Presentation at the Hudson Valley Roundtable, July 2013.

1. Community Adaptation to Flooding in a
Changing Climate: Assessing Municipal
Officials’ Actions, Decision-Making, and
Barriers
Gretchen Gary and Shorna Allred, PhD
Human Dimensions Research Unit
Department of Natural Resources

2. Overview
• Introduction
• Theoretical Framework
• Research Questions
• Methods
• Results
• Educational Program Evaluations
• Conclusions

3. Climate Change and Flooding
FEMA – June 2013
• Areas in the US at risk for flooding will
increase 40 – 45% by 2100
• 70% of the increased risk is attributed to
climate change
• Could double the number of properties
covered by FEMA (~5.5 - ~11 billion)

4. Climate Change and Flooding
New York State
• Rising temperature, changes in precipitation
frequency & intensity, higher sea level (Rosenzwieg
et al. 2011)
• Local differences in climate change (Rosenzwieg et
al. 2011)
• Land-use patterns affect flooding in NY (Kneupfer
and Montz 2008)

5. Orange
Ulster
Rockland
Putnam
Albany
Schoharie
Greene
The Hudson Valley
& the Hudson River
Estuary

6. Recent Extreme Events in the Hudson
Valley
• August 2011
Hurricane Irene
• September 2011
Tropical Storm Lee
• October 2012
Hurricane Sandy
Photo: NOAA Environmental Visualization Lab

7. Hurricane Irene 2011
Phoenicia, NY
Photo: Ivan LaJara
Rifton, NY
Photo: Imgur
Middleburgh Valley Schoharie County
Daily Gazette, August 29, 2011

8. Tropical Storm Lee
Just days after Irene
New Paltz, NY
Photo: Katy Silberger/Foter.com/CC BY-NC-SA
Highland, NY
Photo: Steve Borland/Times Herald-Record

9. Hurricane Sandy
2012
Piermont, NY Photo: John Meore/for the Journal News
Sources: CBS News, NBC News, Staten Island Advance, Transportation Nation; via
Huffington Post

10. Importance of Local Government
• Municipalities control local
energy use, infrastructure,
planning, and land use
decisions.
• Important to understand
motivation for actions for &
what actions are being
taken

11. Understanding
Problem Detection:
Recognize flood
vulnerability
Vulnerability: Determine
who/what is affected &
how
Redefine Problem: After
a flood, re-evaluate
concerns & vulnerability
Develop Options:
Examine current/past
behaviors; gather
information for future
options
Assess Options:
Develop a flood plan for
adaptation, preparation,
&response
Select Options:
Determine how local
flooding will be
addressed
Planning
Implement Options:
Implement selected
actions
Monitor: Monitor
effectiveness of actions
& environmental effects
Evaluate: Evaluate plan
& implementation
Managing
Adapted from
Moser and
Ekstrom 2010

12. Common Barriers to Municipal Officials Understanding,
Planning, and Managing for Flooding
As Identified in the Literature
Phase of Adaptive Cycle Barrier
Understanding
Disconnect among decision makers and local
observations and experiences (local knowledge)1,4,5,6,7
Understanding & Planning
Lack of knowledge, access to information, and
consensus regarding flood issues and options1,2,3
Understanding & Planning Flood planning is low priority1,7, 12
Planning
Lack of responsibility for, or control of, floods and
planning1,4, 5, 8, 9, 10
Planning & Managing Limited funding or other resources1,2, 5, 10, 11
Planning & Managing
Political agenda or legal issues do not allow for flood
adaptation1,8, 14
Managing
Lack of planning leading to reactionary responses
(insufficient structural solutions, hasty recoveries)3, 4, 5, 9
1Moser and Eckstrom 2010, 2Mullen et al. 2012, 3Storbjörk 2007, 4Glaas et al 2010, 5Naess et al. 2005, 6Schelfaut et al. 2011,
7Tryhorn and DeGaetano 2011. 8Betsill 2001, 9Blomquist and Schlager 2005, 10Wilson 2006, 11Wheeler 2008, 12Andrew 2012,
13Stevens et al. 2008, 14Doolittle 2003

13. Research Questions
1. What barriers do local municipal officials encounter or
perceive in the “understanding, planning, and managing”
phases of adaptation to flooding?
2. At what stage in the process are municipal officials, and
during what phase(s) do they encounter the most barriers?
3. Which barriers to flood adaptation have municipal officials
overcome and what actions are being taken?
4. What do municipal officials still need in order to address
flooding?

14. Methods
1. CCE educators were trained in interview
methods & IRB protocol and helped to conduct
in-depth interviews (n = 36)
2. 10 counties in Hudson Valley, NY watersheds
3. Municipal officials with responsibility for flooding
in the community
4. Interviews conducted in person (n=33) or by
phone (n=3), digitally recorded, & transcribed
5. Analyzed using thematic coding in Atlas.ti

15. Interview
Participants &
Study Area
Position
# of
Interviews
Town Supervisor 20
Highway officials 7
County officials 5
Mayor 2
Other position 3
TOTAL 37
Orange
Ulster
Rockland
Putnam
Albany
Schoharie
Greene
n=1
n=2
n=3
n=2
n=3
n=4
n=5
n=5
n=5
n=6
65% of participants had
previous education or training
related to flooding

16. Results
1. Observations of climate change
2. Flood adaptation process
3. Barriers to flood adaptation
4. Actions for flood adaptation
5. Needs

17. Results
Municipal Officials Observations of
Climate Change
Weather
% officials
observed
change
Extreme events
76%
Local differences
24%
Precipitation
22%
Unsure
19%
No changes observed
8%
Temperature
8%
“I guess with the topography
that we have here, with the
weather pattern changing and
getting more extreme, it’s kind
of more of the same so these
aren’t new, we’re…not seeing
the type of events that would
force us to change what we’re
doing...” - Town Supervisor

18. Results
Observations of Climate Change
“The weather changes, the pattern changes the
last…10 years or so, obviously it’s getting more
and more severe almost every year and that’s not
a political statement, it’s a reality.” - Town
Supervisor
“It’s definitely extreme weather. It has created
some circumstances.” - Town Supervisor

19. Results
Flood adaptation process
53%
42%
5%
Understanding Planning
Managing
54%
44%
2%
Stage of Adaptation Process Barriers per Adaptation Stage

20. Results
Barriers to taking action
3%
3%
11%
14%
24%
30%
46%
46%
51%
59%
62%
68%
81%
86%
None perceived
Topography
Lack planning
Lack technical support
Lack time
Lack communication
Lack personnel
Attitudes of public
Lack local support
Limited resources
Lack knowledge
Lack control
Gov't regs & processes
Lack money
% of municipal officials that identified the barrier
Barriers

21. Results
Barrier: Lack of money
“Money. It all boils down to economics. We
know what we should do. We don’t know
that we can do it. Sometimes one has to
rely on a band-aid of sorts.” – Highway
Superintendent

22. Results
Barrier: State & Federal Government
regulations & processes
“Most of the stuff [for stream management]
you need a permit and the process of
getting a permit is, you know, we’re going to
have 10 storms before we get one permit” –
Town Supervisor

23. Results
Barrier: Perceived lack of control
“A lot of the damage was so devastating at the last
one some of the residents in frustration just
wanted to blame us. We didn’t do enough, we
didn’t help them and the reality is, I don’t know
what I can do for you in a tidal Hudson River event
and I don’t think it’s fair that you publically lambast
me for not helping you when there’s nothing I can
do for you and post-storm, I don’t know what I can
do for you.” – Mayor

24. Results
Taking Action
Photo: Hans Pennink, Associated Press)
Rock vein used to protect a stream bank

25. Results
Taking Action
19%
22%
24%
24%
27%
30%
30%
49%
51%
65%
73%
Public education
Structural defense
Maintain infrastructure
Stream management
Vulnerability study
Hazard mitigation
Improve infrastructure
Dredging
Flood planning
Communication
Emergency Planning
% of municipal officials who have utilized the action
Action

26. Results
Action: Emergency Planning & Response
• Emergency planning or response is the most
utilized action related to flooding
• Communication & cooperation are essential tools
for effective emergency response
• Necessary for immediate public safety
• Those who had emergency plans more likely
express the desire for flood planning and
monitoring efforts

27. “Oh the town has an extensive emergency preparedness system
in place with our emergency management officer and the police
department coordinating pre-storm preparations in some of these
areas. Our emergency operations center will be activated in many
instances prior to severe storm forecasts and then mobilizes our
highway department, our recreation and parks department, all
available staff, my department, the supervisors, the controllers
and purchasing departments that coordinate preparations and
reactiveness to various storm or flooding events.” - Deputy
Director, Dept. of Environmental Control
Results
Action: Emergency Planning & Response

28. Results
Action: Communication & Cooperation
• Necessary for implementing emergency flood
response
• Stronger efforts for flood planning or zoning
through professional exchanges and
community involvement
• Allows for informal, community-wide,
monitoring of streams and storm damage

29. “Well we communicate. You know, we
communicate with other supervisors and
mayors... We coordinate with each of [our 3]
villages. I also communicate with neighboring
supervisors and we exchange ideas and things
that we’re doing. Sort of in an informal manner
outside of… [the] formal process of dealing with
those issues.” – Town Supervisor
Results
Action: Communication & Cooperation

30. Results
Action: Flood Planning & Zoning
• Effective planning takes the effort of community-
wide cooperation
• Flood planning occurs when municipal officials
have concerns related to lack of planning,
infrastructure damage, private property
vulnerability, and runoff
• Understanding the weather is changing drives
some officials to initiate flood planning

31. Part of our zoning allows wetlands to be
considered as part of the open space. And always
people react to that to say why are we, you can’t
do anything with wetlands but the point is, it gives
them added protection and they act as what they
were intended to be, which is an aquifer recharge
and a storm water holding entity. So our zoning
actually, I think, helps mitigate some of it. – Town
Supervisor
Results
Action: Flood Planning & Zoning

32. Results
Action: Vulnerability Assessment
No
73%
Yes
27%
“You want to see it [flooding] when it’s happening to find out what
the reason is. The other thing we do is take a lot of pictures so I
do a project down the road I have a file of pictures before… so we
know what to do as an historical perspective.” – County Official

33. Results
Future Options & Alternatives
11%
16%
16%
19%
22%
22%
24%
30%
32%
49%
62%
89%
Dredging
Hazard mitigation
Stream monitoring
Structural defenses
Emergency planning
Vulnerability assessment
Public education
Maintain infrastructure
Communication
Stream management
Flood planning
Improve infrastructure
% of officials who identified the option
Options/Alternatives

34. Results
What might facilitate action
8%
8%
8%
11%
11%
11%
14%
17%
22%
28%
33%
Money
Local knowledge
Flood planning resources
Communication resources
None perceived
Understand floods & streams
Technical assistance
Help navigating gov't policies
Assistance to community
Partnerships or cooperation
Info on local climate & floods
Needs
% of officials who identified the need

35. Educational Program Evaluation
• 2 workshops for highway personnel (n=23, n=27)
• Focus on proper post flood stream intervention
Toe wood structure under construction to
protect eroding stream bank.
Channel dimensions restored with
floodplain access.

36. Channelized stream with gravel berms.
Stream before (L) and after (R) channel straightening

37. 0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Greene County Dutchess County
PercentCorrect
Workshop
Pre test
Post test
F = 0.265
p = 0.01
F = 0.804
p = 0.01

38. Greene County
Disagree Neutral Agree
My municipality is well prepared for floods. 40% 52% 8%
I am aware of green infrastructure techniques in my
municipality. 29% 38% 34%
Most streams with flood damage require human
intervention.
36% 16% 48%
Dutchess County
Disagree Neutral Agree
My municipality is well prepared for floods. 28% 20% 40%
I am aware of green infrastructure techniques in my
municipality. 25% 25% 42%
Most streams with flood damage require human
intervention. 56% 8% 20%
Post-workshop Evaluation Questions

39. How useful was the content of this
training to you?
0%
20%
40%
60%
80%
100%
Greene
County
Dutchess
County
I plan to implement the stream
management techniques
recommended in this workshop
0%
20%
40%
60%
80%
100%
Greene
County
Dutchess
County
% “Very Useful” % “Agree” or “Strongly Agree”
Post-workshop Evaluation Questions

40. Future Needs Assessment
Riparian Landowners
• Survey to be mailed to a random sample of
riparian landowners in fall 2013
• Collect information on the current, past, and
expected stream management/land use
behaviors
• Information collected will inform future
landowner education

41. Summary
• Climate change will alter flood patterns
• Flood adaptation includes understanding, planning, &
managing
• Most municipal officials are in the understanding phase
• Common barriers are government policies and regulations
and lack of money, knowledge, or control of the situation
• Officials take some actions to address flooding
• Officials need information on local effects & forming/
sustaining partnerships
• Educational programs effectively increase knowledge

42. Conclusions
• Local governments are first responders for
flooding in small communities
• Municipalities in the Hudson Valley are not well
prepared for floods in the changing climate
• Municipal officials recognize planning as an
important action to take but face many barriers
• Partnerships and collaboration are important tools
for effective flood planning and response

43. Conclusions
• Municipal officials need to understand local
climate effects, proper post-flood stream
response, green infrastructure, and how to
navigate available resources
• Workshops are effective tools and can help
municipal official push past the barriers in
the understanding phase

44. Next Steps
• Design and utilize resources for modeling
local climate
• Facilitate partnerships among municipalities
• Continue educational programs for
municipal officials and the public

45. Acknowledgements
• NYSDEC Hudson River Estuary Program
• Interview and evaluation participants
• Cornell Cooperative Extension Educators
• The Project Team

46. Contact Information
Gretchen Gary
glg58@cornell.edu
Shorna Allred, PhD
srb237@cornell.edu