United Nations Office for the Coordination of Humanitarian Affairs 2012 Humanitarian Research and Innovation Grant Program

Increasing Flood Early Warning and Response Capacity through Community Participation: The Cases of Barangay Mangin, Dagupan City and Barangay Banaba, San Mateo, Philippines

June 2013

A Paper by: Irwin Gabriel S. Lopez, MA URP, MA DAD

TABLE OF CONTENTS Abstract ..............……………………………………………………………………………………...……………

2

I. Introduction …………………………………........………...…………………………..………………………….

3

II. Literature Review ……………………….……………..…….………………………...…………………………

4

III. Methodology 3.1. The Conceptual Framework ……….…………………………………..…………….………...

8

3.2. Research Methods …………………….…………………………………..…………….……….…

9

3.3. Sampling ……………………………………………………………………..…………….…………...

10

IV. The Study Area 4.1. The Philippines …..……………………………………………………….…….……………………

11

4.2. The Case Study Areas …………………………………………………..…………………………

12

V. Results 5.1. Research Question 1: …………………………………………...……..………………….………

15

5.2. Research Question 2: …………………………………………………......………………………

18

5.3. Research Question 3 …….……………………………………………….….……....……………

28

VI. Discussion 6.1. Barriers and Motivations ...………………………………………………………….……..…

31

6.2. On Encouraging and Utilizing Participation …………………..………………….……..

33

6.3. On addressing the barriers to participation …………………………………...........

36

6.4. Implications of the Findings on Policies and Program Design ……………......

38

VII. Conclusion ……………………………………………………………………………………………………....…

39

Appendix A: List of Interviewees ……………………………………………………………………………...

41

References …………………………………………………………………………………………………...…..………

42

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 1

ABSTRACT This study analysed community participation within the context of a top-down and bottomup flood early warning and response system in the Philippines focusing on the cases of Barangay Mangin, Dagupan City and Barangay Banaba, San Mateo, respectively. It used semi-structured key informant interviews anchored on the use of grounded theory to gain new insights and new theories from field data. This study analysed the reasons behind people’s participation in flood preparedness, their actual roles in such measures and the factors that will increase their participation or maintain it. It argues that barriers to participation are nullified by the onset of floods, and that group membership determines the roles of people in flood preparedness. It also argues that by increasing participation in flood early warning and response, the community moves shifts their orientation from shortterm preparedness measures to long-term mitigation measures, such as relocation.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 2

I. INTRODUCTION “Flooding is the single most destructive type of natural disaster that strikes humans and their livelihoods around the world” (UNISDR, 2002, p.4). In 2011 alone, 106 million people were affected by floods all over the world (UNISDR, 2012), and most of these victims come from Asian countries whose populations are exposed to recurrent flooding (UNISDR, 2002). The Philippines, one of the most storm-prone countries in Asia, experiences roughly five destructive typhoons each year and about three of these storms result in massive flooding (Porcil, 2009; Preventionweb, 2012). A total of 36% of the country’s 103,775,002 people also live under the poverty line (CIA, 2012) and cannot afford to dwell in safer places resulting in settlements situated within flood-prone areas (Foreman, 2012). To make matters worse, the country is “likely to experience an increase in the frequency and severity of typhoons and flash-flooding incidents” as a result of climate change which is expected to worsen the already adverse flood risks in the country (Chu, 2012; Allen, 2006, p. 81). Sophisticated solutions for flood control or flood prevention are difficult to implement in the Philippines primarily due to the costs they entail. In 2009, the country’s Department of Public Works and Highways (DPWH) indicated that the “flood-control projects that could have averted mega-floods caused by strong typhoons like Ondoy (Ketsana) remain in the drawing board for lack of funds”. “Low levels of investment in infrastructure are directly caused by the country’s tight fiscal situation” and worsened by damages from natural disasters (NEDA, 2011, p.2). Flood preparedness measures or forecasting, warning and response are more feasible solutions as they are readily implementable and would entail less cost (UN-ISDR, 2011). Community participation however is a mandatory pre-condition for these measures to work. For one, sophisticated assessments done by experts are meaningless without the participation of the local people (Murase, et al, 2008). “The experience in the Philippines has shown that the involvement of the citizenry in disaster management has enabled families residing in disaster-prone areas to better cope with the impact of a hazard and recover from the aftermath of a disaster in a shorter time” (Delica, 1999, p.1). This research breaks down participation into its drivers, barriers and utilization using the perspective different key actors in a community. This research aims to analyze: 1. The factors that shape people’s intention to participate in community-based flood early warning and response measures in the Philippines 2. The ways in which top-down and bottom-up the flood early warning and response system best encourage and utilize participation to increase the overall capacity of flood-prone communities 3. The ways to address barriers that affect participation in flood preparedness measures

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 3

II. LITERATURE REVIEW This chapter introduces the concepts of disaster preparedness, community participation and the other terms used in this research. It discusses the works of Wilcox (1994) and Motoyoshi (2006) whose theories were used as bases in forming the methodology, research question and the conceptual framework of the study. 2.1 Flood Preparedness Disaster preparedness is a term used to refer to “capacities and knowledge” (UNISDR & UNOCHA, 2008, p.3) or “activities and measures” (WBI, 2003) developed by governments, organisations, communities and individuals in order to anticipate and respond effectively to the impact of likely, imminent or current hazard events or conditions (UNISDR & UNOCHA, 2008, p.3), including the issuance of timely and effective early warnings and the temporary removal of people and property from a threatened location (WBI, 2003). Different terms are used when preparedness is applied in the context of flood hazards in local communities. Such terms include community-based early warning system (Phaiju, et al, 2010; Nilo, 2006), local flood early warning system (Neussner, et al, 2008) and people-centred early warning system (UNISDR, 2005b). This research uses the term flood early warning and response to emphasize the pre-disaster and post-disaster components necessary in a flood preparedness system, as illustrated in Figure 2.1. ADPC (2008) used the related term “community- based early warning system and evacuation”, but the term ‘evacuation’ undermines the equally important search and rescue (SAR) components of such a system. Early warning refers to the process of generating and disseminating warning messages that give individuals, communities and organizations sufficient time to react and protect themselves against harm or loss caused by certain hazards (Relief Web, 2008; UN-ISDR, 2009). Flood response on the other hand refers to the provision of emergency services and public assistance in order to save lives, reduce health impacts, ensure public safety and meet the short-term basic subsistence needs of the affected people immediately after a disaster (UN-ISDR, 2009; WBI, 2003). The use of the term response in this study also emphasizes how people in disaster-prone communities have an unofficial but certain role as ‘first responders’ during disasters (UNISDR and UNOCHA, 2008, p.8).

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 4

Figure 2.1: Key Elements of Early Warning Systems Source: Phaiju, et al, 2010, p.29 2.2. Participation and Community-Based Flood Preparedness Victoria (2006, p.276) defines people’s participation as a form of public action in which “community members are the main actors and propellers where they directly share the benefits of disaster risk reduction and development”. Various authors define participation as a process or collective effort that enables citizens to: 1. Voice their concerns and opinions and take responsibility for changes in the community (Armitage, 1988) 2. “Influence and share control over development initiatives, and the decisions and resources which affect them” (WBLG, p.3). 3. Increase and exercise control over resources and institution (Westergaard, 1986) 4. “Become actively involved in a public project” (Wilcox, 2003, p.50). There is no shortage of authors or organizations that have studied and established that people’s participation increases disaster risk reduction capacity in communities. Davis (2004, p.142) wrote that participation can harness the “powerful forces from within vulnerable communities to address their own vulnerabilities” while Delica (1999, p.1) maintained that participation can “enable families residing in disaster-prone areas to better cope with the impact of a hazard and recover from the aftermath of a disaster in a shorter time”. Murase, et al (2008, p.5) believes that “sophisticated assessment done by experts are meaningless without the participation of the local people”. 2.3. Organizational Perspective: Framework for Participation by Wilcox Wilcox (1994) provided a framework for participation made up of three components: 1) level of participation, 2) phase / processes and 3) key interests of the people involved. The level of participation can be expressed in different typologies, best illustrated through ladders of participation and Wilcox (see Table 2.1), which identified five inter-connected levels of participation that adopted the perspective of organizations promoting participation (CAG, 2003).

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 5

Table 2.1: Wilcox’s Ladder of Participation Type of Participation Explanation 5 Supporting independent Local groups or organisations are offered funds, advice or other community interests support to develop their own agendas within established (greatest) guidelines 4 Acting together Community members decide together and form a partnership to carry out decisions that were agreed upon 3 Deciding together Encouraging additional options and ideas, and providing opportunities for joint decision-making 2 Consultation Offering some options, listening to feedback, but not allowing or considering new ideas 1 Information (least) Merely telling people what is planned

Source: Rahman, 2005, p.4; Wilcox, 1994 In the context of this research, Wilcox’s work will be used to form the research question and the questionnaires in order to determine and measure the levels of empowerment and community participation in the study area. For Wilcox (1994), “participation does not happen, it is initiated”, a statement that highlights the importance of phases or processes involved in programs on participation- the second component of the framework. His work underscores the importance structures and guiding participatory processes from initiation to continuation. People are the third component of Wilcox’s framework. He mentioned the need to analyze the roles of politicians, officers, practitioners1, stakeholders2 and the community3 which may vary because of a complex range of interests and priorities. 2.4. Individual’s Perspective: Intent to Participate by Motoyoshi Wilcox's framework for participation represents the perspective of organisations (Wilcox, 1994). However, it needs a complementary framework anchored on the perspective individuals. The causal model by Motoyoshi (2006) adequately summarizes the motivations and barriers that affect participation in community-based flood preparedness measures as well as other factors that may play a role in its implementation. He argues that the intention to participate in disaster prevention activities rely on three factors: benefit perception, cost perception and subjective norm4. These factors as well as the intention to participate are, in turn, determined further by interest in flood disasters, as shown in Figure 2.2

1

Practitioners- people who are planning and managing the participation process (Wilcox, 1994) Stakeholders- people affected by, or can affect, a decision (Freeman, 1984) 3 Community- a complex range of interests, many of whom will have different priorities (Wilcox, 1994) 4 Subjective norm- an individual’s perception of social normative pressures, or relevant others’ beliefs that he or she should or should not perform such behaviour. “I will feel ashamed if I make no preparation while my relatives and family were taking action for flood protection” (Motoyoshi, 2006, p. 132-133) 2

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 6

Figure 2.2: Motoyoshi’s Model for Community Participation

Motoyoshi (2006, p.132) concludes that people have a greater intention to participate in community-based disaster preparedness activities when they take great interest in subjective norms and flood disasters. Recognition of costs of disaster preparedness activities also serves as a factor to decrease intention to participate. Lastly, it is possible to activate disaster preparedness activities by regarding these activities not as measures to reduce disaster risks but as voluntary activities in local communities. While highly applicable in a lot of disaster-prone areas, Motoyoshi’s model was derived from studying the context of Japan, a developed country that may have different institutions and socio-economic conditions from a developing country like the Philippines. In developing countries for instance: “The existing systems of social protection are fragmented. The richest population group has access to formal social insurance, and the very poor have some access to social assistance and health services. But large population groups are not covered by formal-sector social security institutions and receive no social assistance” (Dethier, 2007, p.292). Recognizing the depth of Motoyoshi’s work however, his model was used in forming the methodology for this research in order to verify its applicability in the developing country context and add more component if necessary.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 7

III. METHODOLOGY The methodology of this qualitative research is based on the use of grounded theory guided by literature review and the development of an a priori conceptual framework. The study made of use of three research methods- in-depth key informant interviews, review of public documents and focus group discussions- to gather information, form concepts and verify the findings and conclusions. 3.1. The Conceptual Framework This study argues that organizational and personal factors determine the type and level of participation in communities as discussed separately by Wilcox (1994) and Motoyoshi (2006). There are the organizational components derived from Wilcox’s framework for participation, which include people, processes and levels of participation. On the other hand, there are the personal components of participation intended to study the individual’s/ community member’s perspective on the aspect of participation in flood preparedness. Figure 3.1 summarizes the components of the framework. Combining Wilcox and Motoyoshi’s work into one framework presents different advantages for this research. The dual-perspective and multi-level approach can provide a more thorough context on the issues surrounding people’s participation in the case study areas. This dichotomy can also help create more appropriate and less general results, analyses and recommendations anchored on established theories and tested in the actual scenarios. The two models were instrumental in formulating these three research questions of this study: 1. What factors shape people’s intention to participate in community-based flood early warning and response measures in the Philippines? 2. How can top-down and bottom-up the flood early warning and response system best encourage and utilize participation to increase the overall capacity of flood-prone communities? 3. How can communities address barriers that affect participation in flood preparedness measures?

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 8

Figure 2.3: Conceptual Framework Sources: Wilcox, 1994; Motoyoshi, 2006

3.2. Research Methods 3.2.1 In-Depth Interviews Semi-structured key informant interviews were used because this method is very appropriate in obtaining primary information from a limited set of experts, officials and project implementers in the study areas. The interviews provided deeper insights on the experiences, motivations and hindrances of a limited group of project beneficiaries, in this case, the community-leaders and members. The use of semi-structured interviews was also consistent with the use of the grounded theory because the earlier gave the researcher enough flexibility to probe deeper once an important factor or variable is mentioned during interviews. As “qualitative inquiry designs cannot be completely specified in advance of fieldwork” (Patton, 1990, p. 61) in-depth interview can yield the actual factors affecting participation without suggesting them beforehand as what would happen if a close-ended survey were employed. Using an open-ended survey on the other hand would have generated a large amount of data which will eventually nullify its quantitative significance (Milne, 1997). 3.2.2. Document Analysis

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 9

Printed public documents related to the flood preparedness programs in the two barangays were analyzed to allow the researcher to maximize his time for interviews with public officials and community organizers. The documents were used to obtain advanced information on the programs, streamline interview questions and verify/ corroborate information from interviews and vice versa. 3.3.3. Focus Group Discussions Joint-interviews and focus group discussions were used to obtain data from a homogenous set of participants only in situations where time is a major constraint or when communitymembers decided to participate in an otherwise one-on-one interview (the latter case is attributable to the perceived hospitality of Filipinos). FGDs were also used to verify the findings of the study with leaders and members of the two case study areas.

3.3. Sampling In terms of selecting research participants, this study made use of snowball/ chain sampling and opportunistic/ emergent sampling (Patton, 2002). While a set of respondents were identified, the researcher provided room for flexibility to include new respondents and take advantage of new needs, information and opportunities as the data collection progressed. These sampling methods are consistent with the use of grounded theory, which is intended to generate concepts from field data that may evolve as the interviews are taking place. Local politics played a big role in the selection of resource persons for the study. While civil servants, elected officials, community members from the barangay and the city were interviewed for the case of Barangay Mangin, Dagupan City, the researcher could not adapt the same structure with officials from Barangay Banaba and the Municipal Government of San Mateo because initial interviews confirmed the lack of involvement of the barangay and the municipal governments in the Buklod Tao Initiative at the time of the study. There was also a history of legal disputes between Buklod Tao and the current local administration which made it unwise to probe the latter’s lack on involvement. Lastly, there are efforts made by the Centre of Disaster Preparedness to mend the relationships between Buklod Tao and the municipal and barangay governments. The conduct of probing interviews with government officials while these are on-going may jeopardize the efforts being made to resolve the problem.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 10

IV. THE STUDY AREAS 4.1. The Philippines The Philippines is one of the most disaster-prone countries in the world, ranking third in the United Nation University’s list of countries most vulnerable to disaster risks and natural hazards (Alave, 2011). Five of out the 20 typhoons that enter the country each year bring death and destruction in the form of floods, heavy winds, landslides or storm surges (Porcil, 2009). Preventionweb (2012) pointed out that the country experiences three flood disasters per year, with each event killing an average of 23 and affecting 124,212 people. A total of 6.81 million people are exposed to coastal flooding while 3.71 million are exposed to inland flooding. With the advent of climate change, storms are expected to be more frequent and far more devastating which will worsen the already adverse flood risks in the country (Chu, 2012). The Philippines was chosen as the study area because of its: 1. Immense risks to both floods and climate change 2. High poverty incidence (36%) which increases the number of settlements in flood prone areas (CIA, 2012) 3. Low capacity to invest in long-term flood mitigation measures (NEDA, 2011) which underscores the need for people-based flood preparedness initiatives. Two of the worst storm-related floods that hit the country were brought by Typhoons Ketsana and Parma. In September 2009 Tropical storm Ketsana (Local Name: Ondoy) devastated Metro Manila with floods from 452 millimetres of rain. Tropical Storm Parma flooded Northern Luzon not a month after Ketsana hit the capital region. The twin disasters resulted in the damages outlined in Table 4.1: Table 4.1: Impacts of Typhoons Ketsana and Parma

Deaths Injured Missing Evacuees Affected Population Partially Damaged Houses Totally Damaged Houses Infrastructure Damage Agriculture Damage

Typhoon Ketsana (Ondoy) 464 529 37 15,798 families or 70,124 persons 993,227 families/ 4,901,234 persons 154,922 185,004 100 Million USD 160 Million USD

Typhoon Parma (Pepeng) 465 107 47 3,258 families or 14,892 persons 954,087 families / 4,478,284 persons 55,062 6,807 160 Million USD 595 Million USD

TOTAL 929 636 84 19,056 families or 85,016 persons 1,947,314 families or 9,379,518 persons 209,984 191,811 260 Million USD 755 Million USD

Source: Republic of the Philippines, et al, 2009

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 11

Republic Act (RA) 10121 or the ‘Philippine Disaster Risk Reduction and Management Act of 2010’ aims for the establishment of strong national and local DRRM institutions in the country. RA 10121 also provides a local structure at the country’s provincial and city/municipal levels and a structure for the barangay (village), the smallest political unit in the country (Republic Act 7160). The functions of the former Barangay Disaster Coordinating Council were transferred to the Barangay Development Council (communitylevel response, etc) in order to link disaster risks with development concerns, the decisions of which are controlled by the latter (RA 10121, 2010). Such a transfer of functions and power highlights the country’s intent to shift from reactive to proactive disaster risk reduction measures. But while the public institutions are properly organized, none of the measures that these institutions implement can be fully successful without the cooperation and support of the citizens especially those in high-risk areas. This highlights the need to analyse the context of disaster risk reduction to a scale lower than the barangays- the community members themselves.

4.2. The Case Study Areas Two case study areas were selected on the basis of uniqueness and the potential to obtain deeper and more complex analyses on the subject of participation through comparisons between the findings from each case (Patton, 2002). These areas are Philippine barangays with established community-based flood early warning and response systems that are known for their effectiveness and were already tested by actual massive disasters. One of these areas has a top-down government-led initiative while the other has a bottom-up people’s organization-managed initiative. 4.2.1 Study Area 1: Barangay Mangin Barangay Mangin in Dagupan City, Province of Pangasinan is the first study area. The barangay has a land area of 126.80 hectares (2.8% of total land area of Dagupan) and a population 3,823 representing 2.2% of Dagupan City (Mata, 2009). It also has the highest flood risk among the 31 barangays of the city (ibid). Figure 4.1 pinpoints the location of Dagupan City and Barangay Mangin.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 12

Figure 4.1: Map of Barangay Mangin, Dagupan City Sources of Maps: 2012 Google; 2012 Digital Globe; http://noah.dost.gov.ph/; http://newsinfo.inquirer.net/wp-content/blogs.dir/10/files/2012/08/Dagupan-City-map.jpg

Barangay Mangin is a beneficiary of the Project PROMISE (Program for HydroMeteorological Risk Mitigation in Secondary Cities in Asia), a project funded by the USAID and implemented by the Asian Disaster Preparedness Center (ADPC) in coordination with the Center for Disaster Preparedness (CDP). The project created a self-sustaining top-down or barangay-government-led flood preparedness system managed by the Barangay Government of Mangin and supported by the city government of Dagupan. When typhoon Parma struck Northern Luzon in 2009, Barangay Mangin was one of the most flooded barangays of Dagupan. Typhoon Parma tested the system created through Project PROMISE and has proven its effectiveness during the floods. The system was credited for people’s 100% compliance in evacuation efforts and the barangay’s zero casualty rate despite the scale of the floods (Mata, 2009). 4.2.2. Study Area 2: Barangay Banaba and the Buklod Tao The second case study is in Barangay Banaba, San Mateo, Province of Rizal, the most highrisk area in the Municipal Government of San Mateo in terms of floods (R4. R11). The barangay is adjacent to the flood-prone Marikina River and is traversed by several creeks that increase the risk of floods in the area. The barangay has a population of 20,861 crammed into the 1.382 sq.km area of the barangay for population density of 15,094 people per sq.km. Figure 4.2 shows the location of San Mateo and Barangay Banaba.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 13

Figure 4.2: Map of Barangay Banaba, Municipality of San Mateo Sources of Maps: 2012 Google; 2012 Digital Globe; http://noah.dost.gov.ph/ http://upload.wikimedia.org/wikipedia/commons/thumb/2/24/Ph_locator_rizal_san_mateo.png/250px-Ph_locator_rizal_san_mateo.png

Buklod Tao, (buklod- unity or bond; tao- man), a faith-based organization that was formed and is based in Barangay Banaba in 1995, aims to address “issues on environmental degradation that increase disaster and environmental risks” (R11). Buklod Tao established a flood early warning system in the barangay as well as search and rescue teams spread in eight of its most flood-prone puroks/ sub-villages (R11). Its system has been repeatedly tested by deluge since the late 90’s. But one of its greatest tests is typhoon Ondoy, which brought the worst flood in the history of the barangay and the entire Metro Manila. But like Mangin, Barangay Banaba also had a zero casualty rate despite being in one of the most dangerous areas of San Mateo, proving the effectiveness of Buklod Tao’s early warning system.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 14

V. RESULTS 5.1. RESEARCH QUESTION 1: What factors shape people’s intention to participate in community-based flood early warning and response measures? This research used the terms “barriers” in lieu of Motoyoshi’s (2006) cost perception, and “motivations” in lieu of benefit perception to avoid the pitfall of “pricing the priceless” usually associated with the cost-benefit approach (Ackerman, 2008 p.3). Rightfully so, not all factors identified are quantifiable or expressed in monetary value. This sub-chapter outlines the motivations and barriers as well as other factors that shape people’s intent to participate are discussed below. 5.1.1 Motivations The data from Barangays Mangin and Banaba show that three sets of factors motivate residents and key actors to participate in flood early warning and response. These factors do not discriminate between a top-down or bottom-up system, but the particular context of the community may provide varying justification on why they exist. The first motivating factor is “fear” either through the “fear of death” (Respondent 1 or R1) or the “fear for the life of family and friends” (R9, R13, R20). Fear can be attributed to people’s previous experience on storms, floods and disasters which compels them to participate in flood early warning and response before or during a flood (R8, R15, R17). Experience gives people the knowledge of the worst that can happen and more importantly, the knowledge to avoid them. R11 pointed out that in Barangay Banaba, the people who participate in Buklod Tao’s initiative are those who experienced floods before, and that people from adjacent well-off neighborhoods are less likely to participate as they are also less exposed to the impacts of floods. Fear as a motivation is especially applicable during the floods itself wherein “people’s only option is to either participate or to die” (R1). The second motivating factor is capacity building through training and institutional development within the community and/or the city where it belongs. Experience increases people’s knowledge on hazards but capacity building increases their skills to make substantial contribution and eventually their willingness to put this knowledge to good use (R4). In the case of barangay Mangin, capacity building at the city and barangay improved the knowledge of civil servants and politicians which further motivated them to create their own early warning system and maintain it even beyond the project that facilitated its establishment. During the project PROMISE, improved knowledge on their hazards and capacity encouraged the barangay to negotiate with project implementers so that the latter can provide rescue equipment which the community did not have at that time. The request was granted and the set of equipment received from the project helped in actual search and rescue operations when Typhoon Parma flooded Dagupan City only a few years after.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 15

“The external organizations adjusted for them (Barangay Mangin) because these organizations found out that they actually do not have enough rescue equipment. Emergency response was not part of the project, but its inclusion was negotiated to the funders because it helps the people prepare, anticipate a possible lack of resource in case of disaster and gives everyone peace of mind at the same time.“ (R4) The third factor pertains to a “sense of willingness or responsibility to help other people”, which the respondents from both study areas expressed in different Filipino terms such as “kusang-loob”, “bayanihan” or “pagtulong sa kapwa”, all pertaining to a sense of volunteerism to help others in need. The term “katungkulan bilang Kristiyano” (Christian duty) was also used numerous times, highlighting the role of religion in shaping participation in the context of the highly Catholic Philippines. In the case of Mangin, this sense of responsibility may be traced to the relationship of people or their familiarity with each other; bonds that were formed after years of close interaction in the barangay. R8, who has lived in Mangin for nearly 53 years, indicated that the barangay is an old and close-knit rural community where “everybody knows their neighbours and would help them in times of disasters”. The case of Barangay Banaba presents a different form of justification behind the motivation to help fellow community members. R11 mentions that having a “common struggle”, most notably the threat for relocation of informal settlers and the direct effects of environmental degradation on Banaba residents motivated them to organize Buklod Tao and participate in its initiatives to surpass these struggles. Strategic actions toward “awareness, organization and equipping community members” were very significant in forming a grassroots disaster response for Barangay Banaba which eventually encouraged more people to take part in Buklod Tao’s actions (Ibid.). 5.1.2 Barriers to Participation Local politics act as a main barrier towards community participation in both top-down and bottom-up flood early warning and response. In Mangin, the “political alliance prevents some member of factions from helping or participating in their rival’s initiatives” (R2). In Banaba, bad politics and dented organizational relationships connected with the previous legal battles between Buklod Tao and the Municipal Government is seen as one of the factors that prevented full cooperation between the people’s organization and the Barangay Government of Banaba (R11). R11 also argues that “the presence of Buklod Tao itself is acting as a barrier to participation because it increases the dependence of the barangay government and its people in Buklod’s skills and resources”. These challenges however has already been recognized and is currently being addressed (R4, R11, R21). Poverty or economic difficulty is another barrier in flood early warning and response but it is one with different effects before and during floods. At the pre-disaster stage, “if community members participate in a disaster preparedness event, this will most likely result in foregone financial opportunities on their part” (R21). “Mahirap kalaban ang kumukulong tiyan” (a rumbling stomach is a tough opponent), a phrase that emphasizes how poverty shifts one’s priority from survival in future disasters to survival in everyday life (ibid). During disasters however, the presence of floods nullifies any form of economic disadvantages because Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 16

“safety becomes the primary concern” during this time (R13). “Rich or poor, rescue is rescue” (R15). At a larger scale however, economic difficulties also “preserve the existing vulnerabilities of people and the communities which forces them to address the superficial effects of these vulnerabilities over and over, and compels some to lose interest in DRR (R11). Lack of knowledge on hazards and actions is another barrier to people’s participation and was prevalent at the start-up phase of the flood preparedness initiatives in both case study areas. Training, information campaigns and capacity building activities have addressed the majority of this problem (R3) however the inclination of people to receive more relief goods as the means solve the flooding problems in the community still persists. For some residents, a greater quantity of relief goods (medicine, mosquito net, clothes, food, rice) or a greater number of communal evacuation facilities for animals can help improve or maintain a high-level of participation among community members especially during floods that necessitate forced evacuation (R6, R7, R8 R9, R10, R20). Such perspectives reflect the post-disaster orientation of people which reinforces their mindset as victims rather than actors. It also undermines their potential to actually help establish or maintain the flood preparedness system long before a disaster strikes. Another related barrier is the limited opportunities for community members to participate in the flood early warning and response initiatives. Members of organizations that maintain both the top-down and bottom-up flood preparedness systems have far greater and more significant roles than non-member. The latter have very limited decision-making powers for the community and their roles are often limited to attendance/ training during community forums and compliance during evacuation. While the institutional nature of this problem is apparent and evident from the interviews and workshops as well as in the barangay’s organizational chart itself, interviewees from the barangay government used the words “tamad” (lazy), “makasarili” (selfish) and walang pakialam (indifferent) to explain the nonparticipation of normal community members (Source: FGD). 5.1.3 Leadership and Communication The research finds that the presence of strong leaders and an effective system of communication among residents helped shape the high-level of participation in the two study areas. But leadership and communication were classified as neutral factors because they are temporary in nature and may also be barriers to participation as discussed below. Strong community leaders motivate people to participate in flood preparedness measures. Community members from Barangay Mangin cited how the barangay chairman (captain) is “essential in terms of motivating people to participate in the PROMISE project” (R3). Aside from managing and improving the system, R9 noted how her family would participate in the flood preparedness measures because of their utmost respect to the leadership of the current village chairman, whom she said she also knew for a long time. In the case of Banaba, R17 mentioned that the Buklod Tao’s leader’s “sigasig na tumulong sa iba” (dedication to help others) has inspired him to join the organization and participate in flood preparedness measures. Buklod-Tao was also formed and formalized as a people’s organization because of the strategies and initiative of its current leader.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 17

On other hand, leadership can also be a barrier towards participation. R21 mentioned that “how a leader interacts with his members also affects how people participate”. In Barangay Banaba for instance, the head of Buklod Tao “can be too good and too fast for community members, most of whom may have only finished high school. In the past, some members resigned because of disagreements with the leaders of the organization” (ibid). For Mangin, the barangay leader has a term limit of nine years and the current chairman is in his last term putting concerns on the continuity of the early warning and response system in the barangay. The way the leaders communicate with the community members and other organizations is a catalyst that shape participation within the communities. Before a disaster, communication helps avoid a situation where “people do not know how they will participate” (R21). The importance of communication also transcends during the response operations itself as the report from kagawad (barangay councilmen) or Buklod Tao members stationed near flood markers are the bases in deciding whether to evacuate or not (R11, R2). R2 provides insights of the communication process during flood situations. “Almost each sitio has a kagawad in-charge of flood monitoring. They monitor the water level during floods and send updates to the barangay. The barangay comes up with a decision and relays they information to community members through megaphones, the church bell or the kanungknong”. Effective leadership and communication existed in the communities even before the plan to establish a flood early warning system was formulated. In Barangay Banaba for instance, the current leader of Buklod Tao built the communication channel among the soon-to-be members of the organization mostly through informal prayer meetings (R11, R17). The bond and recognition for leadership that occurred through the years made it easier for Buklod Tao to communicate and implement its core programs when they were formalized as a people’s organization. In Barangay Mangin, the presence of a responsive government was one of the criteria used to select Dagupan City as a beneficiary of Project PROMISE. The selection criteria eventually paid off especially as the city and the barangay not only successfully established a flood early warning and response system, but has maintained it years after the project was finished (R4). 5.2. RESEARCH QUESTION 2: How can top-down and bottom-up flood early warning and response systems best encourage and utilize participation to increase the overall capacity of flood-prone communities? The structure of this sub-chapter reflects the elements of Wilcox’s framework for participation: people, processes and forms of participation. The forms of participation are defined through the people involved and their roles in early warning and response processes in each of the two case study areas. In this chapter, the cases of Banaba and Mangin will be discussed separately to capture the similarities and differences in the frameworks for participation of top-down and bottom-up flood early warning and response systems.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 18

5.2.1 Top-Down Approach: The Case of Barangay Mangin, Dagupan City The top down flood early warning and response system in Barangay Mangin has three main actors: the city government, the barangay government and the community members of barangay Mangin. Each of these actors has distinct roles that were utilized in unique ways through the implementation of Project PROMISE in the city and in the barangay. However, the roles of the city and the barangay, as public sector institutions, heavily outweigh the significance of the roles of normal community members. 5.2.1.1 The City Government In the case of Barangay Mangin, the city-initiated and barangay-maintained flood early warning and response system depended heavily on the roles of the city government to train people and to support the initiative from a policy and resource points of view. One of the strategies employed through Project PROMISE is to invest in people and create champions to ensure cooperation between local authorities and communities (R3; ADPC, 2007). In the long-term, the strategy to focus on gaining the interest and building the capacity of permanent civil servants allowed the project to survive beyond three changes in local political administration. According to R4, by investing the time and commitment of its midlevel managers and other personnel, the city has ensured the: 1. Awareness and understanding on flood preparedness measures 2. Support of the technical advisors (civil servants) of politicians and decision-makers 3. Sustainability of its flood preparedness measures even beyond the period of PROMISE Project 4. The birth of more DRRM projects because funders recognize the capacity of the city to implement them (R1) “After they were trained, the department heads in turn led and conducted the trainings in the communities. This ensured that the project survives three changes in political administration (local election occurs every three years in the Philippines)” (R4). The inclusivity of the project’s Technical Working Group also resulted in great advantages for communities at the political level: “Since the Department of Interior and Local Government, a national office performing oversight functions on local governments, was part of the TWG, the agency saw to it that DRR is integrated in the new elected officials’ trainings, which ensured the sustainability of the program. Also, some of those trained (TOT) during the project have enhanced their skills and are now resource personnel in trainings for similar projects”. (R4) The project helped setup flood preparedness systems not only in Barangay Mangin but in the seven other high-risk barangays of the city as well in order to increase the knowledge of its leaders and residents (R1). The TWG developed a color-coded flood warning system as shown in Table 5.1. The table shows the use five colours- white (normal), yellow (alert phase), orange (preparatory phase), red (full evacuation phase) and green (forced evacuation phase)- as early warning signals which the residents can interpret themselves. Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 19

“The five levels are measured through flood markers pre-positioned across strategic points of the barangay” (R2), such as those illustrated in Figure 5.1:

Figure 5.1: Photos of Flood Markers in Barangay Mangin (Source: Author) Table 5.1 shows that the water-level in these flood markers also corresponds to the types of response expected from all actors. The city has the option to be involved in the disaster response at the barangay level as its personnel is trained and equipped in different forms of search and rescue, including water search and rescue (WASAR) (R1, R3). However “the city government will only intervene if the barangay can no longer handle the operations. Despite the destructive level of the floods during Typhoon Parma/Pepeng in 2009, the barangay (Mangin) did not need to call the city which allowed us to focus on other hard-hit areas”. (R2)

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 20

Table 5.1: Color-Coded Alert System

Source: Mata, 2007

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 21

5.2.1.2. Barangay Government of Mangin Majority of the responsibilities in implementing and sustaining the barangay-level flood early warning system were designated to the Barangay government of Mangin and the effective knowledge transfer led to the setup of an effective system. The barangay government handled community organization, risk analysis and risk communication within Mangin (R2, R3, R4). The transfer of skills and knowledge and the dissemination of information on hazards, vulnerabilities and capacity from the city to the barangay through the top-down flood early warning system best utilized the participation of the barangay officials. “Barangay Mangin used house-to-house information campaign to educate those who cannot attend mass sessions” and inform them of the DRR initiative (R3). The knowledge transferred led to an effective risk analysis and consequently, an interactive community-made risk map that is useful for both planning and actual response (See Figure 5.2). The risk map helps identify the houses that have priority victims during floods” (R2) as well as other parts of the communities that might be affected. Priority victims are disabled people, small children and the elderly who may need assistance during floods (ibid.). But more importantly, the map shows the capacities of the barangay to respond to the hazard and the vulnerabilities. These three categories as well as their elements are enumerated in Table 6.2.

Figure 5.2: Community Hazard Map (Source: Author)

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 22

Table 5.2: Elements of the Community-Based Flood Map in Barangay Mangin CATEGORY Hazard

Vulnerability

SUB-CATEGORY Flood-Prone Areas Vulnerable People

Vehicles for Evacuation Farm Animals Type of Houses

TYPES/ CLASSIFICATIONS Low Risk, Medium Risk, High Risk Senior Citizen, Children, Pregnant Women, Sick/ Needs Medical Attention, Person with disability Motorcycles/ tricycles, Jeep/Truck, Boats Cow, Carabao, Horse, Pigs, Goats Light materials, Semi-Concrete, Concrete

Livelihood

Capacity

Distributor, Bakery/ Mini-Grocery, Restaurant, Hardware/ Internet Café, Sari-sari (variety) store, General merchandise Barangay Infrastructure Barangay Hall, Health Centres, School, Day Facilities Care Centre, Barangay Chapel, Basketball Court, Barangay Chapel, Basketball Court Early Warning System Evacuation routes, Safe Pick-up Points, Flood Markers, Post Used to Raise House, Electric Post Network Evacuation Centre Small, Large, Waiting sheds, Host family Other Community Facilities Deep wells, Jetmatics, electronic transformers, Pumping stations Source: Mangin’s Map Legend

The barangay operates with pre-set damage scenario, pre-set roles and pre-identified evacuation scenarios, a setup that makes early warning and response more effective. Creating clear sets of roles and responsibilities ensured the effective participation of the Barangay Government of Mangin. Flood monitoring and response was fully delegated to the barangay, although the city can aid the community should the situation go out of hand. Flood early warning depends greatly on the role of barangay officials, elected or appointed. Barangay kagawads monitor the flood markers and relay the information to the Barangay Hall, which in turn informs the community members of the real-time situation. “The barangay informs the communities (on flood alerts) through megaphone, hand-held radio and an indigenous material called “kanungknong" (See Figure 5.3).

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 23

Figure 5.3: Barangay Chairman Cabison demonstrates how to use a Kanungkong (Source: Author) Members of the barangay council, together with appointed barangay officials and staff handle evacuation and search and rescue. The “kagawads” (elected council members) are spread out in different sitios/purok (an informal subdivision of a barangay) in Mangin so we are able to monitor a large area of the barangay more effectively” (R2). Figure 5.4 gives an overview of their roles of the barangay during the response stage:

Figure 5.4: Barangay Disaster Risk Reduction and Management Committee (BDRRMC) (Source: Photo of Mangin’s Organizational Chart) Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 24

5.2.1.3 Barangay Mangin Residents One of the primary strengths of the top-down flood early warning system of Barangay Mangin is the strong participation of the city and barangay government officials and staff. But its primary weakness is the limited role and weak participation of normal community members. Community members do not have any formal or specific roles during the predisaster stage and their role is limited to attending information dissemination forums. Their decision-making powers are also limited to personal decisions, the biggest of which is deciding to evacuate their respective families to safer grounds during floods. One of the respondents summarizes the role of community members in Mangin: “We monitor storms through the radio and through the barangay. Even before they hit, we pack our blankets, pillows, food and toiletries. We volunteer to evacuate while we can still walk through the floods to the barangay hall”. (R6) A strategy to tap the “may-kaya” (financially-able) community members to volunteer as “host families” provided the exception. “During floods, residents can evacuate to host families or owners of strong two-storey houses who volunteered to become satellite evacuation areas. One of the mechanisms that sparked the host family setup in Mangin is the familialistic orientation of the barangay. But host families do not just accept their family members but also friends and neighbors” (R2). R5, an owner of a two-storey concrete house and designated host family in Barangay Mangin mentions that: “We accept friends and relatives in our home while there is still space. The barangay personnel often tie a rope from the barangay hall to our house so that people trying to evacuate can cross safely and will not be swept by the current.”

5.2.2 The Case of Barangay Banaba (Bottom-Up Setting) 5.2.2.1 Buklod Tao (People’s organization in Barangay Banaba) Similar to Barangay Mangin, Barangay Banaba’s Buklod Tao also used capacity building and clearly defined roles, responsibilities and decision-making powers to maximize the participation of all its members and other community members. The use of a flood warning system ensured the transfer of knowledge on the type of response expected from community members through the different colors representing each warning level. Buklod Tao also undertook an effective risk analysis and created a risk map similar to Mangin’s. It also made use of a similar warning system as Mangin with minor differences in the use of the colors and the measurement levels (See Table 5.4).

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 25

Table 5.4: Early Warning System of Barangays Banaba and Mangin Barangay Mangin Barangay Banaba Water Level Interpretation Water Level Interpretation 0-1 foot Normal 6 feet Forced evacuation SAFE Source: Map Legends, Barangay Mangin and Banaba

White Yellow Orange Red Green

One of the main differences between the two barangays however is that Buklod Tao does not have an annual budget coming from government, and Buklod’s roles extends to vulnerability reduction at the pre-disaster phase. For Buklod, maintaining the active participation of its members in flood early warning and response depended on securing funds to maintain its activities and organization, which it did through member contributions (initially) and then through external funding after. To fully utilize participation and increase flood early warning and response capacity, Buklod Tao also designates roles and responsibilities to the entire families of their active members, ensuring the efficient implementation of flood preparedness measures, and more importantly, the continuity of the system that the people’s organization built.“ Table 5.5 shows the variety of roles of Buklod Tao Members and their families before a disaster, during a disaster and also at the non-disaster scenario. Table 5.5: Buklod Tao Member’s Roles and Responsibilities Non-DRR Scenario

Pre-Disaster

During Disaster

Tatay (Father)

Farm workers, Buklod Tao Officers, election voters

Trainer, observers of flood markers (early warning)

SAR team, EOC*

Nanay (Mother)

Clothing sewers, Buklod Tao Officers, election voters

Trainer, observers of flood markers (early warning)

Community kitchen, health and relief, evacuation, EOC

Anak (Child/ Buklod ng Kabataan)

Community organization

Surveyors, mappers

Evacuation, games with children at evacuation areas

*EOC- Emergency Operations Center

Sources: R11, R17, R21

Buklod Tao also encourages participation by giving its resident sources of income while improving the barangay’s flood preparedness system. One of the most unique roles of Buklod Tao members is creating their own fiberglass lifeboats used for actual rescue inside

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 26

the community. “Buklod Tao’s rescue boats are built within Barangay Banaba using internal materials and internal labor” (R11). These boats are now being sold and used in other communities outside San Mateo as well. Figure 5.5 shows the construction mold that Buklod Tao uses and Figure 5.6 shows the actual lifeboat that was created.

Figure 5.5: Lifeboat Mold

Figure 5.6: A Buklod Tao Lifeboat

5.2.2 Barangay Banaba Residents While Buklod Tao has a very strong role in increasing participation and the community’s flood preparedness capacity, residents in Barangay Banaba also have weak roles in the entire process similar to the case of Barangay Mangin. Residents’ decision-making powers are limited to personal preparations and eventual evacuation to pre-identified areas (R20). Like that of Mangin, the color-coded early warning system of Banaba also has prescribed roles for family at each alert level. Table 5.6: Role of Families vis-à-vis the Alert Level ALERT LEVEL White Yellow Orange

Role of Families Preparedness (ready basic necessities and medicine) Prepare to evacuate/ Evacuate already flooded areas Evacuate and help with the evacuation area

Red Green

Return to homes Source: Buklod Tao Signages (Translated to English)

In the case of Barangay Banaba, it is evident that membership in Buklod Tao is a necessary factor that can result in greater participation and greater role of community members in the barangay’s flood early warning and response system. 5.2.3 The Barangay and the City Government R11 and R21 indicated that “the barangay had no involvement in Buklod Tao’s initiatives”. As much as the researcher would like to include the roles of the Barangay Government of Banaba and Municipal Government of San Mateo, the researcher decided that it would be more prudent not to do so to avoid endangering the on-going efforts to fix the relationship between Buklod Tao and the local governments. Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 27

5.3. RESEARCH QUESTION 3 How can communities address the barriers that affect participation in flood preparedness measures? This research identified four main barriers to participation from each of the case study areas. These are 1) local politics, 2) poverty or economic difficulty, 3) limited knowledge and 4) limited opportunities for community members to participate. This sub-chapter outlines how each study areas addressed or aims to address these barriers.

5.3.1 The Case of Barangay Mangin (Top-Down Approach) As a top-down system, Barangay Mangin’s flood early warning and response system is supposedly more prone to politics. But the city and the barangay governments maintain a good relationship especially in disaster risk reduction. The initial strategy to train civil servants as champions in DRR kept the city-level committed and its political support constant. However, several parties within the community oppose the current barangay administration and refuse to cooperate in flood preparedness measures (R3). But the problem of politics in Mangin is often limited to personal issues, which has no concrete solutions. During the response stage however, R3 indicated that “politics ends when the floods arrive” and everyone in the community cooperate fully, regardless of political alliance, in order to keep everyone safe. To help alleviate poverty while increasing community resilience, Project PROMISE incorporated livelihood projects to help raise the living conditions of people in the barangay. These projects however are under tight financial constraints and could only help a fraction of the barangay’s 3,823 people (Mata, 2009). And while livelihood projects were incorporated when the project PROMISE was implemented in Barangay Mangin, the interviews and workshops held under this study revealed very little information on how poverty and economic difficulty is addressed to improve people’s capacity against floods and disasters. One of the weak spots of the top-down approach in this case is that the key actors still have not fully realized the potential impacts of poverty reduction measures to reduce people’s vulnerability and their ability to participate in flood preparedness measures. Knowledge transfer from the city to the community leaders then to the community members was very efficient in the case of Barangay Mangin. The strategy to build champions in the city government likewise avoided several potential barriers as the presence of trained and supportive tenured civil servants in the city solved in advance the problems of discontinuity and lack of political support. This strategy also kept the participation of the city government in the flood early warning and response system of Mangin intact. However, R4 noted that considering the worsening impacts of climate change, “the worst case scenario for the barangays must now be adjusted and the institutional capacity must fit this new scenario”.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 28

The champion-building strategy works well for a government-led early warning and response system such as that of Mangin. However, the same nature of the initiative makes it difficult to address the barrier of limited opportunities for community members to participate. Being part of the barangay government ensures a significant role in the system either as observers, rescuers and others. But Mangin’s public funds can only afford or accommodate a limited number of volunteers (social worker, village watchmen, etc) to work with their barangay’s elected and appointed official. This means that residents of the barangay have very little role to play in flood early warning and response and very few opportunities to play a bigger role should they choose to do so. The only exception to this is the establishment of host families which gives direct responsibilities to well-off community members as host to evacuees close to their residence increasing the latter’s chances of survival during floods.

5.3.2 The Case of Barangay Mangin (Bottom-Up Approach) The Barangay Government of Banaba and the Municipal Government of San Mateo have no involvement in Barangay Banaba’s flood early warning and response system. But past legal cases between Buklod Tao and the city government created a rift between the two, consequently affecting the people’s organization’s relationship with the barangay government and limiting the impacts of its initiatives. The rift is being solved through “thirdparty mediation” through the intervention of the Center for Disaster Preparedness (CDP) who are closely linked with Buklod and are also implementing projects in the municipality of San Mateo (R21). This led to the improvement in their relationships and Buklod’s involvement in CDP’s project which aimed to increase the city’s capacity against disasters. Buklod Tao addresses poverty as a barrier of participation by engaging its members and non-members in a variety of livelihood initiatives including: urban gardening, sale of products from recycled materials or construction of rescue boats. Buklod gains support from community member’s on its flood preparedness initiatives through their other development initiatives. R11 indicates that Buklod Tao, aside from flood/disaster risk reduction and management initiatives, has five other core programs that help increase people’s participation in the earlier and vice-versa. These other programs include: 1. 2. 3. 4. 5.

Para-legal advocacy Buklod ng Kabataan (Translation: Group of Youth) Livelihood (Social Enterprise Capital Augmentation Program) including micro-lending Psycho-social support system (Lingap Loob) Environmental Protection and Enhancement

“These components show that Buklod Tao does not just focus in solving the immediate flood risks faced by residents of Barangay Banaba. It also deals with reducing the vulnerabilities faced by people through poverty alleviation programs in the form of recycling plant (creating bags, etc) and associate livelihood programs (SECAP) intended to help the 10% of the barangay’s population who have no income or earn only P50 or less per day”(ibid).

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 29

Similar to Mangin, Barangay Banaba also experiences a significant difference in the roles and opportunity to participate between Buklod Tao members and non-members. Membership in Buklod Tao, in this case, is one of the means to attain a greater level of knowledge, training/capacity and participation in the flood early warning and response system of the barangay. Unlike Mangin however, it is easier to join Buklod Tao than to be part of the barangay or city government. At present, Buklod has roughly 700 members or about four percent of Barangay Banaba’s 20,861 people. These members maintain and observe the flood markers, relay information to the command center, perform rescue operations and maintain the evacuation site. The people’s organization intends to create more rescue teams in flood prone puroks of Barangay Banaba to help more residents soliciting the help of more Banaba residents. But it also has longer-term goal to directly address the vulnerabilities that cause or increase the flood risks, especially poverty and the high-risk location of their houses which exposes them to floods. “Di pwedeng laging maging mahirap (It is not an option to always be poor) because participation will be difficult due to poverty. How can they initiate action if they still have to work for what they have to eat?” (R21) The approach to deal directly with their vulnerabilities has reached some of Buklod Tao members, who now are now considering longer-term solutions such as relocation away from their own homes (located in danger zones) to get away from the repetitive vulnerabilities. “Di na ako takot sa relocation pagkatapos kong maranasan ang Ondoy” (I am no longer afraid of relocating after I experienced Ondoy) R12. “The land where our house is might collapse during floods. We would love to relocate ourselves but they do not have the funds and their jobs are here” (R20).

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 30

VI. DISCUSSION This chapter summarizes and discusses the results outlined in Chapter V as well as their possible application on policies and design of flood early warning and response systems.

6.1. Barriers and Motivations According to the result from the two case study areas, the factors that shape people’s intention to participate in community-based flood early warning response system are not personal conditions/ decisions alone but also include factors dictated by institutional intervention or restriction. At the personal level, the findings show that the motivations to participate in the system revolve around “human life”- the fear to lose one’s own life or one’s family, or the sense of responsibility towards the well-being of friends and neighbours. Ignorance however limits ones knowledge and motivation to get things done while poverty forces one to focus on current basic needs than future ones such as disaster. Institutional factors and interventions can increase people’s intent to participate especially through capacity building as people would be able to learn the problems in their communities and the solutions they need to solve them. However, institutional concerns such as local politics can also hinder participation as it can lead to alliances that necessitate group members not to participate in the flood early warning and response system organized by rival groups. Likewise, the focus on building the skills of leaders and members of the implementing institution can limit the roles assigned to normal community members (nonleaders) to mere attendance and compliance. The applicability of flood early warning and response system can be dissected into predisaster and disaster stages. Given this dichotomy in the time frame, Figure 6.1 can summarize the results from sub-chapter 5.1.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 31

*EW- Early warning Figure 6.1: Factors that shape participation The diagram illustrates that people that the onset of floods can nullify the barriers for participation and people are more likely to participate during floods when their options are either participation or death. Capacity building can help them acquire the knowledge and skills during the pre-disaster stage, which they can use during the emergency stage. The case of Barangay Mangin showed the value of creating champions and building the capacity of civil servants at the city level who will pass on the knowledge to communities and ensuring the continuity of the flood preparedness system by through their technical advice to elected officials. However, barriers like poverty and local politics must be addressed together with limited knowledge from community members in order for capacity building to be effective. The diagram also shows that leadership and communication are essential catalysts in both stages. But these two factors are also pre-conditions to effective flood preparedness. Effective leaders are absolutely essential in leading the establishment of a flood early warning and response system and maintaining it for years while addressing problems such as complacency and lack of funds. This study finds that the systems in both study areas depended and still depends heavily on their respective leaders and these systems would perish without them. Community unity and effective communication channel is also a necessary precondition, one that is built for years through interaction among neighbours in normal conditions and during emergencies.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 32

6.2. On Encouraging and Utilizing Participation The two case studies illustrate the difference in the roles of various actors in setting up and implementing a flood early warning and response system, and how the participation of key actors were encouraged and utilized in these steps. Table 6.1 summarizes the strategies used to encourage the participation of key actors in both study areas, as discussed in the previous chapter. Table 6.1: Encouraging Participation in the Case Study Areas Key Actors 1

2

3

4

Barangay Mangin

City Government - Invest in people/ create (Elected, Appointed and champions through Career Officials and capacity building Personnel) Barangay Government - Effective transfer of knowledge from city to barangay - Comprehensive risk analysis - Well-defined roles and responsibilities Normal Residents Establishing the host family (Generally limited roles) Buklod Tao (People’s Organization)

(n/a)

Barangay Banaba (No role in Barangay Banaba’s Flood Early Warning and Response System) (No role in Barangay Banaba’s Flood Early Warning and Response System)

Participation in Buklod’s livelihood programs (Generally limited roles) - Clearly defined roles for the community - Clearly defined roles for the families of Buklod Tao members - Knowledge transfer and capacity building - Comprehensive risk analysis - Membership in Buklod-Tao

Barangay Mangin adapted a hierarchal setup that began with external organizations that partnered with the city government. A large portion of the roles in developing the early warning and response system depended greatly on the initial skills acquired by the city government, which they eventually shared with their barangay(s). The barangay government of Mangin then stood out and became independent in terms of flood early warning and response especially during floods, and the city government will only provide support if absolutely necessary. At the barangay level however, the skills, resources, and actual roles and decision-making powers are heavily concentrated to the barangay government and its leaders, which sets limits on the role that can be played by normal community member. The relationships and the roles of different actors are summarized and illustrated in Figure 6.2.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 33

Figure 6.2: Framework of Roles in Barangay Mangin

On the other hand, the case of Barangay Banaba shows an independent and self-managing system from the development of the early warning and response system to its eventual implementation. The greatest involvement in its system comes from within the community itself where community support was built years before the flood early warning and response system was established. The barangay and municipal governments however had no involvement in the establishment and maintenance of Banaba’s system- the most glaring weakness of the barangay’s flood preparedness initiative. Figure 6.3 shows how the formal roles of the participants in this bottom-up initiative transcends to the family level which is evidently more defined that the roles in the top-down scenario.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 34

Figure 6.3: Framework of Roles in Barangay Banaba Three conclusions can be derived from these models. First is that the roles and decisionmaking powers vary significantly with each cross-section of a community regardless of the time period. ‘Normal’ community members are less empowered in both top-down and bottom-up settings where their roles are more or less limited to compliance. At the topdown setting, the small percentage of barangay officials and staff perform the crucial roles of early warning and response, while the rest of the community are limited to personal preparations or evacuation. Buklod Tao on the other hand has 700 hundred members out of the 20,000 residents of Barangay Mangin (NSCB, 2007). But while the roles of nonmembers are also less significant than Buklod Tao members, the organization is able to reach and educate more people in its barangay. The second conclusion is that group membership is a determinant of one’s level of participation. R21 agrees with this conclusion and mentions that: “It is not possible to make everyone leaders. Some activities have to focus on the capacities of the leaders first. It is also more convenient for external organizations to train and focus on community leaders and focal people” Lastly, this study sees an inconsistency in Wilcox’s (1994) ladder where “acting together” ranks higher than “deciding together”. The findings point out that during floods, “acting together” is more likely to occur especially when community members cooperate with Buklod Tao or the barangay government of Mangin in evacuating to safer areas during floods. These three findings have implications in Wilcox’s work. In using Wilcox’s ladder of participation, it is necessary to analyse the roles of each section of a community to Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 35

accurately capture how they participate and the timeframe in which they do so. Table 6.2 illustrates how these conclusions will apply to the case of Barangay Mangin while Table 6.3 shows their applicability to Barangay Banaba and the case of Buklod Tao. The marks in both tables were derived from the actual findings of this study that were discussed in previous chapters. Table 6.2: Type of Participation for Barangay Mangin (Top-Down) Type of Participation

5 Supporting independent community interests (greatest) 4 Deciding together 3 Acting together 2 Consultation 1 Information (least)

Pre-Disaster City

Barangay

X

X

During Heavy Rains and Floods Residents

City

Barangay

Residents

X X X X

Table 6.3: Type of Participation for Buklod Tao (Bottom-Up) Type of Participation

Pre-Disaster City

5 Supporting independent community interests 4 Deciding together 3 Acting together 2 Consultation 1 Information (least)

Barangay

Buklod Tao

During Heavy Rains and Floods Residents

City

Barangay

X

Buklod Tao

Residents

X

X X X

X

X

X

6.3. On addressing the barriers to participation As stated in the Chapter V, this research identified four main barriers to participation in the case study areas: 1) local politics, 2) poverty or economic difficulty, 3) limited knowledge and 4) limited opportunities for community members to participate. The approaches that were used by each of the two case study areas, as discussed in the previous chapter, are summarized in Table 6.4 below

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 36

Table 6.4: Approaches to Address the Barriers to Participation Barriers

1

2

3 4

Approach Used by Barangay Mangin (Top-Down)

Approach Used by Barangay Banaba (BottomUp)

Local Politics/ Alliances

- Focus on transforming the neutral - Third party mediation civil servants into champions for between Buklod-Tao and the DRR city and barangay - (No concrete solutions can be governments made except resolving personal issues) Poverty/ Economic - Short-term livelihood projects - Implementing a diverse set of difficulties programs aimed at reducing Banaba residents’ many vulnerabilities (not just economic difficulties) Limited Knowledge - Trainings/ information campaigns - Capacity-Building Measures by city to barangay - Opportunity to become a Limited Opportunities for - Introducing the host family member of Buklod Tao normal residents arrangement

The table above as well as the discussions in sub-chapter 5.3 shows that capacity building is the main focus/ strength of the top-down approach, reflected in the strong knowledge and support at the city-level and the effective transfer of knowledge and skills from the city’s officials and personnel to the barangay. The main weakness on the other hand is its limited approach to solving economic difficulties which greatly affects the level of people’s preparedness by shifting their focus to more urgent basic necessities. On the other hand, the main strength of the bottom-up approach is the diversity of its approach especially since the flood early warning and response system is also complimented by programs aimed at reducing people’s vulnerabilities against disasters (i.e. livelihood projects). The people’s organizations’ members have far greater knowledge, skills, roles and decision-making powers than normal community members; however the latter has the option to join Buklod Tao as members. The primary weakness of the bottom-up approach however that it is in prone to conflict with the local government, especially since the people’s organization normally perform roles that duplicate that of the barangay or the city government’s leading to friction and conflict.

6.4. Implications of the Findings on Policies and Program Design The recognition that storms occur regularly in the Philippines should guide local, national and international organizations to invest their resources in more preventive or anticipatory solutions such as flood preparedness measures in order to save lives before an “expected disaster” arrives. The findings of this study can help improve the design of participatory flood early warning and response programs or the policies to create them by considering the findings on people’s motivations and anticipating the barriers to participation. The findings for example show the significant effect of poverty and economic difficulties on Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 37

people’s intent to participate and their actual resilience to disasters, and must therefore be included in program design or policy intervention. This study concludes that there are also several pre-conditions before an effective flood preparedness system can be established (presence of leaders, community ties, effective communication channel and proactive institutions). These can be developed together with the early warning system to ensure the proper implementation and the sustainability of the system. Both study areas have a fully-functioning flood early warning and response systems. However the level of community participation in Barangay Banaba is evidently higher than that of Barangay Mangin. This may be attributed to the fact that Buklod Tao uses complementary approaches (ex. Social Enterprise Capital Augmentation Program) that were created out of the realization that their flood-prone community cannot keep relying on early warning and response. The research finds that these vulnerability reduction programs provide the necessary motivations for normal community members to 1) initially seek membership and 2) eventually learn about and participate in flood early warning and response. Flood preparedness measures would be more effective and would receive a greater level of people’s participation if complemented with such programs. This research also found that “community-based” flood early warning and response systems, especially the top-down system are implemented by only a handful of communitymembers (leaders). The intent of this statement is not to suggest giving role and power to 100% of the community members but to give them a choice to do more should they choose to do so. Normal community members are limited to the role of compliance sometimes by personal choice, but in the case of both the top-down and bottom-up approaches, because of institutional restrictions. Addressing this problem will improve the decentralization of DRR functions to communities that countries like the Philippines and improve the resilience of its “first responders” against floods. Lastly, one unintentional consequence of increased participation in flood early warning and response is that the people who implement them learn that it is more important to focus more on solving their own vulnerabilities rather than continue responding to yearly storms and floods. In the Philippines, people in slums close to danger zones would rather face the floods than face relocation. But this is no longer the case for Buklod Tao because now, the residents themselves understand that they cannot keep risking their lives and the lives of their loved ones by relying on an effective warning system. As typhoons are becoming stronger and/or more unpredictable due to climate change, typhoons stronger than Ondoy (Ketsana) may strike and finally overwhelm the resilient communities. Relocation would permanently remove their vulnerability to floods and people exposed to the benefits of flood early warning and response are willing to take this option if given the opportunity to secure a safer land and house even outside Banaba.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 38

VII. Conclusion “There can be no zero casualty scenarios without people’s participation. If the barangay and community members are not involved, any system created by a higher-level body will be worthless.” R11 The “bibingka approach” (R22), one of the concepts identified during the interviews adequately summarizes the importance of both top-down and bottom flood early warning and response systems. A bibingka is a local rice cake cooked by heating the cake with burning coal from above and below. And like how a bibingka is cooked, “communities should also be prepared from top and below” (ibid) as community members and leaders are mutually dependent upon each other before and during disasters. This study concludes that the top-down flood early warning and response system is more inclusive in terms of involving higher-level and external organizations. However, a bottom-up system such as that of Buklod Tao is more inclusive to community-members even though it has limited links with its city and barangay governments. It is however important to adopt the best features and anticipate the pitfalls of both systems in order to create greater resilience in communities. In the methodology section, the use of the grounded theory proved to be appropriate for this research, which was able to form unique/deeper insights on participation out of the data from the study areas. The study was also able to generate in-depth concepts as initially envisioned through the appropriate use of semi-structured key informant interviews which gave the researcher enough flexibility when new concepts came out during the interviews. The research found that the set of motivations and barriers that shape people intention to participate in flood early warning and response measures in the study areas are not personal conditions/ decisions alone but also include factors dictated by institutional intervention or restriction. In a community with a flood preparedness system, institutional factors and interventions can increase people’s intent to participate especially through capacity building as people would be able to learn the problems in their communities and the solutions they need to solve them. However, they can also hinder participation as local politics can lead to alliances that necessitate group members not to participate in the flood early warning and response system. While the study found four barriers to people’s participation (local politics, poverty and economic difficulty, limited knowledge on hazards and solutions), most of these factors only apply in the pre-disaster stage as the onset of heavy rains and/or the presence of floods which gives only people two options: participate or die.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 39

In the context of the two case studies, decision-making powers are centralized to the community-leaders and normal residents seldom make decisions that affect their community. The study also concludes that the significance of an actor’s role depends greatly on his/her membership to the group involved in the flood early warning and response system. Normal residents (non-members) therefore have less significant roles often limited to personal preparations and compliance to evacuation orders during times of floods. In the case of the bottom-up approach, normal residents have a higher chance of being able to join the people’s organization. The government organizations implementing the top-down approach however are less able to because of inherent limits on financial resources. Lastly, the study concludes that in order to motivate people to participate in flood early warning and response, community organizations must think beyond flood early warning and response, as did Buklod Tao. Community participation in flood preparedness in Barangay Banaba is evidently higher than Barangay Mangin because of the many vulnerability (and poverty) reduction programs that were created to complement flood preparedness measures and reduce the sources of risks that threaten the community. Such a strategy motivated normal community members to 1) initially seek membership in the people’s organization and 2) eventually learn about and participate in flood early warning and response in Barangay Banaba.

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 40

APPENDIX A: List of Interviewees POSITION

ORGANIZATION / PLACE OF RESIDENCE

City Agriculture Officer/ Head of Technical Working Group

City Government of Dagupan/ Project PROMISE

Project Officer

Center for Disaster Preparedness

Project Manager

Project PROMISE- Center for Disaster Preparedness

Managing Director

Center for Disaster Preparedness

Captain/ Chairman

Barangay Government of Mangin

Barangay Worker

Barangay Government of Mangin

Civil Defense Officer

CDRRMC

Head

Buklod Tao Initiative

Livelihood Point Person and Secretary

Buklod Tao Initiative

Treasurer, Health and Relief Officer

Buklod Tao Initiative

Trustee, DRR and Early Warning Officer

Buklod Tao Initiative

Rescuer, Compost Production

Buklod Tao Initiative

Homeowners Association President

Barangay Banaba, San Mateo

Resident (7)

Barangay Banaba, San Mateo

Resident (Host Family)

Barangay Mangin, Dagupan City

Resident (7)

Barangay Mangin, Dagupan City

FOCUS GROUP DISCUSSION AND VALIDATION WORKSHOPS POSITION

ORGANIZATION / PLACE OF RESIDENCE

Barangay Health Workers

Barangay Government of Mangin

Barangay Captain, Council and Staff

Barangay Government of Mangin

Residents

Barangay Banaba

Buklod Tao Members

Barangay Banaba

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 41

REFERENCES Affeltranger, B (2001). Public participation in the design of local strategies for flood mitigation and control. IHP-V Technical Documents in Hydrology No. 48. [Online] http://unesdoc.unesco.org/images/0012/001228/122888eo.pdf Available at: [Accessed on: 20 February, 2012] Alave, K (2011). Philippines ranks third on climate change vulnerability list. Philippine Daily Inquirer. Available at: http://globalnation.inquirer.net/14987/philippines-ranksthird-on-climate-change-vulnerability-list [Accessed on: 20 August, 2012] Arambepola N. (2009). Effective strategies for urban flood risk management. Bangkok: Asian Disaster Preparedness Center. Andjelkovic, I. (2001). Guidelines on Non-Structural Measures in Urban Flood Management. IHP-V, Technical Documents in Hydrology No. 50. UNESCO, Paris, 2001. [Online] Available at: http://unesdoc.unesco.org/images/0012/001240/124004e.pdf [Accessed on: 20 February, 2012] Asian Disaster Preparedness Center (2008a) Cooperation between Local Authority and Communities: Reducing Flood Disaster Risk in Dagupan City, Philippines. Program for Hydro-Meteorological Disaster Mitigation in Secondary Cities in Asia, Safer Cities Case Study No. 16. Asian Disaster Preparedness Center (2008b) Community Based Early Warning System and Evacuation: Planning, Development and Testing. Program for Hydro-Meteorological Disaster Mitigation in Secondary Cities in Asia, Safer Cities Case Study No. 20. Asian Disaster Reduction Center. (2005). Total Disaster Risk Management. [Online] Available at:http://www.adrc.asia/publications/TDRM2005/TDRM_Good_Practices/PDF/PDF2005e/Chapter2_2.2.pdf Burgonio, TJ. (2012) Gov’t OK’s P407B worth of flood control, railway, airport and road projects. Philippine Daily Inquirer. 04 September 2012. Available at: Gov’t OK’s P407B worth of flood control, railway, airport and road projects [Accessed on: 06 September, 2012] Burns, et al. (2002) Auditing community participation- An assessment handbook. [Online]. Available at: http://hls.uwe.ac.uk/research/Data/Sites/1/docs/SOLAR/Auditing CommunityParticipation.pdf [Accessed on: 27 April 2012] Cannon, T (2008). Reducing People’s Vulnerability to Natural Hazards: Communities and Resilience. Research Paper No. 2008/34. UNU-WIDER. Capacity for Disaster Reduction Initiative. (2009) Basics of Capacity Development for Disaster Risk Reduction. [Online]. Available at: http://www.unisdr.org/files/18061_ cadribrochureweb2.pdf. [Accessed on: 27 April 2012]

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 42

Chu, J. (2012) MIT News: More Powerful Devastating Storms To Come Due To Climate Change. MIT News, Quantum Day. [Online] Available at: http://www.quantumday .com/2012/02/mit-news-more-powerful-devastating.html [Accessed on: 20 February, 2012] CGA.

(2003). Participation: A Theoretical Context. [Online]. Available at: http://www.cagconsultants.co.uk/resources/communities/Participation_Theoretical _Frameworks.pdf. [Accessed on: 15 May 2012]

Central Intelligence Agency (2012) The World Factbook: Philippines. [Online]. Available at: https://www.cia.gov/library/publications/the-world-factbook/geos/rp.html. [Accessed on: 15 July 2012] Davis, I. (2004) ‘Progress in Analysis of Social Vulnerability and Capacity’. In G. Bankoff, G. Frerks and C. Hilhorst (eds.) Mapping Vulnerability: Disasters, Development and People. Earthscan, London. Delica, Z. (1999) Citizen’s Participation Towards Safer Communities. [Online]. Available at: http://www.adpc.net/v2007/ikm/ONLINE%20DOCUMENTS/downloads/Zencitizens.pdf. [Accessed on: 05 August 2012] Detheir, J. (2007). Social Security: What can Developing Countries learn from Developed Countries?. [Online]. Available at: http://www.ifpri.org/sites/default/files/publications/oc63ch21.pdf. [Accessed on: 07 August 2012] Esplanada, J. (2012) P352-B flood control plan. Philippine Daily Inquirer. 12 August 2012. Available at: http://newsinfo.inquirer.net/247981/p352-b-flood-control-plan [Accessed on: 05 September, 2012] Foreman, W. (2012). Protecting people from deadly floods, quakes in the Philippines. University of Michigan News Service. [Online] Available at: http://ns.umich.edu/new/releases/20235-protecting-people-from-deadly-floodsquakes-in-the-philippines. [Accessed on: 23 July 2012] Grust, K. Usefulness of early flood warning systems. http://tinyurl.com/gustprep [Accessed on: 15 May 2012]

[Online]. Available at:

Hernando, H. (2010). General Guidelines for Setting-up a Community-based Flood Forecasting and Warning System (CBFFWS). [Online]. Available at: http://kidlat.pagasa.dost.gov.ph/ffb/CBFFWS_Guidelines.pdf [Accessed on: 15 July 2012] Jha, A.,et al. (2011). Cities and Flooding: A guide to integrated urban flood risk management for the 21st century. [Online] Available at: http://www.gfdrr.org/gfdrr/sites/gfdrr.org/files/publication/World_Bank_Cities_and _Flooding_Guidebook.pdf [Accessed on: 21 May, 2012] Kadel, M. (2011) Community Participation in Disaster Preparedness Planning: A comparative Study of Nepal and Japan. . [Online]. Available at: http://www.adrc.asia/aboutus /vrdata/finalreport/maiya2011_fr.pdf. [Accessed on: 21 June 2012]

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 43

Kafle, S. and Murshed, Z. (2006). Community-Based Disaster Risk Management for Local Authories. [Online] Available at: http://www.adpc.net/pdrsea/pubs/curriculumcbdrm.pdf [Accessed on: 28 June 2012] Kweit, M. & Kweit, R. (2004) Citizen Participation and Citizen Evaluation in Disaster Recovery. The American Review of Public Administration 2004 34: 354. [Online]. Available at: http://arp.sagepub.com/content/34/4/354. [Accessed on: 21 May 2012] Legard, R. et al (2003) In-depth interviews. In: Ritchie J & Lewis J. (2003) Qualitative Research Practice- A guide for Social Sciences Students and Researchers. London: Sage Publications, 138-169 Lewis, J. (2003) Design Issues. In: Ritchie J & Lewis J. (2003) Qualitative Research Practice- A guide for Social Sciences Students and Researchers. London: Sage Publications, 47-76 Ludy, J. & Kondolf G (2011). Flood risk perceptions in lands “protected” by 100-year levees. [Online] Available at: http://www.floods.org/acefiles/documentlibrary/Hot_Topics/LudyKondolf 2012_FloodRiskPerceptionPaper.pdf [Accessed on: 10 August 2012] Mata, V. (2009) Barangay Mangin, Dagupan City: A Model Community for Disaster Risk Reduction and Management. Mathbor, G. (2007). Enhancement of community preparedness for natural disasters: The Role of Social Work in building social capital for sustainable disaster relief and management. International Social Work 2007 50: 357. [Online] Available at: http://isw.sagepub.com/content/50/3/357. [Accessed on 20 May 2012] Mathbor, G. (2008). Effective Community Participation in Coastal Development. McBean, G. & Rodgers, C. (2010). Climate hazards and disasters: the need for capacity building. Advanced Review. Volume 1, November/December 2010. John Wiley & Sons, Ltd. Milne, J (1997). Questionnaires: Some Advantages and Disadvantages. [Online] Available at: http://www.icbl.hw.ac.uk/ltdi/cookbook/info_questionnaires/printable.pdf [Accessed on 10 August 2012] Motoyoshi, T. (2006) Public Perception of Flood Risk and Community-Based Disaster Preparedness. A better integrated management of disaster risks: Toward resilient society to emerging disaster risks in mega-cities, Eds., S. Ikeda, T. Fukuzono, and T. Sato, pp. 121–134. [Online] Available at: http://www.terrapub.co.jp/elibrary/nied/pdf/121.pdf. [Accessed on 20 April 2012] Motoyoshi, T. (2007). Public Perception of Flood Risk in Mega Cities: What motivates Residents to Participate in Resident-based Flood Risk Management Systems? National Research Institute for Earth Science and Disaster Prevention. [Online]. Available at: http://www.iiasa.ac.at/Research/RMS/dpri2002/Papers/motoyoshippt.pdf. . [Accessed on 20 July 2012] Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 44

Murase, M., et al (2008) Management.

Organizing Community Participation for Integrated Flood

National Disaster Risk Reduction and Management Council (2012). Situational Report No. 47 re Effects of Tropical Storm "Sendong" (Washi) and Status of Emergency Response Operations. [Online]. Available at: http://www.ndrrmc.gov.ph/attachments /article/358/NDRRMC%20Update%20SitRep%20No.47%20re%20Effects%20of%20TS %20SENDONG%20as%20of%2026%20Jan%202012.pdf [Accessed on 16 May 2012] National Economic and Development Authority (2011). Philippine Development Plan 20112016. Online] Available at: http://www.neda.gov.ph/PDP/20112016/infrastructure.pdf. [Accessed on 20 July 2012] Neussner, O. (2008) Using Geoinformation Technology for the Establishment of a Local Flood Early Warning System. Second International Conference of Geoinformation Technology for Natural Disaster Management and Rehablitation, December 01-02, 2008, Bangkok, Thailand. Online] Available at: http://www.planetaction.org/automne_modules_files/polyProjects/public/r3109_93_olaf_neussner_all en_molen_thomas_fischer_conference_bangkok_dec08.pdf. [Accessed on 20 July 2012] Nilo, et al (2006). Taking up Flooding through a Community-based Early Warning System. http://www.adpc.net/v2007/eLIB/Library-files/CRM/CFAOnline] Available at: OFDA-2007-119/CBFEWS_adpc-eLIB=119.pdf. [Accessed on 20 July 2012] Phaiju, A. (2010). Establishing Community-Based Early Warning System- Practitioner’s Handbook. Mercy Corps and Practical Action 2010. [Online] Available at: http://www.preventionweb.net/files/19893_19866cbewspractionershandbooktraini .pdf [Accessed on: 08 August 2012] Patton, M. Q. (1990). Qualitative Evaluation and Research Methods (2nd ed.). Newbury Park, CA: Sage Publications, Inc. Perez, R.,et al (2007). Community-based flood early warning system. Briefing Paper: Workshop on The science and practice of flood disaster management in urbanizing Monsoon Asia/ 4-6 April 2007, Chiang Mai, Thailand. [Online] Available at: http://www.sea-user.org/download_pubdoc.php?doc=3439. [Accessed on 28 June 2012] Porcil, Josefina. (2009). Philippine Country Profile 2009. [Online] Available at: http://www.adrc .asia/countryreport/PHL/2009/PHL2009.pdf [Accessed on 24 July 2012] Pretty, J. et al (1995). Participatory Learning and Action: A Trainers Guide. IIED Participatory Methodology Series. Rahman, A. (2005). Effective Participation: Community Engagements in Participatory Budgeting in Bangladesh. [Online]. Available at: http://www.engaging communities2005.org/abstracts/Rahman-Atiur-final.pdf. [Accessed on: 27 April 2012]

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 45

Relief Web. (2008). Glossary of Humanitarian Terms. [Online] Available at: http://www.who.int/hac/about/reliefweb-aug2008.pdf [Accessed on: 20 May 2012] Ritchie J & Lewis J. (2003) Qualitative Research Practice- A guide for Social Sciences Students and Researchers. Sene, K. (2008). Flood Warning, Forecasting and Emergency Response. Springer. United Kingdom. Spencer L. et al (2003) Analysis: Practices, Principles and Processes. In: Ritchie J & Lewis J. (2003) Qualitative Research Practice- A guide for Social Sciences Students and Researchers. London: Sage Publications, 199-218 United Nations International Strategy for Disaster Reduction (2002). Guidelines for Reducing Flood Losses. Online] Available at http://www.unisdr.org/files/558_7639.pdf [Accessed on: 29 July 2012] United Nations International Strategy for Disaster Reduction (2005a). Hyogo Framework for Action for 2005-2015. [Online] Available at: http://www.unisdr.org/2005/wcdr/ intergover/official-doc/L-docs/Hyogo-framework-for-action-english.pdf. [Accessed on: 20 May 2012] United Nations International Strategy for Disaster Reduction (2005b). Four Elements of People Centered Early Warning Systems. UN-ISDR/Platform for the Promotion of Early Warning. [Online] Available at: http://www.riskinstitute.org/ peri/images/file/PERI_Symposium_UNISDR.pdf. [Accessed on: 20 May 2012] United Nations International Strategy for Disaster Reduction (2006). Global Survey of Early Warning Systems- An assessment of capacities, gaps and opportunities towards building a comprehensive global early warning system for all natural hazards. [Online] Available at: http://www.unisdr.org/2006/ppew/info-resources/ewc3/ Global-Survey-of-Early-Warning-Systems.pdf [Accessed on: 09 May 2012] United Nations International Strategy for Disaster Reduction. (2009). 2009 UNISDR Terminology on Disaster Risk Reduction. [Online]. Available at: http://www.unisdr.org/files/7817_UNISDRTerminologyEnglish.pdf. [Accessed on: 20 April 2012] United Nations International Strategy for Disaster Reduction. (2010). Early Warning Practices can Save Lives: Selected Examples, Good Practices and Lessons Learned. [Online]. Available at: http://www.unisdr.org/files/15254_EWSBBLLfinalweb.pdf. [Accessed on: 20 April 2012] United Nations International Strategy for Disaster Reduction. (2011). UN disaster reduction champion calls for integrated flood response in Philippines. [Online]. Available at: http://www.un.org/apps/news/story.asp/www.unaids.org/en/html/story.asp?NewsI D=39960&Cr=unisdr&Cr1= [Accessed on: 15 June 2012] United Nations International Strategy for Disaster Reduction. (2012). Evidence. Monthly UNISDR NewsletterIssue 04-. [Online]. Available at: http://www.unisdr.org/files/24837_201201.pdf. [Accessed on: 06 July 2012] Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 46

United Nations International Strategy for Disaster Reduction and United Nations Office for Coordination of Humanitarian Affairs. (2008). Disaster Preparedness for Effective Response: Guidance and Indicator Package for Implementing Priory Five of the Hyogo Framework. United Nations secretariat of the International Strategy for Disaster Reduction (UN/ISDR) and the United Nations Office for Coordination of Humanitarian Affairs (UN/OCHA). [Online]. Available at: http://unocha.romenaca.org/Portals/0/Docs/Disaster-Preparedness-for-EffectiveResponse[1].pdf [Accessed on: 19 April 2012] Victoria, L. (2006). Community-Based Approaches to Disaster Mitigation. [Online]. Available at: http://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN009661 .pdf. [Accessed on 12 March 2012] Wilcox, D. (1994). Community Participation and Empowerment: Putting theory into practice. RRA Notes (1994), Issue 21, pp.78–82, IIED London. [Online]. Available at: http://pubs.iied.org/pdfs/G01549.pdf. [Accessed on 12 April 2012] World Bank. (2002). Empowerment and Poverty Reduction- A soucebook. [Online]. Available at: http://siteresources.worldbank.org/INTEMPOWERMENT/Resources /486312-1095094954594/draft2.pdf. [Accessed on 12 May 2012] World Bank Institute. (2003). Comprehensive Disaster Risk Management Framework (CDRMF) Course: Technical Glossary. Natural Disaster Risk Management Program (NDRMP). WEBSITES http://noah.dost.gov.ph/; http://upload.wikimedia.org/wikipedia/commons/thumb/2/24/Ph_locator_rizal_san_mate o.png/250px-Ph_locator_rizal_san_mateo.png http://newsinfo.inquirer.net/wp-content/blogs.dir/10/files/2012/08/Dagupan-City-map.jpg

Lopez, Irwin Gabriel

(OCHA Humanitarian Research and Innovation Grant Program)

Page 47