ÅSE JOHANNESSENÅSE Bridging the floods of socialrole – The learningfor resilience building in urban water services 2017 Bridging the floods The role of social learning for resilience building Sustainable urban development depends on urban “resilience” to cope with, in urban water services and adapt to an increasing global water crisis created by multiple pressures that ÅSE JOHANNESSEN include flooding, scarcity and pollution. However, these pressures are managed FACULTY OF ENGINEERING | LUND UNIVERSITY by different working areas divided by institutional structures and applying different approaches and practices. This thesis investigates the role of social learning in improving urban resilience, and understanding what this means in the context of urban water services (drinking water, sanitation and drainage). Lund University Faculty of Engineering Division of Risk Management and Societal Safety 533511 ISBN 978-91-7753-351-1 ISRN LUTVDG/TVRH - 1003 - SE 789177 9 Bridging the floods The role of social learning for resilience building in urban water services Åse Johannessen DOCTORAL DISSERTATION by due permission of the Faculty Of Engineering, Lund University, Sweden. To be defended at Division of Risk Management and Societal Safety Lecture hall V:D, Friday 8th September 2017, at 09.00 hr. Faculty opponent Hrund Ó. Andradóttir Organization Document name LUND UNIVERSITY DOCTORAL DISSERTATION Faculty of Engineering, Division of Risk Date of issue Management and Societal Safety 2017–08-15 Author: Åse Johannessen Title and subtitle: Bridging the floods - The role of social learning for resilience building in urban water services Abstract The development of cities is increasingly threatened by a worldwide water crisis. Urban water services (including drinking water, sanitation and drainage) are facing complex and multiple pressures, which are becoming increasingly frequent and severe. These pressures include floods, and the depletion, pollution and degradation of water resources and their associated ecosystems. These diverse pressures fall mainly within the domains of flood risk and water resources management: two working fields that are divided by different institutional structures, approaches and practices. Social learning is becoming increasingly popular as an approach that has the potential to “bridge” these silos, and ultimately, contribute to building resilience in urban water services. However, empirical analyses on this issue are rare and fragmented. Against this background, this thesis investigates the role of social learning for resilience building in urban water services. It is based on single and multiple case studies from the urban areas of Cali (Colombia), Cebu (The Philippines), Durban (South Africa), Gorakhpur (India) and Kristianstad (Sweden). The results identify challenges to the integration of the identified silos, what resilience means for urban water services, and the key elements of social learning that can support or inhibit urban water resilience. The results provide important input for new theory, policy and practice related to the United Nations’ Sustainable Development Goals (SDGs), the Sendai Framework for Disaster Risk Reduction and national policies on sustainable water management, risk reduction and climate change adaptation. Key words: flood risk management; water resources management; disaster risk reduction; resilience; climate change; resilient cities; urban water services; transition; urban transformation; adaptation; climate change Classification system and/or index terms (if any) Supplementary bibliographical information Language: English Report 1003 ISRN: LUTVDG/TVRH – 1003 – SE ISBN 978-91-7753-351-1 (print) 978-91-7753-352-8 (digital) Recipient’s notes Number of pages 226 Price Security classification I, the undersigned, being the copyright owner of the abstract of the above-mentioned dissertation, hereby grant to all reference sources permission to publish and disseminate the abstract of the above-mentioned dissertation. Signature Date 3 July 2017 Bridging the floods The role of social learning for resilience building in urban water services Åse Johannessen Supervisors Associate Professor Per Becker, Division of Risk Management and Societal Safety, Faculty of Engineering, Lund University Professor Christine Wamsler, Lund University Centre for Sustainability Studies (LUCSUS), Lund University Faculty of Engineering Division of Risk Management and Societal Safety, Lund University Lund University Centre of Risk Assessment and Management (LUCRAM) Centre for Societal Resilience P.O. Box 118, SE-221 00 Lund, Sweden Report 1003 ISRN LUTVDG/TVRH – 1003 – SE ISBN 978-91-7753-351-1 (print) ISBN 978-91-7753-352-8 (digital) Cover and other illustrations: Åse Johannessen Copyright ©Åse Johannessen and the Division of Risk Management and Societal Safety, Lund University, 2017 Printed in Sweden by Media-Tryck, Lund University Lund 2017 To Stef, Sophie and Kajsa “Enter into the world. Observe and wonder. Experience and reflect. To understand a world you must become part of that world while at the same time remaining separate, a part of and apart from” – Halcolm’s Methodological Chronicle, in Patton, 2015: 327 Summary The development of cities is increasingly threatened by a worldwide water crisis, linked to the intensification of land use, which emerged at the end of the 18th century, and accelerated at the end of the 20th century. This provides several underlying risks to urban water services (including drinking water, sanitation and drainage). These include floods, and the long term depletion, pollution and degradation of water resources and their associated ecosystems. At the same time, impacts are exacerbated by current and future climate change. This situation, combined with anticipated, ongoing growth in urban areas has made the water crisis a priority area for many decision-makers and leaders worldwide. Despite a shared understanding of the importance of addressing the water crisis, there is still no comprehensive approach that links the working fields of flood risk and water resource management, which remain separated by institutional structures, and different approaches and practices. Social learning may help to overcome this problem. Embedded in social relationships, it is seen as central to achieving the collective understanding, commitment and capacity that is needed to tackle increasingly complex problems with innovative and creative solutions. Thus, social learning is increasingly said to be a potential key for addressing the urban water crisis. However, despite wide support, related studies are often based on vague, general assumptions with little practical application, and empirical analyses are lacking. Against this background, the overall aim of this thesis is to investigate the role of social learning for resilient urban water services. First, it investigates the challenges for integration of flood risk and water resources management. Second, the meaning of resilience in this context is unclear; therefore the concept of resilience is systematically “translated” into urban water services. Third, this thesis also identifies the key elements of social learning that can support or inhibit more resilient urban water services. The research is based on single and multiple case studies, mainly from the urban areas of Cali (Colombia), Cebu (The Philippines), Durban (South Africa), Gorakhpur (India) and Kristianstad (Sweden). The case studies confirm low levels of integration between flood risk and water resources management. A key challenge is found to be governance arrangements, 9 notably in relation to river basin management. This was found to confine flood risk management to local and structural approaches, which in the long run may paradoxically lead to an increase in floods. Practitioners were found to apply an interpretation of the resilience concept at the level of the larger social-ecological system. However, practitioners were also found to refer to two other levels, identified as socio-economic and hazard resilience, but without making a distinction between any of them. This finding therefore suggests that the resilience concept could introduce confusion and imbalances if all three levels are not considered. Considerations to all three resilience levels can contribute to sustainable change while building resilience in urban water services. This thesis identifies several factors and strategies that can support such change, linked to social learning. Applying the resilience concept to urban water services offers a novel perspective on transitions in urban water services, which highlights the role of actors and non- linear change. This is in contrast to a dominant focus on technologies in existing linear transition models. Instead, “key competencies” are proposed, which identifies, for example strategic agency as a fundamental element, which can take the form of visionary individuals who are effective communicators and build trust. Non-linearity is linked to thresholds where two types are identified: risk awareness/ perception and individual and collective action capacity (i.e. a capacity to act on a perceived risk). Action capacity was found to be difficult to achieve, especially in relation to slow disturbances, which relates to the problem of moving from knowledge to action. Although this may reflect implementation difficulties and time lags, it was also found to be influenced by working cultures and power structures, potentially creating barriers to learning and action. Various measures