DIRECT ACTION SELF-HELP GROUPS IN UK FLOOD RISK MANAGEMENT JONATHAN SIMM MEng, BSc(Eng) CEng FICE Thesis submitted to the University of Nottingham for the degree of Doctor of Philosophy DECEMBER 2015 2 Abstract Given an emerging social turn in Flood and Coastal Risk Management (FCRM) towards wider involvement of local communities, this thesis critically evaluates the extent to which Direct Action Self-Help (DASH) groups are, or can be, viable and an efficacious, efficient and effective means of managing and monitoring FCRM assets (and to determine what makes them so). Within this overall aim, the nature and methods of assessment of the human dimensions of FCRM assets is also addressed. The research methods employed include a combination of semi-structured interviews and other ethnographic tools along with detailed case studies. Analytical tools employed include nVIVO textual analysis of interview transcriptions and engineering and economic analyses of the case study sites. Survey work is used to test the assessment of human dimensions on a semantic differential scale. The emergence of DASH groups to organise work on FCRM is found to be motivated by the need to deal with increasing flood risk in the face of reduced public funding, alongside sense of stewardship and community solidarity. These groups have tended to by catalysed by a few motivated individuals and without a clearly designed structure. There is very limited literature about DASH activity in FCRM. Examination of contextual literature has also enabled a previously unavailable conceptual framework to be developed of the different dimensions, contextual aspects and motivations for DASH activity and its support by government, which was further tested by case studies of river conveyance and sea wall management by DASH groups. Channel maintenance work by DASH groups can be effective and efficient at reducing some aspects of local fluvial flood risk for lower order flood events. Maintenance of existing sea walls by DASH groups is less efficient because of the need for significant expenditure on materials and only efficacious if the engineering is quality controlled; its longer term effectiveness is limited by sea level rise. DASH groups require nurture to be sustainable but can deliver community benefits. i Professional FCRM coordination and support of DASH activity is examined using a case study of an Environment Agency (EA) area coordinator and comparisons with alternative approaches. Support of DASH groups by FCRM professionals is essential to avoid unwise activities and involves not only controlling consents, but also in providing advice on the nature and extent to which DASH activity might be appropriate and in arranging practical support and seed-corn funding. The most effective form of DASH facilitation requires a quality and quantity of involvement that cannot readily be supplied by dispersed arrangements from a number of individuals. This research also proposes an approach for assessing and scoring the human dimensions of engineering assets in a manner consistent with visual assessment of their engineering performance. The dimensions of Sense of Security, Accessibility/Availability and Delight/Inspiration reflect insights from key thinkers from a wide range of disciplines. The framework is verified for the FCRM context using analysis of semi-structured interviews and other ethnographic materials. Evaluation of trials in which DASH and other community groups assess human dimensions on a semantic differential scale shows the method to be workable with further development. ii Acknowledgements I would like to gratefully acknowledge all those who have supported me in the endeavour of preparing this thesis. Firstly I would like to thank my supervisors Dr Susanne Seymour, Dr Mick Mawdesley and latterly Dr Martin Smith for their patient and encouraging supervision especially at times when completing the thesis in the midst of an almost full-time job seemed to recede from the bounds of possibility. The funding received in the form of EPSRC doctoral training grants via Nottingham University and associated with the FRMRC research programme is also gratefully acknowledged. This allowed me to take periods of time out of a busy professional life to focus on the research. Particular thanks go in this regard to Professor Colin Thorne for his unswerving support of me and his important role in securing the necessary funding. Then my thanks goes to all those who gave up time to be interviewed and the DASH groups who allowed me to join them from time to time. Thanks also go to all those involved in my case studies, especially members of the North East Hayling Residents Association, the Hanneys Flood Group and various Environment Agency staff. Particular individual thanks go firstly to Judy Clark for arranging for me to become part of the NEHRA DASH group (Hayling Island), for perseverance in the endeavour itself and for her record keeping and to her and her husband Dave for their frequent hospitality. Secondly, particular thanks go to Keith Lead who allowed me to pry into his challenging professional life, keeping diaries for me as he sought to act as a coordinator of DASH activity in the Thames West Area of the Environment Agency. I would also like to thank my employer HR Wallingford for allowing me to work reduced hours from time to time and by supporting me through payment of tuition fees. I would also like to thank various professional and academic colleagues who allowed me to ‘bounce’ them with my emerging ideas. Particular thanks go to Mark Davison who carried out some InfoWorks RS modelling for me under my direction for one of my case studies. iii Special thanks also go to Ruth Smith and Linda Poxon (and after her sad death her daughter Claire Lowe) who meticulously and efficiently transcribed the interviews which I recorded. Finally I would like to thank my family, friends and supporters. My deep appreciation goes to my family and especially my wife Jenny for their forbearance and patience with me and for allowing me to persevere through difficult times for us all. Many other friends and colleagues could be mentioned, but thanks would be incomplete without mentioning my friend Philip Mader-Grayson for encouraging me to start and persevere with the work; I hope the ‘joining up’ he envisioned is at least in some way reflected in the final product of this thesis. iv Contents Abstract.................................................................................................................... i Acknowledgements ............................................................................................... iii Contents .................................................................................................................. v Figures ................................................................................................................... ix Tables .................................................................................................................... xi Boxes .................................................................................................................... xii Key abbreviations ................................................................................................. xii 1 Introduction ............................................................................................................ 1 1.1 Background and context of thesis .................................................................... 1 1.2 Aim, objectives and research questions ........................................................... 4 1.3 Contribution to knowledge .............................................................................. 5 1.4 Summary of chapters ....................................................................................... 6 2 Literature review and development of theoretical frameworks ............................ 11 2.1 Self-help in communities ............................................................................... 11 2.1.1 Citizen participation and the state .......................................................... 11 2.1.2 Policy and legislative support for public participation in FCRM........... 15 2.1.3 Funding and benefit issues ..................................................................... 17 2.1.4 Conclusion: self-help in communities .................................................... 17 2.2 Direct Action Self-Help groups ..................................................................... 18 2.2.1 Motivations ............................................................................................. 18 2.2.2 Dimensions of community and DASH groups ....................................... 24 2.2.3 Development and sustainability of DASH groups ................................. 26 2.2.4 DASH group leadership ......................................................................... 29 2.2.5 Knowledge, skills and expertise of DASH group membership .............. 30 2.2.6 Engagement: expertise into action .......................................................... 35 2.2.7 Alignment: DASH groups and the bigger picture .................................. 38 2.2.8 Conclusion: conceptual framework for DASH groups .......................... 39 2.3 Human dimensions of flood and coastal protection assets ............................ 42 2.3.1 Introduction ............................................................................................ 42 2.3.2 Approaches to assessing human dimensions .........................................