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M. Meng
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1
Four Clusters o fThought on Flood Resilience and Climate Adaptation
The state of the art and new directions for spatial planning
The need to respond to increasing flood risk, climate change, and rapid urban development has shaped innovative policies and practices of spatial planning in many countries over recent decades. As an instrumental–technical intervention, planning is mainly used to improve the physical environment (through concepts such as regulating waterproof facades of architecture, setting buffering zones, and designing green-blue corridors). However, the implementation of the proposed physical interventions is often challenging and necessitates assistance from practices such as climate assessment, policy disciplines, civil societies, and economic resources. These extensive perspectives have spawned many new research domains in the realm of spatial planning. This chapter provides a review of the recent developments in flood resilience, risk management, and climate adaptation; based on this, it positions planning research and practice within these works of literature. Four clusters of thought are identified, mainly in the European and American scholarship of the last two decades. They are environmental concerns, disaster management concerns, socio-economic concerns, and institutional concerns. Current planning research concentrates on disaster management in the underlying belief that planning is functionally efficient. The attention to environmental concerns, socio-economic concerns, and institutional concerns of planning research remains insufficient but has been growing. This, in turn, enlarges the scope of planning research and indicates future directions for study. These new concerns relate to spatial planning’s ability to operate effectively in a multi-sectoral setting, despite limited resources and in the face of uncertain risk.
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The need to respond to increasing flood risk, climate change, and rapid urban development has shaped innovative policies and practices of spatial planning in many countries over recent decades. As an instrumental–technical intervention, planning is mainly used to improve the physical environment (through concepts such as regulating waterproof facades of architecture, setting buffering zones, and designing green-blue corridors). However, the implementation of the proposed physical interventions is often challenging and necessitates assistance from practices such as climate assessment, policy disciplines, civil societies, and economic resources. These extensive perspectives have spawned many new research domains in the realm of spatial planning. This chapter provides a review of the recent developments in flood resilience, risk management, and climate adaptation; based on this, it positions planning research and practice within these works of literature. Four clusters of thought are identified, mainly in the European and American scholarship of the last two decades. They are environmental concerns, disaster management concerns, socio-economic concerns, and institutional concerns. Current planning research concentrates on disaster management in the underlying belief that planning is functionally efficient. The attention to environmental concerns, socio-economic concerns, and institutional concerns of planning research remains insufficient but has been growing. This, in turn, enlarges the scope of planning research and indicates future directions for study. These new concerns relate to spatial planning’s ability to operate effectively in a multi-sectoral setting, despite limited resources and in the face of uncertain risk.
Spatial planning in the face of flood risk
Between inertia and transition
Given the greater risk of flooding in cities due to climate change, spatial planning systems are increasingly expected to contribute to flood resilience. However, incorporating expanded adaption measures in conventional planning practices remains a major challenge due to institutional barriers. Based on the theories of historical institutionalism in relation to path divergence, this paper aims to understand the factors which determine the fate of innovations and departures from established practice. Using Guangzhou as a case study, the paper traces the history of the city's struggle against flooding from the 1920s onwards, building on documentary analysis, mapping and interviews. The findings highlight a deeply rooted attachment to engineering-based solutions to tackle flood risk. It also indicates that departing from an established path to embed nature-based and non-structural solutions in the planning system is more likely to take place in response to changing socio-economic needs and strong institutional support for changes, rather than in response to major flooding events. These findings provide lessons for policymakers and urban planners seeking to enact new policies to enhance flood resilience in spatial planning.
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Given the greater risk of flooding in cities due to climate change, spatial planning systems are increasingly expected to contribute to flood resilience. However, incorporating expanded adaption measures in conventional planning practices remains a major challenge due to institutional barriers. Based on the theories of historical institutionalism in relation to path divergence, this paper aims to understand the factors which determine the fate of innovations and departures from established practice. Using Guangzhou as a case study, the paper traces the history of the city's struggle against flooding from the 1920s onwards, building on documentary analysis, mapping and interviews. The findings highlight a deeply rooted attachment to engineering-based solutions to tackle flood risk. It also indicates that departing from an established path to embed nature-based and non-structural solutions in the planning system is more likely to take place in response to changing socio-economic needs and strong institutional support for changes, rather than in response to major flooding events. These findings provide lessons for policymakers and urban planners seeking to enact new policies to enhance flood resilience in spatial planning.
The cities of the Pearl River Delta (PRD) have been experiencing an unprecedented urban expansion for the past four decades, leading to emergence of one of the most populous and dynamic urban regions. However, these rapidly expanding cities located in a low-lying delta area also face increasing flood risk due to a combination of anthropogenic and natural factors. We use the concept of boundary spanning in combination with an institutionalist perspective to shed light on the barriers and opportunities for development of adaptive capacity in the face of that risk in Hong Kong and Guangzhou. As recognised in the flood risk management literature, such boundary spanning is necessary to effectively address the challenge of spatial adaptation to the growing flood risk, as it entails, for instance collaborating between policy sectors (horizontal boundaries), across levels of government (vertical boundaries) and between short-term and long-term planning agendas (temporal boundaries). Through the prism of institutions (e.g. planning system), ideas (e.g. dominant values in planning) and interests (e.g. rational choice-driven strategic behaviour of the actors involved), we assess how contextual institutional and cultural factors matter for the ability of those cities to address the growing flood risk in the face of climate change. The study builds on analysis of spatial planning and flood risk management policy documents, interviews with practitioners and experts, and site visits. Our findings show that due to institutional lock-ins and conflicting policy goals, horizontal boundary spanning remains hindered in both cases, despite emerging policy innovations, such as the Sponge City Plan in Guangzhou or the rollout of multi-functional and Nature-Based Solutions in Hong Kong. The responsibilities of institutions in both cities remain blurred, ‘planning for growth’ ignores flood and climate risk issues, and urban expansion into vulnerable areas continues. Important differences, however, exist in terms of vertical boundary spanning, pointing to different policy implications for each of the two cities
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The cities of the Pearl River Delta (PRD) have been experiencing an unprecedented urban expansion for the past four decades, leading to emergence of one of the most populous and dynamic urban regions. However, these rapidly expanding cities located in a low-lying delta area also face increasing flood risk due to a combination of anthropogenic and natural factors. We use the concept of boundary spanning in combination with an institutionalist perspective to shed light on the barriers and opportunities for development of adaptive capacity in the face of that risk in Hong Kong and Guangzhou. As recognised in the flood risk management literature, such boundary spanning is necessary to effectively address the challenge of spatial adaptation to the growing flood risk, as it entails, for instance collaborating between policy sectors (horizontal boundaries), across levels of government (vertical boundaries) and between short-term and long-term planning agendas (temporal boundaries). Through the prism of institutions (e.g. planning system), ideas (e.g. dominant values in planning) and interests (e.g. rational choice-driven strategic behaviour of the actors involved), we assess how contextual institutional and cultural factors matter for the ability of those cities to address the growing flood risk in the face of climate change. The study builds on analysis of spatial planning and flood risk management policy documents, interviews with practitioners and experts, and site visits. Our findings show that due to institutional lock-ins and conflicting policy goals, horizontal boundary spanning remains hindered in both cases, despite emerging policy innovations, such as the Sponge City Plan in Guangzhou or the rollout of multi-functional and Nature-Based Solutions in Hong Kong. The responsibilities of institutions in both cities remain blurred, ‘planning for growth’ ignores flood and climate risk issues, and urban expansion into vulnerable areas continues. Important differences, however, exist in terms of vertical boundary spanning, pointing to different policy implications for each of the two cities
Spatial Planning for Urban Resilience in the Face of the Flood Risk
Institutional Actions, Opportunities and Challenges
The research was inspired by the increasing impact of extreme weather events and changing climate patterns on flood-prone regions and cities, and the consequent human and economic costs. Despite global efforts for flood resilience and climate adaptation involving climate analysts, economists, social scientists, politicians, hydrological engineers, spatial planners, and policymakers, it is only partially clear how best to construct resilience measures and implement concrete initiatives. The complexity of institutions is a key factor that is often neglected, and which needs further investigation. The thesis examines the institutional arrangements that determine the role of spatial planning in managing flood risk, through an in-depth case study of Guangzhou, one of the most vulnerable cities in China and globally. The thesis employs theories of historical institutionalism, planning procedure and planning tools, policy framing and collaborative governance, to explore the mechanisms and factors that influence the creative planning and design process. Content analysis, GIS-based mapping, stakeholder analysis and TOWS analysis are used to investigate data from official policy documents, grey literature, geo-information data and interview scripts. The findings indicate that institutional arrangements, such as long-established planning traditions, formal planning procedures and tools, policy framing patterns and contextual organisational factors, determine spatial planning’s role in managing flood risk. They do this through (1) the extent of the changeability of an established planning system towards expanded flood resilience measures; (2) the performance of cross-level communication and boundary-spanning work between planning and water management; (3) the legal framework that planners and hydrological engineers follow; and (4) the capacities of planning and water management institutions to work on flood issues. This research shows how to apply knowledge from policy science, political science, institutional science and administration, to analyse the nature of the planning process in tackling the urgent challenge of flood risk and climate change.
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The research was inspired by the increasing impact of extreme weather events and changing climate patterns on flood-prone regions and cities, and the consequent human and economic costs. Despite global efforts for flood resilience and climate adaptation involving climate analysts, economists, social scientists, politicians, hydrological engineers, spatial planners, and policymakers, it is only partially clear how best to construct resilience measures and implement concrete initiatives. The complexity of institutions is a key factor that is often neglected, and which needs further investigation. The thesis examines the institutional arrangements that determine the role of spatial planning in managing flood risk, through an in-depth case study of Guangzhou, one of the most vulnerable cities in China and globally. The thesis employs theories of historical institutionalism, planning procedure and planning tools, policy framing and collaborative governance, to explore the mechanisms and factors that influence the creative planning and design process. Content analysis, GIS-based mapping, stakeholder analysis and TOWS analysis are used to investigate data from official policy documents, grey literature, geo-information data and interview scripts. The findings indicate that institutional arrangements, such as long-established planning traditions, formal planning procedures and tools, policy framing patterns and contextual organisational factors, determine spatial planning’s role in managing flood risk. They do this through (1) the extent of the changeability of an established planning system towards expanded flood resilience measures; (2) the performance of cross-level communication and boundary-spanning work between planning and water management; (3) the legal framework that planners and hydrological engineers follow; and (4) the capacities of planning and water management institutions to work on flood issues. This research shows how to apply knowledge from policy science, political science, institutional science and administration, to analyse the nature of the planning process in tackling the urgent challenge of flood risk and climate change.
Enhancing Flood Resilience and Climate Adaptation
The State of the Art and New Directions for Spatial Planning
The need to respond to increasing flood risk, climate change, and rapid urban development has shaped innovative policies and practices of spatial planning in many countries over recent decades. As an instrumental–technical intervention, planning is mainly used to improve the physical environment (through concepts such as regulating waterproof facades of architecture, setting buffering zones, and designing green–blue corridors). However, the implementation of the proposed physical interventions is often challenging and necessitates assistance from practices such as climate assessment, policy disciplines, civil societies, and economic resources. These extensive perspectives have spawned many new research domains in the realm of spatial planning. This paper provides a review of the recent developments in flood resilience, risk management, and climate adaptation; based on this, it positions planning research and practice within these works of literature. Four clusters of thought are identified, mainly in the European and American scholarship of the last two decades. They are environmental concerns, disaster management concerns, socio-economic concerns, and institutional concerns. Current planning research concentrates on disaster management in the underlying belief that planning is functionally efficient. The attention to environmental concerns, socio-economic concerns, and institutional concerns of planning research remains insufficient but has been growing. This, in turn, enlarges the scope of planning research and indicates future directions for study. These new concerns relate to spatial planning’s ability to operate effectively in a multi-sectoral setting, despite limited resources and in the face of uncertain risk.
...
The need to respond to increasing flood risk, climate change, and rapid urban development has shaped innovative policies and practices of spatial planning in many countries over recent decades. As an instrumental–technical intervention, planning is mainly used to improve the physical environment (through concepts such as regulating waterproof facades of architecture, setting buffering zones, and designing green–blue corridors). However, the implementation of the proposed physical interventions is often challenging and necessitates assistance from practices such as climate assessment, policy disciplines, civil societies, and economic resources. These extensive perspectives have spawned many new research domains in the realm of spatial planning. This paper provides a review of the recent developments in flood resilience, risk management, and climate adaptation; based on this, it positions planning research and practice within these works of literature. Four clusters of thought are identified, mainly in the European and American scholarship of the last two decades. They are environmental concerns, disaster management concerns, socio-economic concerns, and institutional concerns. Current planning research concentrates on disaster management in the underlying belief that planning is functionally efficient. The attention to environmental concerns, socio-economic concerns, and institutional concerns of planning research remains insufficient but has been growing. This, in turn, enlarges the scope of planning research and indicates future directions for study. These new concerns relate to spatial planning’s ability to operate effectively in a multi-sectoral setting, despite limited resources and in the face of uncertain risk.
Shifts in Spatial Plans for Flood Resilience and Climate Adaptation
Examining Planning Procedure and Planning Mandates
The paper examines the development of different spatial plans to address flood resilience in the Chinese city of Guangzhou, one of the most vulnerable cities to flooding and climate change. The analysis focuses on the differences in planning procedures and planning mandates (determined by different plans in authority) before and after the launch of the Sponge City Plan which calls for numerous spatial resilience measures to address the increasing flood risk. The analysis reveals that the introduction of the Sponge City Plan has changed the role of planning from onlooker to active participant in the arena of flood governance. In addition, new plans combine long-term strategic visions, soft principles, and strict regulations with an aim to promote concrete planning practice between multiple layers with a clear mandate. Despite these shifts, institutional and territorial challenges remain
...
The paper examines the development of different spatial plans to address flood resilience in the Chinese city of Guangzhou, one of the most vulnerable cities to flooding and climate change. The analysis focuses on the differences in planning procedures and planning mandates (determined by different plans in authority) before and after the launch of the Sponge City Plan which calls for numerous spatial resilience measures to address the increasing flood risk. The analysis reveals that the introduction of the Sponge City Plan has changed the role of planning from onlooker to active participant in the arena of flood governance. In addition, new plans combine long-term strategic visions, soft principles, and strict regulations with an aim to promote concrete planning practice between multiple layers with a clear mandate. Despite these shifts, institutional and territorial challenges remain
Collaborative spatial planning in the face of flood risk in delta cities
A policy framing perspective
Integration of flood risk in spatial planning is increasingly seen as a way to enhance cities’ resilience to the growing flood hazards, albeit its operationalisation remains challenging. This study aims to explain the reasons for this difficulty through the case study of Guangzhou, a Chinese delta city that is highly vulnerable to coastal, fluvial and pluvial flooding, particularly in the context of a changing climate and rapid expansion of the urban fabric. It does so by investigating the recognition of flood risk in spatial planning and vice-versa, of spatial issues in the flood risk management field, using framing analysis. The paper reveals that the integration of flood risk concerns in spatial planning in Guangzhou remains an emerging process, gradually shifting from informal to formal activities grounded in legislation. This happens through percolation of framing discourse from the flood risk management policy to spatial planning, leading to changes in problem setting, action scripts and the prescribed governance arrangements in the planning discourse. The vagueness of governance arrangements, however, undermines the integration of flood risk management in spatial planning.
...
Integration of flood risk in spatial planning is increasingly seen as a way to enhance cities’ resilience to the growing flood hazards, albeit its operationalisation remains challenging. This study aims to explain the reasons for this difficulty through the case study of Guangzhou, a Chinese delta city that is highly vulnerable to coastal, fluvial and pluvial flooding, particularly in the context of a changing climate and rapid expansion of the urban fabric. It does so by investigating the recognition of flood risk in spatial planning and vice-versa, of spatial issues in the flood risk management field, using framing analysis. The paper reveals that the integration of flood risk concerns in spatial planning in Guangzhou remains an emerging process, gradually shifting from informal to formal activities grounded in legislation. This happens through percolation of framing discourse from the flood risk management policy to spatial planning, leading to changes in problem setting, action scripts and the prescribed governance arrangements in the planning discourse. The vagueness of governance arrangements, however, undermines the integration of flood risk management in spatial planning.
Spatial Planning for Climate Adaptation and Flood Risk
Development of the Sponge City Program in Guangzhou
Many Chinese cities are increasingly exposed to the impacts of climate change, particularly to flooding. The National Sponge City Program was set up to address this challenge. This chapter examines how municipal interventions in spatial planning have been formulated in response to this national program. The case of Guangzhou is examined, a mega-city in the Pearl River Delta that is particularly vulnerable to flood risk. Here, the city government is seeking to improve local resilience to flooding by linking spatial planning and water management. To date, the implementation of the plan faces cognitive, financial, institutional, and technical challenges, which limits the potential to make Guangzhou more resilient to flood risk in the wake of the changing climate.
...
Many Chinese cities are increasingly exposed to the impacts of climate change, particularly to flooding. The National Sponge City Program was set up to address this challenge. This chapter examines how municipal interventions in spatial planning have been formulated in response to this national program. The case of Guangzhou is examined, a mega-city in the Pearl River Delta that is particularly vulnerable to flood risk. Here, the city government is seeking to improve local resilience to flooding by linking spatial planning and water management. To date, the implementation of the plan faces cognitive, financial, institutional, and technical challenges, which limits the potential to make Guangzhou more resilient to flood risk in the wake of the changing climate.
Based on the framework of governance adapted from the work of Patsy Healey and drawing on the case of Guangzhou, which is regarded as the most vulnerable city in China to flooding and waterlogging, this paper adds to the literature on urban climate change adaptation. It does so by shedding light on the history of the city’s struggle against the water and examining why the current spatial planning and flood risk management fails to address the growing flood risk linked with climate change. The paper distinguishes two major transformations of the approach to dealing with water in Guangzhou. Historically, the city was built under the influence of Fengshui Philosophy and co-existed with water. Then, the approach shifted towards engineering-based solutions to containing flood risk under the stress of rapid city expansion. After that, in the context of a changing climate, to minimise flood risk the local government is transferring its priorities from the planning of hard engineering solutions (back) towards soft nature-based solutions. However, the deeply rooted top-down planning culture and clear-cut functional separation between different departments of the local government critically affect the implementation of the policy and cooperation between the different agencies to address the present and increasingly urgent cross-cutting climate change adaptation agenda.
...
Based on the framework of governance adapted from the work of Patsy Healey and drawing on the case of Guangzhou, which is regarded as the most vulnerable city in China to flooding and waterlogging, this paper adds to the literature on urban climate change adaptation. It does so by shedding light on the history of the city’s struggle against the water and examining why the current spatial planning and flood risk management fails to address the growing flood risk linked with climate change. The paper distinguishes two major transformations of the approach to dealing with water in Guangzhou. Historically, the city was built under the influence of Fengshui Philosophy and co-existed with water. Then, the approach shifted towards engineering-based solutions to containing flood risk under the stress of rapid city expansion. After that, in the context of a changing climate, to minimise flood risk the local government is transferring its priorities from the planning of hard engineering solutions (back) towards soft nature-based solutions. However, the deeply rooted top-down planning culture and clear-cut functional separation between different departments of the local government critically affect the implementation of the policy and cooperation between the different agencies to address the present and increasingly urgent cross-cutting climate change adaptation agenda.