sewers. Non-circular sewers include egg-shape and rectangular shape pipes. Sewer function was also subdivided into two categories, namely, combined and separated sewers (storm and foul). Most of the sample sewers were of combined type (95%), with few separated sewers (5%). Shown in Figure 1 are the distributions of the sampled pipes, based on sewer age, size, depth, length and slope. The age distribution shows that the data

497

Figure 1. Sample sewer distribution according to sewer physical property.

contain newly-built and old sewers alike. Based on size, the sample is dominated by sewers with sizes around 500 mm in diameter. On the other hand, the samples show a normal distribution with respect to sewer depth, with a mean around 2.5 m. The sample sewer distribution based on length shows that some sewers are of extremely short length, less than 10 m, and few are of long lengths, more than 100 m. Meanwhile, the sewer sample distribution with respect to slope reveals that the samples are predominantly of flat slopes. In logistic regression, the quantitative variables such as age and size, which have scale measurement type, are treated as covariates. Meanwhile, the qualitative variables such as material and function, which are of a categorical type, are treated as categorical covariates. In logistic analysis, categorical variables are replaced with dummy variables (coded 0 or 1) as shown in Table 1.

5 5.1

RESULTS AND DISCUSSION Summary of results

Using the backward stepwise regression method, the model was first saturated with all 11 variables. The decision to retain or drop a particular variable was

based on the evaluation of the Wald statistic. Of the 11 explanatory variables, only four variables were retained in the final model: age, material, length and sewer slope. The variables construction year, sewer function, sewer type, sewer size, sewer depth, sewer shape and location were left out of the model as statistically insignificant in predicting sewer condition state. The variables considered significant are listed in Table 2 together with their corresponding coefficient values (β), standard error (S.E.), Wald statistic, degrees of freedom (df), significance level (Sig.), odds ratio (exp (β)) and confidence interval (C.I.). In the analysis, sewer type was taken out from the model build-up due to the fact that no other sewer type was present in the data, apart from gravity sewers. During the backward stepwise regression, the first variables to be dropped from the model were sewer location, sewer shape and function, due to their low significance values. One probable reason for the insignificance of the sewer function may be due to the low number of samples for the separated sewers, as this tends to inflate the standard error (S.E.) resulting in low Wald statistic (Bewick et al., 2005). The variables dropped next were the sewer size and depth also due to their low significance values. Finally, the sewer construction year was dropped due to its high correlation with sewer age. The corresponding likelihood ratio test of the final model is 807.076 (Sig. = 0.000),

498

Table 2. Variables significantly affecting sewer deterioration. 95% C.I. for EXP(β) Factors

β

S.E.

AGE MATERIAL Concrete Non-concrete LENGTH SLOPE Constant

−0.0117

0.0025

−1.82 −0.0066 0.05 3.63

0.20 0.0032 0.03 0.25

Wald

df

Sig.

22.21

1

83.05 4.42 3.34 213.96

1 1 1 1

showing the usefulness of the included variables in predicting the sewer condition state. 5.2

Effects of sewer physical properties

The degree of influence of the individual variable on sewer structural condition deterioration is given in Table 2 by the variable significance (Sig.) and the odds ratio, exp (β). The interpretations of these values are found in the next paragraphs. Sewer age. Logistic regression has revealed that age is a highly important predictor of sewer failure given its significance of 0.000. The analysis shows that as sewers get older, the probability of them deteriorating or belonging to the failure condition states 4 and 5 increases. This is shown by the value of the coefficient of age, which is negative 0.0117. In fact, for every year added to the sewer age, the odds of sewer being in good condition state is decreased by 1.16%, i.e. exp (β) = 0.9884, all other conditions being equal. Sewer material. Sewer material is another variable that affects sewer deterioration largely (Sig. = 0.000). The analysis has found that there is a significant difference in deterioration between sewers made of concrete and non-concrete (in this case, mostly bricks). Comparing the two material types, the odds of non-concrete sewers surviving or being in a good condition state compared with concrete sewers is only 0.16, given other variables are equal. One probable reason for the difference in ageing behaviours between concrete and brick pipes is the manner of construction inherent to the material, more than the material itself. Concrete pipes are generally constructed offsite, in a controlled environment, resulting in high workmanship quality and structural integrity, conversely, pipes made of bricks are constructed in situations where the difficult working environment can lead to lower workmanship and overall pipe quality. Britton (1982), in an investigation of the causes of sewer failure at 151 different sites, has concluded that construction workmanship is the primary cause of sewer collapse. For the Leuven network,

EXP(β)

Lower

Upper

0.000

0.9884

0.9836

0.9932

0.000 0.036 0.068 0.000

0.16 0.9934 1.05 37.67

0.11 0.9872 1.00

0.24 0.9996 1.11

the cause of failure for the majority of the brick-made sewers was poor workmanship related factors (badly constructed inlet, presence of concrete honeycombs and/or poorly mixed concrete). Sewer length. This analysis revealed that as the sewer reach increases in length, the likelihood of failure increases. The odds ratio, exp (β) = 0.9934, of the length suggests that for every 1m increase in sewer length, the odds of the sewer being in a good condition state is decreased by 0.66 percent, all other conditions being equal. This could be attributed to the fact that in long sewer reaches there are more points and areas of possible failure (increased pipe joints). Joint defect is one of the common defects observed in sewers. Park and Lee (1998) showed that in the City of Seoul, Korea 27.5 percent of the sewers inspected in 1998 had joint defects causing structural degradation. In addition, by virtue of its length, longer sewer reaches are more vulnerable to differential settlement, which could cause blockage and sediment deposition that could facilitate sewer deterioration. Sewer slope. Sewer slope was another variable that was identified in the analysis as affecting sewer deterioration, albeit marginally (Sig. = 0.068). The study has revealed that as sewer slope becomes steeper, the likelihood of the sewer resisting aging is increased. For every percent increase in slope, the odds of a sewer being in a good condition state is increased by 5 percent, i.e. exp (β) = 1.05, all other conditions being equal. According to Parent (1987), the common cause of failure of sewers made of concrete is the corrosive action of hydrogen sulphide. Flat slopes result in lower wastewater velocities leading to the formation and release of hydrogen sulphide gas into the sewer atmosphere (EPA, 1992). This gas is then converted to sulphuric acid in the presence of moisture and oxygen and attacks cementitious materials such as concrete and mortar. It is worthy to note here that the bulk of the sewers analysed in this study are made of concrete (80% of the sewers) and bricks (16%), which has mortar joints.

499

5.3 Application to sewer asset management and design The result of the analysis suggests that only a limited number of physical properties, namely age, material, length and slope, have significant influence on the structural condition of sewers in the Leuven network. This type of information helps to understand the dynamics of sewer deterioration by pinpointing the factors driving the process. This is useful in the development of sewer deterioration models, as managers can focus on these identified important aspects in order to create parsimonious and reliable models. In terms of data collection, instead of gathering numerous variables to incorporate in the deterioration model, the manager can limit his/her collection to four data types. This brings about savings in cost and time spent on data collection. The analysis also reveals that certain types of sewers have predispositions to structural condition deterioration. This knowledge is particularly valuable in optimizing the design and construction of new sewer reaches. 6

CONCLUSIONS

number of variables considered in the Leuven analysis, which is again tied to data availability. Ideally, the study should include more variables other than sewer physical properties to identify the full range of variables affecting sewer deterioration, for example, groundwater regime or soil corrosiveness. This is especially true in logistic analysis wherein the addition of a particular variable could significantly alter the influence of another variable on its binary outcome or prediction. Extending this type of analysis to a more detailed dataset would result in a further understanding of the sewer deterioration process, leading to an increased reliability of the conclusions. This type of analysis would further enhance effective sewer management and design.

ACKNOWLEDGEMENT The authors would like to thank the staff and administrators of the Leuven Technical Department for providing access to their sewer dataset.

REFERENCES

In this analysis, the influence of sewer physical properties on sewer structural condition deterioration was studied and quantified through the use of logistic regression model. This type of analysis allowed the investigation of the influence of different variables on sewer deterioration in univariate and more importantly, multivariate analysis manner (Davies et al., 2001). The analysis has revealed that out of 11 variables initially considered to affect sewer deterioration, only four were adjudged to significantly affect the process: sewer age, sewer material, sewer length and slope. This type of knowledge sheds some light on the complex process of sewer deterioration, specifically the factors influencing it, aiding in the development of effective and reliable sewer deterioration models. The analysis also reveals that sewers of certain types have predispositions to deterioration. This information provides an important insight in relation to sewer design and construction. Although this study has revealed some important information and insight regarding the deterioration of the Leuven sewers, the above findings are far from being definite. One of the reasons for this is the limitation on the data available for analysis, e.g. the low number of sewer samples for the separated sewers which might have lead to the variable sewer function being considered insignificant in the deterioration process of the Leuven sewers. To address this issue, the analysis should be extended to a dataset with a more uniform distribution of sewer samples among different sets of categories. Another issue is the limited

Ariaratnam, S.T., El-Assaly, A., ASCE and Yang, Y. (2001). Assessment of infrastructure inspection needs using logistic models. Journal of Infrastructure Systems, 7(4): 160– 165. Bewick, V., Cheek, L. and Ball, J. (2005). Statistics review 14: Logistic regression. Critical Care, 9(1): 112–118. Britton, R. J. (1982). Sewer deterioration studies, collapse investigations, preliminary report. WRc External Report No. 85E. Davies, J.P., Clarke, B.A., Whiter, J.T., Cunningham, R.J. and Leidi, A. (2001). The structural condition of rigid sewer pipes: a statistical investigation. Urban Water, 3: 277–286. Davies, J.P., Whiter, J.T., Clarke, B.A., Ockleston, G.O. and Cunningham, R.J. (1999). Application of interaction matrices to the problem of sewer collapse. In: Proceedings of the 11th European Sewage and Refuse Symposium, Liquid Waste Section, Munich, Germany, May 1999. Dayton, C.M. (1992). Logistic regression analysis. Stat 474–574, Articles and Links. http://bus.utk.edu/stat/ DataMining/articles.htm (accessed 28 November 2007). Hahn, M.A., Palmer, R.N., Merill, S. and Lukas, A. (2002). Expert System for Prioritizing the Inspection of Sewers: Knowledge Base Formulation and Evaluation. Journal of Water Resources Planning and Management, 128(2): 121– 129. Lemer, A. (2000): Advancing Infrastructure-Asset Management in the GASB 34 Age: Who’s Driving the Train? APWA International Public Works Congress, NRCC/CPWA Seminar Series “Innovations in Urban Infrastructure 2000, Kentucky, USA, 8. Mehle, J.J., O’Keefe, S.M. and Wrase, P.E. (2001). An Examination of Methods for Condition Rating of Sewer Pipelines. Center for Development of Technical Leadership, University of Minnesota, 79.

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NEN3399. (1992). Sewerage systems outside buildings – Classification for visual inspection of sewers. Nederlands Normalisatie Instituut, 55. Nurosis, M. (2005). SPSS 14.0 Statistical Procedures Companion, Prentice-Hall, Inc., 614. Parent, R.A. (1987). Los Angeles concrete sewer assessment program. NO-DIG, 1987. Park, H. and Lee, I.K. (1998). Existing sewer evaluation results and rehabilitation strategies: The City of Seoul, Korea. Environmental Technology, 19(7): 733–739.

US Environmental Protection Agency (EPA). (1992). Detection, control, and correction of hydrogen sulfide corrosion in existing wastewater systems. Office of the Wastewater Enforcement and Compliance, US EPA, Washington, D.C., 166. Wirahadikusumah, R., Abraham, D. and Iseley, T. (2001). Challenging issues in modelling deterioration of combined sewers. Journal of Infrastructure Systems, 7(2): 77–84.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Pollution prevention in Philadelphia: Dealing with illicit/defective laterals A. Holst Government Affairs Manager, Philadelphia PWD, Philadelphia, USA

ABSTRACT: The issue of defective laterals in Philadelphia’s separate sewer systems has created an imbalance between the environment and the public. When laterals are defective, the wastewater that is supposed to be dispersed to the city’s main sewer connection leaks hazardous pollutants into the city’s rivers and streams. Defective laterals increase treatment costs, produce foul odours, and pose serious risks to both the environment and public health. The Philadelphia PWD has been working aggressively to seek out and repair defective laterals. Creating a policy that serves both the environment and the public has been difficult, as repairing defective laterals is costly and the question of whether the city or the public is responsible has been disputed. Despite attempts by the PWD to provide customers with more information and help customers finance the cost of repairs, the public was still upset they were being held accountable. The PWD created a new program in which the city takes responsibility for laterals that are defective due to cross connections and dual connections. This policy is a step in the right direction. It alleviates the cost to the customer and protects the environment by ensuring that defective laterals are repaired in a timely manner. Keywords:

1

Infrastructure; sewer laterals; wastewater

INTRODUCTION

between the environment and the public who generally support pollution abatement efforts.

The Philadelphia PWD (PWD) is a municipal utility serving the citizens of the Philadelphia region by providing integrated water, wastewater, stormwater, and biosolids services. One of the objectives outlined in its mission statement is to strike an appropriate balance between cost and environmental protection, being sensitive to both the environment and the needs of its ratepayers. The PWD has made great strides in improving the quality of both its drinking water as well as the environment. For instance, it was not that long ago that people could smell the odour emanating from the city’s rivers from a mile away. The Schuylkill and Delaware rivers were so severely polluted that they had become an environmental liability and an embarrassment to the city. However, during the 1970s and 1980s, the PWD took action and invested a total of $1 billion (75% federally funded) to reconstruct wastewater treatment plants to provide secondary treatment in order to improve effluent quality. Thanks to this clean-up effort, the quality and vitality of the Schuylkill and Delaware rivers has improved dramatically. Furthermore, the PWD is continuing with its ongoing efforts to combat pollution and preserve precious resources in its smaller watersheds as well. Despite efforts to improve the environment, as well as the quality of drinking water for Philadelphians, the issue of defective laterals has come to drive a wedge

1.1

Consequences of defective laterals

The City of Philadelphia has two sewer systems, depending on the area of the city. Some sections of Philadelphia have a combined sewer system, and some sections have separate sewer systems. Combined sewers are estimated to be more than one hundred years old, and are found primarily in the older sections of the city. Consisting of one pipe running down the street, these sewers transport both sewage and stormwater to one of the city’s wastewater treatment plants for processing. However, over time, the city found that the installation of separate sewer systems was a more costeffective way to treat and dispose of wastewater. In the newer sections of the city, sanitary and stormwater sewage flows in separate sewer lines. Sanitary wastewater flows from homes and businesses and is collected by the sanitary sewer and sent to one of three treatment plants in the city for processing, while relatively harmless stormwater is collected from streets and gutters and is channeled by the stormwater sewer into local rivers and streams (see Figure 1). Wastewater is dispersed from a property by way of laterals, or sewer lines that run underground from a property to the City’s main sewer connection in the street. If these laterals are improperly connected or begin to leak,

503

Figure 1.

they are deemed defective. Defective laterals can leak raw sewage into the wrong system, causing hazardous pollutants to drain directly into the city’s rivers and streams (Bender, 1997). Specifically, defective laterals have been seeping raw sewage into the city’s stormwater system as well as into waterways such as the Wissahickon and Tacony creeks, which are important watersheds for the Philadelphia region. Defective laterals increase treatment costs, produce foul odours, and pose serious risks to both the environment and public health. The majority of laterals in Philadelphia are constructed of terra-cotta piping.The majority of defective laterals are due to the deterioration of these pipes since terra-cotta, while durable, does not last forever. Incorrect plumbing, careless digging, or pipes that have not been properly connected have caused other defective laterals. When a lateral becomes defective, it poses hazards, which jeopardise the environment and public welfare as well as other nearby plumbing systems. For instance, in some portions of the city, defective laterals have grown so intolerable that they have led to

regular complaints from the park friends’ groups and activist groups about the abhorrent amounts of raw sewage being dumped into neighbourhood creeks and streams (Davies, 1996). Accordingly, the Environmental Protection Agency (EPA) has determined defective laterals to be a secondary source of pollution, and in 1995 the PWD began to aggressively seek out and require repair of these defective laterals as mandated by the Federal Clean Water Act and the Pennsylvania Clean Streams Act (Pontarelli, 1996). This Act has led to enhanced public awareness, not only concerning illicit laterals, but a better understanding of environmental topics on water quality in both Pennsylvania and nationwide. To determine defective laterals, a dye test was used. A dye test is a test utilising water-soluble dyes conducted by the city for the purpose of investigating discharge of sewer into the separate municipal sewer system. Dye tests have been very helpful in locating defective laterals throughout the City. For instance, of the 434 stormwater outfalls located in Philadelphia, dye tests indicated that 200 of these outfalls tested

504

positive for sewage as a result of defective laterals. Under the Defective Laterals Program that began in 1995, if the PWD’s initial investigation resulted in the identification of a possible defective lateral and if the test confirmed that the lateral was defective, the homeowner was notified and given ten days to repair the defective lateral. The homeowner was also responsible for the cost of the repair. The repair of defective laterals must be done immediately to halt pollution. Under this program, if the homeowner ignored the notification from the PWD and refused to repair the lateral, the Water Department would make the necessary repairs and assess a lien to the culpable property. Since the repair of a defective lateral is costly, (approx. $2400 per/lateral in Philadelphia) and the responsibility of the homeowner, citizens were upset about this policy. In a recent survey of other water and wastewater utilities on a regional and national basis, it was found that Philadelphia’s Defective Laterals policies and procedures regarding the repair of defective laterals were rather conventional. This survey showed that current lateral programs in other cities such as Chicago, Detroit, Baltimore, and Boston are comparable to Philadelphia’s Defective Lateral Program in both price and policy. These cities, like Philadelphia, have ordinances that mandate responsibility for laterals to the homeowner. Similar to Philadelphia under its initial program, these cities would only repair defective laterals after the homeowner had ignored notification by the city to repair the defective lateral, or if the lateral was causing an immediate public hazard. Due to pressures generated by both affected property owners, and city’s environmental regulators, a new Defective Laterals Program began to be developed in late 1997. This new Lateral Program is friendlier to the environment, the customer, and the city. Under the 1995–1997 approach, when a homeowner was notified of a defective lateral, the cost of replacing the lateral was typically an unanticipated expense ranging in the thousands of dollars. To help alleviate the strain of such an expense, the PWD utilised a program known as the Homeowner’s Emergency Loan Program (HELP) to assist homeowners with the cost of repairing their defective laterals. The program allows for interest-free loans to be made to homeowners of up to $2400 per/lateral to cover the repair costs. Lower income customers, if incomeeligible, were referred to the Philadelphia Housing Development Corporation’s (PHDC) Basic Services Repair Program (BSRP). The BSRP provides eligible homeowners with grant funding to cover the costs of replacing a defective lateral, so that the homeowner does not incur undue financial hardship. Also, the PWD had begun counselling potential buyers in Philadelphia by inspecting a property’s laterals upon request, so that a buyer would avoid purchasing a property with defective laterals (4). Similarly, the PWD

made every effort to make the public aware of the need to inquire about the condition of the home’s plumbing services before settling on a property. 1.2

Relevant legislation

Despite attempts to help customers finance the cost of lateral repairs, some of citizens maintained that it was the PWD’s responsibility to repair defective laterals. However, according to a Pennsylvania State Law that was passed in 1911 (P.L. 680 sec. 6), water and sewer laterals running underneath property are the responsibility of the homeowner. This law was reinforced when Philadelphia City Council passed an ordinance (bill #533 as approved on 6/12/93) placing the lateral responsibility with the homeowner to facilitate the PWD’s ability to meet its stormwater permit requirements with the state. In 1993, the PWD initiated a more active role in detecting and repairing defective laterals. In addition to the above legislation, the federal Clean Water Act (indirectly) requires that the PWD enforce repairs on laterals. Needless to say, the issue of the city’s position on lateral repairs was unpopular. Federal, state, and local legislation notwithstanding, many members of the community with defective laterals joined with a consumer group to protest the city’s position. They also asked city council to remedy their problems with homeowner responsibility for water and sewer laterals. In order for the PWD to repair all of the defective laterals in the city, it would cost an estimated $210 million. The Department’s annual operating budget is $180 million. The PWD has also committed itself to meet its operating goal without a rate increase for the remainder of this century. In order for the PWD to finance citywide lateral repairs, it was estimated that an overall rate increase in the area of 10% would have to be imposed to cover costs. This rate increase to cover the expenses is an unattractive option to Philadelphia residents. Thus the recommendation of city sponsored lateral repairs was not deemed a viable option. After a thorough evaluation of the program, and following discussions with the mayor, city council, and the PADEP (the agency responsible for enforcing the departments stormwater permit), the PWD implemented a new program in the fall of 1998 that relieves some of the burden on the customer. This program came as a result of a consent order and agreement between the city and the Department of Environmental Protection. 1.3 The “new” defective laterals program As previously mentioned, individual property owners are responsible for maintenance of their water service lines and sewer laterals from their properties all the way under the street to the point of connection at public mains. While there have been periodic calls over the decades for the city to assume greater responsibility for

505

Table 1. Repairs made to defective laterals by year, number of repairs, and dollar amount spent. Fiscal year runs 7/1–6/31. Fiscal Year

# Repairs

$ Expended

1999 2000 2001 2002 2003 2004 2005 2006 2007 Totals

118 108 47 86 91 77 62 64 73 726

$336,430 $291,135 $114,993 $376,598 $349,950 $252,918 $277,130 $328,012 $342,320 $2,669,486

some or all of these laterals and service lines, the city has resisted assuming this substantial responsibility and liability. The start of the Defective Laterals Program in 1995 touched off a new debate regarding the appropriate level of city responsibility. Because this is a relatively new regulatory requirement, the anticipated pace of the program was not highly aggressive, until now, with the implementation of a new program. This revised program came into effect on June 30th of 1998. Under this program, the PWD continues its dye testing. However, when a defective lateral is identified, the cause of the defect will also be identified. When true “cross-connections” that are sending sanitary waste into the storm water system are discovered, the city will take financial responsibility for the correction of the problem. This means that repairs to any lateral that was not properly connected to the sewer main which is discharging waste due to this illicit connection, known as a cross-connections, will be the paid for by the city. From 1999 through 2007, the city has spent $2,669,486 for a total of 726 repairs for “cross-connections” (see Table 1). Under this revised program, laterals that are properly connected but simply nearing the end of their useful life cycle will not be issued a notice of defect, unless the defect is posing a potential health or safety hazard. Rather, if testing should identify such circumstances, the city will notify the customer regarding both the potential problem and the availability of repair assistance programs. For such properly connected but still defective laterals, the PWD will continue to provide low income customers assistance in applying for grants, and continue to provide all customers with five-year, no-interest loans. This policy retains the position that laterals belong to the property owner, and that the city should not be responsible for maintenance needed because of aging, normal wear and tear, or other general defects. This new program, a major change in policy, would enable prompt correction of the most severe cases of pollution, and alleviate much of the burden on customers.

The PWD’s new responsibility should be manageable as long it can successfully limit the scope of the city’s responsibility to only true cross-connections. Although the PWD does not know for sure what the infrastructure is like where tests have not been conducted, the experience to date is that only 5% of tested properties have true cross-connections. Therefore, even if the PWD increased its rate of inspection tenfold, the estimated cost of assuming this responsibility would be in the range of $1–3 million peryear. In addition, the PWD is acting to ease the payment terms for the no-interest loan program, incurring further “costs” of interest not collected on the capital and some increased percentage of loans not collected upon. Roughly two-thirds of Philadelphia residents do not need to worry about defective laterals because they have combined sewers that lead directly to one of the city’s wastewater treatment plants. However, the remaining one-third of the population is susceptible to encountering a defective lateral problem under this program. The PWD has noticed that those customers who are served with a notice of a plumbing defect are more or less unfamiliar with the concept of a defective lateral and what exactly the repair entails. Consequently, some customers have come to the conclusion that the PWD is imposing unwarranted repairs on them. For instance, in an editorial printed in a local Philadelphia newspaper, a concerned citizen criticized the PWD’s Defective Lateral Policy on lateral repairs, but the facts and the statistics were confused. Such editorials exemplify that the vast majority of city residents are not familiar with the facts and policies pertaining to lateral repairs, and that some customers are not fully aware of the options and services the PWD offers to deal with these repairs. Also, some customers have noted that when they purchased property the laterals were already defective, but a City ordinance states that the responsibility for repairing laterals lies with the property owner and not the municipal water authority. In any event, replacing defective laterals is in the best interest of the city, the environment, and PWD customers. Furthermore, the PWD has now begun a program to notify local newspapers when testing or construction regarding defective laterals is to begin in an area of the city.

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CONCLUSION

In summary, defective laterals pose environmental threats and public health hazards. Their repair is essential. For more than eighty years it was Pennsylvania law that this large responsibility be of the homeowner. This mandate was never received well by PWD customers, even with all of the efforts of the PWD to alleviate some of the costs to the homeowner. Due to

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grievances from the public, along with other issues, steps have been taken in the right direction by the PWD – the establishment of a new defective laterals program. Under this “new” defective laterals program, the PWD takes responsibility for laterals that are defective due to cross connections and dual connections. This alleviates the cost to the customer of repairing these defective laterals, along with ensuring that defective laterals are fixed in a timely manner in order to stop sanitary waste from flowing into the storm water system. In conclusion, the current defective laterals program seeks to strike a balance between cost

and environmental protection, with a solution that is sensitive to both the ratepayers and the earth. REFERENCES Bender, S. (1997). PWD Working on Arbutus and W. PhilEllena, Mt. Airy Times Express, 25. Davies, D. (1996). Sewer Pipes to Dye for: PWD Tests May be Costly to Homeowners, The Philadelphia Daily News, 5A. Pontarelli, E. (1996). “Dollars Down the Drain: Homeowners Irate That They Must Foot the Bill for Polluting Pipes,” Philadelphia City Paper. 23 August.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Urban water management at UNESCO’s International Hydrological Programme J. Alberto Tejada-Guibert International Hydrological Programme, Division of Water Sciences, UNESCO, France

ABSTRACT: This paper contains a brief description of the scope of the freshwater programmes at UNESCO, with special emphasis on urban water management within the framework of the International Hydrological Programme (IHP). Keywords:

Freshwater; International Hydrological Programme; UNESCO; urban water management

1 THE UNESCO MANDATE

2.1 The International Hydrological Programme

The founding Member States of UNESCO – the United Nations Educational, Scientific and Cultural Organization – declared in the preamble of its constitution in November 1945: “That since wars begin in the minds of men, it is in the minds of men that the defences of peace must be constructed ”, and proclaimed that: “The purpose of the Organization is to contribute to peace and security by promoting collaboration among the nations through education, science and culture in order to further universal respect for justice, for the rule of law and for the human rights and fundamental freedoms which are affirmed for the peoples of the world, without distinction of race, sex, language or religion, by the Charter of the United Nations.” It is within these lofty ideals that UNESCO has carried out its mandate for over sixty years, through programmes such as “Education for All” and the “World Heritage”.

2 WATER IN UNESCO UNESCO is vigorously involved in water sciences and water resources management – that is, these are actions under the letter “S” in UNESCO, representing “Science”. Water resources and their supporting ecosystems have been the principal priorities within the Sciences at UNESCO, reflecting the importance water issues have at the international scale and the competence that UNESCO exhibits in this field.

UNESCO’s International Hydrological Programme (IHP) is the only intergovernmental scientific program of the UN system on freshwater having a global scope. Since its inception in 1975, following the successful International Hydrological Decade of 1965–1974 conducted by several UN agencies, IHP has been at the forefront of international cooperation on water research and management, bringing together scientists, engineers, policy-makers, managers, and stakeholders. Currently, there are over 160 National Committees for the IHP in all continents. During six successive multi-year phases, IHP has evolved from having an essentially scientific emphasis into a trans-disciplinary, action-oriented and policy-relevant program, while retaining a strong scientific core, responding to the needs of the Member States. Every two years the IHP Intergovernmental Council meets to set policy guidelines and make major decisions on its implementation. The IHP plans are executed in six-year phases. The plans for the successive phases are made in full consultation with the Member States and reflect the current needs of the countries, that is to say, the programme remains relevant. The Seventh Phase (2008–2013) has just started. The IHP workplan is implemented by the Member States and a vast network that includes academic and research institutions, scientific and professional NGOs, and nearly twenty water-related centres under the auspices of UNESCO, thematically and geographically distributed over the world. The UNESCO-IHE Institute for Water Education in Delft, The Netherlands, is a premier post-graduate institution and a UNESCO category I centre.

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2.2 The Sixth Phase of IHP (2002–2007) The recently concluded Sixth Phase of the IHP (IHPVI), designated “Water Interactions: Systems at Risk and Social Challenges”, was based on the fundamental principle that freshwater is as essential to sustainable development as it is to life, and that water -beyond its geophysical, chemical, biological function in the hydrological cycle- has social, economic and environmental values that are inter-linked and mutually supportive. Some of the interactions further investigated or focused on included those between: (i) Surface water and ground water; (ii) Atmospheric and terrestrial component of the hydrological cycle; (iii) Fresh water and salt water; (iv) Global watershed and river reach scales; (v) Water quantity and quality; (vi) Water bodies and aquatic ecosystems; (vii) Science and policy; and (viii) Water and civilisation. Under the IHP-VI, programmes on hydrologic research, water resources management and education were framed along five themes centred on the transition and interaction from the global scale to the watershed. These are: Theme 1 Theme 2 Theme 3 Theme 4 Theme 5

Global Changes and Water Resources (Global level) Integrated Watershed and Aquifer Dynamics (Regional level) Land Habitat Hydrology (Local level) Water and Society Water Education and Training

Twenty-one focal areas were identified under these themes, including focal area 3.1: “Urban and Rural Settlements”. In addition, two crosscutting programme components were formulated: FRIEND (Flow Regimes for International Experimental and Network Data) and HELP (Hydrology for Environment, Life and Policy), which through their operational concept, interact with all five themes.

The overall theme of IHP-VII is “Water Dependencies: Systems under Stress and Societal Responses”. There are five major themes: Theme 1: Adapting to the Impacts of Global Changes on River Basins and Aquifer Systems Theme 2: Strengthening Water Governance for Sustainability Theme 3: Ecohydrology for Sustainability Theme 4: Water and Life Support Systems Theme 5: Water Education for Sustainable Development The plan, which responds to the needs expressed by the Member States, provides for a smooth transition from IHP-VI, and actually strengthens a number of existing programmes and initiatives, while at the same addressing a number of relevant new issues, such as governance, strategies to enhance affordability and the water-energy nexus.

2.4 World Water Assessment Programme The World Water Assessment Programme (WWAP) is a United Nations system-wide effort, hosted and led by UNESCO. WWAP constitutes an on-going exercise to map the world’s progress toward the sustainable use of its freshwater resources. The World Water Development Report is published at regular three-year intervals, and constitutes a major output of WWAP. The report documents the main trends and results of this process. The first issue is entitled “Water for People, Water for Nature” and was presented at the Third World Water Forum (Kyoto, March 2003). The second issue, “Water – A Shared Responsibility” was presented at the Fourth World Water Forum (Mexico City, March 2006) and the third issue will be launched in the Fifth World Water Forum (Istanbul, March 2009). In the past, Japan was the prime source of funding for WWAP, but now it is Italy that is funding and hosting it Perugia.

2.3 The Seventh Phase of IHP (2008–2013) Phase VII is expected to build on the continuity of the previous IHP phases, yet respond to new dynamics. It should confront forthcoming changes, such the actual nature of the changes in the coming decades, and the unprecedented rate of these changes. The nature of the changes being experienced are diverse but occur in every continent, in response to the pace of national and international relations in a globalised world. In the current geopolitical socio-economic arena, each social or economic interaction involving international relations results in multiple related interactions, many of them comprising local changes expressed through modified land use, demand on natural resources, energy needs, and so forth.

2.5 The UNESCO network of water institutions The UNESCO-IHE Institute for Water Education of Delft, The Netherlands was established in 2003 as a full-fledged, UNESCO institute (legally part of UNESCO). IHE existed as a Dutch institute with an international student body for 46 years before becoming part of UNESCO, and it is the only UN institution that grants postgraduate degrees, with a network of 14,000 alumni. IHP and IHE collaborate on diverse endeavours. For instance, a joint water education programme at all levels has been proposed on occasion of the International Decade of Education for Sustainable Development (2005–2014).

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A rich resource at the disposal of the Member State is the UNESCO network of water institutions. The international and regional water-related centres established and to be established under the auspices of UNESCO are shown in Box 1. This is a rapidly expanding network, and there are currently numerous prospective centres. The 18th session of the Intergovernmental Council of IHP (Paris, June 2008) has endorsed seven centres on various themes. The countries include the USA, Germany, Brazil, Kazakhstan, Dominican Republic, Turkey, and Portugal.

Water-related centres, under the auspices of UNESCO: • IRTCES - International Research & Training Centre on Erosion & Sedimentation (Beijing, China) – 1985 • IRTCUD – International Research & Training Centre on Urban Drainage (Belgrade, Serbia & Montenegro) – 1988 • HTC Kuala Lumpur – Humid Tropics Hydrology Centre for South East Asia & the Pacific (Kuala Lumpur, Malaysia) – 1998 • RCTWS – Regional Centre for Training and Water Studies in Arid & Semiarid Zones (Cairo, Egypt) – 2001 • RCUWM – Regional Centre on Urban Water Management (Tehran, Iran) – 2002 • ICQHHS – International Centre on Qanats and Historic Hydraulic Structures (Yazd, I.R. of Iran) – 2005 • CAZALAC – Centro del Agua para Zonas Aridas y Semiáridas de LAC – (La Serena, Chile) – (2006) • ICHARM International Centre for WaterRelated Risks and Hazards –(Tsukuba, Japan) – (2006) • ERCE Regional Ecohydrology Centre – Europe (Lodz, Poland) – (2006) • IHP-HELP Centre for Water Law, Policy and Science (U Dundee, UK) – (2006) • Regional Centre for Shared Aquifer Resources (Tripoli, Libya) • Centro Regional para la Gestión del Agua en Zonas Urbanas LAC (Cali, Colombia) Other centres soon to be formalised include: • IGRAC – International Groundwater Assessment Centre (Utrecht, The Netherlands) • Regional Centre for Water Management Research in Arid Zones (Pakistan) • International Centre on Hydroinformatics for Integrated Water Resources Management, Itaipu (Brazil/Paraguay)

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URBAN WATER MANAGEMENT IN IHP

3.1 Background IHP has an active and continuously evolving programme aimed at the development approaches, tools, guidelines and capacity-building means to allow cities to assess their urban water situation and to adopt more effective urban water management strategies and practices. During the 70’s and the 80’s it dealt mainly with the topics of urban hydrology and the related field of application of urban drainage. With the advent of the concept of sustainable development in the 90’s, a growing emphasis was given to urban water management. IHP’s Fifth Phase already addressed integrated urban water management (IUWM), which included projects on non-structural measures for flood management, surface and ground water management, and urban drainage modelling in different climates. The culminating scientific event for IHP-V urban water activities was the International Symposium held in Marseille, France, 18–20 June 2001 entitled: “Frontiers in Urban Water Management: Deadlock or Hope?”. One of its most significant outputs was the Marseille Statement, where the meeting set out what it considered to be essential actions in urban water. Among its proposals, it included: “Define strategies and tactics for the appropriate implementation of integrated urban water management in all countries, including best management practices and procedures for the rehabilitation of systems”; and “Develop and strengthen institutions for integrated urban water management, by enhancing public information and awareness, transparency of procedures, education, and public involvement in decision-making”. It also recommended the development of educational programmes and to “establish and strengthen regional centres of excellence on urban water management, such as the new UNESCO Regional Centre on Urban Water Management in Tehran, particularly in countries in transition and developing countries”. The book “Frontiers in urban water management: Deadlock or hope”, was presented at the above symposium, and published in June 2001 simultaneously in English and French. It describes the state of the art in urban water management and points out promising directions, particularly for cities in the developing world. 3.2 IHP-VI (2001–2007) urban water activities The IHP-VI Focal Area 3.5: “Urban and rural settlements” had the following objectives: •

Enhance knowledge of urban water systems’ interactions in particular climate regions; • Develop tools for analysis of interactions; • Multidisciplinary interactions, transfer of knowledge and technology; training programmes for water

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managers, urban planners and sanitary specialists; and • Investigate low cost technologies for brackish water reclamation. A number of programmes were established to this effect, such as: • • • • • •

Urban water demand management under scarcity conditions; Remote-sensing data: needs for urban areas; Water re-use in human settlements; Urban groundwater problems; Urban sedimentation management – interaction of water, sediment and solid waste; Urban runoff harvesting; and many others.

increase efficiency of water use; improve the quality of life in cities; mitigate the risk of flooding and reduce contaminant discharges into receiving waters. Institutional and capacity building aspects will be incorporated as necessary components in order to formulate and apply effective urban water management strategies. Emerging paradigms and novel approaches and tools, particularly those applicable to cities in the developing world, will be duly considered. Some of the various activities envisaged for the next six years are: •

Assess the effectiveness of, and explore promising directions for, water management strategies – including water conservation, demand management, pricing, stakeholder involvement, institutional frameworks, wastewater treatment, water reuse and conjunctive use of surface water and groundwater – on stocks and flows of urban water, on water security, water quality, flood risk, quality of life and on environmental footprints of urban areas. • Evaluate strategies to improve the quality of life for the marginal urban population in developing countries, through alternative institutional and capacity building arrangements and alternative water supplies, stormwater management and waste management practices. • Strengthen capacity building and educational capabilities in urban water management aimed to relevant target groups, including decision-makers, planners and practitioners, with special emphasis on developing countries.

The nine major topics addressed during the Sixth Phase were: • • • • • • • • •

Data requirements management for integrated urban water management Processes and interactions in the urban water cycle Towards sustainable urban groundwater management Integrated urban water system interactions: complementarities among urban water services Integrated urban water modelling and management under specific climates Urban water security, human health and disaster prevention Urban aquatic habitats in integrated urban water management Socio-economic and institutional aspects in urban water management Urban water education, training and technology transfer.

The results of these projects were presented at the International Symposium on New Directions in Urban Water Management, organised by UNESCO on 11–14 September 2007, which released the Paris Statement on urban water.The Statement puts forth recommendations for addressing urban water issues in a sustainable and innovative way. The output of these work areas includes the publication of the Urban Water Series books, consisting of more than ten volumes. 3.3

IHP-VII (2008–2013): urban water management programme

The seventh phase of IHP (2008–2013) that is just starting addresses as a major topic in Focal Area 4.3 “Achieving Sustainable Urban Water Development”, further developing the work of the previous phase. It aims to develop scientifically sound support for the integration of water management in urban areas. It has multiple purposes, including: sustaining drinking and industrial water supplies, sanitation services, surface water bodies and water-dependent ecosystems;

The implementation has already started and significant partnerships are being built, including with the large EU Urban Water Project SWITCH. IHP welcomes the expansion of the collaborative international network in order to develop and implement projects of common interest and to benefit collectively from them. 4

OUTLOOK FOR THE FUTURE

The mounting challenges posed by the urban environment makes the subject of urban water management of growing relevance. Widespread mismanagement of water resources, growing competition for freshwater use, degraded sources – sometimes by pollutants of unpredictable effect – only heighten the acuteness of the problems. The needs of cities in developing countries are great, and the emergence of mega-cities and the combined effect of global changes compound the problem. Given these circumstances and the need to affect a paradigm shift to be able to face successfully these problems, a greater emphasis is required on the development of a trans-disciplinary knowledge base, technology and guidelines concerning integrated urban water management. IHP is ready to assume a key role in this effort.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

New directions in urban water management Sarantuyaa Zandaryaa & J. Alberto Tejada-Guibert International Hydrological Programme, Division of Water Sciences, Natural Sciences Sector, UNESCO, France

ABSTRACT: This paper discusses principles and guidelines for sustainable urban water management based on Paris Statement on urban water, adopted by UNESCO Symposium on New Directions in Urban Water Management (Paris, 2007). The statement puts forth key recommendations, including: understanding of the complexity and variety of water-related issues in urban areas and their interactions, managing the entire urban water cycle and interactions between urban water system components; shifting from supply-driven to demanddriven approaches; promoting stakeholder involvement and participatory approaches to urban water governance; and operationalising technological innovations, in particular for reducing the health impacts of ingestion of unsafe drinking water and exposure to contaminated surface and ground waters. Equally important is to adopt adaptive management and flexible design principles to adequately cope with impacts of climate change and climate variability and to enhance the resilience of urban water systems to global changes. Finally, the statement stresses that the nature and extent of urban water problems will undergo significant changes in the future, requiring a paradigm shift in the way water is managed and used in urban areas. Keywords:

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Sustainable urban water management; UNESCO-IHP; urban water

INTRODUCTION

Water issues are becoming increasingly critical, especially in urban areas, due to population growth, rapid urbanisation, and the expansion of cities. The urban population is growing at a much faster rate than the population as a whole, in particular in developing countries. According to the United Nations Population Fund report on the state of world population (UNFPA, 2007), the world reaches an invisible but momentous milestone in 2008, which marks the beginning of an urban era with more than half the world’s population living in cities. The report highlights that in 2008, for the first time in history, 3.3 billion people will be living in cities, expected to reach 5 billion by 2030. As a consequence of the impacts of these unprecedented demographic and economic changes, pressures on urban water resources have increased greatly over the past decades and are likely to grow in the coming decades. Water scarcity, rising water demand, increasing water pollution, altered hydrological cycle in urban areas, and poor stormwater management are major water-related challenges commonly faced by cities in both developed and developing countries. Climate change and climate variability further exacerbate urban water problems as studies suggest that the intensity and frequency of floods and other extreme weather

events are likely to increase in the future, affecting millions of people, mostly in urban areas. The nature, extent and dynamics of urban water problems differ between developing and developed parts of the world. In cities in developing countries, water-related problems are even more serious and are often associated with inadequate capacity to provide the entire population with basic water and sanitation services and to meet the rapidly growing demand. On a global level, over 1.1 billion people lack access to safe drinking water and approximately 2.6 billion people still live without improved sanitation (WMO/UNICEF, 2006). A large percentage of people lacking access to water and sanitation are urban poor and inhabitants of informal settlement areas in developing countries. To address these challenges through collective action, the world community has undertaken commitments since as early as the 1980s, including: setting out recommendations for action in the Dublin principles on water and sustainable development (1992); developing a framework for water and sustainable urban management in Agenda 21 (Chapter 18), a blueprint for sustainable development into the 21st century, adopted by the Earth Summit held in Rio de Janeiro (1992); and setting forth ambitious targets on water and sanitation in the Millennium Development Goals (MDGs) of the United Nations Millennium

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Declaration (2000) and in the Johannesburg Plan of Implementation of the World Summit on Sustainable Development (2002). However, despite significant efforts and progress at the national, regional and global levels, major challenges of sustainable urban water management remain unmet and new ones are emerging. Current trends in urban water management suggest that these challenges cannot be met by continuing traditional practices of water use and management in urban areas. Over the past years, UNESCO’s International Hydrology Programme (IHP) has made significant and continued effort to strengthen the knowledge base and capacity for sustainable use and management of water resources in urban areas. IHP addresses urban water issues through projects and activities aimed at the development new approaches, guidelines and capacity building for sustainable urban water management. The UNESCO Symposium on “New Directions in Urban Water Management”, organised by IHP in 2007 at the completion of the sixth phase of IHP (IHP-VI, 2002– 2007), endorsed the Paris Statement on urban water, which summarises the main findings of urban water projects implemented during IHP-VI as well as conclusions of the symposium. The statement stresses key urban water problems and challenges. It also sets forth guidelines and principles for sustainable urban water management, emphasising the urgent need to adopt a new paradigm towards sustainable water management in cities and to address these ever growing challenges in an innovative and sustainable way. 2

KEY URBAN WATER ISSUES

Water challenges faced by cities are deeply linked with changing local and global environments. The challenges include a wide variety of issues associated with environmental, social and economic dimensions of the concept of sustainability in the context of urban development and water resources management. 2.1

There are multiple interactions between urbanisation and urban water systems. The impacts of urbanisation on urban water management are complex and occur in various ways and on a wide range of scales, affecting the availability and quality of water, as well as altering the natural hydrologic cycle in urban areas. Urban groundwater pollution and degrading water quality are a serious concern in many cities. Discharges of insufficiently or untreated wastewater severely pollute water resources. In addition, runoff from paved surfaces in urban areas transports pollutants to waterways. A study by Atasoy et al. (2006) found that the density of residential land use and the rate of land conversion have a negative impact on water quality and the impacts of these non-point sources may be larger in magnitude than those from urban point sources. Furthermore, impermeable surfaces do not allow stormwater to naturally percolate into the soil and recharge ground and surface waters and, thereby, increase risks of flooding in urban areas. The future growth of the world population will occur mainly in urban areas in developing countries, where a significant portion of the urban population lives in slum areas and informal settlements. Slum areas and informal settlements are mainly characterised, among other factors, by inadequate access to safe water and basic sanitation (UN-HABITAT, 2006). In 2005, one out of three urban dwellers was living in slum conditions without adequate water and sanitation services (United Nations, 2007). Providing the urban poor with access to safe drinking water and sanitation is key to the upgrading of informal settlements and urban slums. An important share of the total burden of disease worldwide – around 10% – could be prevented by improvements related to drinking-water, sanitation, hygiene and water resource management (Prüss-Üstün et al., 2008). In addition to health and environmental benefits, access to safe drinking water and improved sanitation is a pre-requisite for achieving the United Nations Millennium Development Goals (MDGs) on poverty, health, gender and environmental sustainability.

Impacts of urbanisation on water

Urbanisation is occurring at an unprecedented rate, particularly in developing countries, with high migration of population from rural to urban areas and significant growth in the size and number of megacities. Rapid urbanisation and population growth, with over half the world’s population living in cities, are placing increasing stress on urban water resources and systems. As a consequence of urbanisation and associated environmental impacts, the issue of providing water services (such as water supply, sanitation, drainage and flood protection, and enhancing the environmental sustainability of urban water resources) to the growing urban population is becoming critical.

2.2

Emerging urban water problems

Water related problems in cities touch upon all elements of the water cycle, and through interactions between the cycle components directly impact on human health, well-being and safety. In addition to well-established health impacts of water pollution and lack of water supply and sanitation, new pollutants such as endocrine disrupting substances (EDSs), pharmaceuticals and personal care products (PPCPs) and phthalate esters (PAEs) are emerging. Studies provide evidence of these pollutants in effluents from urban and industrial areas. For example, some PAE congeners were detected in water and sediments collected

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from the urban lakes in China and urban runoff and municipal effluents were found to be the dominant sources of these pollutants (Zeng et al., 2008). Chlorinated VOCs also widely occur in urban groundwater, discharging as baseflow to surface water and impacting surface-water quality (Shepherd et al., 2006). Do Amaral et al. (2005) report genotoxic contamination of river waters flowing through metropolitan areas in the lower course of Caí River (Rio Grande do Sul, Brazil) due to the discharge of large amounts of untreated industrial and municipal effluents and its possible serious effects on ecological and human health, most notably due to the fact that genotoxins are thought to be involved in the genesis of numerous diseases, including cancer. The fate of these new substances in the environment, and their impacts on human health and aquatic ecosystems are not fully understood as studies of potential impacts on human health of these new pollutants are only under way. 2.3

Effects of climate change on urban water management

The stress on urban water services and aquatic habitats is further exacerbated by climate change and climate variability, which impact on every aspect of the urban water cycle, including: air temperatures; precipitation depths, forms and patterns; flow regimes of streams and rivers; the occurrence of floods and droughts; groundwater regimes, aquifer recharge and sustainable yields; and water quality conditions and sediment regimes of surface waters. Climate change affects the function and operation of existing water infrastructure as well as water management practices. The Fourth Assessment Report of the Intergovernmental Panel on Climate Change (IPCC, 2007) and other studies (EEA, 2007; IIED, 2007) highlight that higher water temperatures, increased precipitation intensity, and longer periods of low flows exacerbate many forms of water pollution, with impacts on ecosystems, human health as well as on the reliability and operating costs of urban water systems. A warmer climate, with its increased climate variability, will also increase the risk of both floods and droughts. Semi-arid and arid areas will be particularly exposed to climate change effects on freshwater. Persistent droughts severely affect urban water supply in arid and semi-arid regions (Karavitis, 1998) and lead to water scarcity in urban areas, with serious impacts on river basins and aquifer systems, as well as on land and ecosystems around urban areas (Showers, 2002). Climate change adds another layer of uncertainty to urban water management, accentuating the need for sustainable flood and drought management measures with a greater sensitivity to environmental conditions. Therefore, current water management practices in urban areas need to be changed in order to adequately respond to the negative

impacts of climate change on urban water systems, flood risk, human and ecological health, and urban aquatic habitats.

2.4

Socio-economic complexity of urban water

Urban water governance is deeply intertwined with a wide variety of socio-economic issues in cities. The growing complexity of interactions between urban water services and control over water resources may lead to many urban water conflicts (UNESCO-IHP, 2006; United Nations, 2004, 2006; World Bank, 2000). There is a widespread crisis of urban water governance, especially in developing countries, including fragmented institutions, weak regulatory and institutional frameworks, excessive centralisation and outdated management practices. Urban water governance is highly fragmented (both geographically and across different aspects of the water cycle) with an unclear division of responsibilities between the central and local governments. Furthermore, misguided decisionmaking due to short-term political or economic interests leads to inadequate capacity to address urban water challenges. This is often exacerbated by limited user participation, leading to inequality among the urban population served by water services.

3 ADDRESSING URBAN WATER CHALLENGES Recognising the inter-dependencies between urban areas and the water cycle with ecology, development and quality of life, the Paris Statement on urban water stresses the need to effectively meet these challenges and to adopt new approaches, based on the following key principles:

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Collecting, storing, managing and sharing appropriate data and essential information on urban water and aquatic habitat management to support effective management of the urban water cycle. This process requires integration of many sources of data and information, including indigenous and traditional knowledge, remotely sensed data, historical data from earlier efforts, and newly collected data using automated sensors and communication technologies. Despite recent advances in cost-effective data collection technologies, data acquisition programs remain relatively expensive and should be more targeted towards agreed objectives. Specific attention needs to be paid to monitoring the interactions between urban water cycle components. • Using the urban water cycle, with all its components and their interactions, as a unifying framework for effective management. Such an approach is instrumental in searching for more sustainable

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solutions, which are increasingly characterised by local approaches with reduced environmental flows, which avoid large imports of water, energy and materials, exports of pollution and minimise ecological disruption. Examples include rainwater harvesting, wastewater reclamation and reuse, which reduce both the need for importation of high-quality water and the discharge of pollution into receiving waters, and can reduce infrastructure costs. Managing the interactions between the components of the urban water cycle, as water cycle components interact and mutually affect each other’s operation. Particular attention should be given to the interaction between engineered infrastructure and the natural environment with its diverse aquatic habitats. Studying such interactions by means of new advances in modelling at appropriate spatial and temporal scales, and adopting eco-sensitive designs can ensure improved protection of the habitat and improved operation of the infrastructure, demonstrated in many successful case-studies. Practising the protection and sustainable management of groundwater resources, as a large part of the world’s population relies on groundwater as a source of drinking water. This is particularly challenging in urban areas, where there are numerous intentional and unintentional discharges into groundwater aquifers, including infiltration of liquids from storage tanks and lagoons, sewage reuse for irrigation and landfill leaching. Reducing water-related health impacts to the urban population arising from ingestion of untreated or insufficiently treated drinking water, exposure to contaminated surface waters, and to pathogens in food from crops irrigated by insufficiently treated wastewater. This is an issue of particular concern to cities and informal settlements in developing countries when closing the water cycle. Reducing health risks of inadequate water and sanitation conditions can be achieved by careful risk identification and management such as controlling pathogen sources and improving techniques for microbial source tracking. Recognising that urban waters fulfil important aquatic habitat functions, which are affected by the state of aquatic ecosystems. Newly promoted approaches offering great promise, such as ecohydrology, and the use of ecosystem properties as a new management tool for flood protection, pollution control and improvement of the quality of life should be explored. Moving away from water-supply management alone to water-demand management by limiting demand, thereby, preserving water resources and reducing environmental impacts. The concept of managing water demand has been further extended in the ‘soft path for water’ approach, in which water is

considered as a service rather than an end in itself. In this concept, ecological sustainability is a fundamental criterion, the quality of water supplied is matched to the needs of users, and the planning proceeds from the future back to the present. • Understanding and accounting for the complex socio-economic issues associated with urban water management and engaging with a wide circle of stakeholders. Concepts such as social inclusion, affordability, stakeholder engagement, user participation, preferences and acceptability are increasingly being acknowledged as keys to integrated and participatory approach to urban water management and essential elements to be incorporated into urban water management. • Drawing the distinction between water as a service and water as a resource, especially with respect to understanding conflicts and their resolution. As the lack of such a distinction is at the root of urban water conflicts, it is crucial to consider water rights and allocation issues in integrated urban water management strategies and policies. • Close the gap between academic research and practice by identifying the specific research needs, promoting demand-driven research, making research findings accessible and usable, translating research findings into practical guidelines for immediate application and supporting capacity building activities in developing countries.

4 A PARADIGM SHIFT TOWARDS SUSTAINABLE URBAN WATER MANAGEMENT Fully recognising the need to re-think the way in which water resources are managed and used in urban areas, the Paris Statement outlines a set of recommendations for strategies that will lead to a paradigm shift towards sustainable urban water management. The recommendations encompass a holistic approach to urban water management based on several key concepts, including: making interventions over the entire urban water cycle; enhancing resilience of urban water systems to global change pressures; applying demand management and the reconsideration of the way water is used and re-used; making more prudent use of existing infrastructure as well as of local and natural systems; improving governance and financial management structures; and promoting more active stakeholder participation. Specific recommendations for action to be taken at all levels are the following:

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•

Sustainable policies, strategies and practices are needed in response to global change pressure on urban waters, in order to safeguard quantity and quality of water resources and its aquatic habitats.

•

•

•

•

•

•

•

Urban water systems that can adapt to global changes are therefore key, and urban water managers are urged to implement the design of adaptive, flexible, robust, cost-effective systems capable of responding to these changes rather than locking into standard, rigid solutions. The concept of sustainability needs to be operationalised to include the aspirations and preference of local communities. The adopted sustainability framework must be adaptable enough to reflect local conditions and priorities, should not hinder other objectives related to poverty alleviation and development, and should ensure appropriate stakeholder participation. Higher priority must be given to the protection and holistic management of groundwater, considering its value both as a water resource and a contributor to aquatic ecosystems. Greater consideration must be paid to the protection of aquatic ecosystems and habitats, both for their intrinsic value and for the ecosystem goods, amenities and services that they provide. Urban water managers should have ecological sustainability as a central goal in their management decisions and promote ‘ecosensitive’approaches in the design and operation of urban water infrastructure. Decisions related to urban water management must address uncertainty and variability associated with global changes. A risk-based, adaptive management approach should be adopted to account for these uncertainties, based on the precautionary principle, underpinned by appropriate data on urban water cycle components and their interactions. This will aid decision makers to implement urban water management systems that are robust, adaptable and sustainable under these future change pressures. Technological innovations should be adopted where appropriate. Development and transfer of new technologies and techniques such as advanced water and wastewater treatment processes, greywater reuse and eco-sanitation are essential for optimising and enhancing the design, performance and efficiency urban water systems. In addition to the role of developing and promoting new technologies, innovation based upon the involvement of users should be increasingly adopted. The involvement of stakeholders will help overcome key technological, institutional, and economic barriers to sustainable water management. The sustainability paradigm implies the need for trans-disciplinary action, ensuring the widest possible engagement of key stakeholders in the decisionmaking process. Knowledge and understanding developed internationally in the area of urban water management must be translated into practice by developing capacity amongst people and institutions to adopt

and implement these solutions. This can be achieved by expanding international partnerships with academia, governments and industry reflecting the complementary strengths of each partner. In this way, it is possible to catalyse and coordinate collaborative and integrated scientific planning and delivery across the globe. A global network of urban water champions and expertise should be established to spearhead a concerted effort to serve the capacity development needs underpinning the international urban water agenda. This global network should work in close collaboration with key regional partners worldwide, to strengthen existing institutions and structures responsible for training water professionals in the area of urban water management. Working in this way will ensure that the activities are tailored to include country or region specific elements. • Finally, an urban water global platform should be established for policy dialogues and debates on the most pressing problems and challenges faced by developing countries and countries with economies in transition, engaging a wide spectrum of expert groups, professional, international and multilateral organisations.

5

CONCLUSIONS

The Paris Symposium on urban water (2007) concludes that urban water management will undergo significant changes over the next decade. Impacts of global climate change, increasing urbanisation and changing demographics, all pose significant challenges for urban water managers. Yet advances have been made in such diverse areas as data management, understanding and management of the components of the urban water cycle and their interdependencies, technological innovations at local scale, risk reduction strategies, water demand management, adaptive capacity, better understanding of ecosystem health and habitat protection. Furthermore, new insights leading to more sustainable approaches have emerged into the role of institutions and other key stakeholders, into the governance and financial aspects of urban water management and to the importance of individual users and their communities. There is no doubt that new directions will be pursued in urban water management and the challenge is to ensure that these will maximise the benefits to all peoples and the one planet we share.

ACKNOWLEDGEMENT The UNESCO-IHP Secretariat thanks the task group, consisting of members of the Scientific Committee of

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the Symposium, for its contribution to the consultation process leading to the Paris Statement on urban water (2007).

REFERENCES Atasoy M., Palmquist R. B. and Phaneuf D. J. (2006). Estimating the effects of urban residential development on water quality using microdata. Journal of Environmental Management, 79 (2006): 399–408. DoAmaralV. S., da Silva R. M., Reguly M. L., and deAndrade H. H. R. (2005). Drosophila wing-spot test for genotoxic assessment of pollutants in water samples from urban and industrial origin. Mutation Research 583 (2005): 67–74. EEA (2007). Climate change and water adaptation issues. European Environment Agency, EEA Technical report No 2/2007. IIED (2007). Adapting to Climate Change in Urban Areas: The Possibilities and Constraints in Low- and Middleincome Nations. Satterthwaite D., Huq S., Pelling M., Reid H., and Lankao P. R., IIED Human Settlements Discussion Paper Series. Theme: Climate Change and Cities – 1., International Institute for Environment and Development, UK. IPCC (2007). Climate Change 2007: Impacts, Adaptation and Vulnerability. Contribution of Working Group II to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change, M.L. Parry, O.F. Canziani, J.P. Palutikof, P.J. van der Linden and C.E. Hanson (eds.), Cambridge: Cambridge University Press. Karavitis C. A. (1998). Drought and urban water supplies: the case of metropolitan Athens. Water Policy, 1 (1998): 505–524. Prüss-Üstün A., Bos R., Gore F., and Bartram J. (2008). Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health. World Health Organization, Geneva. Shepherd K. A., Ellis P. A. and Rivett M. O. (2006). Integrated understanding of urban land, groundwater, baseflow and

surface-water quality – The City of Birmingham, UK. Science of the Total Environment, 360 (2006): 180–195. Showers K. B. (2002). Water Scarcity and Urban Africa: An Overview of Urban–Rural Water Linkages. World Development, 30 (4): 621–648. UNESCO-IHP (2006). Urban Water Conflicts. UNESCO Working Series SC-2006/WS/19, International Hydrology Programme (IHP) of UNESCO. UNFPA (2007). The State of World Population 2007: Unleashing the Potential of Urban Growth. United Nations Population Fund (UNFPA), New York. http://www.unfpa. org/swp (accessed 22 June 2008). UN-HABITAT (2006). Analytical Perspective of Pro-poor Slum Upgrading Frameworks. United Nations Human Settlements Programme (UN-HABITAT). United Nations (2004). Drinking water supply and sanitation services on the threshold of the XXI century. (prepared by Jouravlev A.), Economic Commission for Latin America and the Caribbean (ECLAC) of the United Nations. United Nations (2006). Water governance for development and sustainability. (prepared by Solanes M. and Jouravlev A.), Economic Commission for Latin America and the Caribbean (ECLAC) of the United Nations. United Nations (2007). The Millennium Development Goals Report 2007. The United Nations Department of Economic and Social Affairs, New York. http://www.un.org/millenniumgoals/ (accessed 18 June 2008). WMO/UNICEF (2006). Meeting the MDG Drinking Water and Sanitation Target: The Urban and Rural Challenge of the Decade. WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation. http://www.wssinfo.org/ pdf/JMP_06.pdf (accessed 10 June 2008). World Bank (2000). Reforming the Urban Water System in Santiago, Chile. (prepared by Shirley M. M., Xu L. C., and Zuluaga A. M.). The World Bank, Policy Research Working Paper 2294. Zeng F., Cui K., Xie Z., Liu M., Li Y., Lin Y., Zeng Z., and Li F. (2008). Occurrence of phthalate esters in water and sediment of urban lakes in a subtropical city, Guangzhou, South China. Environment International, 34 (3): 372–380.

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Part four: Rethinking water governance There is an undeniable urban water challenge regarding inequity in water access and sanitation – a great deal of which has to do with issues of governance. Amongst the challenges for the 21st century is the creation of country-wide sanitation plans/national coordinating bodies and better cooperation between public, non-governmental and private sectors. The politicisation of water cuts across multiple scales – from trans-boundary water transfer and trade of virtual water to accessibility in slum communities. Water is an economic commodity and the pricing of water and sewerage services require innovation to ensure access to all. The political and juridical aspects of water governance entail bridging science and policy as basis for effective implementation of water legislation. Shared water governance in urban context is a necessity and new models of engagement in various contexts hold invaluable lessons for replication. This session addresses the political, economic and social reforms that are needed to make conclusive and significant progress of current and emerging water problems. Issues investigated include: • • • • •

innovative policies and practices in the water sector equity in water distribution and sanitation in a world of economic globalisation matching water infrastructure demand and financial resources water management in relation to mobility, ecology, tourism, cultural inheritance water resources as common pool resources

Keynote papers

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Rethinking water governance Cecilia Tortajada Third World Centre for Water Management, México Director, International Centre for Water, Zaragoza, Spain

1

INTRODUCTION

The environmental discourse has evolved over recent decades by taking into consideration points of view, needs and interests of different interested parties. The objective has been to incorporate the most relevant social and environment-related aspects into national public policies as well as to take them into the international arena. In general, developed countries have shown greater interest in regulating patterns of consumption, in the more rational use of natural resources, and in the prevention of water and air pollution and their consequences in terms of public health. By contrast, the concerns of developing countries have mainly focused on the issues of population growth and ways to improve economic (income) and social (housing, land use and access to clean drinking water) conditions for their inhabitants. It has been discussed, however, that a different type of development paradigm is needed which is more efficient in terms of use of non-renewable resources and less harmful to the physical environment, as well as more inclusive in terms of participation and responsibilities. With time, the focus of the discussions has changed, discourses on specific issues have ebbed and flowed, and new and modified paradigms have been proposed. In spite of this, development practices have had limited impacts on poverty alleviation, and the global environmental situation continues to deteriorate. In other words, deeds have not matched the words of the national and international leaders and their institutions (Tortajada 2007a, b). Within this evolution of concepts and terminology, it is now governance, and mostly varying concepts of “good governance,” that has permeated the development discourse. Extremely challenging and complex, governance is regarded as an umbrella concept that considers multi-faceted processes where societal goals are pursued through the interaction of all interested actors in specific fields of development. The processes require the promotion of decision-making dialogues and the participation of multiple stakeholders. It also takes into consideration how governments and social organisations interact, how they relate to citizens, how

decisions are taken, and how accountability is rendered (Graham et al., 2003). Because the concept of governance is used in many different ways, this paper will not even attempt to assess it comprehensively. Instead, it will present the discussion of governance and water governance as a concept, and as a reality, particularly within the context of two urban areas: Mexico City MetropolitanArea and Singapore. 2

GOVERNANCE AS A CONCEPT

Governance is not synonymous with government. It is instead a complex process that considers multi-level participation beyond the state, where decision-making includes not only public institutions, but also private sector, civil society and the society in general. Good governance frameworks refer to new processes and methods of governing and changed conditions of ordered rule on which the actions and inactions of all parties concerned are transparent and accountable. It embraces the relationships between governments and societies, including laws, regulations, institutions, and formal and informal interactions which affect all the ways in which governance systems function, stressing the importance of involving more voices, responsibilities, transparency and accountability of formal and informal organisations associated in any process. Because of its complexity, good governance clearly does not just appear: it is instead the culmination of multi-faceted, long-term processes that have to be carefully planned and nurtured. For good governance to develop, overall conditions and the general environment must be made appropriate; parties concerned must be amenable to collective decision-making; effective and functional organisations need to be developed; and policy, legal and political frameworks must be suitable to the goals that are being pursued for the common good (Rhodes, 1996; Kooiman, 2003; Tiihonen, 2004).1 1

In terms of definitions, each organisation has described “governance” in its own terms. For example, for the Organisation for Economic Co-operation and Development (OECD),

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Since governance-related issues are not just public or private, but are frequently shared, governance activities at all levels become diffuse over various societal actors whose relationships with each other are constantly changing. The challenge for anyone involved in governing and governance is to make public, private governance denotes the use of political authority and exercise of control in a society in relation to the management of its resources for social and economic development (OECD, 1995). The World Bank defines governance as the way in which power is exercised in the management of the economic and social resources of any country. It takes into consideration the countries’ political regimes, the processes by which authority is exercised in the management of economic and social resources for development of the nation, and the capacity of governments to formulate and implement policies and allocate functions. The World Bank has set three goals for good governance which include empowering citizens to hold governments accountable through participation and decentralisation; enabling governments to respond to new demands by building capacity; and enforcing compliance with the rule of law and greater transparency (World Bank, 1994). The United Nations Development Programme (UNDP) considers governance as the exercise of economic, political and administrative authority to manage the affairs of any country at all levels, and the mechanisms, processes and institutions through which citizens and groups articulate their interests, exercise their legal rights, meet their obligations and mediate their differences (UNDP, 1997). Similarly to other international organisations, UNDP considers that good governance requires participation, transparency and accountability, and that it should promote the rule of law. Governance encompasses the state, but also the private sector and the civil society organisations. The Commission on Global Governance regards governance as a multi-level phenomenon. It describes it as the sum of the ways in which individuals and institutions, public and private, manage their common affairs through a continuing process that accommodates conflicting and diverse interests while fostering cooperative actions. In other words, governances refers to the many channels through which ‘commands’ flow in the form of goals framed, directives issued and policies pursued. It includes formal institutions and regimes empowered to enforce compliance, as well as informal arrangements to which people and institutions either have agreed to or perceive to be in their interest (Commission on Global Governance, 1995). The European Union establishes its own concept of governance in the While Paper on European Governance. The term ‘European Governance’ refers to the rules, processes and behaviour that affect the way in which powers regarding openness, participation, accountability, effectiveness and coherence are exercised in the European Community. Multilevel governance identifies the challenge of articulating the action of independent public actors at different geographic levels towards shared objectives. Since the idea of governance highlights the involvement of regional, local and non-governmental actors in the policy-making process, it is increasingly clear that the success of the decision-making and the acceptability of its rules depend on such actors being involved.

and societal actors, participate at solving problems and creating opportunities under both normative and institutional frameworks that provide the foundations for any activities. For these complex interrelationships to succeed they have to take into consideration that they are interdependent and that no single actor, public or private, has the knowledge or information to solve the changing societal challenges on his own. This is, no actor has the sufficient umbrella to make the necessary instruments effective on his own or sufficient action potential to unilaterally dominate the decision-making arena (Kooiman, 2003). Regarding civil society, governance encourages it to play a role both as a responsible stakeholder and as an increasingly important force for reforms and development processes. Nevertheless, involving civil society as a stakeholder is a very complex political, philosophical and technical task for institution building in any country mainly because of its many-dimensional nature. Responsibilities cannot just be transferred from the state to the society simply because there is no one monolithic group known as “society”: society is composed instead of heterogeneous groups of individuals, citizens, organised associations and unorganised communities with very complex relationships. It has been the complexity of these inter-relations between actors what has meant that the governance discourse can be only implemented to a certain extent, and that is application remains mainly theoretical in nature and concerns mostly the development of strategies and principles but not so much the difficult execution phase (Tiihonen, 2004). 3

GOVERNANCE OF WATER RESOURCES MANAGEMENT AS A CONCEPT

As is the case for the concept of governance, that of water governance is still evolving. There is no universally agreed definition for water governance, and its ethical implications and political dimensions are all a matter of international debate. The result is that different people use the concept in different ways and within varying cultural, economic, social and political contexts. Water governance is perceived, in its broadest sense, as comprising all social, political economic and administrative organisations and institutions, as well as their relationships to water resources development and management. It is concerned with how institutions operate and how regulations affect political actions and societal concerns through formal and informal instruments (UNDESA et al., 2003). According to UNDP (2004) the term water governance includes political, economic and social processes and institutions by which governments, the private sector and the civil society make decisions

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about how best to use, develop and manage water resources. It refers to the range of political, social, economic, and administrative systems that are in place to develop and manage water resources and the delivery of water services at different levels of society. It compromises the mechanisms, processes, and institutions through which all involved stakeholders, including citizens and interest groups, articulate their priorities, exercise their legal rights, meet their obligations and mediate their differences. It emphasises the causality of water-related problems by pointing out not only the natural limitations of the water supply or lack of financing and appropriate technologies, but rather from profound failures in water governance, such as the ways in which individuals and societies have assigned value to, made decisions about, and managed the water resources available to them. Water governance and water management are interdependent issues in the sense that effective governance systems are meant to enable practical management tools to be applied properly as the situations require. Partnerships between the public and private sectors, participation of stakeholders, and economic or regulatory instruments will not be effective unless there are administrative systems in place as well as commitments of governments, private sector groups and civil society organisations. Even though reform of water institutions and policies is taking place in many countries, the progress has been rather slow and limited. In most of the countries of the developing world, water institutions do not function properly and many of them display fragmented institutional arrangements and overlapping and/or conflicting decision-making structures (UNDESA, et al., 2003). Water governance is also considered as the context within which integrated water resources management can be applied (Rogers and Hall, 2003). Nevertheless, while integrated approaches are considered to be the ideal alternative to manage water in more effective ways, their implementation remains incomplete in most countries, regardless of their stage of development. 4 WATER GOVERNANCE IN URBAN ENVIRONMENTS: PRACTICAL EXPERIENCES Governments in developing countries have difficulties to face the rapid expansion of the cities. Based on the 2002 coverage and the UN forecast of urban population growth, meeting the water supply Millennium Development Goals by 2015 requires that services will be extended to 1.5 billion people out of which 960 million will live in cities (OECD, 2008). With increasing urban growth in the world, large cities have become a growing phenomenon. As globalisation progresses, urban regions have emerged

as key planers in the world economy in pursuit of competitiveness, making them major local and national policy objectives. Nevertheless, at the same time that urban areas represent engines for national development, their uncontrolled growth have made their governments to face enormous concerns to provide, at the same time and with the same priority, economic competitiveness, good quality of life, and efficient services based on finite and abused natural resources. In addition, the development of innovative water policies or institutional reforms, often include an increased space for involvement of stakeholders, including central and non-central state actors, private sector and societal groups. It is important to mention that processes that involve dialogue, interaction and debate between stakeholders are enormously intricate, as it also is to persuade the different actors to recognise and assume its responsibility for the protection and conservation of the resources they use. The more frequent means by which stakeholders can have a say in decision-making is through the interest groups to which they belong. However, when only such groups (many of them non-governmental organisations) are involved, the views that are put forward may not always be sufficiently representative of the individuals as a whole. This is because groups of stakeholders neither include all of the citizenry nor represent all of its needs and concerns. In addition, stakeholders who are affected by a particular decision or problem are not necessarily all represented in the groups that are prepared to take part in decision-making on specific issues, including members of local institutions, groups of users, or normally excluded sections of the population. Even when participation can be useful in understanding the reasons that lie behind a particular decision, it provides no final assurance that any agreement can be reached among the parties involved. It is commonly assumed, for example, that participation helps to build consensus and prevent conflict and that dialogue provides an opportunity for stakeholders to discuss and have a better understanding of the different viewpoints. However, although participation processes represent an opportunity for stakeholders to share objectives, experiences, responsibilities, and be more agreeable to the solutions that will be reached, this is clearly not always the case. In many cases, interests and ideologies prevail that make no allowance for interaction and exchange of ideas, blocking any work towards a common objective. Participation is not, therefore, some lofty ideal: stakeholders and members of the society interested in an issue may join a process of participation for specific motives that, far from implying the quest for a common goal, represent an effort to impose specific interests. Thus, the challenge is not that people

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and organisations, both formal and informal, take part per se in processes of participation. The challenge is that they do so be fully aware of the facts and the accompanying sense of responsibility that commits them to making constructive contributions to the common cause, and stand by group decisions even when the results fail to coincide with their very own interests. Participation must not be understood as an end in itself with the organisation of participative processes as the final objective. Participation has to be a means of achieving joint responsibility of the different economic and social sectors in the decisions-making of which they form part of the problems as well as of the solutions. The role of governments is to promote processes and establish spaces for communication, information and participation where proposals are discussed, decisions are taken, and mechanisms are established that link government actors and other stakeholders. Participatory processes tend to remain as good intentions if specific mechanisms are not devised to guarantee involvement of all interested and affected parties in decision-making and to facilitate the representation of traditionally marginalised and informal interests. Specific national and international guidelines are, therefore, required in order to promote social participation in decision-making on environmental issues. 4.1 The case of Mexico City Metropolitan Area The Mexico City Metropolitan Area (ZMCM for its acronym in English) regards water as a matter of security. Nevertheless, its escalating demands in terms of food, clean water, drainage and treatment of wastewater, electricity, education and health services, has had for years negative impacts not only at the local level, but at the regional level, in the surrounding states and regions which are forced to supply increasing commodities to the metropolitan area. The fact that the ZMCM continues increasing its size, and therefore, demands, should result in the implementation of development models based on social equity and environmental considerations not only at the local level, but at the regional level, which is where its reach of influence extends. The ZMCM includes both the Mexico City, and 41 municipalities of the State of Mexico. In 2005, it officially had a population of 18.8 million people living in a population density that varies from 13,500 to 131 persons/km2 . The special character of this region is due to its geographical location in a closed basin. Its sheer size, the phenomenal growth rate witnessed between 1950 and 2005 (from 2.9 million people to more than 20 million at present), and the fragmentation of the institutions for water supply and sanitation, in addition to the lack of financial and human resources

capacities, have made it a challenge to be managed in any comprehensive manner (Tortajada, 2006). 4.1.1 Water supply Water supply in the ZMCM depends primarily on local groundwater sources and on inter-basin transfers. In order to supply the necessary water, the annual rate of withdrawal from the aquifer is significantly higher than the recharge rate. This mismatch has resulted in significant over exploitation, which has contributed to the lowering of groundwater table by about one metre each year. Suffering of increasing land subsidence, the sinking of the city has resulted in extensive damages to its infrastructure, including water supply and sewerage systems and degradation of the groundwater quality. Energy-wise is also very costly, consuming up to 20% of the electricity which is produced at the national level. Protection of the conservation of rural areas of Mexico City should be of fundamental importance in terms of water security since it has a direct bearing on groundwater recharge. However, rural areas (or conservation areas) are under increasing threat because of steady urban growth. During 1980–2000 period, 76% (377,999 units) of the new houses that were constructed in Mexico City alone were located in the areas with more conservation areas. Expansion of illegal settlements has also become a critical problem. In 2003, more than 800 irregular settlements with approximately 60,000 families were living in 2,400 ha of land (PNUMA, 2003). More then 5% of the people living in the ZMCM do not have access to water. While some of them receive water from the government in tankers, people have to purchase water also from private vendors. The cost of water (200 litre-containers) often represents from 6 to 25% of their daily salaries. In addition, drinking water for much of the population of the metropolitan area comes from 20–30 litres containers of purified water which are sold commercially. The reason for this is near universal distrust of the quality of tap water. This means that not only the population with no access to tap water spend a certain percentage of their income buying water, but also people with access to tap water have to buy containers of water which quality control is often times questionable (Marañón, 2008). In fact, Mexico as a country is the second largest consumer of bottled water in the world. Consumption has increased from 11.6 billion litres in 1999 to 17.7 in 2004 (Rodwan, 2004). 4.1.2 Wastewater management or wastewater disposal? In the ZMCM, about 50 cubic metres per second of wastewaters are disposed with no treatment. Almost all of this water is used for irrigation purposes, resulting in very significant health and environment-related

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Table 1. shows the consumption of energy in Mexico City from 2000 to 2005 to supply clean water to the users of Mexico City, as well as to transport wastewater out of the city. Drinking water

Sewerage

Year

Kw

Cost (US$)

Kw

Cost (US$)

2000 2001 2002 2003 2004 2005

591,829,613 566,768,577 588,677,032 576,205,581 607,504,879 597,053,712

$38,321,468 $39,530,171 $46,346,748 $48,835,272 $57,002,123 $60,505,762

84,842,136 99,243,291 74,017,076 96,594,510 86,928,012 98,899,836

$5,710,795 $5,346,993 $6,916,613 $8,776,726 $9,133,175 $11,222,121

Source: Sistema de Aguas de la Ciudad de Mexico, personal communication, 2008. Note: Exchange rate, 1 US dollar = 10.8825 Mexican pesos

problems and concerns. Globally, ZMCM is the largest single producer and exporter of wastewater that is used for agricultural purposes. From the beginning of the 20th century, wastewater from the City has been diverted to the Mezquital Valley, about 100 kilometres north of Mexico City. This area has become an important agricultural area by using this untreated wastewater, with 110,000 ha of official and unofficial command area, and more than 50,000 water users in the different irrigation districts. The continuous transfer of wastewater for over a century, and the excessive irrigation by the farmers to counteract its salinity, has resulted into groundwater recharge of the local aquifer. The groundwater level table has gone up and several springs have appeared; these have become a source of water for the local population. Unfortunately, no serious and reliable study is currently available on the quality of groundwater or the springs in the Valley, as well as their overall impacts on human health and the environment (Tortajada, 2006). In 1996, the Inter-American Development Bank approved a U.S. $1,035 million project for the Mexico Valley Sanitation Project. Unfortunately, this muchneeded project did not proceed mainly due to economic and political reasons (STAT-USA, 2004). In 2004, water institutions from Mexico City, the State of Mexico and institutions at the federal level were working jointly with the Inter-American Development Bank (IDB) and the Japan Bank for International Cooperation (JBIC) to develop the terms and references related to the construction of four wastewater treatment plants. The total budget for this project was approximately U.S. $1 billion, of which IDB would contribute U.S. $365 million for the collectors system, the JBIC would provide U.S. $410 million for the wastewater treatment plants and U.S. $260 would be the responsibility of the federal government, Mexico City and State of Mexico governments (Iracheta, 2004). This enormous sanitation project was abandoned for years by the federal government, Mexico City and

State of Mexico authorities, being reconsidered only recently. Seven treatment plants, instead of the seven mentioned initially, are now expected to be constructed with a total capacity of 40 cubic metres per second (CONAGUA, no date). The approximate investment will be U.S. $2,345 million. Only time will tell if the project will be developed in its totality. 4.1.3 Energy consumption and its relation to water Drinking water to Mexico City has to be pumped to a height of more than 1000 m. Equally, because of the increasing soil subsidence, wastewater also has to be pumped up to discharge it out from the city. The above has made water supply and sewerage very energyintensive and thus expensive. In 2000, for example, energy used in the ZMCM on pumping clean water, treating water for drinking purposes, and collecting wastewater and rainwater was 2.436 PJ (Sheinbaum and Vázquez, 2006). As it can be observed, the necessary energy to pump clean water has cost the country almost US$600 million per year between 2000 and 2005. 4.1.4 Strategies for water resources management? Strategies to increase water supply and sewerage services have focused mainly on infrastructure development throughout the years, without much consideration for the considerable economic, social and environmental costs. Demand management practices such as reduction of unaccounted for losses (approximately 30%), water pricing and other water conservation practices have to be effectively implemented in the region. Water in the metropolitan area is both scarce and expensive. In spite of this fact, however, it is not reused or treated after use, but discharged raw with the associated environmental and health-related problems, to another basin. Unfortunately, even then, long-term and rational planning as well as coordinated policies for the development and management

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of the metropolitan area—including water resources— are still not priorities for the federal government or the government of Mexico City and State of Mexico (Iracheta, 2004). In 2003, due to the lack of response of the Federal Government and the Government of Mexico City to the request of the Government of State of Mexico to renegotiate the agreements to transfer water to the Mexico City from one of its sources (Lerma River), the Government of State of Mexico filed a lawsuit against the Federal Government and the Government of Mexico City. The lawsuit demanded the payment of US$2.5 billion as compensation for the use of water from the Alto Lerma from 1970 up to that moment. It also demanded that the Federal Government became responsible for the operation of the infrastructure, which is operated by the Government of Mexico City since the construction of the projects even though they are located in State of Mexico. Finally, it demanded that the Federal Government implemented actions to recharge the aquifers (Perló and González-Reynoso, 2005). Even though Mexico City pays to the Federal Government the rights for the bulk water it receives from the State of Mexico,2 the lawsuit from State of Mexico asked for compensation for the environmental damages that have been caused due to the overexploitation of the Lerma River. The decision of the Supreme Court was expected to set precedents for similar cases in the future. However, in October 2005, the newly elected Governor of State of Mexico publicly declared that he would withdraw the lawsuit, since he preferred to work with the Federal and Mexico City governments to find an amicable solution. It is obvious that the present approach to the management of the water supply and wastewater in the metropolitan area is neither efficient and equitable nor sustainable. In order to fulfil the needs of an expanding population in terms of water quantity and quality, and to simultaneously maintain a proper balance between the people, natural resources, environment and health, it is necessary to formulate and implement a long-term integrated management plan, which does not exist at present. This should explicitly consider the needs and interests of the different economic sectors in both Mexico City and State of Mexico, and also the numerous existing inefficiencies in management can be overcome. Water allocations for the different consumers need to be systematically planned and be better organised. More efficient institutional arrangements and coordination between the governments of both the regions of ZMCM are essential. Joint and more efficient institutional

2

In 2001, the Mexico City Government paid to the Federal Government approximately US$109 million/year, or US$299,000 per day (Iracheta, 2004).

mechanisms are needed to substantially improve the exiting practices. The relevance and importance of public consultations and involvements in preparing and implementing such plans should not be underestimated. Such stakeholders’ consultations are now conspicuous by their absence. Finally, there is no doubt that there is an enormous room for improvement in the existing and proposed practices for water management in the Metropolitan Area of Mexico City. However, a policy that considers exclusively the water sector is unlikely to be successful. It needs to concurrently consider linkages to policies on urban development (so far an issue that has been ignored), migration, industry, energy and environment. It will not be an easy task, but nevertheless, it is an essential task. 4.2 Singapore3 While the size of the geographical area does matter, so too does the planning and effectiveness of decision-makers. Singapore is an exceptional example of what planning and management as well as long-term vision can achieve in a period of time as short as 40 years. Singapore, being a water-scarce country due to limited amount of land where rainfall can be stored, has developed—and implemented— innovative solutions that have included both demand and supply management strategies. Demand management strategies have included water transfer from Johor in Malaysia, management of their reservoirs, desalination and development of very high technology to treat used water and produce very high quality water, known as NEWater. Supply management strategies have included conservation practices, tariffs to promote water conservation, and large public education campaigns. Overall planning and management strategies developed in Singapore have not been matched anywhere in the cities of the developed world, irrespective of their size. It has been said that solutions in Singapore can be implemented because of the small size of the city-state. Nevertheless, demand and supply management strategies are, or should be, common practice everywhere, especially in large cities where the needs to manage properly the water resources available is more pressing due to the size of the population that has to be served. 4.2.1 Water Supply Management In addition to the importation of water from Johor, Malaysia, Singapore has made a determined attempt 3 This section is based largely in the paper by the author on “Urban Water Management in Singapore” published in the International Journal of Water Resources Development (Vol. 22, No. 2, June 2006, pp. 227–240).

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to protect its water sources (both in terms of quantity and quality on a long-term basis), expand its available sources by desalination and reuse of wastewater, and use technological developments to increase water availability, improve water quality management and steadily lower production and management costs. PUB, at present, has an in-house Centre for Advanced Water Technology, with about 50 expert staff members who provide it with necessary research and development support. Over the years, catchment management has received increasing emphasis. Protected catchment areas are well demarcated and gazetted (Appan, 2003), and no pollution-causing activities are allowed in such protected areas. In land-scarce Singapore, protected catchment classification covers less than 5% of the area. Desalination is becoming an important component for augmenting and diversifying available national water sources. In late 2005, the Tuas Desalination Plant, the first municipal-scale seawater desalination plant, was opened at a cost of US$119 million. Designed and constructed by a local water company, Hyflux, it is the first design, build, own and operated desalination plant in the nation. The process used is reverse osmosis and it has a capacity of 30 mgd (million gallons per day). The cost of the desalinated water during its first year of operation is S$0.78/m3 . Faced with the strategic issue of water security, Singapore considered the possibility of recycling wastewater (or used water) as early as 1970s. It opted for proper treatment of used water. However, the first experimental recycling plant was closed in 1975 because it proved to be uneconomical and unreliable: the technology was simply not available three decades ago to make such a practical plant. In 1998, a Water Reclamation Study by the thenMinistry of the Environment and PUB was set up to determine the suitability of using reclaimed water to supplement our water supply. An international panel of experts was assembled in 1998 to provide independent advice and assessment. In 2000, a 2 mgd demonstration plant at Bedok Water Reclamation Plant commenced operation. The demo plant confirmed the safety and potability of NEWater. The Expert Panel, in 2002, endorsed that NEWater is safe and sustainable source of water supply for Singapore. The quality of NEWater was found not only to exceed water quality standards of the Environmental Protection Agency of the United States and the World Health Organisation, but was also better than the water supplied by PUB. After this successful demonstration, PUB decided to produce NEWater on a large scale to supplement our traditional supplies, a step that very few countries have taken. Wastewater is reclaimed after secondary treatment by means of advanced dual-membrane and

ultraviolet technologies. NEWater is used for industrial and commercial purposes, even though quality wise it is safe to drink. Since its purity is higher than tap water, it is ideal for certain types of industrial manufacturing processes, like semiconductors which require ultrapure water. It is thus economical for such plants to use NEWater since no additional treatment is necessary to improve water quality. With more industries using NEWater, more PUB water could be freed up for potable use. Singapore is able to produce NEWater as Singapore has separate drainage and sewerage systems. As Singapore is 100% sewered, all wastewater is collected and treated to international standards fit for discharge to the sea or for reuse. A small amount of NEWater (2 mgd in 2002 and 5 mgd in 2005, or about one percent of the daily consumption of the country) is blended with raw water in the reservoirs, which is then treated for potable use. There are at present three plants producing NEWater plants at Seletar, Bedok and Kranji. These plants have a total capacity of 20 mgd and will provide water to the north-eastern, eastern and northern parts of Singapore, respectively, served by a distribution network of more than 100 km of pipelines. PUB has recently awarded another PPP project to construct the country’s largest NEWater factory at Ulu Pandan, with a capacity of 25 mgd. This plant will supply water to the western part and central business district of Singapore. Once this plant is operational, the overall production of NEWater will represent more than 10 percent of the total water demand per day. The overall acceptance of this recycled ultra-pure water has been high. By 2011, NEWater is expected to meet 15 percent of Singapore’s water needs. The first year tender price for NEWater from the Ulu Pandan plant was S$0.30/m3 , which was significantly less than the cost of desalinated water. The selling price of NEWater is S$1.15/ m3 , which covers production, transmission and distribution costs. Because the production cost of NEWater is less than that of desalinated water, future water demands are planned to be covered with more NEWater rather than with construction of desalination plants. The supply of water is further expanded by reducing unaccounted for water (UFW). Unlike other South and South-eastAsian countries, Singapore simply does not have any illegal connections to its water supply systems. As shown in Figure 1, in 1990, unaccounted for water (UFW) was 9.5% of the total water production (PUB, 2007). Even at this level, it would still be considered to be one of the best examples in the world at the present time. However, PUB has managed to lower the UFW consistently to 4.5% in 2006. This is a level which no other developed country can match at present. In fact, UFW in most Asian urban centres now range between 40 and 60%.

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Year Figure 1. Unaccounted for Water, Singapore, 1990–2006 Source: Water Supply Network Department. Public Utilities Board, Singapore, 2007

4.2.2 Demand Management Concurrent with the diversification and expansion of water sources, PUB has put in place a well thought out and comprehensive demand management policy which includes water tariffs, a water conservation tax and a water-borne fee to offset the cost of treating used water and for maintenance and extension of public sewerage system The tariffs had a notable impact on the behaviour of the consumers, and have turned out to be an effective instrument for demand management. This is a positive development since the annual water demands in Singapore increased steadily, from 403 million m3 in 1995 to 454 million m3 in 2000. The demand management policies introduced have resulted in lowering of this demand, which declined to 440 million m3 in 2004. In terms of equity, the Government provides specially targeted help for the lower income families. Households living in 1- and 2-room flats receive higher rebates during difficult economic times. For hardship cases, affected households are eligible to receive social financial assistance from the Ministry of Community Development, Youth and Sports.

and developing world can learn from the PUB experience. Human resources. An institution can only be as efficient as its management and the staff that work for it, and the overall social, political and legal environment within which it operates. In terms of human resources, PUB has some unique features in terms of management which makes it stand out among its other Asian counterparts. In vast majority of the Asian water utilities, service providers mostly have limited say on staff recruitment and staff remuneration. Consequently, the utilities are rife with following type of problems:

4.2.3 Overall Governance The overall governance of water supply and wastewater management systems in Singapore is exemplary in terms of its performance, transparency and accountability. There is much that both the developed

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•

Staff, including senior managers, is often selected because of their political connections, rather than their management abilities or technical skills. • Managers often do not have the skill to manage, even if they had autonomy and authority to manage, which often they do not. • Water utilities are overstaffed, primarily because of political interference and nepotism. Unions are very strong, and generally are well-connected politically. Accordingly, downsizing is a difficult task because of strong union opposition and explicit or implicit political support. Overstaffing ensures low productivity and low staff morale. • Utilities are not allowed to pay their professional staff members the going market rates for

remuneration, which sometimes could be 2–3 times higher. This means that they are unable to attract and retain right calibre of staff. Many staff moonlight to obtain extra income, and corruption is rife in nearly all levels. • Utilities are dominated by engineers, and the career structure available for other disciplines like accountants, administrators, social scientists, information technologist, etc., is somewhat limited. This is another disincentive for non-engineers to join. • Poor management, overstaffing, and promotions because of seniority or political connections ensure that it is very difficult to recruit good staff, and if some do join, it is equally difficult to retain them because of lack of job satisfaction, poor working environment and absence of incentives fo good performance. Corruption is endemic in most Asian utilities. However, it is not an issue at PUB, which emphasises staff integrity as a key organisational requirement. It has taken measures to prevent corruption by staff training on Code of Governance and Code of Conduct, effective internal control processes, regular audits and strong and immediate sanctions against those who may prove to be corrupt. Staff members are required to make annual declarations, which include Declaration of Assets and Investments and Declaration of Non-indebtness. Complaints of corruption are promptly investigated and reported to Singapore’s Corrupt Practices Investigation Bureau. PUB is a part of the overall Singapore milieu where there are strong anti-corruption laws at the national level with appropriate sanctions that are regularly implemented. In addition, in recent decades, the Government has consistently shown its strong political will to curb all forms of corruption, and take firm actions against all and any form of corruption (see http://www.cpib.org.sg/aboutus.htm). With a good remuneration package, functional institution, and a strong anti-corruption culture, corruption is not an issue at PUB. Autonomy. Absence of autonomy is one of the most fundamental problems that affect most utilities of the Asian developing countries. This, in turn, creates a series of second order problems and constraints which further erode the efficiency of the utilities to perform their tasks efficiently and in a timely manner. A fundamental problem in most Asian cities has been that the process of setting tariffs is primarily controlled by the elected officials, who mostly resist increases because of perceived vested interests. Low levels of tariffs cannot have any impact in terms of managing demands. In fact, low levels of tariffs are not compatible with metering, especially as the cost of metering and processing the resulting information may be higher than the revenue metering can generate. The

problem is further accentuated by low levels of tariff collection. Furthermore, politicians have preferred to keep domestic water prices artificially low, and subsidise it with much higher tariffs from commercial and industrial consumers. For example, according to a World Bank study, in India, domestic consumers used 90% of the water, but accounted for only 20% of the revenues (ADB, 2003). Domestic consumers were thus heavily cross-subsidised by commercial and industrial water users. In contrast, PUB has a high level of autonomy and solid political and public support, which have allowed it to increase water tariffs in progressive steps between 1997 and 2000. Water tariffs have not been raised since July 2000. This increase not only has reduced the average monthly household water demand but also has enabled it to generate funds not only for good and timely operation and maintenance of the existing system but also for investments for future activities. Such an approach has enabled PUB to fund its new capex investments over the years from its own income and internal reserves. In 2005, for the first time, PUB tapped the commercial market for S$400 million bond issue. Under the Public Utilities Act, the responsible Minister for the Environment and Water Resources had to approve the borrowing. The budgeted capex for the year 2005 was nearly S$200 million. Because of lack of autonomy, political interferences, and other associated reasons, internal cash generation of water utilities in developing countries to finance water supply and sanitation has steadily declined: from 34% in 1988, to 10% in 1991 and only 8% in 1998. Thus, the overall situation has been “loselose” for all the activities. The Singapore experience indicates that given autonomy and other appropriate enabling environmental conditions, the utilities can not only be financially viable but also perform their tasks efficiently. Unlike many other similar Asian utilities, the PUB has extensively used private sector where it did not have special competence or competitive advantage in order to strive for the lowest cost alternative. Earlier, the use of private sector for desalination and wastewater reclamation has been noted. In addition, specific activities are often outsourced to private sector companies. According to the Asian Development Bank (November 2005), some S$2.7 billion of water-related activities were outsourced over the “last four years,” and another S$900 million will be outsourced during “the next two years” to improve the water services. 4.2.4 Overall Performance PUB has overcome the above and other related constraints through a competitive remuneration and incentives and benefits package. The salary and benefit package is generally benchmarked against the Civil Service, which, in turn, benchmarks against

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the prevailing market. It provides strong performance incentives which commensurate with the prevailing pay packages for the private sector. In addition, its pro-family policies, commitment to train its staff for their professional and personal development, and rewarding good performers, ensure good organisational performance and development. Consequently, its overall performance has become undoubtedly one of the best in the world. By ensuring efficient use of its limited water resources through economic instruments, adopting latest technological development to produce “new” sources of water, enhancing storage capacities by proper catchment management, practicing water conservation measures, and ensuring concurrent consideration of social, economic and environmental factors, Singapore has reached a level of holistic water management that other urban centres will do well to emulate. 5

FINAL REMARKS

The situation in both cities presented before is diametrically opposed: while Singapore has developed, and implemented, forward-looking strategies in relation to water demand practices, the ZMCM continues exploiting and polluting its limited water resources. The net result has been that Singapore has successfully managed to find the right balances between water quantity and quality considerations; water supply and water demand management; public sector and private sector participation; efficiency and equity consideration; strategic national interest and economic efficiency; and strengthening internal capacities and reliance on external sources. The ZMCM on the other hand, continues to have dismal performances in all the above issues and continues heading deeply into a clearly unsustainable path. This is not a matter of size: it is a matter of inefficient, costly and unreliable water supply services as a result of inappropriate water management practices. Provision of services does not only include operational alternatives, such as development of massive infrastructure that it is always necessary, but not always the best, or the only, alternative. It means the development of a very complex series of issues that have to be adapted to each case, and which include management aspects, address governance concerns, adapt decision making mostly shared between several actors to suit the local conditions, develop a basket of economic instruments as alternative measures as well as encourage human resources skills where the acceleration of socio-economic development is affected by the quality of human resources available (Tortajada, 2008). Varis et al (2006), summarise the situation and the future of several rapidly expanding large cities in various parts of the developing world. In their

analysis, the authors conclude that large cities are dramatic cases of urbanisation and social, economic and environmental challenges. As the authors mention (Varis et al., 2006), in urban areas, provision of water for the various sectors has, understandably, the highest priority. Nevertheless, unless the challenges of “water-after-use” are attended, public health problems and also serious economic consequences from polluted water and deteriorating environmental quality will increase and make sustainability of cities a challenge almost impossible to achieve. It is important to consider that the water footprint of a city goes far beyond the city limits. Urban areas import massive amounts of food, energy, metals and fibre products, etc., which are produced with enormous interruptions to the hydrologic system, both qualitatively and quantitatively, not only within the cities but also outside them. Urban areas are faced with challenges that require immediate action. One of the most important challenges is governance. Governance-related issues are not just the domain of the government any more. The increasing participation of the private sector and societal actors—who are willing, and also demanding, to participate in solving problems that affect them— has made decision-making very complex. Partnerships between the public and private sectors, participation of stakeholders, institutional reforms, and economic and regulatory instruments will not be effective unless there are administrative systems in place as well as commitments of governments, private sector groups and civil society organisations. These complexities increase exponentially within the context of large urban areas. Nonetheless, this does not mean that improving water governance in these areas should not be of a high concern.

REFERENCES Appan, A. (2003). A Total Approach to Water Quality Management in Partly-protected Catchments: The Singapore Experience, International Workshop on Management and Conservation of Urban Lakes, Hyderabad, India, 16–18 June. CONAGUA, Equilibrio Ecológico en el Valle de México: Necesidad Vital, Coordinador de Asesores, Comisión Nacional del Agua, Ciudad de México. Graham, J., B. Amos and T. Plumptre (2003). Principles for good governance in the 21st century, Institute on Governance, Ottawa, Policy Brief No. 15, August. Iracheta, A. (2004). Estado de México: la otra cara de la megaciudad. En: México Megaciudad – desarrollo y política, 1970–2002, P. Ward, Porrua, Ciudad de México, 491–603. Kooiman, J. (2003). Governing as Governance. London: Sage Publications. Marañón, P. (2008). Los costos económicos en salud asociados al deficiente servicio de agua potable: el caso

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de las enfermedades diarreicas en México. Centro del Tercer Mundo para Manejo del Agua, A.C., Ciudad de México. OECD (2008). Environmental Outlook to 2030, Paris. Perló, M., and A. González-Reynoso (2005). Guerra por el agua en el Valle de Mexico? Estudio sobre las relaciones hidráulicas entre el Distrito Federal y el Estado de México. Programa Universitario de Estudios sobre la Ciudad, UNAM, Friedrich Ebert Stiftung y Gobierno de la Ciudad de México. PNUMA (Programa de Naciones Unidas para el Medio Ambiente, Gobierno del Distrito Federal), and CentroGeo “Centro de Investigaciones en Geografía y Geomática, Ing. Jorge L. Tamayo, A.C.,” 2003, Una visión del sistema urbano ambiental, GEO Ciudad de México, México. Rhodes, R.A.W. (1996). The new governance: governing without government. Political Studies, Vol. 44, 652–667. Rodwan, J.G. (2004). Bottled water 2004: U.S. and international statistics and developments, Bottled Water Reporter, April/May. Rogers, P., and A. W. Hall (2003). Effective water governance. TEC Background Papers No. 7. Global Water Partnership, Stockholm. Sheinbaum, C., and O. Vázquez (2006). Estrategia local de acción climática del Distrito Federal, Secretaría del Medio Ambiente del Distrito Federal, Ciudad de México.

STAT-USA (2004). http://www.stat-usa.gov/ Tiihonen, S. (2004). From governing to governance. A process of change. Finland: Tampere University Press. Tortajada, C. (2006). Who has access to water? Mexico City Metropolitan Area. 2006 Human Development Report. Tortajada, C. (2007a). El agua y el medio ambiente en la Conferencias Mundiales de las Naciones Unidas. Agenda 21, Ayuntamiento de Zaragoza, Zaragoza. Tortajada, C. (2007b). Intentos del nuevo milenio hacia el desarrollo sostenible. Agenda 21, Ayuntamiento de Zaragoza, Zaragoza. Tortajada, C. (2008). Tortajada, C., Challenges and Realities of Water Management of Megacities: The Case of Mexico City Metropolitan Area. Journal of International Affairs, 61(2): 147–166. UNDESA, UNDP and UNECE (2003). Governing Water Wisely for Sustainable Development. United Nations Department of Economic and Social Affair, United Nations Development Program and United Nations Economic Commission for Europe. In: The UN World Water Development Report, Water for People, Water for Life. Paris: UNESCO, 369–384. UNDP (2004). Water Governance for Poverty Reduction. Key Issues and the UNDP Response to Millennium Development Goals. New York: United Nations Development Programme.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Development and regulatory challenges in water services to the urban poor: Examples from Uganda and Tanzania Silver Mugisha Institutional Development and External Services, National Water and Sewerage Corporation, Uganda

ABSTRACT: Safe and sufficient drinking water is still not a matter to be taken for-granted all over the world. In developing countries, the provision of safe drinking water still remains a daunting task. Urban Water Supply and Sanitation (WSS) provision has continued to present significant performance challenges, especially to the urban poor communities. This paper uses examples from Uganda and Tanzania to explore five distinct areas that need to be addressed in order to enhance services to the urban poor. These include: customer accountability, environmental protection, investment efficiencies, pro-poor managerial arrangements and cost recovery challenges. We suggest that regulators and/or oversight bodies need to design their activities to optimise these processes as part of efforts to strengthen pro-poor services. Keywords:

1

Cost recovery; environmental sustainability; investment efficiencies; pro-poor

INTRODUCTION

Improved drinking water and sanitation is extremely important when looking at a number of issues related to development in low-income countries. These range from water-related diseases to time lost through longdistances traversed by the urban poor to collect water from communal water points. Other issues relate to low attendance of girls at all levels of education, rampant poverty; gender inequality and “under five child mortality rate” (U5CMR). Undeniably, it is now widely acknowledged that increased access to water and sanitation (WATSAN) services to the urban poor offers profound positive impact on the wider environmental awareness and sustainability. In fact, environmental contamination due to poor penetration levels of WATSAN services in poor communities may adversely affect the availability of clean water for production. Moreover, it may also increase the water treatment costs due to high chemical demand. While the global average for safe drinking water access is 83%, there is tremendous variation among regions (Brown, 2007). In Sub-Saharan Africa, about 42% of the population drinks untreated water. Ruralurban disparities are also significant. Globally, 70% of rural dwellers in developing regions have access to improved drinking water sources and 31% to improved sanitation. In Sub-Saharan Africa, 45% have drinking water and 25% have improved sanitation. Progress towards the sanitation goal is very poor. An estimated

2.6 billion people are without improved sanitation facilities; and if 1990–2002 trend holds the sanitation millennium development target will be missed by 0.5 billion people worldwide. The above situation is not helped by the fact that in low income countries and regions, hopes that development risk finance would catalyse greater private sector investment did not materialise. For instance, in 2002 less than 0.2% of total global private sector investments in the water and sanitation sector in all developing countries went to Sub-Saharan Africa1 . Overall, multi-national water operating company involvement and interest in developing countries is declining significantly. In a visit2 to a number of multi-national water companies in Europe and South Africa, the international water operators alluded to the fact that they now see their role as being operators and managers of water projects in the developed world and are reluctant to invest equity outside their home markets. The companies are extremely careful about investing in perceivably risky markets where return on investment is not 1

United Nations Millennium Project (2003) Achieving the Millennium Development Goals in Water and Sanitation, Background Issues Paper, Task Force on Water and Sanitation, New York: United Nations Millennium Project; 2 The author was part of the delegation from Uganda who visited two multi-national companies in France (ONDEO and Saur), one in Germany (MVV) and one in South Africa (Rand Water); in March-2005.

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certain.They advised that it is cheaper for governments in developing countries to source for investment capital from financing institutions directly. According to the water companies, some of the perceived risks, and rightly so, included small markets, inability to pay because of the poor socio-economic situation pertaining in developing countries and regulatory risks, among others. The most affected benefactor as a result of the above quandary is the poor consumer in the peri-urban communes and rural areas. The problem in serving this customer segment is doubly edged; no investor appears to be interested in sinking investments into areas predominantly with poor consumers without structured commercial incentives to do so. In developing countries, construction in poor communities is also a significant predicament because of the intrinsic poor infrastructure planning and hence costly compensation costs. Looking beyond the construction phase, the return on such investments is also constrained by a number of factors. These include the high cost of operation and maintenance in unplanned settlements and the poor socio-economic eminence of the people which in turn affects the utility’s revenue generation initiatives. A lot of work exists on services to the poor in low income communities. One of the most recent in respect to Sub-Saharan region was carried out under the Water Utilities Partnership Project for the Poor3 . The latter presents number of case studies, which outline experiences and lessons from selected African countries. However, in this report and many others, there is no emphasis on detailed analysis of development and regulatory challenges, which are critical to pro-poor service delivery in developing countries. In this paper, we attempt to make a contribution to the ongoing policy debate regarding optimal approaches to pro-poor service delivery. Distinctively, we discuss regulatory and development challenges in respect to regulating customer protection, environmental concerns and sustainability, investments the poor communities, pro-poor managerial arrangements and cost recovery challenges. 2

CUSTOMER ACCOUNTABILITY REGULATION

According to Mugisha and Berg (2008), getting inside an organisation or customers’ minds enables analysts to gain fresh perspectives on issues. Regulating/monitoring for customer protection is one of the most challenging tasks within the regulatorregulated interface. Protecting the consumer from 3

Water Utilities Partnership Project report (2003), WSP Regional Office, Nairobi, Kenya

abuse is the rationale for intervention, based on the monopoly characteristics of a typical water and sanitation (WATSAN) business. Water and sanitation are basic prerequisites of human well-being and crucial ingredients of sustainable economic development.As a result, because of the technical difficulties involved in introducing meaningful in-market competition, WATSAN services have remained largely monopolistic. NWSC has utilised a number of approaches to track customer perceptions/complaints; subsequent incentives are directed at helping managers achieve “customer delight” over services. There are two major approaches used in NWSC to capture customer complaints and compliments. The first process involves capturing formal customer complaints. These relate to the package of services observed by customers, related to service quality, product quality, or other features of the product. Complaints reflect reductions in customer’s willingness to pay. To promote prompt corrections, customers are encouraged by respective utility managers to put in writing any of their concerns or observations about service gaps. In NWSC, most reported gaps relate to erroneous billings, estimated bills, no water, illegal connections, unfriendly staff, and service delays. No system is perfect. Therefore, the efficiency and effectiveness of NWSC utility managers are judged from the response quality and time taken to resolve reported cases. The local manager is faced with a number of challenges. For example, there is a tendency to compartmentalise decision centres in the customer-complaints handling cycle. Compartmentalisation erodes managerial accountability—each group can point to another as being responsible for delays. Ultimately, the customer suffers: service delayed is service denied. Dealing with this problem has been the main focus of NWSC monitors/checkers who have insisted on creating and institutionalising a comprehensive customercomplaints tracking system, from the date and time of reporting up to the resolution stage. One process “owner” (usually the local manager) is held accountable and is asked to take full responsibility of the entire tracking cycle. In addition to process-oriented monitoring, the local manager is checked against the response time taken and the quality of interactions with customers. A complaint, which is reported to have been resolved, can be cross-checked by following a random selection approach and ringing the customer concerned to verify the response time and quality. In the same way, complaints can also be captured through telephone communication between the customer/public and the utility staff. NWSC has recently modernised this activity through a call centre facility that enables quick phone-receipt of complaints by dedicated staff and easy transmittal to appropriate action centres. The feedback on actions taken is managed through the same facility, where strict managerial

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enforcement procedures have been adopted. Throughout the organisation, managers are evaluated based on their prompt and timely customer feedback. The challenge in this activity is how to ensure timely and satisfying responses to customer concerns. In water utilities undergoing reform, like NWSC, there are likely to be slow responses and delays during workload peaks; improvements require strong oversight capabilities (for monitoring performance) and incentive/penalty mechanisms to ensure improvements over time. The second mechanism for dealing with service quality is routine customer satisfaction surveys. The survey covers a number of service attributes. These include accuracy of bills, bill delivery effectiveness, quality and reliability of water supply, customerhandling quality, and perceived managerial effort to improve services. The survey instrument is a short questionnaire meant to be completed in about three to five minutes in order to obtain a high response rate. The questionnaire is given by designated survey assistants to randomly selected visiting customers and analysed on a bimonthly basis. This approach reflects ongoing benchmarking activity to document (and encourage) customer orientation in the different local NWSC operating entities. The results of the surveys are analysed and communicated to the local utilities by the monitors/checkers. At the same time, the monitors obtain information on the strategies the local utilities have taken to address gaps identified in the past. The challenge to the monitor/checker is how to ensure that the suggested improvement strategies are effectively put in place (or that substitute policies are developed and implemented). The checker takes an output orientation when evaluating performance, through follow-up surveys assessing improvement in perceptions regarding service-offerings. The output orientation minimises the potential micromanagement syndrome, which in turn gives operating utilities the opportunity to implement practical innovations and technologies in a flexible manner. The monitor follows a partnering approach, advising on possible routes to ensure customer satisfaction and (later on) customer delight. The operating utility is encouraged to implement high-impact innovations of its choice, sometimes taken from a benchmarking menu but also developed through thinking “out of the box”. The methodology in the above questionnaire approach includes an open-ended question, allowing the survey assistant to ask the visiting customers if they have any other complaints or compliments outside the scope of the questionnaire. This process provides a variety of customer observations; these are sent directly to the principal monitor, with copies to the chief executive officer (CEO) and other top NWSC managers. The principal monitor then reviews these customer responses and observations and asks

the responsible process engineer or local manager to address the issues and give feedback on actions taken. The challenge with this open-ended approach is that a significant number of issues can be raised in a very short time. Therefore, it is important that the monitor adopts a flexible and partnering approach, viewing the complaints or suggestions as opportunities to address customer concerns; the customer comments are not used to punish the operating utility. No water system is immune to customer complaints. So what is important is to manage the emerging complaints and act quickly. The operator must be evaluated on prompt remedies and an overall reduction of complaints. This approach to customer relations management has improved customer perceptions about NWSC services. The annual average proportion of customers satisfied with NWSC’s service quality has improved from 70–75% in 2000 to 85–90% in 2007. The main service quality aspects, which are routinely surveyed, include pressure at the taps, quality of water, accuracy of bills, reliability, and customer/staff interactions. Inadequacies/shortfalls are routinely identified; the documented weaknesses are addressed in subsequent performance-improvement efforts. In Dar es Salaam, the principle of customer service is also similar to NWSC’s. The new company, Dar es Salaam Water and Sewerage Corporation (DAWASCO) has put in place customer complaints register books to capture written customer complaints for ease of management and tracking (Kaaya, 2007). As in NWSC, the challenge is to push action through the bureaucratic hitch at the centre. It is expected that this problem will be streamlined through a planned decentralisation activity. The new company has also introduced a toll-free telephone number to enable quick fault reporting and action. The oversight company, Dar es Salaam Water and Sewerage Authority (DAWASA) faces the challenge of ascertaining the accuracy of reported response time and action quality. Using a strong consultative approach between the two organisations, however, this information asymmetry has been lessened. The hefty task ahead is to strengthen customer care and hence satisfaction, which will in turn enhance the much desired willingness to pay. 3

ENVIRONMENT AND SUSTAINABILITY CONCERNS

Poor or lack of proper sanitation is one of the most important challenges for both the water operators and regulators/monitors in developing countries. In NWSC and DAWASCO the sewerage coverage is less than 15% in both cases. The reasons for this poor coverage indicator relates to the heavy requisite investments coupled with low willingness to pay for sewer connections in low-income communities. As a result, most

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households especially those in the informal/unplanned settlements do not have adequate waste water collection infrastructure. This situation is a potential recipe for environmental degradation due to indiscriminate household waste water disposal. In Kampala, the waste water from peri-urban communities is collected in a central channel called “Nakivubo Channel”, which in turn conveys it, most of it untreated, to Lake Victoria (Africa’s largest fresh water lake). This conveyance system has, in the recent past, been the cause of serious raw water deterioration in L. Victoria, including the environs where the sole water treatment works of Kampala (Gaba) is located. This has in turn caused profound negative impacts on the water treatment process, increasing the chemical demand and related treatment costs. In addition to lake pollution, the seepage of untreated waste water causes pollution of the underground aquifer making it hard to abstract and use ground water without treatment. This environmental situation is prevalent in both NWSC and DAWASCO, which in most cases puts the un-served people to risk of contracting water borne diseases. The preceding discussion suggests that water provision in peri-urban areas can be associated with waste water disposal problems. The ultimate consequences relate to dreadful reciprocal effects on water for abstraction and hence sustainability of service provision to customers. With this background in mind, the question is what is best regulatory/monitoring approach to ensure that there is environmental protection and sustainability in low-income communities? Is there anything a regulator can do or should the situation be left on its own? We argue, in this paper, that this is a daunting task for the regulator because the possible remedies are coupled with significant externalities. In Kampala and Dar es Salaam, the key players responsible for solid waste disposal, city planning, public health and storm water are different from those responsible for drinking water and sewerage. Consequently, this role differentiation is a constraint in itself. The most critical responsibility is city/town planning, which directly determines the modus operandi of waste water collection in peri-urban communities. The state of affairs is not helped by the inherent lack of proper coordination between the players. As a result, it is not plausible to hold the operator responsible for incidences, which affect the production costs in the end. The way forward is in adapting a pro-active approach where the regulator takes on the coordination role among the key sector players. The regulator must ensure that there are deliberate investment efforts in appropriate technologies, which are cost-effective and affordable to the low-income communities. In these circumstances, the issue is not who is polluting or who is not stopping pollution but rather how the key players are coordinated and to what extent they are

implementing remedial actions. In the recent Kampala urban poor project, for example, the sector players have adopted an integrated approach where water systems are being implemented alongside sanitation considerations. NWSC, which is traditionally responsible for water and sewerage, has been mandated through a memorandum of understanding with Kampala City authorities to take on on-site sanitation investments as well so that a “total” solution is provided. In this case, an invisible regulation-by-coordination role played by development partners was critical. The challenge is who else, in the absence of development partners, would have played such a role that requires influence on a number of different players! 4

REGULATING INVESTMENTS: INEFFICIENCIES HURT URBAN POOR MOST

Investment efficiency in terms of unit costs (e.g. cost per unit length of water mains extensions) is one of the critical areas that need strict regulation if the service coverage indicator is to be achieved quickly. This is because such a move would lead into cost savings that can be used to extend water to other un-served urban communities. In other words, cost efficiencies would mean more lengths of water extensions, given the same revenue requirement from the utility operator. It is relatively easier to ensure that the operator invests efficiently under concession or enhanced lease contract arrangements, through structured tariff incentives. However, under simple forms of institutional development options like management and service contracts, tariff incentives are not readily applicable. And yet these are the most common forms of management in sub-Saharan Africa, for example in Uganda and Tanzania. Further, in these countries, it is more convenient to delegate execution of network investments (rehabilitation and expansion) to the utility operator. This is because the operator has a number of investmentrelated targets to achieve and to avoid scapegoats; the regulator/client may probably find it plausible to ask the operator to execute such requisite investments. For example, where water technical losses are high, the operator may incorporate replacement of old water mains in the business plan to control un-accounted for water. In addition, the operator may include a list of water mains extensions in the work plan as a pre-requisite to achieve new connection targets. However, this approach only encourages the operator to implement investments quickly with no incentives to control the unit costs of investment. The costs of such investments are agreed at the business plan negotiation stage and if the client/regulator has not carried out adequate benchmarking of unit rates, the operator is the

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ultimate beneficiary of this inattention. What is important is to agree on optimal investment rates, which ought to be based on the construction history and benchmarking of investments carried out in similar operating environments. In this section, we present and discuss the challenges of determining and regulating optimal investment efficiencies. In Uganda and Tanzania, construction cost rates are determined through a competitive bidding process. There are many challenges associated with this approach. First, most service providers that satisfy common bidding criteria (compliance to national tax obligations, having sufficient working capital, having similar experience etc) are few in many low income countries and tend to put their unit costs high, through collusion, sometimes. Second, the overheads (indirect costs) associated with prevailing service providers are normally high (as high as 100%, for Uganda) and this in itself puts unit costs excessively high. third, most bidding processes take long as required by applicable procurement laws and there is little room for flexibility once interested service providers are all above projected rates—a repeat of the process would automatically mean services delayed! In Uganda’s NWSC, the approach has been to package projects into those that can be cost-effectively carried out through ‘force account’ basis (using company’s labour); those that can be carried out through outsourced labour-based approaches (company procures materials and fittings separately and benefits from bulk discounts); those can be executed through turnkey arrangements (service provider designs, supplies and constructs facilities). What is important here is that the regulator/monitor needs to consider these input processes to investments and give direction that best optimises investment efficiencies. Mugisha (2008) underscores the role of monitoring both processes and outputs and outlines how this regulatory approach enhances the service provider (agent) business conduct. 5

REGULATING PRO-POOR MANAGEMENT ARRANGEMENTS

Significant debate is still on-going about the most suitable managerial options that optimise services in poor communities. Regulators tend to leave the whole task to the service providers who have no commercial incentives to serve such areas. The regulatory process must consider the various challenges involved in serving the poor communities and collaborate with the service provider in a meaningful way. The challenges include the low level of ability and willingness to pay; unplanned routes in low income communities; lack of proper property addresses; transient nature of tenancy arrangements; low awareness to benefits of water and sanitation, among others. With these

challenges, no profit-driven operator will ever be interested in serving such segments of customers. In Uganda’s NWSC, to direct attention to low income communities, an urban poor branch has been created to specifically serve low income communities. This management arrangement was chosen due to a number of reasons. First, poor communities require a different set of approaches to effective operations management—they need close follow up on payments, community-based water supply points, per capita consumption is low and hence need patience in billing processes. In this respect, Mara and Alabaster (2008) insist that MDG targets for water and sanitation can be achieved in urban and especially peri-urban areas through a new paradigm shift: water and sanitation services to groups of households rather than individual households. Second, there is lesser awareness and hence effective services require focussed community education. Third, there is significant erratic behaviour in low income communities, with all kinds of people from different tribal segments and hence requires a different set of management compared to enlightened affluent communities. In Tanzania’s DAWASCO, arrangements to create a special pro-poor service area are also in advanced stages. On the other hand, Mara and Alabaster (2008) insist that MDG targets for water and sanitation can be achieved in urban and especially peri-urban areas through a new paradigm shift: water and sanitation services to groups of households rather than individual households. 6

CHALLENGES IN REGULATING COST-RECOVERY

According to Mugisha and Berg (2008), one of the most difficult managerial tasks in developing countries, after turning the organisation around, involves moving towards the full cost-recovery frontier. The issue of full cost recovery has, of recent, become a “rigid” position taken by some stakeholders, arguing that water companies must reach this stage as soon as possible. The NWSC and DAWASCO’s experience has shown that premature price increases ultimately choke off reform within water companies. First of all, the cost-recovery idea is good but politically unachievable in the short to medium term, especially in developing countries. Reaching this frontier requires significant tariff increases (doubling, tripling, and sometimes quadrupling). The mantra of “raising prices” is drowned out by outraged cries about affordability and helping the poor. Tariff increases require a thorough structured analysis of citizens’ willingness and ability to pay. We know that water that is trucked to peri-urban areas is much more expensive than piped water, but citizens already receiving service will revolt against substantial price increases.

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In developing countries, especially in Africa, the economies are still evolving and cannot support huge tariff adjustments. Such actions would lead to customer anger and civil disobedience. This would, in turn, have negative effects on the company’s ability to collect bills, leading to poor cash flows. In the wider context, such developments would of course have damaging impacts on the political setting of the country, which may boomerang on the company’s managerial opportunities. No manager wants to hear that his/her company’s actions are a cause of poor performance on the political scene. On the other hand, of course, it is not proper for a company to fall prey to excessive political log-rolling and that is why countries formulate rules and standing orders to counteract such tendencies. Such actions disrupt network expansion and severely compromise the company’s ability to equitably distribute water supply services to the citizens of the country. The poor communities are the highest sufferers of these inadequacies. On the other hand, price freezes do not make sense either. NWSC experience has demonstrated that there are benefits from following an incrementalist approach, indexing the tariff nominally against inflation, foreign exchange, and key input price changes. If there is to be a real tariff increase, it should be done in such a way that its effects are not dramatic: the bill increases are hardly noticed by the customers and the public. This long-term approach, with time, takes the tariff to cost-covering levels without causing undue citizenry agitation and unrest. Care must be taken that such tariff changes are not used to finance company managerial inefficiencies. That is why tariff adjustments should not be looked at in a simplistic manner. Managers should not be in the habit of thinking “every time there are cash-flow problems, we should increase tariffs.” The starting point must be optimisation of production processes and minimisation of technical inefficiencies. If these activities do not improve the company’s financial situation, the manager can then justifiably consider a tariff review. This suggestion means that the issue of full cost recovery should be tackled in a phased manner. Big investments like treatment plants, transmission mains, big network systems, etc. cannot easily be financed through revenues generated from tariffs. These can be financed through grants from development partners or government subsidies. However, such grants must be properly targeted and implemented in an efficient manner. Specifically, NWSC operates an annual tariff indexation policy, which is based on a formula that was negotiated between the corporation and Uganda’s Ministry of Water. The indexation formula is as follows: T1 = T0 (A i + B fi fx + c k)

Whereby; T0 T1 A

= = =

Tariff level at end of year zero Indexed tariff for the next year Proportion of tariff associated with local salaries and locally sourced goods based on audited financial accounts of the previous year

= Change i = Domestic retail price index as published by the Uganda National Bureau of statistics and based on the underlying inflation rate B = The proportion of the tariff associated with foreign costs, that is foreign inputs in the production process based on the audited financial accounts of the previous years fi = Foreign retail price index based on the United States Bureau of Labor Statistics fx = US dollar to shilling exchange rate based on the Bank of Uganda mid exchange rate as of June 30th of each financial year c = Proportion of tariff associated with electrical power based on % of electricity cost to total cost as a proxy based on the audited financial accounts of the previous year k = Price of electrical power per unit Source: Uganda’s Statutory Instrument 2004, No. 44

Because of this policy, the NWSC has been able to link its rates to input price escalation. Prior to the indexation process, there had not been a tariff increase since 1994, except for adjustments to finance new water connections free of charge to customers within a distance of 50 meters from NWSC water mains. This adjustment, carried out in 2004, only resulted in a 10% increment. The average tariff now stands at about US$ 0.6 per cubic meter of water consumed. Over the last seven years, NWSC has improved managerial efficiencies to the extent that, currently, the tariff covers all operating costs (including depreciation) and financing costs. In addition, NWSC covers 50–60% of its capital expenditure requirements. Given that NWSC’s financial situation has improved over the years through efficiency improvements and cost containment activities, it is clear that managerial initiatives are resulting in movement towards the cost-recovery frontier. A similar system of subsidising access (social connection policy) is being designed for DAWASCO and will mainly benefit the poor communities who often do not have start-up new connection investment funds.

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7

CONCLUDING REMARKS

The foregoing discussion has reviewed five distinct processes that a regulator/monitor needs to consider to enhance services to the poor communities. First, strong emphasis needs to be put on the real reason why water companies must exit—–the customer. Every service provider must be accountable to its customers ensuring a sustainable and worthy operation. Second, environmental and sustainability concerns are becoming increasingly important and lack of WATSAN services in most poor communities has continued to complicate situations including polluting potential raw water sources. We suggest that the regulator must, as a minimum play a coordinating role, making sure that an integrated approach linking catchment protection, water supply operations and waste water discharge is meaningfully incorporated through stakeholder collaboration. Third, we suggest that significant gains can accrue from regulating investment activities so that optimal input costs are achieved. A number of innovative approaches are suggested, which may be applied depending on the prevailing situations so that resulting cost savings are used to increase service coverage to the poor communities. Fourth, we reviewed a propoor management approach that focuses operator’s attention to the idiosyncrasies of service offer to low income communities. We suggest that the regulator must incentivise the service providers to focus on the

poor communities where commercial gains are hard to achieve. Lastly, we reviewed the challenges associated with moving towards full cost recovery frontier and how this might particularly harm services to poor communities. We find that a gradualist approach to tariff adjustments and subsidising access are potential service facets for poor communities. REFERENCES Brown, Ato (2007), “Successful Utility Reforms in Africa”, A Paper Presented for African Water Association (AFWA) Meeting, July 16, Kampala. World Bank Working Paper, Country Office, Tanzania. Kaaya, Alex (2007), “Healing a WSS Utility: The Case of DAWASCO, Tanzania”, A Paper Presented for African Water Association (AFWA) Meeting, July 16, Kampala. AFWA Working Paper, Abidjan, Ivory Cost. Mara, D., & Alabaster, G. (2008). A new paradigm for lowcost urban water supplies and sanitation in developing countries. Water Policy, 10(2), 119–129. Mugisha, Silver, Sanford V. Berg (2008), “Turning Around State-Owned Enterprises in Developing Countries: A Case of NWSC-Uganda”, Forthcoming in African Development Review. Mugisha, Silver (2008), “Infrastructure Optimization and Performance Monitoring: Empirical Findings from the Water Sector in Uganda”, African Journal for Business Management, 2(1), pp.013–025.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Rethinking water governance: Towards a new multidimensional approach for mega-cities in developing countries M.F.A. Porto Department of Hydraulics and Sanitation Engineering, University of São Paulo, São Paulo, Brazil

ABSTRACT: Urban systems are a complex web of interdependent support mechanisms such as transportation, water supply, power lines, housing, and many others, working over relatively small portions of territory in a very compact structure. This paper will present how many urban issues are intra-related within the water sector or interrelated with various sectors, such as land use and the environment. It will also show that institutional arrangements and management instruments both need to tackle simultaneously these many layers in order to be capable of dealing with such complexity. The case study presented here is the Metropolitan Region of São Paulo, Brazil, in which water is a critical issue and the megalopolis size of the conurbation requires a new multidimensional approach for its governance. Keywords: Management instruments; mega-cities; water management

1

INTRODUCTION

One of the key characteristics of urban systems is their complexity. Urban systems are an entangled arrangement, a complex web of interdependent support mechanisms such as transportation, water supply, power lines, housing, and many others, working over relatively small portions of the territory, in a very compact structure. The many overlays interact with the environment in different ways and each one creates a different impact. Water is a very complex subsystem because of its many uses, as water is needed for health, sustaining human lives, economic activities, providing better living standards, diluting and transporting waste, and, for maintaining the aesthetic value of a beautiful landscape. To manage water in urban areas it is necessary to consider its many interfering layers, such as, land use, varying economic activities, and social and cultural aspects. Urban areas also create significant “ecological footprints”. Some of the impacts will fall outside its boundaries, as urban areas use resources and produce environmental effects far more reaching than its perimeter. Urban sustainability regarding water issues will derive from achieving feasible and adequate solutions to safely provide drinking water for all its inhabitants, to reduce health risks from both pollution sources and flood events, to guarantee adequate water sources to sustain economic activity and to create a pleasant

environment. Urban sustainability will also greatly depend on reducing its ecological footprint, by reducing water consumption, and consequently reducing the stress on water sources by reducing externalities such as pollution exportation and by reducing generation of higher runoff yields in order not to aggravate flood events in downstream areas. When the size, population, and level of activity of an urban area increases, it becomes increasingly difficult to manage the many subsystems, including water. The challenge is to find a multidimensional approach to deal with the complexity of the physical system, the lives of the people and the amount of investment required to provide adequate structural and non structural management solutions. Financial restrictions, which are usually faced by low and middle-income countries, are a common obstacle to improve water sustainability conditions. This paper will present how many urban issues are intra-related within the water sector or interrelated with varying sectors such as land use and the environment. It will also show that institutional arrangements and management instruments need to tackle simultaneously these many layers in order to be capable of dealing with such complexity. The case study presented here is the Metropolitan Region of São Paulo, Brazil, in which water is a critical issue and the megalopolis size of the conurbation requires a new multidimensional approach for its governance.

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2

URBAN WATERS: CRITICAL ISSUES

Rapid growth of the urban population has been a general trend throughout the world during the twentieth century. In 1950, 29% of the world’s population lived in urban areas. In 2000, this percentage was 47% (UNESCO, 2006). Today there are 21 megacities with more than 10 million inhabitants and more than 400 cities with population over 1 million. (City Mayors, 2008). This urban population expansion in the last 50 years has not occurred evenly around the world. Of these 21 mega-cities, 16 are located in developing countries. Of the 100 fastest growing cities, only three are in United States and the rest are in developing countries (City Mayors, 2008). The urban population of the 21st century will be composed, to a large extent, of poor people. Developing countries have now 2.6 times as many urban dwellers as high-income countries (UNFPA, 2007). Mega-cities act as engines of economic and social growth, and conversely, are accompanied by urban poverty and environmental degradation (El Araby, 2002). In developing countries, the rate of investments to provide water supply, sewage collection and appropriate treatment, urban flood control and solid waste disposal usually falls behind urban growth. The consequence of this situation is a lack of supply services, as well as the contamination of urban waters, both associated with public health hazards and frequent flooding of the riparian (and usually poor) population.The problem is also aggravated by the unplanned manner in which cities have grown. Migration induced by economic difficulties usually leads poorer populations to settle in slums, eventually in peri-urban areas, with insufficient housing conditions and almost no urban infrastructure.

supplies, in superficial and ground water sources. At the same time, urban areas degrade these resources with their waste and the expansion of impervious areas. In high-income countries, evolving drinking water standards and aging infrastructure are also challenges. In 2001, the U.S. Environmental Protection Agency (EPA) released a national survey of drinking water infrastructure needs. The survey results concluded that approximately US$151 billion would be needed over 20 years to repair, replace, and upgrade the nation’s 55,000 community drinking water systems to protect public health (ASCE, 2005). Aging wastewater management systems discharge billions of gallons of untreated sewage into U.S. surface waters each year. The EPA estimates that the nation must invest US$390 billion over the next 20 years to replace existing systems and build new ones to meet increasing demands. A recent report from the staff of the House Transportation and Infrastructure Committee declared that: “Without increased investment in wastewater infrastructure, in less than a generation, the U.S. could lose much of the gains it made thus far in improving water quality and wind up with dirtier water than existed prior to the enactment of the 1972 Clean Water Act.” (ASCE, 2005). Another study of OECD cities showed that since 1980 the populations of almost one-third of these cities decreased in numbers, while the urban sprawl continued, maintaining the need for expansion of infrastructure and also increasing impervious areas. Safe drinking water and sewage control remains a public concern in nearly all these OECD cities due to the persistence of problems related to water sources, management and infrastructure (Amen, 2005). 2.2

2.1 Water supply and sanitation In low and middle-income nations the main challenge regarding water remains the provision of safe drinking water and sanitation services. To reach the Millennium Development Goal of halving the proportion of the population without those services by 2015, 961 million people must gain access to safe drinking water and 1 billion to sanitation services in urban areas (UNESCO, 2006). The vast majority of the population lacking good provision for water and sanitation lives in slums and squatter settlements, which makes this MDG even more difficult to meet. The fast urbanisation rates and rapid population growth increase the difficulty to provide permanent, reliable service to all people. Besides financial and technical difficulties to meet this target, one must add the need for reducing impacts of urban areas in the environment. Domestic and industrial urban consumers are using larger amounts of water and, consequently depleting the available

Flood control

Flood control is another critical issue. It is a very well known fact that urban areas have a strong impact over peak flows, increasing flood frequency significantly. Many cities around the world had their settlements originated by favourable conditions due to water proximity. Flat areas, navigable conditions and water supply were attractive, but they were also flood-prone areas. Floods are part of the natural process of revitalising aquatic biodiversity, however, the problem begins with occupation of the flood zone of the riparian areas. Floods killed almost a quarter of a million people in the period between 1987–1996, over 90% in Asia (GWP, 2000). The cities are “using” a space that, in fact, belongs to the river. To reduce the impact of floods, one has to find “space” to accommodate both the river and the city. The current solutions for that are the detention/retention basins, already being used in many cities.

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The urbanisation process also affects the peak flows and flood volumes. The percentage of impervious areas modifies flood hydrographs and the frequency of peak flows and flood levels are increased. The urban area under flooding stress is usually occupied by low-income residents and this is the population most dramatically affected. This is a typical water-related problem which solutions depend essentially of integration with land use policies and protection of vegetation cover. 2.3

Solid waste collection and treatment

In developing countries, problems with solid waste collection and disposal cause degradation of water quality and aggravate flood problems, as well as other environmental concerns. Part of the waste ends up in the river system, clogging canals and increasing critical flood levels. Irregular and insufficient collection coverage, illicit dumping and/or burning, mishandling and scavenging activities are frequently present and cause air, water and soil pollution, breeding of flies and vectors, and, most importantly, severe public health conditions. There is wide variation in waste collection rates among developing countries. The situation in Latin America is better than in South Asia or Africa but, in general, there is great disparity in collection service between richer and poorer areas. In many urban areas of Latin America, waste collection rates can be as high as 90%, but in South and West Asia, collection rates vary from 20% to 90% of municipal wastes (UNEP, 2006). Solid waste management is usually under the responsibility of municipalities which, in general, run their systems without considering the interference between solid waste and decreasing water quality or flooding. Solid waste management is therefore an issue which is interrelated to water management and should be considered. 2.4

Land use planning and control

“The urban peripheries do not constitute a simple framework of analysis, but a specific space whose use corresponds to diverse and often conflicting stakes indicative of processes involving a political and societal vision of the city and access to the city. The need for housing, especially by the poor, the maintenance of greenbelts and the development of new industrial zones, enter into competition.” (Dupont, 2007). Land use planning and control is recognised as extremely important and as a major link between water and urban management, requiring action to search for a better integration of those two, in order to provide a good overall environmental management basis (UNESCO, 2001).

Land use planning is possibly one of the most difficult issues in developing countries. The growth rate in the last 50 years has not allowed reasonable time for planning and the price of the land has made it almost impossible for the poor to settle in regular urban areas. Most of the growth has taken place in slums and illegal settlements situated on flood plains, unstable hillsides or environmentally fragile areas. Even the growth of the richer neighbourhoods has also occurred with little control over occupation density or imperviousness, although in safer places. The interrelation between water problems and land use control is very clear. Nevertheless, the implementation of good practices and control is becoming increasingly difficult in mega-cities. For the poor settlements, it is very difficult to move people to safer areas since they are usually far from the economic core of the city, burdening the poor with long travels to work or to shop for basic needs. Even if this resettlement is possible, this will reflect in expanding infrastructure networks and increasing of the impervious areas. For the prosperous parts of the city, the increase of occupation density, usually via vertical condominiums, impose a difficult burden on infrastructure networks. In both cases it is very difficult to create or maintain green areas, either riparian or in the middle of the city, due to the price of the land. Both in São Paulo and in Mexico City (Aguilar, 2008) the urbanisation invaded the preservation zones around the metropolitan region, where forests and low occupational areas protected resources such as water supply sources.

3 WATER GOVERNANCE IN URBAN AREAS: THE NEW MULTIDIMENSIONAL APPROACH “Water governance refers to the range of political, social, economic and administrative systems that are in place to develop and manage water resources, and the delivery of water services, at different levels of society” (Rodgers and Hall, 2003). To ensure proper water governance in urban areas is a major challenge. The main difficulty is the recognition that water “percolates” several layers of the urban tissue (water supply and sanitation, flood control, solid waste collection and treatment, land use planning and control). These layers are interlocked and the new paradigms to move forward towards better urban water governance also have to be capable of tackling them in an integrated manner. Water and urban governance must go hand-inhand and its construction must be supported by three pillars: (i) the governance per se, which can be translated into institutions and instruments, (ii) technology and capacity building and (iii) financing. Promoting

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increase of the investments and improving governance were cited as part of the strategy to move forward with the MDG’s (UN, 2001). 3.1 Water and urban governance: Institutions and instruments Improved water and urban governance are frequently lacking in developing countries. The most difficult part of developing appropriate governance is that the feasible and most effective solutions are usually sitespecific, that is, the solution must be custom- made in order to take into account regional, cultural and socioeconomic characteristics. In fact, there are two central elements that must be built to ensure proper development of governance: institutions and instruments. (Serageldin, 1994). 3.1.1 Institutions for water governance In order to build a coherent institutional framework to manage water in an integrated manner within the urban environment, it is necessary to develop a decisionmaking process with the participation of stakeholders, which include municipalities with their land use planning prerogatives as well as the other water users, both the private and public enterprises, and the community. It may also be necessary to bring in other government levels and entities related to environmental control or other related matters. When ample participation is ensured and the decision process is strengthened, the solution is usually sustainable and it gains legitimacy due to the democratic choice. Participation creates a sense of belonging and mutual responsibility among the community. It has to be noted also that it usually takes more time to find the appropriate solution. Community organisation and empowerment seems to be key elements in the process of implementing better water projects and management. A World Bank study (Narayan, 1995) based on 121 rural water supply projects showed that public participation was the most significant factor in achieving successful implementation of the projects. The projects were funded by several different agencies and they were located in Asia, Africa and Latin America. The proportion of water systems in good condition, with high economic benefits, percentages of target populations reached and environmental benefits, increased significantly with participation. Brazil has been experiencing an increase in participation on water management decisions and the results are very positive. Several water projects in Northeast Brazil, in which specific investments were made to support development of new institutional arrangements and to foster public participation, achieved a much higher degree of success. Difficult conflicts over water sources to supply two different metropolitan

regions in the state of São Paulo reached a consensual solution only because the decision process was discussed openly within the watershed committees. Another advantage is that participation allows communities to learn and deal with trade-offs in the decision making process. It becomes clear that the overall optimum decision does not exist and the best possible solution is only achieved through negotiation and consensus. However, it must be recognised that this process strongly depends on the reliability of information systems, on capacity enhancement for technical knowledge and responsible participation to better perceive the fragility of water uses and its sustainability. One pitfall that must be avoided is to assume that participation equals integration. Integrated management is not by simply having an open, transparent and inclusive participation process. Integration of the different layers that compose the complexity of urban water systems must be constructed and requires management instruments to be effective. Integrated management must include several different and very difficult matters due to its cross-sectoral operation. Water projects in urban areas must also address quite different issues related to land use restrictions and controls. It is also necessary to recognise that investments made in slum and squatter upgrading, provisions to house financing and land ownership may all be an important part of a water program. As there are many political and cultural barriers to overcome to reach an ideal integrated management, it is necessary to clearly define what parts of management must be integrated de facto, in order to move forward, otherwise it will only be words, and a very difficult concept to put in practice. For most people, politicians, professionals or society in general, integrated management may imply a comprehensive task, and therefore something that cannot be accomplished, or worse, it may be a concept taken with such superficiality that is not worth accomplishing. Water management is suffering with the absence of concrete proposals to effectively translate what this concept of integration means. It will probably mean different types of action depending on the problem to solve. For instance, it may mean something as broad as to encompass the watershed perspective in the decision making process or something as concrete as the decision to invest in housing programs in order to improve waste collection and pollution control. The institutional framework and the decision flow process must be clearly defined. Brazil is moving forward towards a decentralised and participatory system, which was established by a new water law in 1997. The National Water Resources Management System was created under the Ministry of the Environment, and includes the National Water Resources Council (NWRC), state water resources councils, federal and

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state agencies in charge of managing the system at the river scale, river basin committees and river basin agencies which are the executive offices of river basin committees. After observing the many river basin committees already established under the new system, it is clear that decisions tend to be made through consensus rather than conflict, and also that commitment is an important value in the process. Participation of different government levels, stakeholders, and organised society increases the willingness to implement the decisions and even prevents misuse and degradation of the resource (Porto and Kelman, 2000). Accountability is another essential part of the institutional framework. Utilities that provide for water supply and sanitation, drainage, and solid waste collection and disposal must be regulated and supervised. The debate between public versus private utilities is of secondary importance; since the effectiveness will come from responsibilities clearly defined and accountable. The document “Water: a Shared Responsibility” (UNESCO, 2006) calls attention for the regulation problem saying that “the notion that utilities can be effectively centrally organising is probably just as misleading as the notion that they can be left to the market; to be effective, both publicly and privately operated utilities need to be regulated and to engage in effective negotiations with government agencies, private enterprises and civil society groups, as well as with their actual and potential customers”. It also calls attention to the development of a ‘propoor sanitation governance’ stating that “there is a growing consensus that a central element to improving their water and sanitary conditions is to ensure that water and sanitation providers and those who work with them (and that oversee them) are made more accountable to poor groups. In other words, changing the governance framework in this way, it redresses current inequalities both in provision and in influence over policies and priorities”. It is common in developing countries that utilities work with little regulations and are also not accountable for inefficient performance. The quality of their service is not supervised and since the poor population has a very low payment capacity, no attention is given to their complaints. Performance measures are rarely demanded from the utilities. In Brazil, for instance, there are water supply utilities with leakage problems in their network so severe that more than 50% of the water supplied is lost. Expansion plans, alternative methods to reduce costs both in water supply and sanitation area are also rarely demanded from utilities. 3.1.2 Instruments for water governance In order to be effective, water management needs operational mechanisms to ensure implementation of concrete measures needed to reduce water use

and pollution. Most water management systems are currently using four different types of instruments (Porto and Lobato, 2006): (i) the traditional Command and Control instruments, which are to be applied in a centralised manner, and through which government uses its prerogative of disciplining water use and pollution control; in Brazil, they are being used to issue permits for water withdrawal and discharge permits. (ii) instruments that allow building consensuses, usually used to define objectives, both related to water quantity and quality, and to establish intervention plans, which requires shared responsibilities among stakeholders; in Brazilian watershed committees, water resources master plans are being developed as well as the definition of water quality objectives for rivers and lakes; its discussion is usually done as a means to build consensus on the future of the watershed. (iii) the economic management instruments to induce and adequate environmental behaviour in a decentralised manner; charging for water withdrawal (user-pay) and pollutant discharge (polluter-pay) is one of many possible sets of economic instrument to reduce water consumption and pollution impact. (iv) the new set of voluntary adherence mechanisms, generally based on certifications for sound environmental management systems, such as the adoption of ISO 14000 standards. These instruments must be articulated and applied in an integrated manner in order to improve efficiency in water use and to ensure sustainability and quality of the decision process. They serve as enforcement mechanisms as well as incentive mechanisms to conserve and to use water wisely. They can also be used to overcome sectoral barriers. For example, a municipality may have its water fees (economic instrument) lowered if an effective land use policy is put in place. Also, municipalities, public utilities and the community can discuss water use, quality objectives and investments and may put them into the water resources master plans, which will become a general term of agreement towards better watershed development and land use. 3.2 Technology development, knowledge and capacity building Technology development is required to reduce water stress caused by urbanisation and this is equally needed both in developing and developed countries. In urban areas, given their level of complexity, the role of technology and capacity building is greatly enhanced. There is a growing demand for cheaper and more effective water conservation techniques, water reuse,

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wastewater treatment, bio-remediation and solid waste disposal alternatives. Sustainable cities in the future will require more and more technological development to lessen the “footprint” or to reduce water use and waste production. In developing countries, it is becoming clear that traditional solutions to water supply and sanitation will not be the proper answer to expand services to poor urban areas. On the other hand, it is false to think that low cost solutions are the answer. In rare cases, complex solutions are achieved with low cost investments. Again, new improved technologies will be needed. For instance, the cost of desalinisation equipment was greatly reduced in the last years due to technology development of membranes. Several breakthroughs achieved with new technologies represented a positive advance towards sustainability. Another challenge is how to reach developing areas with this new knowledge and how to build technical capacity in order to have better service provided to poor people. Today, there is a growing consensus that knowledge and capacity in the water sector is a primary condition for sustainable development and management of water services (UNESCO, 2006). Capacity building has many facets. Government, institutions, professionals, and society in general, all need to encompass water protection as a value and to be trained to achieve and protect this value. For instance, capacity building is essential for water governance due to its unique multifunctional importance. It requires several different skills to deal with conflicts, with different uses, and with different related disciplines such as land management, health, nutrition, and so many others. Information systems, an integral part of transparency in governance, are also part of the effort towards improved governance. Good water governance requires thorough and accurate water data made widely available (GWP, 2000). Better information means improved management and it also helps with conflict management. Proper decision-making processes require precise, clear and easily accessible information. Information democracy empowers people to call for their rights and to acquire an ownership sense that are both essential for achieving sustainable solutions. Information is also an important part of awareness raising. 3.3

Financing water programs

Lacking of funds for investing in better and more extensive water services are a harsh reality for developing countries. It is difficult to assess how much investment is needed. To reach the MDG’s goal by 2015 with full water and sewerage connections and primary wastewater treatment to the urban populations would cost US$17 billion annually for water and US$32 billion annually for sanitation and sewerage (Winpenny, 2003). Developing countries, apart

from requiring international assistance for funding infrastructure, also need help to better construct its own financing structures. In Brazil, much of the investment in sanitation in large cities is generated by tariffs. There are crosssubsidies between different sectors (commercial and industrial use of water is more expensive), between consumers (those who use more pay more in order to subsidise lower income families that use up to 10 m3 per month) and sometimes between different cities. It works for the richer part of the country but it certainly is not a general recommendation or solution. There are many more options. Charging for bulk water is succeeding in some parts of Brazil, where those who pay for water use (industries, cities and agriculture) are financing wastewater treatment plants in cities. It is recognised that better water quality is an improvement that all the users benefit from. Prices are debated through public participation as well as where to place the investment. Participation in establishing charging schemes and investment programming helps to ensure equitable and effective practices. It also helps in understanding the importance of investment in cross-sectoral programs such as housing and vegetation recovery. There are two important issues that must be recognised and accepted: equitable and sustainable water programs are costly (MDG’s goal, for example) and there are no low-cost and simple solutions to complete such complex task in developing countries. Financing is required to help developing countries to build their own institutional framework, to maintain adequate and modern institutions and agencies and to build capacity. Cooperation agreements, professional exchanges and information systems must also receive important investments. 4

CASE STUDY: THE METROPOLITAN REGION OF SÃO PAULO

The São Paulo MetropolitanArea – MRSP includes the city of São Paulo and other 39 municipalities, occupying an area of approximately 8,000 Km2 , of which 1,500 Km2 are highly urbanised. The current population of this region is 18 million inhabitants, with a forecast of 20 million inhabitants by the year 2010. This region (Figure 1) is the largest urban concentration and industrial complex of Latin America. It is the most important area for industrial production in Brazil, and its Gross Domestic Product (GDP) corresponds to approximately 27% of the Brazilian total. The industrial sector is very significant, attracting populations with better jobs and income. The service sector is also growing and in recent years has developed and created the majority of new jobs in the region. The MRSP is located in the upper Tiete River basin with a drainage area of approximately 6,000 Km2 .

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Figure 1. The Metropolitan Region of Sao Paulo (MRSP) and the upper Tiete river basin.

Gentle slopes (of the order of 0.17 m/km) characterise a meandering Tiete river, along 160 Km, approximately. The altitude is 750 m and the annual average temperature is 19 ◦ C. High population and industrial growth rate in the last thirty years has created an imbalance between water supply and demand, with severe pollution problems. Furthermore, the growing imperviousness of urban soil has aggravated flooding problems. At the beginning of the 20th century, São Paulo was a city with 300,000 inhabitants, who occupied 0.6 percent of the total area of the basin, and in less than one century, has transformed itself in a megalopolis of 18 million inhabitants. Industrialisation and urban growth has taken place at the cost of severe environmental impacts and has increased the need to look for water supply sources in neighbouring watersheds, away from the demand centre. Water supply demands have grown exponentially and today the metropolitan area faces tremendous challenges to supply these growing demands, both in technical and financial requisites. 4.1 Water supply The Metropolitan Region of São Paulo demands 68 m3 /s of drinking water to supply, in its totality, the18 million inhabitants. The water supply utility

operates three large production systems, as shown in Figure 2. The largest system is the Cantareira System, located 80 Km north of the region in a neighbouring watershed, with a production capacity of 33 m3 /s. The second largest system is the Guarapiranga and the Billings reservoir. This system produces 14 m3 /s and supplies almost 20% of the entire demand. Its watershed is located on the edge of the urban area and suffered an unplanned and disorganised occupation process over the last 30 years, due to the implementation of an industrial district nearby the reservoirs. The population living within its watershed is 1.5 million inhabitants, the great majority being low income families. There are an expressive number of slums and squatter settlements in the area. The third system is the Alto Tietê System with a production of 10 m3 /s. The system is the only one that will support further expansion up to 15 m3 /s. Five reservoirs, liked by channels, tunnels and pumping stations bring water to the treatment plant near São Paulo. Its watershed is under intense pressure due to urban expansion. The degradation of water quality may compromise the system in the near future. The water supply system of MRSP is operated by a single public utility, SABESP. This is a very complex operational system, involving several subsystems and 8 water treatment plants, 1,112 km of water-mains, 373 urban reservoirs and 30,000 km of

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is still very impacted and the complete implementation of the project is expected for 2015. 4.3

Figure 2. Satellite image of the Metropolitan Region of São Paulo (purple, in the center) and the three water supply systems: Cantareira, Alto Tietê and Guarapiranga-Billings.

distribution lines. The cost of drinking water treatment has greatly increased in the last five years. As it should be expected, the higher increase occurred in the Guarapiranga-Billings system and it was 133%. In the Alto Tietê system the cost increased by 20% and in the Cantareira system it increased by 27%. To produce 1.000 cubic meters of drinking water from the Guarapiranga system the cost is currently US$ 18, whereas from the Alto Tietê system it is US$11 and from the Cantareira system is US$3. This is the cost of pollution and lack of protection of the supply systems. (Braga et al., 2006). It will be very difficult to expand the water supply system in the MRSP. Further water transfer from neighbouring basins will be needed but will impose large political and social costs. Together with the expansions, implementation of non-structural measures, such as conservation and reuse will be essential.

4.2 Wastewater collection and treatment Wastewater collection and treatment is still an important problem in the MRSP. During the 1980s, the sanitary situation of the Tietê river basin became unbearable. A major project started in the 80’s (Tiete Project) aiming at the clean up of the waters of the Tiete River basin. This was the result of massive media campaigns to reverse the daunting water quality situation of the river. The situation today is that 83% of the population have collection services but only 60% of the collected wastewater is treated. The collection and treatment system involves the 21,000 km of sanitary sewers, 187 km of main collectors, pumping stations and 5 large sewage treatment plants. The water quality

Flood control

In less than a century, design flows for flood control have increased more than five fold for the Tietê River. Due to inadequate land use in the basin, floods are becoming more severe and subsequently requiring larger hydraulic works and significant investments. One of the recurring problems of flood plain occupation in the Metropolitan Region of São Paulo is the model of implementing avenues along floodplain areas. This induces a conventional, dense pattern of land use and occupation in a very vulnerable area, exposing the population to severe risks. The situation has become extremely critical since the main freeways of Sao Paulo are located exactly at the banks of the main rivers. Recently, an investment of US$1.5 billion project was needed to enlarge the main channels in order to increase its capacity and constructed around 80 of the 130 detention basins to be implemented in the area. Currently the situation is under control, however, the problem of controlling land use remains. Of increasing difficulty is the consideration of municipalities to have a land use planning process that considers reducing runoff is quite a challenge. Even more difficult is to convince municipalities to enforce those controls. A further significant problem that mega-cities in developing countries face together with flood control is the amount of debris and solid wastes that have to be removed after a flood event. This emphasises the importance of a multidisciplinary approach. 4.4

Solid waste

In the Metropolitan Region of São Paulo, 95% of the population is serviced with solid waste collection. Disposal can be considered adequate but the solid waste that is mislaid by the population in streets and lots is carried by the runoff during rain and leads to the clogging of rivers and streams. Actions for educating people and enforcement provisions are lacking in the urban management arena. 4.5

Land use

The urbanised area occupies approximately 37% of the basin area and despite the reduction of growth rates, the urban sprawl still concerns urban managers. The internal migration of the low income population to the outskirts of the cities, as shown in Figure 3, worsens environmental degradation because of disordered expansion and the lack of adequate urban infrastructure. There is a continuous need for investment in

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Figure 3. Population growth rates in MRSP (FUSP, 2003).

expanding the urban infrastructure at rates higher than those of the overall population growth. The highest population growth rates are in the water source protection areas and this uncontrolled urban occupation is the greatest pollution threat to those sources. This occupation produces domestic sewage, solid waste and a significant non-point urban pollution load. Bulk water quality is seriously affected resulting in higher costs of treatment. It has to be noted that the watersheds of water supply sources were “protected” since the 1970’s with laws and special provisions to prohibit any form of occupation. Unfortunately, as with most restrictive laws, it did not work well. Poor people with no condition to afford buying a house began invading those large empty spaces, conveniently close to the city and to the industrial districts. Enforcement of the law was impossible. Within a few years, thousands of people moved to that region and no services were provided since they were in an illegal situation in squatter settlements, using a protected and public area. Living conditions were very difficult and huge pollution loads from sewage and solid waste began being dumped into the reservoirs, mainly in the Guarapiranga and Billings reservoirs. In 1990, algae blooms became the first nuisance observed by the water supply company. An intensive water quality degradation process was underway and an immediate remediation project was needed. In 1992, São Paulo water managers decided that the Guarapiranga system was a precious water source for the city of São Paulo due to its yield and the close location. A US$ 336 million seven-year project

to recuperate and maintain the water quality of the reservoir began with a World Bank loan of US$ 119 million, together with a collateral investment of the State of São Paulo of US$ 217 million. The success of this project led the World Bank to finance another project to protect the other supply systems which will be implemented in the next years.

5 THE NEW GOVERNANCE Traditional and fragmented approaches currently used to manage water in urban areas are clearly not sufficient to deal with the complexity of urban systems in mega-cities. From an institutional point of view the situation in the MRSP is particularly complex because the municipality is in charge of the land use planning, urban housing and transportation, while the state is in charge of water resources management. Fortunately, in the last decade governments began moving from this traditional setting. For example, some municipalities are passing construction codes that require coping with floods at the lot level. It seems that efforts should be made to move forward to a new model that places urban water management at the intersection of the water supply, sanitation, environmental control, urban housing, transportation and urban drainage sectors. It must be a model of shared responsibilities between multiple stakeholders, municipalities, the state government, utility companies and the community.

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The main institutional challenge faced by this innovative approach is the total independence of the municipalities on land use decisions. The independent municipalities usually show little interest in cooperation with the rest of the region. However, municipalities must recognise that there is little sense in local planning when there is a systemic association with neighbour municipalities and also with different urban systems (housing, transportation, solid waste collection and disposal and with all water systems). If the systemic link is ignored, irrational investments will be made and the results will be far from optimum, as the region is seeing today. 5.1 Emerging instruments for urban water management The Upper Tietê Basin Plan (FUSP, 2003) was developed in agreement to an integrated view of management, seeking an effective coordination among the different water uses. In practice, this has proved to be a very difficult task, in large extent due to the size and magnitude of the region. The plan intended to deal with three different levels of integration: (A) Integration between systems/activities directly related to water use: water supply, wastewater treatment, flood control, irrigation, industrial use, energy use, or other systems with direct impact on water sources, such as solid waste, in order to link water quality and quantity; (B) Integration of sectors related to land use management: seeking integration with systems such as housing and urban transportation in order to create alternatives to the process of occupying inadequate areas like water source supply areas and flood plains; trying also to develop urban patterns that will not increase imperviousness; (C) Integration with neighbouring basins: to deal with conflicts related to inter-basin transfers of water and also to the exportation of pollution and floods to downstream areas. The integrated view proposed in the plan was challenging and required the use of water management instruments in a different way, so that sectoral borders could be crossed. The plan and the instruments as well were negotiated in the watershed committee, where government, private enterprises and the community have seats. To deal with the first group (A) of integration targets, three sets of instruments were used: enforcement measures (command-and-control) for compliance with water withdrawal permits and discharge permits, economic incentives for demand management, user-pay and polluter-pay charges (economic instruments) and a third set of negotiation instruments,

put forward as the ‘action plan’, based on common negotiated goals and appropriated investments. For the second group (B), incentive mechanisms were the key factor. The watershed committee decided that the amount collected from the user-pay and polluter-pay charges would only be invested in projects under the responsibility of entities that proved to be aligned with the objectives of sustainability of the watershed. Here, extremely innovative measures are being considered, such as creating systems that will encourage state, municipal and private agents to guide their actions by the objectives of the plan, i.e., that will improve their performance regarding the protection of sources and floodplain areas, management of water demand and rational use, management of solid wastes and groundwater management. Goals can be negotiated using a process of gradual compliance, in which the agent is encouraged to conform with. The third group (C) needs good conflict management development. The first instrument to be used is information systems. Since transparency is a key factor, every part involved in the negotiation process must have access to the same information basis. The other parts must also be able to assess if the water demand management and water pollution control are working properly. The second instrument is preparedness. Appropriate emergency plans to deal with droughts and floods, and with environmental accidents must also be prepared in negotiation with the affected neighbours. All these are complex challenges and they cannot be fully met within the specific competencies of the water resources management system. They require strong institutional articulation with the environmental systems and land use planning systems.

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CONCLUSIONS

The Metropolitan Region of São Paulo, Brazil, where the population has increased fifty fold in the last century, is a good example of the challenges that urban water managers face when dealing with the complexity of mega-cities. Heavy investments and a new set of management instruments are necessary to move towards a more sustainable situation. It must be recognised that management has to mirror the same integration and complexity of the urban systems. New management instruments must be put in place in order to discipline actions and to improve the decision process. Shared responsibilities, negotiated decisions and construction of alliances are also a major part of the solution, since it is necessary to move away from fragmented management systems. Responsible participation must be built to lead to this type of solution, requiring training and capacity building.

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REFERENCES Aguilar, A.G. (2008). Peri-urbanization, illegal settlements and environmental impact in Mexico City (in press). Amen, M. (2005). Water in Northern Cities. UCLA Globalization Research Center – Africa. www.globalizationafrica.org/papers/52.html (accessed 6 June 2008). ASCE. (2005). Report Card for America’s Infrastructure. American Society of Civil Engineers. Reston, Virginia, USA. Braga, B., Porto, M.F.A., Silva, R. (2006). T. Water Management in Metropolitan São Paulo. International Journal of Water Resources Development, 22(2): 337–352. City Mayors. (2008). Urban Statistics. http://www.citymayors. com/statistics/urban_2006_4.html (accessed 6 June 2008). Dupont, V. (2007). Conflicting stakes and governance in the peripheries of large Indian metropolises –An introduction. Cities, 24(2): 89–94. El Araby, M. (2002). Urban growth and environmental degradation: The case of Cairo, Egypt. Cities, 19(6): 389–400. FUSP. (2003). Plano da Bacia doAlto Tietê. (Water Resources Master Plan for the Upper Tietê River Basin). Comitê da Bacia do Alto Tietê. Fundação Universidade de São Paulo. GWP. (2000). Towards Water Security: A Framework for Action. Global Water Partnership. Stockholm, Sweden. Narayan, D. (1995). “The contribution of people’s participation: evidence from 121 rural water supply projects”. Environmentally Sustainable Development Occasional Paper Series No. 1. The World Bank, Washington, D.C.

Porto, M.F.A., Kelman, J. (2000). Water Resources Policy in Brazil. Rivers, 7(3): 250–257. Porto, M.F.A., Lobato, F. (2004). Mechanisms of Water Management. Revista de Gestion Del Agua de America Latina. 2(1): 113–146. Rodgers, P., Hall, A.W. (2003). Effective Water Governance. GWP TEC Paper N.7. Global Water Partnership, Stockholm, Sweden. Serageldin, I. (1994). Water Supply, Sanitation and Environmental Sustainability: The Financing Challenge. Directions in Development Series. World Bank. Washignton, DC. USA. UN. (2001). Road map towards the implementation of theUnited Nations Millennium Declaration. United Nations General Assembly. United Nations, New York, USA. UNEP. (2006). Solid Waste Management. United Nations Environment Programme. Nairobi, Kenya. UNESCO. (2006). Water, a shared responsibility. UNESCOWWAP. Paris. UNESCO. (2001). Marseille Statement: The UNESCO Symposium on Frontiers in Urban Water Management: Deadlock or Hope? Urban Water, 3: 129–130. UNFPA. (2007). State of the world population 2007: Unleashing the potential of urban growth. United Nations Population Fund. New York, USA. Winpenny, J. (2003). Financing Water for All. Report of the World Panel on Financing Water Infrastructure (Michel Camdessus, Chair). 3rd World Water Forum. World Water Council and Global Water Partnership. Kyoto, Japan.

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Session papers

Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Building more effective partnerships for innovation in urban water management J.A. Butterworth, C. Batchelor, P. Moriarty, T. Schouten, C. Da Silva, J. Verhagen & P.J. Bury IRC International Water and Sanitation Centre, Delft, the Netherlands

A. Sutherland Natural Resources Institute, Chatham, University of Greenwich, UK

N. Manning International Water Management Institute, Addis Ababa, Ethiopia

B. Darteh Kwame Nkrumah University of Science and Technology, Kumasi, Ghana

M. Dziegielewska-Geitz Lodz Integrated Restoration Institute, Lodz, Poland

J. Eckart HafenCity University, Hamburg, Germany

ABSTRACT: This paper discusses experiences within the Sustainable Water Improves Tomorrow’s Cities’ Health (SWITCH) consortium – a research partnership focused on long-term improvements in urban water management in developed and developing countries – to apply innovative research methodologies that may lead to more effective urban water science and wider and more integrated use of research findings. It introduces learning alliances as an attempt to build multi-stakeholder partnerships for demand-led research and the scalingup of research impacts, and several related tools used to date to underpin an action research process: visioning and scenario-based planning with stakeholders, scoring ladders to monitor outcomes, process documentation to record change and matrix management to guide a diverse consortium. Examples drawn from the SWITCH project illustrate successes and failures from which the project aims to learn and improve its own effectiveness. Keywords: Cities; demand-led research; innovation systems; learning alliances; SWITCH; urban water management

1

INTRODUCTION: THE CHALLENGE

The Sustainable Water Management Improves Tomorrows Cities Health (SWITCH) project is a major research partnership funded by the EC with a budget exceeding a20 million. SWITCH is undertaking innovation in the area of integrated urban water management (IUWM). The project aims to carry out action-orientated research in cities that is more demand-led and achieves greater lasting impact. Rather than solely focusing on new research, the project is encouraging multi-stakeholder, learning alliances to help set the research agenda, to put research across different aspects of the urban water cycle into use in cities, and to help improve

integration and scaling-up impacts. This paper reviews the experiences gained by the SWITCH consortium (of 33 partners) in grappling with stakeholder engagement in this complex research area and the achievements to date. Following a consideration of the rationale and basis for adopting a learning alliance approach, the paper is structured around a number of key methodologies these platforms have utilised. The paper aims to provide examples of outcomes and lessons learnt that may be relevant for other similar initiatives. 2

LEARNING ALLIANCES

An increasingly common requirement of agencies funding water management innovation is for

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researchers to ensure that their work is demand-led and communicated effectively. The rationale is to improve the impact of research on policy and outcomes. Individuals and projects are as a result under pressure to do much more than what was traditionally understood as ‘good science’. They are required not only to understand the priorities of potential users, but also to take account of the prevailing institutional context, to undertake research in partnership with implementers and other key stakeholders (e.g. regulatory authorities, civil society agencies, financial institutions, and the private sector) and to communicate results and emerging innovations effectively. However, with little training or experience in these areas, and usually with limited budgets or support, attempts to assess demand and establish and develop alliances with other key stakeholders, are rarely thorough, and even less commonly, well documented. Communication strategies are generally weak, most often focusing on traditional methods to disseminate results towards the end of a project. These limitations, when taken together with the narrow focus of much technical research and the neglect of political context or developmental processes, are increasingly linked to the failure of many water-related research projects to have relevant impact (Gyawali et al., 2006).

to optimise relationships, breaking down barriers to both horizontal (i.e. across platforms), and vertical (i.e. between platforms) learning. Alliance members should share (or come to share) a common desire to address an underlying problem, for example, to improve urban water management. They will also be willing to share or develop common approaches – visions, strategies and tools – on how this can be achieved. Each platform groups together a range of stakeholders who capture diversity and bring together complementary skills and experiences. A common problem in following a learning alliance approach is that in the early stages of a project or programme the activities are seen as too vague, and it is not sufficiently clear what they will do and why they need funding (this was certainly the case within SWITCH). This is a familiar characteristic of demand-led processes which seek to include and involve representatives from such diverse stakeholder groups. The agenda cannot be set from the beginning and funds cannot (or should not) be committed to a set of tasks that the alliance did not formulate or at least adapt. However, it is vital that learning alliances identify objectives, quickly start some joint activities, and monitor their progress against set objectives. For example, it was suggested in the SWITCH project (Butterworth & Morris, 2007) that:

2.1 Summary of ‘learning alliance’ methodology A learning alliance is a grouping of constituent organisations from a given system that seeks to effect widespread impact through the adaptation and upscaling of an innovatory approach (Butterworth & Morris, 2007; Smits et al., 2007). The more representative the alliance is, the better it will capture the institutional complexities that constitute the realities of the innovation system. Through working on the agreed underlying problems, and contesting and evolving potential solutions together (i.e. working in an action research mode), it is anticipated that mechanisms for addressing institutional constraints and encouraging institutional learning will be generated. The approach is based on the idea that the key challenge to achieving impact on ‘wicked’ problems like IUWM is not in devising new technologies but in bringing about appropriate institutional change within the relevant innovation system. A key hypothesis underpinning the learning alliance approach within SWITCH is that switching emphasis from researchers devising new technologies (doing different things) to improving how the multiple stakeholders in the innovation system work (doing things differently) will lead to interventions having greater impact. Learning alliances are ideally formed from connected stakeholder platforms at the different levels of administration (e.g. national, city, neighbourhood). Their structure and activities should build on existing formal and informal networks and be designed

•

After 6 months some city learning alliances will have a core management team headed up by a locally endorsed coordinator, and will enjoy reasonably effective and networked communications, one or two may even have created their own website. Inception meetings will have been held, and funding for a number of action research projects identified. Some of these activities will have been commissioned, and newly formed partnerships between members will be initiating this research. In-house expertise, capacities and skills of the membership will have been mapped, and made available. Initial plans will have been developed by the management team identifying key urban water management stakeholders (non-members) that the alliance seeks to influence. • After 5 years it is envisioned that there will be an active series of city learning alliances in all 12 SWITCH cities having successfully completed a series of action research activities based upon the needs of participants. Effectively communicated results will have led to wide-scale uptake of research results both within the focus cities and elsewhere linked to learning through national platforms and a global learning alliance. It is intended that through this approach:

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•

Researchers understand the priorities of local users and take account of the prevailing institutional and political context in their design of activities,

• • • • •

Researchers undertake research in partnership with implementers and other key stakeholders, Research results are communicated appropriately and on time, Learning alliances become networked learning organisations, Research is used by local actors to improve water management in cities, Results are scaled up and have impact beyond the focus cities.

2.2

Example: A learning alliance to put water at the centre of redevelopment in Wilhelmsburg island, Hamburg

The municipality of Hamburg is one of the fastest growing cities in Germany. At its heart, the river island of Wilhelmsburg is a major focus for future urban development. The island will host the International Building Exhibition and the International Horticultural Exhibition in 2013. The island faces a combination of ’technical’ water management problems like flooding risks and pollution of surface water, and ’urban planning’ demands like the development of more attractive locations for residents, business and visitors. These needs require interdisciplinary cooperation in water management, urban planning and landscape design. The SWITCH project initially developed collaboration with the city-wide administration in Hamburg but as activities began to focus on the island of Wilhelmsburg, a learning alliance was developed to include several core members representing key local stakeholders from the island. Potential members of the learning alliance were identified through a stakeholder analysis and interviews. Non-governmental organisations engaged in the social, cultural and ecological improvement of the island played a particularly active role and the learning alliance could build upon existing structures for citizen and stakeholder engagement on the river island. To discuss possible objectives with new members, numerous meetings were held and the ideas behind the SWITCH project were made widely known. Strengths and weaknesses of existing approaches, as well as new opportunities and risks in urban planning and water management on the island were debated. Discussions identified the importance of water management measures in contributing to the development of attractive locations and improving the image of the island, and stakeholders emphasised the need for an overall concept bringing together the different water demands on the island. As well as welcoming visionary concepts and projects, these meetings clearly articulated that there are several current problems that have to be solved and that it was important that projects correspond to the local requirements. Through such conversations, trust was developed and a sense of ownership in the Learning Alliance and its objectives was

built up. It now forms a basis for joint research, planning and action between four key groups that have not been well connected in the past: the city administration, local citizens, stakeholders with a role in urban water management and planning on the island, and researchers. This example illustrates a learning alliance approach in the context of an urban planning process. Innovations include: widening stakeholder engagement and participation in the urban planning process using new tools, including promoting social inclusion; and incorporating or mainstreaming water into urban development planning. Within SWITCH a wide range of tools are being used to underpin the learning alliance process and the next sections illustrate three key methodologies: visioning to identify agreed long-term objectives with stakeholders, monitoring methods that focus on outcomes, and process documentation to encourage learning within project implementation. 3 VISIONING Visioning, as used in SWITCH, is a methodology designed to aid a group of stakeholders to reach consensus on a shared and agreed vision of the status of a certain issue, in this case urban water management (Moriarty et al., 2005). Such a vision can, it is hoped, provide a common focus and target for strategies and plans aimed at managing and improving urban water management in a more integrated manner. In SWITCH, a visioning process has been initiated in several cities to try and develop a precise and shared description of how a group of stakeholders (the learning alliance) would like water resources and water services to be in their area of interest at some future time. The visioning methodology used is based on the EMPOWERS approach to strategic water management. In this approach, water stakeholders are facilitated in working through a programme cycle that starts with the development of a shared vision, before giving rise to strategic plans, the implementation of activities and subsequent adaptation based on lessons learned. 3.1 Summary of ‘visioning’ methodology A vision represents a desired situation at some agreed time in the future (e.g. in 10, 20 or 30 years) The gap between the current situation and the vision defines what stakeholders would like to achieve. It is important that a vision is not an unattainable wish list so targets and indicators are important. Planning should take account of trends in issues like water supply and demand, and of how potential risks and constraints might affect achievement of the vision. This trend analysis is undertaken through a scenario building exercise, where scenarios are understood as different possible future operating environments based on different possible outcomes of current trends (for

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example relating to climate change or energy costs and their impact on urban water management). Both visions and scenarios should be described using a mixture of narrative and numerical targets in a way that is unambiguous and not open to misinterpretation, as this may give rise to conflicts at some future date. In the context of integrated water resources management, it is important that the visioning process produces an output that is shared and owned, as far as possible, by all stakeholders (including the more marginalised). Successful integrated strategising (a strategy is a combination of activities aimed at achieving a vision) and planning is extremely difficult and often impossible if stakeholders have different visions of what they would like to achieve. Similarly it is important that there is consistency across visions created at different spatial scales. For example, a city level vision will be different to a vision that has been developed for a neighbourhood within that city. However, there has to be a mutual consistency and compatibility between the visions if conflicts are to be avoided. Steps used in the adapted SWITCH visioning methodology include: 1) Reaching agreement on the boundaries to the area of interest and the timeframe; 2) Ensuring that all stakeholders are adequately represented in the process. 3) Identifying the main issues that are to be included in the vision using a combination of techniques that include: problem tree analysis, brainstorming using cards or a check list provided by the facilitators; 4) Developing an outline vision for the area of interest over the agreed timeframe using a concise mixture of descriptive narrative and numerical targets. Stakeholders should be asked to use the acronym SMART (Specific, Measurable, Achievable, Realistic, Timebound) as a checklist of attributes of well-written visions; 5) Checking that the draft vision is consistent with visions at higher or lower spatial or administrative scales and government policy; and 6) Disseminating the vision widely to elicit comments and feedback. The vision can then be finalised by taking account of constructive comments. Within SWITCH it is intended that the initial visioning process leads into longer term strategic planning process involving more advanced scenario-building and strategising. After this stage it may well be necessary to re-visit the original visions to see whether or not they remain realistic within the agreed time horizon, and to revise them where necessary.

the learning alliance and it has become seen as a safe, non-competitive, constructive environment providing both local and international opportunities for learning and sharing. In January 2008, the initial phases of learning alliance development (that included developing and training a facilitation team, developing a website and communication mechanisms and at least 3 major workshops on different urban water management research areas) culminated in a visioning workshop that was considered an important test for the learning alliance. The visioning workshop brought together over 50 participants representing about 25 organisations and institutions, including both decision-makers and their ‘right hands’. Before the workshop, the higher decision-makers and executive levels in these organisations had not yet actively participated in the learning alliance. Realizing the seriousness of the workshop goals they seemed not to want to miss a chance to express their views and emphasize their commitment and involvement in the water management issues. A key success was constructive discussions and group activities, and there was evidence of a common willingness to contribute and seek specific changes, rather than to criticise and dwell in the past. This is a positive attitude shift that the SWITCH learning alliance has sought to encourage. The workshop methodology was considered interesting by the participants, who evaluated it as being innovative and helpful. The participants expressed pride Lodz that has a vision for better urban water management and that they contributed to establishing it. That vision is that by 2038 ‘Lodz Uses Its Water Wisely’ and

3.2 Visioning to create a positive process in Lodz, Poland

4

The Lodz SWITCH Learning Alliance has been in the process of establishment since March 2006, engaging initially the stakeholders with the most critical perceived roles in water management. Over time, additional important actors have been identified and involved. Stakeholders have started to trust

While any research project requires monitoring and evaluation (M&E) as part of its process – for reasons of accountability in the use of resources – projects undertaken within a framework of a multi-stakeholder process require multiple layers

‘The city’s resources management is based on an efficient and integrated system ensuring access to information for all. Investors and authorities respect ecological properties of land and water. Infrastructure serves the functions and requirements of an environmentally secure city, is reliable, meets the needs of all the city’s population and assures good status of aquatic ecosystems. Green areas – river valleys along open corridors – provide space for recreation and are the ‘green lungs’ of Lodz. The population’s common and in-depth ecological awareness contribute to exceptional quality of life. Our city is a leading centre for innovation, education and implementation in Poland.’

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MONITORING MULTI-STAKEHOLDER PROCESSES

and types of M&E. Multi-stakeholder processes, such as Learning Alliances, have been promoted as means to achieve an improved research process. So it is necessary to have a way to track and judge whether the approach is fulfilling the goals and activities intended. Since research embedded in multi-stakeholder processes is meant to increase and improve learning, M&E activities should also help to promote greater learning at all levels. M&E needs to be seen and carried out as a regular activity that allows learning to take place and enables lessons learnt to influence the direction of a program. However, the types of M&E that are usually applied within research projects to assess activities, outputs, and outcomes are not always appropriate to such wider objectives. A broader focus than M&E of specific technologies developed by the research process, that also looks into the way in which the process (or learning alliance) facilitates demand-driven research, the flow of knowledge, linkages and coordination between stakeholders and their sectors, and opportunity and capacity for knowledge to be adopted and used, needs to deploy additional methods. The required behavioural changes within such processes necessitate different approaches than the traditional indicatorstyle method and since M&E in a multi-stakeholder process should also be a learning mechanism for all stakeholders, traditional M&E approaches that are not normally used in a participatory manner are not sufficient. Novel approaches or uses, as described below, do offer better opportunities for working with and understanding the dynamics of multiple actors and their behaviours but they often require more time, resources and varied skill sets to effectively carry them out.These are frequently underestimated. 4.1

Some possible ‘M&E’ methodologies for multi-stakeholder processes

Traditional M&E approaches, for example logframes commonly used in the urban water, water and sanitation, and water in agriculture sectors, are good at describing causal chains but usually strongly focus on technologies and outputs and lack an actor and outcomes focus. What the new paradigm in research recognizes is the central role of people and their attitudes and behaviours to the achievement of and success of programs. Against this background, some methodologies that SWITCH learning alliances have started to experiment with, adapt and apply include: RAAKS for analysing complex multi-stakeholder situations (Engel and Saolomon, 1997); Outcome mapping, to assess changes in the behaviours, relationships, actions or activities of the people, groups, and organisations with whom a programme works directly5 ; RAPID expert methodologies for ensuring the policy impact of research6 ; Impact Pathways analysis to describe how a project’s outputs are developed with, and used

by, others to achieve chains of outcomes that contribute to eventual impact on social, environmental or economic conditions; and Most Significant Change to capture change stories (Davies and Dart, 2005). Scoring ladders or micro-scenarios are a flexible technique used to identify different levels of achievement of a mainly qualitative change that can be objectively assessed in a participatory way (Sijbesma and Postma, 2008; Butterworth and Da Silva, 2008). Key elements of this approach are that stakeholders choose the micro-scenario that most adequately reflects the situation, ordinal scoring options are benchmarked and peer-reviewed, and the reason for a specific score is recorded and analysed. 4.2 Progress in stakeholder engagement in research: Assessment of papers from SWITCH scientific conferences To assess the progress of SWITCH consortium partners in applying a new approach in their scientific method (learning alliances) scoring ladders were used to analyse papers and posters presented at the yearly SWITCH scientific meetings. In the first two years of the project the main part of these meetings has involved presentation in a standard conference format of 17–25 papers. Scientific papers and posters were assessed using a rating methodology (scoring ladders) described by Butterworth & Da Silva (2008) focusing on the way that the authors reported on stakeholder engagement. Papers were assessed against the following intended outcome: Scientific papers presented at annual conferences deal explicitly with processes of stakeholder engagement in order to deliver research that meets stakeholder needs, innovations that are tested, and impacts that can be scaled up. The analysis looked for indicators that included the mentioning of stakeholder priorities, discussing strategies and plans to engage stakeholders, analysing the role of the researcher in order to have impact, and presentation of other strategies for scaling up. Based upon a guiding scale, each paper was scored on a scale between 0 and 100. For example, ‘The paper makes no explicit mention of stakeholder needs, links to learning alliance process or a strategy for scaling up uptake of the findings’ results in a score of 0 and ‘The paper presents a clear strategy for scaling up research findings, recognises the role of the researcher as a agent for change within that process, and acknowledges the need/or does document this process’ merits a perfect score of 100. The benchmark (scored 50) was that ‘The paper is clearly based on a research theme that has been identified as a priority within learning alliance plans (and these are cited) and refers to activities to engage stakeholders at different stages in the research’. At the first annual meeting in Birmingham, a low average score (12 out of 100) reflects the fact that the consortium had just commenced SWITCH research

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and in some cases researchers were presenting earlier research or mainly conceptual ideas. Funding for city learning alliances was actually only allocated by the project in early 2007 and these platforms only began to become established during that year as facilitators were recruited and trained. Hence, city learning alliances could not be expected to have had a major impact. Although only one indicator of ‘integration’ and new ways of working – some possible alternative or additional indicators might include non-researchers being included as co-authors or cited as contributors in papers – the low awareness (or rather limited documentation within these papers) of what research within a learning alliance might involve, except for one paper that stood out, was disappointing. Da Silva (2007) documented the attitudes of the consortium to working within a learning alliance approach through interviews at the meeting. In Tel Aviv at the second meeting, the average score was 17 (out of 100). The majority of papers and posters (22 out of 35) still were rated with a zero score against the above objective. A total of 27 (out of 35) papers still did not meet the benchmark level, and only two exceeded that level. Most papers remained purely technical and did not yet take account of the SWITCH programme approach, stakeholder involvement, learning alliance principles or scaling up. However the limited improvement from the first meeting was encouraging. Partly this was no doubt encouraged by calling the meeting ‘a scientific and integration meeting’ and the fact that the conference announcement flagged issues relating to the learning alliances. During 2007, city learning alliances also started to function (including active involvement of researchers) and other activities to support the development of learning alliances received significant investment (training workshops, development of a series of guidelines based on briefing notes, and some limited coaching of facilitators). However, the later events generally involved only ‘facilitators’ and there was low involvement of consortium members that would identify themselves as ‘scientists’. While overall it is closing, a gap between researchers and learning alliances persisted during 2007 (see Sutherland and Darteh, 2008 for a wider analysis and discussion based on interviews at this meeting) with some scientists viewing learning alliances as merely platforms to disseminate results rather than as an institution to be engaged at all stages in the research cycle. 5

PROCESS DOCUMENTATION “Success is wonderful, but we learn the most from adversity and failure. That which makes us uncomfortable or is controversial gives us clues about how to be successful in a much deeper way. (Annie E. Casey Foundation, 2003)”

Process documentation is a tool that helps project staff and stakeholders to carefully track meaningful events in their project, ‘in order to discern more accurately what is happening, how it is happening and why it may be happening.’ (Annie E. Casey Foundation, 2003). Process documentation is a systematic way to reflect, analyse and discover patterns that help or hinder change. 5.1 Summary of ‘process documentation’ methodology Process documentation systematically looks beyond a project: at context, history, and traditions (Schouten, 2007). It does not only look at what is going on during the limited life time of a project and within its spatial and institutional boundaries. It looks beyond to the ‘real world’ that the project aims to change, into history, culture and patterns of power and decision making. Process documentation also acknowledges the importance of tacit knowledge of project participants and the need to find ways to capture this, that processes are situated in particular organisational contexts, and that documentation can be resource intensive (Ungen, 2006). Process documentation is important for projects with social or political objectives such as empowerment, stakeholder cooperation, and integration since these projects have the ambition to change traditional patterns, attitudes, relationships, approaches and ways of thinking. They should therefore try to understand the context and background of these attitudes, relationships and approaches. As a tool it is used to described the context of a project and explore progress towards project objectives. Process documentation captures the process, and organises, analyses and disseminates the findings. It involves: 1) a structured, focused way of capturing the change process that a project aims to bring about e.g. activities, interactions between stakeholders, issues and contextual factors; 2) organising information in such a way that stakeholders have an opportunity to reflect and learn about the process; 3) analysing information by looking at common themes, trends and patterns and placing the findings in the context of the project and the project’s theory of change; and 4) disseminating the information quickly enough to be most useful (Annie E. Casey Foundation, 2003). Process documentation needs to be based on a theory of change that gives it direction and focus. What is it exactly that you want to observe? What is important, and what is less important? The theory provides the window through which to observe and analyse the process. All projects have a theory of change. In most projects (like SWITCH) they are only implicit, but others, in particular projects related to social change, will have explicit theories. The theory could be that empowerment will improve access of poor people to water or that concerted action of all stakeholders will

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result in more sustainable and more effective solutions to water problems. Acknowledging the importance of a change theory and making this theory explicit also allows the stakeholders to participate in discussions on the basic assumptions of the project. Process documentation tools may include: semi-structured interviews with individuals, focus group discussions, minutes and observation of meetings (formal and informal), documentation of anecdotes, jokes, stereotypes of attitude (the stories told), analysis of project outputs, journals and diaries (of project team members and/or stakeholders), photography and video, and storytelling such as the Most Significant Change method (Davies and Dart, 2005). The semi-structured interview has to date been most widely used to document changes in how researchers involved in SWITCH perceive their learning alliances. 5.2

Looking inside the SWITCH consortium

The attitudes of the SWITCH consortium to the learning alliance way of doing research was investigated through interviews at the annual scientific meetings held in Birmingham in January 2007 and Tel Aviv in November 2007 (Da Silva, 2007; Sutherland and Darteh, 2008). Four questions were asked: 1) how do you see learning alliances operating in the SWITCH project (their objectives, functions, membership, and costs and benefits)? 2) how have you been involved in learning alliances in specific cities? 3) what do you see as the main challenges in developing learning alliances in the cities? and 4) are there other ways of scaling up research and reaching implementers and policy makers? The comments from a cross-section of researchers and other participants at the second meeting in Tel Aviv clearly indicated that the concept of city learning alliances has not only gained broad acceptance, but also is seen as playing an important strategic role within SWITCH at city level. At the same time, there is clearly room for significant improvements and developments, particularly with respect to communication, sharing of information and resources, capacity strengthening and further serious exploration of collaborative activities that span the traditional gap between research and implementation in the water sector of SWITCH cities. A number of researchers demonstrated a sense of realism about the performance of learning alliances 6–9 months into their initiation, both in relation to the sequencing of SWITCH activities, and the socio-political context for learning and innovation. Many researchers were clear that without a learning alliance it would be very difficult to engage the important players within a city with a view to getting their research into practice. In a few cases it was acknowledged that the design of the project implied learning alliances could not play a strong role in formulating research priorities, because

the learning alliance was established after research activities had been defined and initiated. In other cities it was acknowledged that the idea of a learning alliance might be problematic because political and professional cultures might not be congruent with the norms underpinning the learning alliance concept. In such cities it may be unrealistic to expect strong influence through horizontal linkages between agencies, collaborative learning, a strong link between research, learning and policy, and strong city governance of water related issues. 6

MATRIX MANAGEMENT

Research projects in fields like urban water management are typically (especially those supported by the EC) organised into a series of thematic lines or work packages. In the case of SWITCH these are mainly disciplinary areas or part of the urban water cycle e.g. storm-water, water supply, sanitation etc. Such a structure makes it hard to undertake effective coordination or cross-cutting activity (e.g. research on the whole urban water cycle in Accra for example). In the case of urban water management, the different areas can only logically be integrated within a city context where synergies, conflicts or trade-offs will become apparent in working towards an overall goal of more integrated urban water management (for more efficiency, sustainability, equity across the whole system rather than within individual components). It is here that the real potential learning and opportunities, as well as costs in terms of effort, lie. In demand-led research there is the added complication of a need for some mechanism to balance the needs of the users of that research (in the case of SWITCH these are key members of the learning alliance) and research providers (in this case universities and research institutes within the SWITCH consortium, but who are also members and sometimes key champions of the learning alliances). Matrix management has a mixed history in business, since it is complex, hard to maintain and managers have to serve different objectives making it hard to lead. Here we review its limited application within the SWITCH project to date. 6.1

Experience with matrix management in SWITCH

The SWITCH project includes three main bodies that aim to provide coordination or management across the largely thematic or disciplinary work packages (the 23 work packages are grouped themselves into 6 themes). These bodies are: a scientific committee composed of senior scientists responsible for scientific management and to “ensure that the necessary integration of research, interaction and communication between participants in the different themes, sub-themes,

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demonstration cities and . . . are satisfactory for achieving the project objectives”; a demonstration committee with responsibility for demonstrations (pilots) made up of city coordinators who are the most senior representatives of the main research institution in that city (or country); and a Dissemination and Exploitation Committee with responsibility for the management of knowledge. Work package and theme leaders are allocated some paid management time within the project. No management time is allocated for engagement in the other management structures. The main routine decision-making body (and where effective power lies) is a management team which is composed of the theme leaders (senior researchers) that represent the main research lines. There are representatives of the other parts of the matrix (e.g. the demonstration and dissemination committee chair and scientific committee chair) but these are also senior researchers not located within the cities and they do not represent research users within the consortium or the cities where it focuses (i.e. municipalities or learning alliance representatives). The resulting outcome of this model is that cities and learning alliances are relatively weakly represented. An attempt to manage the project on the basis of a matrix that engages researchers and cities is heavily tilted in the favour of the former. Cities have no legitimate voice or formal say over research priorities, signing off of work plans, or fund allocation within the project and very little influence. A particular concern is that city coordinators represent a city (although they are not always resident there or working within a city based institution) while at the same time being a member (usually the head) of one of the main research providers in that country. This creates a potential conflict of interest particularly since the city coordinator position is voluntary (in many cases the city coordinator is not even paid for their research time since many partners are so called additional cost partners within the EC rules where permanent staff costs are not remunerated through a project). There are obvious incentives for the city coordinator to represent the otherwise legitimate interests and capabilities of that research provider. This structure puts city coordinators in a very difficult position and is very unlikely to lead to learning alliances effectively securing demand-led research. Learning alliance facilitators should play a brokering role between various interests in a city including both research users (e.g. municipalities or companies providing water services) and researcher providers but also developers, planners, financiers, policy-makers, citizen’s representatives etc. They should be the nodes in a matrix management system balancing researchers and cities as research users and ensuring that service providers, such as researchers, provide the services required by the learning alliance. This role is

made more difficult when facilitators are engaged (for practical reasons of expediency) through the main research provider as is the case in SWITCH. Furthermore, these organisations typically have little experience of the partnership building and learning tasks involved and are prone to underestimate the scale of the task and level (in time and seniority) of human resources needed. These organisations themselves were in fact selected in SWITCH on their ability to do research, rather than ability to facilitate multistakeholder partnerships. Problems have also been experienced where the municipality tries to take the facilitation role. Ideally there should be a facilitator in a multi-stakeholder research process that is independent e.g. a respected consultant, someone attached to a research organisation that is not a main research provider, or from a credible NGO. 7

CONCLUSIONS AND RECOMMENDATIONS: CAN SWITCH LEAD TO A LEARNING SECTOR IN ITS CITIES?

SWITCH has piloted application of a number of innovative methodologies to seek integrated and sustainable improvements in urban water management by doing science better. Mid-way into this ambitious project, experiences using the methods presented, lead to some preliminary conclusions and recommendations that can inform the implementation of the remainder of the project and similar initiatives. Arguably, there is not yet sufficient consensus on whether the SWITCH project is about new research or creating a learning sector within these cities through the learning alliance approach (the underlying theory of change for the project is contested). The allocation of resources and decision-making power within the consortium still suggests the former is dominant. It is understandable how the paradox persists of strong spoken and commitment on paper to a learning alliance approach that translates into weak actually support and financing for the approach in practice. The nature of the research project development process itself is far from ideal for such multi-stakeholder driven and demand-led research. Unfunded proposal development processes (or more correctly, self-funded proposal development processes where the strongest institutions can invest more) do not lend themselves to a participatory process in project design especially involving multiple types of stakeholders and developing countries. Furthermore, research funding generally targets the outputs (new research) rather than the process and its outcomes (e.g. stronger communication, capacity building and institutional reform through a learning alliance) that is needed to underpin a strong innovation system. Ideally the objective of SWITCH would have been the transformation of cities and the

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urban water sector to learning and innovating systems, but this might not have been funded? The implications of a learning alliance approach to research do require project design, planning and phasing to be done differently. This needs to address issues such as partner selection and allocation of resources with a process and outcomes in mind and including more encouragement and support for scientists to develop and use new skills. In SWITCH it would arguably also have better to avoid thematic or disciplinary focused work packages and to build a stronger matrix management model. Unfortunately, multi-stakeholder research processes are also expensive. Costs of change are high and frequently underestimated. While many partners will readily contribute inputs in kind and their own time, the initial facilitation, training and capacity building inputs needed are considerable. SWITCH has illustrated the difficulties of securing additional funding for such ‘software elements’ in research. For a variety of reasons city learning alliances have been allocated small and uncertain budgets for short periods (e.g. 18 months) and learning alliance platforms at other levels have not attracted any coherent investments. Reasons include the uncertainties of stakeholder-driven approaches for research institutes and the potential squeeze on budgets (for ‘traditional’ research activities) when funds are put into learning alliance type activities, resistance to change and the momentum of business-as-usual in sector organisations, as well as the weak involvement of cities and non-research providers within management. Within SWITCH, one impact of the high costs of learning alliances has been to focus on the city level. While this is a good entry point, the neglect of learning alliance platforms at other levels (e.g. the national level to influence policy) and the global or consortium level is likely to undermine potential wider impact. Any demand-led research process needs to balance the sometimes conflicting interests of research providers and users. The rules of the game for allocation of project resources need to clear together with the role of individuals or agencies engaged in decision-making. Within SWITCH there has not been a clear process yet where learning alliances could veto or challenge particular pieces of research as not being demand driven or high priority, nor influence allocation of resources towards other more important research activities. Better M&E and process documentation that builds on tested methods for monitoring and demonstrating impact of multi-stakeholder processes are probably two of the most promising approaches towards more constructive dialogue and engagement with learning alliances. However, these components are themselves very difficult to get funded or to convince researchers to focus on. Within SWITCH they have attracted limited funding or effort to date. Innovative uses of M&E and process documentation

need to be promoted as important activities for all researchers, and more value attached to the different types of outputs (although research papers like this one should not be excluded) and learning that they will generate.

REFERENCES Annie E. Casey Foundation (2003). Process Documentation. Topic paper for Making Connections A Neighbourhood Transformation Family Development Initiative. Baltimore: AECF. Butterworth, J. & Morris, M. (2007). Developing processes for delivering demand-led research in urban water management. SWITCH working paper http://www. switchurbanwater.eu/page/1340 (accessed 11 March 2008). Butterworth, J. and Da Silva, C. (2008). A framework for monitoring and evaluation of project outcomes. SWITCH Learning Alliance Briefing Note 7 www.switchurbanwater.eu/page/2104 (accessed 11 March 2008). Da Silva, C. (2007). A review of our own thinking on learning alliances. SWITCH Learning Alliance Briefing Note No. 3. www.switchurbanwater.eu/page/1840 (accessed 11 March 2008). Davies, R. and Dart, J. (2005). The Most Significant Change (MSC) technique: a guide to its use. www.mande.co.uk/docs/MSCGuide.pdf (accessed 11 March 2008). Engel, P. and Salomon, M.L. (2007). Facilitating innovation for development: A RAAKS resource box. Amsterdam: KIT Publishers. Gyawali, D., Allan, J.A., Anyunes, P., Dudeen, B.A., Laureano, Fernández, C.L., Luiselli, C., Monteiro, P.M.S., Nguyen, H.K., Novácek, P., Pahl-Wostl, C. (2006). PEU-INCO water research from FP4 to FP6 (1994–2006): a critical review. http://ec.europa.eu/ research/ water-initiative/pdf/incowater_ fp4fp6_rapport_ technique_ en.pdf (accessed 11 March 2008). Moriarty, P., Batchelor, C. and Laban, P. (2005). Using Visions, Scenarios and Strategies within the EMPOWERS Planning Cycle for IWRM. EMPOWERS Working Paper No. 4. www.empowers.info/page/1085 (accessed 11 March 2008). Schouten, T. (2007). Process documentation. www.switchurbanwater.eu/page/1858 (accessed 11 March 2008). Sijbesma, C. and Postma, L (2008). Quantification of qualitative data in the water sector: the challenges. Water International, 33(2): 1–12. Smits, S., Moriarty, P., and Sijbesma, C. (eds) (2007). Learning alliances: scaling up innovations in water, sanitation and hygiene. Technical paper series No. 47. IRC International Water and Sanitation Centre, Delft, The Netherlands. Sutherland, A., and Darteh, B. (2008). Revisiting SWITCH consortium thinking on learning alliances. SWITCH LearningAlliance Briefing No. 8. www.switchurbanwater. eu/page/2437 (accessed 11 March 2008). Ungam, M. (2006). Towards a better understanding of process documentation. The TQM Magazine, 18(4): 400–409.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Can water governance operate in an institutional vacuum? L. Suleiman Division of Regional Studies, School of Architecture and the Built Environment, Royal Institute of Technology, Stockholm

ABSTRACT: Using the governance theory framework, this paper examines the introduction of the private sector as manager and operator of the public water utility Ghana Water Company Limited (GWCL). The analyses are integrated under two sections: analysis of the governance process and analysis of process outcomes and institutional context. The consultation process on involvement of the private sector was hostile and resulted in a light form of private sector participation in the form of a management contract that can be considered a de facto compromise, although not deliberate, by stakeholders. The challenges of improving water sector’s performance and services are profound. Because of institutional constraints, the private sector’s involvement will not entirely solve improving water services over the long-term. Keywords:

1

Governance; privatisation; water utility

INTRODUCTION

1.1 Water sector reform

The poor water services in Ghana, WesternAfrica, pose a critical threat to public health and human development where over 40% of the population lives below the poverty line. Only half the population, or approximately 20 million people, has access to adequate water supply services. A situation where the state fails to deliver water supply services has been defined as a crisis of governance (Rogers & Hall, 2003). Whether water utilities are publicly, privately, or mixed managed, they will remain inefficient without a good governance framework and process (Rogers & Hall, 2003). In this light, this paper examines the governance process for reforming the water sector and privatisation of the water utility in Ghana. It reviews how the interaction between different stakeholders as they define the problems with the water sector, propose solutions, make mutuallysatisfactory and binding decisions, and co-operate in implementation of these decisions. Accordingly, the research questions were outlined: 1) What are the underlying factors that have initiated the reform policies and shifts in water utility management?; 2) how is the shift to private operator in the water supply management perceived by the groups concerned?; and 3) how do stakeholders perceive the consultation process, its outputs, and anticipated improvements and challenges?

Attempts at reform of the water sector in Ghana until the end of the 1980s were not successful (Nkrumah, 2006; Tsikata, 2006). Then in the early 1990s, water sector reform was placed at the top of the Government’s priorities and the Government approached the World Bank for financial assistance. The World Bank has been instrumental in driving the whole reform process (Abdul-Nashiru, 2006). The main profound problem of the water utility (WU), the Ghana Water Company Limited (GWCL), was diagnosed as lack of investment and inefficiency. Based on studies of foreign expertise by two commissioned consultants, donor agencies concluded that privatisation of the GWCL was needed to enhance its performance and overall efficiency of the WU. Reform polices have always been led by donors and foreign expertise (Reed, 2001). Yeboah (2006) argues that “Ghana’s development practice is characterised by a culture of dependency on foreign sources of capital and expertise that illustrates a psyche and mindset of Eurocentrism associated with the elite and decision makers of the country”. Lending resources to reform the WU were conditional on the involvement of a form of private sector participation in water utility management and operation. Consequently a water policy for a privatisation programme in the form of a 20-year leasing contract

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for the urban water supply systems in Ghana was drafted. The draft proposal was presented at what the Government called a stockholders’ forum in February 1995, in order to build up popular consent. A broad coalition of individuals, civic organisations and the Trade Unions Congress (TUC) with the exception of the union of GWCL workers (PUWU) emerged to form and promote the Ghana National Coalition Against the Privatisation of Water ‘NCAP-Water’.This Coalition was been recognised by the international community and received adequate support for fighting against privatisation. Ghana NCAP-Water utilised mass mobilisation tactics to stall the state’s effort at privatisation of the water utility. The Integrated Social Development Centre (ISODEC), a not-for profit social development organisation, was at the forefront of NCAP-Water and pushed for the Accra declaration on the right to water, issued on 19 May 2001. 1.2

Establishing an institutional platform

Initially, the water supply and sanitation services were integrated as one national institutional entity, the Ghana Water and Sewerage Corporation (GWSC) to serve the country’s ten political regions. From 1993–1994, the institutional framework of the water sector changed. The GWSC was downsized and became the GWCL. It remained centralised and structured under the Ministry of Housing, Works and Water Resources, and was responsible for only 84 urban water systems of the initial 210 urban water systems. The other systems were left to the Community Water and Sanitation Agency (CWSA), an institutional body created in 1998. The responsibility for sanitation and wastewater management was decentralised and shifted to district assemblies and communities by the CWSA,

which was structured under the Ministry of Local Government (MLG). Other sub-water institutions emerged with different tasks: the Water Resources Commission (WRC) managed the national raw water bodies and the Public Utilities Regulation Commission (PURC), in 1997, to regulate the tariffs and ensure the quality of services provided by water and electricity utilities. The PURC is an independent entity under the direct authority of Parliament. Within the new institutional setting, the GWCL was accountable to the regulator, PURC. 2

METHODOLOGY

The water supply governance process is analysed both empirically and theoretically. The analyses draw on literature reviews of theoretical perspectives on governance and reform polices and qualitative research techniques that integrate interviews and questionnaires conducted in the urban area of Accra, Ghana. Based on the analyses of the research findings, some conclusions are drawn. To comply with the research demands, interviews with stakeholder representatives were conducted in November 2006 to capture their perceptions on the study aspects (Figure 1). It is worth noting that Figure 1 is not intended to reflect the power factor, but merely stakeholder categories. The interviews integrated structured questionnaires with open-ended questions but designed in a way to fit the different roles of the stakeholders. The questions were addressed to the interviewees to spark dialogue on issues of interest to the study. In this paper, the terms “stakeholders” and “respondents” are used interchangeably to mean the interviewees, supposedly stakeholder representatives. Public Water Institutions

Private sector Academia International NGO's

Donors’ Agencies

Ghana Consumer Association The NCAP (mainly TUC & ISODEC)

Regulator (PURC)

Politicians Figure 1. Stakeholders involved with water utility privatisation in Ghana.

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3

GOVERNANCE: CONCEPT AND CONTEXT

Governance is not a new concept and formerly it has been equated with what governments do. The governance concept in a newly defined perspective has emerged as a result of the alleged shift towards the market to blur the division between the three realms of the state, market, and civil society, and refers to a new relationship (Pierre & Guy, 2000; Cars et al., 2002). Governance as an operational concept emerged to deal with different rationales. In the developed context, the governance approach is called for against the backdrop of the disillusionment of welfare polices to adhere to the provision of welfare aspects and the externalization of government functions to the market (Brenner, 2004; Gerometta et al., 2005). Gonzalez & Healey (2005) define governance in a western context as ‘the shift from government arrangements associated in Europe with the post-war welfare settlements which gave a strong role to the state in supporting the economy and civil society towards a form of governance with a stronger role for the economy and civil society in self-managing what had previously been provided by the state’. Civil society is seen as a necessary supplement to the welfare state, a permanent pre-condition, but never a substitute for it (Gerometta et al., 2005). In the developing countries, however, the concept of governance has been posed by the international development agencies pursuing a neo-liberal agenda as a curative concept (Amin, 2006) to deal with what has been defined as crises of governance where the state fails to deliver the basic needs of public and social services (Rogers & Hall, 2003). Governance resonates in the modern democracy theory (Swyngedouw, 2005). The shift from government to governance means a shift from representative democracy to participatory democracy (Swyngedouw, 2005). In the developing courtiers however, a genuine representative democratic system, if there is any, is still lacking in at least some respects. According to Amin (2006), the concept dissociates democratic progress from social progress and reduces democracy to good management practices. Pierre (1998) defined governance as: “A process through which local political institutions implement their programmes in concern with civil society actors”. Rohdes (1997) more radically defined governance of “self-organising networks characterised by their interdependence, resource exchange, rules of the game and significant autonomy from the state”. For Moulaert et al. (2005), the governance process is how to find the right balance between the top-down and bottom-up approach in order to maintain the collective affairs. Jessop defined governance as “an alternative model for managing the collective affairs’ by which he meant ‘horizontal self-organisation among mutually interdependent actors”. Jessop argues that self-organising

governance “operates with reflective rationality, avoiding the failures of state and market” (Cars et al., 2002). Most likely such approaches create a place of intermediation between state, market and citizens tending towards the general welfare of the place (Gerometta et al., 2005). However, the vital role of the state in governance arrangements and network cannot be overlooked. The new modalities of governance are mobilised by the state and therefore the governance network cannot operate outside and independently of the state. Governance does not replace government; rather it is complementary (Cars et al., 2002). In this paper, governance is defined in normative terms as “a dynamic process of interaction of the different sectors (apparatus of the state, civil society, and the market) in a specific local setting, mobilised by the state, to deal with a broad range of problems/conflicts and arrive at mutually, satisfactory and binding decisions and co-operating on the implementation and monitoring of these decisions, through a collective learning process, to ultimately enhance the quality of life”. 4 THE WATER GOVERNANCE PROCESS Who are the formal and informal actors involved in defining the problems of the water sector? How the water utility performance is assessed by different interests groups? What are the solutions perceived by stakeholders and the driving forces for success in the decision-making process for the water utility privatisation programme? In addition to analysing the water sector, this section deals with stakeholders’ perceptions of solutions to the water supply constraints; the openness, transparency, and legitimacy of the consultation process; and consultation environment. 4.1

Formal and informal actors

The discourse process on reform policies for the water sector has involved a plethora of actors. Official actors in policy formulation have included the Ministry, the Parliamentary Select Committee, the PURC and the WRC. Development partners in the water sector together with Water Aid, an international UKbased NGO, have constituted a group which is able to interact and influence the sector ministry and government in general (Abdul-Nashiru, 2006). Other actors include the trade unions, the Ghana Consumer Association (GCA), and local and international NGOs. However, the process has still not been sufficiently inclusive. Citizens were neither consulted nor represented (Apoya, 2006; Korley, 2006), at least in a designed manner and with formalised procedures to deliver information and inputs and to receive feedback. Surprisingly, assembly members at different political

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levels elected by the public do not have any role to play in the provision of urban water supply services (Odotei, 2006). In the policy discourse on how the water supply should be managed, the research findings indicate that the assembly members also do not have a direct role to exercise themselves or through the regulator – the PURC. The participation of some assembly members in the consultation forums was based on ad hoc principles rather than an institutionalised setting based on their being accountable to their voters and holding a stake. However, one can also argue that citizens were involved de facto at different levels of discussion and debate on the subject. Many of the NGOs and other civic society groups were vocally involved in the process through the NCAP and their mass mobilisation tactic against privatisation, so to speak. They were also involved through the Urban Water Project at the GWCL (Abdul-Nashiru, 2006). However, from the communications with the interviewees including the ISODEC, it can be concluded that the pressure groups in the coalition such as the ISODEC were more concerned with “manufacturing” public opinion against the privatisation schemes rather than for public hearing on their own perceptions and concerns on the policy formulation. 4.2 How the utility performance is assessed and what are the constraints? The performance of the national public water utility in Ghana was assessed by all the respondents as far short of what is expected in terms of citizens’ demands for reliable water supply services. The water utility has only been able to provide water to half of all urban dwellers. Even in the well-served areas, water supply is constrained by interruptions on the least 2 days a week (Tay, 2006). Respondents perceive the root causes of the under-performance to be the lack of investment due to inadequate and politicised tariffs on the utility level, the lack of allocated public capital at the national level, political interference, unplanned urbanisation combined with lack of institutional coherency, lack of political will and commitment, centralised government, de-motivated personnel and a very bad attitude and discipline of workers, all of which factors can be aggregated into management inefficiency. The politicised tariffs made the utility operations more complicated. On one hand, the government could not provide enough resources to carry out expansion of the water supply. On the other hand, the utility did not have the control to set prices, even though water is an economic good that requires capital to buy marketable inputs for water production. Thus the operating system was cash trapped (Ahaligah, 2006).

The rapid and unplanned urbanisation that could not be matched by service expansion has been another constraint. System needs are overstretched, as capacity is not adequate to meet the growing population (Apoya, 2006). The lack of coordination and coherency in urban planning institutes and the ageing of the already existing infrastructure are further constraints (Bibah, 2006). The most profound obstacle to a functioning water utility as cited by all respondents is political interference manifested in different aspects but with interlinked consequences. The appointment of chief executives is based on patronage rather than merits and competence and is carried out according to the interests of politicians, who want people that they can trust (Ashon, 2006). Because of political interference, there has been a regular change in the management positions of the water institutions. “If we fail to meet the performance targets, no one asks why they were not met”, according to Ahaligah (2006). In such organisations, it is difficult to demand a moral sense of professionalism from employees (Owusu, 2006). In addition, where the appointment of key personal is based on patronage-clientelism relation rather than merit, it may be difficult to penalise poor performance, which may be justified or tolerated rather than sanctioned (Yusuf Bangura, 2006). Stakeholders go further in their analysis and trace the root problems back more deeply to corruption and to a lack of political will and commitment to make the water sector viable and the GWCL operate efficiently. An established regulatory and legislative system integrating anti-corruption mechanisms is still lacking, according to Bibah (2006). Corruption is a main cause but also an effect of the root cause of the utility constraints: the lack of political will and commitment to create the needed environment for facilitating an efficient utility. Water was not always a priority on the political agenda (Abloso, 2006; Korley, 2006; Manuh, 2006) and the Government was not motivated to allocate or mobilise sufficient resources to improve water services, which a government could do if it is committed (Manteaw, 2006; Manuh, 2006; Tay, 2006). Ahaligah (2006) also claims that politicians “never address the truth and that success is about commitments and getting priorities right. They keep promises but resources are shifted and priorities changed”. Announcements are not being linked and backed by real actions, according to both Ahaligah and Manteaw (2006). “We always shout that we want water to develop and we don’t do much to provide water”, said Ahaligah (2006). Furthermore, water is used as a tool for political manipulation in the election process (Ashon, 2006). According to Ahaligah (2006), the Ministry is responsible for developing the capacity of the water utility and securing resources of manpower, equipments, logistics and adequate remuneration to

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attract and retain qualified staff. This issue was also picked up by Apoya (2006) who claimed that despite their responsibilities, trained personnel are not given the needed resources to operate and no effort is being made to modernise the utility, leading to high levels of inefficiency. 4.3

Local rationality and solutions

The respondents demonstrated that they were not only capable of identifying the problems of the water utility, but that they could also propose solutions. First: most of the respondents perceived that decentralisation of the water supply system to regional or district level rather than one huge (infra) water supply system is the best governance model for the water supply services that could be responsive to the needs of the Ghanaian people while also being more economically efficient (Apoya, 2006; Korley, 2006; Manuh, 2006; Tay, 2006). Second: Ahaligah (2005) called for prioritised investments in the four regions (Accra Tema, Kumasi, Sekondi-Takoradi and Cape Cost) where 80% of water is produced and revenue generated. As a consequence of such a planning approach, the stable revenue generated from the improvement of the water services due to the investments would enable the utility to invest in the other six regions of the country. Third: Manteaw (2006) from ISODEC believed that the coalition proposed to give the GWCL performance targets for a certain period of time and make them accountable to the stakeholders, with whom the annual performance report should be discussed openly and the reasons if they are not performing satisfactorily should be identified (Abloso, 2006). The weakness, as they see it, is that the system is not accountable because citizens are not involved in management of the system (Manteaw, 2006). This issue was brought strongly to the table but Government and the donors made up their own minds (Abloso 2006). Abloso believed it was not permissible to propose options and thus solutions were bringing fixed issues. Such solutions were never implemented or seriously deliberated. The government argues that these solutions are economically, politically or socially nonviable. Others perceive the solutions as a slow process to achieve improvements (Bompoe, 2006), but it is rare that development processes are not slow. It is obvious that the respondents have sufficient capacity to diagnose the water sector problems, think about and propose solutions, and draw on feasible implementation and monitoring programmes on how these solutions could be realised. However there are no institutional settings and governance network where this capacity can be channelled out, examined and translated into local policies and plans to serve collective affairs. The World Bank and the elite’s perceptions and ideas dominate the space, leaving no

room for others. Under these conditions, actors motivated towards development practices end up being frustrated. 4.4

Can stakeholders look for a way out?

The stakeholders agreed consensually on the urgent need for a reform strategy but not on the solutions and direction. Perceptions on how this should be done have been a contested issue (Manteaw, 2006). The Government of Ghana, however, went for a comprehensive reform strategy of the water sector that integrates the involvement of the private sector. “The desire of the decision makers to please the World Bank overrides the national interest” according to Apoya (2006). A forum was held at which participants met and examined a number of public private partnership (PPP) options, out of which leasehold was decided. In the beginning the consultation process had a narrow focus as the concept of private sector participation was warped (Yeboah, 2006). Once the concept was understood, the process became hostile (Ahaligah, 2006). Before the coalition against privatisation came into being, consultations were held with donors and development agencies without involving the general public to sell the idea to the people (Tay, 2006). The process then took on an important dimension. The opposing civil groups did not like the whole idea of privatisation and believed that Ghanaians were up to the task and competent (Ahaligah, 2006). They questioned the continuing dependency on outsiders and seeking help from foreigners (Addo, 2006). Perceptions on the transparency of the process varied significantly. While some stakeholders claimed that the consultation process could not be more open and transparent (Aboagye, 2006; Addo, 2006; Bompoe, 2006; Van-Ess, 2006), others claimed it was not transparent, not open and not sufficiently participatory (Abloso, 2006; Manteaw, 2006) and that the consultation forums were a gimmick to give the impression that stakeholders had already been involved in decision making (Abloso, 2006). According to Bompoe (2006), the consultation process was engineered to be carried out in a civic manner, but most of the consultations ended up in arguments, debates, disagreement and insults and deadlock between government agencies and citizens’ groups (Abdul-Nashiru, 2006; Bompoe, 2006). The civic groups have used the media to stimulate public awareness on their reasoning for fighting against privatisation. The policy of involving the private sector still remains a challenge, despite the efforts that have been made to get local buy-in, according to Abdul-Nashiru (2006). The opposition, nevertheless, does not have the strong stand it once had and has more or less softened, concluded Van-Ess (2006). The ISODEC was

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more tolerant to accept the management contract than the initially decided lease contract as a form of private sector participation (Nkrumah, 2006). Most of stakeholders, except the coalition, are not opposed, at least in principle, to private sector involvement but their main concerns lie in three key issues: 1) Making the private sector accountable; 2) being socially responsible for the urban poor 3) and integrating Ghanaian local capacity. This required consensus, which could not be achieved. 5

OUTPUTS OF THE GOVERNANCE PROCESS

Due to both external and local factors, the initially ambitious private sector participation schemes evolved to an approved 5-year management contract awarded to the joint venture company Vitens Rand Ltd (AVRL), which comprises shares held by Vitens from the Netherlands (51%) and Rand Water from South Africa (49%). In accordance with what the respondents said, one can argue that the coalition was instrumental in bringing the state’s efforts to a change in position. Although the ISODEC thoughts do not mirror public opinion, the fight against privatisation achieved some benefits and has protected public interests on the ground, even though the governance process has been power-laden by the donors and the Government. Because of these groups, the Government is becoming alert and cautious. People are becoming more interested in knowing what the terms of the contract are and what the benchmarks are.This has made people act as watchdog, a role for which they were initially not designed or intended. On the other hand, the increasing international public protest world-wide and the reluctance of the international water companies to invest in long-term risky business in the developing countries due to political and economic instability are other important external factors (Hall, 2003; Tsikata, 2006). In recognition of the process backdrop, the final decision on the management contract could be practically considered as a compromise outcome, though not deliberate, which has gained a broad acceptance about the introduction of the private sector in the urban water supply. Though it is not based on the larger national interest (Manteaw, 2006), most stakeholders show an agreement to different extents on the final decision to involve the private operator in the form of a management contract, at least in the sense of trying to examine a workable solution. 5.1

High expectations with significant challenges

The expectations of the respondents on private operator performance are high. However there are still two

principal issues for concern. One is that it is still not clear how the urban poor would be served. Another is how to integrate accountability mechanisms, to hold the service provider accountable to the citizens and not only Government, issues which are still very weakly addressed and not well articulated in the contract (Abdul-Nashiru, 2006; Nkrumah, 2006). Under such low accountability to citizens, it is difficult to track performance in accordance to mandate and meet the targets of service coverage, which will culminate in further public distrust (Abdul-Nashiru, 2006). Stakeholders also question whether the Government will be able to sustain the whole scenario of water sector reform (Nkrumah, 2006; Obutey, 2006). Sceptical opinions on other issues were expressed. Will the private operator be able to prove the competence that was shown in the bidding documents? (Nkrumah, 2006) and will private operator and workers mutually adapt to each other’s culture? (Aboagye, 2006; Addo, 2006). 5.2

Contextual Analysis: What matters more – the operator or the settings?

Analyses of the Ghanaian context indicate that profound constraints still exist, demanding cautious expectations on the institutional change and involvement of private sector. Some of these constraints are underscored. Institutional constraints. When the decision was made on privatisation of the water utility, the stage was set to accommodate the involvement of the private sector by institutional restructuring. The question rises as to whether institutional changes lead the way to a better performance. One can be sceptical about this. The separation of water supply services from sanitation services acts against the principle of the holistic institutional approach to integrate the two service sectors together to achieve sustainability (GWP, 2000). In a weak coherency of institutional framework and weak democratic mechanism in particular, the separation could have negative impacts instead of improvements. The water sector reform in Ghana seems to be quite ambitious without questioning whether there is a local capacity to accommodate the change. The contradiction here is that while the problem is mainly attributed to the inefficiency and lack of coherency of the institutions, the solution comes out in the form of a plethora of simultaneously emerging institutions. Cars et al. (2002) stress that governance is highly contingent on specific institutional histories and the inheritance of institutions affects the way governance practices are shaped. Empirical experience shows that when reform strategies do not consider local capacity and context, states face a dilemma when they are asked to undertake complex institutional tasks and their capacity to do so is limited. A study on public sector reforms in

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developing countries byYusuf Bangura (2006) showed that reform designs were ambitious and wide-ranging on paper but actual implementation has usually been weak. Unlike developed countries where reforms can be instigated and developed in response to local pressures, developing countries have less opportunity to develop their own policy discourse. Social constraints. It is assumed that the involvement of the private sector can bring cultural practices leading to efficiency, as is the case for business (Tsikata, 2006). Contradicting such assumptions, Owusu (2006) concluded that organisation cultures are like social cultures, not easily changed. Putnam (1993) concluded that institutional performance is strongly correlated to civic community manifested in civic virtues, expressed as “civic-ness”. He defined the civic-ness status as social capital and conceptualised civic virtue as “a steady recognition and pursuit of the public good at the expense of all purely individual and private ends”, democratic performance so to speak. Social capital has its own roots in a past that extends hundreds of years back in time, a resource that is lacking in the developing countries. This is not that to say that change is impossible, but that it is certainly not a given (Putnam, 1993; Hooghe & Stolle, 2003). Political constraints. One of the advantages of contracting out the utility is to downsize the political interference (Addo, 2006). If the private sector is involved, the Government would allegedly be obliged not to favour people they know but people who perform well (Amoateng-Mensah, 2006). The claim is that efficiency can be only achieved if the Government takes its hand off and lets the private sector work, and does not act as “a square peg in a round hole” (Tsikata, 2006). However, political interference is not easily controlled by contracting out managerial responsibility to the private operator. Social process is an inertia-prone process. Politics and social processes are “path dependent” and grounded in a dynamic process of resistance to change (Pierson, 2000). In a political culture of corruption and clientelism, nepotism and where old administrative rules are still effective, political interference is hard to stop and it undermines operational autonomy and performance. As Putnam (1993) rightfully observes, political culture functions like a kind of legacy even when the conditions in which that culture was functional have disappeared. Political cultures are not immune to change, however, and government policies can be instrumental in furthering or preventing these changes. Legislation constraints. Corruption is the root cause of the problems in the arena of policy formulation and the decision making process. Unless legal and statefacilitated mechanisms are in place to empower the victims of corruption practices, corruption can interpenetrate everywhere in a society. Thus, the private

operator alone would not be able to deal with the issue. On the contrary, it has been found that new public management practices may promote self-interest and corruption as policy makers and senior bureaucrats opt for privatisation and contracting out because of increased opportunities for rent seeking and other forms of corruption (Yusuf Bangura, 2006). The private sector is not the only solution. It is hard to believe that the privatisation process would bring any long-term improvements within these social and political settings. GWP (2003) defined water governance as “. . . the range of political, social, economic and administrative systems that are in place to develop and manage water resources, and the delivery of water services, at different levels of society” (Rogers & Hall, 2003). The definition explicitly correlates governance to functioning and coherent systems in place and not to a simple institution by itself. Owusu (2006) emphasises that shock-therapy reforms of the public sector in order to address the direct causes of the poor performance of institutions are unlikely to succeed. Analysis also suggests that when water management processes are non-participatory, there is a potential for unsustainability (Hubert et al., 2002). Thus one might question the sustainability of any seemingly successful improvements. Owusu (2006) indicated that the short-term demands of donor agencies have sometimes compromised the long-term goals of institutional building and brought negative longterm impacts. A study that integrated 16 cases in developing countries concluded that reforms driven by outsiders – which are not socially accountable and sensitive to political realities and ignore the development missions of the state – often weakened the vital institutions that societies had created, undermining political stability and national economies (Yusuf Bangura, 2006). As Cars et al. (2002) rightly state “there is no substitute for situated local design of governance practices”. The context is what matters and not only the operator. 6

CONCLUSIONS

The water sector in Ghana has been constrained by many interdependent political, administrative, economic, social, and legislative factors that hinder a working water supply system in a country where half the urban population is without access to public water pipelines. Against this backdrop, the public water utility could not meet the demand for water supply services and subsequently turned to the private sector for help. The decision-making process on whether and how to involve the private sector was remarkably hostile and involves no integrated rules or formalised procedures on how to arrange the interaction loops between stakeholders. The result is a lack of legitimacy and weak accountability mechanisms.

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The final decision to award a five-year management contract to operate the utility could be seen as a compromise, although not deliberate, between stakeholders. However, the decision failed to incorporate public consensus and to create and diffuse a sense of collective stewardship on the reform policies. Expectations on the private operator’s performance are high. There still exists many unresolved issues and institutional, social, political and legislation constraints. Within this context, it is doubtful whether the private sector alone will be able to achieve significant and progress sustainably. The operator alone is less significant than the political, legislative, and social setting. REFERENCES Abdul-Nashiru, M. (2006). Head of policy and partnerships, WaterAid. Personal communication. Abloso, S.S.Q. (2006). Public Affairs Officer. Trade Union Congress (TUC). Personal communication Aboagye, M. A. (2006). Director of Water Directorate, The Ministry of works and Housing (MWH), Accra. Personal communication. Addo, W. J. (2006). General Secretary, Public Utility Workers Union (PUWU). Personal communication. Ahaligah, E. (2005). Executive Assistant, GWCL. Personal communication. Ahaligah, E. (2006). Corp. Planning, GWCL. Personal communication. Amin, S. (2006). The Millennium Development Goals: A critique from the South Monthly Review. March: 15. Amoateng-Mensah, P. (2006). Project manager, WorldVision. Personal communication. Apoya, P. (2006). Coalition of NGO’s in Water and Sanitation (CONIWAS). Personal communication. Ashon, E. (2006). Communication Specialist, Project Management Unit (PMU). Personal communication. Bibah, K.E. (2006). Danish Development Agency (Danida). Personal communication. Bompoe, D. (2006). Director, Project Management Unit (PMU). Personal communication. Brenner, N. (2004). New State Spaces: Urban Governance and the Rescaling of Statehood. Cars, G., Healey, P., Madanipour, A., and Maghalhaes, C. (2002). Urban Governance, Institutional Capacity and Social Milieux. USA: Ashgate Publishing Limited. Gerometta, J., Häussermann, H. and Longo G. (2005). Social innovation and civil society in urban governance: Strategies for an inclusive city. Urban Studies, 42: 2007–2021. Gonzalez, S. and Healey, P. (2005). A sociological institutionalist approach to the study of innovation in governance capacity. Urban Studies, 42: 2055–2069. GWP (2000). Integrated Water Resources Management. TAC Background Papers G.W. Partnership. Stockholm, 67. Hall, D. (2003). Water Multinational in Retreat. PSIRU, University of Greenwich, January, 2003 Hooghe, M and Stolle, D. (2003). Generating Social Capital, Civil Society and Institutions in Comparative Perspective. New York: Palgrave Macmillan.

Hubert et al., (2002). Govern Participatory: Achieving Sustainable and Innovative Policies through Participatory Governance in a Multi-level Context. Final Report: Research project funded by the European Community under the framework programme. Korley, S. (2006). Assembly member. Personal communication. Manteaw, S. (2006). Coordinator Media and campaigns, ISODEC. Personal communication. Manuh, T. (2006). Director of Institute of African studies, University of Ghana. Moulaert, F., Martinelli, F., Swyngedouw, E., and Gozalez, S. (2005). Towards alternative model(s) of local innovation. Urban Studies, 42: 1969–1990. Nkrumah, E. (2006). Operations & Maintenance Dept., GWCL. Personal communication. Obutey, E. K. (2006). Public Utility Regulation Commission (PURC). Personal communication. Odotei, B. A. (2006). Sub-Metro Assembly member. Personal communication. Owusu, F. (2006). Differences in the performance of public organisations in Ghana: Implications for publicsector reform policy. Development Policy Review 24(6): 693–705. Pierre, J. (1998). Partnerships in Urban Governance. European and American Experience. London: MacMillan Press. Pierre, J. and Guy, P. 2000. Governance, Politics and the State. Basingstoke: Macmillan. Pierson, P. (2000). Increasing returns, path dependence, and the study of politics. The American Political Science Review 94(2): 251–267. Putnam, R. D. (1993). Making Democracy Work: Civic Traditions in Modern Italy. Princeton University Press. Reed, D. (2001). Economic Change, Governance and Natural Resource Wealth: The political Economy of Change in Southern Africa. London: Earthscan Publications Ltd. Rhodes, R. (1997). Understanding Governance. Policy Networks, Governance, Reflexivity and Accountability. Buckingham: Open University Press. Rogers, P. and. Hall, A.W. (2003). Effective Water Governance. TEC Background Papers, Global Water Partnership Technical Committee (TEC). Stockholm. Swyngedouw, E. (2005). Governance innovation and the citizen: The Janus face of governance-beyond-the-state. Urban Studies, 42: 1991–2006. Tay, F. D. (2006). President of Ghana Consumer association (GCO). Personal communication. Tsikata, K. K. (2006). Communication Specialist, World Bank (WB). Personal communication. Van-Ess, R. (2006). Director of technical services at Community Water and Sanitation Agency (CWSA). Personal communication. Yeboah, I.A.N. (2006). Subaltern strategies and development practice: Urban water privatization in Ghana. The Geographical Journal, 172: 50–65. Yusuf Bangura, G.A.L. (2006). Public Sector Reform in Developing Countries: Capacity Challenges to Improve Services. Houndmills, UNRISD.

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Bridging science and policy for effective implementation of EU groundwater legislation Ph. Quevauviller∗ European Commission, Brussels ∗The views expressed in this paper are purely those of the author and may not in any circumstances be regarded as stating an official position of the European Commission

ABSTRACT: The EU groundwater regulatory framework imposes Member States to evaluate deterioration risks (both quantitative and qualitative), to monitor groundwater status and to take appropriate measures to combat or mitigate pollution and deterioration. The legislation is hence based on technical milestones that follow Integrated Water Resource Management (IWRM) principles that are reflected in the development of the river basin management planning under the Water Framework Directive (WFD). This paper summarises the main technical challenges of this legislation and highlights the needs to “break the walls” between science and policy to ensure an appropriate scientific response and transfer of knowledge for a better implementation. Keywords: EU groundwater legislation; implementation; policy officer; science and policy interactions; Water Framework Directive

1 1.1

EU GROUNDWATER REGULATORY FRAMEWORK Groundwater in the context of the WFD

The WFD (Directive 2000/60/EC) is certainly the most advanced regulatory framework for the protection of all (surface and ground) waters that has been developed so far at international level. It is builtup along Integrated Water Resources Management (IWRM) principles, with clear objectives (achievement of ‘good status’ by 2015) to be attained on the basis of specific operational milestones that have to be undertaken by Member States of the European Union. With regard to groundwater, Member States have to implement measures necessary to prevent or limit the input of pollutants into groundwater and to prevent the deterioration of the status of all bodies of groundwater. In this context, Member States have to protect, enhance and restore all bodies of groundwater, ensure a balance between abstraction and recharge, with the aim to achieve good groundwater (chemical and quantitative) status by 2015 as a general principle (taking well justified derogation clauses into account). The Directive also requires the implementation of measures necessary to reverse any significant and sustained upward trend in the concentration of any pollutant resulting from the impact of human activity (including urban pressures) in order to progressively reduce groundwater pollution.

Under this regulatory framework, water management is designed along the development of River Basin Management Plans (RBMP), which should integrate all identified pressures and impacts and identify appropriate programmes of measures necessary to prevent, protect or enhance the status of water bodies. This implies a thorough assessment of risks and a design of appropriate responses which are based on an effective implementation of parent legislations from various sectors (e.g. agriculture, industry, urban wastewater, nature conservation etc.). 1.2 Groundwater Directive While quantitative status requirements are clearly covered by the Water Framework Directive, it does not include, however, specific provisions on chemical status, i.e. the different conceptual approaches to groundwater protection did not allow achieving an agreement on detailed provisions within the WFD at the conciliation. These have been developed in the Directive 2006/118/EC adopted in December 2006, which is based on three main pillars, namely (1) criteria linked to good chemical status evaluation, compliance to EU existing environmental quality standards (nitrates, plant protection products and biocides) and to “threshold values”, shown as TV in Figure 1 (they play the same role as EQS) for pollutants representing a risk to groundwater bodies; (2) criteria for the identification of sustained upward trends of pollutants in

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Figure 1. EU Groundwater regulatory framework.

groundwater bodies characterised as being at risk and for the reversal of environmentally significant trends (as compared to Natural Background Levels or NBL); and (3) requirements on the prevention/limitation of pollutant inputs to groundwater. The EU regulatory framework is summarised in Figure 1. 2

NEEDS FOR PARTICIPATORY APPROACH

It may be noted that the three pillars of Directive 2006/118/EC all involve technical features requiring multidisciplinary and multi-sector cooperation. As highlighted below; this is well recognised in the way discussions on the directive implementation are conducted in the context of the Groundwater Working Group of the Common Implementation Strategy (CIS), see Figure 2. Indeed, the CIS Groundwater Working Group (C) aims both to clarify groundwater issues that are covered by the WFD and prepare the development of technical guidance documents and exchange best practices on several issues in the light of the orientations of the new Groundwater Directive. The Working Group is composed of representatives of EU Member States, Associated and Candidate countries, industrial and scientific stakeholders, and NGO representatives (around 80 members in total). The focus in the period 2003–2006 has been on the development of technical reports and guidance documents primarily focusing on the issues covered by

the WFD, namely monitoring, prevent/limit measures and groundwater protected areas. Activities of the WG were conceived with the view of collecting targeted data and information, avoiding duplication with existing guidance documents and ensuring an efficient use of available data and information. The perspectives for 2007–2009 are to pursue exchanges in support of the implementation of the new Groundwater Directive along the CIS principles, focusing in particular on: •

Discussions on ‘land use and groundwater’, focusing in particular on agricultural pressures; • Common methodology for the establishment of groundwater threshold values; • Compliance, status and trend assessment; • Recommendations for integrated risk assessment (with close links with the RISKBASE project), including conceptual modelling, and discussions on programmes of measures related to point and diffuse sources of pollution (including megasites). The activities of the working group and published documents are regularly described in the WISE Newsletter which is published twice a year. 3

BRIDGING SCIENCE AND POLICY FOR A BETTER IMPLEMENTATION

An effective groundwater management can only be operational if it is conceived along IWRM principles. The combined implementation of the WFD, its

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Common Implementation Strategy 2007-2009 Strategic Steering Group “WFD and Hydromorphology” Chair: DE, UK and Commission

Water Directors Steering of implementation process Chair: Presidency, Co-chair: Commission

Stakeholder Forum “Water Scarcity and Droughts” Chair: Commission

Co- Chair: FR/ES/IT Strategic Steering Group “WFD and Agriculture”

Strategic Co-ordination Group

Chair: FR, UK and Commission

Art. 21 Committee

Co-ordination of work programme Chair: Commission Drafting Group “Objectives/Exemptions/ Economics” Chair: Commission and DK

Working Group A “Ecological Status”

Working Group D “Reporting”

Working Group F “Floods”

Chair: JRC, DE and UK

Chair: Commission, EEA and FR

Chair: Commission

"GIS” Expert Network Working Group C “Groundwater”

Working Group E “Priority Substances”

Chair: Commission and AT

Chair: Commission

“Chemical Monitoring”

“Chemical Monitoring”

Stakeholders, NGO’s, Researchers, Experts, etc.

Figure 2. The Common Implementation Strategy (CIS) of the WFD.

daughter Groundwater Directive and all the parent environmental legislations designed as programmes of measure, is the sole guarantee to enable meeting the good status objectives by 2015. This integrated approach is closely linked to the way risk assessments will be carried out and the effectiveness of action programmes, with related implications for the directive’ implementation. Examples are the delineation of water bodies “at risk” (having an impact on the way monitoring programmes are designed), economic analysis (forming the basis of the future water pricing policy), establishment of threshold values for “risk substances” (with direct link to good status compliance), design of programmes of measures, etc. The complexity of this management makes it necessary to proceed in a stepwise, iterative manner, ensuring an effective participation of water actors and a full integration of scientific knowledge. In this respect, the successful implementation of integrated risk-based groundwater management in the light of the WFD and its daughter Groundwater Directive will closely depend upon an efficient participatory approach, including an active involvement of the scientific community. This requires an effective and sustained operational bridging between scientific stakeholders, policy-makers and water managers. The example of the BRIDGE (“Background Criteria for the Identification of Groundwater Thresholds”), a project funded by the European Commission under the 6th Framework Programme, shows that a

close collaboration may be established among the research and policy worlds to tackle well identified technical knowledge gaps. This science-policy bridging is not a straightforward process and requires a clear motivation from different actors as the dialogue and communication are not well established. These difficulties of communication and transfer of knowledge are discussed in depth in a recent book, which compiles examples of research projects supporting the EU groundwater legislation. The experience of linking scientific and policy developments has opened the way for innovative partnerships, which is now reflected in further sciencepolicy undertakings in the framework of a “Groundwater Systems” research call for proposals opened in the 7th Framework Programme. 4

CONCLUSIONS

The effective implementation of the EU Groundwater regulatory framework is based on technical features that require an efficient collaboration among many different water actors, including the scientific and policy-making communities. The CIS Working Group on Groundwater will be an indispensable element supporting this implementation through a participatory approach, in particular in view of the preparation of the first River Basin Management Plan expected for publication at the end of 2009. This objective

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is closely associated to research developments and will require a continuous transfer and integration of knowledge arising from scientific developments. This is to be seen as an opportunity to efficiently manage groundwater resources at EU level and to collaboratively tackle the challenges ahead of us for achieving good quantitative and chemical status of groundwater by 2015. REFERENCES Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy, Official Journal of the European Communities L 327, 22.12.2000, 1.

Directive of the European Parliament and of the Council of 12 December 2006 on the protection of groundwater against pollution and deterioration, Official Journal of the European Communities, L 372, 12.12.2006, 19. European Commission (2007). Groundwater Monitoring, Common Implementation Strategy of the WFD, Guidance N◦ 15, European Commission, Brussels. European Commission (2007). Groundwater in Drinking Water Protected Areas, Common Implementation Strategy of the WFD, Guidance N◦ 16, European Commission, Brussels. European Commission (2007). Preventing or Limiting Direct or Indirect Inputs in the Context of the Directive 2006/118/EC, Common Implementation Strategy of the WFD, Guidance N◦ 17, European Commission, Brussels. Quevauviller, Ph. (2007). Groundwater Science and Policy – An International Overview. The Royal Society of Chemistry.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Evaluating the need, benefits and challenges of implementing shared water governance in an urban context: Comparing Calgary, Canada and Mexico City, Mexico A. Mendoza, I. Platonova & M.S. Quinn Faculty of Environmental Design, University of Calgary, Alberta, Canada

ABSTRACT: This paper presents the notion of shared water governance (SWG) and discusses the need, benefits and challenges of implementing SWG in an urban context. The authors compare two cities (Calgary, Canada and Mexico City, Mexico) with different geographical and socio-economic contexts and analyse how SWG can be applied. Despite differences in context, both cities face similar water challenges including: rapid urban growth, increased water demand, and uncertainty on future water supply due to climate change. Following an introduction of SWG concepts, the cities are compared with regard to their water challenges, water policy and water management practices. Subsequently, we discuss how SWG might help cities achieve sustainable water management and reduce water-related conflicts. The paper highlights the barriers to SWG implementation and outlines solutions to overcome them. Finally, indicators are proposed to monitor SWG progress. Keywords: Calgary; Mexico City; shared water governance; sustainable water management; urban water.

1

INTRODUCTION

Decreasing fresh water quality and quantity is a limiting factor for human settlement, ecosystems, and for economic development. The economic trend to privatise water sources and/or water distribution, more evident in developing countries, is impacting access to fresh water by depriving communities of their ancestral water rights and increasing water prices. Around the world, citizen groups and non-governmental organizations are calling for a new approach to manage water that focuses on its sustainable use and equal access (Shiva, 2006; Castro Soto, 2007). Shared water governance (SWG) is an emerging paradigm for achieving a more sustainable and collaborative water management. Here, we examine the principles and a working definition of SWG and apply them to a comparative analysis of the water situation in Calgary, Canada and Mexico City, Mexico. We discuss water policy, management practices, and the need, benefits and challenges of implementing SWG in both cities. To conclude, we suggest indicators to track progress on SWG. 2

METHODS

The authors conducted an extensive literature review on the theoretical foundations and practical aspects

pertinent to SWG. Empirical evidence on water challenges, policy and management in compared cities was collected through a broad survey of legislation, policy documents and reports.

3

SHARED WATER GOVERNANCE: CONCEPTUAL FRAMEWORK

We define shared water governance (SWG) as the process of actively engaging citizens in the design, implementation, and evaluation of water policy on a regional basis, taking whole watersheds as planning units. In SWG, water users and regulators are partners in decision-making and share the responsibility for the outcomes of policy implementation. The core principles of SWG are derived from the notions of water democracy and watershed governance. Water democracy seeks to manage water not as a commodity, but as a common resource and recognises it as a human right. Thus, it opposes water privatisation and profiting from its sale (Garcia and Arellano, 2006; Shiva, 2006). Watershed governance calls for integration and holistic resource management at the watershed scale. It sees government as a facilitator of local action in the context of a broader public trust and recognises the critical role of civil society as a key promoter of change and innovation. It

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embraces the idea of watersheds as the starting point for sustainable water management (Brandes, 2005). Shared Water Governance Principles • Equitability: Satisfying people’s water needs and providing equal access to water for the different sectors of society. • Partnerships and Collaboration: Regulators give up some autonomy and power to become facilitators. Users take active role in policy design and decision-making. Both become mutually dependent and contribute resources to achieve the common goal of using water sustainably. • Capacity and Responsibility: Users, either as individuals or as part of organised groups, are able and capable of participating in decisionmaking and assume responsibility for the implementation and outcomes of water policy and projects. • Inclusivity: Enabling users to voice their concerns and participate in decision-making. • Sustainability: Focusing on using water in ways that ensure its long-term availability for human populations and ecosystems. • Watershed approach: Using watershed boundaries and hydrological capacity to plan use of surface and ground water. (Based on Brandes, 2005; Shiva, 2006; Taylor and Quinn, 2007; CONAGUA, 2008)

4.1 Urban growth Over the past decade the City of Calgary has experienced unprecedented population growth (12.4% between 2001 and 2006). Between 2006 and 2007 its population increased by almost 3%, from 991,759 to 1,019,942 habitants (CC, 2007). To meet the growing water demands and expand water services and infrastructure, the city has been adding an average of 93 km of water supply pipe annually (CC, 2005). In Mexico City, population growth is largely a result of unplanned immigration from rural areas and the rise of irregular settlements by illegal appropriation of public lands (JACMCWS, 1995). To become water self-sufficient, Mexico City requires more than US$ 750 million to repair and expand water services and infrastructure (Orta, 2007; CONAGUA, 2008). 4.2 Increased water demand

The shared water governance approach better addresses the complexity of water issues, helps to leverage resources, manages conflict, promotes creativity and innovation, integrates multiple objectives, and is effective because all parties take ownership of the process and results (Taylor and Quinn, 2007). 4

supply deficit of 3 cubic metres per second. Pollution of surface and ground water is impacting people and ecosystems’ health (GDF 2006; CONAGUA 2008). These two cities have very different geographical, political, economic and social contexts; however, both face similar water challenges. Some of the common challenges include rapid urban growth and uncertainty about future water supply due to increased water demand and climate change (Table 1).

FACING WATER CHALLENGES

With over 1 million people, Calgary is the third largest urban centre in Canada and one of its fastest growing economies and populations. It is the energy centre of the country and the centre of high technology industry for western Canada. With over 8.6 million people, Mexico City, Federal District, is the capital of Mexico. It is part of the Metropolitan Zone of the Valley of Mexico (Mexico City hereafter), which includes 17 municipalities. With 20 million people, Mexico City is the world’s 3rd largest metropolitan zone and the country’s political, economic, and cultural centre. Calgary enjoys access to high quality drinking water and a first class water treatment and delivery system. In contrast, in Mexico City more than 1.3 million people do not have access to water. There is a water

With 7,000 litres of water used per month per person, Calgary has a higher water-use rate than many North American and European cities. This reflects a common misconception among Canadians about water abundance. Although Canada holds 7% of the world’s freshwater, most of it is in the north, not available to southern cities where most Canadians live. Furthermore, many Canadian municipalities experience water shortages due to drought, infrastructure problems, and increased consumption (EC, 2001). Southern Alberta is one of the regions that have reached the limits for water allocation (Wilkie, 2005). In Mexico City, the average water demand of 297 litres per day is greater than the supply, which comes from an overexploited aquifer (73%), surface springs and rivers (3.3 %) and the Lerma and Cutzamala basins (24%). Fresh and waste water is pumped in and out of the Valley adding to costs (JACMCWS, 1995; CONAGUA, 2008). 4.3 Climate change Climate change is yet another pressure on water resources in both cities. The Bow and Elbow Rivers on which Calgary relies on are primarily fed from Rocky Mountain snowmelt and glaciers. Although glacial melt accounts for less than 10% of the annual flow, it comes during the critical dry period of late summer making glacial recession a critical issue (CC,

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Table 1.

Comparing Water Challenges: Calgary, Canada and Mexico City, Mexico.

Challenges

Calgary

Mexico City

Increased water demand

Rapid urban growth

Pressure on water supply

High water consumption levels Increased water use by upstream and downstream users Degrading watersheds due to cumulative effects of upstream development and urban growth

Unplanned growth Rapid population growth through immigration from rural areas Overexploited aquifer 40% of supply is lost through leakage Aging and insufficient infrastructure Deforestation of surrounding forest Urban development in groundwater capitation zones Overexploitation of aquifers Salinization of soil and water Contamination of surface and groundwater by industrial, agricultural, and municipal sources Melting of glaciers Warmer weather

Health of water sources

Water quality

Continued, albeit gradual decline in water quality from watersheds

Impacts of climate change

Melting glaciers Increased droughts Lower water levels

2005). Some climate change models predict if the climate becomes drier, some parts of the province may experience near-desert conditions which will impact water quantity and quality (Schindler and Donahue, 2006). The Valley of Mexico was originally an endoreic watershed composed of five connected lakes: Chalco, Texcoco, Xaltocan, Xochimilco, and Zumpango, which were dried out during the Spanish domination. Glaciers in surrounding mountains have disappeared because of volcanic activity and higher temperatures and existing water sources are drying out. Climate change is expected to increase the temperature by 2.1◦ C, bringing a more arid future to Mexico City (CISCC, 2001; GDF, 2006; CONAGUA, 2008). 5 WATER POLICY AND MANAGEMENT 5.1

Calgary

In Canada, water management responsibilities are shared by the federal, provincial, and municipal governments, and in some cases, by the territories and by Aboriginal governments. Provincial governments are responsible for long-term as well as day-to-day management of water resources including infrastructure, water quality, and licensing water uses. Most of those governments delegate certain roles to municipalities (e.g. drinking water and wastewater services). The federal government is responsible for the conservation and protection of oceans and their resources, fisheries, navigation and shipping, management of boundary waters shared with the United States, managing water on the federal lands, federal facilities,

First Nations reserves and two of Canada’s three territories. Shared federal-provincial jurisdiction includes agriculture, health and the environment (EC, 2001). The City of Calgary derives its responsibilities in respect to water from the Alberta Government. Alberta is one of few examples across Canada of turning its practices towards sustainable water management (Hill et al, 2006). To address water management challenges in the province, in consultation with public and stakeholders, the Alberta Government developed a comprehensive strategy on water management called Water for Life: Alberta’s Strategy for Sustainability released in 2003. This strategy tackles issues of water quality and water quantity in light of the long-term challenges and the need for sustainability of water resources. The goals of the strategy include: a safe, secure drinking water supply; healthy aquatic ecosystems; reliable, quality water supplies for a sustainable economy. To achieve these goals the strategy calls for specific actions in three key areas: knowledge and research; partnerships, and water conservation. The strategy implementation requires involving partnerships among all sectors within the Alberta Government and the public and making them accountable for the results of policy, regulations, and decisions (AE, 2003). The Water for Life Strategy proposes an overall watershed approach to planning and management, introduces a collaborative approach to involve multiple stakeholders and public in planning, and emphasizes research and information gathering activities to support decision-making. The success of the strategy depends on its implementation and its ability

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to embrace the dynamic challenges facing Alberta’s water future. Political and financial commitment is required to expand government and public capacity. Promoting public awareness about water management issues is a key in raising stewardship ethics for water among Albertans (AWC, 2007). In this context, the City of Calgary strives to reduce water use and ensure sustainable planning and management of water sources for current and future generations. To reduce water demand, the City inter alia seeks more efficiency of its own operations and works to make conservation technology accessible. It provides technical assistance, educates Calgarians on wise water use and promotes a stewardship ethic. The City is making water efficiency a requirement when appropriate and participates in community outreach. The City of Calgary Waterworks is one of only a few publicly-owned utilities in Canada to receive ISO 14001 certification, an internationally recognised environmental management system. 5.2

Mexico City

The Mexican Constitution grants dominium of national seas and territorial waters to the Nation, which can make concessions and transfer its dominium to particulars making it private property (GM, 2007;Article 27). The principles for water management, characterised by a centralised, government-control approach, are set by the Law of National Waters (LNW) and its corresponding Regulations (GM, 2004). The National Water Commission (Comision Nacional del Agua, CONAGUA hereafter) is the authority in water matters.Administration is organised in three levels: central offices, regional watershed organizations, and local directorates. Each watershed organisation is responsible for implementing water policy, managing infrastructure and fees, looking over water supply and quality, responding to water-related emergencies, and coordinating public participation and water education. Watershed organizations are supported by technical committees and watershed councils. CONAGUA is responsible for achieving sustainable water use of national waters with participation of the society. Watershed Councils, the tool for social participation, are composed of: 1) the national director of CONAGUA, 2) the heads of state governments, 3) user groups, and 4) NGOs, academic institutions, municipalities, and other public and private organizations. The fourth category, however, is an invitee with voice but no voting rights. There is also a Water Advisory Council integrated by selected people, including academics (GM, 2004; CONAGUA, 2007). As a result of political impositions on developing countries by international financing institutions, especially the World Bank and the Inter-American

Development Bank, both water and its management are being privatised in Mexico. Despite the inherent property right of Mexicans over national waters, water privatisation and allocation of river waters to energy and other industries are reducing water access and participation in water related decision-making for the medium and lower income population. The city and other municipalities are contracting out water services or giving full concessions to the private sector. Water allocations and concessions to private entities are granted by authorities without public consultation and are still advertised as a transparent process (Castro Soto, 2007; COMDA, 2008; Garcia and Arellano, 2006). The arguments to privatise water are basically the same as in countries such as India, Bolivia, and Argentina: lack of resources to upgrade the system, combat corruption, and bring more benefits to the population. Likewise, the service has not improved but water prices and water conflicts among communities, authorities, and providers have increased. People are taking whatever actions they deem necessary to meet their needs (Garcia and Arellano, 2006; Shiva, 2006; Castro Soto, 2007). Mexico City’s water policy and management affect the rest of the country because of its political role and dependence on outside water. Different nongovernmental and academic organizations advocate for recognising water as a human right and changing water policy to guarantee society’s voice and participation in water policy design and management. Examples of these organizations include Friends for the Right to Water, the Mexican Coalition for the Right to Water, Woods of the Southeast (Maderas del Sureste, A.C.), the Union of National Water Workers, and the Coordination for the Public Character of Water (Coordinadora en Defensa del Caracter Publico del Agua). Examples of education and academic groups include the Water Research Centre, the Hydro-geology program from the University of Mexico, the Water Network of the Mexican Academy of Sciences, Water in Mexico, and the Mexican Associations of Limnology and Geo-hydrogeology.

6

PUTTING SHARED WATER GOVERNANCE INTO ACTION

One of the main issues behind water governance across the world is to recognise water as a human right (UN, 2006). This debate at the United Nations Human Rights Council has faced opposition from business groups that are profiting from water in developing countries (PROTOS, undated; Shiva, 2002). Recognising water as human right, a basic step to achieve SWG, would require changes to the National Constitution in Mexico and the Charter of Human Rights in Canada.

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Despite that, four important conditions to achieve SWG already exist in both Calgary and Mexico City: •

The recognition that sustainable water management will be achieved only with the participation of the society (CC, 2005; CONAGUA, 2008). • The recognition that water management must be based on watershed boundaries and not political jurisdictions (AE, 2003). • The inclusion in regulatory frameworks of mechanism to allow public participation (AE, 2003; GM, 2004). • The existence of citizens groups organised through public and/or academic organisations that seek increased public participation into water policy and management. 6.1 Challenges to implement SWG In Calgary and Mexico City, citizen groups are pushing to have more participation in water governance, although in Mexico City they face the remnants of corruption from previous administrations and the privatisation trend. The following are some of the barriers to SWG implementation in Mexico City and Calgary that have been identified: 1) For Calgary and Alberta, further political, administrative and financial support is needed to move forward the SWG approach. For Mexico, further research should be done on how SWG can be implemented when water services are privatised and what conditions are needed to make it successful. 2) In Mexico, the government structure is centralised and not as inclusive and collaborative as in Canada. Watershed councils in Mexico that are created to allow public participation in water matters have limited rights and capacities. Rising water-related conflicts suggest a gap between what is stated in regulations/policy regarding public participation and how things are working in reality. In Alberta more clarity is needed around roles, responsibilities and accountabilities of stakeholders in order to maintain effective partnerships. 3) There is a need to raise public awareness about water sustainability and promote an attitude that actively supports sustainable water use in both Mexico City and Calgary. Reports from both cities (e.g. AWC, 2007; CONAGUA 2008) suggest low awareness and participation of public in water issues. For instance, the City of Calgary Water Services reports that only 64% of respondents to a water survey consider it important to reduce water consumption at home.

report uses four indicators for conservation goals: universal water meters, per capita demand, peak day demand, and non-revenue water. The Water for Life Strategy measures success in three areas: drinking water safety, water quality, and water use efficiency and productivity (AE, 2003). Such reporting is not available for Mexico City. CONAGUA’s webpage contains only information about regulations that specify creation of the information system on water quality and the citizen’s right to request information. Citizens can request information from the System of Information Requests, but the process is bureaucratic, time consuming, and people need to know beforehand the specific information they are looking for. There is a need to develop specific indicators for SWG. Here we suggest a few preliminary indicators based on the SWG principles: Equitability: •

number/proportion of houses connected to the water supply and drainage systems • price of m3 in relation to minimum wage/ salary/daily income Partnerships and Collaboration •

existence of consultations process regarding water policy and water/watershed management • proportion of water projects with participatory management Capacity and Responsibility •

water management training provided to public organisations and interested individuals • participation of society groups on implementing and evaluating water projects and programs • percentage of population supporting water conservation and aware of water issues, policies, and projects in their city/neighbourhood Inclusivity •

occurrence of public displays of rejection to water policy or water-related conflicts • proportional representation and equal rights in water councils for different consumer groups • mechanisms allowing individual citizens access to information and direct participation in water policy design, implementation, and evaluation Sustainability •

recovery or improvement of watersheds capacity and water-dependant ecosystems • improvement on water quality Watershed approach •

6.2 Tracking progress In Calgary, water authorities produce public reports available on their websites. The water conservation

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modification of water regulations and policy to adapt to watershed boundaries • restructuring of water authorities, planning, and implementation to reflect watershed boundaries

7

CONCLUSION

This paper proposes SWG as an alternative approach to water management. It develops the concept of SWG based on the notions of water democracy and watershed management. SWG can help achieve water sustainability in urban centres in both developing and developed countries. The comparative analysis of two cities, Calgary in Canada and Mexico City in Mexico, demonstrates the similarities and differences in water challenges and cities’responses to them. Despite the differences, SWG can benefit both cities, though different implementation strategies will be needed to address the unique barriers. Specific indicators must be applied to monitor the progress of SWG implementation. REFERENCES (AE) Alberta Environment. (2003). Water for Life, Alberta’s strategy for sustainability. Government of Alberta, Edmonton, November. (AWC) Alberta Water Council. (2007). Review of Implementation Progress of Water for Life, 2005–2006. Edmonton: Alberta Water Council. Brandes, M. (2005). At a Watershed: Ecological Governance and Sustainable Water Management in Canada. Journal of Environmental Law & Practice. Vol. 16(1). (CC) City of Calgary. (2007). 2007 Civic Census Summary. Calgary, Canada. (CC) City of Calgary. (2005). The City of Calgary: Water Efficiency Plan (Draft). September, Calgary, Canada. (CISCC) Comité intersecretarial Sobre el Cambio Climatico. (2001). Mexico, 2a. Comunicacion Nacional ante la Convencion Marco de las Naciones Unidas sobre el Cambio Climatico (Mexico, 2nd National Communication to the United Nations Convention on Climate Change). Secretaría de Medio Ambiente y Recursos Naturales, Mexico. (CONAGUA) Comision Nacional del AGUA. (2008). Equilibrio Hidrologico en la Cuenca del Valle de Mexico (Ecological equilibrium in the Valley of Mexico watershed). XXIV National Congress of Civil Engeneering, January 30, 2008. http://www.conagua.gob.mx/CONAGUA07/ Temas/Equilibrio_hidrologico.pdf (accessed 25 February, 2008) (CONAGUA) Comision Nacional del AGUA. (2007). History, CONAGUA. Comision Nacional del Agua. (EC) Environment Canada. (2001). Urban Water Indicators: Municipal Water Use and Wastewater Treatment. SOE Bulletin No. 2001–1. (EC) Environment Canada. Water Policy and Legislation. Jurisdictional Responsibilities http://www.ec.gc.ca/water/ en/policy/coop/e_juris.htm (accessed 20 February, 2008)

Garcia A., M. A. and Arellano, N., M. (2007). El agua: bien común y derecho humano o mercancía? (Water: common good and human right or merchandise?) Maderas del Pueblo del Sureste, A.C. San San Cristóbal, Chiapas, México. (GM) Government of Mexico. (2004). Ley de Aguas Nacionales (Law of National Waters). Secretaria de Medio Ambiente y Recursos Naturales, Official Diary of the Federation, last reform April 29, 2004. (GM) Government of Mexico. (2007). Constitución Política de los Estados Unidos Mexicanos (última reforma) Political Constitution of the United Sates of Mexico (last reform), Diario Oficial de la Federacion (DOF) 13/11/2007. (GDF) Gobierno del Distrito Federal. (2006). Programas de Población del Distrito Federal 2001– 2006. (Federal District Population Program 2001– 2006). http://www.df.gob.mx/secretarias/social/copodf/ prog2.html#dinamica (accessed 6 March, 2008). Hill, C., Furlong, K., Bakker, K. and Cohen, A. (2006). Emerging issues in Water Governance and Legislation in the Canadian Provinces and Territories. Paper presented at the Canadian Water and Wastewater Association Annual Conference, Toronto, ON, June 4–7. (JACMCWS) Joint Academies Committee on the Mexico City Water Supply. (1995). Mexico City’s Water Supply, Improving the Outlook for Sustainability. Washington, D.C.: National Academy Press. Soto, C. G. (2007). El agua y los ríos amenazados en México: los retos para el movimiento social anti-represas. (Threatened water and rivers of Mexico: challenges for the social movement anti-dams). Foro de Agua y Energia (Water and Energy Forum), March 2007. http://www.foroaguayenergia.org/documentos/ elaguaylosriosamenazadosenmexico.pdf (accessed 23 February, 2008). Orta, A. (2007). Mexico: Mexico City and Central Region Infrastructure Projects. US Commerce Service. May 31, 2007. Schindler D. W. and Donahue, W. F. (2006). An impending water crisis in Canada’s western prairie provinces. Proceedings of the NationalAcademy of Sciences of the USA, 103: 7210–7216. Shiva, V. (2006). Resisting Water Privatisation, Building Water Democracy. A paper on the occasion of the World Water Forum in Mexico City, March. Tyler, M. E. and Quinn, M. (2007). Shared governance: a regional watershed perspective. On-line workshop, Bow Riverkeeper, May 17. http://www.bowriverkeeper.org/webinars/sharedgovernance/one/ (accessed 25 February, 2008). (UN) United Nations. (2006). Human Rights Council opens resumed second session. Press Release, November 27.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Cap-Haïtien: If ever there was an urban water challenge. . . D. Van Tassel & H. Verschure Department of Architecture, Urbanism and Planning, University of Leuven (KULeuven), Belgium

S. Lambrecht Protos NGO, Belgium

ABSTRACT: Haiti’s second largest city has a population of roughly 500.000 inhabitants and is entangled between the slopes of steep hills, swampy creeks and a sea lagoon. Sea and rainwater regularly floods many of its low-lying neighbourhoods, with rainwater advancing down the deforested hill slopes too fast, resulting in stagnant bodies of water, such as rivers and drains, being full of polluted water. Potable water is in short supply, having to cope with an ill-maintained network that barely reaches 20 percent of the population. Over 30 years of political instability, neglect or mismanagement of infrastructure, occasional (international) exploitative practices, and a rapidly increasing population, have all contributed to the seemingly insurmountable problems the city is facing today. The NGO consortium of Oxfam-UK, Protos and GTIH took the challenge in June 2006 when they joined efforts for a water and sanitation project, in cooperation with local authorities, regional and national agencies, and with the financial support of the European Commission and Belgian Government. By mid-2008, this project can already show a few achievements, however, its ambition is far-reaching, namely, how transform a water-problem city into a water-opportunity city, and how to use proper water governance as leverage for social and institutional development. Keywords: Basic infrastructure; capacity building; participation; strategic plan; urban flooding; water challenge 1

INTRODUCTION

1.1 Urban development in a fresh democracy Sharing the island of Hispaniola with its neighbour, the Dominican Republic, Haiti is regarded today as one of the world’s poorest nations. It is a careworn democracy with a recent history marked by political instability. The 19 years of American occupation in the early twentieth century were followed by the infamous Duvalier dictatorships. During the 1990’s, two democratic administrations of Jean-Bertrand Aristide were hindered by international embargoes, his eventual exile and a void in government for several years, resulting in the lack of a functioning parliament, internal quarrels and finally, continually postponed new legislative elections. Supported by the US Marines, a legitimate handing-over of power to René Préval was ensured twice in 1995 and again in 2004. This followed with the military assistance of the United Nations Stabilisation Mission (MINUSTAH) still active today in the larger cities. It is only after recent elections in 2006 that there is real hope for a stable future for governance and development in Haiti. During the different dictatorships

community associations, peasant-farmer groupings and other organisations were severely repressed and civil society was seen to burgeon mainly in rural areas. In urban Haiti civil society is now attempting a revival, although it is experiencing difficulties, particularly with regards to its management capacities. Certain donors, principally the European Commission, are providing important support and such moves are being matched by the actions of various international non-government organizations (NGO). NGO’s from Europe and Canada, as well as many other countries have increased their presence in Haiti since the 1950s, in an attempt to off-set the discrepancies in public services. This has been mainly in rural areas with projects related to health care and education. Recently however, along with the massive growth of informal settlements in the urban peripheries, a larger focus is set on the metropolitan area of Port-au-Prince, as well as various secondary cities such as Cap-Haïtien, Gonaives, Jacmel, and Les Cayes. Although today the Haitian peasant community is relatively well organised, civil society in urban areas is much less structured. Moreover, especially since the end of Duvalier’s regime in 1986, Haiti is in the grip

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Figure 1. View from the northern mountains upon the city’s landscape.

of rapid urbanisation due to rural poverty and the deterioration of natural resources. Cities have had to cope with massive migrations from surrounding rural areas, leading to a process of increasing informalisation and urban impoverishment. 1.2

Haiti’s cape town

Cap-Haïtien is the second largest city, following Portau-Prince, located in the northern region of the country. Its population is estimated between 250,000 to 600,000 inhabitants, indicating the informal nature of its actual urban growth (the most recent census counted 63,000 inhabitants in 1982). As in other urban areas in Haiti, the majority of today’s citizens have only recently settled where urban land is still available (or wherever it can be created), specifically in the peripheral urban neighbourhoods. Nearly two thirds of the population of Cap-Haïtien live in shanty settlements where corrugated iron, stagnant water and general detritus relentlessly accumulate. Most citizens live in poor conditions that are worsened during the hurricane season between July to October. In 2004 hurricane Jeanne caused heavy floods, mudslides and hundreds of deaths. Cap-Haïtien’s urbanising territory branches off in three administrative sections, namely Bande du Nord, Haut-du-Cap and Petite Anse. The different urban entities are both historically and geographically defined, as they are bordered by steep hills (les mornes), marshlands, the sea, s well as crossed by a meandering river and a large mangrove basin. Cap-Haïtien has a very rich history and the built environment in the city centre

near Bande du Nord is part of a valuable urban heritage. Various elements in public space refer to the city’s central role in the Haïtian revolution and to King Christophe’s reign shortly after independence (in the beginning of the 19th century). The dynamic city is an important economic hub for the region and an attraction for the many education and health facilities it offers. It is connected to its hinterland via two national roads leading to the capital Port-au-Prince through Gonaives or through Hinche. International links are made by the sea-port close to the city centre and the airport in Petite Anse. These urban assets remain rather fragmented, while civil society is fragile and local authority is weak. It has been only recently that the decentralisation process in Haiti has advanced, and therefore the local government in Cap-Haïtien does not seem to have a presence in the public domain. The municipal authority is in a process of ‘instalment’ and lacks experience as well as logistical and management capacities. The city’s development is therefore mainly in the hands of NGOs and international institutions, in cooperation with a plethora of community organisations. 1.3

International and local NGOs as stabilizing factors in a fragile context

Through the successive periods of anarchistic and dictatorial government that characterised the last two decades in Haiti, NGOs have remained an important agent for relief and local development. As a leading agency for rural water supply for more than 25 years, the Belgian NGO, Protos, constructed more than

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Figure 2. Sketch of the city of Cap-Haïtien with indication of its geography and urban districts.

30 gravity fed systems for small towns and villages, supplying approximately 300,000 users. Water user associations run these systems, while in the bigger towns this is in full cooperation with the local branch of the national water utility. Protos started working in urban areas in 1992, together with its Haitian partner GTIH (Groupe Technologie Intermédiaire d’Haïti). Community development plans have been established in many poor areas of Port-au-Prince and Cap Haïtien, aiming to improve the living conditions and to catalyse a minimum of social organisation in these informal, rapidly growing shanty towns. Oxfam-UK started their work in Cap Haïtien in 2003 with the rehabilitation of some essential parts of the water supply system built in 1927 and lastly rehabilitated in 1976. With limited budgets, these NGOs have reached only 10 to 20 percent of the population, however, have illustrated that change is possible.

2 A WATER-PROBLEM CITY Cap-Haïtien is a seafront city with a potential for successfully harbour-bay locations on the Northern coast of Haiti. Currently, its harbour facilities are modest and in desperate need of upgrading. Its seafront location,

although adding to the attractiveness of the city, is primarily a source of problems, due to its frequent tidal and storm related flooding of low-lying urban lands. However, the major urban water problems are often primarily associated with water-provision related infrastructure. 2.1

La ville poubelle

Continuing seafront expansions and the invasion of the mangrove areas in the mouth of the Haut-du-Cap River have created a rather tense situation between the city and its current water systems. The emerging low density housing areas being built on low-lying land reclaimed from mangrove swamps and flooding areas, represent both ecological and human threats. Neighbourhoods such as Fort St Michel and Shada near Petite Anse, are entirely constructed upon differing layers of deposited solid waste, varying from organic material to unused construction materials, industrial waste and household refuse including plastic, glass and paper. In Cap-Haïtien the majority of the urban population lacks sanitation infrastructure, as there is no collective sanitation system for wastewater. Approximately two thirds of households do not have an operating latrine or toilet. As a consequence, only 5 percent of household

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Figure 3. Land speculation, water and waste in peripheral neighbourhoods.

water is evacuated in a septic tank, with the remaining flowing either in the interior of the buildings or on the street. Built on stilts above the river, hundreds of overhanging toilets turn the river into an open sewer. Open defecation on the river banks and on the accumulations of solid waste in the ecologically sensitive wetlands, has lead to the pollution of the groundwater and to serious health hazards. Contaminated water is the leading cause of infant mortality and general illnesses in these neighbourhoods. It is not surprising that in the local press the city is generally referred to as ‘la ville poubelle’. This area lacks basic infrastructure while the land is instable and inappropriate for building. Houses sink slowly into the swamp of waste, while land speculation in such areas remains common practice. For many this has become an important source of income. The waste used for soil stabilisation has obtained economic value, making it very difficult to tackle the problems related to such practices. The dumping of solid waste is purchased for between 150 and 300 Gourdes a load which can be seen as a favourable profit.

their economic activities. The walking paths on these hills are narrow and eroding and during heavy rains residing there becomes extremely risky. As in high density settlements in areas such as Bas-Ravine land is becoming scarce, resulting in people building in the ravine bed which is very vulnerable to flooding. The rapid run-off of rainwater into the river basin called Basin Rodo strongly contributes to the regular flooding of the large surface of inhabited lands located in Petite Anse. There are simply not enough trees and plants to slow down or absorb the water flow, while the dilapidated drainage infrastructure is insufficient, broken or stacked with waste. The ones who are lucky to have found land in the upper parts of the hill mass have planted banana trees and are able to practice some urban agriculture in the rocky soil wherever land is still available. In the city centre the drainage of rain water is not separated from the household and faecal water, while during the hurricane season the infrastructure becomes fully flooded.

2.3 2.2

Massive deforestation and imminent flooding

Haiti has experienced severe degradation of its natural resources. With forest covering an estimated 3 percent of all land area in the country, deforestation remains omnipresent in Cap-Haïtien. A number of factors has contributed to the overall loss of tree reserves, including: the vast exploitation practices in the 1920’s and 1930’s, the need for agricultural land to feed the expanding cities, and charcoal being used as the primary energy source for cooking. Despite some sporadic reforestation efforts, the hills bordering the city have remained barren, while many urban migrants build homes on the steep slopes close to

Limited reach of the current water networks

The demand for clean water in the city is currently much higher than its supply. The publicly provided water reaches only about 17 percent of the total urban demand. According to recent studies, the current water demand is estimated at 16.500 m3 per day, including large users such as industries, markets, hospitals, schools and other public institutions. The dimensioning of the proposed infrastructures is based on those approximate calculations. The demand however, is based on a rough estimate of the population, which could mean the real demand is more than double the officially estimated one. The first water network was said to be built in 1890, and the actual network serving the historical city centre was realized in 1927.

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Figure 4. Crossing the bridge over the Haut-du-Cap River towards Shada and Fort St. Michel.

Despite rehabilitation efforts between 1952 and 1976, the existing infrastructure is hardly maintained. The main water resources in Cap-Haïtien are connected to four independent networks. A gravitational network from natural sources in Bande du Nord serves the city centre, while two other ones in the mountains of Vertières and Sainte Philomène feed three reservoirs serving roughly 1000 clients of the state-owned enterprise SNEP (Service National d’Eau Potable) in the neighbouring urban districts such as Cité du Peuple and Cité Champin. In the long-term the viability of those gravitational systems is not guaranteed. A fourth network is based on multiple boreholes in the protected Balan fields in the eastern part of the city. Two electric pumping stations take the groundwater via a long stretched pipe-system crossing the Fort St. Michel and Shada neighbourhoods through the central urban area towards a large reservoir named Bel Air (3200 m3 ), serving 2100 more clients or providing about 10 litres per person everyday. Streaming water is also provided to users through approximately 46 public water taps and 32 fire hoses, of which many are broken or in a state of disrepair. The illegal branches along the circuit all result in leaks and losses of water. Similarly, many consumers have private wells for pumping groundwater. Intensive and uncontrolled pumping causes the groundwater to decrease and poses a threat to the sustainability of the city’s water resources. Moreover, the quality of the privately pumped water is not guaranteed at all, most notably in the suburbs. In the rainy season the groundwater level is about 1 to 4 metres deep, and is directly contaminated by toilet pit-latrines and waste material. The majority of citizens have access to clean water via privately purchased buckets. Varying between districts, a bucket of water today costs 5 Gourdes (€0.10 Euro cents).

2.4 Expensive and largely privatised access to clean water Tariffs are determined roughly on the ability to pay. For domestic use SNEP clients pay monthly about 165 Gourdes (€3). Many private citizens and some major consumers such as hotels, industries, schools and hospitals, have disconnected from the public network and receive water supply from private tanker trucks. Since the water service is not accurate, with poor water quality and a much discontinued supply, while there is no leakage nor bill management, only a few consumers pay regularly for the public services. Therefore, the private sector plays a large and increasing role. Distribution trucks often provide water to private tank owners who then sell small amounts to individuals and families. Bottles of 5 gallons of drinking water (about 20 litres) are usually sold for about 30 Gourdes (€5). Companies with quality guarantees such as Culligan ask 55 Gourdes. Households and individuals also buy small plastic sacks from the hundreds of hawkers in the street, costing between 5 and 10 Gourdes.

3 THE EAuCAP PROJECT AND ITS PRESENT-DAY ACHIEVEMENTS In July 2006 the Belgian NGO Protos, Oxfam UK, and the Haitian Groupe Technologie Intermédiaire d’Haïti (GTIH) decided to join their efforts for a water and sanitation project in Cap-Haïtien named ‘EAuCap’, co-funded for 4 years by the European Commission and the Belgian Government. In addition, the Project team contracted the Centre for Human Settlements (CHS) of the department of Architecture, Urbanism and Planning of KULeuven, for the

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particular guidance of the sustainable urban development aspects.

3.1 The project and its ambitions The aim of this project is to improve the living conditions in the most disadvantaged neighbourhoods, particularly, but not exclusively, in the periphery of the city, through sustainable access to potable water and sanitation in an integrated community development program. This project is active on two levels, as it hands responsibility over to both the State at the local and national level, as well as to local community associations. In such an approach, the NGOs of the project have a specific role of so-called ‘social engineering’, i.e. the role of mediator, of link between the local population and the representatives of the State. In this way, monitoring the process of organising civil society “from the bottom up” and improving the planning capacity of local authorities (the administrators), as well as the claiming capacity of the administrated. In this concept, each local actor finds their role, the relationship with the other local players and improves capacities within a well defined framework of complementary responsibilities. For example, the local government as the coordinator for local planning, development and regulation, the civil society organisations as representatives and advocates for local needs, mobilisation of the consumers and observer of the performance of the public actors, and the water utility as a professional player for operation and maintenance, accountable to the local authority and to its clients.

3.2

Figure 5 and 6. Before and after situations in Cité Lescot (2007).

Recent achievements

To date, the ambitious EAuCap project has already reached tangible results related to the protection of water sources, to opening or repairing wells, to improving the water supply and drainage network, and to installing neighbourhood taps. In Cité Lescot for example, the construction of a sewer canal has vastly improved the quality of the living environment, as the construction works to redefine a pedestrian street and accommodate a small neighbourhood park (place Yvon) managed by the community. In addition to the physical improvements, the project team has also trained local craftspeople to carry out civil works, and project staff to conduct social surveys, as well to address gender issues in all segments of the project. For data collection the team members have facilitated various researchers and surveys. By bringing together the key actors on a common platform (Table de Concertation), the process of integrated and participatory planning has been established. Several new neighbourhood committees for detailing and locally managing the works have been

recently established and are continuously supported by the project team.

4 THE PROCESS OF TURNING PROBLEMS INTO OPPORTUNITIES 4.1 The methodological approach The immense challenges in Cap-Haïtien clearly ask for efficient, strategic, sustainable and holistic approaches. The central axis of the project’s strategy is to stimulate the actors to participate and identify the best options for the construction of infrastructures, especially the development of management systems that are socially adapted, locally effective and sustainable. A first and obvious step in the process has been the identification of the present water and sanitation conditions, and in general of the physical urban environment. During a First Major Workshop organized in May 2007, participants have carried out an adapted

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Figure 7. Local team removing solid waste from a newly constructed sewage canal.

SWOT analysis as basis for the formulation of a first set of possible strategies addressing particular problem situations in specific urban districts. Therefore, the principle was to use the strengths to create opportunities, and to use the opportunities to turn weaknesses into strengths. Learning from good practices and instructive project examples from comparable situations in cities around the globe (Guayaquil in Equador, Ho Chi Minh in Vietnam, Karachi in Pakistan,) during the Second Major Workshop in November 2007, the first (and often quite rudimentary) set of proposed strategies has been enriched and has put those into perspective. The varying cases and experiences have proven that there is no blueprint process model for the design of a proper strategy and process structure. In any case, there is a red thread in the methodology that can be decomposed in 3 main lines or working tracks. The first refers to a long term framework and vision, the second relates to the strategic priority actions and the daily policy to solve bottlenecks, resolve conflicts and to score “goals”. The third track transverses the others and embodies the different engagements of the actors involved in the planning and decision-making process. Involving citizens is not enough; negotiating engagements works continuously with capacity building for actors to be able to strongly commit to their proposed roles. Such capacity building involves empowerment, building mutual understanding and trust, and raising social, material and intellectual capital.

4.2

Involvement of all stakeholders, including the local communities

Planning, implementation and sustainable operation of sound water and sanitation services in a socio-economic and institutional fragile context is not possible without a coordinated involvement of all stakeholders. Traditional paradigms of a centralized government caring for its citizens has shown its inefficiency due to irrelevant priorities, bureaucratic morass and poor governance – if not corruption. In Haiti, this situation is compounded by extreme poverty and the typical cultural or social behaviour of the “marronage” where citizens are smart to avoid any rules imposed by the authorities. In the absence of a legal framework or a coordinating authority, development partners have worked during more than two decades in isolation, with varying approaches and a lack of both synergy and cooperation. Private players could exploit this situation offering inadequate services, bribery of officials and without any respect for the social and physical environment. In other neighbourhoods, parts of civil society have established their own rules. With the recent small steps to stabilization, decentralization and political reforms, there comes an important dialectic between the top-down planning, with its formal and designed rules and structures, and the bottom-up self-organizing collectivism. The institutional rehabilitation of the water and sanitation services needs, therefore, new forms of partnership and governance,

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envisioning

action taking

3 interlinked lines of elaboration

convergence: validation of strategic plan by all stakeholders

plan actualisation & revalidation

co-production

time

plan to adapt & appropriate

Figure 8. Schematic representation of the current planning process.

based on networks and not on hierarchy. A multistakeholder approach is therefore needed, both on the local level and with respect to the “two level game” between local planning and national frameworks and players. On the local level, consultation and cooperation is desperately needed between the three major players: the local authority, the public service providers (water supply, garbage collection) and organised service users (water or neighbourhood committees). Empowerment of these three players could create an improved balance between planning, service delivery and claiming capacities. Contractualisation and a participatory construction of good governance tools and praxis have to be catalysed through a long term process. Tactical investments in a direct improvement of the water supply scheme, the water drainage system or the garbage collection inspires the different local players to invest in this long term multi-stakeholder process. “Innocent” development partners, such as a consortium of foreign and local reference NGOs can guarantee the equilibrium between the different partners, leading to mutual respect and cooperation. The optimum between the driving role of the consortium and the appropriation of the game by the local players evolves with ups and downs. The articulation with the national level has to take into account all forms of obstruction against the devolution process of the Haitian state and its technical ministries. Moreover, all bilateral and international development agencies are based in the capital and assistance plans for cities such as Cap Haïtien are often designed and discussed in Port-au-Prince. The relative significant budget of the EAuCap project, the local and national anchorage of the consortium partners and their informal networks through government, international community and the press seem to

be among the gaining conditions in facilitating this articulation.

4.3

Reform and decentralisation of the water sector

The main public institution in the water sector active in Cap-Haitien is the state-owned and centralised enterprise SNEP (Service National d’Eau Potable) which is responsible for the secondary cities in Haiti. Current staff members lack the capacity and support as well as financial means to be motivated and productive, and therefore, the agency has lost much of its qualified staff. Moreover, the revenues for SNEP barely cover operating costs, leaving insufficient resources for maintenance and limited resources to self-finance investments. A plethora of NGOs and community groups compensate for the state’s lack of capacity, often with ad-hoc projects with little or no coherence. In view of better coordination and continued decentralisation the water sector is now being reformed. The new legislation aims at establishing regional service providers replacing the SNEP and strengthening the government’s policy and regulatory functions. This has already led to the creation of a water and sanitation directorate (la cellule EPA) within the Ministry of Public Works (MTPTC). The MTPTC’s water reform unit (URSEP) manages the reform and devolution process and implements projects in secondary cities with systems operated by SNEP. A new legal framework (la loi cadre) currently under development, will facilitate the Cap-Haitien City Council to play a key role in the water and sanitation sector. Furthermore, a PublicPublic Partnership between the SNEP branch in Cap Haïtien and the Belgian inter-communal water utility TMVW will facilitate the construction of technical

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Figure 9. Workshop in Cap-Haïtien, November 2007.

Figure 10. Localising ongoing and planned projects in the urban spatial context.

and managerial skills to operate the rehabilitated and extended water scheme.

4.4 Water as a lever in an unplanned developing city The ‘water sector’ is not necessarily limited to water and sanitation services, as increasingly it is playing a

transversal role for other sectors related to the development of the city. Especially in a city where there is neither a real operational planning practice nor a general development plan, the sector can act as a catalyst or lever for aligning various development efforts and for facilitating better integration and harmonisation. The activities and interventions related to water infrastructure and garbage collection have a strong physical and spatial impact, therefore, access to safe water and

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healthy living conditions, perceived by all actors as a priority, can play a federating role in the urban planning process. 5 TOWARDS A STRATEGIC DEVELOPMENT PLAN FOCUSING ON WATER IN THE CITY The EAuCap Project, supported by the Centre for Human Settlements (CHS) of KULeuven, facilitates the development and validation of a strategic development plan focusing on the water and sanitation sector, while involving other related sectors such as housing, planning, transport, safety, health, and environment. These sectors are “users” of water, sanitation and their related services, conversely, they are also the “providers” of a sound environment for the development of these services. Finally, their planning can have an impact and can be impacted by how water and sanitation develop in the city. Water issues not only relate to services but also to mastering the water-related urban development issues (port infrastructure, tidal impact, rainwater drainage, and mangrove areas). 5.1 The need for a strategic urban plan Even in a state of apparent emergency there is need for visions and long-term action taking. As mentioned above, planning strategically and creating a culture of co-production are essential steps. A broad urban strategy with a set of well-balanced choices will harmonise the different development initiatives and address important dilemmas. For example, some parts of the neighbourhoods along the Haut-du-Cap river and close to Basin Rodo are not viable, either within a short-term or long term perspectives, due to frequent flooding and pollution. For dilemmas such as the relocation of families and the provisioning of more viable land and infrastructure for housing, the strategic plan will serve as a framework of firm decisions. The EAuCap Project has neither the ambition nor the means to prepare a detailed and binding Spatial Structure Plan for the city. The Strategic Development Plan also is neither a (traditional) Land Use Plan nor a city-wide administrative Plan. It is a major tool to create a common vision for the city, to identify strategic priority actions solving real and immediate as well as expected problems, and to do so in a consensus-building and co-productive way whereby all the actors concerned, benefit from the process and explicitate their commitments. In the appropriation and validation of the plan the local authority in Cap-Haïtien plays a key role. The strategic plan is thus both process and product or, in other words; it is both an instrument and a dynamic result of cross-sector and multi-actor consultations within the dynamic spatial setting of the city.

5.2

Envisioning a liveable city

During the Second Major Workshop organized in November 2007, eight vision themes were discussed. They all highlight unique features or potentials of CapHaïtien: “city between the sea and the mountains; city of access and communication; city of heritage and future; dynamic city; city of agriculture and of agroand fisheries industries; a stable and social city; an ecological city; and a resource conserving and creative city”. These themes were debated by the workshop participants representing the various actors in the city. It was found that some themes are transversal, such as the economic and dynamic assets, while others can be merged into a single theme. Related to these elements of vision, first priority actions were selected. Several of those centred around the various dimensions of water and waste in the city, with some emphasizing the important continuation of water provision for all inhabitants, and others emphasizing the necessity to fundamentally tackle problems of flooding, river and lagoon pollution. Addressing the latter for the whole city largely surpasses the immediate task of the EAuCap Project. Nevertheless, dealing with it is vital to develop a strategic plan with real long term ambitions, framing well defined actions in short and medium terms. Small projects and design solutions could cultivate small beginnings that have emergent potential, while synergies with other projects and actions significantly increase their impact. Large projects will have to be initiated as well, related to hillside reforestation, port development, or to the greening and protection of Basin Rodo. 6

CONCLUSIONS AND FURTHER FUTURES

The major responsibility to further develop this planning effort lies with the city authorities and their administrators. Considering the shortage of both personnel and of longstanding planning experience within the local authorities offices, it is evident that the EAuCAP Project will have to assist in such tasks for a few years to come. Considering the limited resources of the city, it will be increasingly important to turn urgency projects (day-to-day problem solving) into strategic projects truly contributing to sustainable urban development. However, it is important that the whole process continues to be a real participatory one involving various agencies at regional and national levels, and involving the various neighbourhood representatives, actions groups and all NGOs active in Cap-Haïtien. A Third Major Workshop in June 2008 has facilitated the validation of a first draft strategic plan, including a set of proposals for particular urban projects. In due course and by its adaptive use and development, a flexible plan allowing the rapid change of the environment is intended to be fully appropriated

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by the local government and by all stakeholders. If the water-problem city of Cap-Haïtien really wants to become a water-opportunity city, the strategic planning process will need to be continuously actualised and fine-tuned, while good water governance is used as leverage for sustainable urban development.

REFERENCES Centre Human Settlements (CHS) (2007). Rapport bref de la première mission, partie II: conclusions et observations – premier tour d’horizon, unpublished mission report. Centre Human Settlements (CHS) (2007). Rapport final de la deuxième mission: compte rendu et évaluation de l’atelier animé par le CHS, unpublished mission report. Dessau International Ltd. (1997). Etudes d’Urbanisme à CapHaitien, Dossier Fondamental, Vol 1, Agence canadienne de développement international. Dolisca, et al. (2007). Land tenure, population pressure, and deforestation in Haiti: The case of Foret des Pins Reserve, Journal of Forest Economics 13: 277–289. Gregoire, T. (2000). Haïti: partir de la base; Courier ACP-EU no 178, 5–7. Hamdi, N. (2004). Small Change: about the art of practice and the limits of planning in cities. Earthscan. Joseph, M. (2008). Fort St. Michel ou la Cité Soleil du CapHaitien!, Le Matin Haiti. Kaupp, R. (2006). Sanitation in urban and peri-urban areas of Cap-Haitien: the promotion of different latrine options through a social marketing approach, University of Southampton, unpublished dissertation. LGL-SA (2006). Union Européenne, Republique d’Haiti, Réhabilitation et/ou Construction de Systèmes d’Adduction d’Eau Potable dans le Nord lot 2, Ville du Cap-Haitien. Rapport d’Etude. LGL-SA (2003). Société d’Expertise et d’Ingénierie, PanAmerica Development Fund, Bureau de Gestion – PL480.

Titre III. Projet de Réhabilitation des mornes du Haut du Cap, études cartographiques. Rapport d’études. Mugabi, J., Kayaga, S., Njiru, C. (2007). Strategic planning for water utilities in developing countries, Utilities Policy, 15: 1–8. OXFAM-UK, PROTOS & GTIH (2005). Dossier Technique et Financier du projet “Appui aux initiatives de la société civile pour un renforcement du secteur Eau et Assainissement dans la ville du Cap Haïtien”. Philippe, F. (2008). Cap-Haitien: ville poubelle à vocation touristique ?; Le Matin Haïti. PROTOS (2007). Atelier d’échange partenarial, syllabus, Port-au-Prince, May 10th and 11th. Putnam, R. (1988). Diplomacy and domestic politics: the logic of two level games, International Organisation, 42(3): 427–460. Sugden, S., Kaupp, R.(2006). Sustainable sanitation in Cap-Haitien, Haiti, Unpublished document. September 18th–23rd. Satterthwaite, D., Mcgranahan, G., Mitlin, D. (2005). Community-driven development for water and sanitation in urban areas. Contribution to meeting the Millenium Development Goal targets; WSSCC. United Nations Human Settlements Programme (UNHABITAT) (2003). Water and Sanitation in the World’s Cities: Local Action for Global Goals; Earthscan. Van Den Broeck, J. (2004). Strategic Structure Planning. In: Urban Trialogues. Visions_Projects_Co-productions, Loeckx, A., et altera (eds), UN-HABITAT and PGCHS KULeuven, 169–185. Verschure, H.; Tuts, R.(2004). Localising Agenda 21, In: Urban Trialogues. Visions_Projects_Co-productions, Loeckx, A., et altera (eds), UN-HABITAT and PGCHS KULeuven, 245–257. Willerval, Sébastian Ingénieurs Consultants; Haitian Resource Development Foundation ; Plan Urbain de Gestion Integrée des dechets solides au Cap-Haitien. Etude de préfaisabilité par maitre d’ouvrage – Mairie Suresnes- Rapport Provisoire, Octobre 2006.

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Use of the STELLA model for evaluating prospective urban water-use scenarios in Baja, California, Mexico J.A. Román C., A. Pérez M. & F. Escoboza G. Department of Soil and Water, Agricultural Sciences Institute. Autonomous University of Baja California. Mexico.

B. De León M. Mexican Institute of Water Technology

ABSTRACT: In the State of Baja California, Mexico, the main source of water is the Colorado River from the United States. An International Water Treaty signed by Mexico and the United States in 1944 regulates surface waters from three international rivers: Tijuana, Bravo/Grande and Colorado. In this document, the United States guaranteed to deliver to Mexico an annual average volume of 1850 million cubic meters (Mmc). In 1944, this water volume was considered enough to irrigate 100 thousand hectares and to supply urban water needs of 47,000 Mexicali people (Aguirre B. C.1974). Today, with severe increases of demand for urban water, farmers ask for its water. The objective of this study is to determine possible scenarios of future water consumption in the international border of México/United States, to modify main conflict elements, as well as to find alternative solutions to cover the actual water demand. Data was analyzed by using the STELLA model, which included: total surface water, wells system, and water availability from the All American Canal. An equation of hydrological balance was used. The results illustrate that if we do not use water correctly; water availability in the region will be not only be an obstacle for the social and economical development, but also, a potential factor of conflict among users on both sides of the border. Keywords: 1

Efficiency; Stella Model; water consumption; water culture

INTRODUCTION

The International Water Treaty regulates the surface waters from three international rivers at the border of Mexico and the United States, the Tijuana river, the Bravo/Grande and the Colorado river. This treaty was signed by the governments of Mexico and United States on February 3rd 1944. In this document, The United States guaranteed delivering to Mexico an annual average volume of 1’850.234 million cubic meters (Mmc) of water (Roman, 2001). In 1944, this water volume was considered enough to irrigate 100 thousand hectares, and supply urban water needs of Mexicali’s population of 47,000 people (Aguirre B. C.) Objectives of this study are to determine possible scenarios of future water consumption, and to find alternative solutions of shortages of water. The STELLA simulation model was used for statistical analysis, in order to obtain information of future water demand. The interpretation dynamic variables include: a) annual surface water delivered to Mexico from Colorado River, b) volume water extracted from Mexicali Valley aquifer, and c) water consumed by cities of Mexicali, Tijuana and Tecate; as well as

the rural area of the Valley of Mexicali. This data fed the model with birth rates and mortality rates; water consumptions per inhabitant per day per year. Mexican Water Law defines urban uses as first priority, for this reason, farmers are being forced to give its water to cities. For a long time, water belonged to farmers, however, due to economical approaches, it is specified to make effective water rights in favour of more valuable uses (Roman, 2001). Based in this reasoning, it has begun an intense competition process, where only the best and more efficient farmers will have access to this valuable resource. Dams loose more water due to evaporation. T natural habitat of flora and wild fauna are also affected in a progressive way. Derived from the previous mentioned, we can assure that one of the main aspects which induce to irrational water use, its no doubt, low water cost, (Roman, 2003). Water is used without any consideration, and in most cases water consumption exceeds the volumes to those recommended, (De Leon M. B.2007).Additionally, across the country without concern at the economic or cultural level, inefficiency and irrational use, daily problems are linked to water contamination, rebounding in a reduction of water available to each user.

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2

METHODS AND MATERIALS

This study was developed in Mexicali, Mexico, in conjunction with the State of California, USA. The climate region is arid and rain is low (6.5 cm/year); irrigated land of 207,965 hectares and 16,128 farmers with water rights. Urban water users include 3.5 million inhabitants. Water demand is critical. All users ask for more water everyday. In front of the enormous water demand, authorities have been specified rationalization approaches that allow obtaining better supply conditions to a bigger number of people (Roman, 1991). Competition for water among cities, industry and agriculture, is increasingly difficult (Roman, 1991). Beginning with the rise in the price of water and the subsequent shortage, it suggests a dilemma for analysis, how to supply more users with less water, becoming an economic principle that has existed for a lifetime (Roman, 2003; Comision Nacional del Agua, 2001). Nowadays, water acquires a bigger economic, political, and social value, as a part of an intense process of productive competition; it means that until now, the worst part of this new balance has corresponded to agricultural activities. For a long time, Mexican authorities decided that water administration change should favour farmers, due to frequent disagreements for the high costs of handling agricultural water. In 1992, as an alternative to this problem, Irrigation Districts began a water privatization process, giving users the right of handling irrigation water (CNA, 2001). In 2001, a reduction of 73 percent in the administration cost was achieved, however, water cost continued to increase, making agriculture productivity rise with the price of water (Roman 2000). In this view, the trend in water prices will influence agricultural activities and will be subject to its use, only those producers who have the economic and technological resources to face expensive productive processes. International studies (FAO, 1993) assert that as a result of its analysis, agriculture under irrigation, will take place in a small surface, high yields per unit of surface, and less water consumption. Perspective of the high cost can be seen as one of the main obstacles for agriculture; nevertheless, the high cost will be the only way that the valuable one liquidates if is used under an efficient structure (FAO, 1993).

3

DATA ANALYSIS

Data analysis was carried out by using STELLA, a simulation model, working first through the conceptualization, describing each one of the variables that composes the dynamics of flows through time. Eight different scenarios were considered: demographical growth, mortality rate, water consumption per inhabitant, efficiency water use in agriculture,

water availability for agriculture, and water contribution of the All American Canal. The results of the analyzed data on water come from the Colorado River, as well as from dams and other crossing points. In the analysis, only the fixed volumes were considered. Data generation with STELLA requires the elaboration of a complete scenario, where the sources and effluents are considered, that is, the hydrological balance of the region. With these elements was created the model of water availability in the Colorado River Delta. 4

PROPOSED MODEL

Water availability in the Colorado River Delta was calculated using Equation (1):

DT ⫽ L N ⫹ L S ⫹ SP ⫹ TA ⫹ EXC Where: DT = total water availability in millions m3 (Mmc) LN = Water availability in North Boundary (Mmc) LS = Water availability in South Boundary (Mmc) SP = Water availability in wells System (Mmc) EXC = Water availability surpluses (Mmc) TA = Water availability from the All American Canal (Mmc) Water consumption elements in the Colorado River Delta were defined as given in Equation (2):

CT⫽ConsAgRio⫹ConsAgPozo⫹ConsMxlTot⫹ ConsTijTot⫹ConsValleTot Where: CT = Total water consumed in the deltaic region of the Colorado River. Mmc ConsAgRio = Colorado River Water Volume consumed by the agriculture of the Mexicali Valley, one year. ConsAgPozo = Aquifer Water Volume consumed by the agriculture of the Mexicali Valley, one year. Mmc ConsMxlTot = Water Volume in Mmc, consumed by the population of the city of Mexicali, one year. ConsTijTot = Water Volume in Mmc, consumed by the population of the city of Tijuana, one year. ConsValleTot = Water Volume in Mmc, consumed by the population of the Valley of Mexicali, one year. Once the flows of inputs and outputs were defined, it is possible to elaborate the water balance equation, Equation (3) written as:

EB ⫽ DT⫺CT

Where: EB = Equation of hydrological balance

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DT = total available water CT = Total consumed water For the feeding of the model, it was necessary to identify the total volume of available water, which constituted by the following sources: • Colorado River (International Water Treaty) • Canal Sánchez Mejorada, (International Water Treaty) • Mexicali Valley aquifer • ∗ Canal All American (conditioned) • ∗ Surplus waters (conditioned) • Mesa Arenosa aquifer (Urban uses, conditioned) Total

1,673 Mmc 177 Mmc

102 Mmc 115 Mmc 16 Mmc 2,747 Mmc

In addition to the parameter values listed Table 1, in all 8 scenarios it was assumed that the water share for domestic and industrial uses to Tijuana was equal to 115 Mmc/yr, and 16 Mmc/yr to Mexicali. The water delivery from the All American Canal was assumed constant for all scenarios and set equal to 100 Mmc/yr. The mortality rate of Tijuana was taken equal to 0.7 %/yr, and 0.5 %/yr for Mexicali.

600 Mmc 100 Mmc 246 Mmc 197.3 Mmc 2747.3 Mmc

Conditioned water volumes are subject to the incidental availability, the presence of rain and snow in the high basin which are regulated by the IBWC. The All American Canal refers to seepage that pass to the Mexican aquifer side, although this volume is included in the extracted volume of the MexicaliValley aquifer, is considered in the model an annual volume of 100 Mc m3 , in order to evaluate the impact that this work could have in the future behaviour of the aquifer of the Mexicali Valley. Water effluents in the Mexican Delta of the Colorado River. • Water Consumption of the Colorado River, for agricultural uses • Water Consumption of the aquifer, for agricultural uses Table 1.

• Water Consumption of the Colorado River, for urban use Mexicali • Water Consumption of the Colorado River, for urban use Tijuana • Water Consumption Colorado River, urban use Mexicali Valley Total volumes effluents of the area

1,622 Mmc 700 Mmc

5

RESULTS

As shown in Table 1, eight scenarios were analysed. The first scenario represents the current condition, since it considers the real values of the analysed variables. The year zero is 2000. We can appreciate that if continuing with the same tendencies of consumption of agricultural and urban water, as well as the same rates of demographical growth, the water availability in the region will be enough to supply only urban uses until the year 2043. As evidenced in Table 1, distribution of water consumption establish a severe decrease for agricultural uses, which can be interpreted in two ways for the present case: a reduction of agricultural surface, or, the same surface under cultivation, but with a drastic reduction of water assignment per cultivated surface; that at the end, it refers to oneself situation

Proposed water consumption scenarios to analyse. Scenarios

Parameter

1

2

3

4

5

6

7

8

Water right (ha) of Colorado River for irrigated agriculture Water right (ha) of the Mexicali Valley aquifer for irrigated agriculture Annual volume of surface water for irrigation in m3 /ha Annual volume of groundwater for irrigation in m3 /ha Water share for domestic and industrial uses (Mmc/yr) to Mexicali Pop. growth rate Tijuana (%/yr) Pop. growth rate Mexicali (%/yr) Pop. growth rate Mexicali Valley (%/yr)

136,400

136,400

136,400

131,400

131,400

131,400

130,700

99,500

71,535

71,535

66,535

66,540

66,535

66,400

66,340

50,000

10,300

10,300

10,300

10,300

9,000

9,000

8,000

5,000

9,785

9,785

9,785

9,785

9,000

9,000

8,000

5,000

102

97

97

97

97

97

97

102

5.1 2.5 0.5

4.9 2.3 0.5

4.1 2.0 0.5

599

4.1 2.0 0.5

4.1 2.0 0.5

3.0 2.0 0.5

2.0 2.0 0.5

1.0 1.0 0.5

that is the affectation of the agricultural sector, with a decrease of 34% of their availability. This is explained taking as a base the availability of water in the year zero, with a volume of 2,322.7 Mmc. Because the only source of water for the Mexican side is that which comes from the Colorado River, with the same volume, the order of consumption priority assigned to the model is the urban use, for such reason, the model assumes that the increments in water consumption of cities are covered by the water of the agriculture. By analysing the data generated in population growth and water consumption, we can observe that the model marks a difference between total availability and total consumption, throwing 218 million cubic meters, as surplus of the process, however, we know that given the topographical characteristics of the region, we don’t have any possibility to build a dam that might store this volume. An important aspect worth emphasizing is that in the year 2019, the consumed water volume by the cities will represent double of the consumption at the present time. A situation that will be analysed carefully, is one that refers to the water consumption of the City of Tijuana in the next 25 years, that definitively won’t be able to be supplied by the current system aqueduct Colorado River/Tijuana, that now has a capacity of 3.6 cubic meters per second. Which means in direct terms that at the present time, with the consumptions reported by inhabitants, it is not possible to fulfil the water demand of this city.

6

SCENARIO 8

This scenario represents the ideal, however, to develop this scenario it is necessary to think about a water reduction in the irrigation surface of 36,900 hectares, as well as a reduction of 20,000 hectares in the area of wells. The reduction in the rate of population growth for the city of Tijuana will be with a value of 1%, equally for Mexicali with 1%. As for the reduction of volumes assigned to the agricultural areas, it intends the assignment of 5,000 cubic metres for hectare, implying with it the total modification of the watering systems in all the agricultural crops of the region. For this case stays the condition of contribution of water of the All American Canal. The rate of mortality remains equally for the considered communities. The period of analysis is 90 years. In this scenario, it is considered that proposed modifications are very severe restriction, that is, conditions are within the delicate goal for the community in general, and maintain very strict controls in the use and misuse of water. According to INEGI (federal bureau of population) in the census year 2000, according to demographic policy at the national level, the average growth rate was 1.98%, decreasing from a value of 3.1% in 1990. This data from INEGI, represents a strict success of application

of the policies of birth control; however, it has been seen that as economic conditions increase, the process of population concentration in the big cities increases, for that is important to take into account this situation for the cities of Tijuana and Mexicali, whose value of growth is altered by the phenomenon of the internal migration. For this situation, it is possible to affirm that the outlined scenario is very difficult, unless the government establishes very strict controls, in relation to people’s reception that comes from the centre of the Mexican Republic. Nevertheless the above mentioned, in the study carried out by Population’s National Council (CONAPO, 1999), for the cities of Mexico with higher rates of population growth, it settles down that the rates of population growth will stabilize in the year 2010, as a process of the restrictions that will be applied to the population’s main inputs. This modification, accompanied by strict rules regarding use and handling of available resources such as: electricity, housing, health, education and food. With these data, scenario 8 suggests that in 2064, the city of Tijuana, will have duplicated its demand for water, in relation of year zero, as long as the city of Mexicali, with the rate of proposed growth, will register the duplication of its current demand.

7

CONCLUSIONS

Under conditions of scenario 8, water consumption reported to Tijuana and Mexicali are the same water demand, (150.86 Mmc, against 152.68 Mmc) with a population of 1.41 millions of inhabitants of Mexicali, against 1.74 millions of inhabitants from Tijuana, a better water use of Tijuana is appreciated. When carrying out the respective calculations, Mexicali consumes 293 litres for inhabitant, per day; as long as the residents of Tijuana consume 240 litres per person, per day. During 64 years, the volume originally assigned to agriculture, has served as a base to cover urban water demands, and if the same water consumption tendencies continue, severe problems of availability and supply will be presented in no more than 19 years. According to rate growth, population will be duplicated and water consumption will rebound adversely in the regional agriculture. In the year 2043, theTijuana population will be 8.44 million inhabitants; Mexicali will be 2.11 million inhabitants, and a combined consumption of equivalent water to 968 million cubic meters, that is, 50% of the available water. It is necessary to modify, not only the habits of people’s water consumption, but also, it becomes necessary to modify policies of demographic development and migratory control. In spite of reducing the population’s index, changes obtained in water demand are not significant. Due to policies, birth rates should meet anticipated goals, with

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growth along one to two percent as a maximum. In a staggered way, the agricultural surface will decrease, up to 100 thousand hectares in surface water and 50 thousand hectares in area of wells, for a total of 150 thousand hectares under irrigation. Technical restrictions of soils and crops selectivity in the region, will settle down on the premise that the farmers use technical and irrigation methods that might offer bigger levels of efficiency.

REFERENCES Aguirre Bernal Celso. (1979). Compendio Histórico Biográfico de Mexicali. De Leon Mojarro Benjamín. (2006). El Panorama Hidráulico Nacional Mexicano. IX Congreso Internacional en Ciencias Agricolas. Universidad Autonoma de Baja California. 18 y 19 de Octubre de 2006. Conferencia Magistral, 11–15. CONEPO (1999). Consejo Estatal de Población. Gobierno de Baja California. Mexico.

Comisión Nacional del Agua. (2000). La Dotación Volumétrica. Publicación de la Comisión Nacional del Agua y el Instituto Mexicano de Tecnología del Agua. Comisión Nacional del Agua. (2001). Los Consejos de Cuenca en México. Roman Calleros J. A. (1990). Origen y Desarrollo de Dos Áreas de Riego. Editorial El Colegio de la Frontera Norte. Tijuana, Baja California, pp. 18–32. Roman Calleros J. A. (1999). Entrega de Aguas en el Lindero Sur. Segundo Congreso Internacional de Ciencias Agrícolas. Universidad Autónoma de Baja California, 174–179. Roman Calleros J. A. (2001). El Delta del Río Colorado: Impacto del Desarrollo Urbano, sobre la agricultura regional. Tesis de Doctorado. Universidad Autónoma de Baja California. México. Roman Calleros J. A. (2002). Cuenca Baja del Río Colorado: el último usuario en problemas. Quinto Congreso Internacional de Ciencias Agrícolas. Universidad Autonoma de Baja California. México. Roman, Calleros J. A. (2003). Los Mercados del Agua en Baja California. Sexto Congreso Internacional de Ciencias Agrícolas. Universidad Autónoma de Baja California, 112–116.

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Assessing the value of water in urban slums: A hedonic price analysis for four cities, Chile E. Espinoza Housing Ministry of Chile, Santiago, Chile

J. Balaguer Universitat Jaume I, Departament d’Economia, Castelló, España

S. Camilla Universidad Tecnológica Metropolitana, Macul, Chile

ABSTRACT: This paper uses the method of hedonic prices to analyse the effects of drinking water availability, both in quality and amount, in comparison to the price of the slum’s houses, located in four cities of zones geographically different in climate and drinking water availability. After displaying the objectives, the theory of the welfare and the main methods of economic and environmental valuation in different zones and regions with high levels of urban poverty, the theoretical base is discussed, based on the model of hedonic prices which relates prices with several characteristics or attributes. As well, to consider the results which determine the value of the houses located in Antofagasta, Valparaiso Santiago and Concepción, often resulting in economic losses to owners. The goal is to define the function of demand by hedonic price model, which allows a consideration of the demand by this social housing, and to establish the marginal implicit prices for each characteristic. Finally, to find the relative importance of water attributes into the dwelling. This study is in line with the United Nations Millennium Development Goal, to halve the proportion of people without access to sustainable, safe drinking water and basic sanitation by 2015. Keywords: 1

Hedonic prices; poverty; slums; urban water; water governance

INTRODUCTION

Safe drinking water, sanitation and proper hygiene are fundamental to health, survival, growth and development. However, these basic necessities are still a luxury for many of the world’s poor who reside in slum settlements. Over 1.1 billion people do not use drinking water from improved sources, while 2.6 billion lack basic sanitation. Safe drinking water and basic sanitation are essential to health, often at risk of being taken for granted. In Chile, the achievement of the Millennium Development Goals (MDG) with regard to drinking water and sanitation is considered to be declining, especially when considering the fulfilment target year of 2015. Within this consideration of safe drinking water and sanitation, sustainability is of most importance. For this reason, water should be considered as an economic good which holds economic value. A current problem when considering drinking water supply and sanitation is the low return of investment or cost recovery. More accurate information is required to ascertain

the amount of individual’s willingness to pay for these services, which could attract investment for drinking water supply and sanitation in the future. The urban population of Chile is concentrated in its four largest urban centres, including, Santiago, Concepción, Valparaíso andAntofagasta. Within these four areas, a wide range of services and policies are in place, which affect both drinking water supply and sewage systems (see Table 1). The motivation of this investigation is to obtain varying estimates of the value of housing attributes in low-income households, such as services of water and sewer. It also seeks to identify ways in which the provision of safe drinking water can improve the welfare of these households. An important focus of urban development policies should be to address problems current owners of social housing encounter, the development of housing policies which may foster improved living conditions, to improve urban integration, to increase access for lower income populations to drinking water, proper housing, better public services, as well as to better environmental amenities and neighbourhoods.

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Table 1.

Urban population, number of housing.

Urban area

Urban population

No. of housing in urban area

% of drinking water service cover

Santiago Concepción Valparaíso Antofagasta Total % over total country urban area

5,384,638 1,309,760 798,669 458,676 7,951,743 62.4%

1,401,698 342,682 234,814 111,233 2,090,427 62,6%

98.1 90.5 96.5 97.2 98.0

Source: Census 2002, Chilean National Statistics Institute – INE.

The model reports the empirical application where we detail the data used in the analysis that include CASEN 20061 survey and other data which allow for the compilation of a rich and diverse set of variables in controlling the characteristics of housing in defined urban areas. Unfortunately, the quantity of information provided by the application of the data model complicates the estimation of the hedonic price function. To overcome this difficulty, we turn our attention to the estimation of the hedonic price function in each zone. The price of the house reflects several characteristics, which give a house its value. We distinguish structural characteristics which include safe drinking water, sanitation system, type of housing, size of housing, number of rooms, number of bathrooms, age of home, as well as materials standard of wall, roof and floor. Furthermore, we considerate neighbourhood characteristics, including the quality of neighbourhood, crime rate, recreational facilities, and social composition. Each characteristic contributes to the consumer’s overall utility of good. The main reason why the hedonic price approach has attracted so much interest in the housing field is the information measures the welfare effects of changes in assets by estimating the influence of characteristics on the value of dwelling. The negative environmental externalities, for example the poor quality or non-existence of water, are caught in the real estate market through the price of the buildings. Therefore, people may have to choose a residence which may not have a proper water network, which impacts the value of the dwellings. When similar dwellings are located in areas which offer proper water services, the value of such dwellings therefore increases based on the accessibility allowance of water services. The difference between the values of the dwellings – with services of water supply – does whereupon the economists look for, by interval of the economic theory, to evaluate the economic losses because of changes and alterations stated in the environmental quality and which are valued by people.

2

METHODS

Hedonic models have been used extensively in the economic analysis of multi-attribute products in general. The lack of theoretical foundations in hedonic price theory was overcome by Lancaster (1966) who stated that a commodity can be decomposed into a bundle of attributes and the correct interpretation of these hedonic functions was widely misunderstood until the work of Rosen (1974). These approaches aimed to impute prices of attributes based on the relationship between the observed prices of differentiated products and the attributes associated with these products. Many economists have applied this suggestion empirically in the housing market. Palmquist (1984) estimates the demand for characteristics contained in differentiated products through separate hedonic equations for several cities. The hedonic hypothesis is that each good is characterized by the set of all its characteristics zi (i = 1,…,k). It is assumed that the preferences of the economic actors with respect to any good are solely determined by its corresponding characteristics vector. Consumers differ according to this vector of socio-economic characteristics, these are the reasons for differences in preferences across individuals. In other words, consumer choice delineate from the maximisation of utility by an optimal combination of goods and service bought in the market, subject to a budget constraint. Furthermore, it is assumed that, for any good, there is a functional relationship f between its price p and its characteristics vector z. The partial derivatives of the price with respect to the previous variables (∂P/∂z) provide information on the marginal price for an additional unit of each characteristic. Hence, it is possible to deduce the implicit price of each characteristic. When individuals select a particular housing in a particular location, they are selecting a particular set of values of each zi . The individual selects a house with characteristics zi for which their marginal willingness to pay for more of each characteristic is equated to the marginal cost of obtaining this characteristic in the market (Ellickson, 1977).

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A difficulty in using the hedonic model to estimate the weight of attributes is that the marginal prices are endogenous (they depend on the levels of the attributes consumed) and thus they must be estimated rather that being observed directly. This may give rise to an identification problem. Another problem is that the gradient of the hedonic price function is likely to measure marginal attribute with error. This may occur because the form of the true hedonic price function is unknown, because the attributes are observed with error, or simply because some attributes are not observed at all (Green and Ortúzar, 2002). Due to difficulties in the practical application of hedonic models, the functional form of the model and the variables included in the model can often seem ad hoc. In studies of housing demand the semilogarithmic specification has some advantages over the linear form. First, it allows for variation in the financial value of a particular characteristic so the price of one component depends in part on the other characteristics. Second, the coefficients have a simple and appealing interpretation. The coefficient can be interpreted as approximately the percentage change in the rent or value given a unit change in the independent variable. Third, it often mitigates the common statistical problem know as heteroscedasticity, or changing variance of the error term. Fourth, the model is computationally simple, and, therefore, well suited to examples. Finally, it is possible to build specification flexibility into the right-hand side, using dummy variables or splines. As mentioned before, unbiased estimation of the regression coefficients in units of log-price will be biased, when transformed back to financial price.

Equation 1: Price Model Where ln P(z) is the price vector where z = 1, 2, …, k are independent variables, β0 and βi are parameters to be estimated and µ is error term. In Equation 1, the dependent variable is transformed but the regression is still lineal in the parameters. Hence, for ln P(z) OLS remains the best linear unbiased estimator, the coefficients βi represent the implicit marginal attribute price. In this case, the hedonic pricing model is estimated in semilog form with the natural log of price used as the dependent variable then the coefficient estimates allow one to calculate the percentage change in price for one unit change in the given variable2 .

3

RESULTS AND DISCUSSION

For the purpose of illustrating the applicability of the hedonic price model, we randomly sampled four urban areas, with cross-section sample that captured a snapshot for this market at a particular point in time. It is assumed that differences in consumers within and between urban areas are measurable and may be controlled for. Given these assumption it is possible to estimate separate hedonic equations for each urban area. The first step in the empirical analysis was to estimate house hedonic equations to obtain the price for housing services. A separate equation was estimated for each urban area. We only considered data from owners who bought their homes with subsidies, while using this data as information of the second-hand social housing market. The data contained information on some of the property attributes, such as, the number of rooms, age, structural conditions in floors, walls and roofs, water and sewage services.This study is severely constrained by the nature of the data available. This investigation of these urban areas were chosen for two reasons, first, they represent the principal cities in north, central and southern zones of the country with an essentially mono-centric structure, and, secondly, within these cities there are significant differences in the provision of drinking water and sewage system based on climate and topographic condition. The study assumes that households have a common preference structure across all urban areas. Following other studies, we have used the rent paid or estimate rent in the month as a proxy for the housing value, in absence of information on its market price. Since housing is a durable good, rent can be seen as the payment for the residence service or, alternatively, as the present value of the flow of income derived from the ownership of the house. In the property market this price is the rental price that an individual pays to the landlord. While many individuals own their own homes, we treat homeowners as landlords that rent from themselves. In principle, rent should maintain a direct relationship with property value, justifying its use in the hedonic regressions replace the price. The variables used for the hedonic regressions are defined in Table 2. The selection of most of the variables was based following previous research in this field and other estimated demands. This is desirable so that the usual statistical test can be correctly interpreted. The first step was to collect data for different cities, identifying a population by communes. The data includes rent and locations of residential properties, housing characteristics that affect prices (such number of rooms, number of bathrooms, construction quality in wall, roof and floor), basic services characteristics (such as drinking water, water connections,

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Table 2. Variable of definitions in hedonic regressions and sources of data. Classification

Name

Description

Source

Structure Attributes

NUMROOMS

Number of rooms, non included kitchen (exclusive use) and bathrooms Number of bedrooms by resident Number of bathrooms Dummy variable, 1 if the dwelling has drinking water supply, 0 otherwise Dummy variable, 1 if the water connection is inside of housing, 0 otherwise Dummy variable, 1 if the dwelling has sewage service, 0 otherwise Construction materials used in the housing in walls, Dummy variable, where 1 if the material of better quality or 0 if the material of worse quality Construction materials used in the housing in floors Dummy variable, where 1 if the material of better quality or 0 if the material of worse quality Construction materials used in the housing in roofs. Dummy variable, where 1 if the material of better quality or 0 if the material of worse quality Dwelling’s physical condition in walls, floors and roofs. Dummy variable, 1 if the dwelling is house or 0 if is apartment Year of construction Number of square meters of green area for population in the commune is localized the housing Number of intrafamily violence per 100.000 habitant at communal level

CASEN 2006

BEDRPEOP NUMBATH DWATER DCONECT DSEWAGE DWALL

DFLOOR DROOF QUAHOUS TYPEHOUS

Neighbourhood Attributes

YEARHOUS GREENAR CRIMERATE YEAREDUC INCOMES POORINDE

Number of year’s education of household head Monthly household incomes Household poverty index, 1 if equal or less than 5th income-decil, 0 otherwise

and sewage) and neighbourhood characteristics (such as crime rates, level education and green areas). The next step was to statistically estimate a function that relates housing value to the characteristics, including before attributes. The resulting function measures the portion of the price that is attributable to each characteristic. Thus, price will reflect the value of a set of characteristics that householders consider important when purchasing the good.

Equation 2: Empirical hedonic specification

CASEN 2006 CASEN 2006 CASEN 2006 CASEN 2006 CASEN 2006 CASEN 2006

CASEN 2006 CASEN 2006 CASEN 2006 CASEN 2006 CASEN 2006 National System of Municipal Ratios. SUBDERE National System of Municipal Ratios. SUBDERE CASEN 2006 CASEN 2006 CASEN 2006

Where ln(RENTHOUS) is the natural logarithmic of monthly rent as proxy of housing price in Chilean pesos (US$1 = CL$500). The variables on the right side hand represent the structural, locational and neighbourhood attributes, βi are the coefficients to be estimated and µ is the stochastic term of error. The estimated parameters are shown in Table 3. The model’s estimation was the ordinary least squares method (OLS). The regressions were obtained by STATA software. In this form, each estimated coefficient can be interpreted as the elasticity price between the independent variable and the housing sale price. A separate hedonic price function was estimated for urban areas. For example, the hedonic price of public service of water (DWATER) was 0.45523 for urban area of Antofagasta, which means that if they had this service, the housing price would increase by 45,523 per month when other characteristics are kept constant. As the totality of households received subsidies such as

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Table 3.

Results of hedonic regressions.

Variable

Antofagasta

Valparaíso

Santiago

Concepción

NUMROOMS BEDRPEOP NUMBATH DWATER DCONECT DSEWAGE DWALL DFLOOR DROOF TYPEHOUS QUAHOUS YEARHOUS GREENAR CRIMERATE YEAREDUC INCOME POORINDE INTERCEPT R2 Sample

0.06179 (6.92) −0.01248 (−0.44) 0.30504 (11.05) 0.45523 (4.49) −0.11640 (−0.84) −0.24597 (−2.60)∗∗∗ −0.16542 (−3.39)∗∗∗ 0.16399 (2.53)∗∗ −0.75829 (−0.81)∗∗∗ 0.43147 (6.64) −0.27589 (−10.50) −0.00314 (3.59) −0.17542 (−5.12) −0.00619 (−7.10) 0.01171 (5.00) 9.19e−08 (3.97) 0.01565 (2.45)∗∗ 10.88905 (85.99) 0.3108 2,462

0.07239 (7.20) 0.04321 (1.65)∗ 0.25830(12.16) 0.13107 (2.17)∗∗ −0.29749 (−4.55) 0.12264 (2.69)∗∗∗ −0.03767 (−1.30) 0.05459 (2.18)∗∗ −0.01783 (−0.23) −0.070506 (−0.72) −0.26305 (−13.02) 0.00211 (3.15)∗∗∗ 0.00394 (0.56) −0.00026 (−3.85) 0.00649 (4.45) 5.54e−08 (3.76) 0.04566 (12.14) 10.73972 (75.56) 0.5255 3,493

0.05368 (11.15) 0.10380 (5.07) 0.21038 (14.01) 0.44896 (1.85)∗ 0.03014 (0.50) 0.143241 (3.28)∗∗ −0.00399 (−0.14) −0.08223 (−3.00)∗∗∗ −0.12840 (−5.48) 0.07634 (0.79) −0.17262 (−11.91) 0.00070 (1.80)∗ 0.00818 (2.37)∗∗ −0.00048 (−6.95) 0.01194 (8.93) 5.73e−08 (6.57) 0.02233 (7.36) 10.51394 (40.37) 0.4133 4,792

0.08659 (14.43) 0.04426 (2.10)∗∗ 0.18338 (11.09) 0.11935 (2.73)∗∗∗ −0.32462 (−3.50) 0.07664 (2.92)∗∗∗ 0.12270 (3.61) 0.12950 (5.50) 0.10984 (0.60) −0.04281 (−0.76) −0.20702 (−16.18) 0.00185 (3.82) 0.50237 (21.65) 0.00007 (−2.33)∗∗ 0.00701 (5.93) 1.25e−07 (7.35) 0.03806 (10.76) 10.06014 (42.10) 0.5739 5,557

Notes: The t-ratios are given in parentheses below parameter estimate and standard deviation robust to heterocedasticity. ∗ The coefficient is statistically significant at 10% level. ∗∗ The coefficient is statistically significant at 5% level. ∗∗∗ The coefficient is statistically significant at 1% level.

a percentage of price, the marginal price paid is equal to the hedonic marginal price. Almost all of the coefficients are the expected signs and magnitudes. The coefficient of the age variable (YEARHOUS) in the hedonic price model can be interpreted as a depreciation rate of housing. Housing, with numerical value of every characteristic equalling to the mean value of the whole market, is defined as the standard housing. Four coefficients associated with the household incomes (INCOME) presented a positive sign, showing that living in a neighbourhood with high average incomes is valued positively by the households, contributing to an increase in rental values. Conversely, a high density per bedroom (BEDRPEOP), typical of poor neighbourhoods, worsens the living conditions, causing a decrease in the price. The absence of differences among the different income levels may simply reflect the high degree of segregation in the housing market. In our analysis we found that the positive correlation between income and location disappears when age of housing stock is held constant. This would mean that the demand for new housing, and not for reduced cost of housing space, mobilizes low-income households to the suburbs. The coefficients of the number of rooms (NUMROOM) and the years of construction (YEARHOUS) are almost always positive, significant, and generally of reasonable magnitude. The coefficients of crime rate (CRIMERATE) are negative in three of the four cities, and are frequently statistically significant. Analyzing

these terms with years of education (YEAREDUC) indicates that increasing a poor quality of the neighbourhood decrease the price of the house but a decreasing rate as hypothesized. Several of the other neighbourhood characteristics are worth noting, such as, the years of education have a strong positive effect on housing values in all of the urban areas. 4

CONCLUSIONS

This paper has presented estimates of the demand for structural and neighbourhood characteristics for four urban areas. Ordinary Least Squares estimates were obtained for the parameters of a semi-logarithmic form hedonic price function. The price functions perform well, and can be used to estimate the hedonic price of structure characteristics and local amenities. Several features of these estimates provide insight into the unusual characteristics of the Chilean social housing market. Estimates of demand structure were also obtained for beneficiaries of subsidies and other government programs, and statistical test reveal these to differ significantly for nearly all characteristics.This may be particularly relevant for recent experience, due to notable changes in Chile within recent years, including an increase in income inequality and untargeted housing programs. Houses are bought primarily by individuals with incomes in the top income bracket, and the incomes of this group have risen relative to the overall mean. An implication of estimated impacts of

607

changes in income is that desired patterns of residential dwelling use are likely to conflict with the goals and policies of the government system. The theory can be presented in a formal way based on theories of implicit markets, and it is possible to infer the parameters of household demand from observations of household choices and the implicit prices they face. Implementation of this approach, however, forces confrontation with a variety of difficulties. Most of the problems associated with estimation of the hedonic price function itself are conventional, even if not easily solved. Models should be specified so that they correspond to the restrictions implicit in the theory of housing markets. Estimation must confront inadequate data, and make use of whatever information sources are available. The main advantage of the hedonic price approach is that one only needs to have certain information, such as housing price, the composition of housing attributes, and a proper specification of the functional relationship. The marginal attribute prices are obtained by estimating the parameters of the hedonic price function. Use of these hedonic prices to estimate the structure of demand brings more difficulties, many of which have been only poorly understood. In addition to the usual problems of model specifications and measurements error, the nonlinearity in household budgets implies endogenous determination of attributes prices. The demand equation estimates behave normal well. The coefficients have the expected signs and magnitudes and are almost all highly significant. The information of demand recognizes that the housing market is highly localized and spatially segmented, regressions were run separately for each of the four urban areas to obtain marginal prices for the housing bundle characteristics. This review and the empirical example demonstrate that the hedonic price approach is particularly useful for research studies on the housing market because high-rise social housing have proliferated all over urban areas in the last years, partly due to high costs and scarcity of developable land. The increase in urban poverty, water scarcity, high crime rate, social discrimination and spatial segregation adversely affect environmental quality and living conditions of the urban areas, which increase the need for adequate dwelling and urban infrastructure services. An important note is that the use of the hedonic method implicitly requires that relative price among various housing attributes remain unchanged provided that the characteristics of the dwelling remain unchanged. In this case, it is necessary to control and account for differences in housing attributes in order to estimate the house prices for a vector of a varying bundle of housing features. Zabel (2004) states an alternative approach to modelling continuous housing demand come from decomposing housing demand

into two components, the services that arise from the structure, relatives at the living space, and from the neighbourhood in which the house is located. One reason for splitting up housing service into structure and neighbourhood components is that one can view structure as being exogenous and neighbourhood as being endogenous in the following sense. Since structure emanates from the physical structure of the house, the amount consumed depends on this physical structure. Changes in the house occur through changes in this structure. Depreciation aside, this is caused by a conscious decision on the part of the owner to maintain, alter or add to the house. Neighbourhood arises from the amenities that are associated from the location of the house, such as the measure of accessibility, which are generally fixed, and other factors like local public goods, environmental amenities and possibly the characteristics of one’s neighbours which may vary. We would conclude that low income individuals tend to select to live in low income neighbourhoods. Neighbourhood effects produce a high degree of interdependence among neighbours demands. This effect implies that individual housing demand is influenced by the neighbours characteristics. In the social housing market, negative externalities are recognized at the neighbourhood level, but are viewed as less costly and less disruptive to the market than any conceivable program that might be implemented to reduce their deleterious effects. The implementation of neighbourhood stabilization programs, for poor sector, on a selective basis effectively targets the relatively few locations in the city in which effective housing demand will be combined with the assistance of the public sector.

REFERENCES Bilang N. H. and Hartono, D. (2007). Analysis of willingness to pay and determinant of drinking water and sanitation availability in Indonesia using hedonic price model: Approach and logistic model. Working Paper in Economics and Development Studies. Padjadjaran University. Ellickson, B. (1977). An alternative test of the hedonic theory of housing market, University of California, Los Angeles, Discussion Paper. Green, M. and Ortúzar, J. (2002). Willingness to pay for social housing attributes. A case study from Chile, International Planning Studies. Lancaster, K. (1966). A new approach to consumer theory, Journal of Political Economy. Palmquist, R. B. (1984). Estimating the demand for the characteristics of housing. The Review of Economics and Statistics. Rosen, S. (1974). Hedonics prices and implicit markets: products differentiation in pure competition, Journal of Political Economy. Zabel, J. (2004). The demand for housing services, Journal of Housing Economics.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Pricing water and sewerage services in Metro Manila with the contingent valuation method M.R. Campos Southeast Asian Regional Center for Graduate Study and Research in Agriculture, College, Laguna, Philippines

ABSTRACT: The contingent valuation method was used to determine regulatory pricing of water and sewerage services in Metro Manila. The analysis of the ability-to-pay for sewerage services was based mainly on the 2000 Family Income and Expenditures Survey conducted by the National Statistics Office (NSO). Estimates of willingness-to-pay were based on surveys conducted in November 2003 in Barangays Wawa, Western Bicutan, and Calzada in Taguig and Barangay San Juan in Tanay, Rizal. The Manila Waterworks and Sewerage Systems (MWSS) compile water and sewerage fees in one bill. Keywords:

1

Contingent valuation; water pricing; Metro Manila

INTRODUCTION

The Taguig Sewerage System involves the transformation of four drainage and flood retention ponds into Sewage Treatment Plants (STPs) as part of the flood control project of the Department of Public Works and Highways (DPWH) and in coordination with the Manila Waterworks and Sewerage Systems (MWSS). The STPs treat sewage in Taguig before discharging it to Laguna de Bay during the dry season. With the new facilities, a new pricing system that would cover the utilization of both water and sewerage services was estimated.

2

PURPOSE AND OBJECTIVES

This study was conducted to develop a pricing scheme for water and sewerage services in Metro Manila where consumers are capable and willing to pay for the MWSS’s improved facilities. The objectives were: (1) to determine the ability of consumers to pay for the improved services and (2) to analyse the willingness of consumers to pay for the services.

3

METHODOLOGY

Both primary and secondary data were collected for this study. Primary data were gathered from a survey of respondents residing in the municipalities of Taguig and Tanay, Metro Manila, where MWSS facilities required improvements. The water and sewerage

clients were enumerated using a survey questionnaire about the extent to which they are willing to pay for the improved MWSS facilities. Secondary data on average family income in the surveyed sites, the National Capital Region (also known as Metro Manila), and the Philippines were obtained from the 2000 Family Income and Expenditures Survey of the National Statistics Office. This information was used for the ability-to-pay analysis. The results of the ability-to-pay and willingness-topay studies were compared to determine whether the MWSS’s clients, given their income, can indeed afford to pay for the new water and sewerage services. Future ability-to-pay and future willingness-to-pay were also analysed to see if the clients could still afford the new rates should their income and household expenses increase over subsequent years.

4

RESULTS AND DISCUSSION

The National Statistics Office prepared a 2000 Family Income and Expenditures Survey. This report presents information on family income and expenditures for select urban areas and regions in the Philippines. Taguig was one of the municipalities selected for the 2000 survey. Tanay was classified under Region IV. The information collected provides one indication of the ability of the households to pay for the services of the proposed sanitation and sewerage project. Table 1 presents the average and median annual incomes in 2000 for Taguig and Tanay compared with other regions in the Philippines. Taguig and Tanay had

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Table 1. Average and median annual income in Taguig and Tanay compared with other regions in the Philippines (National Statistics Office, Family Income and Expenditures Survey, 2000). Family income in Taguig and Tanay, Rizalas a percent of other regions Area

Average family income

Median family income*

Median as average%

Average income

Median income

Taguig Tanay, Rizal All Philippines NCR

230,719 246,286 144,039 300,304

193,092 193,092 88,782 193,092

84 78 62 64

100 100 166 79

100 100 217 100

* Only data per region was available.

a greater number of high-income families. The average and median household incomes in both locations were lower than the NCR average.

Table 2. Comparison of average annual family income and expenditures for water in 2000 (NSO Family Income and Expenditures Survey, 2000).

4.1

Average family living in

Average annual income(P)

Annual expenditure for water(P)

Percent of income spent on water(%)

Taguig Tanay, Rizal NCR All Philippine Families

230,719 246,286 300,304 144,039

2,504 2,064 2,504 1,936

1.09 0.84 0.83 1.34

Family income and water expenditures

The NSO 2000 survey of family expenditures on water was the primary data source for this section. The historical and present ability to pay for water were calculated in order to estimate the ability and willingness to pay in the future. The NSO Survey showed that, in 2000, the average annual expenditures for water in Taguig and Tanay was PhP 2,504 and Php 2,064, respectively. It also revealed that fuel, lighting, and water comprised 6.3% of the family expenditures. Previous studies have worked on this aggregate figure and assumed that water rates represent approximately one-third of the total. On average, families living in other areas reported earning less income, but paying more for water, in 2000 than the average family in Taguig and Tanay, Rizal. These communities spent a higher proportion of their income for water: 1.27% in Taguig and 0.84% in Tanay as compared to the NCR (0.52%). However, the national average was higher at 1.34%, because to the high average annual income received by households in Taguig, Tanay, and the NCR. Water consumption is not responsive to income changes (Table 2). 4.2

Future ability to pay for water and sewerage services

Families living in the Taguig and Tanay have traditionally reported spending between 0.84 to 1.09% of their annual income on water and sewerage services. Average family income in these communities has increased in real terms (inflation adjusted) from 1997 to 2000 by 14.4% in Taguig and 30.6% in Tanay. The increase represents an annual growth rate of 4.8% in Taguig and 10.2% in Tanay. Higher family income in the future will result in higher per capita consumption, and an increased ability and willingness to pay for water and to connect to the sewerage system. That

greater ability and willingness to pay will be partially offset, however, by higher prices. If real incomes in these communities grow at an average annual rate of 4.8% in Taguig and 10.2% in Tanay, then the estimated average family income of PhP 230,719 (in Taguig) in 2000 will grow in real terms to approximate PhP 278,310 by 2004. In Tanay, the estimated average family income in 2000 was PhP 246,286 which will grow in real terms by PhP 363,217 in 2004. Median household incomes will also increase at the same time. By the year 2004, “real” ability-to-pay, will be about 36.12% higher inTaguig and 47.67% inTanay than in 2000.The average family in Taguig that could afford to pay PhP 209 per month for water in 2000 will be able to pay PhP 284.50 per month by 2004. InTanay, the average family that could afford to pay PhP 172 per month for water in 2000 will be able to pay PhP 254. However, since the real price of water, according to 1997 prices, should not change, the average family will have an extra PhP 75.50 in Taguig, and PhP 82 in Tanay, left over every month after paying its present water charge. The surplus could be spent on the additional sewerage service. 4.3 Willingness to pay for sewerage services 4.3.1 Socio-economic survey of Taguig STP communities The 2003 survey of Barangays Wawa, Western Bicutan, Calzada of Taguig, and Barangay San Juan in

610

Tanay reported that 42% of households interviewed were willing to pay for the price increase in their water charges for a sewerage system. Ten percent of the respondents gave no response, while 48% were not in favour of the price increase. The respondents were informed that the payment would be added to their water bill. The results of the survey show that sanitation is a low priority and attracts only a small proportion of the total funding to the sector. The low demand and willingness to pay for sanitation among respondents relate to a lack of understanding of the effects of good sanitation on human health. The Bank should further promote health education and ensure that it is an essential component of its WSS program to stimulate demand and WTP for sanitation and to maximize the health benefits of the project. The respondents were also asked about their general feelings about the proposed price increase in their water charges. The general feeling about the price increase is as follows: 15% were happy; 63% were not happy; 21% were neither happy nor unhappy; while the rest did not comment at all. Among the respondents who admitted they were happy with the price increase in their water bill to accommodate sewerage services: 57% reasoned out that the price increase would mean better quality service; 12% said it was low with respect to their incomes; 12% declared that the current charge is low; while 10% didn’t say anything. Of the respondents who were unhappy with the price increase, 44% disagreed with any price increase, 28% said there was no increase in family income and the price increase would lessen their household budget, and 13% thought that the MWSS would just pass on its expenses to its customers. Some people also cited the additional household expenditure and there was no budget allocated, while others stated that it was the government’s obligation to shoulder the price increase. The current sewerage fee charged by the MWSS is 50% of the water charge for all customers connected to its sewer lines. The survey results indicated that none of the respondents was aware of this. The figure they gave ranged from PhP 180 to 500 per month. Although the response is true, they were unaware of how this amount was determined. The MWSS has been releasing information about its water tariff to the press, one of which was posted in the Manila Standard dated August 10, 2003. More information should clearly be disseminated. As part of the Socio-economic Study of the Environmental Impact Assessment study, willingness-to-pay (WTP) surveys were undertaken in Barangays Wawa, Western Bicutan, Calzada of Taguig; and Barangay San Juan in Tanay, Rizal. One purpose of this study was to estimate the willingness to pay for an increase in the water bill for sewerage services. The analysis of willingness-to-pay was based on the contingent

valuation method. Using this method, survey information is evaluated to determine the relative value the respondents place on various services. A simple average of the four communities provides a rough indication of what the expressed WTP amount might have been for Barangays Wawa, Western Bicutan and Calzada in Taguig; and Barangay San Juan in Tanay in 2003. The estimated average WTP in 2003 is: PhP 20 per month, or approximately 8.31% and 9.58% of their average water bills of Taguig and Tanay, respectively. This amount can be adjusted to estimate 2004 price levels using the 6.3% inflation rate for fuel, light and water in Metro Manila, so that the 2003 prices should be raised to make them current with 2004 prices. Estimated average WTP in 2004 pesos is: PhP 21.26 per month per household or approximately 8.84% and 10.18% of the average water bills in 2003 of Taguig and Tanay, respectively. 4.4 Future willingness-to-pay By the time the first households begin connecting to the new sewage system, real incomes will have changed, and the ability-to-pay as well as willingnessto-pay will have increased accordingly. A projection of future willingness-to-pay has made taking these expected changes into account, and using the following assumptions:

611

•

•

•

•

•

•

Low priority is given by the affected families to the sewage in their household expenditures. An awareness campaign about the benefits of safe, piped water and sanitation services should be conducted to influence their perceptions of, and willingness to pay for, such a service. Households, which indicated that they would be willing to pay for sewerage service, estimated the cost to be equivalent to as much 8.84% and 10.18% of the water bills of households in Taguig and Tanay, respectively. This amounts to PhP 21.26 on the average for each water connection. Ability-to-pay was estimated to be as much as PhP 20 a month, or approximately 8.31% and 9.58% of their average water bills of Taguig and Tanay, respectively. Historically, water bill payments accounted for 1.09% of average family income in Taguig, and 0.84% in Tanay. Future water bills are expected to have similar implications. If the combined payment for water and sewerage services does not exceed 0.84% and 1.09% of the average family income in Tanay and Taguig, respectively, most families will be able and willing to pay for sewerage. The relatively low willingness-to-pay of Taguig STP families at 8.84% and 10.18% of the average

water bills in 2003 of Taguig and Tanay, respectively as compared to the 50% that MWSS is presently collecting indicates that communities located adjacent to these but may be indirectly affected by the proposed project will have to be included in the price increase. • To remain within the stated limits of willingnessto-pay expressed as a percent of the average family income, the average payment for sewerage services should be approximately 0.84% and 1.09% of the average family income in Tanay and Taguig, respectively. • Real incomes in the Taguig STP communities will continue to grow 6.3% annually from 2000. If sewerage connections begin in 2004, the projected average family income in that year will be roughly PhP 278,310 and PhP 363,217 in Taguig and Tanay, respectively. If payments at that time do not exceed PhP 329.92 per month or PhP 3,959 per year for Taguig, and PhP 254.25 per month or PhP 3,051 per year for Tanay in constant 1997 prices, they will be within the limits of willingness-to-pay as a proportion of total income, as expressed by most families.

Therefore, the average household consumption in 2004 in the Taguig STP communities was assumed to be willing-to-pay for sewerage service, expressed in constant 1997 prices as: PhP 251.55 per month in Taguig; and PhP 254.25 per month in Tanay. 5

CONCLUSIONS

Higher income families will have a greater willingnessto-pay than low-income families for a connection to the sewerage system. To the extent that the sewerage system serves property owners in areas with higher than average incomes, the willingness-to-pay will be higher than the figures above representing the average household. An awareness campaign will shift the willingnessto-pay decisions of households. REFERENCE National Statistics Office. (2000). Family Income and Expenditures Survey for 2000.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Inequality and access to water in the city of Cochabamba Carmen Ledo García Management and Planning Centre (CEPLAG), Faculty of Economic Sciences – San Simon University, Cochabamba – Bolivia

ABSTRACT: Rapid urban population growth in Cochabamba City have generated an increased demand for basic services, particularly water, but the capacity of the Water Company (SEMAPA) to meet this demand has been weak. There are essentially three types of water supply. The Public Company, “the Municipal Water Supply Company (SEMAPA)” attained only 60 percent of the population who are located in the northeast of the city and constitute the greatest proportion of households in a condition of non-poverty. As an alternative to the municipal water network people get their water from water trucks, wells and community-built and run primitive networks. The Social Alternative Systems of Water Supply as Water Co-operatives, Associations, and Committees, are mainly located in the south and north west area of the city which attend to approximately 20 percent of poor households. The Private Alternative Systems of Water Supply requires that households purchase their water from informal sellers ("aguateros") or have their own particular small well, most of them placed in the south area of the city, which covers the remaining 20 percent of the population. Problems exist within the high levels of contamination due to the sources of water, which contributes to the presence of a high level of infant mortality in these poor neighbourhoods. Keywords:

1

Health; poverty; urban population; water supply

INTRODUCTION

Cochabamba is located in a valley that is affected by serious hydrological problems. Urban expansion is creating serious water supply problems. The urbanization of irrigated agricultural lands, which are not intended for the construction of homes or other buildings, increases the vulnerability towards natural disasters of those living there, mainly low income populations. A clear trend towards the increase of internal economic and social heterogeneity is depicted in the actual configuration of the city. It is evident that a clear element of inequality and discrimination exists in the residential inter-urban space of Cochabamba, the location where the population establishes itself is an indicator of the social differentiation processes. There are important differences in terms of poverty and of unsatisfied basic needs which permit one to demonstrate the existence of segregation processes in the use and property of space. Inequities in water supply reflect the State’s inability to meet demands arising from accelerated urban growth. An orientation of services toward wealthier urban populations has contributed to existing social inequalities, widening the gap between the north and south. From here on,

we will use “municipality” and “city” as synonyms, since both refer to the same geographical area. The aim of this study is to evaluate access to water for human consumption within households in Cochabamba City, from a gender perspective, access to water supply services, in quantity and quality, for the residents of the city. 1.1

Methods

The universe of reference for the present study is ‘the entire population living in private homes’. These households are classified according to their basic characteristics, and this classification is applied to the people living in these homes. That is, selected indicators refer to household characteristics. The statistical analysis uses the variable of “sex of head of household” of ‘private households’. ‘Household’ is defined as “a person or group of people who, whether related or not by family bonds, occupy a private home, sharing the main meals and/or expenses to cover their basic needs in common”. The Census and national household surveys distinguish between men and women in regard to the sex of the person considered by the household as its “head”. This does not necessarily refer to the home’s

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main breadwinner. To this end, a varied range of primary and secondary information has been used. It has had to be carefully re-processed, since existing data did not reveal existing gaps between men and women. Lists separated by sex have been obtained for a broad range of variables from the National Population and Housing Censuses. Within the context of the CEPLAG-UNIFEM project, valuable primary information has been gathered from a representative sampling of households in Cochabamba, using a survey on “Household Uses of Domestic Water Supply, with a Gender Dimension – Women’s Rights to Water” applied to some 2100 households in Cochabamba. These surveys were prepared with a gender focus. On the basis of these findings, diverse economic and social indicators have been designed from a gender perspective, as a basis for the analysis in this research effort to assess domestic water consumption during November and December 2004. The questionnaire form CEPLAG-UNIFEM, specifically designed to gather data for this study, examines water issues exhaustively, to disaggregate households with male or female heads, by types of connection and payment, and investigates the use of alternative sources for daily supply, strategies that they must resort to when basic services are not supplied, and men and women’s aspirations in terms of future prospects. It is important to highlight the painstaking data processing work done to construct indicators to visualise and characterise female heads of household, since conventional statistics do not lend themselves to examining this issue. It is recommended that the statistics office gather data reflecting the gender perspective for all information collection and processing. 2

RESULTS AND DISCUSSION

The growth of Cochabamba, both physical and demographic, has been differential, exhibiting high demographic concentrations in some areas and very low concentrations in others. The highest concentrations occur in the Old City and around the central marketplace. This happens in stark contrast to the high population growth rate in the poorest districts, with growth rates of over 9 percent annually. The accelerated growth of the neighbourhoods is attributable to the concentrated arrival of immigrants from the poorest regions of west Bolivia. As water is a basic input for the preparation of food, personal hygiene and washing of clothes, its lack becomes a causal agent linked to the high levels of infant mortality. As it is a key requirement, fresh water cannot become simply a problem of lack, it must also be considered as a problem which is social in nature. “Water is a key human right and a public asset that every level of the State should protect. It must not therefore become a mercantile good, nor be privatised

Table 1. Service rate distributed by sex and districts of residence, 2004. SEMAPA

Service Rate

Public System

Men

Women

Total

District 9 District 7, 8 and 14 District 13 District 2 and 6 District 1, 3, 4 and 5 District 10, 11 and 12 Total

0.6 1.0 12.5 87.0 76.2 96.9 57.2

0.0 0.0 16.7 87.0 77.7 98.1 68.9

0.5 0.8 13.0 87.0 76.5 97.3 60.1

Source: Prepared by the author with data from the Survey “Household uses of drinking water with a gender dimension – women’s water rights”, 2004, CEPLAG-UNIFEM, Cochabamba – Bolivia.

or trade by those levels of the State. In fact, an international treaty should seek to ensure that these principles are beyond controversy”. Following is a presentation of data separating households according to water supply from a public system (SEMAPA), a private system (Small enterprises) or no domestic supply.

2.1 Households with water supply connection The Municipality of Cochabamba is responsible for providing basic services to the population. It provides drinking water and sanitary services through SEMAPA. SEMAPA was created through the DS (Supreme Decree) 08048 on June 12th, 1967. It was reorganized by the DS 10597 of November 24th, 1972 and given administrative and financial autonomy. On August 25th of 1997, according to the DS 24828, SEMAPA was recognized as a decentralised company of the Honourable Municipal Governorship of Cercado. The responsibility for the provision of services included all the metropolitan area. After a brief and convulsive period (from 1999 to 2000) when SEMAPA was run as a private company, it is now back again as a public utility. The so-called “water war” in 2000 that put an end to the concession agreement with a private provider, marks SEMAPA’s return to be a public service entity. The provision of piped clean water into the dwelling is an important indicator of the living conditions of a population. Not having piped water implies extra efforts whether it is to obtain it from a distant source, a community tap or well, or, to buy it from a water truck. Not having a regular supply of piped water in toilets and kitchens works against the health of household members and is a causal agent linked to high levels of infant mortality. The structure of water supply generates numerous problems. The sanitary consumption rate is perhaps the clearest and most

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Table 2. Households by service rate from public system (SEMAPA), per capita consumption (m3 /year), percentage of volume consumed by sex of head of households, District of residence, 2004. Cochabamba Public system = SEMAPA District 2 and 6 District 1, 3, 4 and 5 District 10, 11 and 12 Male head of household District 2 and 6 District 1, 3, 4 and 5 District 10, 11 and 12 Female head of household

Consumption M3 /Mo.

Consumption Liters/Day

Cost Bs./Mo.

Cost Bs./Day

Family size

Family income Bs./Mo.

Per capita income USD/Day

Years of Education

13.64 13.34 20.93 13.77

449.01 446.52 695.35 457.72

35.29 38.88 75.80 40.26

1.13 1.35 2.65 1.37

5.38 5.26 4.40 5.20

1914.69 2136.23 3334.06 2023.41

1.60 1.90 3.37 1.84

10.24 11.46 13.25 10.32

15.39 13.69 20.24 15.34

477.28 456.08 669.44 498.82

40.73 40.83 81.14 49.18

1.34 1.39 2.73 1.65

4.66 4.63 3.57 4.37

1471.81 2008.65 2806.89 1809.14

1.52 2.07 3.95 2.16

9.04 10.38 11.63 9.39

Source: Prepared by the author with data from the Survey “Household uses of drinking water with a gender dimension – women’s water rights”, 2004, CEPLAG-UNIFEM, Cochabamba – Bolivia.

eloquent indicator which proves that Cochabamba is actually two cities: the legal city, with all amenities, equipment, infrastructure and services, versus the illegal city, excluded from even minimal citizens’ rights, clearly located on the southern edge and in the extreme north of the city (District 13). Since the presence of SEMAPA is virtually nonexistent in those areas, they have been excluded from the following analysis. However, even leaving the poorest out, there are still differences among districts, although it is obvious that sanitary consumption volumes are still hugely superior to the consumption levels declared by the poorest groups, an aspect which will be treated in the section on households without public water supply connections. The differences in volumes consumed according to the sex of the head of household and place of residence are telling, less water is used throughout the belt that surrounds the wealthier districts. Worse yet, these poorer households have more members and therefore greater water needs for all domestic uses. This lower consumption may be attributed to lower income, however, it is significant that when women are the heads of household, they invest more in providing safe water for their family even though their family income is lower than in male-headed households. All indicators used reveal dangerous symptoms of segregation and the absence of any ethical principles in providing basic water supply service. According to these data, north-eastern and central areas (Districts 10, 11 and 12) have the highest service rates and therefore a high concentration of domestic connections and a high volume of water consumed. In the northeast, the volume consumed is nearly half of SEMAPAs total production (48%), although only 27 percent of the total population of Cochabamba lives there.

Water consumption volumes differ for men and women. These differences are explained by the different roles played by women. It may perhaps also be relevant that in the Andean worldview, water is the origin of life. Water use is associated with territorial, space and time issues, with a cyclical vision with high mystical and religious contents. Since women have direct contact with water in the course of their differing functions within the home, the right to dispose of clean water for these needs should be viewed from an integrated perspective. To take water in isolation, out of context, would be a failure to understand cultural codes, the rationality and cosmology within which water acquires meaning. This will prove very important when preparing projects for specific action. Data from middle-class residential areas show that, in Districts 10, 11 and 12, of Cochabamba, their per capita consumption is higher. Per capita water consumption in neighbourhoods around the south-western edge of Cochabamba is low, under 50 litres/day per person, regardless of whether the public or private system is involved. In Cochabamba, it is illustrative to analyze the water consumption rate in terms of private/public systems, as an indirect way to show that private systems (which the people are forced to use because there is no public system for them) are very precarious, and urgently require administrative and management mechanisms that would make them more socially, economically and financially sustainable. Despite the work done by SEMAPA to increase supply and coverage over the last 15 years, the results show a grievously deficient situation. Worse still, in Cochabamba, water supply is shut off two or three days a week in certain neighbourhoods during the dry season, which creates a high public health risk factor. These findings should lead to decision-making and specific projects for immediate action.

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Table 3. Area of study – Per capita rate for water consumption and sex of head of household, by city and stratum of residence, 2004. Consumption per person, in litres/day Men

Women

Stratum/City

SEMAPA

Private system

SEMAPA

Private system

Total

District 9 District 7, 8 and 14 District 13 District 2 and 6 District 1, 3, 4 and 5 District 10, 11 and 12 Cochabamba

* * *

60.9 37.6 51.5 53.3 93.3 . 64.9

* * *

80.8 32.8 23.4 82.2 67.9 . 74.4

64.9 36.7 66.7 84.2 93.4 158.5 99.0

81.6 85.6 151.4 102.7

95.1 124.0 171.4 131.8

Source: Prepared by the author with data from the Survey “Household uses of drinking water with a gender dimension – women’s water rights”, 2004, CEPLAG-UNIFEM, Cochabamba – Bolivia.

2.2

Households with no water supply connection

The survey asked what prevented people from having a water connection. Answers by women in poor districts in Cochabamba mainly mention that the system does not extend to where they live, which means that there is absolutely no possibility of solving their problems by connection to public and/or private systems. The second limiting factor on access to water supply in Cochabamba is tenant status. If people pay rent for a house, this ought to cover all basic housing requirements. Twenty percent of women living in rented dwellings state that their landlords are not willing to install water, which means that they do not comply with minimum habitability standards. Factors to explain the lack of a water supply connection can be divided into two groups: structural (no system, over 40% of households, regardless of their sex or city) and service management (which could be solved if there were the political will). To find out more about this, the next section explains what happens when individuals apply for a connection. In Cochabamba, the main source of supply are tanker lorries for four-fifths of households. Water is scarce in Cochabamba mainly because of the chronic crisis in sources of supply. Digging wells to find water is not an option as ground water is generally salty. People are obliged to buy from the water sellers who operate the tankers, who make profits from water of doubtful quality, since there is no regulatory body to oversee their activities. Both the price of water and the service hours are decided upon by the sellers, reflective of arbitrary standards. Evidently, this situation causes high health risks for the public due to poor and inadequate handling of water, both by tankers and by users handling and storing it. The quality of this water is questionable, especially in an urban setting in which aquifers are

Table 4. Households with no water connection by sex of head of household and city of residence, according to reasons for no connection, 2004. Reason No system near the house It is difficult to get a connection Connection is expensive The landlord won’t allow it Others Total

Men

Women

Cbba

56.6 11.0

46.9 10.2

54.9 10.8

7.3 16.0 9.1 100.0

12.2 20.4 10.2 100.0

8.2 16.8 9.3 100.0

Source: Prepared by the author with data from the Survey “Household uses of drinking water with a gender dimension – women’s water rights”, 2004, CEPLAG-UNIFEM, Cochabamba – Bolivia.

Table 5. Area of study – Households without water connections, by water supply sources, by sex of head of household and city of residence, 2004. Source

Men

Women

1 Public tap 2 Own well 3 Tanker lorries 4 Springs 5 Neighbours 6 Others (specify) Total

0.90 7.60 83.40 0.90 5.40 1.80 100.00

0.00 3.90 82.40 2.00 5.90 5.90 100.00

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Source: Prepared by the author with data from the Survey “Household uses of drinking water with a gender dimension – women’s water rights”, 2004, CEPLAG-UNIFEM, Cochabamba - Bolivia.

Table 6. Households without water connection, by total per capital volume consumed, amount paid for water and total family income, by sex of head of household, districts of residence, 2004.

Districts

Family size

Total income

Bs. Mo. Paid

% Income to pay water bill

Volume in litres per month

Litres/Day per capita

Men Women District 9 Men Women District 7, 8 and 14 Men Women District 13 Men Women District 2 and 6 Men Women District 1, 3, 4 and 5 Cochabamba

5 4 5 5 5 5 5 4 5 5 4 4 5 4 5 5

1288 960 1235 670 573 653 1389 1001 1322 2234 800 1737 1803 1910 1829 1198

53 43 52 49 47 49 46 53 47 61 62 61 63 69 64 52

6 9 6 6 8 7 5 8 6 3 12 6 4 5 4 7

2710 2412 2658 2858 2641 2817 4300 4730 4341 4399 4157 4300 4185 8600 4921 3639

19 34 21 20 20 20 34 65 37 48 49 48 28 73 35 33

Source: Prepared by the author with data from the Survey “Household uses of drinking water with a gender dimension – women’s water rights”, 2004, CEPLAG-UNIFEM, Cochabamba – Bolivia.

highly contaminated and the tankers do not meet minimal health standards. A second source of supply is wells, most notably in Cochabamba. Most wells are dug without any technical standards, and may become a health risk if the water is contaminated, especially if the well is dug near latrines. The main problem is that sewage is deposited in oxidation chambers and septic tanks, often ownerbuilt and technically deficient. This contaminates the underground water in the aquifers which supply wells. Empirical evidence has shown that poorly located latrines or badly made septic tanks contaminate both the plot they stand on and surrounding areas, polluting the aquifers which provide “drinking” water. Differences in amounts spent by households not connected, who pay tankers for their water are dramatic, especially in the south-western peripheral areas, where the total family consumption volume is what a single person uses with a public water system connection. They consume about four times less per person than those who are connected to the system. In this inequitable situation, they pay 52 Bs. a month (US$6.50) for four times a smaller supply, whereas those who are connected to the public SEMAPA system pay just 44 Bs. a month (US$5.50) for 111 litres per person. Unconnected households’ total income does not cover their basic consumption needs, and they are undernourished overall. In addition to this objective condition of economic deprivation, there are the services that the State fails to provide. Palpable evidence shows that public investments in these areas have been

substantially lower than the people’s essential requirements. This has led to widespread contamination that creates health risks for all members, especially children, since their nutritional deficiencies prevent them from creating defences against bacterial aggressions, leaving them at high risk of illness and death, as shown in child morbidity and mortality rates. Given the characteristics of the population which inhabit these areas, the study findings represent the real situation of households whose material living conditions fall below minimum requirements for life, shelter and health. Water use rates are unquestionably alarming. Although households in these areas have improvised strategies to overcome their problems, actions are urgently required to extend water networks for this population. Another mechanism which these families have been shown to use is water recycling, which significantly increases their risks of morbidity and mortality. Outlying neighbourhoods have the highest deficits in consumption, which is undeniably a severe problem, due to the irreversible consequences in terms of damage to public health and life, particularly for children who fall ill and/or die from water-related problems. The costs of this extremely low water consumption shows how precariously these people are forced to live. They must pay between 5 to 12 percent of their total family income for an inadequate service. The poorest pay more for an inferior service, such as that provided by the tankers. A high incidence of infant mortality can be traced to diseases such as diarrhoea and gastro-enteritis, originating in insufficient or poor quality water, compounded with malnutrition.

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The statistics are clear: 35 infant deaths in the north compared to 112 infant deaths in the neighbourhoods in the south, for every 1000 children born alive. Access to water in Cochabamba has become an expression of segregation and physical marginality, and an indicator of poverty and inequity. The unequal spatial distribution of poverty is a major feature of Cochabamba’s urban structure, the water supply system is concentrated on those areas with more economic power. 3

CONCLUSIONS

One of the most significant research findings is the proof that lack of access to water supply does indeed affect women much more than men. Women, in response to the lack of household water supply, are forced to gather water several times a day. Women seek to overcome water supply difficulties using different alternative access mechanisms. Thus, their participation in neighbourhood organizations and water committees is increasingly important, aimed at guaranteeing the reproduction of their households. In Cochabamba, households connected to public or private networks average the highest family income levels. Households with public system connections are a selective population group, in general the highest-income segment. Female-headed households predominate among households not connected to the network, with lower incomes than those who are connected. As a mechanism to overcome their unmet demand in the edges of southern Cochabamba, women have played a key role in seeking alternative water supply sources. Some are organized in precarious private systems, in water committees, cooperatives, or through the purchase of water from a tanker lorry and are forced to administer it themselves. Water use is alarmingly low in the south-western edge of Cochabamba. Deficits become undeniable among women, whether they obtain public or private system supply, their consumption levels are the lowest. This results in dramatic consequences in health damage and in the time required to gather water. The factor conditioning lack

of access to a water supply connection concentrates on the non-existence of public systems near people’s homes. This makes it impossible to solve their problems through public and/or private service. Therefore, it is urgent to extend systems to zones that have no water supply. This analyse allow us to show that the southern outskirts of Cochabamba display the most alarming lack of basic services, acute shortages of indoor running water, too little consumption and terrifying deterioration in quality of life. This area requires special attention from authorities who design social policies to make both living and dying conditions less precarious, and to generate actions to attenuate precariousness in material living conditions and income disparity. Consensus-building is imperative among central and local authorities, as well as among different social stakeholders. The aim of extending basic sanitation to the poorest sectors and promoting an increase in gender equity in all possible ways, to construct and coordinate a strategy geared to reducing the time that poor people suffer is of highest concern. Currently, public water networks end where the poorest neighbourhoods begin. Therefore, the search for strategic, consensus-based, long-term solutions will be a prerequisite to construct humanely just and sustainable cities with gender equity. REFERENCES Instituto Nacional De Estadistica (INE) (1992 and 2001). Resultados Censo Nacional de Población y Vivienda. http://www.ine.gov.bo/ (accessed on June 20, 2004) Ledo Carmen (2005). Agua Potable a Nivel de Hogares con una Dimensión de Género: Derecho de las Mujeres al Agua en las Ciudades de el Alto, La Paz y. Cochabamba, documento Elaborado en Marco del proyecto Promoviendo y Protegiendo los Derechos de las Mujeres al Agua en un Contexto de Globalización y Feminización de la Pobreza, UNIFEM – CEPLAG, Cochabamba, Bolivia. Ledo Carmen (2002). Urbanisation and Poverty in the Cities of the National Economic Corridor in Bolivia. Case Study: Cochabamba, Delft University Press. SEMAPA, Estados Financieros – Gerencia Administrativa Financiera, 1997–2003, Cochabamba, Bolivia.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Privatisation and universal access to water: Examining the recent phase of water governance in Nigeria E. Okpanachi Department of Political Science, Faculty of the Social Sciences, University of Ibadan, Nigeria

ABSTRACT: Historically, the Nigerian government, or public sector, was solely responsible for Water Supply Provision (WSP) to the populace. Like other state-owned enterprises, funding for water infrastructure came from budgetary allocations and donor contributions rather than water tariffs and charges. However, the infrastructure was inefficient for service delivery and financially insolvent. In this paper, we examine the practice, or attempted practice, of privatisation, intended to promote Private Sector Participation (PSP) in water supply provisioning in order to enhance efficiency in water provisioning and to ensure delivery of safe water to the populace. The paper is guided by three major objectives: (1) to present the context and current developments in the water sector in Nigeria from 1999 to present; (2) to examine and explain the political economy of water resources provisioning and utilization; and (3) to identify and assess the costs of the relations between inefficiency and major institutional problems, in particular the governance problems bedeviling water service provisioning in Nigeria’s urban centres. Keywords:

1

Privatisation; water governance; access to water

INTRODUCTION: THE NIGERIAN WATER PROBLEMATIC PRE-1999

Nigeria’s development of the water sector has been based on the fact that water is a fundamental human right and essential for ecological and socio-economic development. However, notwithstanding the government’s determination to supply adequate water in both urban and rural areas, the water supply situation was characterized as a dismal performance by public agencies mandated to provide water for the vast majority of the population. The situation was also characterized by inefficiency, high operating costs, and low economic and financial returns on investment in water supply facilities (Ajayi, 2004). Nigeria has about 267.3 billion cubic meters of surface water and 52 billion cubic metres of groundwater. With proper harnessing, these resources can satisfy all of the country’s water needs. Since 1979, Nigeria has established 12 River Basin Development Authorities (RBDA) to ensure the optimum development of its water resources. Unfortunately, despite the potential and the huge investments, these needs went unsatisfied, as less than 10% of the country’s water were effectively exploited annually (Federal Republic of Nigeria, 2000). This failure is also reflected in the fact that only 50% of Nigeria’s urban population have access to safe portable water (FRN, 2000).

While successive governments in Nigeria have spent several billions of dollars to provide safe drinking water, most of these projects have not recorded appreciable success. Most local and state governments, whose primary responsibility is to provide water, have spent millions of Naira purchasing treatment chemicals for water that is unavailable. In response to rising operational and maintenance costs for water infrastructure, competing demands on public funds, and dismal performances by public water corporations, the state government has sought private participation in water supply development and management. In this paper, we examine and analyse this ongoing development in urban water governance in Nigeria. The critical point of departure is the status of water privatisation in water supply provisioning, namely after the return to civil rule in 1999.1 1

The term ‘privatisation’ is not used here in the conventional sense of “complete transferal of all assets from public hands into private, but loosely as Private Sector Participation (PSP) which refers to “a range of different arrangements, from the transferral of part of the assets in a concession, or transferral of management responsibilities, in the case of management contracts or lease contracts” (Roaf, 2006. p.14). The privatisation of state-owned enterprises (SOE) in Nigeria effectively commenced in 1988 with the promulgation, by the Federal Military Government, of Decree No. 25 on Privatisation and Commercialization in July 1988 to give legal backing to and

619

2

METHODOLOGY

Data for the study was collected from archival and documentary sources, as well as unstructured interviews. Case studies of two states that have embarked on water privatisation, Lagos and Zamfara, were used to contextual the ebbs and nuances of water privatisation in the country. These case studies were analysed to help understand the broader structure and power relations within which institutions affecting access to water emerge and evolve, as well as the outcomes of water sector reforms in the case study states. The paper examines water sector reform, taking special note of the critical governance challenge and the role of political institutions and actors in water service provisioning. 3 WATER PRIVATISATION IN LAGOS AND ZAMFARA 3.1 Water privatisation in Lagos Lagos is Nigeria’s most prosperous city, and much of the nation’s wealth and economic activities are concentrated there. According to the preliminary results of the 2006 census, Lagos state has a population of 9,013,534 while there are 7,937,932 inhabitants in Metropolitan Lagos.2 The water needs of the city are therefore enormous. Even though the privatisation of water in Lagos State came to the forefront in 1988 when the Lagos State Government (LASG) instituted the reform of the water sector and sought the assistance of the International Finance Corporation (IFC) in refurbishing the government managed Lagos State Water Corporation (LSWC), reforms since 1999 by the LASG in the water supply sector which seeks to encourage Private Sector Participation (PSP) in what historically was the monopoly of LSWC, is the first time formally initiated Nigeria’s privatisation and commercialization program. The privatisation program was suspended in 1993 and a second phase launched in 1998, the implementation of which commenced with the advent of a civilian regime in 1999. However, water privatisation is still in its infancy in Nigeria and only few of the country’s 36 states are privatizing their Water Schemes and Systems. 2 Metropolitan Lagos, a statistical division now often being used synonymously with the word Lagos, extends over 16 of the 20 local government areas LGAs of Lagos State, and contains 88% of the population of Lagos State, Nigeria’s former federal capital. The population of metropolitan Lagos ranges from 209,437 for Lagoos Island, the historical centre and commercial core of the Lagos agglomeration, to as high as 1,277,714 for Alimosho Local government. Metropilitan Lagos has a land area of 999.6 Km2 , and density in h.per km of 7, 941. For a deeper profile of Lagos, see http. en.wikipedia.org/wiki/Lagos.

that official encouragement and formal recognition is being accorded the private sector in water service provision (WSP) in Lagos State or anywhere in Nigeria (Coker 2004).3 Before this period, the LSWC was characterized by Underutilized Production Capacity of approximately 47%; dismal financial position evidenced in huge tax liabilities of N5.4 billion, labor liabilities of 561 million, debt of $85 million; increasing loses and a near-zero net assets; and absence of financial controls (absence of formal basic accounting system, ineffective system of internal controls and irregularities and fraud) (Coker, ibid.). The overall goal of the Lagos State initiative was to promote PSP whereby the government would relinquish the management and operation of these services to the private sector while retaining ownership of the entity (Kalu, 2003). The objectives of the PSP were: (a) to bring technical and management expertise and new technology into the water sector; (b) to improve economic efficiency in the sector both in operating performance and the use of capital investment by adopting commercial principles and practices; (c) to inject large-scale investment capital into the sector or gain access to private capital markets to free government funds for other projects; and (d) to make the water sector more responsive to customers’ needs and preferences (Coker, op.cit.). 3.2

Current situation

As observed at the Consultative Forum for Lagosbased Civil Society Organizations (CSOs) active in the water and sanitation sector, the “Lagos Model” of PSP in the water sector is quite different from the cases of wholesale “privatisation” of communal water companies that have been undertaken in some other cities of the world. Instead, Lagos aims at watersector PSP on a much smaller scale, preferably through 3

There has always been unofficial private participation in water supply delivery such as the ubiquitous water vendors using water tankers and other delivery mechanisms. 4 The Lagos privatisation was supported by the World Bank especially through its Nigeria Second National Urban Water Sector Reform Project. The project designed to be implemented in Lagos and Cross Rivers States was approved on July 1, 2005 and it aims to improve reliability of water supply produced by the water treatment works in Lagos, and improve commercial viability of the urban water utilities in the State. The Project emphasizes financing for water system rehabilitation, increasing treatment capacity and adding household and standpipe connections. The Project’s components were selected on the basis of, among other factors, the observation from Cross River State that private sector intervention is a proven methodology for restoring financial sustainability.

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local entrepreneurs. The emphasis is on key factors for PSP processes such as accountability, customer orientation, poverty responsiveness, power-balanced partnership, proactive risk management, resource conservation, results orientation, shared incentives, socially responsible financing and transparency.5 The current position is that the water company has been corporatized along commercial principles, but there remains much confusion about exactly what form of privatisation is being practiced. A new law was passed in 2004 and created a holding company with a number of subsidiaries (Hall, 2006). Apart from breaking up the LSWC into six subsidiaries and changing its nomenclature from LSWC to Lagos Water Corporation (LWC), the new law also sets out fresh regulatory guidelines for operators in the sector, part of which will be undertaken by the private sector (The vanguard (Lagos) November 29, 2004). Having failed to attract international water multinationals due to vocal contestation of the privatisation program by both local and international water coalitions and the lack of interest of the multinationals who had hitherto indicated interest arising from their realization that there was in fact little profit to be made from business which required a great deal of financial resources, but which would bring minimal returns and only over the long-term (Roaf, 2006. p 11), the aim has been “to target domestic Nigeria investors …. while equally encouraging them to seek partnership with international water sector operators”. Presently, the general policies of the LWC are determined by a Board of Fifteen Directors, two of whom are executives. The challenges for the year 2008, will be how to aggressively improve on operations through the metering of properties in partnership with the private sector, construction of 15 new waterworks, and construction of a dedicated power plant for sustainable production.6

with the creation of Zamfara State, the population of Gusau and its environs continued to increase significantly thus the demand for water for domestic and industrial uses keep going up. Further more, the Gusau Water Works was faced with problem of the issue of the drying of the barrage due to silting thereby causing untold hardship to the people (Yarima, 2005). Against this background, the new civilian government that was elected in 1999 was confronted with the problem of water supply and its distribution in Gusau City. By far the greatest reform to ensure adequate potable water to the people in Gusau and other urban centers in the State was the ceding of the Zamfara State Water Board to a company, ITALCO the Builder Nigeria Limited (herein referred to as ITALCO) to manage. Under the contractual agreement between the state government and ITALCO, the government owned Zamfara State Water Board (ZSWB) was changed to Zamfara State Water Agency (ZSWA) to emphasize its new status as a privately controlled organization. Under the contract, ITALCO (or the Consultant) shall take total control of commercial, administrative, financial and revenue generation activities of the board and ensure enhancement of revenue generation by the Agency. Powers given to the Consultant to enable him revitalize the state ZSWA include that the staff of the Agency must be sufficiently qualified to perform the work to the satisfaction of the consultant, who shall have the right at any time, after a written notice of such intention, to reject any staff member who in his opinion falls short of the standards required for the efficient operation of the project. It also included that the Consultant shall as soon as practicable, but within one month, replace such staff member. The agreement also provided that the “existing staff shall be fully utilized by the Consultant and shall be under his control (Daily Independent (Lagos), July 7, 2007).

3.3 Water privatisation in Zamfara Zamfara State is one of the newest states of the federation created out of Sokoto State on October 1, 1996. The State is made up of 14 local government areas. Its biggest and largest urban city is the capital city of Gusau. According to the 2006 Nigerian population, Zamfara state has a total population of 3,259,846. Gusau, the state capital, has a population of 383, 162 (NPC, 2006). The Gusau Water Works and the Barrage were meant to serve the population of a Local Government, which is Gusau Local Government. However, 5

See, Private Sector Participation in Lagos Water Supply. http://www.boellnigeria.org/lagoswater.html. Assessed on May 4th, 2008. 6 See, 2007 End of Year Message to Staff of LWC by Shayo Holloway Group Managing Director of the Lagos Water Corporation. http://www.lagoswater.org/news.php#. Assessed 30th April, 2008.

3.4 Current situation By May 2007, Mr. Renato Sala, the chief Consultant of ITALCO, has had at least three altercations with either his local members of staff or the new government instituted on May 29, 2007 on how his contract will be executed. In July 2007, he sacked the Managing Director of the ZSWA along with two other management staff after he accused them of corruption and inefficiency. Based on a petition written by the suspended officials, the Zamfara State House of Assembly later intervened and cleared the officials involved. On the other hand, ITALCO was relived of its position as Consultant to the State Water Board and an Interim Management Team instituted by the new government of Governor Mahmuda Shinkafi. Key impetus for the sack of the Consultant was his inability to proffer solutions to water scarcity in Gusau, after about four years in operation, a failure that generated

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Table 1. Nigeria Millennium Development Goal targets for drinking water. Access to improved drinking water sources Estimated total coverage for:

Total (%)

Urban (%)

Rural (%)

2004 2002 1990

48 60 49

67 72 80

31 49 33

Source: WHO/UNICEF Joint Monitoring Programme (JMP). cf.http://www.dfid.gov.uk/mdg/water/water-nigeria.asp#stats

anger and revulsion against government and the Italian Consultant among the people in the town. 4

RESULTS AND DISCUSSION

According to the United Nations Development Programme (UNDP) 2006 Human Development Report entitled “Beyond Scarcity, Power, Poverty and the Global Water Crisis’, Nigeria is off-track from the Millennium Development Goal (MDG) targets towards universal access to water. The report revealed that Nigerians might not have adequate access to safe water at an affordable cost until 2046. This view was recently reiterated by Nobel Laureate Professor Wole Soyinka, who averred that well over 75% of the country’s population did not know what the word “potable” meant, because they did not have access to a quality water supply [The Punch (Lagos), April 29, 2008, p 10]. In spite of water sector reforms during the past nine (9) years of democratic rule, urban water provisioning is still poor and access seems to be declining (Table 1). From our two case studies, it is clear that private sector participation in water delivery systems has not been the magic wand that was hoped for. True, as it has been acknowledged, lessons from Lagos indicate that the PSP and the attendant restructuring has resulted in improved revenues, lower operational costs, improved efficiency, and profit ability (Ademola & Jerome, 2004). The Company generated revenues of N1.54bn in the 2001, up from N874m at the start of the PSP implementation in 1999. In the same vein, operating profit was N553mn in 2001 compared to a loss of N296mn in 1999 (Ademola & Jerome, 2004). Also the water output increased from 339.32 million litres in 2000 to 377.66 million litres in 2001 (Olukoju, 2003). The LSWC and the new operator, the LWC, also carried out house-to-house re-enumeration to correct the corporation’s database system, which would ultimately lead to proffering lasting solution to its billing system, and enable the corporation identify its properties, establish its distribution lines and determine

the problem areas (This Day (Lagos), November 16, 2004). In spite of these ‘success stories,’ daunting challenges remained. For instance, the corporation, which has a pile of debts to settle with the World Bank and the Federal Ministry of Water Resources and Rural Development, still needs between $1.8 billion and $2 billion over fifteen years to update existing infrastructure and ensure the optimal provision of water (Olukoju, op.cit.). Significantly, the LWC’s present capacity to meet increasing water demands and deliver water, especially to the poor, is still severely limited, as indicated by the huge discrepancy between water demand and water supply (Table 2). The water supply situation in Lagos still leaves much to be desired (Olukoju, 2003). The difficulty in providing universal access to water is reflected in the increasing use of self-help strategies such as the recourse to unhygienic streams and well water or to unregulated private sector water alternatives, such as private boreholes and ‘pure water’. ‘Pure water’ refers to water supposedly treated in small plastic packages, which are sold on the streets, particularly at motor parks and similar public places, with questionable standards of purity. Dr. Udoma Mendie of the College Medicine, University of Lagos, reached startling conclusions in his study entitled “Cyclical Growths of Contaminants in Drinking Water Packaged in Polythene Bags.” Laboratory analyses of 100 polythene pouches of “pure water” from ten producers showed that various microbes contaminated them all, including: Staphylococci (3%); Bacillus species (70%); Escherichia coli (8.2%) Pseudomonas species (7%); and Klebsiella aerogenes (11.8%). There were no traces of salmonella or Shigella species. Mendie’s survey revealed that most of the producers of ‘pure water’ carry out their operations under very unsanitary conditions; the workers are deficient in personal hygiene and do not use protective clothing and face masks. In addition to the danger of improper and unhygienic preparation, there was the peril of additives leaching from the polythene pouches into the water [The Punch (Lagos), February 4, 2003, cf. Olakoju, op. cit]. While some positive, albeit limited, progress has been made in Lagos as a result of the incorporation of PSP in water management (Ademola & Jerome, 2004), the situation in Zamfara State is distastefully different. As noted earlier, during Governor Yarima’s last term in office (2003–2007), a period that coincided with the management of the ZSWA by ITALCO, Gusau, the state capital, suffered an acute water shortage unseen in decades, and many attributed it to Mr. Sala and his company ITALCO (This Day (Lagos), December 27, 2007). Apart from the acute water shortage leading to repeated outbreaks of cholera and gastroenteritis, concerns over the handling of the water board by ITALCO

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Table 2.

Historical, current, and projected water revenues for LSWC (2000–2025).

Volume and Revenue Projections

2000

2003

2007

2020

2025

Water Demand (MLD) Water Supply (MLD) Annual Value of Water Supply (N’m) Annual Revenue from Water Supply (N’m) Assumptions: Supply/Demand (%) Revenue/Value of Water Supplied (%)∗ Market Coverage∧ Lagos’ Population (millions) Consumption (litres per person per day) Total Consumption (litres per day) Supply (litres per day)

668.40 267.36 4,879.32 600.17

956.48 430.42 7,855.10 927.34

1,405.39 702.69 12,824.17 2,564.83

3,901.16 2,925.87 53,397.19 26,698.60

5,347.20 4,277.76 78,069.12 58,551.84

40% 12% 40% 12.5 30 375 150

45% 12% 45% 15.0 32 477 215

50% 20% 50% 17.4 36 631 315

75% 50% 75% 23.0 51 1,167 875

80% 75% 80% 25.0 60 1,500 1,200

∗

as a proxy for revenue collection efficiency as a proxy for water delivery efficiency

∧

(CEO LSWC. Cf. Hall, 2006)

was tragically brought to the fore when the Gusau Barrage Dam collapsed in September 2006, leaving about 1,000 people homeless and destroying farm lands and residential buildings. The reservoir held by the Barrage Dam was the main source of treated water for the Zamfara State capital, Gusau, and its environs. The dam’s embankments had been neglected for years, during which time they developed major structural weaknesses. ITALCO was mandated to refurbish the dam to an appreciable standard, but could not do so before the dam collapsed and afterwards. According to officials of the ZSWA, the dam collapsed because the sluice gates used to let water out of the reservoir failed to function, causing the rain from a heavy, twoday downpour to overwhelm the dam (IRIN News, 6 October, 2006). However, ITALCO blamed dam gate operators for sabotaging their efforts and deliberately failing to open the gate to reduce the volume of water in the dam.7 Thus generally, from the two case studies, even though there are great variations in the models, the process and success of privatisation, there is a general agreement that water privatisation has failed to provide and develop the services and the infrastructure required for universal water provisioning to citizens. Today, water supply systems in these states are still unreliable and under-developed. This disappointment of private provision of this service is emphasized by the inefficient costliness of the attempts to provide substitutes. The results are a constant threat to the health of 7

See, Mahmoud Muhammed. 2006. “Towns, Villages Cut Off As Dam Collapses In Zamfara” Leadership Newspapers (Abuja) at http://www.leadershipnigeria.com/product_info. php?products_id=9680&action=process&osCsid=f5ebaea 217f23c15ea62860eeuilder Nigeria Ltd. Assessed May 3, 2008.

the entire population, a perpetuation of unmet basic needs of the poor, and a steady deterioration of the environment. How can we account for the debilitating water paradox in Nigeria? The privatisation of water provisioning in Lagos and Zamfara has been plagued by a series of problems that explains the poor performance and low productivity. Three of the problems are apt for our purpose here. First, the privatisation process lacked public ownership, as the projects were never people-driven or people-centered. For example, in Zamfara, no one was consulted before the governor brought in ITALCO to manage the Water Board.8 The situation in Lagos State, although less opaque than that of Zamfara State, also revealed the same deficiency. As argued previously, the process leading to the adoption of the PSP in Lagos was considered to be non-participatory because “there has been no public hearing on the Bill and this demonstrates the lack of transparency and participation of citizens in the public affairs.”9 This point was 8

Interview with a staff (Names with held) of the Zamfara State Ministry of Water Resources on April 25th 2008 at the Zamfara State Secretariat, Gusau. As claimed by the staff interviewed, Mr. Renato Sala, the Italian Chief Consultant of ITALCO did not have any expertise in the area of water management. He was merely picked by Governor Yarima in order to grab lucrative business for himself and the governor as well as to help Yarima to divert public funds and stash it away in foreign countries. That is why he was a general contractor for Zamfara state, managing almost every sector of the state’s economy from water to education, and as a consequence, that was why his activities are shrouded in utmost secrecy, reflected for example in the absence of annual report for the ZSWA. 9 See “Communiqué at the Roundtable on the Bill for a Law to Provide for the Lagos State Water Sector. The round table

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well-elaborated by the Civil Society Coalition Against Water Privatisation in Nigeria (CISCAWP Nigeria), the alliance of community-based organisations and non-governmental organisations campaigning against the water privatisation schemes financed by the World Bank in Nigeria, particularly by the Lagos and Cross River State Governments. According to the coalition, the privatisation policy, besides coming short on according greater recognition to citizens’ basic rights by government, was never exposed to popular debate, consultation, discussion or approvals by grassroots organizations that represent the peoples of the state, including water users and consumers, workers, women and children groups, labor and trade groups, civil society groups, and private firms. There was an unacceptable lack of transparency, openness and inclusiveness in the development of the project, with no documents available for scrutiny, and legal frameworks for the involvement of private sector - the “Lagos Water Sector Law 2004” -being passed secretly and hurriedly by the State House of Assembly without a public hearing, and worse still, hurriedly signed into law by Governor Ahmed Tinubu the same date-July 29 2004 – that the Lagos State House of Assembly passed it into law (Babalobi, 2005). Given this scenario, there was a lot of distrust of the privatisation program by civil society organizations and this deprived the scheme the sense of joint stake-holding to imbue it with legitimacy and make it work. Second, water supply and sanitation problems in Nigeria today cannot be divorced from the challenges of urbanization today and the attendant state incapacity to managing it, especially in developing countries. The issue of urban poverty globally, especially in the “global south” has further aggravated the decline in the provision and affordability of water supply in several countries including Nigeria. In the last half of the century, most cities of the world were emerging as centers of deepening poverty with a significant of the world’s poor living in cities (Mabogunje, 2001). While 75% of the developing world’s poor still live in rural areas, the share of the poor living in urban areas is rising, and more rapidly than for the population as a whole. Today water problems in urban centers may even be magnified given current and projected global trends in urbanization. For instance, according to the UN, the year 2008 will mark a watershed in the complex and ongoing urban revolution as more than 50 percent of the world’s people will leave in urban areas. At the current rate of urbanization, the urban share of the global population could reach 60% by 2030.

Also, some 75% of the city dwellers will live in developing countries and this figure is expected to rise to 80% in 2030 (UNPF, 2007). For Nigeria, Africa’s most populous country, the demand this burgeoning urban population will make on water has been tremendous. The challenges of urbanization is more daunting particularly in countries where government is weak and institutions and policies are faltering, leading to increase in urban poverty. Nigeria is a tragic exemplar of countries where governance and it institutions have failed the citizens. This is reflected, for example, in the current rate of poverty in the country today, itself a reflection of the difficulty many Nigerians pass through with regard to basic amenities such as water and sanitation. By many counts, Nigeria ranks among the most resource endowed countries of the world despite its enormous resources however, it is estimated to have one of the largest populations of the poor in the world, ranking 158th out of 177 countries in the world in terms of overall human development in 2007 (Human Development Report, 2007). This leads us to perhaps the core of the problem bedeviling universal access to water either through privatisation or public sector provisioning in Nigeria. The pathetic state of Nigeria’s water, just like other utilities, is largely attributable to bad politics and governance failure across the country. As the UNDP noted, “the scarcity at the heart of the global water crisis is rooted in power, poverty and inequality, not in physical availability”. Water deficit is “rooted in institutions and political choices, not in water’s availability” (UNDP, 2006. p. 2). As averred by Rijsberman (2004) ‘water crisis’ in societies “is a crisis of governance and management” because this condition occurs mostly in a society where the government is corrupt and dysfunctional. At issue here is the diversion of funds meant for water sector funding in different states of the federation. In many states, there have been accusations that the huge allocations given to the Water Ministry are merely diverted by the states’governors for private use. State governors are accused of allocating huge sums of money in the budget to the sector, capitalizing on the importance of the sector to the citizens, only to divert same into their personal pockets away from the uses it was originally meant for. This sort of accusation has been very rampant in Zamfara State, where many believe that ITALCO, the manager of the ZSWB is a front which governor Sani Yarima uses to siphon public funds for accumulation and the funding of his presidential ambition.10

was organized by the Pan African Vision for the Environment (PAVE), the South-West Coordinator of the National Civil Society Network on Water and Sanitation with the support of the Heinrich Böll Foundation (HBF) on the 11th November 2004.at the Heinrich Böll Foundation, Lagos.

10

Governor Yarima emerged as the hot favorite to get the all Nigeria’s People’s Party (ANPP) presidential ticket in the 2007 general elections. He was believed to have amassed a lot of resources to sway party supporters to nominate him through patronage and the free and generous use of

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This allegation seems to be buttressed when the EFCC, one of Nigeria’s anti-corruption agencies arrested and detained several senior officials of Zamfara state for questioning in relation to allegations of money laundering. Mr. Renato Sala, the Italian Consultant of ITALCO, the Managing Director, and Director of Administration & Finance of the ZSWA were among those interrogated by the EFCC in connection with their roles in the misuse of money allocated for the provision of water. The governor, the dramatis personae in the whole saga, could not be arrested at that time because of the constitutional immunity from criminal prosecution granted to Nigerian state governors. However, in a report presented by Nuhu Ribadu, the Chairman of the EFCC, to the National Assembly in 2006 on corruption in the country and the pathetic role of state governors in the development, he (Nuhu Ribadu) described governance in Zamfara state as a “tragedy”’ and accused governor Yarima of “direct stealing” Zamfara state public funds. Although the governor has vehemently denied this allegation, the accusation that governor Yarima dipped his hands into state coffers, especially funds meant for the state water agency, is a popular idea in Zamfara state.11 government resources. Many believed he lost the primaries not because he lacked the political resources (which in Nigeria’s evolving democracy means largely the financial resources a particular candidate can muster) but merely that party leaders appealed and begged him to step down for the candidature of the retired army general and one time party presidential flag bearer Muhammed Buhari. 11 The point about the corrupt practices of Governor Yarima, even though difficult to prove, was well raised by a large cross section of people I interviewed in Gusau including officials of the State Ministry of Water Resources and the ZSWA. Many of those interviewed were keen on establishing a causal relationship between the governor’s financial impropriety and the poor state of water in Gusau and other towns in the State. The popular cliché is that the privatisation process was largely unsuccessful in part due to a lack of political will on the part of Governor Sani Yarima to change power structures and systems of privilege. In other words, privatisation has not managed to side-step the issue of corruption, or bad politics which has been the bane of public management of the water sector. For a documented view on this issue, see for instance a newspaper advertorial by the Zamfara State branch of the Democratic People’s Party (DPP), an opposition Nigerian political party with a considerable followership in the northwestern part of Nigeria. The Party, in reaction to Governor Yarima’s denial of allegations of corruption against him by the EFCC chairman, averred that “siphoning the wealth of Zamfara state and avoiding the scrutiny of internal procedures is a common feature of Zamfara State government. Contracts are funded through deductions at source in order to run away from internal procedures, and companies, many of them only recently registered and with funny names such as “Italco the Builder” were awarded hundreds of millions of Naira contracts”. The DPP then argued that it is this high profile stealing that explains the cash and carry tactics of

5

CONCLUSION

There is a general agreement that water provisioning through privatisation in Nigeria has failed to provide and develop the services and the infrastructure required universal access to water. Today, water supply systems remain unreliable and under-developed. This disappointment is emphasized by the inefficiency and costliness of attempts to provide substitutes. Subsequently, a large proportion of poor households continue to draw water from unhygienic sources. The experience of Lagos and Zamfara indicated that water service provision is bound up in local political contexts. These case studies also hinted at the local politics of the water sector, and how they relate to the wider debate on citizenship. The two case studies of water privatisation revealed that the Lagos Model was more open than the Zamfara State model that was significantly influenced by the personality of the Consultant and the Governor. This high-level opacity, institutional deficiency, and absence of regulation could explain why the reform has not improved access to water. Rather, it has created additional burdens, especially on the poor, as reflected, for example, in the collapse of the Gusau Barrage Dam in 2006, and the cholera and gastroenteritis outbreaks in the state capital, Gusau. It should be emphasized, as Prasad (2007b) did, that the PSP debate should be re-thought, though not in terms of private versus public, but instead within a general reform context. In spite of the relative success of the Lagos Model, the lessons from both contrasting cases have buttressed the statement that “when considering access to services for the poor, it has been found that it is largely irrelevant who manages the services, as urban water utilities are not generally reaching the most vulnerable and marginalized groups. The majority of sector reform is still failing to address this crucial issue, whether public or private management or ownership is advocated” (Gutierrez et al. 2003 in Roaf, 2006). Above all, there is need to seriously consider governance issues in water management and define a

government, the fact that the governor could maintain cronies the whole nation with his portraits, spending millions of Naira “renting” structures that were painted with his portraits; the scores of vehicles distributed across the country for his illconceived presidential campaign; the ‘donations’ of several millions of naira by his accomplices who only a few months ago have no credible or even visible means of livelihood; and the governor’s renowned personal extravagance, when he was not known to have any concrete source of personal income prior to the assumption of public office. See Democratic People’s Party (Zamfara). 2006. “The Facts Behind the Deception–Governor Ahmed Yarima’s Challenge to EFCC” Daily Trust (Abuja), October 11, 2006. p. 20.

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sound regulatory mechanism, which does not compromise the delivery of services, ecology, and citizenship. The key challenge to resolving Nigeria’s water’s paradox is how to transcend the specter of what has been described as “catastrophic governance,” that is, “the endemic practices that steadily undermine a country’s capacity to increase the supply of public goods” (Joseph, 2003) that presently faces the country. Without that capacity, water sector reforms, irregardless of their names, will be merely chasing their shadows, while leaving the substance. REFERENCES Ajayi, O. (2004). Public-Private Sectors Linkage in Water Supply Provision: Role of Civil Society Organizations in Lagos State, Nigeria. Paper presented at the Consultative Forum on Current Trends in Private Sector Participation in Lagos Water Supply: What Roles for Civil Society Organizations by the Heinrich Böll Foundation, Tuesday 20th October at Ikoyi, Lagos Nigeria. Ariyo, A. & Jerome, A. (2004). Utility Privation and the Poor: Nigeria in Focus. Global Issue Papers, No. 12. July. Berlin: Heinrich Böll Foundation. Babalobi, B. (2005). Water is Life. Address Delivered by Mr. BABATOPE Babalobi, Coordinator, Civil Society Coalition Against the Privatisation of Water in Nigeria. (CISCAWP NIGERIA) to Mark World Water Day. Bloom, D. & Khanna, T. (2007). The Urban Revolution. In: Finance and Development. September. 44(3): 15 –19. Coker, O. Reforming the water sector in Lagos state: The Lagos Model. Paper Presented at First Engagement: Roundtable on Private Sector Participation in Lagos Water Supply. Lagos: Heinrich Böll Foundation. May 10. DFID. Millennium Development Goals (Environment, Water and Sanitation): water and Sanitation – Nigeria. http://www.dfid.gov.uk/mdg/water/water-nigeria.asp#stats (accessed May 4, 2008). Democratic People’s Party (Zamfara) (2006). The Facts Behind the Deception – Governor Ahmed Yarima’s Challenge to EFCC. Daily Trust (Abuja), October 11, 2006, 20. Federal Government of Nigeria (2000). Obasanjo’s Economic Direction, 1999–2003. Abuja: The Presidency. ——(2006). Population Census. Official Gazatte (FGP 71/52007/2,500(OL24): Legal Notice on Publication of the Details of the Breakdown of the National and State Provisional Totals 2006 Census. http://www.nigerianstat.gov. ng/Connections/Pop2006.pdf

Hall, D. (2006). Water and Electricity in Nigeria. PRISU, University of Greenwich, September. http://www.psiru.org/ reports/2006-09-WE-Nigeria.doc Imam. I. (2007). Nigeria: In Zamfara, Proxy War Rages. This Day (Lagos). 24 December. IRIN NEWS (2006). NIGERIA: Officials Fear Water Crisis for Thousands. http://irinnews.org (accessed May 3, 2008) Joseph, R. (2003). State, Governance and Insecurity inAfrica. Democracy and Development – Journal of West African Affairs. 3(2), 7–12. Kalu, P. (2003). Drivers of Change Report. A Case Study of the Lagos State Water Corporation. Agenda Consulting Ltd for the Department for International Development, June. Katefe, K. & Affe, M. (2008). Nigeria is a knocked Engine that needs repair – Soyinka. The Punch (Lagos) April 29, 2008. Mabogunje, A. (2007). Thirty Years After: Reflections on the Development process in Nigeria. Ibadan: The Faculty of the Social Sciences. Njoku, J. (2004). Why the Legislation was Hurriedly Signed. The Vanguard (Lagos) November 29, 2004. Olukoju, A. (2003). Infrastructure Development and Urban Facilities in Lagos, 1861 –2000. Ibadan: French Institute for Research in Africa (IFRA) Prasad, N. (2007a). Social Policies and Water Sector Reform. UNRISD Markets, Business and Regulation Programme Paper No. 3 September 1. http://papers.ssrn.com/sol3/ papers.cfm?abstract_id=1025445 ——. (2007b). Privatisation of Water: A historical Perspective. LEAD: Journal Law, Environment and Development Journal, 3(2): 217–235. Rijsberman, F. (2004). Sanitation and Access to Clean Water. In: Global Crises, Global Solutions, Lomborg, B. (ed.). Cambridge: University Press Roaf, V. (2006). After Privatisation: What Next? An Assessment of Recent World Bank Strategies for Urban Water and Sanitation Service. Global Issue Papers, No. 28. March. Berlin: Heinrich Böll Foundation. English Version Salisu, I. (2007). Zamfara Water Board and the Rumble Within. Daily Independence (Lagos) July 9. Ugoh, N. (2004). Why LSWC Re-enumeration Was Conceived. This Day (Lagos). November 16. UNDP. 2006. Human Development Report 2006- Beyond Scarcity: Power, Poverty and the Global Water Crisis. http://hdr.undp.org/en/reports/global/hdr2006/ United Nations Population Fund. (2007). State of the World Population 2007: Unleashing the Potentials of Urban Growth. New York: UNPF.

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Learning from non-governmental organizations (NGOs): Community participation in water facilities provision in the Ho District of Ghana F.S. Gbedemah Department of Geography, University of Leicester, Leicester, UK

ABSTRACT: The role and importance of Non-Governmental Organizations (NGOs) in development undertakings is being realized the world over. In Ghana, NGOs are regarded as a third sector in national development. They are said to be innovative, responsive, and flexible to projects they support. World Vision Ghana (WVG) is one such NGO that has delivered services and facilities to communities in agriculture, education, health, water and sanitation facilities. This paper attempts to show activities of World Vision Ghana (WVG) in its Community Development Projects (CDP) in the Ho district with special emphasis on community participation in water provision. Results were obtained through focus groups, questionnaire administration and observation. Findings are on the participation of the communities during the various stages of the project. Factors accounting for the success and failure of the projects are also shown. Indeed some of the people in these communities now enjoy portable water and sanitation facilities, however, the communities are no longer benefiting from the facilities. The study recommends constant interaction between officials of project sponsors and the beneficiary communities even after the phasing-out of the projects for sustainability. Keywords:

1

Community participation; community development; NGOs; water

BACKGROUND TO THE PROBLEM

Urbanization in Ghana is increasing at the rate of 2.5 percent per annum (Ghana Statistical Service, 2000) however; about 68 percent of the population still reside in rural areas. Ghana’s rural areas are faced with many problems, including an inadequacy of health care, poor sanitary and educational facilities, inadequate productive ventures and poor water. Development projects have been undertaken to alleviate human suffering and promote general development in the rural areas by World Vision Ghana (WVG) and other non governmental organizations (NGOs). The growth of these private non-state actors and voluntary organizations over the years, especially over the last two decades has placed the NGO sector in a precarious position. Governments have given recognition to NGOs as very important partners in development (Boateng, 1996). The NGO community has been recognized in Ghana and abroad as a third major sector in national development with substantial funds from both multilateral and bilateral donors. Thus, in a situation where governments are now being looked upon more as policy makers and less as providers of amenities, we cannot afford to ignore the contributions NGOs play in our developmental efforts.

Indeed, the acknowledgement of the importance of NGOs in development is highlighted in the Vision 2020 document of Ghana (GoG, 1995). This recognition has led to an increase in the number of NGOs in the country, increasing from 80 in 1980 to 350 in 1986. By 1996, they rose to 652 and were 1,211 in 2000. The current estimates are around 1,500 NGOs including foreign ones (Government of Ghana, 2006). NGOs are believed to be best equipped to mobilize the community for action and are often rooted in, and interact with communities that are poorly served and difficult to reach through government channels (Igoe, 2003). Indeed, NGOs are said to be innovative, responsive, and flexible to programmes and projects (Agarwal, 2003). Despite the good works of NGOs, they still face criticisms. Smith (1987) observed that NGOs are not as angelic as they portray themselves to be. They are often faced with the problem of cultural barriers especially those with foreign staff, logistics, foreign funding, co-ordination and evaluation. Some parade the corridors of donors painting bad images of the people and the communities they operate in. All these are done with the sole aim of soliciting funds to develop these very communities they “painted black”. It is a well-known fact that development NGOs provide direct assistance to communities. Although

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community participation in the provision of physical facilities was usually high and an emphasis placed on building human resource capabilities, little or no attention is placed on building a self-sustaining community development after the phasing out of the project. The different community management committees put in place have been found to be ineffective in some areas due to lack of motivation and resources to carry out their tasks. NGOs are also said to experience difficulty in generating a genuine self-help decisionmaking capability (Bratton, 1989; Narkwiboonwong and Tips, 1989) and even though development activities improve the life of people in the communities, people do not participate in it in a trivial manner (Noe and Wilky, 1993). Institutional, cultural and individual factors may account for the lack of participation in development activities (Edoho, 2001). For a community to experience development in the form of provision of essential facilities like water, all these ingredients come into play and disambiguating these factors will help in allocating appropriate resources for the benefit of the community. Many studies have been conducted observing participation in development activities (Bailey and Zerner, 1992; Berker, 1995; Kumekpor and Kumekpor, 1998; Abu-Zeid, 1998). However, lacking in all of them, is the failure to incorporate activities of NGO in the provision of water facilities. In addition, most of these studies were administered just after the completion of the projects. No long-term impact study on forms of participation and how this relates to sustainability of the facilities has been done. Further, current debate revolves around the extent to which participation leads to sustainability of projects (Nelson and Wright, 1995). In terms of evaluation, Riddell and Bebbington (1995) noted that NGO staff typically focused on what has happened during the project cycle, rather than on longer-term trends. The identification of the extent to which self-help capabilities have been sustained after the NGO has left, together with a review of the ways in which the lessons learned have been incorporated into the NGOs current methods of operation, are likely to provide insight into the possibilities of future successes. This study is aimed at discovering how participation in project initiation, implementation and management by people in communities where WVG worked has helped in the sustainability of these projects, as well as the wider effects it has on development capabilities. 1.1 The study area The study area is the Ho district of the Volta region. It can be located between latitudes 6 20 N and 6 55 N and between longitudes 0 12 E and 9 53 E. The study was conducted on three projects assisted by WVG.

These projects are Adaklu-Hasu Community Development Project (CDP), Agortime-Agbesia CDP and Sokode-Afifekope Development Project. Facilities provided in the communities include day care centres, Primary and Junior Secondary Schools (J.S.S), clinics, improved pit latrines and the construction of wells and bore-holes with hand pumps. 2

METHODOLOGY

The study employed a “mixed methodology” (Tashakkori and Teddlie, 1998) or triangulation technique (Frankfort-Nachmias and Nachmias, 1996) to gather data for analysis. This method was used because there is a “certain degree of method specificity in each form of data collection” (Frankfort-Nachmias and Nachmias, 1996, 205). Further, Fiske (1986, 62) argued that “knowledge in social science is fragmented, is composed of multiple discrete parcels. . .. the separateness or specificity of those bodies of knowledge is a consequence, not only of different objects of inquiry, but also of method specificity” calling for its use to gather data on participation in water facilities provision in the Ho district. An interview schedule was used to collect the primary data which combined both closed and openended questions. Informal discussion was also held with chiefs and elites in the communities. Focus Group Discussion (FGD) were held for members of the beneficiary communities. Ten people were organized in each community for the FGD. Two separate forums with five members were held for mainly females on issues of participation in water. In all, 200 respondents were interviewed. 3

FINDINGS AND DISCUSION

In this section, the characteristics of the respondents in the beneficiary communities in terms of age and gender are discussed, as well as, the forms of community participation in the study area using the project cycle as a framework . Conclusion are drawn in reference to the findings from the field. Oakley (1991) argued that real participation should involve equality in decision-making in all stages of the project cycle of assessing, planning, implementing, managing and evaluating. Only three stages of the project cycle of initiating/planning, implementing and managing the facilities is used in the study since these stages can and do involve the whole community. The evaluating stage is what the study is doing since it was not done by WVG. 3.1 Age and occupation of respondents All the respondents were above twenty-five years. Those in the ages of 35–40 formed 23.5 percent of the

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Table 1.

Level of involvement in project initiation. Response to initiation of projects

Project community

Yes

No

Total (freq.)

% Total

Adaklu-Hasu Agortime-Agbesia Sokode-Afifekope Total

84 (96.5%) 12 (100%) 85 (84.2%) 181 (90.5%)

3 (3.5%) – 16 (15.8%) 19 (9.5%)

87 12 101 200

100 100 100 100

Source: Fieldwork, 2002

Table 2.

Mode of consultation of respondents during project initiation. Modes of Consultation of Respondents

Project community

Through elders

Through c’nity forum

WVG officials

Gong beater

Through a relative

Was not consulted

Total

Adaklu-Hasu Agortime-Agbesia Sokode-Afifekope Total

15 (17.2%) 4 (33.3%) 47 (46.5%) 66 (33.0%)

60 (68.9%) 8 (66.7%) 25 (24.8%) 93 (46.5%)

6 (6.9%) – 9 (8.9%) 15 (7.5%)

3 (3.5%) – 4 (3.9%) 7 (3.5%)

– – – –

3 (3.5%) – 16 (15.9%) 19 (9.5%)

87 (100%) 12 (100%) 101 (100%) 200 (100%)

Source: Fieldwork, 2002

study. Seventy-two percent of the respondents in the communities were men and twenty eight percent were females. This relatively low proportion of females in the study is not a proper index of the participation of women in water management in these communities. Women are the main collectors of water; however, it was the men who were interviewed as a result of them being the heads of family and those who participated in the NGOs activities. This bias in interviewing men who are not the main collectors and users of water was corrected by interviewing mainly women during the focus group discussion. 3.2

Community participation in projects

In assessing the level of involvement of the NGO, we assigned weights to the responses. A response is termed very low when the value is between 0–19.5 percent. It is termed low when the value is between 20–44.5 percent. A response with values between 45–65.5 percent is termed average and response with values between 65–74.5 percent is termed high. A response with a value above 75 percent is termed very high. 3.2.1 Stage one: Community project initiation stage The study revealed that 90.5 percent of the respondents were involved in the initiation of the projects. The highest responses came from Agortime-Agbesia where all the respondents said they were involved in

the initiation of the projects. This was followed by Adaklu-Hasu with 96.5 percent of the respondents being involved in project initiation as shown in Table 1. Sokode-Afifekope project had 84.2 percent of the people being involved in project initiation. Table 2 indicates 46.5 percent of the respondents were involved in the initiation and identification of their needs through community gathering. Elders and opinion leaders represented 33 percent of the responses while WVG officials themselves consulted the beneficiaries in the initiation of the projects. About 9.5 percent of the respondents said they were not consulted, and, therefore did not take part in the initiation of the projects. Reasons given for not taking part in the initiation of the project include lack of interest at the time the projects were being initiated, while others said they were not available at the time. It is interesting to note that projects initiated by the communities have to conform to the projects the WVG are ready to fund, and should be in line with national and local development plans. Water is a major priority in WVG’s development agenda calling for its high level of involvement. WVG ensures that every community established a Local Steering Committee (LSC). Its chairperson is expected to be in direct contact with the beneficiaries and WVG to promote the objectives of the project. A project manager, secretary, treasurer, and an organiser may assist them. They were all involved in community mobilisation. Chiefs and opinion leaders served as an important link between the project staff and the beneficiaries. The LSC works

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Table 3.

Mode of participation of respondents during project implementation. Provisions towards project implementation

Project Comm’ty

Provided labor

Provided cash

Provided raw material

Provided food to workers

Provided skilled labor

Was not involved

Total

Adaklu-Hasu Agortime-Agbesia Sokode-Afifekope Total

61 (70.1%) 7 (58.4%) 63 (62.4%) 131 (65.5%)

9 (10.3%) 1 (8.3%) 6 (5.9%) 16 (8.0%)

3 (3.4%) 1 (8.3%) 1 (1.0%) 5 (2.5%)

1 (1.4%) – – 1 (0.5%)

4 (4.5%) 2 (16.7%) 2 (2.0%) 6 (3.0%)

9 (10.3%) 1 (8.3%) 29 (28.7%) 39 (19.5%)

87 (100%) 12 (100%) 101 (100%) 200 (100%)

Source: Fieldwork, 2002

and consult WVG staffs on design, implementation and management of the project. From Table 1 and 2 above, one can see that as much as 90.5 percent of the beneficiaries said they were involved in project initiation and identification. Only 9.5 percent said they were not involved in project initiation. It can therefore be concluded that the inhabitants of the beneficiary communities were consulted and involved in the initiation and identification of their felt needs and this was done at community gatherings. WVG does not impose development projects on its beneficiary communities, but rather asked needy communities to apply for assistance and state the type of assistance they require from the organization. 3.2.2

Stage two: Community project implementation stage The construction of water points and sanitation facilities involved beneficiaries contributing to capital cost through provision of their own labour as well as the provision of locally available raw materials, such as bricks, stones, sand and water as shown in Table 3, below. It can be observed from the table that there was a very high level of involvement in the project implementation, as in the project formulation. The rate of involvement at the implementation stage was 80.5 percent for the entire study area. The table indicates that labour provision constitutes the highest means of participation at the implementation stage and it forms 65.5 percent of the responses. This was followed by cash donations. This response can be attributed to modern social and economic transformation in the communities. It was not everyone who had the time and energy to contribute free labour to the projects, compelling some to contribute financial donations. Further observation indicated that the majority of those who contributed cash were absentee residents in the communities. They work in cities such as Ho during weekdays and returned to their communities on weekends, making it impossible for them to contribute their labour. Skilled labour forms only 3 percent of the responses. This consists mainly of artisans, such as bricklayers, carpenters and steel benders.

3.2.3

Stage three: Community project management stage Management of the projects now lay in the hands of the beneficiary communities as WVG now sees the facilities as the property of the communities. Functioning water points are now in the hands of town unit committees. The level of involvement in project management in Adaklu-Hasu and Agortime-Agbesia was high (64.4% and 66.7% respectively). SokodeAfifekope has a low level of involvement in project management (16.8%). The reason for the low level of involvement in project management in all the communities, as compared to the other stages, can be attributed to the fact that not all citizens in the beneficiary communities can take part in the management of the facilities. Elected or nominated members take charge of the facilities. An example is the water and sanitation committee called “WATSAN” committee. It is made up of five members who are elected annually to take care of the facilities. The committee comprises two women who are directly responsible for preventative maintenance.The men were trained in minor repair of faults. Members of the WATSAN committees also collect tariffs from water users and deposit it at the nearest bank on behalf of the community. This money is used to purchase equipment for the repairs of the facility during break down. Community participation in the management and operation of water facilities takes the form of labour contribution in clearing water points and a sense of ownership and responsibility towards their water points. It can be said that participation in the water projects in the study communities is consistent with the evolution of the project cycle, where involvement at the initial stages of a project is high, but decreases as the project reaches its final stage. The benefits of good management committee appeared to be a factor for maintenance, as is the willingness to pay for the use of the facility. Maintenance of the water facilities is a major problem in the beneficiary communities after WVG handed over the facility. The people of AdakluHasu are still benefiting from all of their three water points. This is attributed to the high level of involvement of the people at all stages of the project, in

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addition to payment for the use of the facilities. A payment of fifty cents (¢50) per bucket of water is collected. Although there was a high level of involvement at Agortime-Agbesia, due to weak management structures and lack of cost recovery mechanism, the facility is not functioning. Only on out of the two boreholes is functioning at Sokode-Afifekope. Friedman (1992) argues that for community development to benefit the intended beneficiaries, there is the need to encourage communities to organize and undertake initiatives of their own. A genuine participatory approach to development includes community involvement at all stages, including problem identification and the implementation of ameliorative programmes. In the past, many communities in Ghana have been relegated to being passive recipients of development handouts rather than active partners in development (Karikari, 1996). The failure of a number of development projects to achieve their objectives of relevance, adaptability, acceptance and sustainability has always been an issue of much concern to communities, governments, donors and researchers (Kumekpor and Kumekpor, 1998). Many NGOs tend to emphasise, or even overemphasise, the involvement of communities in the decision making process, as evidenced in this study. White (1982) argued that the involvement in the physical work of implementing a project could hardly be considered as community participation unless there is at least some degree of sharing of decision with the community. This type of involvement should be a community process of thinking, planning, deciding, and evaluating, as well as, physical involvement and management (White, 1982). One cannot speak of participation in a situation where communities are called upon to provide communal labour to development projects that have already been conceived and planned by NGOs or District Assemblies. Calling on communities to contribute labour is aimed primarily at cushioning the cost of the project without genuine empowerment to own the projects. This study uses the complex process of community participation in development to mean involving the communities towards the improvement of their living conditions as part of the overall development process, even after the exit of the development agent. This paper concurs with statement made by Abu-Zeid (1998:16) that, “the participation of stakeholders in all aspects of water management is crucial . . . this should not be restricted to the influential elite”. Their involvement should comprise the conception, planning, implementation, evaluating and management of the project. Individuals who benefit from community development facilities must necessarily contribute to the maintenance of the facilities, regardless of their economic position. Attention must be given to those who genuinely cannot afford the payment associated

with the “fetch policy”. For Ghana to make progress in achieving the MDG related to water issues, emphasis must be placed on both the long and short-term measures of improving the standard of living of project beneficiaries. 4

CONCLUSION

The purpose of evaluation is to determine the effectiveness of a particular project as it relates to the project purpose and as specified by project indicators (Mikkelsen, 2005:263). Patton (1997; 4) also pointed out that result-based projects require monitoring and evaluation at a stage of the project cycle to determine and track changes continuously over time, in order to know what works and what does not, to show differences between effective and ineffective projects and to establish a learning process to support strategic choices for improvement. This study goes further by evaluating projects undertaken by WVG ten years after the cessation of the activities of the NGO. NGOs claim of success in the delivery of essential services to rural communities abounds but many of the projects have not been equally successful years after phasing out of projects to enable the beneficiaries to continuously benefit from the facilities (Oakley, 1999; Igoe, 2003). Judging from the fact that WVG has been able to elevate communities towards a ‘better’ or ‘humane’ life (Todaro, 1997) by providing potable water and sanitation facilities, illustrates that some form of development has taken place. Without these interventions the communities would still be using streams and ponds for water supply, as well as travelling long distances to obtain water. WVG’s activities in communities has reinforced the notion that NGOs can be used to promote development, especially in marginal rural areas, however, such a development must originate from within the community, it must be communitybased and must reflect the expressed needs, interest and aspirations of the target population. They must therefore be actively involved in all stages of planning from project initiation, through implementation to monitoring, evaluation and management (Oakley et al., 1991). Further, the beneficiaries need to ensure the maintenance of the facilities as the absence of financial contribution has lead to many development projects turning into “white elephants” in Ghana soon after the exit of the donors.

ACKNOWLEDGEMENTS The Author would like to thank Prof A.B. Aseidu and Mr. S.K. Kufogbe of the University of Ghana, Legon for painstakingly supervising the work for the

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award of the Master of Philosophy (M.Phil) degree in Geography and Resource Development. Thanks also go to the people of the three communities, and World Vision Ghana for providing materials on its projects in the Ho district. Except for literature cited which has been duly acknowledged, this work is entirely mine.

REFERENCES Abu-Zeid, M. (1998). Water and Sustainable Development: The Vision for World Water, Life and the Environment, Water Policy 1, 9–19. Agarwal, B. (2003). Gender and Land Rights Revisited: Exploring New Prospects via the State, Family and Market. Journal of Agrarian Change, 3 (1–2): 184–224. Bailey, C. and Zerner, C. (1992). Community Based Fisheries Management Institutions in Indonesia. MAST, 5(1): 1–17 Becker, F. (1995). Community Based Management of common Property resources. Encyclopedia of Environmental Biology, 1, 371–373. Boateng, D.S. (1996). Government and NGO’s Relations in Ghana. Speech delivered To the NGO community at Secaps Hotel on 26th Feb. 1996 in Katsriku, B. and Oquaye, M. (1996) NGOs Relations in Ghana, Friedrich Ebert Foundation, Accra. Bratton, M. (1989). The Politics of Government N.G.O. Relations in Africa, World Developmental 17(4). Edoho, E. (2001). Management Challenges for Africa in the Twenty-first century. In: Management challenges for Africa in the 21st Century: Theoretical and Applied Perspectives, Edoho, F.M. (ed.). Westport, CT: Praeger. Fiske, D.W. (1986) Specificity of Methods and Knowledge in the Social Sciences. In: Metatherapy in Social Sciences, Fiske, D.W. and Shweder, R.A. (eds.), Chicago: University of Chicago Press. Frankfort-Nachmias, C. and Nachmias, D. (1996). Research Methods in the Social Sciences. London: Arnold. Friedman, J. (1992). Empowerment: The Politics of Alternative Development. Cambridge: Blackwell Publishers. Ghana Statistical Service (2000). 2000 Population and Housing Census of Ghana. Accra: Central Bureau of Statistics. Government of Ghana (1995). Ghana-Vision 2020 Development Plan (The first step: 1996–2000). Accra: Ghana Publishing.

Government of Ghana (2006). Ministry of Employment and Social Welfare, Registration Procedure for NGO’s in Ghana, Accra. (Unpublished) Igoe, J. (2003). Scaling Up Civil Society: Donor Money, NGOs and the Pastoralist Land Rights Movement in Tanzania, Development and Change, 34(5): 863–885. Karikari, K. (1996). Water Supply and Management in Rural Ghana: Overview and Case Studies. In: Water Management in Africa and the Middle East: Challenges and Opportunities, Rached, E., Rathgeber, E. and Brooks, D.B. (eds.). IDRC, available online http://www.idrc.ca/en/ev31158-201-1-DO_TOPIC.html. 26/04/2008 Kumekpor, M.L. and Kumekpor, T.B. (1998). Community Mobilization. An Analytical Frame of Reference for Project Personnel and Project Managers. Centre for Social Policy Studies (CSPS), University of Ghana, Legon. Mikkelsen, B. (2005). Methods for Development Work and Research. A New Guide for Practitioners (2nd Ed). London: Sage Publications. Narkwiboonwong, W. and Tips, W.E.J. (1989). Project Identification, Formulation and Implementation by Voluntary Organizations in Thailand’s Rural Development, Public Administration and Development. Vol. 9. Nelson, N. and Wright, S. (1995). Power and Participatory Development: Theory and Practice. London: I.T. Publications. Noe, R. and Wilky, S.L. (1993). Investigation of the Factors that Influence Employees Participation in Development Activities. Journal of Applied psychology, 78 (2): 291–302. Oakley, P. (Ed) (1991). Projects with People: The Practice of Participation in Rural Development, ILO, Geneva. Oakley, P. (1999). The Danish NGO Impact Study. A Review of Danish NGO Activities in Developing Countries. Oxford, U.K Patton, Q.M. (1997). Utilization Focused Evaluation: The New Century Text (3rd Ed.), London: Sage Publications. Riddell, R. and Bebbington, A. (1995). Promoting Development by Proxy: The Development Impact of Government Support to Swedish NGOs. Evaluation Report, No. 2. SIDA. Smith, B.H. (1987). An Agenda of Future Tasks for International and Indigenous NGOs. Views from the North. World Development. Vol.7. Tashakkori, A. and Teddlie, C. (1998). Mixed Methodology: Combining Qualitative and Quantitative Approaches, Applied Social Research Methods Vol. 46. London: Sage. White, T.A. (1982). Why Community Participation? In: Assignment Children, Mandi, P.E. (ed.), 59 (60).

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Ensuring access to urban water for slum dwellers: An institutional synthesis of low income cities in Bangladesh M.S.H. Swapan & S. Ahmed Urban and Rural Planning Discipline, Khulna University, Khulna, Bangladesh

ABSTRACT: The current trend of urban growth in Bangladesh is about 5–6% per annum. Projections suggest that more than fifty percent of Bangladeshi population will be living in urban areas by the year 2025. This will change and increase Bangladesh’s demand for habitat, health, water and sanitation. At present, piped water is available in limited parts of urban areas and in Khulna city only 30 percent of the households have access to the piped water supply. The remaining 64 percent have access to hand tube wells and only 6 percent use water from secondary sources. Slum dwellers have acute shortage of sources and generally remain out of the water improvement projects taken for the urban area. The acceleration of urbanisation raises new challenges for parties aiming to ensure clean and affordable water for slum dwellers. Institutional aspects of water services refer to two different but related issues: actors or organisations and the policies or legal arrangements that determine how they will be operated. This paper aims to investigate the institutional aspects to serve the slum communities of Khulna city in Bangladesh focusing on affordability and community engagement including various management options and challenges that are increasingly faced by the actors. Keywords:

1

Institutional aspects; Khulna city; slum dwellers; water supply

INTRODUCTION

Water is absolutely the most essential for human, animals, and plants. Not only for drinking, water is also used for culinary purposes. It is difficult to imagine a clean and sanitary environment without water. Safe, adequate, and accessible supplies of water, combined with proper sanitation are the basic needs and indispensable components of primary health care. The paradox of community water supply in developing countries is that everyone has access to water supply, but in fact, many people do not. They may have access to water but only at a large walking distance or in too little volume or of poor quality. Over 62% of people in developing countries, some 1100 million people lacked in adequate water supply (Cairncross and Feachem, 1983). The United Nations asserts that everyone has a right to safe water and few would disagree (UN-WWAP, 2003). Unfortunately, current estimates suggest that one-sixth of the world’s population does not receive safe water and 2.4 billion do not have access to adequate sanitation (UN-WWAP, 2003). The delivery of water and sanitation is clearly a vital element in people’s lives and when the service is unavailable or becomes too expensive the issue often spills into the political arena and sometimes beyond. The United Nations declared access to

adequate amounts of clean water for personal use to be a human right in 2003. This means that all signatory countries to the Convention on Economic, Social and Cultural Rights are obliged to provide their citizens with enough quantities of clean and safe water for domestic use. However, it does not say that water has to be provided for free; only that it has to be ‘affordable’ (UN-OCHA, 2006). At the beginning of the 21st century many people face formidable challenges to meet increasing demand for water. However, there are significant pressures that make it difficult to meet these demands including inefficient agriculture, expanding urban areas, water pollution, and international conflict. The situation has led many in the international development community to point to a ‘global water crisis’ (POST, 2002). Global statistics show that the population served with improved water supply in developing countries has increased by 9% between 1990 and 2004, which amounts to 1,174 million more people (693 million in urban areas and 481 million in rural settings) served in 14 years (JMP, 2006). Bangladesh is one of the most densely populated countries of the world and facing massive urban population growth, which is currently estimated to grow at 4.2% per annum (DPHE, 1999). Bangladesh has an urban population of about 35 million, just over 25% of its total population. Projections indicate that more

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than 50% of Bangladesh population will be living in urban areas by the year 2025 (BBS, 2001). All major urban centers in Bangladesh have slums and squatter settlements, the largest concentrations being in Dhaka (the capital city), followed by Chittagong, Khulna and Rajshahi cities. As per the Slum Mapping and Census, 2005, 62.7% of the slum dwellers use municipal taps as source of their drinking water; 33.4% use tube wells and 3.8% use other sources like rivers, ponds, lakes, and canals. In 40.9% of the clusters, one tap is shared by 6–10 households while in 22.7% clusters; a single tap is shared by 11–20 households (Water Aid, 2007).Against a target of 477 MLD (million liters/day) water supply during the Fourth Five Year Plan for Pourashava (municipality) and Upazila (sub-district), only 296 MLD was achieved (Fifth Five Year Plan: 1997–2002) although recently, the government has allocated more resources to local urban infrastructure (Swapan, 2001). The deficiencies in urban infrastructure and services including water supply, sanitation, drainage, solid waste collection and transportation system range from sever to extreme. The major sources of drinking water, both in public and private slums are municipal taps and tube wells. In case of bathing a considerable portion of slum dwellers use rivers, ponds, wells, lakes and ditches. Slum dwellers collect water from municipal taps located either along the public streets or in public places while private slums often get their water from the landlords’ house. Besides tap water, tube wells within the slum or neighboring areas also play an important role in supplying drinking water to slum dwellers. The acceleration of urbanisation raises new challenges for parties aiming to ensure clean and affordable water for slum dwellers. Institutional aspect of water services refers to two different but related issues: actors or organisations and the policies or legal arrangements that determine how they operate. This paper aims to investigate the institutional aspect to serve the slum communities of Khulna city in Bangladesh focusing on affordability and community engagement including various management options and challenges that are increasingly faced by the actors (Government and NGOS).

Institutional environment

Technology

User community

Figure 1. Components of sustainable of water supply system (Ahmed and Rahman, 2000).

are owned by the richer families who discourage or refuse other peoples to collect water from points and sometimes the poorer families hesitate to enter into other’s property. The community dimension includes issues such as the capacity and willingness to pay for the required services, public private partnership in respect of financial matters and management capacity of local institutions. Technology includes the mechanism, knowledge, culture and infrastructure necessary for sound water supply system as well as decreasing environmental risk from the service. Environmental risk mainly covers the contamination associated with health effect. Finally institutional setup is important for installation and maintenance of water supply system. The sustainable performance of the existing water system largely depends on the adequate management capacity of the local institutions. 3

INSTITUTIONAL ASPECTS OF WATER SUPPLY SERVICES IN BANGLADESH

Institutional aspects of water supply system refer to the two different related issues (Ahmed and Rahman, 2000 pp. 25–40): the actors (Government, NGOs, and water committees) and policy environment (principles, policies, strategy, rules/regulations which determine the how the system will be operated). 3.1 Government initiatives

2

SUSTAINABLE WATER SUPPLY

A water supply system is sustainable when it provides efficient and reliable services at consumer level. It also depends on the community ownership, sound technical setup and using without negatively affecting the environment (Figure 1) (Ahmed and Rahman, 2000 pp. 3–5). The user community comprises different groups of the society having common interest but often come with conflicting attitude. Some of the water points

The Government started its initial intervention in the water supply and sanitation sector with the objective of gradually building an effective service delivery mechanism about 62 years ago. After the independence in 1971, the government laid emphasis on rehabilitation of damaged water supply and sanitation services and installation of new facilities in rural and urban areas through the Department of Public Health Engineering (DPHE) (Ahmed and Rahman, 2000; MoLGRDC, 1998; MoWR, 2008). Services were provided mostly free of charge and now government is increasingly

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financing the water supply. On the other hand, the role of the users in decision-making, cost sharing and operations and maintenance was negligible. However, subsequently user participation increased significantly. The responsibility for installation, operation and maintenance of urban water supply (except Dhaka and Chittagong cities) was initially with DPHE only but now it is shared with the municipalities (locally called Paurasabha). Recent project-based activities in the municipalities and their involvement in planning, implementation and management have had a positive impact on improvement of their capacity. Most of the Paurasabhas now have Water Supply and Sanitation Committees (WATSAN) comprising the user communities for supervising water and sanitation related activities (MoWR, 2008). In addition to DPHE, the Local Government Engineering Department (LGED) is also involved in planning and implementation of water and sanitation services in certain urban centers and growth centers identified by the Planning Commission under selected projects. In 1983, Water Supply and Sewerage Authorities (WASA) were established in Dhaka and Chittagong cities for taking care of water supply, sewerage and drainage issues. The government is encouraging and supporting the involvement of other partners, such as non-governmental organisations (NGOs), market oriented business organisations and similar private organisations in water and sanitation development. 3.2

NGOs and private sectors

The National Sanitation Campaign in Bangladesh got the momentum at the very beginning. The government prepared a series of strategy-papers and guidelines in order to make the campaign effective. Taking the issues like lack of awareness and affordability of most of the people, dissatisfactory sanitation practices in Bangladesh, long-term avoidance of the issue in the social agenda, lack of understanding among people about the link between health and sanitation practices and so on into account, the concerned government agencies started putting enormous efforts into it. The NGOs marked it as the great turn and played their role as the complementing bodies (NGO-Forum, 2008). Within the water and sanitation sector, NGOs have been involved in social mobilisation, community organisation, loan programs for wells and implementation of water points. NGO-Forum, Bangladesh Rural Advancement Committee (BRAC), Grameen Bank and Proshika have national coverage regarding water issues. The NGO-Forum specialises in the water and sanitation sector includes training, materials production, advisory and documentation services and collaborative field projects undertaken with local member NGOs (NGO-Forum, 2008). The main reason frequently given for involving private sector in water

and sanitation programs is that they can deliver materials and services at lower cost than the government sector through competition. In Bangladesh, the private sector has always been involved in water and sanitation activities and its role is expanding. 3.3

Policy environment

Several national policies that point the way toward new institutional arrangements have been developed in Bangladesh at the end of 1990s. These include the Fifth FiveYear Plan (FFYP) (1997–2002), the National Sector Policy for Water Supply and Sanitation, the Local Government Acts and the National Water Management Plan. All of them call for effective involvement of local bodies, capacity building at all levels, a facilitative role of public agencies and increased participation of the private sector and NGOs. The FFYP has emphasised the role of local government, participation of NGOs and CBOs, mobilisation of users and remove the contamination of arsenic (Ahmed and Rahman, 2000). Safe water and sanitation are essential for the development of public health. The Government’s goal is to ensure that all people have access to safe water and sanitation services at an affordable cost. To achieve this goal and to ensure that development in the water supply and sanitation sector is equitable and sustainable, formulation of National Policy for Safe Water Supply and Sanitation is essential. The objectives of the National Policy for Safe Water Supply and Sanitation (NPSWSS), 1998 are to improve the standard of public health and to ensure improved environment. For achieving these objectives, NPSWSS emphasised on capacity building, behavioral changes, rainwater storage and sustainable water and sanitation services (MoLGRDC, 1998). Apart from that the strategy of the National Drinking Water Policy is developed encouraging coordinated management, community based development approach, service to deprived region, intensive and innovative research, and mobilisation of resources. 4

CASE STUDY

The study is conducted on Khulna City Corporation (KCC) area. Khulna is the third largest metropolitan city of Bangladesh, situated in the south-western part of Bangladesh Khulna City is in the southwestern side of Bangladesh near the Sundarbans (the largest tract of mangrove forest of the world). Figure 2 shows the location of Khulna City in context of Bangladesh and Khulna District. Total area of the study area is 42.04 sq. km. In 1998, total population of this city was 11,77,160. The population of the area is increasing with a rate of 3.8 percent per year. Gross population density of the city is also very high, about 18,000 persons per sq. km. (USAID, 1999).

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Figure 2. Location map of the study area.

In Khulna City, the average household income is US dollars 81 per month. There are 102 slums and 66 squatters located in KCC area and each settlement having 10 and above households (KDA, 2000; GHK, 2001). Nearly 20 percent of the total population in Khulna City is currently living in these slums and squatters. The poor, unemployed villagers especially those who are landless due to the river erosion migrate to the four metropolitan cities (Dhaka, Chittagong, Khulna and Rajshahi) for the hope of shelter and employment. The excessive burden of the city population has posed formidable difficulties for the urban public health, water and sanitation systems to provide normal services to the city dwellers in general and the slum dwellers in particular. 4.1 Water supply system in Khulna city The primary source of water supply in Khulna City is mainly from the groundwater available in the shallow and deep aquifers extracted through production and hand tube-wells. The secondary source is surface water extracted from rivers, ponds and wells. The coverage of pure drinking water is well over 90 percent. In the fringe area, the residents rely mostly on private and some public tube-wells. Pipe water is available only in KCC area where 30 percent of the households have access to the pipe water supply. The remaining 64 percent have access to hand tube-wells and only 6 percent use water from secondary sources. Outside the area, 89 percent of the households use hand tubewells while the remaining 11 percent use water from secondary sources (KDA, 2000). The existing water supply system in the structure plan areas and their population coverage is shown in Table 1 for an estimated population of 847,500. 4.2

Survey methods

The study is based on the field survey. A questionnaire survey was conducted in 23 slums of KCC area adopting systematic sampling procedure among 80 families.

Table 1.

Existing water supply system in KCC Area.

Source

Population Coverage (%)

Pipe Water Street Hydrant Tube-wells Other Sources (ponds, rivers, wells etc.)

25.70 4.50 63.80 6.00

Source: KDA, 2000

A semi-structured interview was also conducted with the officials of the agencies involved in water related issues. The landuse data of the city was collected from Khulna Master Plan (2000), which was simplified for this study. To identify the water service status of the urban poor (slum dwellers), six slum zones were delineated throughout the city, which virtually represent all slums. These zones are as Rupsha, Boyra, Khalishpur, Daulatpur, Sonadanga and Dakbanglow area (Figure 3).

5 5.1

RESULTS Socio-economic condition

The educational condition of the slum dwellers shows a higher disparity between male and female. The average literacy rate in the slum areas is 39.24 percent. Social condition, awareness and poverty are some of the major constraints for the education. Overall educational status is not satisfactory for the slum areas. Approximately 25 percent people have completed five years long primary education. Some of them have got informal education. Majority cannot even read or write. Another data shows that only 5 percent of the entire working people of the slum dwellers are engaged in the formal sector. Roughly 24.2 percent people are totally unemployed, 17.7 percent people are

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Others 19% Electricity 7% Water charge 2%

Fooding 50%

House rent 11% Health 5%

Education 4%

Clothing 2%

Figure 4. Average expenditure pattern of the slum dwellers.

Others 2% Old infrastructure 25%

Figure 3. Generalised landuse pattern and location of slums in Khulna city.

either children or old aged people and 14.6 percent are students. Among the other primary occupations small businesses (e.g., tea stall, metal work, tailor, pottery, grocery, laundry and hair dressing), home services (maid servants) and rickshaw pulling are the major ones. The survey data shows that each household of the slum areas have at least two income earning members. Residential and transport sectors provide approximately 65 percent of the total employment. On an average, every income-earning people earn USD 13.5 per month from his or her primary occupation (KCC, 1999). 5.2

Expenditure on water purpose

The expenditure pattern is not well structured and there is enormous disparity in the expenditure pattern among the households. People tend to spend the highest amount of money for food and only 2% of the total expenditure for water purposes (Figure 4). Legally or illegally, most of the facilities are effortlessly accessible to the poor people. For some of the services, the slum dwellers do not have to pay; such as water supply. 5.3

Citizen feedback on water services

Sixty two percent of the surveyed population reported about the poor quality of services provided by the KCC. They identified irregular supply and old pipelines as the reasons for the poor service (Figure 5). Frequent leakage in the distribution network cause serious contamination of water and sometimes they feel odor in the supplied water. Seventy six percent of

Irregular supply 48% Poor maintenance 10% Inadeqaute source 15% Figure 5. Reasons for poor government services identified by the respondents.

the respondents paid satisfaction over the water related activities performed by the NGOs. They suggested that coordination among the government and NGOs can make the situation better. They also argued that local government always shows reluctance of installing new water points or repairing damaged connection in the slum areas. Limited allocation of deep tube-wells is not adequate for the large community at all. The actors, on the other hand, claimed that the slum dwellers are not aware of paying regular water charges. Stealing of tube-wells is also a sever problem identified by them. They also admitted that government financial support is not sufficient enough for regular maintenance of the distribution network and installation of new water points.

5.4 Agencies involved for planning of water supply projects The planning, design, construction and supervision of water supply projects are carried out by the

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Department of Public Health Engineering (DPHE). Housing and Settlements Directorate (HSD) has also developed a limited public sector system in Khalishpur area only. Besides pipe water supply, DPHE has also installed public tube-wells both in KCC and the Extended areas. Recently, LGED has undertaken the MSP (Municipal Services Project) for improvement and expansion of the present water supply system within KCC area to provide safe potable water to a larger proportion of the existing population and expanding need of the Khulna City upto the year 2010. The project will be financed by the World Bank (KDA, 2000). If these resources are utilised then the existing man-power of the KCC for Water Supply Works will not be adequate in comparison with required number of qualified technical personnel and staff for this highly technical work. Further, this kind of project cannot be accomplished with presently available resources of KCC. Hence creation of an independent body like Dhaka and Chittagong WASA with proper organisational set-up should be planned to handle a sophisticated and highly technical work related to water supply. It is the policy of the GOB to deal any water supply project by the DPHE. As such for any future project concerning water supply and extension works in Khulna city, DPHE should be involved for its vast technical expertise in this special field in order to make future Khulna Water Supply Project viable and successful.

6

CONCLUSIONS

There are many challenges to be addressed if the new principles and policies for the water and sanitation sector to be translated into successful programs. These relate largely to capacity, co-ordination and the time scale of implementation (Ahmed and Rahman, 2000). Capacity refers to the ability and willingness of institutions and people in them to develop skills and be in the position to use those skills as intended. The efficiency and effectiveness of the public sector continues to be a concern. In order for government organisations to work successfully with the new policies and management models they must be able to translate these into daily activities and procedures. The challenge is usually how to gradually transform the government institutions and their staff to focus on facilitation and regulation which will support the other actors in the system. The challenge is also complicated by the fact that decisions must be made and programs developed while staff and their institutions are, at the same time, learning to change. On other hand, community participation and management can fail if the move toward self-management comes too quickly, before the local government, the committees and other actors are in place and have developed the effective procedures. The

challenge of capacity building is particularly difficult in a nation as large as Bangladesh. It will be necessary to involve a large proportion of local and national groups to ensure adequate outreach to urban areas and cities. The new institutional arrangements put considerable demands on all groups to co-operate effectively. To ensure best use of limited resources for effective development, co-ordination is necessary at all levels of the government, local government bodies, NGOs and the private sector. Finally it is obvious that to ensure a sustainable water supply system the government, NGOs and the users’ community should come together. At one side the providers need to be careful and technical about the community need and distribution, on the other side the users must have the attitude to pay for the service and should take care of the community resources.

ACKNOWLEDGEMENTS The authors are very grateful to Kazi Saiful Islam, lecturer of the Urban and Rural Planning Discipline of Khulna University, for sharing the socio-economic data of slums in Khulna city.

REFERENCES Ahmed, M.F. and Rahman, M.M. (2000). Water Supply and Sanitation- Rural and Low Income Urban Communities, ITN-Bangladesh, BUET, Dhaka. BBS (2001). Population Census. Bangladesh Bureau of Statistics, Dhaka. Cairncrross, S. and Feachem, R.G. (1983). Environmental Health Engineering in the Tropics: An Introductory Text. Great Britain: The Pitman Press. DPHE (1999). Pourashava and Thana Water Supply and Sanitation Project-Gopalgonj Districts. Department of Public Health Engineering. GHK (2001). Addressing Urban Poverty through City Development Strategies: The Case of Khulna City. Bangladesh: Gilmore Hankey Kirke International Limited. JMP (2006). Coverage Estimates: Improved Drinking Water– Bangladesh. Joint Monitoring Programme. http://www. wssinfo.org/en/25_wat_dev.html (accessed on February 27, 2008). KCC (1999). City Development Strategy. Khulna City Corporation, Khulna, Bangladesh. KDA (2000). Draft Structure Plan, 2000. Aqua-Sheltech Consortium and Khulna Development Authority. MoLGRDC (1998). National Policy for Safe Water Supply & Sanitation 1998. Ministry of Local Government, Rural Development and Coopertives. http://www.lcgbangladesh. org/WaterSan/reports/WATSAN-Government (accessed on March 05, 2008). MoWR (2008). Ministry of Water Resources. http://www. mowr.gov.bd/ (accessed on March 01, 2008). NGO-Forum (2008). Promotion of Total Sanitation, Not Latrinization. http://www.ngoforum-bd.org/NL_1.htm (accessed on March 05, 2008).

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POST (2002). Access to Water in Developing Countries. Postnote, 178. The Parliamentary Office of Science and Technology, UK. www.parliament.uk/post/home.htm (accessed on March 01, 2008). Swapan, M.S.H. (2001). Application of GIS to Analyze the Water Supply Network System of Gopalgonj Pourashava. Unpublished thesis submitted to Urban and Rural Planning Discipline of Khulna University, Khulna. Water Aid (2007). Rights of Water Connections for Urban Slum Dwellers in Bangladesh. Dhaka. Water Partners (2008). Water Crisis in Bangladesh. http://www.water.org/ waterpartners.aspx?pgID=882 (accessed on February 27, 2008). UN-OCHA (2006). Running dry: the humanitarian impact of the global water crisis. Water privatisation: a profitable

commodity or basic right? UN Office for the CoOrdination Of Humanitarian Affairs. http://www. irinnews.org/InDepthMain.aspx (accessed on March 05, 2008). UN-WWAP (2003). Water for people, water for life: the UN World Development Report. World WaterAssessment Programme. http://unesdoc.unesco.org/images/0012/001295/ 129556e.pdf (accessed on February 20, 2008). USAID (1999). Environmental mapping and workbook for Khulna City, Urban and Rural Planning Discipline, Khulna University and United States Agency for International Development.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

A Review of a water supply system in Dhaka city M.S. Rahman Department of Urban and Regional Planning, University of Hawaii at Manoa, Honolulu, USA

ABSTRACT: Dhaka city has been suffering from various problems related to water supply for urban dwellers. Existing gaps between water supply and demand are huge, which is further exacerbated by poor management of water resources. This paper will review the existing water supply scenario of Dhaka City and the roles of different service providers and stakeholders. In doing so, this paper will articulate some policy options for better management of water resources and present a more sustainable approach for the management of the water supply system. Keywords:

1

Dhaka City; partnership; small-scale initiative; water supply

INTRODUCTION

Bangladesh is one of the most densely populated countries in the world. More than 140 million people live in an area of 147,540 square kilometres and the population is increasing at a rate of around 1.6% annually. Approximately 44% of the population lives below the poverty line. The urban population is around 25%. The capital city Dhaka, is a mega city with a population of 14 million that is growing at an annual rate of around 5%. While urban dwellers are catalysing economic growth, rapid urbanisation also places a considerable burden on urban areas, both in terms of additional stress on inadequate urban infrastructures and services and exacerbation of already poor environmental conditions. In Bangladesh, government agencies, autonomous bodies, local government institutions such as specialised water utilities, municipalities and city corporations are responsible for providing water supply and sanitation services. The Local Government Division (LGD) under the Ministry of Local Government, Rural Development and Cooperatives (LGRD&C) is the apex body that oversees and controls the activities of these organizations. In Bangladesh, water supply and sanitation is a public sector responsibility. The Department of Public Health Engineering (DPHE) is responsible for water supply and sanitation for both urban and rural areas of the country, except for the capital city of Dhaka and the port city of Chittagong. In order to meet the growing demands for water supply and sanitation services of the two cities, two autonomous organizations, Dhaka Water Supply and Sewerage Authority (DWASA) and Chittagong Water Supply and Sewerage Authority (CWASA), were created in 1963

under Water Supply and Sewerage Ordinance (East Pakistan Ordinance No. XIX of 1963). Since then, the DPHE/municipalities have been given the responsibility of providing water supply and sanitation services to the rest of the urban areas and the entire rural areas of the country. Water supply coverage is about 50% in the urban areas, except for Dhaka and Chittagong where the coverage is 72% and 45% respectively (Andrews and Yniguez, 2003). 2

SUPPLY – DEMAND GAP

Based on a report by 2006 World Bank1 , the table below indicates the differences between perceptions and realities of water supply in urban areas. Owing to better availability of employment, educational facilities, trade and commercial opportunities, etc., Dhaka City has a continuous influx of people in the form of rural-urban migration and natural population growth. Much of this influx results in the development of slums and squatter settlements where there is a minimum or no services provided. Conversely, owing to rising standard of living, changes in lifestyle, and somewhat due to the increasing ability of affluent residents to pay for services, there is noticeable increase in the consumption of water in Dhaka City. At present demand for water is around 1760 MLD (million litres per day) at 160 L/per capita in Dhaka City; DWASA has a production potential of 1600 MLD, but actual production ranges from 1400 to 1500 MLD. The water supply system is groundwater 1 World Bank, 2006: Approaches to Private Participation in Water Services: A Toolkit

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Table 1.

Urban water supply: people’s aspiration versus reality.

The water service people want

The water service many people in developing countries get

Adequate, safe water for all inhabitants in the area.

Many people rely on unsafe, expensive, and inconvenient services from water vendors and on-site disposal of waste. People who do have piped connection get water only a few hours a day and it may not be safe to drink. Utilities in developing countries are often on the verge of bankruptcy and cannot expand service as demand grows, so more and more people go without, and economic activity suffers. Poor management, waste, poor procurement practices, inadequate maintenance, leakage, and low labor productivity mean that costs are higher than they should be. Tariffs cover operating costs at most, because government wants to keep water affordable. Government carries some of the utility’s costs by writing off debt, for example, when the utility cannot pay. But subsidies and low tariffs benefit mainly wealthier people who are connected to the existing water network. Unconnected people get no subsidy, and also cannot expect to get service, because low tariffs do not allow the utility to expand.

A utility that is able to invest to meet new demands. Good management that keeps the cost of service low. Tariffs that cover costs (but no more), with a social safety net to ensure that everyone can get at least basic services.

based and 82% of the supply is extracted from underground aquifers through 390 production wells. The remaining 18% is taken from three surface water treatment plants (DWASA, 1999/2000). The gap between supply and demand is increasing day by day and it gets worse during the dry season, as well as when the city experiences disruptions in electrical supply.

1996–97 indicated that about 20% of water was lost due to leaking pipes and joints (GKW Consultants, 1997) and the rest was due to administrative losses. Major components of administrative loss include nonmetered connections, no billing, under-billing, and unauthorised connections. 2.2

2.1

Unaccounted for water

Most people consider unaccounted-for water (UFW) and leakage to be the same thing. They are not. Leakage accounts for some of the unaccounted-for water, but it is just one piece of the puzzle. UFW is the difference between the quantity of water supplied to a city’s network and the metered quantity of water used by customers. UFW has two components: (a) physical losses due to leakage from pipes, and (b) administrative losses due to illegal connections and under registration of water meters. UFW continues to be one of the major unresolved issues facing water utilities in Asian cities which stands in the range of 40–50 percent, compared with an acceptable industry standard of 10– 20 percent. The worst examples of UFW are Manila (62 percent), Colombo (55 percent), Delhi (53 percent) and Jakarta (51 percent) (Asian Development Bank, 2004). In case of Dhaka City, unauthorised connections, leakages in the system, lack of proper operation and maintenance, and absence of 100% metering system lead to a huge amount of unaccounted for water and loss of revenue. UFW continues to remain high at around 54% (DWASA, 2003). From 1999–2001 UFW showed a downward trend. In 1999 the UFW was 47% and in 2001 it fell to 40% (Andrews and Yniguez, 2003). Since 2002 the trend has reversed and climbed back to the pre-1996 position. A study conducted in

Service management

Bangladesh has lagged in the implementation of efficient management of services. Large organisations like WASAs are fairly inefficient when it comes to UFW, metering, billing and collection, or staffing ratios. Central government agencies provide services without paying adequate attention to building local institutional capacity for management. This problem is acknowledged in the Water Supply and Sanitation Policy (GOB, 1998), which specifies a larger mandate for local government institutions and user communities in planning, implementing, operating, and maintaining services. At present, those who set policy and those who provide services are often the same body, which results in centralised and supply-sided service delivery. The lack of clarity of roles and responsibilities of policy makers and service providers is a major hurdle that must be addressed with due attention if the sector institutions are to become more efficient and accountable. 2.3

Financing of water supply and sanitation programs

Development in the urban water sector in Bangladesh has mainly been financed by donor assistance, which has been responsible for the tenfold increase (from a low base) in availability of water supply. Although the

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Government has declared its intention to develop a safe water supply and sanitation, the level of investment in the sector has remained very low owing to funding constraints. Between 1973 and 1990, public outlays for water and sanitation dropped steadily from 2.48%, to 2.14% then 1.25% of development expenditures in the first, second and third Five-Year Plans, respectively. This amount is significantly lower if compared with the allocations for other socio-economically similar countries in Asia, e.g. Sri Lanka (6.0%), Nepal (4.0%), and Myanmar (2.9%). In the Fourth Five-Year Plan (1990–95) of Bangladesh, allocations to the sector were budgeted to be 1.41% of the development expenditure, which is too low even to meet the physical targets of the plan. The most recent three-year rolling investment program for the period 1995–97, however, shows a reversal of this trend. Allocations for this period were 4.0% of the total expenditure. 2.4 Water for urban poor In mega-cities of the developing world, the challenge is not just a question of water supply, but rather of inequitable distribution. Despite significant progress in the water supply sector, piped water coverage is typically less than 50 percent in many Asian cities. Because of a variety of factors, including supply shortages, weak economic incentives to deliver services to low-income areas, land tenure issues, and the physical layout of housing in some peri-urban areas, a large proportion of the urban poor still have no access to water and sanitation services in Dhaka. The prevailing wisdom in many cities divides communities into neat groups between those who can pay and those who cannot. This has given rise to parallel economies – the so-called formal water economy with piped municipal supply and the informal or hidden economy serviced mainly by water vendors. Ironically, the poor are typically forced to pay more for water from the vendors or other informal suppliers, or to purchase bottled water. 2.5 Water availability for current and future use Groundwater has always been considered to be a readily available source for water supply in many countries of the world. With increase in demand, this resource is being overexploited in many areas, resulting in permanent depletion of the aquifer system and associated environmental consequences such as land subsistence and water quality deterioration. The monsoon recharge to groundwater is not adequate to replenish the annual withdrawals in major cities like Dhaka (Khan and Siddique, 2000). The problems of quality of both the surface and groundwater have also added a new dimension to the water supply scenario. The rivers around Dhaka City have already been polluted due to improper dumping of industrial and domestic wastes.

3

ROLES OF STATE, DONORS AND COMMUNITY IN PROVIDING WATER

In Bangladesh, most public sector investment in the water sector has been initiated by the state through (relatively) short term projects with donor support provided through centralised executing agencies. Donor support to the sector has at best been sporadic and often responds to the priorities of their own constituents rather than providing consistent and longterm commitments to the sector. At the same time, the government is burdened with the responsibility of providing counterpart financing for the implementation of these projects and under significant time pressure to implement sometimes unrealistic schedules. 3.1 Water sector strategy of the Government The Government recognises the urgent need to improve the water supply and sanitation in Dhaka and other areas and acknowledges the poor performance of the water supply utilities, and how this performance has affected efficient provision of the water supply and sanitation services. The Government’s sector objective is to improve health and human productivity through the development of services that are affordable and sustainable to as many people as possible, while improving the efficiency of the sector institutions. The Government’s policy and strategy for water supply and sanitation sector development as seen in the context of the national development strategy outlined in the Fourth Five-Year Plan, which emphasises, among other things, a “gradual shift of public service delivery agencies from being providers of service to facilitators”, and encourages the mobilisation of local resources (Khan and Siddique, 2000). Such a shift implies a move by the Government from public provision of services to that of setting policies, while increasing the role of the private sector and other small scale actors in providing such services. Local resource mobilisation is especially important because the Government’s efforts to improve water supply and sanitation services in Dhaka and other areas are constrained in part by a lack of adequate resources. 3.2

Donor agency support in water sector

The roles of donor agencies in providing water supply and sanitation has been immense for not only in major urban areas but also at the national level.ADB has been supporting the urban water sub-sector since the early 1980s. It supported the Secondary Towns Infrastructure Development Projects (Phases I and II) and the third Urban Development Project. These integrated, multi-component infrastructure projects included water and sanitation facilities. ADB also supported the first Five District Towns Water Supply and Sanitation

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Project in the mid-1980s and the recently concluded second Nine District Towns Water Supply and Sanitation Project (commonly known as 9-DTP). These projects accorded municipalities a greater role in planning, implementing, and managing of their resources. The municipalities worked hand in hand with government agencies in implementing the projects. Management procedures were established, rules and regulations framed, and key technical, accounting, and management personnel were trained. ADB is launching another Water Supply Project for Dhaka City. The main purpose of the proposed project is to develop methodologies to improve safe water supplies and to develop effective and sustainable management of the network. The expected project components are: •

the investigation, design and implementation of water source developments; • improvement in coverage and service levels through distribution rehabilitation and expansion; and • improvements in operational efficiency through institutional development and improved management of Dhaka WASA (Azam, 2006). 3.3

Community based initiatives

On average, more than half the urban population has access to water supply. The four largest cities, Dhaka, Chittagong, Khulna, and Rajshahi, have piped water systems that serve 72%, 45%, 51%, and 40% of the population respectively (World Bank, 2005). An important challenge for these growing cities is that almost 40% of the total population falls into low income category and this group is largely unserved. In addition, only 100 of the over 250 municipal towns have piped water systems, and these primarily serve urban core populations. The urban population in the slums and fringes of medium and small towns rely on hand tube-wells. Nevertheless, squatters and those living in urban slums are without easy access to water or sanitation. DWASA had no mandate to provide services to urban poor living in squatters and slums in Dhaka since they do not have legal land tenure. In a pilot project, Dushthya Shasthya Kendra (DSK)2 , a national NGO, provided slum communities with water points since early 1990s. It served as a guarantor toward the local water authorities, DWASA, who otherwise would not have accepted slum dwellers as customers. DSK facilitates community participation, designs, selects sites for the street hydrants. As of Akash and Singha (2003), the project proved highly successful. Experience shows that 100 percent of DWASA bills were paid regularly, against 70 percent by regular DWASA customers. 2

Dushthya Shasthya Kendra is a Bengali expression of the phrase ‘Health Care Center for Poor’

4

POLICY ALTERNATIVES: WHERE TO GO?

The prevailing issues around the water supply problem in Dhaka City suggest some sort of policy measure for the better delivery of water in regards of quantity and quality. For the sustainable urban service delivery, importance of well articulated short-term, medium-term and long-term policy options should be considered actively with positive roles from political leaderships, private entrepreneurs and international development partners. 4.1 Involving private sector through public private partnership A number of Asian cities have privatised the water sector in recent years. In Dhaka, for example, the DWASA was reconstituted in 1996 to run on a commercial basis. Though water services have traditionally been provided within the public sector almost all over the world for social, economic and political reasons, public services in a country like Bangladesh are not highly regarded, as they often suffer from under-investment, overstaffing, limited availability of technical equipment, etc. In order to rectify the deficiencies, the government is now trying to attract the private sector to provide utility services. Of the various options for private sector participation, DWASA contracted out the billing and collection of three revenue zones of DWASA Employees Consumers Supplies Cooperative Society Ltd. (ECSCSL). A marked improvement in the volume of billing and collection of revenues has been observed. The program has been found to be costeffective and has resulted in some gains to DWASA. As a result, DWASA has plans to contract-out the remaining zones to private operators in phases. Although successful, these initiatives were quite limited in nature. Only a few DWASA zones were privatised to collect bills from the consumers. There could be larger involvement of private sector with the collaboration of DWASA to streamline the tariff system, billing mechanism, metering etc. Broadly, there are three major components of urban water delivery system: (a) supply of water from either surface or ground source; (b) distribution of water to individual consumers; and (c) collection of bills. Since DWASA already have distribution networks in the entire city, private sectors could be involved in supplying water. There could be involvement from a number of private companies to perform this job in different strategic locations based on availability of water. For example, one private company might collect raw water and subcontract the treatment part to another private body. At the same time, other private organisations could be involved in collecting bills and maintaining the flow of revenues. Private companies also could be employed to repair old piped network and installing meters which in the long-run will help to curb leakage of water.

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Bangladesh lacks a proper legal system and has a bleak track record of financial management. As a result global/corporate water companies might not be interested in investing. This kind of fragmented and phased-in privatisation with a partnership of state own organization DWASA might bring provide a more efficient and effective solution than complete privatisation of the water sector. 4.2 The roles of small-scale and community based providers In many Asian cities, a significant proportion of the urban population is served by small-scale private water providers and community based actors, which provide a competitive and appropriate service to households in the slum areas without access to a utility connection. It is difficult to estimate how many people rely on them; in many low-income cities, they are clearly far more important than large-scale private water companies in terms of the number of people they reach and particularly, in the benefits they provide to low-income households. Moreover, in some cities, small-scale providers even provide services to middle- and upperincome households whose homes are located in areas beyond the piped network (Brennan-Galvin, 2004). Some local operators work closely with the water utility, purchasing water from the water company at a flat rate and selling it to end users at a margin; these operators typically do not invest in infrastructure to improve the service provided by the utility. These vendors and resellers, who include mobile water truckers, carters and water carriers, as well as household resellers, provide water in times of scarcity and in places that water utilities are unable to serve. In Manila, for example, as many as 23 percent of households obtain their water from small-scale private water vendors who resell municipal water or obtain water from tube-wells. In Delhi, water carriers typically operate side by side with the water utility, fetching water in 10–20 litre plastic canisters from public hydrants (where it is provided free) and delivering it to houses, whose residents pay them on a monthly basis. As different literature shows, there are numerous new actors in the water supply sector throughout Asian cities. The most significant change, of course, has been the devolution of responsibilities in regard to water and sanitation to local governments, which has had mixed results (World Bank, 2004b). Spencer (2007) discussed the role of small scale private water supply provision with the help from municipal government and the local community in Can Tho, Vietnam. The new water system in Can Tho is based on the concept of maximising cost recovery by the state and subcontracting the management of the water infrastructure to the lowest level of private households. In spite of low rate of use, Can Tho case study suggest that the new

system based on local provider entrepreneurship effectively provides cleaner and more convenient water to a small but significant portion of Can Tho’s population. The Can Tho case study demonstrates that there this kind of local scale water supply initiative may have some potential to service the peri-urban areas of Dhaka City. While the jury is still out on the efficacy and longterm viability of projects in the water supply sector mounted by the formal private sector, it is abundantly clear that small-scale and community based providers are making major headway in many Asian cities like Dhaka – whether as vendors or water re-sellers, or even as owners of private small-scale distribution networks or water bottling facilities. How municipal governments engage with these small-scale actors will, of course, differ greatly from city to city. But it is important for municipal governments to at least recognise them and to acknowledge them as part of the solution, rather than part of the problem. Different evaluation report suggests that users are more willing to pay for a service that meets their expectations (as we can see from the DSK experience in Dhaka). While many small-scale providers are working quite successfully, a challenge remains when it comes to providing the same service at a larger scale.

5

CONCLUSION

A comprehensive and sustainable water supply program for Dhaka will require substantial involvement from the State, private entrepreneurs, local municipalities, NGOs, donors and it will also require investment in rehabilitation, replacement, improvement, and extension of the city’s water supply systems to substantially raise and sustain service coverage levels in coming decades. This could be accomplished through a combination of public-private sector initiatives to develop major new surface water sources for bulk water supplies, by ensuring better management and resource allocation to DWASA, along with improvement and expansion of the main water distribution system based on existing deep tube-wells locations and new surface water sources. Since the literature suggests mixed results in privatisation of the water sector throughout the world, the formulation of proper modalities for different major actors in is crucial. The bidding process should be transparent when negotiating with private providers. Professionals should pay enough time to determine future water demand. The pricing of water should be pragmatic enough to ensure cost recovery and expansion of services with the change in demand in the future. Since ground water aquifers will continue to decrease, alternative source of water should be explored well ahead of time to meet future demand. Legal systems should be stringent enough

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to stem pollution of rivers and canals in and around Dhaka City and to restrict wholesale use of deep tubewells. Emphasis should be given to include community participation and local expertise in different phases of new water supply projects. Dhaka requires a comprehensive and futureoriented water management plan to ensure the longterm sustainability of this scarce natural resource. Planners and policy makers should take the initiative to work other municipal towns to reduce the population influx into Dhaka City. As well, there should be collaboration among different sectors to create partnerships that facilitate short-term, medium-term and long-term policies for better management of different basic urban services like water, sanitation, shelter, sewerage, electricity and gas.

REFERENCES Akash M.M. and Singha D. (2003). Provision of Water Points in Low Income Communities in Dhaka, Bangladesh, Paper Prepared for the Civil Society Consultation on the 2003 Commonwealth Finance Ministers Meeting in Bandar Seri Begawan, Brunei, Darussalam, 22–24 July 2003. Andrews C.T. andYniguez C.E. (2003). Water inAsian Cities: Utilities Performance and Civil Society Views. Manila, Philippines: Asian Development Bank. Asian Development Bank (2004). Water in Asian Cities: Utilities’ Performance and Civil Society Views. Manila: Asian Development Bank.

Azam K.A. (2006). Improvement of Water Supply Services in Dhaka City: Zonal Approach, Paper presented in Mayors’Asia-Pacific Environmental Summit 9–12 May 2006, Melbourne, Australia. Galvin B. (2004). Paper presented at the Forum on Urban Infrastructure and Public Service Delivery for the Urban Poor, Regional Focus: Asia, sponsored by the Woodrow Wilson International Center for Scholars and the National Institute of Urban Affairs, India Habitat Centre, New Delhi, 24–25 June 2004. Dhaka WASA (2000). Annual Report. 1999–2000. GKW Consultants (1997). Immediate Action Program for Leak Detection, supervised by DWASA. GOB (1998). National policy for water supply and sanitation. Local government division. Dhaka: Bangladesh Ministry of Local Government, Rural Development and Co-operatives. Khan H.R. and Siddique Q.I. (2000). Urban Water Management Problems in Developing Countries with Particular Reference to Bangladesh, Water Resources Development, 16(1): 21–33. Spencer J.H. (2007). Innovative Systems to Create PeriUrban Infrastructure: Assessment of a Local Partnership to Provide Water to the Poor in Vietnam, International Development Planning Review 29(1). World Bank (2005). Bangladesh Country Water Resources Assistance Strategy, Bangladesh Development Series – paper no 3, The World Bank Office, Dhaka. World Bank (2004a). Water Resources Sector Strategy: Strategic Directions for World Bank Engagement, The World Bank, Washington, DC 20433, USA. World Bank (2004b). World Development Report 2004: Making Services Work for Poor People. Washington, DC: The World Bank and Oxford University Press.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Inter-basin transfer of Nepal’s water resources for sustainable benefits B. Adhikari, R. Verhoeven & P. Troch Department of Civil Engineering, Hydraulics Laboratory, Ghent University, Belgium

ABSTRACT: This article suggests that the east-west transfer of water from larger rivers in Nepal by tunnelling through the last hill in three places is an appropriate alternative to high dams. Dams are unsuitable for a highly earthquake prone area, such as Nepal, and they cannot cope with ever increasing sediment loads of the Himalayan Rivers. Nepal must maximize irrigation in its Terai using the Himalayan river water for maintaining food security in the country. India is moving forward towards large-scale plans to transfer water from the eastern to western rivers, for which Nepal’s foot hill can serve as the best place to transfer solely from the gravity. This study suggests storing water in local reservoirs and groundwater aquifer in the Ganges plain, which would secure dry season irrigation, as well as increase Ganges River flows to benefit Bangladesh. The solution has no fixed life span like dams, and hence deserves potentials to serve for unlimited time in a sustainable manner. Keywords:

1

East-west transfer; Groundwater aquifer; high dams; local reservoirs

INTRODUCTION

The topography of Nepal varies from a plain region in the south, known as the Terai, to steep sloped snowcovered high mountains in the north. The cultivation of three crops per year in the Terai is vitally important to fulfil the food and fibre requirements of the population, which is projected to reach 39 million by 2027. Only 27 percent of the 1.34 million hectare cultivated lands in the Terai has a year-round irrigation facility, while 38 percent is irrigated only in the rainy season, the remaining 35 percent (WEC, 2002). The Projected annual water requirement of 39 km3 in 2027 is just 18.56 percent of the generation (210 km3 ). However, the situation is complicated by the fact that 80 percent of water volume is generated during the monsoon season (June–Sept) whereas the peak demand occurs during March to May when the rivers run with dramatically low discharges, making the consumptive use of groundwater unavoidable. A further complicating factor is the size of the Terai, which is a north to south sloped about 25 km wide and roughly 800 km long. Any contour canal drawing water from the Himalayan river at the foot hill deserves the potentials to irrigate a small fraction of the Terai before entering Indian Territory. That is why there is a need to increase the number of exit points of these rivers to the Terai by tunnelling across the last hill. The River Linking Project (RLP) of India, envisages construction of several large dams in Nepal, including a dam of about 300 m height at the Koshi, which will be the world’s highest dam. Bangladesh is interested

in storing water in Nepal for flood control in the rainy season and to increase the lean season flow of the Ganges. However, very little attention is given to the fact that the envisaged high dams in Nepal are located around the fault lines between the Indian and Asian plates and may fail due to earthquake.The ever increasing sediment load in the rivers is another factor ignored by planners. Most importantly, the dams themselves can be the cause of severe earthquakes as a result of immense water pressure of stored water into the faults. The life of dams is finite, however, the rivers flow for infinite time. Questions arise as to what to do with the dam and deposited sediment after the dam’s life. This paper aims to give appropriate modality of exploiting Nepal’s water resources for the mutual benefit of all three concerned countries, through tunnelling and diverting east flowing water to the west, storing water at the traditional tanks, and recharging of groundwater to attain a sustainable and environment friendly model for water resources development.

2

NEPAL’S WATER RESOURCES AND TREATIES WITH INDIA ON ITS USE

The average annual flow of the nine rivers of Nepal flowing to India is 5,675 m3 /sec. This is 47 percent of the average flow of the Ganges river at the Farakka, where India and Bangladesh divide water. Moreover, the fact that Nepal’s contribution to the Ganges flows at lean period is 75 percent (Mishra et al., 2007; WEC,

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Discharge, m3/sec

900 800 700 600 500 400 300 200 100 0

822 652 India 397

45 Koshi

Nepal

24

13

Gandak

Mahakali

Figure 1. Discharge that India and Nepal are entitled to draw from various rivers. (Source: Khalequzaman et al., 2008).

sharing water with India. This has not received proper attention from the Indian side and the present version of the RLP still intends to replicate decade old water sharing patterns which ignored the requirements of the Terai. As stated by Shah et al., (2007) a slew of upcoming contingencies will not only change the tenor of the debate around inter-basin water transfers but will make a compelling case for them, even in a different form than the present proposal. That part of the RLP related to Nepal should accommodate the transfers mentioned in this article, in addition to other sustainable canals and storages envisioned in Nepal. 3

2002) demonstrates the importance of Nepal’s water resources for all three countries. Nepal and India have signed four water resources treaties. The first was the Mahakali treaty signed in 1920 between British India and Nepal. The Koshi treaty was signed in 1954, the Gandak treaty in 1959 and the Pancheshwor treaty in 1996 (Parajuli et al., 2003). Soon after the Koshi and the Gandak treaties it was realized in Nepal that both treaties were detrimental for the country. The volume of water Nepal uses to irrigate its Terai is extremely low as compared to the volume flowing down to India as shown in Figure 1. The Gandak treaty initially deprived Nepal to withdraw water at the upstream, affecting the water requirements of the Gandak Project, resulting in the virtual end of future prospects for irrigation development in the Gandak basin within Nepalese territory. However, the treaty was revised in 1964 and Nepal received the right to withdraw for irrigation or any purposes from the river or its tributaries. In 1996 Nepal and India signed a treaty for the construction of a high dam on the Mahakali river, which envisioned to prepare the Detailed Project Report (DPR) within 6 months. However, after 11 years of the treaty the DPR could not be prepared because Nepal’s civil society still considers that the treaty is detrimental for Nepal. Most often, other riparian’s fail to understand that controlling Nepals headwater without consulting, compensating and offering reasonable benefits to Nepal is not practically possible (Rahaman, 2005). Conventional methods of water resource planning cannot satisfy conscious stakeholders and, therefore, a new approach to plan a sustainable and mutually beneficial water resource exploitation strategy is needed. In the past, the Terai was covered by dense forest, as a result, it is possible that Nepal did not consider water requirements for its Terai and agreed to supply to India an unlimited volume of water. However, population as well as cultivated lands in the Terai have expanded dramatically after the eradication of malaria and the Terais requirements need to be given high priority in

DIVERSION BY TUNNELING

The proposed solution is essential for Nepal to irrigate larger part of the Terai from the Himalayan Rivers and is based on an ecological approach to the rivers which has “already found a foothold among activists and scholars of South Asia” (Islam, 2006). Analyzing the topographic situation, differences in elevation and water availability in the tributaries considered for diversion, this study proposes the following three diversion works as the most appropriate and viable schemes to irrigate more area in the Nepal Terai and, simultaneously, to transfer large volumes of water from the eastern river to the western by force of gravity. Thus, the proposed solution is more appropriate than the east-west transfers considered by the RLP along the Indian part requiring several lifts. Transferred sediment-free water should be stored in local and other smaller reservoirs through community participation.The spot levels for analysis purposes are taken from Google Earth, 2008. In case of unwillingness from the Indian side to jointly implement the project, Nepal can alone implement the proposed diversions with smaller tunnels and link canals to serve only its Terai. 3.1

Diversion 1: Sunkoshi – Bagmati

This proposed diversion site is located 2 km downstream from the Beni Ghat, the confluence of the Sun Koshi and the Tama Koshi rivers. At the beginning, a 18 km long tunnel as indicated by T1A in Figure 2, which would deliver water to the Bagmati basin. By constructing another 8 km long tunnel, T1B Figure 2, it will be possible to further divert the flow to the Kamala river basin as well. This arrangement will annually divert 14 km3 of water from the Koshi basin to the Gandak basin. It will be possible to generate hydropower using the head difference of about 200 m between the tunnel exit and the outfall. The diverted flow from January to May will be shared by Nepal (50%) and India (50%) and the discharge of the months from June to December will be supplied to the Gandak river,

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Table 1.

Salient parametres of the proposed diversions.

S.No.

Parameters

Unit

Diversion 1

Diversion 2

Diversion 3

1 2 3 4 5

River bed level at diversion site Tunnel exit level Tunnel length Link canal length Outfall level

M M Km Km M

460 412 13 200 122

463 430 19 160 124

296 260 14 110 244

(Source: Google Earth 2008).

Figure 2. Map of Nepal showing major rivers draining to India from Nepal, proposed diversion tunnels and link canals, area to be irrigated and the existing barrages at the Koshi, Gandak ,Karnali and Mahakali rivers.

leaving about 50 m3 to meet Nepal’s requirements. Out of the total 14 km3 of diverted water, Nepal will take 2 km3 , approximately 11.60 percent of the diverted flow. There is a possibility of supplying additional flow to India during the monsoon season from water taken from the Bagmati river. The flow at the Koshi will be maintained at 70 to 80 percent even during the lean period.

160 km long open channel at 315 m contour line, the flow will be transferred to the Rapti river through a 8 km long tunnel. The differential head between Tinau and the Rapti may be used for hydropower generation. Out of the 14 km3 water, Nepal will be entitled to only 1.5 km3 , which is 10.6 percent of the diverted flow.

3.3 Diversion 3: Karnali – Mahakali 3.2 Diversion 2: Kali Gandaki – Tinau Rapti The proposed tunnels will transfer water from the Kali Gandaki river to the Tinau river initially, and will join the West Rapti from link canal LC2A and LC2B in Figure 2. From the Sikta barrage which is currently under construction, a link canal, as indicated by link canal LC2B in Figure 2, will supply water to the Man river, after which link canal LC2C will drop water upstream of the Gaghra barrage. This component contains the transfer from the Kali Gandaki to Tinau where after a

The proposed diversion site, with the tunnel and link canal, are shown in Figure 2 by indicating T 3 and LC 3. The proposed tunnel length is 14 km and the length of the link canal up to the Tanakpur barrage will be 110 km. Nepal will get 2.1 km3 of water out of 20 km3 which is 10.60 percent of the total diverted discharge. The future and present discharge ratios at different places are shown in Figure 3 which shows that the discharge at the exit to the Terai will be reduced by approximately 60 percent.

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1.00 0.90 0.80 0.70 0.60 0.50 0.40 0.30 0.20 0.10 0.00 Jan

Feb

Mar

Apr

May

June

July

Aug

Sep

Oct

Nov

MRTE Div 1

Div 1 Sunkoshi

MRTE Div 2

Div 2 Kali Gandaki

MRTE Div 3

Div 3 Karnali

Dec

Figure 3. Ratios of the future and present discharges at the diversions and main river Terai exits (MRTE). Table 2. Available and divertible monthly flows and the discharge of main river, m3 /sec. Diversion 1

Diversion 2

Diversion 3

Months

Available

Diversion

MRTE

Available

Diversion

MRTE

Available

Diversion

MRTE

January February March April May June July August September October November December

129 105 97 128 208 591 1545 1824 1255 587 290 181

80 80 80 100 150 500 1000 1500 1000 500 250 150

284 235 238 324 555 1160 3110 2840 2460 960 545 351

129 105 97 128 208 591 1545 1824 1255 587 290 181

100 80 50 50 100 500 1200 1500 1000 500 200 150

251 206 214 298 468 1110 3010 3470 2420 1100 590 342

261 236 245 314 495 1072 2319 3081 2129 931 446 314

100 100 100 100 100 800 1700 2000 1500 500 400 250

270 235 248 345 602 720 1590 2370 1520 820 232 196

MRTE: Main River Terai Exit.

4

DIVERT FIRST AND THEN STORE IN LOCAL RESERVOIRS

The World Commission on Dams (WCD) which is based on the in-depth studies of performance of various dams has observed that “. . . irrigation dam projects have all too often failed to deliver on promised financial and economic profitability-even when defined narrowly in terms of direct project costs and benefits”. It further notes that some dams have actually ‘increased the vulnerability of riverine communities to floods’. The WCD found that dams have fragmented 60 percent of the world’s river basins, and the impact on ecosystem are ‘more negative than positive, and they have lead, in many cases to irreversible

loss of species and eco-systems’. With regard to social performance, the WCD finds that ’the construction and operation of large dams has had serious and lasting effects on the lives, livelihoods, and health of affected communities, and has lead to the loss of cultural resources and heritage’. It further points out that ‘the true economic profitability of large dam projects remains elusive as the environmental and social costs of large dams were poorly accounted for in economic terms’. The WCD concludes that any positive contribution dams and barrages have made to development, this contribution ‘has been marred in many cases by significant environmental and social impacts which, when viewed from today’s values, are unacceptable’ (WCD, 2000).

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The weight of the reservoir can also force water down cracks and faults until it catalyses an earthquake. The occurrence of reservoir induced seismicity is now a well accepted fact. Building dams in a mountainous terrain increases the possibility of land slides. A large landslide behind the Vaiont dam in northern Italy in 1963 took the lives of 2500 people when a wave of water and debris spilled over the dam and swept away a small town. The Central Board on Irrigation and Power (CBIP) 1977 says: “the annual rate of siltation from a unit reservoir has been 2 to 3 times more than what was assumed at the time of the project design.” In Japan, opposition to the Nagara river estuary Dam in the 1980s sparked a nationwide movement against the construction of dams. In January 2000, opposition to the Yoshino River Estuary Dam lead to an initial people’s referendum, which led to suspension of the project. The newly elected governor of the Nagano Prefecture issued a declaration opposing new dam construction in the prefecture. This stopped the Asakawa dam, despite the fact that construction was underway, and half of the budget was already spent. Similarly, the plans for dams on the Yodogawa River system were abandoned even though construction had already commenced. Japan has also embarked on dismantling existing dams. For example, the Arase Dam on the Kumagawa River, is to be dismantled in five years. These factors illustrate that the proposed inter-basin transfer and storage in local reservoirs, including groundwater aquifers, is a sound alternative to dams. 5 5.1

STRENGTHS OF THE PROPOSED SOLUTION Groundwater recharge greatly enhanced

The proposed diversion points are situated in a tributary of the main river system, which is why the overall discharge in the main river will not be significantly affected. The supply of water to large Indian irrigation projects located at the boarder will be maintained closely at their present level, as the Gandak will get diverted water of the Sunkoshi and the Ghaghra will get water from the Kali Gandaki. Moreover, surplus water of other tributaries like the Bagmati and West Rapti can also be diverted. Irrigation in areas of Nepal Terai and water conveyance through link canals will make a substantial contribution in recharging the groundwater aquifer of the Ganges plain. Thus, the seepage and infiltration losses which occur in Nepal Terai are actually not losses at all, but in fact, is the storage of water for lean season utilization, either by pumping or in the form of enhanced downstream river discharge. In many places it has been suggested that the dry season flow from Nepal’s rivers contribute more than

75 percent of the Ganges flow at Farakka, we suggest that as quantitative coincidence. All rivers are captured and diverted to irrigate vast lands in Bihar and Uttar Pradesh, leading to the question of where does the flow at Farakka come from. The lean period flow of the Ganges should have largely contributed by the groundwater spring of its vast flood plain which is one of the largest groundwater reservoirs on earth. Keeping this reservoir fully saturated will be more efficient than storing water by dams for increasing the lean season flow at the Farakka. Another method to increase the groundwater recharge is through storing water in ponds known as tanks in India. Antagonists of IRL advocate for restoration of traditional methods of irrigation as tanks and rainwater harvesting. Our findings suggest further intensification of storing in tanks transferred water from Nepal rivers at the most ground water overdraft affected areas in order to stabilize the ground water table at such places.

5.2 Ecosystem not affected Our proposal is an environment friendly water resources development plan. The river ecosystem will not be affected by the proposed interventions. Sufficient flow will be released downstream to sustain the ecosystem. There will be no dams and therefore the fish migration will not be disturbed. The sector of the tributary at the downstream end before meeting the main river does not contain any wetlands, nor any water withdrawals for irrigation or other use. Therefore, the reduction of the discharge will not harm any downstream populations or ecosystems. Any unforeseen harm observed during the detailed study and during the public hearing should be properly mitigated. This plan does not contain any resettlement works from submergence and thus can be taken as a very environmentally friendly proposition, which is urgently required for fulfilling Nepal’s requirements as well, will be beneficial to both India and Bangladesh.

5.3 No risk of earthquake induced disaster The proposed transfer is free from the risk from earthquake induced disaster. Conventionally conceived high dams in Nepal to store large volumes of water are not appropriate solutions, due to the risk of failure from earthquakes. Nepal lies in highly earthquake prone zones and the fault line passes along the east west flowing rivers. Dams themselves can be the cause of earthquakes due to the increased water pressure at the fault lines. Loss of life and property from reservoir failure would be enormous. The proposed diversion is free of these risks. Canals and tunnels, if cracked and leaked from bigger earthquakes, can easily be repaired.

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5.4

No sedimentation problem

Our proposal of transferring water will not create any sedimentation in the source river or in the canals. As enough discharge is released downstream during the high flow period and the diverted water will be sediment-freed using a suitable deposition device, the sediment transportation and deposition pattern of the river will not be affected. Sediment free water carried from the link canals can be stored in tanks and the process can be continued for centuries without any silt problem. Conversely, the fertile sediment which is spread over the Ganges plain by the floods is an important nutrient for keeping high fertility and yield of the basin. This aspect will not be affected from our proposal. 5.5

No need of resettlement and no loss of lands from impoundment

It may be difficult to convince the Nepalese public for the construction of high dams submerging fertile river valleys and settlements. The agreement alone between governments will not be sufficient to launch the project. Many families displaced by the Koshi Project in 1960s have still not received promised land compensation and resettlement costs. In 1996 a treaty between Nepal and India was signed for the development of water resources in the Mahakali river basin which had envisioned constructing a high dam at the Pancheshwor. The Detailed Project Report (DPR) was said to be prepared in six months. However, after 11 years the DPR has not been prepared. Accordingly, both countries need to do preliminary investigations in order to reach mutually agreeable and transparent options of project development before making any such treaties. 5.6

Flood control at Bangladesh is not possible from damming Nepal rivers

During the 1988 floods, the maximum discharge of the Brahmaputra corresponded to a 100 year return period flood, and the Ganges river reached its peak discharge, a 40 year return period flood, three days later.At the Goalundo stream gauging station, the maximum discharge of 132,000 m3/sec was measured. In the same flood period, the Karnali river recorded a peak discharge of 11,000 m3 /sec, and the Mahakali river 4,079 m3 /sec (Nippon, 1993). The above data show that even large dams in Nepal will not be able to control floods within Bangladesh territory. While devastating, floods also offer positive aspects, such as the spreading fertile soil over the Ganges plain and, as well, make significant contributions in groundwater recharge and soil moisture retention. Therefore, a degree of flooding is even required at certain intervals. Accordingly,

it is felt that floods should be managed, not completely controlled or stopped.

6

CONCLUSIONS

Experiences of the past have shown that water delivery alone cannot be the solution to water scarcity. There are big opportunities for improving water availability through proper water management practices and applying the modern technology of farming. In the developed countries, surface irrigation technology has been largely replaced by piped systems which have resulted in a dramatic increase of water productivity. In South Asia, where annual precipitation exceeds 1000 mm, there is a great possibility of storing rain-water by making small reservoirs. This will increase flow in local streams, contribute to increased groundwater recharge, and will provide surface irrigation. In those areas where groundwater overdraft is excessive and only rainwater harvesting and tank systems are not sufficient, the transfer from other basins will be unavoidable to stabilise the groundwater overdraft. We suggest determining the most groundwater overdraft affected areas and assessing the volume of transfer, duly considering the contribution of rainwater harvesting and other water management practices. High dams in Nepal are subject to high risk of failure due to earthquakes. The prevailing principles of dam design are not sound in view of long term performance and sustainability. Therefore, dams are unacceptable for Nepal as found by the WCD studies. Our proposal is free of such shortcomings and simultaneously serves a large part of the Terai. It also contributes to the groundwater recharge in the Ganges plain which will ultimately increase lean period discharge at the Farakka, as desired by Bangladesh. Although this study directly benefits Nepal Terai, for which this is the most appropriate solution, the RLP of India which relies on the surplus water of rivers flowing from Nepal, should be able to accommodate the solutions given by this study. This study has suggested an alternative to the conventional design and management of water resources. This research supports a strong opposition to the construction and proliferation of large dams in Nepal for a variety of reasons. Mainly, the high risk of earthquakes, the extremely high sediment loads which will eventually fill reservoirs within a short time period, as well as the loss of ecosystems and possible negative impacts on the population. Construction of small reservoirs at the remote areas of the Himalaya may be a possibility for increasing the dry season flow to some extent. While with the proposed approach tremendous groundwater storage will be achieved in the Ganges basin, it will also be effective in increasing the dry

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season flow of the Ganges, simultaneously serving the agriculture of the area by conjunctive use of ground and surface water.

REFERENCES Islam N. (2006). The Commercial Approach vs. the Ecological Approach to rivers: An essay in response to the Indian River Linking Project (IRLP) Futures 38, 586–605. Khalequzaman M., Srivastava P., Faruque F.S. (2008). The Indian River-linking Project: A Geologic, Ecological, and Socio-economic Perspective. www.lhup.edu/mkhalequ/ Research/Indian%20River-linking%20Project. ppt Mishra A. K., Yaduvansi M., Bhadauriya Y., Saxena A., Mishra A., Thakur A. (2007). Proposed river-linking project of India: a boon or bane to nature. Environ Geol 51: 1361–1376.

Nippon Koei Co. Ltd., Tokyo (1993). Master Plan Study for Water Resources Development of the Upper Karnali River and Mahakali River Basins. Parajuli U., Miah M., Rahman K., Hamid S., Mukherjee S., Verghese G. (2003). Water sharing conflicts between countries, and approaches to resolving them. Global environment and energy in the 21st century, Honolulu, Hawai. Rahaman M.M. (2005). Integrated water resource management in the Ganges basin: Constraints and opportunities Licentiate thesis Helsinki University of Technology. Shah T., Roy A.D, Qureshi A., S., Wang J. (2003). Sustaining Asia’s groundwater boom: An overview of issues and evidence. Natural resources forum 27, 130–141. World Commission on Dams (WCD) (2000). Dams and Development: A new Farmework for Decision Making (Report of the World Commission on Dams), London: Earthscan Publications Ltd. Water and Energy Commission (WEC) (2002). Water Resource Strategy of Nepal. Kathmandu, Nepal.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Virtual water trade as a solution for water scarcity in Egypt A.A. El-Sadek Drainage Research Institute, National Water Research Center, Cairo, Egypt

ABSTRACT: The combination of continued rapid population growth and severely constrained fresh water resources confronts Egypt with great challenges in the pursuit of sustainable development. This situation highlights the need to look for new non-conventional water resources. Understanding of the virtual water trade concept and strategy is important for formulating informed policies for improving water use efficiency at different levels. However, the introduction of virtual water concept as a policy option in Egypt is still in need for extensive investigations, research, and feasibility evaluation. This paper is primarily concerned with investigating the prevailing water/food situation in Egypt. It outlines water and food security situation and figures, as well as policy measures undertaken to meet the challenges. The role of ‘virtual water’ within a broader policy framework is demonstrated using crop production and international trade data from Egypt, where substantial amounts of ‘virtual water’ is embodied in wheat and maize imports. Keywords:

1

Economical situation; Egypt; policy option; virtual water; water scarcity

INTRODUCTION

Water, an indispensable commodity for life of all beings and for the development and well being of human societies, has a finite nature of availability at global, regional and national territorial theatres. The need for it, at individual and national levels is not as finite, but is rather ever-increasing prompted by improved technological deliveries and uses, by improved incomes that enhance better living standards, and by the net growth in the levels of population at national levels. Coupled with management challenges at individual, national and regional levels, the water challenges have become serious and, at times, insurmountable if faced in absence of cooperation at national, regional and, indeed, international levels (Haddadin, 2003). One of the major indicators of the scale of the water deficit of water scarce countries is the level of its food imports. The reason food imports are such a strong indicator of water deficit is that the water required to grow food is referred to as the dominant consumptive use of water. The use is dominant whether viewed from the point of view of the individual citizen or the national economy. Water used in the agricultural sector exceeds by ten times the water used by the industrial and municipal sectors combined (Allan, 1997). The main challenge facing Egyptian national development is limited water resources. Water is the main factor, which determines the type, size and location of any

economic activity. Egypt is a very arid country, where the average annual rainfall seldom exceeds 200 mm along the northern coast. The rainfall declines very rapidly from the coastline to the inland areas, and becomes almost non-existent south of Cairo.This meagre rainfall occurs in the winter in the form of scattered showers, and cannot be depended upon for extensive agricultural production. Thus, reliable availability of irrigation water is a necessary condition for agricultural development. In Egypt, about 85 percent of the water resources are consumed in the agriculture sector. It is thus important to investigate these issues before reaching conclusions about the suitability of virtual water trade as a policy option. This paper is primarily concerned with investigating the prevailing water/food situation in Egypt. The investigation includes outlining water and food security facts and figures, as well as policy measures undertaken to meet the challenges. 2 THE VIRTUAL WATER CONCEPT The concept of virtual water was introduced for the first time in London in late 1994 after realizing that the term ‘embedded water’ did not have much impact. Water is required for the production of food such as cereals, vegetables, meat, and dairy products. The amount of water consumed in the production process of a product is called the ‘Virtual Water’ contained

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in the product. Approximately, Virtual Water trade among countries amounts some 15 percent of the total water use on earth, including rained agriculture. For example, about 1000 litres of water is needed to produce one kilogram of wheat. However, about five to ten times as much is needed for producing one kilogram of meat. Virtual water is practiced between countries as exchange of food, fibre, and manufactured goods. Trade in cereals and other crops as virtual water amounts in average to some 64 percent of total virtual water trade, while animal products amount to about 25 percent, and other about 11 percent. Virtual water allows some countries to support other countries in their water needs. As opposed to producing these goods themselves, the importing country can utilize this water for other purposes. Therefore, a water-scarce country can import products that require a lot of water for their production rather than producing them domestically. By doing so, real water savings can be attained relieving the pressure on the water resources worldwide. Nevertheless, importing countries need not to be water-poor or water-short to a receiver of thisVirtual Water. For example, the bananas and citrus are imported by Canada, which is very rich in water resources, from Central America. Conversely, some high water short countries like Jordan or Gaza both export food commodities (citrus, vegetables). Therefore, virtual water trade among nations and even continents could thus ideally be used as an instrument to improve global water use efficiency, to achieve water security in water-poor regions of the world and to alleviate the constraints on the environment by using best suited production sites. As sustainable development, the conceptual framework of integrated water resources management consists of several dimensions. In this case the characteristics of the virtual water trade concept and model are located within three main disciplines and theories. The new developments within water, development and regionalism suggest a new approach to regional development is necessary.

3 WATER RESOURCES IN EGYPT The main and almost exclusive source of surface water in Egypt is the River Nile. The 1959 agreement between Egypt and Sudan was based on the average flow of the Nile during the period 1900–1959. The average annual flow at Aswan during that period was 84 billion m3 . The average annual evaporation and other losses in Lake Nasser were estimated as 10 billion m3 , leaving a net usable annual flow of 74 billion m3 . Under the 1959 treaty, 55.5 billion m3 were allocated to Egypt and 18.5 billion m3 to the Sudan. The High Aswan Dam was constructed in 1968 to assure the long-term availability of water for both countries.

Its lake has a live storage capacity of 130 billion m3 . The annual discharges from the High Dam Lake during the period 1968 to 2000 are 67.6 billion m3 . Water resources in Egypt are limited to the following resources: • • • •

Nile River, Rainfall and flash floods, Groundwater in the deserts and Sinai, and Water reuse and possible desalination of sea water.

Each resource has its limitation on use, whether these limitations are related to quantity, quality, space, time, or use cost. The following is a description of each of these resources. Egypt’s main and almost exclusive resource of fresh water is the Nile River. The Nile River inside Egypt is completely controlled by the dams at Aswan in addition to a series of seven barrages between Aswan and the Mediterranean Sea. Egypt relies on the available water storage of Lake Nasser to sustain its annual share of water that is fixed at 55.5 BCM annually by agreement with Sudan in 1959. The agreement allocated 18.5 BCM to Sudan annually, assuming 10 BCM as evaporation losses from Lake Nasser each year based on an average annual inflow of 84 BCM/year. This average was estimated as the annual average river inflow during the period 1900 till 1959. The combination of continued rapid population growth and severely constrained fresh water resources confronts Egypt with great challenges in the pursuit of sustainable development. The total population of Egypt increased from 22 million in 1950 to 75 million today, and is likely to increase to above 120 million (Cech, 2003) by 2050. This more than five-fold increase in population size occurs in the context of fixed fresh water availability or even declining availability in the context of climate change. In 1997, Egypt fell below the international standard of water scarcity of 1000 m3 /person/year. Over the coming decades this declining trend will continue toward highly critical levels. In addition, an otherwise much welcomed increase in economic growth tends to be associated with a much higher household water consumption as well as consumption for agricultural and industrial purposes. As the Egyptian population has grown, increased food was required and controlled irrigation was invented. The water available to Egypt is barley sufficient to satisfy current needs and land reclamation schemes are pessimistic even though necessary with the growing population pressure. Eighty-five percent of total water use is used for agricultural purposes in Egypt. Almost all of Egypt’s population lives in the vicinity of the Nile making out 4 percent of the total land area. The river is extremely important to the country as its agriculture is completely based on it as source of irrigation.

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4

FOOD PRODUCTION AND TRADE IN EGYPT

Wheat, maize, and rice are the primary food crops in Egypt. The per capita supplies of wheat, maize, and rice in Egypt have increased substantially since the 1960s, even though the population has grown from about 30 million to 75 million during the same time period. Those increases have been made possible by improvements in agricultural technology, policy reforms that have encouraged farmers to enhance productivity, and increasing imports of wheat and maize. Imports of food and fodder crops, and the virtual water contained in those crops, have contributed to Egypt’s ability to maintain aggregate food security. However, Egyptian farmers also produce large amounts of water-intensive and low-valued crops for both domestic production and export. Hence, virtual water is imported and exported from Egypt through its involvement in international trade. The complex nature of virtual water trade and the potential impacts of public policies on farm-level decisions are demonstrated by reviewing empirical information describing Egyptian agricultural production, imports, and exports. Domestic production of wheat and maize has been increasing somewhat sharply since the mid-1980s (Wichelns, 2001). In particular, the rates of increase in domestic production since 1986 are notably higher than the rates observed before (Figure 1). The rapid rate of increase observed in recent years are likely due, in

part, to policy changes that have allowed Egyptian farmers greater freedom in choosing crops and in selling their produce in competitive markets (Nassar et al., 1996; Abdel-Latif et al., 1998). Wheat yields per hectare increased by an average rate of 3.7 percent per year between 1980–84 and 1992–96 (Wichelns, 2001). Farm-level returns to wheat and maize production improved in the 1990s, due partly to government policies that protected poultry and livestock production (World Bank, 1993), while net returns to cotton production were still limited by government restrictions regarding production and marketing options (OkonjoIweala and Fuleihan, 1993; Khedr et al., 1996). Land reclamation programs also contributed to the increase in wheat and maize production observed in the 1990s (Shousha and Pautsch, 1997; Wichelns, 2001). Wheat imports increased from about 5 million tons in 1982 to more than 7 million tons in 1998, before declining to about 5 million tons again in recent years (Figure 1). Maize imports have increased from less than one million tons in 1982 to more than 4.5 million tons annually, since 2000 (Figure 1). Rice production has risen from about 2.5 million tons of milled equivalent to 6.0 million tons in 2001. This sharp rate of increase is consistent with the trend observed for wheat and maize (Figure 1) and likely is due to changes in government policies that have enabled farmers to earn greater net returns from rice production. Domestic production of cotton in Egypt has generally been declining since 1980, although

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Table 1. Virtual water trade balances for Egypt where different estimates are available (in billion m3 per year).

Gross virtual water import Gross virtual water export Net virtual water import

Chapagain & Hoekstra (2003)

Zimmer & Renault (2003)

Yang & Zehnder (2002)

19.4 1.0 18.4

22 1 21

– – 16.0

production has increased above the declining trend in some years (Figure 1). The period during which cotton production has been declining coincides generally with the period during which the domestic production of wheat, maize, and rice has been increasing. Most of the rice produced in Egypt is consumed domestically, while a small but increasing proportion of the crop is exported (Kotb et al., 2000). Rice exports have risen from very small amounts in the 1980s to more than 800,000 tons in recent years. Cotton exports, which historically have been an important source of foreign exchange in Egypt, declined from 203,000 tons of lint in 1983 to just 13,000 tons in 1991 (Figure 1), due primarily to changes in agricultural policies and government decisions regarding the allocation of cotton between domestic and international markets (Khedr et al., 1996). Cotton exports have remained below 70,000 tons annually since 1991, with the exceptions of 1994 and 1999. Increases in the production and export of rice, in combination with declining exports of cotton might appear to be inconsistent with a virtual water strategy to maximize the value of Egypt’s limited water supply. However, it is possible that both rising domestic production and rising imports have been needed to achieve food security, given the large rate of population growth in Egypt. Increases in domestic production of food and fodder also may have been essential in improving incomes, reducing poverty, and enhancing household food security in rural areas. In addition, public policies that influence farm-level decisions have encouraged farmers to produce food and fodder crops, rather than cotton, even though cotton may generate greater returns per unit of water (Wichelns, 2001). Virtual water trade balances for Egypt are given in Table 1. Farm-level choices are influenced also by farmlevel resource constraints. For example, farmers with a limited supply of land, but a relatively abundant water supply, will choose crops that maximize returns to land, rather than to water. Most farmers in Egypt have only small amounts of land available, while water is relatively abundant. The national average farm holding is about one hectare of land, while farm-level water use in many areas is not constrained. In many areas, farmers can obtain sufficient water to support the production of two or three crops per year on all of their land. In areas where land is scarce, relative to

the available water supply, farmers will choose crops that generate the largest farm-level net benefits per unit of land, rather than per unit of water (Wichelns, 2001). 5 VIRTUAL WATER TRADE IN THE EAST NILE RIVER BASIN AS A CASE STUDY The east Nile river basin includes Egypt, Sudan and Ethiopia. Weyler (2004) suggested that Sudan’s irrigated area could be expanded, at the expense of Egypt and Ethiopia. But since Ethiopia has limited potential for irrigated agriculture because of its topography, they are better off developing their hydropower potential, reducing evaporation losses and increasing electricity availability domestically and regionally. Sudan may have better crop yields than Egypt, as may Ethiopia.The abundance of labour in Ethiopia and land abundance of Sudan argues for trans-border cooperation that will improve rural incomes and enhance food security (Wichelns, 2003). Egypt has a comparative advantage in the production of high-value crops for export to European and Middle Eastern markets. According to Weyler (2004), the sum of net benefits in the region could be increased if Egypt reallocates some of its water from the production of grain crops to higher-value fruits and vegetables (Figure 2), while Sudan increases its production of rice and traditional crop, sorghum. Egypt’s agricultural water demand declines if a shift toward horticulture takes place. Sudan may increase cotton production while the textiles factories are located in Egypt. A market for goods would expectantly grow on its southern border where high-value products, such as fruit and vegetables, as well as textiles, would be exchanged for grain, rice and cotton at affordable prices. Weyler (2004) also predicted in their longterm scenario that Egypt and Sudan might offer their support for water resource development in Ethiopia, provided they would get favourable energy contracts. Weyler (2004) viewed the implementation potential of the scenarios as small, but are of the opinion that cooperative agreements over other inputs than water will be necessary for sustainable economic development in the region. Table 2 shows volumes of virtual water embedded in the net imports of non-cereal agricultural food products.

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Table 2. Volumes of virtual water embedded in the net imports of non-cereal agricultural food products. Quantity (103 tons) Sugar Oil crops Vegetable oils Pulses Total volume of virtual water Per capita virtual water (m3 /capita)

1231.33 244.00 817.00 197.67

Virtual water (106 m3 )

912.10 366.00 4085.00 296.50 5659.60 84.86

Source: Yang & Zehnder, 2002.

6 VIRTUAL WATER TRADE IN THE EGYPT: PROS AND CONS It is important to investigate the policy options provided by the virtual water trade concept and the suitability of such option to Egypt. The concept of virtual water is relevant to most of the developed, developing and least developed countries. Local planning and regional collaboration incorporating the notion of virtual water trade could result in exchange of goods, diversification of crops, diet awareness creation or crop replacement actions for any country. Conversely, scholars in Egypt contradict the political argument that has been put forward by Tony Allan from the beginning of the virtual water debate, that virtual water trade can be an instrument in solving geo-political problems and even prevent wars over water (Allan, 1998 and 2003). The contradiction is simply based on the perception that food exporting countries are mostly western countries, and the relationship between Egypt and western countries is dominated by scepticism and fear of domination. Thus, looking at the big picture, it is perceived by Egypt that dependence on food imports will result in giving in to foreign domination. Next to the political dimension, there is the economic dimension, equally stressed by Allan (1997, 1999 and 2001). The economic argument behind virtual water trade is

that, according to international trade theory, nations should export products in which they possess a relative or comparative advantage in production, while they should import products in which they possess a comparative disadvantage (Wichelns, 2001). In addition, growing food (i.e. feeding oneself) has other important aspects, aside from that of the economic or political ones; the cultural and social aspects are of major influence on the decision whether or not to grow a certain crop. Hoekstra and Hung, 2005; Hoekstra and Chapagain, 2007, argue that, while pricing and technology can be means to increase local water use efficiency and reallocating water at basin scale to its higher-value alternative uses a means to increase water allocation efficiency, virtual water trade between nations can be an instrument to increase “global water use efficiency”. From an economic point of view it makes sense to produce the water-intensive products demanded in this world in those places where water is most abundantly available. In those places water is cheaper, there are smaller negative externalities to water use, and often less water is needed per unit of product. Virtual water trade from a nation where water productivity is relatively high to a nation where water productivity is relatively low implies that globally real water savings are made. As previously mentioned, past food security policies were based on area expansion to support the objectives of food self-sufficiency and to enhance exports. These expansions proved to be infeasible with respect to available water resource and lead to real threats to the sustainability of current developments. In fact, future increases in agricultural production must come from the increased productivity of land and water, both in terms of higher yields and cropping intensities for which scope still exists. This will lead to greater water savings by reducing wasteful water losses to low economic value crops and achieving more efficient water use and better agronomic practices. Before adopting the virtual water policy option, Egypt needs to be assured that they can have fair and secure trade with water-abundant nations.

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Figure 3. Food trade dependency in Egypt.

In short, the concept of virtual water is well founded, provided countries have more transparent pictures of its comparative advantage and, accordingly, they can translate it into a competitive advantage. The second issue pertains to the level of the economic base, i.e. whether the economy of the country is well developed and diversified to take the decision of reallocating water from cereals, which provide subsistence living to large sections of rural population. Regional cooperation on this subject is of paramount importance as it would allow countries of the region to assess and analyze the situation on a broader basis, taking into consideration common strategic issues. Beside the direct financial cost, other costs to be considered related to imports by water deficit countries to solve food deficiency are (WWC, 2004): (i) increased dependency on main exporting countries; (ii) if not able to compete or adapt, local agriculture may be damaged, because of importing food; (iii) the exporting country may start interfering in internal affairs of importing country; and (iv) imports may result in foreign reserve depletion if there is no export compensation of less water intensive or higher value commodities. 7 VIRTUAL WATER TRADE IN EGYPT AS A POLICY OPTION Currently, Egypt’s net virtual water import as a percentage of water resources has mounted to be about 23%. The River Nile is almost the only source of water supply for agricultural production, which is 100 percent irrigated. Water shortage has impeded the country to expand croplands. Domestic food production has not been able to keep up with the increase in food demand. Net cereal import in the country increased from 6 million tons in the early 1980s to about 10 million tons at the turn of the last century. Figure 3 shows the food trade dependency in Egypt. In 2010, the cereal baseline demand will be 29.982 × 106 tons with increase of 20.69 percent to current situations where this baseline demand will

be 33.887 × 106 tons with increase of 36.41 percent. Faced with this situation, a critical question that the country has to face is how to safeguard its long term food security with the limited water resources. Searching for answers to this question is the motivation of this proposed research project, which aims at assessing the feasibility of applying the virtual water concept/strategy to improve regional water use efficiency in Egypt, taking into consideration water endowments, and other natural and social economic conditions across regions/provinces in the country.The main concern here, is to apply the concept of virtual water, as a strategy, in a way that meets its interest and needs, having in mind the main objectives of the National Water Resources Plan until 2017. The overall plan objective is to utilize available conventional and non-conventional water resources to meet the socio-economic and environmental needs of the country. The policy focuses principally on three major aspects: demand management, resource development, and environmental protection. The water demand management policies used are based on taking action with regard to: (a) (b) (c) (d) (e) (f) (g) (h)

optimal use of available resources; minimizing water losses; irrigation improvement; cost sharing; cropping pattern shifts; optimizing use of ground water; reuse of agricultural drainage water; reuse of treated wastewater.

Virtual water trade in the region has not proved to contribute directly to regional development in the region. The main reason is the lack of a regional market. Without functioning local and regional markets, opportunity costs or comparative advantages cannot be established properly. The market place is not simply where goods are exchanged, as it is as much where information is gathered about prices and values are established. Well functioning markets do not presently exist in these countries. Egypt presumably has the most well defined market, especially for agricultural goods, but the place of exchange is Europe and Middle East. In comparison to the Middle East, Egypt’s water comes cheap, considering both comparative advantages and conflict proneness. However, on a basin-level scale which is the relevant scale for water resources management, Egypt’s water is expensive comparatively.

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CONCLUSIONS

Egypt is currently facing serious challenges arising from the implications of economic development.

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Perhaps one of the most critical challenges is the drastically decreasing per capita water availability. Policy development failed to keep up with the accelerated changes in the socioeconomic context. Virtual water import can, and has played an important role in compensating for water scarcity at country and regional levels. The virtual water strategy concerns integrated measures at global, national and local levels. However, understanding of the virtual water trade concept and strategy is important for formulating informed policies for improving water use efficiency at different levels. The introduction of virtual water concept as a policy option in Egypt is still in need for extensive investigations, research, and feasibility evaluation. Currentely, Egypt is counted among water-poor countries. This situation is mainly due to its limited fresh water resources and continuous increase in water requirements. As a consequence, Egypt relies more and more on new technologies and appropriate policies that support the implementation of the integrated water resources management concept. The government has adopted a water policy towards the year 2017 that depends on three pillars: •

optimization of the use of all available water resources; • minimizing pollution of water resources; • working with the Nile riparian countries to receive an additional quota from the Nile water, which is lost in the system. For a country like Egypt, it is not the problem of affordability of applying the virtual water concept, but more the problem of priority and independence related to food security. If limited resources of Nile water was used as production input in high-value crops such as horti-culture instead of low-value and water intensive crops such as cotton or rice, it could increase the value of the input water. Increasing the water used in industry (textiles for example) would also increase the output of water use, as it produces manufactured goods that usually are considered a step up on the development scale. In order to adopt the application of virtual water concept in the national water resources strategy of Egypt, there is a need for a clear vision and understanding of its pros and cons according to the Egyptian conditions. Eventually, there are many other aspects in the balance equation of virtual water concept that limit its applicability in Egypt. These aspects need to be subject to extensive research investigation, and analysis. Although import of virtual water trade will relieve the pressure on the national water resources, including this new concept as a policy option in Egypt requires further research and thorough understanding of the impacts and interactions on the local social, economic, environmental, cultural, natural, and political situation.

REFERENCES Abdel-Latif A.M., Kherallah M. and Gruhn P. (1998). Wheat policy reform in Egypt: effects on production, prices and marketing channels. Dev. Policy Rev., 16: 227–240. Allan J.A. (2003). Virtual water eliminates water wars? A case study from the Middle East, in Virtual Water Trade: Proceedings of the International Expert Meeting on Virtual Water Trade, edited by A. Y. Hoekstra, 137–145, UNESCO-IHE Inst. for Water Educ., Delft, Netherlands. Allan J.A. (1999). Water stress and global mitigation: water food and trade. Arid Lands Newsletter No. 45. http://ag.arizona.edu/OALS/ALN/aln45/allan.html. Allan J.A. (2001). The Middle East water question: Hydropolitics and the global economy. London: I.B. Tauris. Allan J.A. (1998). Virtual water: a strategic resource. Global solutions to regional deficits. Groundwater, 36(4): 545–546. Allan T. (1997). Virtual water: a long term solution for water short Middle Eastern economies?. British Association Festival of Science, Roger Stevens Lecture Theatre, University of Leeds, Water and Development Session – TUE.51, 14.45. Cech T.V. (2003). Principles of water resources: history, development, management, and policy. New York: John Wiley & Sons. Chapagain A.K. and Hoekstra A.Y. (2003). Virtual water flows between nations in relation to trade in livestock and livestock products. Value of Water Research Report Series No. 13, UNESCO-IHE, Delft, the Netherlands. Haddadin M. (2003). Water: a regional community. In search for common ground for Peace and development. The Arab Thought Forumm Annual conference 2003. Amman, Jordan. Hoekstra A.Y. and Hung P.Q. (2005). Globalization of water resources, Global Environ. Change, 15, 45–56. Hoekstra A.Y. and Chapagain A.K. (2007). Water footprints of nations: Water use by people as a function of their consumption pattern, Water Resour. Manage., 21(1): 35–48. Khedr H., Ehrich R. and Fletcher R. (1996). Nature, rationale and accomplishments of the agricultural policy reforms, 1987–1994. In: Egypts Agriculture in a Reform Rea, Fletcher, L.B. (Ed.). Ames: Iowa State University Press. Kotb T.H.S., Watanabe T., Ogino Y. and Tanji K.K. (2002). Soil salinization in the Nile Delta and related policy issues in Egypt. Agricultural Water Management, 43: 239–261. Nassar S., Sanda F.B., Omran, M.A. and Krenz R. (1996). Crop production responses to the agricultural policy reforms. In: Egypt’sAgriculture in a Reform Rea, Fletcher, L.B. (Ed.). Ames: Iowa State University Press. Okonjo-Iweala N. and Fuleihan Y. (1993). Structural adjustment and Egyptian agriculture: some preliminary indications of the impact of economic reforms. In: Sustainable Agriculture in Egypt, Faris, M.A., Khan, M.H. (eds.). Boulder: Lynne Rienner Publishers. Shousha F.M. and Pautsch G.R. (1997). Economic reform and aggregate cropping patterns for Egypt. Agric. Eco. 17: 265–275. Weyler E. (2004). Regional development in the East Nile River Basin: Exploring the concept of virtual water trade. LUMES, Lund University, 43.

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Wichelns D. (2001). The role of virtual water in efforts to achieve food security and other national goals, with an example from Egypt. Agricultural Water Management, 49: 131–151. Wichelns D. (2003). The policy relevance of virtual water can be enhanced by considering comparative advantages, Agricultural Water Management, 66: 49–63. World Bank (1993). Arab Repulic of Egypt: An Agricultural Strategy for the 1990s. A World Bank Country Study. Washington. DC, 124.

World Water Council (2004). Virtual water trade – Conscious choices. E-Conference Synthesis., http://www.worldwater council.org/index.php. Yang H. and Zehnder A.B.J. (2002). Water scarcity and food import: a case study from southern Mediterranean countries. World Development, Vol., 30(8): 1413–1430.

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Southeastern Anatolia Project (GAP) in Turkey: An integrated water resources-based project B. Acma Anadolu University, Department of Economics, Unit of Southeastern Anatolia Project (GAP), Eskisehir, Turkey

ABSTRACT: The Southeastern Anatolia Project (GAP) focuses on the sustainable development of the land and water resources, as to develop, sustain and increase the production of hydroelectricity and the output of agriculture. Since initiation, the GAP Project underwent several changes, and most importantly, in its course new aspects such as human sustainability and participation, in addition to environmental sustainability, were added. In the following paper, an introduction is given of the GAP Project, including a description of recent developed strategies and resolutions as to guarantee short-, mid- and long-term sustainable development. Keywords: Natural and water resources; Southeastern Anatolia Region and Southeastern Anatolia Project (GAP); Turkey

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2 THE NATURAL POTENTIAL OF THE REGION

INTRODUCTION

The Southeastern Anatolia Project (GAP), one of the major development projects in the world, will have a tremendous socio-economic impact both locally, in Southeastern Anatolia Region, and nationally. The Southeastern Anatolia Region is strongly underdeveloped notwithstanding its potential rich resources. Originally the GAP was set-up as an energy production and irrigation project. It was later, upon the completion of the GAP Master Plan in 1989, converted into an integrated regional development project. The basic development scenario adopted by the Master Plan is to transform the region into an industrialised agricultural based center (GAP Administration, 1991). The development envisaged under the GAP has the goal of creating opportunities for the people of the region, fully materialising their preferences and economic potentials. Other than dams, hydroelectric plants and irrigation schemes over the rivers of Euphrates and Tigris, the concept of Southeastern Anatolia Project is conceived as a regional development drive aiming the multifaceted and sustainable socio-economic development of the Region on the basis of a multi-sectoral and integrated approach, which covers such diverse areas as urban, rural and agricultural infrastructure, transportation, industry, education, health, housing, tourism and investments in many other fields (Acma, 2001).

The land and water resources are developed by the State Hydraulic Works (DSI) Department and infrastructural works consist in the construction on the Euphrates and Tigris River Basins of 22 dams, 19 hydraulic power plants and the conversion of 1.7 million rainfed agricultural land into irrigated land. Upon the completion of the project, 29% of the total water potential of Turkey will be managed through the facilities on the Euphrates and the Tigris, which together annually yield more than 52.9 billion cubic meters. The total projected hydroelectric capacity of power plants is estimated at 7476 MW, producing annually roughly 27 billion kWh. The planned irrigation area corresponds to 20% of total irrigable land in Turkey and annual energy production to 22% of total electric energy potential in Turkey (GAP Administration, 1993a). The GAP region extends over an area of 75,000 km2 and a wide range of crops due to the spatial climate variability is cultivated, including olive, pistachio, hazelnut and persimmon. The region has 3.2 million hectares of land suitable for crop production. Forested areas make up 1.3 million hectares while 2.3 million hectares of land consists of pastures and range land (GAP Administration, 1993b). In 1998, the region accounted for 41.6% of the total cotton output of Turkey. Favorable climate conditions

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in the region make it possible to grow two crops in a year. Upon the completion of the irrigation projects foreseen in the GAP, the area under irrigation will be equal in size to the total area so far brought under irrigation by the State. This will bring along significant changes in agricultural output and crop design. Irrigation-led crops like soybean, groundnut, corn, sunflower and fodder crops will become the basis of the agro-industries (Acma, 2003b). In addition, the region lends itself to animal husbandry. In this context, research projects led by the GAP Administration focus on genetic improvement and development of advanced breeding techniques. Gradual implementation of the GAP Project will significantly alter the regional land and water uses. Expected high potential in both industry and agriculture will increase the income level of the region fivefold and create employment for 3.5 million people in the region whose population is projected to reach more than 10 million in 2010. Rapid urbanisation and industrialisation will bring along new transformations in both rural and urban areas. For example, the GAP made it feasible that for the first time in Turkey the management, operation and maintenance of new irrigation systems have been directly transferred to Irrigation Districts, organisations run by local farmers. Problems emerging as a result of excessive and uninformed practices of irrigation are as follows: increased effects of climate change on crop farming and plant cover in the region; corresponding changes in the flora and fauna; erosion and adverse effects of uncontrolled growth on natural, historical and cultural properties. Together, these urge reconsideration of the project from a cultural and environmental point of view (Acma, 2003a). In terms of natural resources, Southeastern Anatolia is one of the most unique areas in Turkey. It is the gate through which species, peculiar to steppe and semidesert areas enter Turkey. The region is home to two different living environments: i) Banks of the Euphrates and the Tigris, their flood plains and major tributaries of these two rivers; and ii) Steppe and semi-desert areas especially in the southern parts of the region. The wetlands and the desertic areas are host of many endemic species of plants, animals, birds and fish. The GAP targeting agricultural and economic changes and thus social transformation through water resources management is transforming steppes into irrigated farmlands and river beds into dam lakes. While the project ensures increases in agricultural output, the transformation may lead to the disappearance of natural living environments of many waterborne and steppe species. Considering this risk, the GAP Administration has since 2001 been conducting the Project for Exploring Biological Diversity in the Region. The

Wild Life Project was launched in 2002 in the context of efforts for rehabilitation. 3

HISTORY OF GAP PROJECT

The Southeastern Anatolia Project (GAP) is a multisector and integrated regional development effort. Its basic objectives include the improvement of living standards and income levels of people so as to eliminate regional development disparities and contributing to such national goals as social stability and economic growth by enhancing productivity and employment opportunities in the rural sector. The project area covers the basins of the Euphrates and Tigris and Upper Mesopotamia. Planned in the 70s the GAP originally consisted in the development of hydraulic energy and the conversion of dry farmland in irrigated land. In the 80s the project was transformed into a multisector social and economic development program. The development program encompasses sectors as irrigation, hydraulic energy, agriculture, rural and urban infrastructure, forestry, education and health. The basic philosophy of the project is sustainable human development, through the creation of an inductive environment in which future generations can develop and benefit. The basic strategies of the project include fairness in development, participation, environmental protection, employment generation, spatial planning and infrastructure development (Acma, 2003c). 4

BACKGROUND OF SOUTHEASTERN ANATOLIA PROJECT

The GAP region encompasses the provinces of Adiyaman, Batman, Diyarbakir, Gaziantep, Kilis, Mardin, Siirt, Sanliurfa and Sirnak. This region is surrounded by Syria to the south and Iraq to the southeast, has a surface area of 75,358 km2 corresponding to 9.7 percent of the total land area of Turkey. The region, also called as “Fertile Crescent” or “Upper Mesopotamia”, is known as the cradle of antic civilizations. For much of history, the region served as a bridge between Anatolia and Mesopotamia. The region is drained by the Euphrates and the Tigris, two major rivers in Turkey flowing to the Persian Gulf, having their sources in Eastern Anatolia. Through the regulation of the flow regimes of both rivers, the development of the water resources and the irrigation of the fertile plains along those rivers the Southeastern Anatolia region, being poorer and drier than the other regions of the country, could be developed. The idea to utilise the waters of these two rivers rationally came from Atatürk, the founder of the Republic. In those years when the country was making great efforts for change and modernisation in all fields,

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the need for electric energy emerged and became a national priority issue. In 1936, upon the order of Atatürk, the Electricity Studies Administration was founded to investigate how the rivers in the country could be utilised for energy production. The Administration began its detailed studies with the “Keban Project” and created several monitoring stations as to assess the flow characteristics of the Euphrates; geological and topographical surveys started in 1938. The Administration ordered geological drillings along the Euphrates and the Tigris in the period 1950–60. Realising that some new needs and requirements emerged, the General Directorate of State Hydraulic Works (DSI) was established in 1954, with the objective to conduct basin scale studies, covering the 26 different water basins of the country. As a result, in 1961 the Euphrates Basin Development Report was published depicting the irrigation and energy potential of the Euphrates, and in 1966 the Lower Euphrates Development Report followed. The Diyarbakir Regional Directorate of DSÝ conducted a similar work for the Tigris basin. All these made clear how the basins of the Euphrates and Tigris could be developed and utilised and, in 1977, the two basin projects were merged and called the Southeastern Anatolia Project. Then, in 1986, the State Planning Organisation was given the mandate to coordinate the development activities in Southeastern Anatolia. In 1989, the Southeastern Anatolia Project Regional Development Administration was instituted upon the Government Decree no. 388 in Force of Law, published in the Official Journal no. 20344, dated 6 November 1989. This law assigned the following mandate to this new administration: to ensure the rapid development of and investments in areas covered by the Southeastern Anatolia Project; to deliver or cause to be delivered services for this purpose including those in the fields of planning, infrastructure, grant of licenses; housing, industry, mining, agriculture, energy and transportation; to take or cause to be taken relevant measures to raise the educational level of people living in the region and to ensure coordination among different organizations and agencies involved in these activities. 13 projects have been prepared; 7 of these projects are in the basin of the Euphrates and 6 in the basin of the Tigris. The GAP Higher Council is the highest decision making body of the organisation that examines and finalises all plans, projects and programs.This council, presided by the Prime Minister or a State Minister appointed by him or her, is composed of the State Minister in Charge of GAP, State Minister in Charge of SPO (State Planning Organization) and the Minister of Public Works and Settlement. The GAP Administration has its Head Office in Ankara and a Regional Directorate in Sanliurfa. At present, the concept Southeastern Anatolia Project is conceived as a multi-sector, integrated and sustainable development

effort, also comprising investments in such diverse areas as urban and rural infrastructure, agricultural facilities, transportation, industry, education, housing, health, tourism, etc. The core duty of the GAP Administration is to plan for and realize all efforts and activities geared to the development of the region in the context of a “comprehensive regional planning approach” that covers all economic and social sectors in consistency with the objectives, targets and strategies of regional development. Such a comprehensive approach to planning is expected to guide decision makers in relation to development directions and magnitudes, enable them to link each project component to others and to draw concrete frames by assessing economic and social investments in time and space. The GAP Master Plan is the main guide used for these purposes. Project implementation will improve urban infrastructure and enhance the population absorbing capacity of urban centers. Furthermore exports from the region will be promoted by mobilising the resources of the region and ensuring a sustained economic growth. The Republic of Turkey assigns great importance to the elimination of inter-regional disparities in the process of social and economic development. This emphasis derives not only from aspirations for a fair and equitable process of development but also from the sound assumption that inducement of the potential of relatively underdeveloped regions will contribute significantly to such targets as economic growth export promotion and social stability. In sum, the GAP is to reinstate civilization to the Upper Mesopotamia. The GAP Master Plan pays particular attention to linking investments to the timeline of projected infrastructural works, considering both financial and technical capacities. Since the preparation of the GAP Master Plan in 1989, rather rapid changes took place in the region, country and the Middle East, which led to a delay in reaching targets. The UN embargo on Iraq and terrorist activities in the region negatively affected development efforts and the region’s trade with Middle Eastern countries. Furthermore, imbalances in national public financement caused problems in meeting timely the funding needs of the project. Meanwhile, the international community added new dimensions and concepts to “development”, aspects which where not taken into consideration when the master plan was drafted. Those developments and the urgent need of the region for development made it necessary to revise the GAP Regional Development Plan. The most salient principle in the new plan is human development. This approach is expected to instigate changes in three important areas, namely:

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•

Rational utilisation of public resources and potentials;

• •

Enhancement of people’s participation; and Catching up with targets in the field of human development.

The macro-frame of the GAP Regional Development Plan (GAP-RDP) is put down by the Long Term Strategy (Decree no. 697 dated 27 June 2000) and the 8th Five-Year Development Plan. This frame was recently reformulated under the Program for Transition to a Strengthened Economy, prepared as a part of the process for Turkey’s accession to the European Union. Macro-level planning and management, coordination, monitoring and evaluation and implementation are carried out by the Regional Development Administration. 5

STATUS OF THE GAP END 2007

The total cost of the project is estimated at 32 billion US$ (1997 prices). This is the largest investment initiative ever launched in Turkey. As of the end of 2001, 36% of the total estimated project cost was invested. Irrigation in Harran Plain started in 1995. As of the end of 2001 215,080 ha was equipped with irrigation infrastructure. In terms of physical realisation, 12% of irrigation projects are already in operation, 8% under construction, 25% at the stage of contracting out and 55% are being planned. There have already been significant increases in agricultural output. The value to be created by irrigation is estimated at 3 billion US$. A comprehensive investment program is under implementation: Out of the total public sector funding requirement of 32 billion US$, 17 billion US$ has already been invested (2007), one billion dollar is being spent in the current year (2008). 5.1

Realization in GAP project

Energy: Under the Master Plan, funds needed for envisaged public investments in the region reach 37 billion YTL in 2006 prices. As of the end of this year, total spending amounted to 21 billionYTL, thus giving the rate of cash realisation as 56.4%. Looking at the trend of GAP investment allocation in the period 19902006, we observe that on average 6.8% of public funds is annually allocated to GAP investments. The share of GAP investments in country’s total investments started rising after 2000: 4.9% in 2001, 5.9% in 2002, 5.8% in 2003, 6.8 in 2004 and 2005, and 5.6 in 2006. As of the end of 2005, 8 hydraulic power plants were completed in the region. This means 74% of envisaged energy projects have been realised. Following the operation of Karakaya, Atatürk, Batman, Kralkýzý, Dicle, Birecik and Karkamýa power plants, electricity production totalled to 253 billion kWh as of the end of 2005. The monetary equivalent of this total production

is about 15.18 billion US Dollars (1 kWh = 6 cents). The total hydraulic energy output of Turkey was 39 billion kWh in 2005. Thus the region has a share of 47.2% in that year’s total output, corresponding to 1.1 billion US$ in monetary terms. Agriculture: So far 236019 hectares of land was brought under irrigation in the region. Construction of irrigation schemes is in progress over 142 099 hectares of land while the remaining potential is 374 118 hectares. The physical realisation of GAP irrigation investments is 13.7% as of the end of 2005. Irrigation started in the Þanlýurfa-Harran Plain in 1995 first covering an area of 30 000 hectares. While per capita value added in agricultural production was 596 US$ before irrigation, it jumped to 1,135 US$ in 2004. Industry:There are 2 free trade zones in the region, in Gaziantep and in Mardin. 7 organised industrial district (OIDs) have already been completed while there are 12 others in the investment programme. As of the early 2006, there are 10 OIDs and 25 SISs (small industrial sites) operating in the region. 12 more SISs are in progress with relevant construction works. Significant developments have taken place in industry in the region following the start of irrigated farming. The number of industrial enterprises in the region has almost doubled from 1995 to 2001. As of the end of 2005, there are 1,722 enterprises in the region each employing more than 10 workers. The total number of people employed by these enterprises is 73,601. Meanwhile the share of the region in total national value added increased from 2% to 4%. There has also been an increase in exports from the region. While the total value of exports from the region was 709 million US$ in 2001, this figure reached 2,186 million US$ in 2005. In the same period, the share of the region in total exports of Turkey rose from 2.3% to 3%. Transportation: As of 2005, the GAP region has a road transportation network of 34,465 km in total. 103 km of this total are motorways, 5,942 km represent state and provincial roads and the remaining 28,420 km consist of village roads. The physical realisation in Gaziantep-Sanliurfa motorway is 73%. The region represents 9.6% of state and provincial roads and 9.9% of village road network in Turkey. 98% of village settlements in the region have connections to main roads. Airports exist in 7 provinces in the region. Also, the largest cargo airport in Turkey is now under construction in Sanliurfa. The GAP International Airport is expected to be completed within 2006. The 6 way motorway of connecting Mersin Harbour to Þanlýurfa is planned to completed in 2007. The physical realization of Gaziantep-Þanlýurfa Ringroad project is 73%. There are 2 conventional and 5 stol type airport in the region. The largest cargo airport is being built in GAP Region. The physical realization is 92% by the year 2005. The construction is planned to be completed in the year 2006. Sanliurfa-Silopi (the bordergate Habur)

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and seperated 2 × 2 road has been included in the investment programme of 2006. 6

Sustainability is the basic development approach of the GAP. Its basic components are: 1) 2) 3) 4) 5)

EFFECT OF THE GAP PROJECT ON THE REGIONAL SOCIO-ECONOMIC SITUATION

The Project aims at removing a socio-economic “gap” between the project area and more developed regions in Turkey. The Region’s economy is dominated by the agricultural sector and agriculture is Iargely practiced under rain-fed conditions. The Region’s contribution to Turkey’s gross domestic product (GDP) is a now 4%, and to the national value-added in the industrial sector is an-even lower 2%. As of the year 1985, which constitutes the base year of the GAP Master Plan, the per capita regional product was 47% of the same figure for the country as a whole. In 2000, this rose to 52%. In the period 1987–2000, the rate of annual increase in GNP was 3.63% compared to 3.45% for the region. The project will double the nation’s hydroelectric production, increase the irrigated areas by 50%, more than quadruple the gross regional product, and more than double the per-capita income in the region.

Sustainability and human development in GAP include: 1) Sustainability of natural sources and the environment, 2) Sustainability in agriculture (irrigation, soil and land uses), 3) Sustainability of economic dimension (develop, growth, employment and marketing), 4) Spatial sustainability (carrying capacity), and 5) Social sustainability (development of human resources, participating, equity) (GAP Administration, September, 1999). The GAP Sustainable Development Programme emphasises the implementation of 29 sub-projects, grouped in five categories, with focus on: • •

7 WATER MANAGEMENT AND CIVILIZATION IN THE REGION

•

Water resources development of the size and scale of the GAP is bound to have effects and implications that go far beyond irrigation-related activities, touching every facet of life and involving all social and economic sectors. On-farm development, farmer training and extension programs, agricultural input provision, credit and marketing arrangements, agro-processing, related rural infrastructure, operation and maintenance of the extensive irrigation system, environmental protection, preservation of historical and cultural heritage, social attitudes and expectations are some of the issues that need to be addressed in water sector. 8

STRATEGIES AND RESOLUTION FOR SUSTAINABLE DEVELOPMENT

The GAP Administration and UNDP recognised a decade ago that the regional development should be carried out according to the principles of sustainability. A seminar was organised in March 1997 with all stakeholders as to define what should be understood under sustainable development. Since then, the studies done by the GAP Administration on sustainable development can be summarised as (GAP Administration, September, 1999):

Sustainability of irrigation, Environmental sustainability, Sustainability of agricultural production, Social sustainability, and Spatial sustainability

• •

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Encouragement of social sustainability and improvement of social services; Encouragement of agricultural sustainability and improvement of rural productivity; Encouragement of local entrepreneurship and industrial development for economic viability; Encouragement of sustainable human settlements; and Sustainable utilisation of natural resources at an optimal level (GAP Administration, April 1996). CONCLUSION

The GAP Project, which is one of the most important development projects in the world, aims sustainable development and is human oriented. Actually, in recent years the concepts of sustainable development and regional development have become a complementary concept to each other. Development of the underdeveloped and resources rich Southeastern Anatolia requires mere than the development of physical infrastructural works. To be successful and sustainable, the development should be accorded with both socioeconomic and cultural measures. Notwithstanding the full implementation of the GAP project will be reached in 2010, as for the level reached today the GAP has already brought along significant changes in the life of people living there. The GAP is important for not only development of natural resources and environment, but also a unique model of international significance in terms of water management for human and social-economic development.

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REFERENCES Acma, B. (2003a). New approaches to regional development: Southeastern Anatolia Project (GAP) in Turkey. Conference Young Scientists – OPEN MINDS, Lodz, Poland, 13–14 September 2003. Acma, B. (2003b). A new approach for planning and environmental policies in regional development: A case study Southeastern Anatolia Project (GAP) in Turkey. Sixth International Symposium & Exhibition on Environmental Contamination in Central & Eastern Europe and the Commonwealth of Independent States, Prague, Czech Republic, 1–4 September 2003. Acma, B. (2003c). New horizons for natural resource economics in Asia: The Southeastern Anatolia Region and Southeastern Anatolia Project (GAP) in Turkey. The International Convention of Asia Scholars (ICAS), in Singapore, 19–22 August 2003. Acma, B. (2001). Sustainable Regional Development: The GAP Project in Turkey. Invited paper in International Atlantic Economic Conferences, Athens, Greece, 13–20 March 2001. Acma, B. (2000). Industrialization Strategy of Southeastern Anatolia Project in Turkey. Invited paper in APDR Conferences, Ponta Delgade University of Azores, Portugal, 29 June–2 July 2000.

GAP Administration (2002). GAP Regional Development Plan. Republic of Turkey Prime Ministry, Ankara (in Turkish). GAP Administration (1999). Latest State in GAP. Republic of Turkey Prime Ministry, Ankara. GAP Administration and UNDP (1997). Sustainable Development Programme in GAP. Republic of Turkey Prime Ministry, Ankara (in Turkish). GAP Administration, (1996). GAP Project: An innovative approach to integrated sustainable regional development. Republic of Turkey Prime Ministry, Ankara. GAP Administration (1993a). GAP Status Report. Republic of Turkey Prime Ministry, Ankara (in Turkish). GAP Administration (1993b). GAP Action Plan. Republic of Turkey Prime Ministry, Ankara (in Turkish). GAP Administration (1993c). Social trends and attitudes towards transformation in GAP Region. Republic of Turkey Prime Ministry, in Turkish, Ankara. Unver, Olcay, Ravij, K., Grupta (2002). Water resources management. Ankara: METU Press. Unver, I., Olcay (1999). GAP: A pioneering model for WaterBased Regional Development. Republic of Turkey Prime Ministry, Ankara (in Turkish).

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Real estate investment in high-risk coastal zones C.G. Leal Adicais Real Estate Investments, Porto, Portugal

ABSTRACT: The Northeast section of the Portuguese coastal zones has been subjected to intense urban development due to a social and economic conjuncture initiated mainly in the second half of the twentieth century. This phenomenon has been conducted over territories that are very vulnerable to natural processes, with visible signs demonstrated by an accentuated regression of the coastal line.At the present time, several situations of inland maritime incursions as well as damages over housing and infrastructures are being neglected, seen as inevitable. It is hence assumed pertinent the analysis of the process of coastal urban development facing the investor’s demand in these kinds of territories, regarding better ways for territorial management due to the growing tourism pressure and leisure activities. Analysis of the regional instruments of territorial management demonstrates the inadequacy for communication with the investor’s demand, by not giving a coherent and scientifically based strategy regarding the natural manifestations. This paper makes recommendations for dealing with natural changes without compromising economic and social growth by directly relating the main objectives with the weaknesses appointed. The conclusions relate the holistic approach necessary between public “empowerment”, legal, institutional, and technical issues, for a better investment. Keywords:

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High-risk; private investment; territorial management; urban coastal development

INTRODUCTION

Coastal territories are transitional areas between oceans and continental shelves. These areas are characterised by biological, geological and physical characteristics distinct from adjacent territories. Their uniqueness is also revealed in specific hydrological dynamics. In the Northeast Portuguese coast, strong maritime dynamic in conjunction with high rates of human occupation and other anthropogenic causes observed in the last three decades, have created a devastating situation along the coastline. Subsequently, the natural systems are searching for new means of maintaining their dynamic equilibrium. This paper analyses the formal mechanisms that allow the genesis of situations of urban investment in imbalance with the natural movements of the coastal line, caused by natural and anthropogenic factors. Final conclusions recommend an investment directly orientated for the improvement of the economic and social contexts, which is built with a clear understanding of the coastal behaviour and sustainabilitythinking. The main objectives are: (1) to compile a common diagnosis for the entire Northwest Portuguese Coast, regarding the shortcomings of the current legal and institutional organisations, tools of territorial

management and procedural forms of governing all stages of creating urban areas, from the drafting proposals to implementation, facing private investment; and (t) to propose procedural practices of intervention, aiming new attitudes. These proposals should seek uniformity of procedures, as well as the possibility of a strategic framework.That is, they should seek to integrate all environmental and socio-economic components at and sustainability efforts at different scales, as observed in the current European Community assumptions about these matters (UE, 2000). 2

METHOD

This paper responds to several documents and interviews, and reflects many personal experiences. We will submit the issue of urban investment on coastal areas of high risk, make generalisations about the whole northwest coast of Portugal, seeking the common characteristics that mirror the urban planning of these territories. I suggest some human and natural factors that contribute to the increased risk of coastal areas, while hampering the development of sustainable real estate activity. Data was collected from public institutions, academic publications, and websites to uncover institutional intentions and official documentation of territorial and natural resources administration.

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Figure 1. Winter storm effects at Mira Beach in 2003 (MCOTA, 2003).

3

RESULTS AND DISCUSSION

The situation of insecurity due to an extremely intense maritime dynamic faced currently by many Northwest Portuguese urban coastal zones poses a risk to more than economic investments, loss of continental land, or sensitive, transitional ecosystems. There is also a potential for loss of lives (Figure 1) and the social exclusion This issue matters the possibility of loss of human life and the fall into social exclusion by some extracts of the local populations who depend on a traditional economic activity (in fact, much more adapted to the natural contexts). This, no longer is a recent alarmist comment, when carefully observed some specific historical coastal contexts. The quality observed in recent urban developments (last three decades) rarely is the most desirable. Characterised by a stolen identity (in part due to the lack of quality on the volumetric design, framework, chromatic treatment, materials and implantation of public and private spaces), these areas do not follow a previously reflected strategy, and therefore depend on seasonal demographic movements, becoming unable to stabilise and develop socio-economically beyond a situation of being merely a summer resort. That is however, the current paradigm of economic development chosen by the overwhelming majority of municipalities situated in these territories. Local public authorities, unable to imagine alternative forms of attracting tourism and other forms of urban growth, nurture illusions of short-term financial returns based on a sectarian logic, where the natural manifestations and strengths assume a secondary role or completely forgotten. This gap that exists between human activity and the natural coastal line movements is translated in the deteriorated urban quality and the socio-economic defeat mentioned above, and the worsening physical risks. In terms of natural causes there has been a major weakening of the sand sources (by the artificialisation of the rivers has reduced the sources of sand. The construction of damns on the rivers and jetties has interfered with the transport of sediments and a major

interference in the mechanisms of sediment transport (by major construction of river dams and maritime jetties), both of anthropogenic origin, with devastating results in terms of a growing vulnerability for the vast majority of the Northwest coast urban territories, facing naturally high energetic phenomenon, which are expressed in the gradual regression of the coastline (sometimes hundreds of meters in just a few years) (Figure 2). Adding this occurrence to the expansion of urban waterfronts built over natural defences (sand dunes and marsh fields), we have been observing a situation of a major widespread urban high risk. Moreover, the absence of a strategy to prevent these urban developments comes from a deep disarticulation of government efforts aimed at implementing a unified territorial management strategy over adjacent coastal territories and fluvial basins. There are currently many public institutions that supervise various areas ranging from the administration of the territory to environmental and resource management and nature protection, and conservation. Reconciling the different perspectives presented by this whole institutional panoply became a complex task, and thus impeded the possibility of any decision-making itself capable of containing the conciliation of all the interests. The current web of opaque institutional responsibilities, and the mismanagement of these territories, has aggravated not only inter-institutional relations, but also the relations between civil society and the state. The implications are visible: serious contempt for authority and a breach of trust between the different players. The institutional incommunicability is reflected in their actions concerning the coastline. Each entity independently develops its own logic of understanding the reality and intervention in the territory, according to their geographical area or the subject of guardianship. The interventions have nearly always achieved a predominantly curative essence, therefore worked only on the damage acquired, without preventing the future. Hence, the coastal management has been conducted in an excessive and unclear number of jurisdictions, frequently resulting in supervisory gaps, hierarchical

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Figure 2. Coastline movements at Vagueira Beach from 1958 to 2003: light blue line (1958); dark blue line (1995); pink line (2002); red line (2003) (MCOTA, 2003).

uncertainty, or even overlapping competences, and scarce technical and financial resources. The constant changes in institutional custody and public programmes hinder stability and the clarification of competences essential to the development and implementation of perennial actions in time and space. Unaware of any physical borders or jurisdiction, the action of the maritime natural laws subverts any sectoral thinking (Taussik, 1997). The current legal scenario is also composed of opaque laws dispersed incoherently. Some of them have undergone different evolutionary processes. This scenario has been responsible for encouraging illegal action as well as the weakening of the effectiveness of prosecution, particularly in combating the violation of some key figures in waterline management, such as the Public Maritime Domain and the boundaries of Nature protection – figures set by the territorial instruments. Evil intentions quickly take advantage of this context, exploiting unknowns, confusion, legal gaps, and the passivity of the actual inadequate diplomas, outdated with the maritime evolution and anthropogenic pressures. On the other hand, good intentions for investment are often mislead by not having a legal orientation directed to the public necessities, this one subjected to a major strategy in time, space and natural behaviour. The coastal zone is managed using a set of tools, disintegrated spatially and temporally being oriented in different directions with regard to the same coastal

urban development. This reality is also due to two other factors: excessive power granted to the local government, which permits the creation of local master plans self oriented to their objectives with complete disregard for regional and national policies; and lack of publicly-accessible information and, consequently, public participation in decision-making processes. Culturally, the Portuguese population usually abdicates of their right to participate in their own collective future. This comes from a culturally difficult access to institutional information and specially the sharing and complementation of scientific knowledge. This collective behaviour does not allow the formation of strong non-governmental synergies, the sharing of the same objectives, and construction of consensus-based solutions. All these facts are responsible for a decisionmaking process based on an unsustainable purpose, incoherent action with other territories, and a shortterm logic geared towards economic results. This focus on urban development has lead to irrational economic investment, with terrible results for this sector. The investment is not maximised and at the same time it destroys the raw material in order of getting a supposed good market deal. It is important to stress the relevance of the subject of interest, given the delicate biodiversity of these habitats and the human developments that have occurred in these territories for decades. Interventions on the coastal vulnerability must be exercised with great pragmatism. Working within the existing constraints, such as the urban complexities

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Figure 3. Aerial view of Esmoriz and Cortegaça “cape shaped” waterfronts, drastically altered through erosion (Source: IHRH, 2003).

and socio-economic environment, will strengthen and reconstruct the natural defences, the implementation of solutions that allow a replacement in the drift of the dredged sediments or solid flow that is retained in coastal structures, and potential artificial implementation of downstream sediments extracted or retained in the river dams (Proença Cunha; Dinis, 2000). The solution for the current situation of risky and low quality investment observed in numerous coastal urban areas (Figure 3) and the construction of a more appealing market will depend on a shift from the current paradigm of planning and ordering the territories without working with the uncertainty and complexity of the matter. Human adaptation to the physical environment will only be possible if management considers these variables from the outset (Lynch, 1981), leading to a holding gradual effect of the initial situation through a correction and periodic increment of the solutions recommended. Only with this approach it is possible to allow itself to a gradual clarification of the complexity and uncertainty to the extent that the process will develop (on-going), revealing new solutions and opportunities that otherwise – in situations of static determinism – would never be perceived. This approach requires effective monitoring mechanisms and assiduous research (Eurosion, 2002). It also depends on the preparations, discussions, and sharing of information by public authorities and civil society properly organised for responsible and fruitful participation, throughout the drafting, implementation, and management of the coastal contexts. It is imperative to combat the disconnection and disintegration of today’s planning instruments. The best way to achieve this is by breaking current local

autonomy (municipalities, port authorities, etc.) in making alone their own management tools and in exercising their free will when conducting the choices of their own destinies. This assumed power withdrawal at this scale does not however detract from the importance of the local government. Their actions are imperative to the coordination and guidance the process of coordinating and guiding a trustful involvement of a greater of players and supporting the local diagnostics aiming the optimisation of the solutions, so that all this information can be integrated on a broader space scale decision – thinking globally and acting locally. In terms of the institutional problems, there is a need for delegating the power of the decision-making process to one institution capable of a transversal management across the complex web of players with impact in these matters. This institution must have sufficient legal power, which can only be done with the creation of a new legal decree capable of converging all the existing relevant legal status, ending the existing gaps, crossovers and incoherencies.This institution should manage all the different phases coastal urban development – continuous research and coordination aiming proper diagnostics, managing curative and preventive actions through the process of proposing the projects/plans, implementing and monitoring. This process is complex, long-lasting, continuous, affects many different players. A single manager should therefore articulate interventions across national, regional, and local scales to guarantee the success through coherent and well guided intentions over the welfare of the interdependent human populations and natural resources.

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It is hence necessary to introduce the concept of strategy, understood by the search for a rationale systemisation able to converge and integrate in the same common plan of approach, a whole range of concepts fed by the sum of local natural coastal change studies in articulation with the necessities of human development in these areas. On the other hand, we must face the inescapable fact that coastal urban development depends not only on itself, but also on external, and highly-influential, forces, which should also be integrated in the same strategic thought – river basin management, port authorities, etc.

4

CONCLUSIONS

We believe that for a better oriented investment it is essential the submission of the strategies for urban development in coastal areas at high risk, over the current trend of the evolutionary coastal line, regardless of the nature of the causes. This option should be made from a long-term perspective in order to seek greater rationality of efforts, economic efficiency, long-lasting effects and safeguarding human lives and property. The urban form must also adapt pragmatically to the existing coastal situation, as has been observed many times in the past in different urban civilisations. The macro way in which the city form is developed, its internal organisation and economic and social activities should seek the continuation of a dialogue with the natural contexts avoiding this way the risk of loss of urban identity, social exclusion and economic inefficiency. For the existing urban situations, the attitude facing the extremely dynamic behaviour of the coastal natural systems may vary from the choice of a policy of abandonment to the defence of the current continental limits, or even the conquest of new territories to the sea. The decision that will support public and private investment must be weighted by analysis of cost / benefit issues relating to environmental and socio-economic issues, subjected however to a rational estimation of the coastal line movements or even by the simulation of different urban scenarios, thus allowing the option of having a choice within an evolutionary perspective, therefore more flexible to the coastal natural energetic agents (Leal, 2005). The different contexts of coastal vulnerability must guide the urban investment strategy, particularly with regard to the choice between the withdrawal to new lines of balance towards the interior (total, partial or gradual over a time horizon), accommodation (adapting functions for the existing coastal urban areas), or the expansion at the expense of combined solutions of coastal engineering, challenging the elements, and financial sustainability (Veloso Gomes, 1992).

The current exercise of real estate investment in coastal areas at high risk has been carried out according to a systematisation that does not understand the natural logics of evolution, causing an imbalance between the urban areas and the ocean. The absence of a preventive reasoning, clear diagnosis and lucid territorial management policies has turned a potentially good market for private investment into unsustainable urban developments driven by the notion of short-term economic gains. It is possible to cope with the unpredictability and shear power of the maritime dynamics responsible for the coastline movements by adopting a more lucid perspective of the phenomena and fostering socio-economic growth for the local populations and investors, this time supported by a rational balance with environmental strengths, on which they depend so much.

REFERENCES IHRH – Hydraulics and Hydric Resources Institute (2003). Eurosion Project, A European Initiative for Sustainable Coastal Erosion Management, Guidelines for Developing Local Information Systems – Pilot Site of River DouroMondego Cape., Gomes, F.V. (Coordination), Engineering Faculty – Porto University, Portugal. Leal C.G. (2005). Desenvolvimento Urbano em Zonas Costeiras de Alto Risco – Análise da Problemática para uma Intervenção Estratégica (Urban Development in High Risk Coastal Zones – Problematical Analysis in Search of a Strategic Intervention), Thesis for the degree of Master of Science in Urbanism. Architecture and Engineering Faculties – Porto University, Portugal. Lynch K. (1981). Good City Form, Edições 70, Lda. Porto. Portugal. MCOTA – Town, Territorial Management and Environmental Ministry (2003). Mota Lopes, A. (Author), O litoral da Região Centro de Portugal – um caso preocupante de risco e de perda de território (Coastal Zone in the Centre Region of Portugal – an alarming case of risk and territorial loss), Regional Department for the Environment and Territorial Management. Proença Cunha, P.; Dinis, J. (2000). O estuário do Mondego no Plano de Bacia Hidrográfica – aspectos sedimentares e ambientais (Mondego River Estuary in the River Basin Plan – Environmental and sediment aspects), Soares de Carvalho, G.; Veloso Gomes, F.; Taveira Pinto, F. (Ed.), Seminary – Portuguese Estuaries and River Basin Plans, Eurocoast-Portugal Association, Lisboa, October 2000, 35–43. Taussik, J. (1997). The influence of institutional systems on planning the coastal zone: Experience from England/ Wales and Sweden, Planning Practice and Research, 1(12): 9–19. UE – European Union Commission (2000). Comunicação da Comissão ao Conselho e ao Parlamento Europeu relativamente à gestão integrada da zona costeira: uma estratégia para a Europa (Commission’s Communication to the Council and the European Parliament regarding Integer

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Management of Coastal Zones: A Strategy for Europe.) http://www.europa.eu.int (accessed 25 July 2004). Eurosion (2002). Coastal Erosion – Evaluation of the Needs for Action: A Guide to Coastal Erosion Management practices in Europe. Directorate General Environment, European Commission. http://www.eurosion.org (accessed 16 March 2004).

Veloso Gomes, F. (1992). Evolução fisiográfica da faixa costeira da região Centro (Physiographic evolution of the Portuguese Centre Region coastal zone). Coastal Management Plan for the Centre Region, Planning and Territory Administration Minister, Coordination Commission for the Centre Region, Coimbra, 102.

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Water and Urban Development Paradigms – Feyen, Shannon & Neville (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-48334-6

Impacts of trans-border water woes in South Asian riparian countries – assessment and analysis A. Chatterjee Impact Assessment and Research Division; South Asian Forum for Environment, Indian Chapter, Lahabagan, Sreebhumi, Kolkata

ABSTRACT: Studies on water disputes in South Asia envisage the need to find sustainable alternatives at the regional community echelon rather than looking out for mandates from the political hierarchy, failing which the agro-environmental damages and socioeconomic retardations would cross over the point of no returns. This bottom-up situation demands community participation integrated with implementation of latest ecosoft agrotechnology, adaptive environmental management and decision analysis, thereby bridging socio-economic growth and sustainable environmental conservation efforts. The total amount of water, though enough to meet the social, economical and environmental requirements of this part of the basin, land man ratio and per capita food grain availability is steadily declining. Further, the biodiversity resources of this area are still not indexed and threats of habitat loss are obvious. The international water regulation issues on high dams between India and Nepal is still in a stalemate, whereas politicized Flood Games have become annual rituals of assuring flood hit people. The present paper reviews the problem from a conservationist perspective. Keywords:

1

Impact assessment; South Asian Riparian; trans-border water; treaty

INTRODUCTION

Development of urban socio-economy in the riparian countries of South Asia largely depends on the productivity of floodplain ecosystem and regulation of trans-boundary river waters. The Indus valley basin in North Western India; the Ganga Basin in northern India; and the Brahmaputra basin in the North East of India, all cater to India, Bangladesh, Nepal and Pakistan. The focus of this paper mainly focuses on the Ganga basin which is located 70◦ –88◦ 30 east longitude and 21–31◦ north latitude (Payne et al., 2003). The river Ganga rises in the Gangotri glacier in the Uttar Kashi district of Uttar Pradesh province in India, at an elevation of about 7,010 m above sea level. After leaving Uttar Pradesh the Ganga enters in Bihar in Rohtas district. As it enters in West Bengal province it swings around the Rajmahal hill ranges and starts flowing south. These Gangetic flood plains harbour the important urban centres of India, such as Kolkata, Patna, and Allahabad. Nearly 40 km below Farakka it is divided into two arms. The left arm is called Padma and flows eastwards into Bangladesh and its right arm, called Bhagirathi, continues to flow south into West Bengal. The Bhagirathi flowing west and south west of Kolkata is called Hooghly. After reaching Diamond Harbor it attains a southward direction and it divides

into two streams before joining the Bay of Bengal in Dhavlal. The rest arm known as Haldi river also joins the Bay of Bengal (Upteri, 1993). The combined course of the Ganges and the Brahmaputra takes the name of Padma, which joins the Meghna at Chandpur. From this confluence, the combined course of the three rivers continues as the lower Meghna into the Bay of Bengal passing the densely populated urban areas of Bangladesh. After entering Bangladesh completely, it flows for another 113 km before joining Brahmaputra near Goalanda. Downstream of Farakka, there are only two tributaries that join the Ganges, the Mohananda and the Baral. The Ganges has a total length of about 2,600 km and the total drainage area is approximately 1,087,300 km2 . Major rivers of Nepal that feed the Ganges are Mahakali, Karnali, Gandak and Kosi. The rivers of Nepal contribute more than 40 percent of the total flow of the Ganges and over 70 percent of its dryseason flow. (Tanzeema et al., 2001; Onta, 2001 and Biswas, 2001). Utilisation approaches involving the Ganges basins huge natural resources for the integrated development of urban sectors in lower riparian have never been sought by the regional countries due to past perception differences, legacy of mistrust, lack of political vision, and lack of goodwill (Ahmed et al., 2001). As a

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Table 1.

Ganges basin area and population distribution.

Country

Basin area (km2 )

Percentage of total area

Population (million)

China Nepal

33,520 147,480

3.08 13.56

– 22

India

860,000

79.10

270

46,300

4.26

52

1,087,300

100.00

344

Bangladesh Total

Agricultural practices and production None Tseri and Shifting cultivation, Wheat, Buck wheat, Pulses, Rice Traditional and Mechanized farming, Mainly Rice, Pisci-culture, sugarcane, Jute and Vegetables Mainly traditional farming, Production is same as above

Sources: Shrestha and Singh, 1996; Onta, 2001.

result, Ganges basin is still among the poorest and most depressed floodplains in the world despite its rich natural endowments of land, water and people. The amount of water in Ganges basin is still enough to meet the social, economical and environmental requirements for the urban development of the riparian countries. A large number of people of the area live below the poverty line as land-person ratio and per capita food grain availability are steadily declining. This paper first outlines a short overview of existing bilateral water agreements and their impacts in conservation of this river basin and attempts to analyse the potential fields of cooperation and benefits in Ganges Basin between all three riparian countries. Integrated floodplain management has the potential to improve economical, social, environmental and overall livelihood situations of commons in riparian countries dramatically. These will offer “win-win” situations for all riparian countries that would be enough to be reasonably accepted by all countries. 2

INITIAL COOPERATION BETWEEN RIPARIAN COUNTRIES

An important factor in the context of managing Ganges water is the fact that Nepal controls the headwaters of the Ganges through Himalayan glaciers. To date, regional development of the Ganges basin is limited to bilateral talks and arrangements and this approach may adversely affect each of the riparian states. In recent past, a climate of mutual trust and confidence has been created through the signing of the Mahakali treaty between India and Nepal (January 1996) and the Ganges Water Sharing Treaty between Bangladesh and India. 2.1

Bangladesh-India cooperation

According to the first water sharing treaty between Bangladesh and Nepal, water was distributed based on

a schedule of 10 day basis in the dry season (January to May). After 14 years, an agreement between Bangladesh and India on sharing the Ganges water entitled “Ganges Water Sharing Treaty” was signed in 1996. As per the treaty, the two countries would have equal shares if the water available at Farakka was 70,000 cusecs or less. However, in the case that the availability of water at Farakka is up to 75,000 cusecs, Bangladesh’s share will remain fixed at 35,000 cusecs, while India will receive the balance of flow. In the case that the water available at Farakka is in excess of 75,000 cusecs, India will receive 40,000 cusecs and Bangladesh will receive the balance of flow. According to the Joint Rivers Commission of Bangladesh, during the first ten days of January the shortfall in Bangladesh’s share was nearly 13,000 cusecs. All of these have been found to be approximately 50 percent less than the pre-Farakka average flow at Hardinge Bridge point of Bangladesh, which means that signing of the Treaty in 1996 is unlikely to make any noticeable difference in solving the water crisis in the dry season in the south-western part of Bangladesh (Tanzeema and Faisal, 2001). 2.2

Indo-Nepal cooperation

The Sarada barrage on river Mahakali at Indo-Nepal border was constructed by India in 1920 after exchanging some land between Nepal and India. In 1954 (subsequently revised in 1966), India and Nepal signed an agreement to construct the Kosi barrage at Bhimnagar and to construct the Gandak barrage at Baisaltan, an agreement was signed between Nepal and India in 1959 (subsequently amended in 1964). These barrages are wholly financed by India and mostly benefited India only. These early Indo-Nepal water resources co-operations were seen as a “sell-out” by many in Nepal, though it was considered reasonable from India’s viewpoint. India’s water resources development of the international rivers close to the border of Nepal

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has been perceived as “not-so-friendly activities” by Nepal. This acute mistrust even led to the adoption of article 126 (2) in the Nepal constitution, which requires that any “treaty” pertaining to natural resources and certain other matters to be ratified by a two-thirds majority by the country’s parliament (Onta, 2001). The Mahakali Treaty was signed on January 1996 between Nepal and India concerning the integrated development of the Mahakali river including the Sarada barrage, Tanakpur Barrage and Pancheshwar Project (Malla et al., 2001), however this also led to controversies in regards to the threats on Kapilavastu, an UNESCO world heritage site in Nepal. 3 VIEWS OF RIPARIAN COUNTRIES IN GANGES BASIN DEVELOPMENT 3.1

Socio-economics of urban hydrology

Bangladesh has suffered from severe water shortage in the past and in the future too will have to rely on Ganges water as its main urban supply. Bangladesh strongly advocates for implementation of large dam projects on the upstream reaches of Ganges at appropriate sites under a comprehensive regional plan, which is to be reviewed jointly by the co-basin countries. Bangladesh wants Nepal to construct large storage dams to regulate the lean season flow of the Ganges and augment the Ganges water so that the needs of both India and Bangladesh in lean seasons could be regulated. The total storage capacity of high dam projects in Nepal is of the order of 88 bcm of live storage that would regulate over 95 percent of the total annual flow. The storage reservoirs can hold the vast monsoon runoff within Nepal and would play a very significant role in mitigating adverse flood in India and Bangladesh. Augmentation potential in Nepal during the dry season can range from 2,400 to 4,950 cusecs. These incremental flows alone are over four times the present lean season flows in the Ganges at Farakka. A single storage facility such as the Karnali project alone has the augmentation potential to more than double the existing low flow of the Ganges (Huda, 2001). In congruence to similar objectives, India wants to develop inter-basin transfer of water from the Brahmaputra basin to the Ganges Basin through link canals, as the Brahmaputra has plenty of untapped water. India highlighted that this inter-basin transfer of water would be feasible to minimise the flood hazards, as the floods in the Brahmaputra come in advance of two months compared to the Ganges. However, Bangladesh showed negative views about this proposal, as it would create similar problems observed at Ganges in Farakka. India doesn’t want to construct large dam projects in Nepal, as this may enhance possibilities of becoming dependent on Nepal in future for water.

To ensure resources for in-house industrialization, Nepal wants to sell hydropower to India and Bangladesh and also wants to benefit from enhanced developed inland-waterways in one of its major rivers, mainly the Kosi, to have access to the sea for its export trade. In the case of augmentation of low flow in the Ganges at the Farakka barrage, the Kosi high dam would be an appropriate scheme because of its proximity to Farakka, and Nepal should seek access to the sea by developing a navigation channel from Nepalese territory through India. Nepal wants to obtain reasonable share from the proposed high dam projects and requires that those high dams will be fully constructed in Nepalese territory. In Nepal, popular opinion is that “no deal” is better than a bad deal. Nepal hopes that sooner or later India will listen to its concerns (Onta, 2001) as this would allow equal opportunities in the eco-region to quench the urban needs. Water is a source of conflict, mistrust, and dispute between the three riparian states of Ganges basin. Indian diversions of Ganges water through Farakka barrage is a long-term source of tremendous political tensions and non-cooperation between India and Bangladesh (Beach et al., 2000). India’s recent $125 billion River Interlinking Project has already created tension in the region. Environmentalists fear that this unilateral plan may create a long-term crisis in the region (The Guardian, 24 July 2003). Recently Bangladesh Government placed an official note to India claiming that this plan will create a serious water crisis in Bangladesh. While Bangladesh fears that diversion of water from the Brahmaputra and the Ganges, which provides 85 percent of the country’s fresh water flow in the dry season, would cause an ecological disaster (BBC, 2003). Integrated development of Ganges Basin can ease tensions over shared waters, regional relations, and political economy impacts and it has the potential for shifting policy to from disputes to cooperation, and a policy shift to food and energy security away from self-sufficiency. All previous water management approaches in Ganges basin have been bilateral. If Ganges basin can be managed by an integrated development plan with the participation of all riparian countries, it will reduce the risks for conflict and even in some cases, reduce military expenditure. Coordinated international approaches in any multilateral water project will relieve this kind of tension between countries. 3.2

Other environmental impacts

Co-operation with regards to sharing water in Ganges basin definitely strengthen relations between riparian countries and catalysing broader co-operation, integration, and stability. Co-operation in shared water resources between countries will enhance the co-operation and integration in other fields beyond the river. However, non-structured water distribution not

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only has its impact on the socio-economy or hydrology of the basin, but also impedes the vegetation dynamics and biodiversity of the floodplains. An impact assessment study on habitat evaluation shows erratic Raunkier’s Curve, biodiversity loss and degradations in edaphic factors. Silt stratification in pre and post flood periods and vegetation dynamics patterns have been studied in an attempt to suggest alternative farming policies and adaptive environmental management practices to save the ecology of these wetlands and manage the water resources. 4

DISCUSSIONS

Trans-boundary urban waters are integral to economy and ecology in the riparian states of global south. Ecologically, in the upland areas of the basin in Nepal, the greatest impacts are said to be due to erosion and increased sediment load from deforestation and from the need to impound water for hydropower generation. The extent of forest removal and increased erosion, however, seems to be short of real information. There is evidence that deforestation is a long-term, historical process which may not have accelerated greatly in recent times (Messerli and Hofer, 1995). It has also been shown that for a basin the size of the Ganges, the sediment delivery ratio is less than 10 percent and that, consequently, the main channel carries only a modest amount of sediment from the mountains and that, highlighting that anthropogenic influences due to urban development in the mountains have only a limited impact on the plains (Hamilton 1987). It is possible that most of the sediment in the main river comes from storage places and channel erosion (Messerli and Hofer, 1995). The other feature of upper basin use is the harnessing of the rivers for hydropower. Nepal has a great potential for hydropower but, as yet, only 0.27 percent of its assessed potential is being employed. The rather scattered nature of its own population renders micro-projects and run of-the river schemes positive options for domestic generation. Under ideal circumstances run-of-the river projects can avoid many of the environmental disadvantages of storage dams, but cases have been seen in Nepal where all the water of the river passes down the adduction tunnel with negligible flow remaining between inlet and outlet. This can provide as much a barrier to fish and navigation as a dam wall. It is, however, difficult to substantiate in this dynamic fluctuating tidal environment with great annual variations, mainly because of a lack of historical, baseline data. This indicates the importance of good pre and post implementation studies around such structures. Within Bangladesh, in most parts of Kosi floodplains, the principal process of compartmentalization is not of the river itself but of the floodplains

to facilitate the cultivation of rice. Approximately 40 percent of the floodplain has been modified by empolderment for flood control or flood control with irrigation. This has led to a compartmentalization of distribution of aquatic and wetland biodiversity. A systematic investigation of the impacts of flood control and irrigation schemes on fisheries showed that there is a reduction in bio-diversity within polders of 19–25 percent, but, most significantly, a reduction in migratory species up to 95 percent with the main emphasis being on the small floodplain resident species or black fishes (de Graaf et al., 2001). An exercise in habitat restoration which focused on the clearing of silted channels connecting floodplains to the main river channel increased the proportion of migratory species caught subsequently, including major carp for 2 percent of the catch to 24 percent and increased the yield 926 Kg.ha−1 per year (CNRS, 1995). The control of water is the control of livelihood. The control of Ganges river has become a source of tension and dispute and an issue of sovereignty and strategic necessity in the region. Past bilateral efforts have not been conducive to the balanced development of the resources, and have been a source of antagonism between the riparian countries. The four types of benefits, mainly the benefits to the river, benefit from the river, benefit because of the river, and benefit beyond the river, offer “win-win” situations for each riparian state. It will provide environmental, economic, political and indirect economical benefit for the riparian countries. It has the potential to reverse the conflict to cooperation. REFERENCES Abbas, B.M.1(982). The Ganges water dispute. Dhaka: University Press Limited. Ahmed, J.U. (ed.) (2003). National documentation on the problems of Arsenic and Farakka. NewYork: International Farakka Committee, Inc. Ahmed, Q.K., Biswas, A.K., Rangachari, R. & Sainju, M.M. (Eds.) (2001). Ganges-Brahmaputra-Meghna Region: A Framework for Sustainable Development. Dhaka: University Press Limited. BBC. (2003). Row over India River Scheme, British Broadcasting Corporation, Internet edition, 13-08-03 http://news.bbc.co.uk/1/hi/world/south_asia/3148355.stm Bangladesh Ministry of Water Resources (1997). Bangladesh Water and Flood Management Strategy: An Update Following the Signing of the Ganges Water-Sharing Treaty, Ministry of Water Resources, Dhaka. Bangladesh-Nepal Joint Study Team. (1989). Report on Mitigation Measures and Multipurpose Use of Water Resources. Dhaka and Katmandu: Ministry of Irrigation, Water Development and Flood Control, Dhaka and Ministry of Water Resources, Katmandu. Biswas, A.K. (2001). Management of international rivers: Opportunities and Constraints. In: Sustainable Development of the Ganges-Brahmaputra-Meghna Basins,

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Biswas, A.K. & Uitto, J.I. (eds.), 1–16, Tokyo: United Nations University Press. Huda, A.T.M.S. (2001). Constraints and opportunities for cooperation towards development of water resources in the Ganges basin, In: Sustainable Development of the Ganges-Brahmaputra-Meghna Basins, Biswas, A.K. & Uitto, J.I. (eds.), 46–57. Tokyo: United Nations University Press. Institute of Integrated Development Studies (1997). Regional Cooperation in Harnessing the Eastern Himalayan Rivers. Unpublished. Kilot, N., Shmueli, D. & Shamir, U. (2001). Institutions for management of transboundary water resources: their nature, characteristics and shortcomings, Water Policy, 3: 229–255. Malla, S.K., Shrestha, S.K. & Sainju, M.M. (2001). Nepal’s Water Vision and the GMB basin framework. In: GangesBrahmaputra-Meghna Region: A Framework for Sustainable Development, Ahmed, Q.K., Biswas, A.K., Rangachari, R. & Sainju, M.M. (eds.), 143–196, Dhaka: University Press Limited. New Nation (2003). Ganges Flow Still Low, New Nation, 2(830), Internet edition, February 24. http://nation. ittefaq.com Onta, I.R. (2001). Harnessing the Himalayan Waters of Nepal: A case for partnership for the Ganges Basin, In: Sustainable Development of the Ganges-BrahmaputraMeghna Basins, Biswas, A.K. & Uitto, J.I. (eds.), 100–121. Tokyo: United Nations University Press.

Payne, A.I., Sinha, R., Singh, H.R., Huq, S. (2003). A review of the Ganges Basin: its fish and fisheries, The second international symposium on the management of large rivers for fisheries, Phnom Penh, Cambodia, 11–14 February. http://www.lars2.org/ Sadoff, C.W. & Grey, D. (2002). Beyond the river: the benefits of cooperation on international rivers, Water Policy, 4: 389–403. Shah, R.B. (2001). Ganges-Brahmaputra: The outlook for the twenty-first century, In: Sustainable Development of the Ganges-Brahmaputra-Meghna Basins, Biswas,A.K. & Uitto, J.I. (eds.), 17–45. Tokyo: United Nations University Press. Shrestha, H.M. & Singh, M.L. (1996). The GangesBrahmaputra System: A Nepalese Perspective in the Context of Regional Cooperation, In: Asian International Waters, From Ganges-Brahmaputra to Mekong, Biswas, A.K. and Hashimoto, T. (eds.), 81–94. New Delhi: Oxford University Press. Tanzeema, S. & Faisal, I.M. (2001). Sharing the Ganges: A critical analysis of the water sharing treaties, Water Policy, 3: 13–28. The Guardian (2003). India presses on with plan to divert major rivers, The Guardian, 24.07.03. http://www.mg. co.za/Content/l3.asp?ao=17694 Upteri, B.C. (1993). Politics of Himalayan River Waters: An Analysis of the River Water Issues of Nepal, India and Bangladesh. New Delhi: Nirala Publications.

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Water governance, CPR’s and public participation – Challenges to water policies in Portugal J. Pato Institute for Social Sciences at the University of Lisbon, Lisboa, Portugal

ABSTRACT: Assuming the central role of public participation as a means to promote direct involvement and information sharing between public administration, stakeholders and citizens in general, the Water Framework Directive (2000/60/EC) establishes a new legal, conceptual and policy framework for water policies in the European Union. This legal framework, and its correspondent political processes, represents a major institutional challenge for water policies in Portugal, and several issues/critical variables gain particular significance if a large-scale process of change is to be achieved. We will address some of these issues/critical variables (legal framework, institutional framework and public perceptions), providing an historical perspective on their development in Portugal. Further more, we present sociological data (collected from the Eurobarometer reports) that illustrate some considerably relevant issues in what concerns public opinion about environmental issues. We therefore aim to produce relevant insight on how some of the these critical issues affect policy design and the implementation of institutional frameworks and processes of change in Portugal at the beginning of the 21st century, taking into consideration two analytical dimensions: administrative decentralisation; state authority (from public goods to common pool resources). Keywords:

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Common pool resources; historical developments; public goods; structural variables; water policies

INTRODUCTION

Assuming the central role of public participation as a mean to promote direct involvement and information sharing between public administration, stakeholders and citizens in general, the Water Framework Directive (2000/60/EC) establishes a new legal, conceptual and policy framework for water policies in the European Union. Following the principles of the Aarhus Convention, one of it’s most significant purposes is to promote public awareness on water issues at all governance levels, as well as sustainable and participatory water planning, management and use. A thorough analysis of the Water Framework Directive’s (WFD) public participation conceptual framework makes it clear that the only feasible way to guarantee an effective response to water issues at the European level lies on the promotion of communication and social innovation, as well as collective learning processes (Lima and Pato, 2007). Therefore, a considerable degree of change is necessary, not only on the dissemination of this political vision, but also on the development of adequate policy instruments: new collaborative institutional platforms should be designed; innovative communication solutions and

simplified information sharing mechanisms should be implemented; the scientific community (several disciplinary fields) should be integrated on the production of valid diagnosis and assessment tools and methodologies. The main question to be addressed is, obviously, how to put the principle into practice. Some structural variables intervene significantly in this process. First, there is a wide range of national legal frameworks, and the need to harmonise them with the WFD principles. Secondly, the WFD does not impose a rigid policy or institutional framework (except for the establishment of river basin administrations): redesigning institutions or adapting them to collaborative action must be dealt with at the national, regional and local levels. Thirdly, there’s a highly differentiated set of contexts inside the geographical scope of the EU where this policy principle is to be applied (social, cultural, economical, hydrologic and others). Finally, we should pay close attention to the fact that public perceptions on water issues can either be a potentially beneficial or disruptive variable on the implementation of such a political vision. This large scale process, assuming it does have the potential to introduce profound changes in the way we collectively relate to water, is better understood

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if we take into consideration two complementary paradigmatic transitions: from centralised to decentralised administrative models, i.e., assuming the need to implement territorially differentiated planning and management processes founded on co-responsibility; from public goods to common pool resources, i.e., assuming that the state should find practical (functional and efficient) ways to share its authority. With this paper we intend to produce valuable insight on these questions historical developments when it comes to design and implement a participatory water planning and management policy in Portugal today, looking through the lenses of three structural variables: the regulatory framework (legislation), the institutional framework (institutional design, objectives and achievements) and public perceptions on water issues in Portugal (sociological analysis). 2 WATER LEGAL FRAMEWORK IN PORTUGAL: PUBLIC GOODS AND CPR’S Water is classified in most contemporary civil law countries (which have derived their legislation from the Napoleonic Code) in two distinctive categories (Caponera, 1992): public (waters belonging to the State) and private (water belonging to a private person or institution). Founded on the ancient Roman law, the civilest tradition abolished the third water category at the beginning of the 20th century in most European countries: common waters (res comunis omnium). Common waters were, under the roman tradition, those waters belonging to “no one and every one” – they were supposedly used and managed by small-scale communities for different uses (domestic and economic). Portuguese legislation established the transition from a three-fold water category to a two-fold one with the publication of the “water law” in 1919. To abolish “common waters” was a political decision based on the presumption that the State should globally assume responsibility for the administration and regulation of waters destined to public or common use, and that all other water uses would belong to the private realm. This legal framework was accompanied by the reinforcement of the Hydraulic Services (branch of the Ministry of Public Works) in pursuing public interests, as well as the establishment of a “water police”, territorially organised around river basin administrations. The legal status of public waters was subject to formal changes all along the 20th century in Portugal, most of which concerned with the clarification of the criteria used for the public/private waters distinction, but no substantial changes were produced ever since on the property regime. Its latest revision occurred in 2005 and unified the previously disperse legislation

Figure 1. River basin administration units (1884).

regulating the issue, but the State’s domain over waters was not questioned, neither was the issue of common property reintroduced. Therefore, we can assume that the water’s property regime is not considered to be a key variable on the process of designing a collaborative and participative water policy in Portugal, despite scientific evidence that this issue (property regime) does have a significant impact on successful common pool resources solutions (Ostrom et al., 2002; Lindsay, 2004). 3

INSTITUTIONS FOR WATER PLANNING AND MANAGEMENT IN PORTUGAL

The creation of the Hydraulic Services in 1884 set the scene for the first and most enduring water policy configuration in Portugal. Anticipating (approximately eighty years) what would become a mainstream technical recommendation for water planning and management (river basins are the most appropriate territorial units for water administration), the Hydraulic Services were organised at the central level as a branch of the Ministry of Public Works, assuming four river basin administration units as their regional counterparts. This institutional configuration corresponded to the final stage of a political plan designed in the 1850’s with the purpose of economically and territorially reorganising the country through the creation/expansion of communication infrastructures (roads, railroads and

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Figure 2. River basin administration units (2005).

harbours) and the promotion of modern industrial and agricultural use of natural resources (water, forests, land for agricultural production, fishery, etc.). Orienting such a structural change was the desire to attain economical growth, efficiency and functionality (Pato, 2007). Equally innovative, and inherent to this policy configuration, was the presumption that private stakeholders should be integrated if a profound institutional, economical and social change was to be achieved. Therefore, the establishment of land owner communities and irrigation communities were promoted, and expectations were high in what concerns their integration on the complex set of attributions assigned to the Hydraulic Services, namely: proceeding with the classification of public and common waters all along the national territory (cartography); implementing an effective water police whose mission was to regulate water use; collecting hydrological data (water availability and regimes); identifying necessary hydraulic interventions (regime correction and infrastructures); promoting planned water use for economical purposes (navigation, irrigation and energy production). 3.1 The hydraulic paradigm in water policies: 1884–1986 Despite its capacity to anticipate what would become some of the most relevant and widely accepted water

management and planning principles, an historical analysis of water policies in Portugal shows that some of its most significant objectives were either systematically delayed all along the 20th century, or never accomplished (Pato, 2007). The large discrepancy between the political enunciation of principles and objectives, on the one hand, and the ability to create adequate institutional frameworks and policy instruments capable of implementing them, on the other, is continually observed as a critical variable of water policies in Portugal. Some hypothetical explanations can be advanced if we assume the need to understand the main causes of such a problem, looking to avoid them in future policy design. First, the inadequacy of context oriented diagnosis based on credible information; a simple example does help to understand the issue: the political desire to use Portuguese rivers as communication high-ways, complementing road and railroad systems, could have been avoided if the fact that their hydrological flow is insufficient to guarantee navigation on a year round-basis was known and acknowledged. Secondly, the inability of the institutional framework to produce governance models capable of promoting an economical paradigm change. Embedded on the policy tradition of the Ministry of public works, the Hydraulic Services cognitive resources and institutional traditions were, for the most part, engineering oriented. Nevertheless, one of its major attributions was to design and implement an economical framework that could assure the promotion of water use in agricultural production, especially in the south of the country where water was scarcely used as a resource. Technical variables were addressed, a large irrigation infrastructure system was built, but it never served the purpose it was designed for: it now stands on the southern landscape, as an icon of the State’s ignominy. Thirdly, and transversal to both prior issues, the political interpretation of what should be the ‘public domain’ over water, granted by law, led to a unilateral, centralised and authoritarian posture on behalf of the government and public administration, especially when the integration of private stakeholders was at stake and demanded collaborative solutions for large-scale projects: energy production, irrigation agriculture or even environmental protection of water. The creation of landowner and farmers associations did not produce the expected results: most water plans and regulations were imposed, not proposed. Consequently, what could be considered as an innovative and ambitious policy framework in late nineteenth century Portugal turned out to be, for the most part of the 20th century, an over valuated hydraulic political project where socio-economical variables were not presumed significant, despite its economical objectives (Pato, 2007).

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3.2 The environmental paradigm in water policies (1986–2005) It was only in 1986 that a profound institutional change was politically promoted, with the extinction of the Hydraulic Services and the establishment of a new policy configuration within the newly created Ministry of Planning and Territorial Policy. Mainly concerned with territorial and environmental issues, this new Ministry was held responsible for the establishment of an institutional framework for environmental policies, dividing the country in five administrative regions. Water policies were integrated inside what was to become a larger environmental framework, river basin administrations were abandoned as an administrative concept and all its administrative attributions were integrated on the recently created environmental agencies. This was considered to be, by several experts, as a major step back on the necessary development and modernisation of water policies in Portugal. The decision, politically justified with the need to dismantle an institutional culture with over-weighted hydraulic competences (Hydraulic Services), as well as with the need to introduce environmental values and practices in several governance levels, assumed that water policies were going through a transition period. These were times of structural change in Portugal (Barreto, 1998), and the full integration of the country in the European Union created new opportunities and demands. Nevertheless, the political response and the necessary articulation between water policies and environmental policies was dull, disorganized and ineffective. The organic law of the Ministry of Planning and Territorial Policy, published in 1986, predicted the installation of five river basin administrations: in 1987 a decree-law defining a new water institutional framework was ready, but it was not published until 1990; despite its publication, it was never regulated; and the Water Institute, conceptually designed to institutionalise a new water policy in the country, did not become operational until 1994. It’s “not easy to explain this delay with technical problems (…). In fact, it was not so much of a political decision; mainly, it was the inability to take decisions” (Nunes Correia, 1991), said Francisco Nunes Correia, director of the National Resources Bureau at the time, and one of the authors of the 1987 decree-law. Fully operational in 1994, the Water Institute was assigned with the establishment of a new environmentally oriented water policy: river basin plans were to be produced with collaborative participation from stakeholders and citizens; a general water plan would integrate these river basin plans into a national planning framework; the water surveillance networks (quantity & quality) would be improved and modernised; new water management principles were to be implemented at both national and regional levels; a new

configuration for sanitation policies was to be created and coordinated at the national level. Nevertheless, the Water Institute, reporting directly to the recently created Ministry of the Environment, had to operate with no regional administrative counterparts and this proved to be the major cause for the delay of the planning activity: the National Water Plan was finished in 2002 and River Basin Plans were concluded between 2001 and 2002, with 4 and 6 years delays, respectively. Besides these delays, the planning effort was not complemented with an efficient set of regional institutions, capable of implementing its recommendations and objectives. The new set of river basin regional agencies (see Fig. 2) was only configured on the new Water Law (published in 2005), and still is in installation process. 3.3

Social needs and urbanisation (1884–2005)

Social needs were left aside in this policy framework. The creation and expansion of water supply and sanitation systems in rural and urban areas remained a municipal attribution, and a self subsistent perspective was assumed on behalf of rural populations, that traditionally dealt with the problem of water supply relying on their own technical resources to create small, collectively built and managed rudimentary supply infrastructures and irrigation systems (Wateau, 2000). Despite the fact that population growth between the 1800’s and 1900’s increased significantly (from 5 million in 1890 to 8 million in 1940), and the cyclical surge of epidemics revealed poor sanitary conditions, the central government did not provide a direct institutional response to this problem until 1944. The creation of the Bureau for Urbanisation Services in 1944 was seen at the time as a necessary political response to growing urban problems, among which were the lack of sanitary conditions, and a plan was designed to supply water and sanitation services to all municipal capitals of the country: the central government would provide technical and financial support to municipalities; these, in turn, would complete and manage the necessary infrastructures. Four years later, the Ministry of public works announced that the plan had “completely solved the problem, technically and financially” (MOP, 1948). But the inquiries conducted to municipalities on the percentage of population served with water supply and drainage systems (see Fig. 3) revealed this statement to be mere political propaganda of the dictatorial regime installed in the country (1935–1974): in 1941 only 24.6% of the total population was served with water supply systems and no data was available for drainage systems; in 1977 these numbers were upgraded to 40% in water supply systems and 16% in drainage systems. No information was available relative to water treatment systems.

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services, and allowed significant financial investments with national or European resources.

100 Drainage Supply

Percent

80

4

60

40

20

0 1940

1945 1970 1980 1990 2000 2010 2020 Year

Figure 3. Total population served with water supply and drainage systems (%).

The April revolution (1974) and the two-year period that followed, dominated by radical left-wing politics, were times of substantial political change in Portugal. Expectations were extremely high concerning the establishment of an effective welfare state that could finally supply the entire population with basic sanitary conditions and infrastructures. On the other hand, with the establishment of democratic elections, municipal leaders gained conscience that basic water and sanitation infrastructures could correspond to higher voting results in electoral periods (Schmidt et al., 2008). A new model for water services was designed by the central government, dividing the country in sanitation regions, geographically corresponding to districts. Public companies under the control of the central government were to be established in each region, promoting scale economies and technical cooperation. But such a drastic cut on the political influence of municipalities was clearly against the spirit of the revolution that promised to promote democratic institutions at the local level. Some of the companies were even created in the following years but they never began to operate. Later on, in the mid 1990’s, a set of laws regulating water services defined new terms for the relationship between municipalities and the central government with respect to water services. A state owned water company was created, as well as a regulatory bureau, aiming to establish large scale public companies that would provide water and drainage/treatment infrastructures and services to municipalities. These, in turn, would have a minority share on those companies capital, intervening in management decisions (Pato, 2007). This was the origin of the actual framework for water

CRITICAL ISSUES TODAY

Water policies face some critical challenges in Portugal today if the large-scale change process the Water Framework Directive claims as necessary is to be observed and achieved in due time. The most obvious one, as we have illustrated, concerns the ability to design and implement a functional and decentralised institutional framework, capable of integrating different stakeholders and promoting what could be said to be a necessary “cultural change” in policy making. This is a recurrent problem in Portugal, with long lasting historical roots, and the solutions provided on the Water Law, published in 2005, are still not operational. Taking into consideration some of the most relevant literature on common pool resources (see Ostrom et al., 2002), group size (the smaller the group, the most effective is its response) and legal frameworks do represent critical variables that can only be attained with an adequate institutional framework. A second challenge concerns the need to create effective public participation mechanisms that contribute to higher levels of social trust on public agencies (central government & municipalities), as well as the necessary motivation aspects that such a political desideratum requires. Recent sociological research on public participation issues in water planning and management in Portugal (Lima et al., 2001) revealed a very unfavourable institutional scenario: public participation processes are reduced to mere information sharing; lack of effective involvement procedures for citizens and stakeholders; conceptual misconceptions about the definition of public participation and target groups on behalf of public administration; a sense of lack of control in participation processes on behalf of public administration entities; in general, the actual mechanisms available to promote public participation are considered to be invisible and highly complex. The issue of trust in central or local government institutions should be seriously taken into account if the dissemination of collaborative platforms and co-responsibly processes are to be achieved. Especially when results from recent inquiries applied in EU countries (EC, 2005) clearly show water pollution to be a central concern (57% of the Portuguese claimed water pollution to be their most relevant environmental concern; 46% claimed it was more interested in solutions than it was to know about problems) and trust in institutions to be considerably low (only 25% and 14% of the Portuguese said they would trust the central government and municipalities, respectively, in providing solutions for environmental problems). These values changed in 2007 (EC, 2008), with water pollution becoming the third major

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environmental concern (46% – water pollution; after climate change, 54%, and air pollution, 49%) and trust in institutions decreasing to alarming values: only 13% and 4% (!) of the population claimed they trust, respectively, either the central government or municipalities on environmental issues.

REFERENCES Barreto, A. (1997). A situação social em Portugal, 1960– 1995. Lisboa: Instituto de Ciências Sociais. Caponera, D. (1992). Principles of Water Law and Administration: national and international. Rotterdam: Balkema. EC (2005). The attitudes of European citizens towards environment – special eurobarometer n◦ 271/wave 62.1 (Fieldwork: November 2004). http://ec.europa.eu/public_ opinion/archives/eb_special_en.htm (accessed April 2008). EC (2008). The attitudes of European citizens towards environment – special eurobarometer n◦ 295/wave 68.2 (fieldwork: November – December 2007). http://ec.europa. eu/public_opinion/archives/eb_special_en.htm (accessed April 2008). Lindsay, J. (2004). Legal frameworks and access to common pool resources. FAO Legal Papers. http://www.fao.org/ legal/pub-e.htm (accessed April 2008).

Lima, L., Marques Pinto, A., Castro, P., Baptista, C. (2001). Informação, responsabilização e participação dos cidadãos no domínio hídrico. Lisboa: CIIS/ISCTE. Lima, L., Pato, J. (2006). Água e Participação Pública em Portugal. Lisboa: CIIS/ISCTE. MOP (1948). Livro de Ouro: quinze anos de obras públicas, Vol. I. Lisboa: Imprensa Nacional. Nunes Correia, F. (1991). A problemática da água no contexto do ambiente em Portugal In: MARN (1991). Livro Branco sobre o Ambiente (relativo aos anos de 1987–1990). Lisboa: MARN. Ostrom, E., Dietz, T., Dolsak, N., Stern, P.C., Stonich, S., Weber, E. (eds.) (2002). The Drama of the Commons. Washington D.C.: National Academy Press. Pato, J. (2007). The Value of Water as a Public Good. PhD Dissertation on water policies at the Institute for Social Sciences at the University of Lisbon. Lisbon: University of Lisbon. Rodrigues, T. (1995). Nascer e morrer na Lisboa oitocentista: migrações, mortalidade e desenvolvimento. Lisboa: Cosmos. Schmidt, L., Saraiva, T., Pato, J. (2008). In search of the (hidden) Portuguese Urban Water Conflicts: the Lisbon water story (1856–2006). In: Urban Water Conflicts, Barraqué, B., Guilbert, T. (ed.). London: Taylor & Francis. Wateau, F. (2000). Conflitos e Água de Rega. Ensaio sobre a organização social no vale de Melgaço. Lisboa: Dom Quixote.

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The Latin American water tribunal and the need for public spaces for social participation in water governance C. Maganda Laboratoire de Science Politique, Unité de recherche IPSE (Identités, Politiques, Sociétés, Espaces). Université du Luxembourg, Campus Walferdange, Luxembourg

ABSTRACT: In the 21st century the world has the technology, finance and the human capacity to end water scarcity and unleash another leap forward in human development. However, the lack of public information concerning water distribution, combined with the political influence of economic organizations and urban conurbations have historically led to the inequitable distribution of water resources throughout the world. The crisis of water is not a technical or scarcity-related problem but a management and governance issue. This article examines the Latin American Water Tribunal (LAWT) which was created in 2000. This body is not a judicial tribunal, as its decisions are not binding. However, it represents an autonomous international quasi-judicial body where legal and ethical discussions concerning water management occur. This contribution will: 1) theoretically discuss the issue of social participation in water management, 2) examine the activities of the LAWT and its significance for social participation. 3) analyse the impact of the Tribunal on political mobilization in Guerrero, Mexico where rural communities have been protesting the Parota dam project and 4) discuss the need to create public spaces for democratic participation through multilayered governance that permit grassroots organizations to access decision-making processes concerning water management. Keywords:

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Environmental justice; Latin America; social participation; Water politics

INTRODUCTION: WATER JUSTICE AND SOCIAL PARTICIPATION

Current research on water distribution demonstrates that water politics are significantly affected by notions of ethics and power. The lack of public information concerning water distribution combined with the political influence of economic organizations, have led to inequitable distributions of water resources throughout the world. Of course, most of the people lacking access to water and sanitation services are poor and characterised by socioeconomic vulnerability. This problem cannot easily be solved through international meetings, declarations or accords. All nations face different water management challenges and each set their own limits of what they consider to be “fair” distribution of water. Moreover, states do not always follow paths that address the limits of ecological sustainability. In this paper, I want to focus specifically on environmental justice and social participation because historically ( particularly in Latin America), water management problems are directly related to the lack of social participation in water decision-making

processes. In fact, in the arena of environmental justice, there is an existing impunity and water is not disconnected from this trend. Many social actors do not believe in simply waiting until environmental promises from decision-makers can be maintained in the future so they have created their own social institutions as public spaces (defined as arenas in which democratic discussions occur) for participation in environmental and water policy-making. These institutions are meant to apply pressure on decision-makers to improve the protection of water rights. 2

INTERNATIONAL SPACES FOR SOCIAL PARTICIPATION IN WATER MANAGEMENT

Over the last three decades, water has become an international political issue. Since 1977, the United Nations Water Conference stated that “water development and management should be based on a participatory approach, involving users, planners and policy-makers at all levels.” International organizations have implemented specific initiatives to address these management issues.

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The largest and most important body in global water debates is the World Water Council (WWC), established in 1996. It is composed of “international multi-stakeholders”, and plays an interesting role in promoting awareness and building political commitment to critical water issues. Since 1997 the WWC has organized the World Water Forum (WWF) every three years. The 4th WWF held in Mexico City in 2006, had the specific objectives to: “actively promote the participation of all stakeholders during the preparatory process and the Forum itself ”. Even more, the main theme of the forum was “Local actions for a global change”. The forum was supposed to engage the public on the need to find new methods to distribute water resources more equitably. However, this event was dominated by the circle of elites in water politics. In response to the WWF’s elitism, a “People’s” World Water Forum has been organised with the objective of guaranteeing access to drinking water for all world citizens and the recognition of water as a common good, in “the timeframe of a generation”. This alternative forum directly focuses on social participation in water debates. Its initiatives aim to promote international reforms from local action by facilitating communication between various movements throughout the world. However, while these strategies have progressive objectives and ties to the World Social Forum, their influence is not widespread. This forum is known in Europe but its impact has been minimal in developing states, especially in Latin America. Thus, the governance problem on which this paper focuses is: If the World Water Forum is dominated by elites and if the influence of the “People’s” World Water Forum is restricted to Europe, then what strategy can be developed to improve social participation in water politics in Latin America? 3

IS THERE A NEED FOR WATER COURTS?

As stated above, international efforts to promote social participation in water management have not been very effective in Latin American contexts. This region has its own problematic water background due to complex stakeholder scenarios and a general weakness of democratic performance. Water management in Latin America has caused significant competition for the resource due to: social inequities, technical problems with structural networks, short term policy solutions, vertical decision-making regarding hydraulic infrastructure, economic problems because poor people lack the means to pay for water services, etc. Because of the lack of participation spaces, public protest has been the common answer to these problems. In my opinion, these forms of social mobilisation are not the answer for public participation in water

management. First, they are reactive measures rather than proactive ones. Second, they are organised by radicals who hurt public acceptance of participation movements more than they help (see Tarrow’s work on social movement cycles) because of the chosen modus operandi for protest. For these reasons, regional initiatives, such as the Tribunal Latinoamericano del Agua (Latin American Water Tribunal: LAWT) offer interesting alternatives for the improvement of social participation in water debates.The specific question that this paper addresses is: what potential does the LAWT have to make an impact on decision-making processes? I argue that this initiative could significantly improve social participation in water management processes. Unlike political protest, the LAWT is based on the legal interpretation and application of social rights. The unequal access to water that characterises Latin America reflects a crisis of environmental legislation which focuses more on symptoms of water scarcity than on structural causes. Water injustices are clearly present and a kind of “ecological impunity seems to reign.” (Helfrich, 2006). Thus, the LAWT’s first contribution to improving democratic participation in water debates results from its creation of a legal context in which participation can be fostered. Internationally, there are some examples of civil society tribunals where water injustices have been exposed and resolved. In 1983, in Rotterdam, Netherlands, an environmental tribunal analysed environmental damages caused to the Rhine river basin in a public hearing. Similarly, in 1992, severe water contamination cases from Asia, Africa, America and Oceania were considered in Amsterdam. These courts were able to expose environmental problems in a legal context. Latin America has also had some NGO-run water courts. In 1983, Brazil’s National Water Tribunal held its first public hearing in Florianopolis to review cases on mining, radioactive and agro-chemical contamination, as well as cases related to large scale hydroelectric generation projects. The Central American Water Tribunal (CAWT) was created in 1998 with the purpose of contributing to the resolution of conflicts related to water ecosystems in Central America. It responded to what its founders called “the democratic deficit in water management” and the “environmental impunity situation”. It was established: 1) to create new justice settings, 2) to resolve water-based conflicts, 3) to promote the use of environmentally cleaner technologies and, 4) to promote adequate water resource management. The CAWT’s main function was to create a public space for democratic participation in water debates for: 1) those groups that do not usually have access to traditional avenues for justice, and 2) those who are directly affected by the degradation of this resource.

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After two years, and five public hearings, the founders of the CAWT created the Latin American Water Tribunal (LAWT) in 2000 in order to increase the impact of this body throughout the region. Its objectives are the same as the CAWT’s, thus, the LAWT aims to create a framework for social participation that is proactive rather than reactive and conciliatory rather than accusative. Of course, the LAWT’s impact is limited because it is not a constitutional tribunal. Its decisions are not binding and it does not impose sanctions. Its creation, however, is significant for two reasons. First, it represents an autonomous international judicial body where legal discussions concerning water management occur. These efforts introduce the principle of ethics into international water debates both in form (through the rule of law) and substance (through the content of the tribunal’s rulings). Second, because the Tribunal hears cases brought by grassroots organizations, it links international water debates to local mobilisation. This paper analyses the LAWT’s activities and significance and aims to address the following questions: What are the social benefits and/or political impact of the court? How plural are its processes and who participates? Can this body be a new regional answer for promoting social participation in water politics? These questions are the basis of the following section.

4 THE LATIN AMERICAN WATER TRIBUNAL As the WWF was taking place in March 2006, the LAWT simultaneously held its first public hearings in Mexico City involving ethnic communities, rural populations, and civic groups contesting inequitable water management practices. This section focuses on the LAWT’s proceedings. Even though the tribunal’s rulings are important, this chapter argues that the LAWT’s most important contribution comes from its proceedings which encourage forms of political participation that extend beyond simple protest. Because the LAWT’s verdicts are not binding, the body’s major innovation lies in the fact that it convenes all actors in specific cases and attempts to mediate their conflict impartially. Thus, the tribunal creates “public space” in water management. A. The complaint. According to the LAWT: “Every person, group of persons or organisations aware of threats to the sustainable use of water, or that undergo the consequences caused by the water resource mismanagement or abuse, may file a complaint before the Tribunal.” While it is true that the call for complaints focuses more on negative environmental impacts that it does on water resources, in practice the complaints address socio-economic

impacts in vulnerable communities resulting from decisions regarding the creation of large hydraulic infrastructure (such as dams). Like other international courts, the LAWT hears cases after national legal remedies have been exhausted. Nevertheless, the LAWT recognizes that in some cases this rule is not applicable given the predominant impunity that characterises environmental problems in the region, the overload of cases in national justice systems, the political and financial interests of the agents named in complaints, the socio-economic vulnerability of plaintiffs, and the holes that exist in matters of environmental regulation in most Latin American countries. Thus, the tribunal’s first contribution to social participation is its attempt to offer recourse to parties excluded from decision-making concerning water rights. The LAWT improves social participation because it sheds light on distribution decision-making in public hearings (see below) and it includes new actors in policy discussions by sending experts to communities to inform citizens of their rights and educate them on avenues for involvement in democratic processes. B. The cases. The LAWT’s technical/scientific commission is responsible for selecting cases, followed by a thorough evaluation of them. If the accusation is accepted, the LAWT formally notifies the accused of its right to respond to the allegations at a public hearing.The chosen cases for this public hearing are those that put significant populations or important water bodies and their basins in danger. This is particularly meaningful if such water bodies are critical to human life. The cases that do not reach the public hearing are also evaluated and addressed through a “conflict resolution agenda,” based on mediation in which the LAWT comes to an agreement with the opposing parties. This point is relevant because the court does not just listen to one party while ignoring the claims of accused water agencies. Instead, it aims to reconcile the differences between both parties. This demonstrates the tribunal’s commitment to dialogue over social protest. Social participation is nurtured through mediation and institutionalised communication. C. The jury. Once a case does go to a hearing, it is heard by a jury of water experts. The main requisite to become a member of the jury is the acknowledged ethical background of the candidate. The jurors are selected by the LAWT’s general coordination body, and at least one third must be females. They are committed to attending the hearings, analyzing the accusations, issuing the verdicts and formulating recommendations. The president of the jury has the responsibility of directing the sessions and organizing the testimony and general course of deliberations. The jury has the right to revise the documentary evidence and to cross-examine the witnesses.

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D. The public hearing. The LAWT’s public hearing is its most significant activity. Different cases where human activities may threaten water availability in Latin American, or where water mismanagement is involved, are presented and evaluated. The allegations are forwarded by civic organisations (through legal counsel) from Latin American states, and they are assessed by the aforementioned jury. During the hearings, the parties involved in the conflict have the opportunity to state their viewpoints. The event’s protocols are similar to those of any trial. Throughout the hearing jurors examine evidence and interrogate witnesses. As soon as they finish hearing testimony and cross-examination, they withdraw to deliberate. Their verdicts are announced at the end of the hearings. Testimony also follows the pattern of a normal trial. Once the hearing begins, the court gives the plaintiffs the opportunity to present their case. The accused then present their defence. Each side has the right to speak for thirty minutes. Once both sides have presented their cases, the jury hears testimony from witnesses and notaries during a twenty minute period in which cross-examination occurs. The court then accords ten minutes to each party to present summaries and conclusions. In short, the LAWT is not merely a showcase for the accusation of public officials and the organisation of protest. The tribunal works to ensure fairness like any other international court and aims to guarantee environmental and social justice. Each side can freely express its points of view with respect to the facts of the disputed case. Those claiming to be victims of unfair water policies are usually represented by lawyers from environmental NGOs. State representatives are also invited to participate or be represented, but only Mexico has done so. E. The verdicts. The LAWT does not have formal judicial power because its verdicts are not binding and its judgments do not derive from any legitimate legal document. Therefore, it cannot apply administrative, penal or financial sanctions. In their place, their judgments, especially the condemnations, constitute moral sanctions, as well as moratoriums and social refusal of harmful conduct against the water resources of Latin-American citizens. The LAWT’s juries have absolute liberty and unlimited time to emit their verdicts. These verdicts do not assign guilt or designate responsibility. Instead, with the objective of contributing to the maintenance of environmental justice, the juries’ verdicts contain recommendations for both sides that explain in detail the responsibilities that each party must assume in order to resolve the water conflict presented at the hearing. This point is very important because the LAWT’s goal is not to blame water authorities, political actors or economic stakeholders for injustices. Instead, its goal is to bring

parties together in order to resolve grievances. These verdicts are then announced to the public in order to guarantee impartial monitoring. The following section on water-related conflict in Guerrero, Mexico shows that this is the tribunal’s Achilles heel. 5

LA PAROTA DAM CASE

Located in the Mexican state of Guerrero, Acapulco has become an internationally-known tourist resort that has grown tremendously since the 1950s into a large metropolitan area with more than 700,000 inhabitants. Its market share currently represents 40.5% of Mexico’s tourist industry. The development of tourism has attracted many migrants from surrounding areas in Guerrero, in addition to tourists. This demographic and economic growth has placed pressure on strategic resources in the city. Periodically, local residents lose water and electricity. In response to these problems, local, state and national officials proposed to build a large hydroelectric power plant called “La Parota” on the nearby Papagayo River. Urban residents applaud this measure. Conversely, rural populations would be affected adversely by this project. Specifically, many communities would be displaced and already, state officials have attempted to force these people off of disputed land. The LAWT became involved when a case was filed by the Consejo de Ejidos y Comunidades Opositores a la Presa la Parota (CECOP) (Council of Cooperatives and Communities Opposing the Parota Dam) attempting to prevent the construction of dam. These plaintiffs represent more than 20 communities in a rural area that covers approximately 37,000 hectares. The accused as stated in the hearings include the State Government of Guerrero, the Federal Electricity Commission (CFE), the SEMARNAT, and the Agrarian Attorney General’s Office.These authorities were chosen because the CFE is carrying out the project with their support. Most citizens in Guerrero have opposed the CECOP because they disagree with their tactics, which include organizing protests that block traffic, and forcefully taking control of water containers. Public support for the Parota dam project, though, has not been democratic. Interviews with local citizens have demonstrated a clear disinterest in issues related to rights, governance or responsibility. Instead, they are interested in guaranteed services for their own communities. Of course, water resources should not be distributed on such considerations should sustainability be a policy goal. By shifting water policy from the sub-national to the supranational arena, the LAWT has the potential to introduce democratic themes into local debates. At the very least, the LAWT places local projects into regional political contexts.

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In fact, the Parota project has a wider background that gives it regional significance. It is grounded in the Latin American Puebla-Panama Plan. This Plan signed in 2001 by the presidents of Mexico, various Central American states and Colombia, represents a multi-billion dollar investment in large-scale infrastructure projects in the region. It includes significant investments in transportation, telecommunications and energy. Part of the plan in Mexico includes the proposed construction of the Parota hydroelectric dam. When it was conceived, this was largest dam proposal in Mexico which, when constructed, would have flooded 17,300 hectares with a 192-metre high dam. According to the opposition parties, this would affect 25 thousand farmers in 5 districts in Guerrero: Acapulco, San Marcos, Juan R. Escudero, Tecoanapa and Chilpancingo. The conflict surrounding the Parota project began in 2003 when the CFE started construction in the communal land of Cacahuatepec, supposedly with no warning and with no authorisation from SEMARNAT to make changes in the use of land. The community opposed the CFE’s arrival and damages to communal land and human rights violations were reported. The CFE has attempted to buy land for the construction of a dam project that it argued was necessary to guarantee energy resources to Acapulco. The main problem is that the majority of the members of the cooperative which owns the land do not want to sell and be relocated. The CFE has been accused of utilising corruption, particularly within the Agrarian Attorney’s Office, in order to buy land under the market value or to take it outright. There is a long history of accusations of illegal assemblies supposedly approved by the Agrarian Attorney General but later cancelled when dam opponents could show proof of illegal activities based on corruption. Government actors resorted to numerous actions that promoted illegality, a climate of harassment and violence amongst the populations that oppose the project. The escalation of the political conflict has led to physical attacks in the area. First, state government has repressed CECOP protests through police action. Numerous protesters have been injured and there have been four deaths related to these conflicts. Due to this repression, the local communities have also turned to violence, attacking the police and taking the water containers that feed Acapulco by force. In 2006, the LAWT accepted this case, brought to them by the CECOP, in order to attempt to mediate between the two sides. Attempts at reconciling the opposing positions failed because the CFE, SEMARNAT, the State of Guerrero and the Agrarian Attorney General’s Office did not send representatives. The LAWT verdict ruled that the project should be cancelled because: 1) authorities did not consider the damage to public health or to the quality of life of the

local population when they examined the project’s environmental impact, 2) authorities did not evaluate the project’s impact on the supply and quality of water to the city of Acapulco or rural localities which depend on the Rio Papagayo, and their study lacks the basin management hydrographic criteria established in the national water law, 3) the technical justification for the project is ambiguous and sometimes contradictory and it never mentions the energy needs of affected rural communities, 4) the expropriation of cooperative and communal lands at very low prices contradicts the 27th Constitutional Article, 5) the presence and intervention of the CFE in the region has contributed to the violation of human, civil and political rights, and it has caused the discontinuation of inter-community relations which resulted in clashes between the followers and opponents of the project and 6) the CFE, until March of 2006, had not yet presented a resettlement plan or reparations package to those affected by the dam project. In general, the verdict noted violations of democracy. Also, the rule of law was violated in terms of a) the right to information, b) the right to consultation and participation, c) the right to free determination, d) the right to housing, water, food, land and territory and, e) the right to development. While the LAWT sided with CECOP in terms of the improprieties involved in the construction of the Parota Dam, it also criticised them for using violence.

6

CONCLUSIONS

The LAWT represents a constructive criticism of the lack of social participation in environmental politics in all Latin America and it has the potential to significantly improve social participation in water politics, thus, improving the democratic quality of public water debates. Its real innovation regards the quality of debates. Most scholars of social movements (Tarrow) and urban politics (Stoker, Orr) argue that even successful popular movements have limited longterm impacts because they do not have the resources to sustain their activities. The key to long term success in creating equity is affecting the nature of systems rather than winning battles within them. The LAWT helps institutionalise social participation through its quasi-legal approach. The framework improves the quality and dissemination of public information on water management in Latin America. Through these educational activities, the LAWT creates a “public space” for democratic debate of water issues as invitations to participate in these discussions are extended to all parties, including governments, NGOs and stakeholders. While much of the literature on environmental politics at the global level

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encourages open debates and social participation, it often ignores institutional necessities without which democratic discussions cannot take place. The “public space” literature argues that citizen participation cannot occur without concrete institutional settings. The LAWT provides more than a forum for NGOs and activists to stake their claims. It facilitates democratic discussions because all parties are invited to participate in public hearings. Moreover, even though the LAWT’s hearings are public, its initial efforts in the cases accepted are aimed at quietly mediating local disputes. Thus, it is institutionalising conflict and providing a mechanism for healthy democratic resolution. While mobilisation may bring about short-term victories but systemic problems are rarely addressed. The case of the Parota Dam project demonstrates this point. The events of March 2006 clearly indicate that the model proposed by the LAWT holds more potential for improving social participation than those organised within the framework of the World Water Forum. CFE temporarily stopped work on the Parota Dam until the CECOP could explain their demands to them. The most recent news from Guerrero, however, also demonstrates the significant limits of the LAWT. Even though the Parota project stalled for a year while the LAWT mediated between Mexican authorities and CECOP, construction has recently restarted as has political violence. While it was effective in stopping contentious behaviour in 2006, the LAWT’s non-binding nature ultimately led to the refusal of mediation. Nonetheless, the impact of the LAWT’s involvement in the Parota case should be seen as a temporary success on which to build in order to ensure social participation in Latin American water debates in the future. The key to further introducing equity in the world water system involves the introduction of ethics in international water debates. Despite the LAWT’s present limits, it does broaden regional discussions that are characterised by social participation and it encourages dialogue between citizens, stakeholders and public officials. This is the very definition of social participation. REFERENCES Aboites Aguilar, Luis (1998). El agua de la nación: una historia política de México, 1888–1946. México, DF: CIESAS.

Bogantes, Javier and José Ma. Borrero Navia (2000). Documento de procedimientos.Tribunal Latinoamericano del Agua. Brooks, David and Fox, Jonathan, eds. (2002). Cross-Border Dialogues. La Jolla: Center for US-Mexican Studies, UCSD. Garcia-Acevedo, Maria Rosa and Ingram, Helen (2004). Conflict in the Borderlands. In: NACLA Report on the Americas Vol. 38. No. 1 (July–August 2004). http://www.nacla.org/ Habitat International Coalition (2007). La Parota Dam Follow-up. Guerrero’s struggle against the construction of the Parota hydroelectric dam (Mexico). On-line article http://www.hic-net.org/articles Helfrich, Silke (2006). Reasons to Support the Latin American Water Tribunal. On-line article at the Heinrich Böll Foundation web page. McLean, Jess (2007). Water injustices and potential remedies in indigenous rural contexts: A water justice analysis. In: The Environmentalist, 27(1): 1573–2991. Maganda Ramírez, Carmen (2004). Disponibilidad de Agua, Un Riesgo Construido. Vulnerabilidad hídrica y crecimiento urbano-industrial en Silao, Guanajuato. México. (Tesis Doctoral), México: Centro de Investigaciones y Estudios Superiores en Antropología Social (CIESAS). National Center for Human Rights Education (2006). Environmental Justice and Human Rights. Fact Sheet. On-line document: http://nchre.org Orr, Marion (2007). Transforming the City: Community Organizing the Challenge of Political Change. Lawrence: University Press of Kansas. Picolotti, Juan Miguel and Crane, Kristin L. (2005). Access to Justice through the Central American Water Tribunal. In: Public Participation in the Governance of International Freshwater Resources. C. Bruch, L. Jansky, M. Nakayama and K.A. Salewicz, editors. Tokyo: United Nations University Press, 460–473. Plumwood, Val (2004). Environmental Justice, in Institutional Issues Involving Ethics and Justice. In: Encyclopedia of Life Support Systems (EOLSS), Robert Charles Elliot (ed.), developed under the Auspices of the UNESCO, Eolss Publishers, Oxford, UK, http://www.eolss.net (accessed September 20, 2007). Schlosberg, David (2006). Defining Environmental Justice: Movements, Theories, and Nature. Oxford University Press, June 2006. Stoker, Gerry (2003). Transforming Local Governance. New York: Palgrave Macmillan. Tarrow, Sidney (1989). Democracy and Disorder: Protest And Politics In Italy, 1965–75. Oxford: Clarendon Press. United Nations Development Programme. Human Development Report (2006). Beyond scarcity: Power, poverty and the global water crisis. On-line text: http://hdr.undp.org/ hdr2006

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Author index

Abdulla, F.A. 485 Acma, B. 663 Adewumi, J.K. 337 Adhikari, B. 647 Agbede, O.A. 337 Ahmed, S. 633 Akbari, K. 447 Akinyemi, J.O. 337 Al-Shareef, A.W. 485 Alberto Tejada-Guibert, J. 509, 513 Allaert, G. 283 Ana Jr., E.V. 495 Ansary, M.A. 311 Ashmore, J. 297 Babister, E. 297 Balaguer, J. 603 Barjas Blanco, T. 265 Barredo, J.I. 217 Batchelor, C. 557 Batelaan, O. 405 Bauwens, W. 495 Beja da Costa, A. 197 Beneke, G. 467 Berlamont, J. 265 Bolaji, G.A. 337 Boonen, I. 495 Boukhris, O.El Farouk 271 Bradbury, M.A. 151 Bury, P.J. 557 Butterworth, J.A. 557 Camilla, S. 603 Campos, M.R. 609 Cauwenberghs, K. 265 Chatterjee, A. 675 Chiang, P-K. 265 Chigumira, E. 431 Chigurupati, R. 121 Chormanski, J. 405 Chou, R.J. 91 Chulli, B. 453 Contreras, C. 189 Da Silva, C. 557 Dams, J. 405 Dankers, R. 217 Darteh, B. 557 De Gueldre, G. 495 De León M., B. 597

De Maeyer, Ph. 283 De Moor, B. 265 De Sutter, R. 283 Deckmyn, Y. 143 Desramaut, N. 347 Dey, D. 441 Dow, F. 277 Du, N. 83 Dziegielewska-Geitz, M. 557 Eckart, J. 557 El-Sadek, A.A. 655 Erkan, N. 169 Erkök, F. 175 Escobosa G., F. 597 Espinoza, E. 603 Favreau, G. 453 Feyen, L. 217 Gbedemah, F.S. 627 Gunasekara, P.E. 115 Gunawardhana, M.R. 115 Gupta, K. 237 Hamamcio glu, C. 169 Hellbach, Ch. 289 Hinton, B. 151 Holst, A. 503 Hooimeijer, F.L. 137 Huygens, M. 251 Jayaratne, S. 115 Jebnoun, N. 453 Jency, S. 435 Jiménez, B. 387 Jobair, M. 311 Jumsai, S. 33 Karydi, I. 303 Kellens, W. 283 Kelman, I. 297 Kennedy, J. 297 Klenov, V.I. 317 Kodikara, P.N. 411 Kularathna, M.D.U.P. 411 Lambrecht, S. 585 Leal, C.G. 669 Ledo García, C. 613 Leyland, R.C. 459

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Lodhia, S. 323 Lusterio, A.C. 67 Maganda, C. 687 Manning, N. 557 Mendoza, A. 579 Meyer, H. 371 Moelants, N. 479 Moog, O. 419 Moriarty, P. 557 Mugisha, S. 535 Mujere, N. 431 Nava, K. 399 Nguyen, T-D 347 Nguyen, V-T-V. 347 Nossent, J. 405 Novotny, V. 19 Odai, S.N. 45 Okello, N.J.O. 163 Okpanachi, E. 619 Ottens, H. 83 Parikh, H. 357 Parikh, P. 357 Pato, J. 681 Perera, B.J.C 411 Pessemier, M. 495 Pinnekamp, J. 289 Platonova, I. 579 Porto, M.F.A. 543 Pérez M., A. 597 Quevauviller, Ph. 575 Quinn, M.S. 579 Rahman, M.S. 641 Rocabado, I. 251 Roder, S. 289 Román C., J.A. 597 Roovers, G. 251 Saillofest, O. 277 Saleh, H.A. 283 Sanjeewani, H.L.G. 115 Satyanaga, A. 99 Schouten, T. 557 Shah, D.N. 419 Shakti, P.C. 329 Shannon, K. 55

Sharma, S. 419 Sharma, S.K. 491 Shrestha, B.K. 105, 183 Shrestha, S. 105, 183 Siekmann, M. 289 Sliuzas, R. 83 Smets, I.Y. 479 Smolders, S. 495 Stalenberg, B. 257 Stanley, K.P. 425 Staufer, P. 289 Suleiman, L. 567 Suseelan, A. 473 Sutherland, A. 557 Sutradhar, A. 311 Swapan, M.S.H. 633

Tachamo, R.D. 419 Taheri Tizro, A. 447 Tallar, R.Y. 99 Tassel, D.V. 585 Teh, T.H. 157 Thoeye, C. 495 Tortajada, C. 523 Troch, P. 647 Tucci, C.E.M. 227 Vairavamoorthy, K. 3 Van Impe, J.F. 479 van Overloop, P.J. 399 Vanneuville, W. 271, 283 Verhagen, J. 557 Verhoeven, R. 647

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Verschure, H. 585 Viganò, P. 207 Voudouris, K. 447 Vrijling, J.K. 257

Wang, J. 75 Willems, P. 265, 271 Witthüser, K.T. 459 Woltjer, J. 127

Zajac, A. 143 Zandaryaa, S. 513 Zarins, J. 297