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Managing Information and Information-Related Technology: Enabling Decision-Making in Flood Management

1Siti Sarah Maidin, 2Marini Othman, 3Mohammad Nazir Ahmad, 4Noor Habibah Arshad 1. ICT Department, Centre for Foundation Studies IIUM, 46350 Petaling Jaya, Selangor,

Malaysia, [email protected] 2. College of Information Technology, UNITEN, Jalan IKRAM-UNITEN, 43000 Kajang,

Selangor, Malaysia, [email protected] 3. Faculty of Computing, Universiti Teknologi Malaysia (UTM), 81310 Skudai, Johor,

Malaysia, [email protected] 4. Faculty Computer and Mathematical Sciences, UiTM, 40450 Shah Alam, Selangor,

Malaysia, [email protected]

Abstract It is recognized that Malaysia must establish effective flood management (FM) practices in order to

reduce the impact of disasters upon the country’s economic development and growth. This article seeks to examine the non-structural aspects of FM. To date, governance has been identified as a crucial element by which to drive effective management of floods. The aim of this paper is to, namely: identify the current governance structure in the implementation of FM; identify the challenges in the current structure and propose a governance framework to oversee FM. The framework is designed to be constructed based on the analysis of current good practices which address issues surrounding FM. It is also based on a study conducted on the situation and status of the Malaysian flood governance and FM, specifically: its governance of agencies involved; coordination and interactions between the agencies; as well as the gathering and storage, controlling and monitoring, use, managing and sharing of information. A case study based on FM agencies in Malaysia which focused on their activities and interaction is presented in an attempt to lend understanding to the FM situation in Malaysia. A framework based on COBIT is justified as being suitable based on the gaps and challenges identified in the case study. It is hoped that further efforts will be channeled towards improving the framework.

Keywords: Non-structural measures, Governance, Malaysia, Hyogo, USACE, BSC, COBIT 5

1. Flood in Malaysian Context

Malaysia is faced with the prospect of recurring floods due to the geographic location of the country. This hazard has caused disruption to the country’s operations and economy, as well as claiming properties and lives. One of the most unforgettable floods is that which took place in 1926. It is considered as being the worst flood to have affected Peninsular Malaysia, causing damages to property, livestock, road systems, as well as agricultural land and crops [1]. The flood of 1996, which is regarded as the worst flood within 100 years, hit the country between 19-27 December and 13-20 January. It affected the regions of Johor and Melaka generally, as well as Batu Pahat and Segamat. The disaster resulted in the following consequences: 17 deaths; displacement of 137,533 people; damage to 800 houses and 52,000 hectares of agricultural land [2]. The 2008 flood in Johor resulted in 18 deaths and an estimated damage of USD 489 million [3]. The catastrophic floods of 2010, 2011, and 2012 which caused massive damages in many major cities in South East Asia did not spare Malaysia. The recent monsoon, spanning from October 2012 to March 2013 alone, resulted in multiple flash floods in Klang Valley, Penang, Terengganu, Pahang, Kelantan, Johor and Selangor [4][5] respectively. It is expected that the flood situation will only progressively worsen [6][7][8].

In Malaysia, monsoon floods and flash floods have been identified as the most severe of climate-related natural disasters [9]. On average, these types of floods cause damages in the vicinity of RM 915 million and have directly affected approximately 4.82 million people) [9]. The frequency of flood events, as well as the resultant damages, has increased due to the effects of global warming. Flood can

Managing Information and Information-Related Technology: Enabling Decision-Making in Flood Management Siti Sarah Maidin, Marini Othman, Mohammad Nazir Ahmad, Noor Habibah Arshad

International Journal of Digital Content Technology and its Applications(JDCTA) Volume8, Number2, April 2014

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be defined as a body of water, rising, swelling and overflowing land not usually thus covered [10]. Based on research by [10], several factors have been identified as the main contributors towards floods. These include: heavy rain, as well as disposal of waste materials into rivers and land clearance sediments. In Malaysia, the term flood can be categorized into, namely: monsoon flood, flash flood and tidal flood [10]. As a result of extreme monsoon rains in Malaysia, riverine floods are common in Kuala Lumpur and Klang Valley [11]. Flood risk, exposure and vulnerability are increasing in Malaysia as the country rapidly develops and pushes towards industrialization [12]. It has been noted that flood damage can be high in an area having large population such as Kuala Lumpur, due to urbanization factors [13]. According to [1], rapid urbanization was the main reason for flood occurrences in cities such as Kuala Lumpur, Penang and Kuching. Flood is a natural disaster which can provide both positive and negative impacts upon economic growth in Malaysia. The positive impacts can be defined as, specifically: improvement to the biodiversity industry and an increase in the quality of agricultural land by refilling the soil with nutrients. Conversely, the negative impacts include: destruction of properties such as houses and buildings, in addition to the large amounts of money needed for the recovery process [10].

As a response to the flood situation, the Malaysian government has intensified its efforts to have

effective flood mitigation measures in place. However, research by [28] raised concerns that the FM process in Malaysia (like the flood management procedures in many parts of the world) is chaotic and extremely complex in nature. It raised the need for proper governance to be in place in the form of clear operating procedures, governance structures, activities and information-related needs in Flood management respectively. 2. Methodology

This research has directed its review on current governance structure in FM through case studies

conducted in several FM agencies. The case studies have been constructed through interviews and reviews of agencies participating in flood mitigation and relief efforts. Through the case study, the challenges faced and areas of improvement needed by the Malaysian government in relation to its FM practices are identified. The research examines the established framework to determine solutions in addressing the identified challenges in FM governance. Emphases were given to the review and analysis of, specifically: the U.S. Army Corps of Engineers (USACE), Hyogo Framework, Balance Scorecard (BSC) and Control Objective for Information and Related Technology (COBIT) 5 management and governance framework. Based on the frameworks identified, suitable recommended FM governance will be proposed to overcome challenges identified in the case study. Figure 1 illustrates an overview of the research design in the study.

Figure 1. Research Design


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3. Flood Mitigation

Flood Mitigation can be seen as having two parts, which are, namely: Structural-based measures and Non-Structural-based measures. The former comprises hard, physical tools; whilst the latter takes shape in the form of directives, policy, roles and responsibilities, legislation and administration. 3.1. Structural measures

Several structural and non-structural measures have been adapted as a prevention mechanism by which to overcome flood situations. Structural measures focus on construction of structural mechanisms to control flooding; while non-structural measures focus on technology, policy, guidelines and humanitarian aid in flood events, as well as assistance provided to flood victims. Hence, it can be seen that structural measures and non-structural measures complement each other. A study by [14] has conducted research on several structural measures implemented in Malaysia. Examples of structural measures include: river improvements, embankments, tidal gates, retention ponds, multipurpose dams, urban drainage, diversion/relief channels, underground drainage, installation of water pumps, and construction of flood-proof buildings [14]. 3.2. Non- structural measures

Non-structural measures include: aspects of legislation, gazettement of forest reserves, river reserves and parks, placing a freeze on all development of hill land, public education and awareness, relocation of riverine communities, green belts, implementation of macro EIAS, as well as improvement of flood forecasting and warning systems. However, according to [15], effective implementation of non-structural issues faced some constraints due to political and economic considerations. Based on research conducted by [16], culture can be seen to play a vital role in disaster management. Hence, lack of understanding of culture by governments leads to ineffective addressing of disaster management among the local community. Legislation refers to the action of using laws as a flood management measure. Examples of laws comprise: The Land Conversation Act 1960, the Drainage Works Ordinance and Building Act 1974, Mining Enactment 1929, Irrigation Areas Ordinance, and the Housing Development Act (Licensing and Control) 1965. However, these acts have all failed to address flood protection and control [17]. The following figure (Figure 2) depicts non-structural measures.

Figure 2. Non-Structural Measures (Adapted from [8])

The gazettement of Forest Reserves, River Reserves and Parks needs to be emphasized as one of

the flood control measures necessary to preserve existing forests, rivers and parks. In addition to that, there should be an implementation made to freeze all developments of hill land either for housing, agriculture or any other activities perceived as presenting a danger, in order to prevent flood occurrence. Penalties should be imposed for any illegal activities involving hill slopes.


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A Public Education and Awareness Campaign is one of the measures designed to educate the public to be aware of and respond to the flood warning system. Campaigns emphasizing flood awareness, preparedness, warning and evacuation programmes should be held regularly for the public so that they may be equipped with flood response knowledge. The government can play a vital role by broadcasting information related to flooding by using television, radio or social media sites such as Facebook.

Relocation of riverine communities is a significant aid for flood control measures. However, this has been hampered due to a delay in accomplishing flood mitigation tasks because of relocation problems of the affected residents. Gazettement of Green Belts should be imposed and it ought to be compulsory for developers to ensure that they reserve 30% of the developed areas for parking purposes and preserving vegetation [18]. Thus, the developers need to plant trees in unoccupied areas of the development area.

Macro EIAs (Environmental Impact Assessment) is another alternative method which can be used as a flood control measure. It is a study of the effect of the proposed project upon the environment. Governments can play a vital role in EIAs by supporting the setup of the EIA consultant to enable monitoring and provide advice to the developers.

Improvement of the existing flood forecasting system needs to be undertaken to ensure that the Malaysian Flood forecasting system is on par with that of other countries. The current problem with the existing flood forecasting system is that it only detects rainfall when it reaches a certain pre-determined point at the river level stations. Thus, there is not enough time to alert the public about an impending flood occurrence. Therefore, room for improvement is needed to create an effective flood forecasting system. An improved real time flood forecasting system is one which is equipped with radar and satellite using computer modeling to estimate rainfall data before it reaches the ground and river so that there is sufficient time to alert the public. In spite of that, a flood warning system also needs to upgrade due to the fact that it is currently not a proactive tool which can respond quickly to flood control measures.

Innovative measures implemented by local communities such as Rumah Rakit or “Raft Houses”, Sampan, and Tangga Krai or Krai steps help to reduce the impact of floods [18]. Rumah Rakit or “Raft Houses” were measures taken to build houses on the river; hence, these houses are safe during minor floods, however they are not safe during heavy flooding [18]. Similarly, Sampan is a medium by which flood victims are transferred from affected areas to safety by paddling downstream. This is also a sign to other villagers that the river in the village has reached a critical level indicator. Before the innovation of artificial ponds by engineers, villagers had started to create traditional retention ponds such as school fields, fish ponds and man-made lakes in an effort to prevent the risk of downstream flooding [18]. Tangga Krai is a series of man-made steps created as an indicator for the river level status, according to the number of steps reached.

4. Flood Cycle

Typically, governance of FM is divided into two areas, specifically: Flood Risk management (FRM) and Flood Management (FM). FM concerns the decision-making process in FM issues, while FRM relates to the lifecycle of managing floods, as illustrated in Figure 3. Prevention, Mitigation and Preparedness are the phases involved before the occurrence of flooding; while Response, Recovery and Development are phases which typically occur after a flood. Each of the phases consists of a series of actions. Prevention is related to the set of action plans aiming to obstruct the occurrence of the disaster which threatens the local community. Mitigation involves actions taken to minimize the impact of the disaster towards the community by the implementation of structural and non-structural measures. The Preparedness stage is concerned with the set of actions to be taken by all agencies involved during a disaster event, including government and non-government agencies. The Response stage deals with the action plan to be enacted during the event occurrence and aims to save human life and property. The goal of the Recovery stage is to restore normal life to the affected community members. This process may take about 5-10 years [19] depending on the scale of the disaster. The last stage is the development process which concerns the lessons learnt during the disaster. It also comprises documentation of past experiences in order to improve the plan of action in preparation for the next disaster.


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Figure 3. Flood Cycle Figure 4 illustrates the proposed activities in each of the pre-disaster, disaster and post-disaster phases in flood mitigation practices in Malaysia [20]. A more detailed set of flood mitigation phases which associate the participating agencies responsible for the implementation and execution of roles and activities are described in Table 1[19]. The table conveys the importance of clear governance elements (roles, tasks and activities) in flood mitigation undertakings. Agencies at different levels (National, State and Local) are responsible for diverse levels of governance and management. These range from high level activities such as development and monitoring of policies (National), adoption, enforcement and operation (State) to execution at community level (Local).

Figure 4. Flood Activities

4.1. Prevention

Activities in the prevention phase are categorized into three hierarchical levels, namely: national, state and local. The difference lies in the fact that the ownership and development of policies are solely the responsibility of those at the highest levels. The table below provides details of roles, tasks, and activities involved in flood mitigation.


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Table 1. Roles/Tasks/Activities in Flood Mitigation according to phase and level

Roles/Task/Activities

Prev

enti

on p

hase

Nat

iona

l lev

el

Development of National Policy involving ministries and other relevant agencies Enforcement of Legislation Preparation of guidelines and procedures to conduct assessment and monitor disaster vulnerability in

the identified disaster location and identified local community Data collection and analysis of information based on risk assessment of hazards resulting in

provision of feedback, comments, advice and consultation regarding the matters arising in the hazardous location and determining methods to solve arising matters

Conduct training and assist states to plan and organize a State Disaster Action Plan Operate a Crisis Control Centre and ensure the existence of a communication channel Develop a training module and educational resources so as to prepare an identified high risk target

group of local community members Maintain a relationship with Local and International NGO’s who are involved with relief and

response operations

Sta

te le

vel

Adopt the developed National Policy on Disaster Management Enforce legislation produced Assist in the preparation of guidelines and procedures to conduct assessments and monitor disaster

vulnerability in the identified disaster locations and within the identified local community Ensure data collection and analysis of information based on risk assessment on hazards are

conducted regularly Assume responsibility for providing feedback, comments, advice and consultations in relation to

matters which arise pertaining to hazardous areas and determine a mechanism to solve it at the state level

Conduct training and assist the states to plan and organize an appropriate Local Disaster Action Plan Operate a Crisis Control Centre and ensure that all the communication channels are functioning Assist in the development of a training module and educational resources in order to prepare the

identified high risk target group of local community members Maintain a relationship with Local and International NGO’s involved with the relief and response

operation

Loc

al le

vel

Execute hazard analysis testing and risk assessment at the local level Confirm that plans of action for a disaster event are available for high risk disaster-prone areas Monitor a hazardous area and carry out regular surveillance Ensure compliance with the law by enforcement of necessary regulations Construct a public awareness campaign and conduct training on disaster evacuation and a rescue

plan for the public Encourage the public to instigate their own disaster training program Support the public in coordinating meetings, discussions and dialogues relating to disaster

preparedness and response plans 4.2. Mitigation

Mitigation can be identified as a programme relevant at the national and local levels only. It mainly focuses on the activities of monitoring and ascertaining the progress of implementation of mitigation measures. The following table provides a comprehensive list of activities that take place during mitigation.


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Mit

igat

ion

phas

e

Nat

iona

l lev

el

Frequent monitoring of new technology for disaster management Ensure that new technologies are integrated at the planning and development stage Constant monitoring of disaster event facilities Inculcate awareness and update the transmission of disaster events to the local community Recommend incentives for developers, industrialists and service providers in order to reinforce national

capacity on disaster management Sustain the development of a warning system which improves the capability of the authorities to provide

efficient warning of the impending disaster Ensure that an agricultural-based activities mitigation plan will be prepared Propose a structural measures mitigation technique which will complement a non-structural mitigation

technique

Loc

al

ll

Implementation of mitigation measures proposed by a National Coordinating Committee on Disaster Management

Ensure that the community is conversant with the latest technologies and able to respond in case of a disaster occurrence

4.3. Preparedness

Preparedness is an important task related to preparation of the country before disaster strikes. The activities are as listed in the following table.

Prep

ared

ness

ph

ase

Nat

iona

l/ S

tate

/ L

ocal

leve

l

Strengthen the link between intergovernmental agencies’ goals and functions Establish effective communication by conducting regular meetings, forums, discussions and

workshops to discuss any arising matters concerning disaster management Constantly review and update disaster preparedness plans Frequently inspect disaster emergency equipment, such as stand-by power generator and

communication equipment

4.4. Response

The response is an action-oriented phase. When an actual disaster strikes, search and rescue measures are activated. Medical care, evacuation, shelter and food distribution are amongst the key activities. The following table lists out all activities that typically take place.

Res

pons

e

Loc

al

Search and rescue Cure of and care for the victims Evacuation and shelter for disaster victims Food distribution to victims and emergency workers Establishment of telecommunication facilities Allow access for vehicles, aircraft, helicopter sites and shipping by clearing access to the key roads, air

fields and ports Re-establish water and power supplies Supplies of necessary items such as clothes and cooking utensils Health treatment for victims Sanitation at victims’ shelters, kitchen areas, toilets, water supplies and solid waste disposal facilities Dissemination of public information such as information regarding missing relatives and self-help

information Prevention of damages by implementing tight security Reconstruction of damaged buildings Emphasize concern of authorities for the victims’ welfare Tracing missing people Morale and spiritual support for the victims


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5. Flood Frameworks

USACE, Hyogo Framework, BSC and COBIT 5 for disaster management framework are amongst the most popular approaches used in FM.

5.1. USACE

USACE is a flood management services program which aims at educating the community in understanding flood risks and encouraging the usage of flood plains. The aim of USACE is to reduce the flood risk across the nation and it is a shared responsibility among Federal partners, Public partners, International Partnerships, National Organizations, Tribal Partners, State and Local Partners and USACE staff [21] respectively. USACE is responsible for the formulation of flood risk management policies and execution of flood risk management programmes such as Dam Safety, Levee Safety, Emergency Operations and Responses to Climate Change [21].

Silver Jackets is a program supervised by USACE which enables collaboration among multiple agencies across state, federal, tribal and local partners in the United States. This program aims to share and exchange information among agencies so as to reduce flood risk. This is achieved in the following manner: creating a mechanism by which to identify, prioritize and address issues in risk management and the implementation of solutions; improving communication risks; coordinating hazard mitigation measures; integrating available resources among agencies, available technical resources, as well as identifying flood risk management gaps among agencies (such as a conflict among agencies policies and recommendations to solve matters arising in the area of flood risk management) [21]. This program has shown results in the form of reduced flood risk and improved collaboration. In addition, it has fostered better understanding among agencies in rendering assistance both during and post-disaster stages [21].

5.2. Hyogo

The Hyogo framework (which is named after the World Conference on Disaster Reduction) was held from 18 to 22 January 2005 at Kobe, Hyogo, Japan. The conference mandated a framework in risk reduction and resilience of communities towards disaster events for the next ten years (2005-2015). It consists of a series of plans of actions, principles and guidelines which aim to reduce the impact of disasters upon the nation by establishing sets of mutual coordination among the countries involved. The framework highlights five primary actions designed to reduce the impact of disaster by 2015. The actions include: Ascertain that disaster risk reduction is both a national and a local priority; recognize, evaluate and observe the disaster risks with the enhancement of early disaster warnings; build a culture of safety and resilience through knowledge, virtue and education; minimize identified risk factors and enhance disaster preparedness and response activities [22]. There were several focus aims of the Hyogo framework, including: an emphasis on disaster prevention; mitigation; preparedness and reduction by implementing development policies; planning and programming at all levels of society; building resilience to hazards with the development and strengthening of institutions; mechanisms and capacities in the community level; reconstruction of affected communities with integration of risk reduction methods and mechanism in emergency preparedness, as well as response and recovery programs [22]. Information management and exchange is one of the key activities in the Hyogo framework. The task includes disseminating information to the high-risk areas identified in the community. These types of information are crucial in preparing the communities to be able to respond to a flood disaster and include, namely; disaster risks and available options for protection; collaboration among experts in local risk reduction plans; utilization of available technologies; as well as sharing of information in best practices and lessons learned [22]. 5.3. BSC

BSC is an approach for performance measurement introduced by [23] which is extensively used in project management. The BSC focus concentrates on the financial perspective, customer perspective,


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internal business perspective and innovation and learning perspective respectively. Financial perspective is related to the available funding from the government and other agencies. Customer perspective focuses on services delivered during disaster management phases which will give benefits in terms of time, quality, performance, as well as service and cost [25]. Internal business perspective is a measurement in terms of the output received by the customers during the disaster management phases. Innovation and learning perspective is concerned with inculcating a culture of learning lessons from past experiences and adopting the best practices encountered. Creating efficient IT tools such as network infrastructures and databases is vital for a successful implementation of disaster management phases in BSC [25]. According to [24], the government is the major stakeholder in natural disaster management, which can be viewed as public project management. It can be noted that the aim of disaster management projects is geared towards the development and implementation of disaster management policies at a national level. BSC measurement starts with the formulation of national policies in natural disaster management followed by the translation of the policies into project objectives and finally leads to the construction of a life-cycle framework; which outlines the key activities, major outputs and key players [25].

Figure 5: BSC for Disaster Management [24]

5.4. COBIT 5

COBIT is a framework developed by ISACA and has a backing of more than 15 years research on enterprise governance and management practices. It can be adapted by any enterprise with diverse needs [26]. This most recent release by ISACA has brought forth an enterprise management and governance framework in the form of COBIT 5. The framework identifies 5 underlying principles which consider all parties, practices and factors that influence decisions which enable processes within an enterprise. COBIT 5 provides a pathway to map IT-related goals with BSC principles, which separate governance and management. Governance focuses on directing, evaluating and monitoring enterprise objectives through setting up directions in decision-making; while management concern is concentrated on the execution and monitoring of those activities which are directed by governance.

5.4.1. Aspects of COBIT 5

COBIT 5 is a single framework which highlights the needs of an enterprise. This takes into account several elements such as: best practices, communication as an enabler in information flow, culture, ethics, behavior, transparency in decision-making, roles and responsibilities, activities and processes, stakeholder needs, organization structure, principles, policies and guidelines.

5.4.2. Measurement

COBIT 5 measures performance in terms of value creation and includes: resource optimization, risk optimization, benefit realization. Value creation could be viewed as the optimal utilization of available resources in an enterprise which gives benefits to the stakeholders while optimizing the risks in order to achieve enterprise business goals.

5.4.3. Process improvement


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COBIT is an effective tool which gives a comprehensive pathway for each of the processes in order to access objective accomplishments. Evaluation, direction and monitoring are the elements emphasized in the process improvement in COBIT 5. These processes are essential to ensure, namely: governance setting and maintenance, benefits delivery, risk optimization, resource optimization and stakeholder transparency. 5.4.4. Information flow

According to [27], information is a critical component that enables the correct decision-making process which comprises diverse sets of actions. COBIT 5 has defined a clear path for the information flow which involves people, portfolio and processes. Communication processes must be in place in order for the cross communication among agencies to occur; as well as for dissemination of information, activities, tasks, best practices and lessons learned to take place.

5.5. COBIT as an FM framework

In the field of FM governance, there should be transparent peculiarity between governance and management. This is due to the fact that, in each of the FM plans, responsible agencies need to be involved in the decision-making process to ensure the smooth running of the pre-disaster, disaster and post-disaster phases. COBIT 5 is an excellent tool for FM governance since it provides a matrix as a measurement in every phase of activities to monitor the objective achievement. In each of the phases, information is the key enabler which acts as an input.

Figure 6. COBIT 5 principles

A recent study on Malaysian Flood Governance [28] suggested that COBIT 5 is a suitable FM

framework considering all 5 principles that underlie COBIT 5. The principles take into account the stakeholders’ needs through value creation for the stakeholders, by means of: realizing benefit; optimizing resources, as well as optimizing risk. The collaborating flood agencies, collectively, can be viewed as an enterprise. In addition, COBIT 5 outlines, specifically: people; portfolio; processes; who, what and how to plan; execution; monitoring; and evaluation of activities in FM governance.

The 2nd Principle involves, specifically: covering the enterprise end-to end; treating management and governance as complementing each other so as to achieve organizational goals; satisfying stakeholders’ needs and thus delivering values to the organization. As in the FM governance domain, it can be defined as fully utilizing the available IT technologies to disseminate information in each of the FM stages in FM plans.

The 3rd Principle refers to applying a single integrated framework – COBIT 5 is a framework which is well-suited to integrating the activities and processes of other frameworks such as Information Technology Infrastructure Library (ITIL), The Open Group Architecture Framework (TOGAF) and International Organization for Standardization (ISO) into one single framework. Thus, it is a customizable framework which could be adapted by any enterprise towards value creation.


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The 4th Principle involves enabling a holistic approach – COBIT 5 consists of enablers which will facilitate attempts by the enterprise to achieve business goals. The enablers include: principles, policies and frameworks, processes, organizational structures, culture, ethics and behaviors, information, services, infrastructures and applications, people, skills and competencies (ISACA, 2013). As in the FM governance context, all the enablers, such as information, need to be identified and integrated for a successful FM plan.

The 5th Principle involves the separation of governance from management – The purpose of the separation is that there should be a clear distinction between governance and management because it consists of different processes and activities. As in the case of FM, governance directly monitors and coordinates the processes and activities in all FM phases. 6. Governing and Managing Flood: The Malaysian Case

Taking a cue from the methods needed to improve relief from and impact of flood events in Malaysia, the authors of this research conducted a field trip to several important sites that address floods in the country. These include, namely: StormWater Management and Road Tunnel (SMART), National Hydraulic Research Institute of Malaysia (NAHRIM), National Security Council (MKN), Timah Tasoh and the Irrigation and Drainage Department (JPS). Interviews were conducted to study the experience of key personnel involved in flood research, management, and governance. The data gathered from the interviews provides direction for the study. The findings of the case study are presented in two sections, specifically: flood agencies in Malaysia; issues and challenges in governance and management of flood. 6.1. Flood Agencies

In Malaysia, there are several agencies involved in the FM governance, including: JPS (Irrigation and drainage department), MKN (National Security Council), DBKL (KL City Hall), MADA (Muda Agriculture Development Agency), Ministry of Agriculture, Meteorological Department, Geological Department, Land Office, District Office, Police, Non-Government Organizations (NGOs), Rescue Agencies and NRE (Natural Resources and Environment) respectively. This study focuses on the research conducted through a site visit to agencies involved in FM. The role of the agencies is as listed in Table 2.

Table 2. Roles of Government Agencies in FM Agency Role in FM

JPS and Ministry of Agriculture

Responsible for water management and hydrology, as well as collection and analysis of hydrology data for current and future water management

To prepare hydrology service, including flood and drought at the river basin Responsible for shore engineering programme, river management and preservation,

drainage engineering with the help of several divisions which include: Seksyen Pengurusan Stesen Hidrologi dan Maklumat (SPSHM), Seksyen Peralatan Hidrologi (SPH), Seksyen Ramalan Banjir (SRB), and Seksyen Sumber Air dan Hidrologi (SSAH)

Poldering and canalization Analyze flood risk Flood forecasting and warning

MKN Manage and coordinate policies and directives in disaster management (National Security Council no.20 directives)

Management of evacuation centres DBKL Responsible for scheduling river maintenance and 15 rubbish trap operations.

Construct, upgrade, improve and maintain the structure of 350 rivers and main drainage systems

MADA Responsible for researching and identifying drainage direction to prevent floods

Meteorological Department

Alert the public in case of heavy rain and flood occurrences Responsible for weather forecasting

Geological Department

Analyze high risk floodplain areas and prepare and submit the report to JPBBN/JPBBD secretariat to be brought to meeting.


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Land Office, District Office, Police

Mainly responsible for assisting during the disaster period, especially in terms of logistic report and communications

NGOs Distribution of food, clothing and other crucial materials Provision of social responsibilities services to victims, including counseling and guidance

Rescue Agencies

Those involved are, namely: the Fire and Rescue Department, Royal Malaysia Police, Malaysia Armed Forces, Special Malaysia Disaster Assistance and Rescue Team (SMART), Emergency Medical Services, Atomic Energy Licensing Board and the Civil Defense Department.

NRE Advise local agencies, via the Committee, of any State or Territory-wide regional or local issues with regard to the conservation, enhancement and re-establishment of floodplain habitat or other environmental concerns

6.2. Issues and challenges in governance and management of flood

Currently, there are several applications and technologies which have been developed to assist Malaysian FM related agencies in order to effectively manage flood events. Information gathered from the studies revealed that there were several applications, physical infrastructure and soft infrastructure technologies being utilized by the FM agencies.

Physical infrastructure designed in FM to sustain flood risk management includes: rivers, dams,

smart tunnels, operation centers, rainfall stations, holding-ponds, smart-gates and pumps. The aims of the infrastructure constructions are to reduce the impact of flooding upon the existing physical infrastructure in the community. The transboundary between the existing physical infrastructure and soft infrastructure is complemented by utilization of FM applications such as: National Disaster Management Systems (NDMS), SCADA, Mike 11, Australian Water Balance Model (AWBM), AutoCAD, HEC-RAS HEC-HMS, telemetry-system, Smart-Operation-Management, as well as Flood Detection System (FDS). Data/information retrieved from these systems includes: rainfall precipitation, river-water-level, spatial-data, temporal-data, weather, land-use data, soil-map, topography, flood map, Global Information System (GIS), Disaster System of Procedure (SOP), Hospital Info and Risk map.

Soft infrastructures act as a mechanism to support and disseminate data/information collected from

the existing FM system, and include: flood forecasting models, hydrological models, acts and compliance (Flood Act 2005), as well as public flood websites (e.g.: publicinfobanjir.water.gov.my, portalbanjir.mkn.gov.my, bencanaalam.jkr.gov.my and ebanjir.kelantan.gov.my). However, despite the involvement of several FM agencies concerned with the existing sophisticated technology, there were several issues and challenges existing in the information flow and information-sharing within the agencies.

6.2.1. Dissemination of information to the public

The Department of Irrigation and Drainage Malaysia is responsible for disseminating flood forecasting and warning information to the public via Infobanjir portal (http://infobanjir.moa.my) [29]. However, the technologies used in the flood forecasting and warning system do not use state-of-the-art technology, which uses river levels as a measurement instead of radar or satellite. This situation gives impact to users and victims of the floodplains who may not have confidence in the current flood forecasting and warning system [30]. 6.2.2. Information flow between agencies

Multiple agencies are involved in addressing disaster management issues [8].The information flow from one agency to another is neither well-defined nor well-documented. Hence, the information-sharing process, structure and mechanism are not transparent between agencies or from agencies to the public. This is due to the lack of communication across agencies which affect the information-sharing process. Problems might arise due to the lack of available documents which explains the transparent cross-agency roles in governance and management [28]. Each agency merely executes the task being


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assigned in their boundary only. Consequently, all the information is just for that particular agency, without the personnel being aware that sharing the information with others might ease the rigors of the disaster management process. Information needs to be shared; particularly, lessons learnt from past experience, yet such information is not well-documented or shared with other agencies. Although each agency has been assigned specific roles, due to political interference some of the workflow processes during disaster occurrences could not be accomplished. This could result in interference with the ongoing disaster management process and lead to a reshuffling of the assigned task among the agencies. The ensuing political influence will result in a more proactive action among the involved agencies. 6.2.3. Reactive disaster mitigation

According to Chan [31], disaster mitigation in Malaysia is reactive rather than proactive. The overlapping of roles and responsibilities among agencies has been identified as one of the contributing factors to FM limitations in Malaysia. This could also result in agencies blaming each other without realizing the need for cooperation among agencies in FM. For instance, responsibilities for certain tasks which have been assigned might be shared with other agencies and this could lead to parties blaming each other in the event of any unexpected incidents occurring. 6.2.4. Control and Legislative Issues

In spite of that, Malaysia still lacks adequate flood control and mitigation legislation, even with the existence of enactment such as: the Waters Enactment 1920, the Mining Enactment 1929, the Drainage Works Ordinance 1954, and the Land Conservation Act 1960 [29]. Malaysia's flood mitigation policy can be considered as creditable [29]. Failure of enforcement of legislation by the formulation of laws which emphasize the management of single sectorial water usage and outdated systems is the main contributor to ongoing problems [29]. The enforcement of laws, policies, procedures and establishment of framework or models does not necessarily result in well-defined governance; which should involve respect for human rights, political openness, participation, tolerance, administrative and bureaucratic capacity, efficiency and the rule of law, transparency, equity, consensus-orientated accountability and strategic vision [32]. 6.2.5 Tools and system

In addition, there is a lack of sophisticated tools by which to predict the incidence of a disaster at an early stage. For example, in regard to flood management, there is no one absolute tool as of today’s date which can detect and trigger information about a flood at an early stage. This in turn will cause the disaster preparation process to be less effective and even chaotic.

Finally, there is no one specific centralized system which will push and pull data from specific

servers. Currently, most of the tasks are being executed manually through the completion of manual forms. The absence of one specific portal which will integrate all the relevant agencies contributes towards the delay in information-sharing among the agencies involved. At present, each of the government agencies fully utilizes their own portal so as to disseminate disaster-related information to the public. In the event that there is a need to share the information with other agencies, email is the primary communication medium. This results in slowing down the information-sharing process due to the absence of a centralized communication system by which to disseminate information among the relevant agencies.


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7. Recommendations

Governance is an important element for effective resource management in any organization; it minimizes the available and hidden risks, creates values and optimizes benefits in order to meet the interest of stakeholders. Governance plays a vital role for the coordination cross to multiple government agencies and authorities in order to sustain economic development. There is a chance for conflict to occur among the decision-makers in flood management (FM) strategy [33]. Based on current research, it has been revealed that poor implementation for an effective flood management plan is due to the lack of governance in flood management systems [34]. Effective FM needs to emphasize the coordination of information among the agencies involved in FM. Coordination, information-sharing and effective decision-making is vital to fill in the gaps identified as being challenges in FM implementation. Each of the agencies has its own roles and responsibilities, and the agencies must be able to share whatever FM data and information they own. Sharing information supports the decision-making process. Advanced tools and systems need to be incorporated so as to predict the early signs of disaster and thus send the signal simultaneously to the relevant agencies for disaster preparation measures to be put in place. It is essential for information about FM to be disseminated among the related agencies and thereafter to the community. Control and legislative issues must be addressed to ensure that all the relevant agencies are aware of and adhere to the existing laws. Stronger implementation must be in place in order to enable cooperation among agencies for the smooth running of the FM process. 8. Conclusion

In a nutshell, FM governance issues need to be addressed in order to reduce the impact of flood events and minimize risks. The gaps identified in the research should be addressed in order to create an efficient FM process in Malaysia and, for this purpose, the utilization of COBIT-based framework is recommended. Based on a study conducted by [28], COBIT 5 is seen as a potential framework to be further explored in order to address FM governance in Malaysia. At the same time, USACE and Hyogo should also definitely be incorporated into the framework.

9. Acknowledgements

The authors wish to thank the Ministry of Higher Education Malaysia for funding this study under the Long Term Research Grant Scheme (LRGS/b-u/2012/UUM/Teknologi Komunikasi dan Informasi).

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Colombo Plan Project, unpublished Project Brief No. 3, East Pergau Study, 1978. [3] Chan, N. W. , “Impacts of Disasters and Disasters Risk Management in Malaysia:

The Case of Floods”, in Sawada, Y. and S. Oum (eds.), Economic and Welfare Impacts of Disasters in East Asia and Policy Responses. ERIA Research Project Report 2011-8, Jakarta: ERIA. pp.497-545, 2012.

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[33] Heintz M. D., Hagemeier-Klose M. ,Wagner K., “Towards a Risk Governance Culture in Flood Policy—Findings from the Implementation of the Floods Directive” in Germany”, WATER 2012, vol. 4, pp.135-156, 2012.

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