Dealing with uncertainty in collaborative planning: developing adaptive strategies for the IJsselmeer

Adaptive strategies to deal with uncertainty in water management are often collaboratively developed. So far, however, little attention has been paid to the influence of collaboration on handling uncertainty through adaptive planning. In this paper, we study how collaboration has influenced the handling of uncertainty through adaptive planning for water management strategies for the IJsselmeer area in the Netherlands. We show how a fixation on certainty, different perspectives among actors and unclear responsibilities between arenas affect the handling of uncertainty, and found that it is adversely affected by collaboration. The use of adaptive planning challenged current water uses and system functions, creating resistance from actors. We conclude that developing a shared problem perception, creating a common understanding of uncertainties and ensuring a clear demarcation between the water system, its societal functions and water usage, are necessary to make adaptive planning successful in handling uncertainty.     

‘Learning by doing’: adaptive planning as a strategy to address uncertainty in planning

Adaptive management, an established method in natural resource and ecosystem management, has not been widely applied to landscape planning due to the lack of an operational method that addresses the role of uncertainty and standardized monitoring protocols and methods. A review of adaptive management literature and practices reveals several key concepts and principles for adaptive planning: (1) management actions are best understood and practiced as experiments; (2) several plans/experiments can be implemented simultaneously; (3) monitoring of management actions are key; and (4) adaptive management can be understood as ‘learning by doing’. The paper identifies various uncertainties in landscape planning as the major obstacles for the adoption of an adaptive approach. To address the uncertainty in landscape planning, an adaptive planning method is proposed where monitoring plays an integral role to reduce uncertainty. The proposed method is then applied to a conceptual test in water resource planning addressing abiotic-biotic-cultural resources. To operationalize adaptive planning, it is argued that professionals, stakeholders and researchers need to function in a genuinely transdisciplinary mode where all contribute to, and benefit from, decision making and the continuous generation of new knowledge.     

Fusing strategic risk and futures methods to inform long-term strategic planning: case of water utilities

Risks and futures methods have complementary strengths as tools for managing strategic decisions under uncertainty. When combined, these tools increase organisational competency to evaluate and manage long-term risks, improving the flexibility and agility of the organisation to deal with gross uncertainties. Here, we set out a framework to guide the assessment of strategic risks for long-term business planning, based on its application at Portugal’s largest water utility, Empresa Portuguesa das Águas Livres. Our approach extends strategic risk assessment by incorporating scenario planning—a futures approach used to help the utility move beyond single point forecast of risks to focus on critical dimensions of uncertainty that are fundamental to the resilience of corporate objectives and their vulnerability to external pressures. We demonstrate how we combine two complementary approaches—risk and futures—and use them to assess (i) how a set of baseline strategic risks for a water utility evolves under alternative futures, (ii) the aggregate corporate-level risk exposure, and (iii) the process and responses needed to manage multiple, interdependent strategic risks. The framework offers a corporate approach to evolving strategic risks and improves a utility’s (i) knowledge of uncertainties, (ii) ability to assess the impacts of external developments over long time horizons and the consequences of actions and (iii) degree of flexibility to adapt to possible future challenges. The framework supports risk managers in their long-term strategic planning, through the appraisal and management of multiple, interdependent long-term strategic risks and can be replicated in other organisational contexts to bridge operational and corporate perspectives of enterprise risk.

     

A Decision‐Analytic Approach to Managing Climate Risks: Application to the Upper Great Lakes1

Brown, Casey, William Werick, Wendy Leger, and David Fay, 2011. A Decision‐Analytic Approach to Managing Climate Risks: Application to the Upper Great Lakes. Journal of the American Water Resources Association (JAWRA) 47(3):524‐534. DOI: 10.1111/j.1752‐1688.2011.00552.x Abstract: In this paper, we present a risk analysis and management process designed for use in water resources planning and management under climate change. The process incorporates climate information through a method called decision‐scaling, whereby information related to climate projections is tailored for use in a decision‐analytic framework. The climate risk management process begins with the identification of vulnerabilities by asking stakeholders and resource experts what water conditions they could cope with and which would require substantial policy or investment shifts. The identified vulnerabilities and thresholds are formalized with a water resources systems model that relates changes in the physical climate conditions to the performance metrics corresponding to vulnerabilities. The irreducible uncertainty of climate change projections is addressed through a dynamic management plan embedded within an adaptive management process. Implementation of the process is described as applied in the ongoing International Upper Great Lakes Study.     

Two-stage planning for sustainable water-quality management under uncertainty

In water-quality management problems, uncertainties may exist in a number of impact factors and pollution-related processes (e.g., the volume and strength of industrial wastewater and their variations can be presented as random events through identifying a statistical distribution for each source); moreover, nonlinear relationships may exist among many system components (e.g., cost parameters may be functions of wastewater-discharge levels). In this study, an inexact two-stage stochastic quadratic programming (ITQP) method is developed for water-quality management under uncertainty. It is a hybrid of inexact quadratic programming (IQP) and two-stage stochastic programming (TSP) methods. The developed ITQP can handle not only uncertainties expressed as probability distributions and interval values but also nonlinearities in the objective function. It can be used for analyzing various scenarios that are associated with different levels of economic penalties or opportunity losses caused by improper policies. The ITQP is applied to a case of water-quality management to deal with uncertainties presented in terms of probabilities and intervals and to reflect dynamic interactions between pollutant loading and water quality. Interactive and derivative algorithms are employed for solving the ITQP model. The solutions are presented as combinations of deterministic, interval and distributional information, and can thus facilitate communications for different forms of uncertainties. They are helpful for managers in not only making decisions regarding wastewater discharge but also gaining insight into the tradeoff between the system benefit and the environmental requirement.     

Planning for future sea-level rise in Swedish municipalities

A warmer climate leads to rising sea levels. Despite uncertainties about how rapid and substantial future sea-level rise (SLR) will be, society needs to prepare and adapt. This study examines the state of planning for future SLR in Sweden by surveying 33 coastal municipalities in southern Sweden and interviewing local, regional and national authorities with relevant accountability. The results reveal that there are considerable gaps in current planning for SLR. Almost one-third of municipalities lack guiding planning documents for SLR, and more than two-thirds do not discuss SLR beyond 2100. We argue that the prevailing uncertainty and ambiguity in assessments of future SLR is problematic within a traditional “predict-then-act” paradigm, and that robust approaches, such as scenario planning, can reduce many of these problems.     

A Level‐of‐Service Concept for Planning Future Water Supply Projects under Probabilistic Demand and Supply Framework

One of the most challenging tasks of water supply utilities is planning the timing and quantity of new water supply sources as demand for water consumption grows. Many water supply utilities target on meeting 100% of their customers' needs based on scenario‐based deterministic demand projections numbers even though there are uncertainties in both supply and demand values. This may result in under or overly conservative approach in assessing future needs. In this article, a level‐of‐service concept is introduced to capture a utility's willingness to accept a given level of risk, plan for it, and invoke a management strategy during extreme events than build a facility to accommodate those in planning for new water supply sources. Accounting for uncertainties in both supply and demand help quantify reliability by achieving a prescribed level of service. The major benefit of such an approach for planning future water supply is that it allows policy makers to evaluate the use of adaptive water management strategies and develop supply in an incremental fashion as demand warrants it. For example, if a given level of service cannot be reliably met with the existing system at a future time t, an incremental water supply project would come online to bring the required reliability level up but no more.     

Uncertainty characterization approaches for risk assessment of DBPs in drinking water: A review

The management of risk from disinfection by-products (DBPs) in drinking water has become a critical issue over the last three decades. The areas of concern for risk management studies include (i) human health risk from DBPs, (ii) disinfection performance, (iii) technical feasibility (maintenance, management and operation) of treatment and disinfection approaches, and (iv) cost. Human health risk assessment is typically considered to be the most important phase of the risk-based decision-making or risk management studies. The factors associated with health risk assessment and other attributes are generally prone to considerable uncertainty. Probabilistic and non-probabilistic approaches have both been employed to characterize uncertainties associated with risk assessment. The probabilistic approaches include sampling-based methods (typically Monte Carlo simulation and stratified sampling) and asymptotic (approximate) reliability analysis (first- and second-order reliability methods). Non-probabilistic approaches include interval analysis, fuzzy set theory and possibility theory. However, it is generally accepted that no single method is suitable for the entire spectrum of problems encountered in uncertainty analyses for risk assessment. Each method has its own set of advantages and limitations. In this paper, the feasibility and limitations of different uncertainty analysis approaches are outlined for risk management studies of drinking water supply systems. The findings assist in the selection of suitable approaches for uncertainty analysis in risk management studies associated with DBPs and human health risk.     

A dual-interval fixed-mix stochastic programming method for water resources management under uncertainty

In this study, a dual-interval fixed-mix stochastic programming (DFSP) method is developed for planning water resources management systems under uncertainty. DFSP incorporates interval-parameter programming (IPP) and fuzzy vertex analysis (FVA) within a fixed-mix stochastic programming (FSP) framework to address uncertain parameters described as probability distributions and dual intervals. It can also be used for analyzing various policy scenarios that are associated with different levels of economic consequences since penalties are exercised with recourse actions against any infeasibility. A real case for water resources management planning of Zhangweinan River Basin in China is then conducted for demonstrating the applicability of the developed DFSP method. Solutions in association with α-cut levels are generated by solving a set of deterministic submodels, which are useful for generating a range of decision alternatives under compound uncertainties. The results can help to identify desired water-allocation schemes for local sustainable development that the prerequisite water demand can be guaranteed when the available water resource is scarce.     

Water water everywhere,but not enough for salmon? Organizing integrated water and fisheries management in Puget Sound

Natural resource management has traditionally been organized within discrete land, water, and fishery resource sectors. However, emerging environmental problems often cross these boundaries, and managers have struggled to find effective planning approaches for multi-resource concerns. No case better exemplifies these challenges than efforts to ensure sufficient flows of water for salmon in the Pacific Northwest. In this study, we investigate the organizational experiences of collaborative water and salmon recovery planning groups in the Puget Sound region of Washington. Using conceptual frameworks from organizational sociology, we examine how different regulative, normative, and cultural-cognitive institutional forces shape the structure and behavior of both water and salmon recovery planning groups. Data obtained through content analysis of planning documents and interviews with natural resource planners illustrate that legal structures, shared intra-group norms, and the distinct organizational cultures of water and salmon recovery groups constrain these organizations' ability to address linked water-for-salmon concerns. These findings illustrate that assessing institutional and organizational arrangements may be equally as important as understanding hydrology and biology when attempting to forward an integrated approach to water and fisheries management.     

Making framing of uncertainty in water management practice explicit by using a participant-structured approach

By now, the need for addressing uncertainty in the management of water resources is widely recognized, yet there is little expertise and experience how to effectively deal with uncertainty in practice. Uncertainties in water management practice so far are mostly dealt with intuitively or based on experience. That way decisions can be quickly taken but analytic processes of deliberate reasoning are bypassed. To meet the desire of practitioners for better guidance and tools how to deal with uncertainty more practice-oriented systematic approaches are needed. For that purpose we consider it important to understand how practitioners frame uncertainties. In this paper we present an approach where water managers developed criteria of relevance to understand and address uncertainties. The empirical research took place in the Doñana region of the Guadalquivir estuary in southern Spain making use of the method of card sorting. Through the card sorting exercise a broad range of criteria to make sense of and describe uncertainties was produced by different subgroups, which were then merged into a shared list of criteria. That way framing differences were made explicit and communication on uncertainty and on framing differences was enhanced. In that, the present approach constitutes a first step to enabling reframing and overcoming framing differences, which are important features on the way to robust decision-making. Moreover, the elaborated criteria build a basis for the development of more structured approaches to deal with uncertainties in water management practice.     

Reflections on the use of Bayesian belief networks for adaptive management

A broad range of tools are available for integrated water resource management (IWRM). In the EU research project NeWater, a hypothesis exists that IWRM cannot be realised unless current management regimes undergo a transition toward adaptive management (AM). This includes a structured process of learning, dealing with complexity, uncertainty etc. We assume that it is no longer enough for managers and tool researchers to understand the complexity and uncertainty of the outer natural system-the environment. It is just as important, to understand what goes on in the complex and uncertain participatory processes between the water managers, different stakeholders, authorities and researchers when a specific tool and process is used for environmental management. The paper revisits a case study carried out 2001-2004 where the tool Bayesian networks (BNs) was tested for groundwater management with full stakeholder involvement. With the participation of two researchers (the authors) and two water managers previously involved in the case study, a qualitative interview was prepared and carried out in June 2006. The aim of this ex-post evaluation was to capture and explore the water managers' experience with Bayesian belief networks when used for integrated and adaptive water management and provide a narrative approach for tool enhancement.     

Pragmatic Approaches for Water Management Under Climate Change Uncertainty1

Stakhiv, Eugene Z., 2011. Pragmatic Approaches for Water Management Under Climate Change Uncertainty. Journal of the American Water Resources Association (JAWRA) 47(6):1183–1196. DOI: 10.1111/j.1752‐1688.2011.00589.x Abstract: Water resources management is in a difficult transition phase, trying to accommodate large uncertainties associated with climate change while struggling to implement a difficult set of principles and institutional changes associated with integrated water resources management. Water management is the principal medium through which projected impacts of global warming will be felt and ameliorated. Many standard hydrological practices, based on assumptions of a stationary climate, can be extended to accommodate numerous aspects of climate uncertainty. Classical engineering risk and reliability strategies developed by the water management profession to cope with contemporary climate uncertainties can also be effectively employed during this transition period, while a new family of hydrological tools and better climate change models are developed. An expansion of the concept of “robust decision making,” coupled with existing analytical tools and techniques, is the basis for a new approach advocated for planning and designing water resources infrastructure under climate uncertainty. Ultimately, it is not the tools and methods that need to be revamped as much as the suite of decision rules and evaluation principles used for project justification. They need to be aligned to be more compatible with the implications of a highly uncertain future climate trajectory, so that the hydrologic effects of that uncertainty are correctly reflected in the design of water infrastructure.     

Social Acceptability of Water Resource Management: A Conceptual Approach and Empirical Findings from Portland,Oregon1

Abstract: Surface water resources in urban areas serve multiple functions ranging from recreation to wildlife habitat. As a result, diverse values influence people’s views about resource protection, potentially leading to conflicting interests. In metropolitan Portland, Oregon, natural resource planning has recently focused on habitat restoration as well as stormwater and pollution mitigation, especially through the protection of riparian areas. Due to opposition over proposed regulations in the study region, this research examines public attitudes about an array of resource management efforts. The primary research question is: what is the extent of positive–negative attitudes about water resource protection, and what theoretical dimensions underlie diverse judgments? After empirical survey results are presented, I outline a conceptual approach for future assessments of environmental attitudes while highlighting important value‐based dimensions of judgments. Although flexible, the framework allows broad comparisons to advance knowledge about the social acceptability of varied water resource management approaches across diverse places and contexts.     

More is not always better: coping with ambiguity in natural resources management

Coping with ambiguities in natural resources management has become unavoidable. Ambiguity is a distinct type of uncertainty that results from the simultaneous presence of multiple valid, and sometimes conflicting, ways of framing a problem. As such, it reflects discrepancies in meanings and interpretations. Under the presence of ambiguity it is not clear what problem is to be solved, who should be involved in the decision processes or what is an appropriate course of action. Despite the extensive literature about methodologies and tools to deal with uncertainty, not much has been said about how to handle ambiguities. In this paper, we discuss the notions of framing and ambiguity, and we identify five broad strategies to handle it: rational problem solving, persuasion, dialogical learning, negotiation and opposition. We compare these approaches in terms of their assumptions, mechanisms and outcomes and illustrate each approach with a number of concrete methods.     

System Dynamics to Sustainable Water Resources Management in the Eastern Snake Plain Aquifer Under Water Supply Uncertainty1

Abstract: Water supply uncertainty continues to threaten the reliability of regional water resources in the western United States. Climate variability and water dispute potentials induce water managers to develop proactive adaptive management strategies to mitigate future hydroclimate impacts. The Eastern Snake Plain Aquifer in the state of Idaho is also facing these challenges in the sense that population growth and economic development strongly depend on reliable water resources from underground storage. Drought and subsequent water conflict often drive scientific research and political agendas because water resources availability and aquifer management for a sustainable rural economy are of great interest. In this study, a system dynamics approach is applied to address dynamically complex problems with management of the aquifer and associated surface‐water and groundwater interactions. Recharge and discharge dynamics within the aquifer system are coded in an environmental modeling framework to identify long‐term behavior of aquifer responses to uncertain future hydrological variability. The research shows that the system dynamics approach is a promising modeling tool to develop sustainable water resources planning and management in a collaborative decision‐making framework and also to provide useful insights and alternative opportunities for operational management, policy support, and participatory strategic planning to mitigate future hydroclimate impacts in human dimensions.     

SOME PROBLEMS IN STOCHASTIC HYDROLOGY1

In order to decrease the uncertainty that results in water resource planning and management studies due to the assumed recurrence of historical hydrological sequences, considerable study of stochastic processes in hydrology has taken place during the past 10 or 15 years. The general objective has been to develop a capability for generating a number of valid sequences, each of which could as resonably occur as could a recurrence of past events. A number of serious problems have been encountered, the consequence of which has been a serious lag in the application of stochastic processes to real planning and management problems. These problems include: a. an inability to generate droughts in some cases that are as extreme as have occurred historically, b. the generation of inconsistent values of stream flow at 2 locations on the same stream, c. the lack of mathematical techniques for the management of incomplete data sets, d. a great increase in the required computation for planning and management studies, and e. theoretical and computational difficulties in expanding the scope of stochastic hydrology from monthly quantities to short-period quantities. This paper discusses these problems and various approaches used in attempting their solution.     

RECENT RESEARCH ON EFFECTS OF CLIMATE CHANGE ON WATER RESOURCES1

ABSTRACT: Concentrations of atmospheric CO2 and other radiatively active trace gases have risen since the Industrial Revolution. Such atmospheric modifications can alter the global climate and hydrologic cycle, in turn affecting water resources. The clear physical and biological sensitivities of water resources to climate, the indication that climate change may be occurring, and the substantial social and economic dependencies on water resources have instigated considerable research activity in the area of potential water resource impacts. We discuss how the literature on climate change and water resources responds to three basic research needs: (1) a need for water managers to clearly describe the climatic and hydrologic statistics and characteristics needed to estimate climatic impacts on water resources, (2) a need to estimate the impacts of climate change on water resources, and (3) a need to evaluate standard water management and planning methods to determine if uncertainty regarding fundamental assumptions (e.g., hydrologic stationarity) implies that these methods should be revised. The climatic and hydrologic information needs for water resource managers can be found in a number of sources. A proliferation of impact assessments use a variety of methods for generating climate scenarios, and apply both modeling approaches and historical analyses of past responses to climate fluctuations for revealing resource or system sensitivities to climate changes. Traditional techniques of water resources planning and management have been examined, yielding, for example, suggestions for new methods for incorporating climate information in real-time water management.     

Adaptive management for a turbulent future

The challenges that face humanity today differ from the past because as the scale of human influence has increased, our biggest challenges have become global in nature, and formerly local problems that could be addressed by shifting populations or switching resources, now aggregate (i.e., "scale up") limiting potential management options. Adaptive management is an approach to natural resource management that emphasizes learning through management based on the philosophy that knowledge is incomplete and much of what we think we know is actually wrong. Adaptive management has explicit structure, including careful elucidation of goals, identification of alternative management objectives and hypotheses of causation, and procedures for the collection of data followed by evaluation and reiteration. It is evident that adaptive management has matured, but it has also reached a crossroads. Practitioners and scientists have developed adaptive management and structured decision making techniques, and mathematicians have developed methods to reduce the uncertainties encountered in resource management, yet there continues to be misapplication of the method and misunderstanding of its purpose. Ironically, the confusion over the term "adaptive management" may stem from the flexibility inherent in the approach, which has resulted in multiple interpretations of "adaptive management" that fall along a continuum of complexity and a priori design. Adaptive management is not a panacea for the navigation of 'wicked problems' as it does not produce easy answers, and is only appropriate in a subset of natural resource management problems where both uncertainty and controllability are high. Nonetheless, the conceptual underpinnings of adaptive management are simple; there will always be inherent uncertainty and unpredictability in the dynamics and behavior of complex social-ecological systems, but management decisions must still be made, and whenever possible, we should incorporate learning into management.