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CHAPTER I
INTRODUCTION

1.1 Background of the Study

Dipolog City, situated along the coastal areas of Zamboanga del Norte in the

Philippines, contends with the pronounced coastal hazards of flooding and typhoons—a

predicament shared by coastal communities in the region due to its adjacency to the Sulu

Sea. A study by Williams and colleagues sheds light on the flood risk and adaptation

strategies in flood-prone coastal areas of the Philippines. [1] The research highlights the

widespread vulnerability of these regions to coastal flooding, driven by factors such as

sea-level rise and severe weather events, comprehending its geographical context within

this framework is paramount. [1] It accentuates the collective challenges posed by

climate-related risks in the coastal areas of Zamboanga del Norte, underscoring the

imperativeness of regional collaboration and robust policy frameworks to address these

issues. This underscores the significance of proactive measures, sustainable development,

and community resilience endeavors in ameliorating the recurrent impact of these hazards

on Dipolog City and the surrounding coastal regions. [1]

Furthermore, recent news reports have documented a severe flooding incident in

Zamboanga del Norte, Philippines, transpiring in January 2023. This incident assumes

utmost importance as it vividly illuminates the local climate and meteorological patterns

in the region, particularly the repercussions of heavy precipitation and the manifestation

of natural calamities, including typhoons. In this scenario, incessant heavy rainfall from

1
January 10 onwards precipitated widespread flooding, resulting in casualties and

necessitating the evacuation of thousands of residents. This event underscores the region's

susceptibility to substantial rainfall, particularly during specific meteorological

phenomena such as Low Pressure Areas (LPAs) and the Northeast Monsoon. The

detailed depiction of the flood's impact on the affected populace, infrastructure, and daily

life poignantly elucidates the real-world implications of local climate and meteorological

patterns. [2], [3]

Moreover, Hemmati, Ellingwood, and Mahmoud's study underscores the salience

of the flood risk predicament confronting urban communities. This salience emerges from

the intricate interplay between climate change and socioeconomic development. [4]

While climate change has garnered significant attention concerning the escalating flood

risk, the study underscores that socioeconomic development, encompassing economic

expansion and population growth in flood-prone locales, constitutes a substantial

contributor deserving equitable consideration. [4] The repercussions of flood risk

encompass multifaceted impacts on public safety, property, and the environment.

Consequently, grasping and adroitly managing the consequences of urban growth on

flood risk becomes an imperative undertaking. [4]

However, the research gap in this study is the need for a comprehensive

investigation into the vulnerabilities and adaptation strategies specific to Dipolog City in

the Philippines, which faces recurrent flooding and typhoon-related risks due to its

coastal location. While there is existing research on flood risk management, coastal

hazards, and 3D flood modeling, there is a scarcity of studies that focus on this particular

city's unique challenges and the development of tailored flood resilience strategies.

2
Additionally, there is a research gap in understanding the local perceptions and socio-

economic vulnerabilities related to flood risks in Dipolog City, which is essential for

effective risk reduction policies. This study aims to bridge these gaps by conducting a

thorough assessment of Dipolog City's flood risk and resilience measures while

integrating 3D flood modeling to enhance floodplain mapping in a location-specific

context.

This study endeavors to address a salient research gap by conducting a

comprehensive inquiry into the vulnerabilities and adaptation strategies pertinent to

Dipolog City—an exposed coastal area in Zamboanga del Norte, Philippines, susceptible

to recurring flooding and typhoons. It concurrently probes recent flood incidents to

discern their correlation with local climate and meteorological patterns, accentuating the

symbiotic relationship between climate change, socioeconomic development, and flood

risk. The primary objective is to proffer proactive measures and community resilience

initiatives that efficaciously mitigate the recurrent impact of coastal hazards on Dipolog

City and its neighboring regions. This research contribution offers pivotal insights for

policymakers and stakeholders, facilitating the enhancement of disaster preparedness and

sustainable development within coastal communities confronting climate-related

exigencies.

1.2 Statement of the Problem

3
 This study aims to proffer proactive measures and community resilience

initiatives that efficaciously mitigate the recurrent impact of coastal hazards on Dipolog

City and its neighboring regions. Specifically, it seeks to answer the following:

1. How can Dipolog City be empowered to overcome its recurrent flooding

challenges, ultimately fostering resilience within the community and enhancing its

ability to withstand and recover from flood-related adversities?

2. What is the systematic approach involved in conducting a comprehensive flood

risk assessment in Dipolog City, utilizing the acronym "RISE" (Resilience, Risk

Assessment, Integration, Sustainable Solutions, and Empowerment) as a guiding

framework, and what are the key findings of this assessment?

3. How can various strategies and elements, including data analysis, community

engagement, and the formulation of effective flood mitigation measures, be

effectively integrated to develop a comprehensive flood risk management plan

tailored to the specific needs of Dipolog City?

4. How can a 3D Flood Risk Model be effectively utilized to propose comprehensive

floodplain mapping recommendations based on the findings and outcomes of the

flood risk assessment report in Dipolog City, with the aim of enhancing flood risk

management and community resilience within the city?

1.3 Research Objectives

This study aims to proffer proactive measures and community resilience initiatives

that efficaciously mitigate the recurrent impact of coastal hazards on Dipolog City and its

neighboring regions. Specifically, it seeks:

4
 1. To empower Dipolog City to rise above its recurrent flooding challenges,

fostering resilience within the community and enhancing its capacity to

withstand and recover from flood-related adversities;

2. To conduct a comprehensive flood risk assessment in Dipolog City, utilizing

the acronym "RISE" to guide the assessment process systematically;

3. To integrate diverse strategies and elements, encompassing data analysis,

community engagement, and the formulation of effective flood mitigation

measures, into a comprehensive flood risk management plan for Dipolog City;

and

4. To effectively utilize a 3D Flood Risk Model for proposing comprehensive

floodplain mapping recommendations based on the findings and outcomes of

the flood risk assessment report in Dipolog City, with the aim of enhancing

flood risk management and community resilience within the city.

1.4 Significance of the Study

This study may contribute to the following beneficiaries:

Citizens of Dipolog City. The citizens of Dipolog City are direct beneficiaries of

this thesis as it aims to empower the city to enhance its resilience against recurrent

flooding and related adversities. The study's findings and recommendations may

contribute to improved flood risk management, reduced vulnerability to floods, and

enhanced overall public safety. Ultimately, the citizens may benefit from a more secure

and resilient living environment.

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 Local Government Unit (LGU). The LGU of Dipolog City plays a pivotal role

in disaster management and urban development. This study provides valuable insights

and a comprehensive flood risk management plan that the LGU can utilize to make

informed decisions, allocate resources effectively, and implement proactive measures to

mitigate flood risks. The research may assist the LGU in fulfilling its responsibilities to

protect the welfare of its constituents and ensure sustainable urban development.

The Civil Engineering Department at Dipolog City. They may benefit by

offering practical insights into engineering principles and flood risk management. It can

be used as a real-world case study for students to understand flood risk assessment

complexities and enhance the curriculum with research-oriented learning.

Civil engineering students. They may gain exposure to comprehensive flood risk

assessment, practical aspects, and mitigation measures, inspiring future research in water

resources engineering and disaster resilience.

The researchers. They may gain experience and expertise, contributing to their

academic and research portfolio.

Future researchers. These people in flood risk assessment and management,

especially in coastal areas, may build upon this study's foundation, fostering continuous

improvements in flood resilience and risk reduction strategies.

1.5 Scope and Limitations

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 This research centers on Dipolog City, Zamboanga del Norte, Philippines, as a

case study to examine flood risk and resilience strategies. It employs a mixed-methods

research design, combining quantitative and qualitative approaches. A stratified random

sampling technique is utilized to ensure representation across various geographical zones

within the city, recognizing potential variations in flood risk. In this stratification,

households are systematically sampled to gather quantitative data through surveys.

Qualitative insights are derived from focus group discussions with community members

and in-depth interviews with key informants. This comprehensive approach enhances the

study's validity by triangulating results. However, limitations may arise due to data

availability constraints and resource limitations, potentially impacting the depth and

breadth of the study. The temporal scope concludes with the research, and

interdisciplinary collaboration may present challenges. Nevertheless, this study strives to

offer valuable insights into flood risk management and community resilience, particularly

in coastal areas with similar challenges.

1.6 Definition of Terms

The following terms are defined operationally to better understand this study:

Community Engagement. Community engagement involves actively involving

the residents of Dipolog City, local stakeholders, and relevant authorities in the process

of flood risk assessment and management. It includes conducting community meetings,

workshops, surveys, and consultations to gather input, share information, and

collaboratively develop flood resilience strategies.

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 Community Resilience. In this study, community resilience means how well the

community can prepare for, respond to, recover from, and adapt to floods. It involves

keeping people safe, protecting property and essential services, and making a quick and

lasting recovery.

Comprehensive Flood Risk Assessment. A comprehensive flood risk assessment in

this study means thoroughly looking at many things that contribute to flood risk, like past

data, rain patterns, land features, how vulnerable buildings and infrastructure are, and

what the community is like. It uses data analysis to understand how likely and how bad

floods can be in Dipolog City.

Flood Mitigation Measures. Flood mitigation measures are actions and plans to

make flooding less harmful. These can be things like building barriers or improving

drainage systems, but also things like warning systems, planning where to build, and

teaching the community about floods.

Floodplain Mapping. Floodplain mapping means making detailed maps that show

which parts of Dipolog City can get flooded. It helps identify places at risk, show how

bad floods can be, and is useful for planning.

Flood-related Adversities. Flood-related adversities are all the problems and bad

things that happen when floods come, like damage to property, broken infrastructure,

people being forced to leave their homes, losing essential services, and anything else that

goes wrong because of floods.

RISE. RISE is a way to think about how to deal with floods in this study. It stands for

Resilience (getting better at dealing with floods), Risk Assessment (figuring out how bad

8
floods can be), Integration (mixing data, community ideas, and plans together),

Sustainable Solutions (finding ways to keep the solutions working for a long time), and

Empowerment (getting the community and others involved in flood decisions).

Systematic Approach. The systematic approach in this study involves a structured

and organized methodology for conducting a comprehensive flood risk assessment in

Dipolog City. It encompasses a well-defined sequence of data collection, analysis, and

decision-making processes that are logically interconnected and guided by the acronym

"RISE" (Resilience, Risk Assessment, Integration, Sustainable Solutions, and

Empowerment).

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 CHAPTER II
REVIEW OF RELATED LITERATURE

2.1 Flood Risk Reduction and Management

Several studies in this category explore different facets of flood risk reduction and

management. Storlazzi et al. and Reguero et al. highlight the importance of coral reefs in

the United States for mitigating flooding, emphasizing their annual economic value. [5],

[6] Park and Lee employ machine learning techniques to anticipate flooding risks in

South Korea, emphasizing the vulnerability increase due to climate change. [7] Abebe et

al. and Hadipour et al. focus on flood risk management policies and assessment methods,

emphasizing hazard reduction measures and risk quantification. [8], [9] Tang et al. build

upon these studies by underscoring the dynamic and multifaceted nature of flood risk,

emphasizing the need for comprehensive, location-specific strategies. [10]

2.2 Coastal Hazards and Vulnerable Communities

Chang et al. focused on identifying typologies of vulnerable coastal communities

in Pacific Canada through cluster analysis, creating a valuable framework for knowledge

10
sharing among communities with similar hazard vulnerability profiles. This approach

grouped communities into 10 types, enabling them to learn from one another's

experiences in reducing natural hazard risks. [11] Meanwhile, Domingues et al. explored

the risk perception and preparedness of residents in Faro Beach, Portugal, highlighting

the disconnect between residents' awareness of coastal hazards and their perceived

danger, influenced by past experiences and psychological distance. It emphasized the

importance of understanding psychological determinants and behavioral barriers in

coastal risk management. [12] Valenzuela and others investigate disaster risk perception

in low-risk coastal communities in Palawan, Philippines. [13] Morin et al. highlight the

vulnerability of informal coastal settlements in Metro Manila. [14] Brill and others

provide insights into sediment deposition patterns in the aftermath of Typhoon Haiyan in

the Philippines. [15]

2.3 Comprehensive Flood Risk Assessment

This section encompasses studies related to comprehensive flood risk assessment

methodologies. Grigg reviews the state of practice in flood risk assessment, emphasizing

the importance of data and data science tools. [16] One study discusses the need for flood

risk assessment for metro systems, proposing an approach that includes various methods

and emphasizes the integration of technology like GIS and BIM for risk management.

[17] Also, another study showed the importance of factoring urban expansion into flood

risk management. Urban growth, driven by economic development and population

growth, significantly contributes to flood risk in flood-prone areas. To build resilient

communities, urban planning must integrate flood risk considerations and involve

11
collaboration among experts from various fields. [18] In a third study, an integrated

methodology for urban flood risk assessment is presented, demonstrating its effectiveness

in identifying high-risk zones. [33] Cai and colleagues introduce the multi-index fuzzy

comprehensive evaluation model (MFCE) for flood disaster risk assessment. [19]

2.4 3D Modeling and Spatial Analysis for Flood Risk

Studies in this category leverage 3D modeling and spatial analysis to enhance

flood risk assessment. In the "International Journal of Disaster Risk Reduction", 3D

visualization aids Sponge City flood management by integrating various data sources for

real-time simulation, reducing information gaps and fostering innovation. [20] In the

"Journal of Cleaner Production”, a flood risk model for a Slovakian village employs

HEC-RAS, ArcGIS, and Cost Analysis to identify risk areas accurately, contributing to

flood mitigation efforts. [21] Gebrehiwot and Hashemi-Beni extract flood extent in 3D

from UAV data, improving emergency response efforts. [22] Backes, Schumann, Teferle,

and Boehm highlight the importance of high-resolution drone-based 3D mapping in

urban flood modeling. [23] Zhi, Liao, Tian, and Wu introduce a 3D visualization method

for urban flood risk assessment, considering spatial information. [24] These studies

collectively contribute to a better understanding of flood risk and its management through

various methodologies and approaches.

2.5 Climate Change Adaptation Strategies

The studies on climate change adaptation strategies encompass a diverse range of

contexts and approaches. One comprehensive review by Klöck and Nunn focuses on

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Small Island Developing States (SIDS) and their shared vulnerability to climate change.

[28] The study systematically examines the documented adaptation efforts across SIDS,

shedding light on the types of strategies employed, their response to climate change

impacts, and the evaluation of their success. While a wide array of adaptation strategies,

including structural and behavioral changes, are identified, the study highlights the need

for more concrete evaluation of these interventions to assess their effectiveness in

reducing vulnerability and enhancing resilience. [28]

In their study, Kostianaia et al. consider various aspects of climate change impact,

including temperature effects, permafrost thawing, strong winds, floods, and sea level

rise. These factors can have profound consequences on railway systems, affecting both

the infrastructure and the operational aspects. The inclusion of temperature effects and

permafrost thawing is particularly relevant, as it underscores the importance of

understanding climate-related challenges unique to the railway sector. [32]

In Nepal's mountainous region, Adhikari et al. explore the impacts of climate

change and adaptation practices. Their study reveals the local effects of climate change,

particularly on agriculture, water resources, forest products, and human health. The

community's adaptation practices, such as constructing artificial ponds and adjusting

planting and harvesting times, are highlighted. However, challenges, including limited

technical and financial resources, are also identified, emphasizing the importance of

local-level policies to support mountain livelihoods. [29]

Salimi and Al-Ghamdi shift the focus to the Middle East, particularly urban areas,

where climate change poses challenges like extreme heat waves and wet-bulb

temperatures. Their study emphasizes the vulnerability of critical urban infrastructure in

13
the region and proposes climate change adaptation strategies to enhance urban resilience.

By preparing for climate change-related disasters, they aim to preserve social and

economic stability and enable growth in changing environments, highlighting the

significance of proactive adaptation measures. [30]

Furthermore, Landauer, Juhola, and Klein investigate the integration of climate

change adaptation and mitigation in urban settings, focusing on Copenhagen and

Helsinki. Through a scale framework, they examine cross-scale interactions that

influence the implementation of adaptation and mitigation actions in different urban

sectors. Their research uncovers synergies, conflicts, and trade-offs between these two

policy areas, emphasizing that jurisdictional and institutional scales shape the

implementation of strategies and projects, creating both benefits and challenges in

integrated solutions. [31]

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 CHAPTER III
METHODOLOGY

3.1 Research Design

The research design for this study employs a quantitative approach, focusing on

the systematic use of surveys as the primary data collection method to assess

demographic profiles and resilience levels among participants in Dipolog City,

Zamboanga del Norte, Philippines. The choice of quantitative methods offers a structured

and standardized approach to data gathering, with predefined guidelines and response

categories ensuring objectivity and consistency. Surveys are particularly well-suited for

quantifiable aspects of resilience, allowing for a comprehensive evaluation of the

program's impact on the community's ability to withstand recurrent flooding and

typhoon-related hazards. This quantitative research design contributes to a

comprehensive understanding of flood risk and resilience in Dipolog City.

3.2 Theoretical Framework

Resilience theory, rooted in ecological and systems thinking, offers a robust

framework for comprehending flood resilience and risk reduction in Dipolog City. It

15
underscores the capacity of systems, communities, and individuals to adapt and recover

from disruptions like floods. In this context, it advocates a comprehensive approach to

flood resilience, encompassing physical, social, economic, and environmental

dimensions, akin to the "RISE" framework. Additionally, it underscores the significance

of community engagement and adaptable strategies, aligning with the study's objectives

for Dipolog City. Lastly, it promotes learning from past experiences and adapting to

evolving circumstances, in harmony with the study's goal of continuous enhancements in

flood resilience strategies. In summary, resilience theory furnishes a robust theoretical

underpinning for this study's approach to flood resilience and risk reduction in Dipolog

City. [25]

3.2.1 Conceptual Framework

INPUT PROCESS OUTPUT

Data Collection and

Flood Risk Assessment 3D Floodplain Mapping
Analysis
Recommendations

Figure 1. Conceptual Framework of the Study

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 This study primarily focuses on conducting a comprehensive Flood Risk

Assessment of Dipolog City, Philippines. It entails the collection and evaluation of data

concerning the city's susceptibility to flooding, encompassing historical flood

occurrences, geographical features, and current climatic conditions. The central

component of this study is the Data Collection and Analysis phase, which involves

surveys, interviews, and a thorough examination of available data sources to gain insights

into Dipolog City's flood risk. The culmination of these efforts yields a set of 3D

Floodplain Mapping Recommendations derived from a meticulous data analysis process.

These recommendations play a pivotal role in enhancing flood risk management

strategies and planning for potential flooding events in Dipolog City. This

straightforward framework delineates the study's essential stages, from evaluating flood

risk to formulating practical 3D floodplain mapping recommendations.

3.3 System Design

The study aims to present its research findings and recommendations in an

accessible and well-organized manner. To achieve this, the researchers will create a

structured research report that commences with an introduction and subsequently delves

into various aspects of the study. Visual aids such as maps, charts, graphs, and images

will be employed to enhance comprehension. The information will be logically

structured, with each section building upon the preceding one to provide a coherent

research journey for the reader. Data, including survey results and flood risk assessments,

will be presented using tables and graphs. The report will conclude with actionable

recommendations rooted in the research findings, emphasizing proactive measures and

17
community resilience. Technical details will be included in the appendices, and rigorous

review processes will be undertaken prior to finalizing the report. The language used will

prioritize simplicity and clarity to ensure accessibility to a wide audience. The final report

will be distributed in both print and digital formats to facilitate easy sharing with

pertinent stakeholders, encompassing Dipolog City's local government, civil engineering

department, and community members, thereby maximizing its impact.

3.4 Instrument/Equipment

To ensure precise data collection in this study, a range of tools and resources will

be utilized.

For Research Questions 1 to 3:

Engage in a comprehensive data collection process by conducting surveys within

the community to capture the firsthand experiences and concerns of residents in

connection with recurrent flooding. Concurrently, hold interviews with local authorities,

including those engaged in government flood risk assessment and mitigation efforts, to

gain insights into their perspectives regarding existing flood management measures and

the challenges they face. This dual-pronged approach will afford a holistic view of the

community's experiences and perspectives.

For Research Question 4:

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 Leverage readily available basic 3D modeling software to construct a simplified

flood risk model. Incorporate the data gathered from the community surveys and

assessments, integrating feedback received from both residents and local authorities.

Based on the modeling outcomes and input from stakeholders, present straightforward

floodplain mapping recoendations that are tailored to meet the specific requirements of

the community.

3.5 Research Locale

The research will be conducted in Dipolog City, situated in Zamboanga del Norte,

Philippines. Dipolog City has been chosen as the primary research location due to its

vulnerability to recurring flooding and typhoon-related hazards, given its coastal location

along the Sulu Sea. The city's diverse geographical characteristics, encompassing various

zones with distinct flood risk profiles, make it an ideal setting for the investigation of

flood risk and resilience strategies.

3.6 Data Gathering

For Research Questions 1 to 3, the data collection involves surveys within the

community to capture residents' firsthand experiences and concerns regarding recurrent

flooding. Interviews with local authorities engaged in government flood risk assessment

and mitigation efforts offer insights into their perspectives on existing flood management

measures and challenges they face. This dual-pronged approach provides a holistic view

of the community's experiences and perspectives.

19
 For Research Question 4, basic 3D modeling software is leveraged to construct a

simplified flood risk model. Data gathered from community surveys and assessments are

integrated with feedback received from both residents and local authorities. The modeling

outcomes and input from stakeholders inform straightforward floodplain mapping

recommendations tailored to meet the specific requirements of the community.

3.7 Analysis Procedure

To ensure precise data collection in this study, a comprehensive analysis

procedure will be followed. For Research Questions 1 to 3, the initial step involves

conducting surveys within the community to gather firsthand experiences and concerns

related to recurrent flooding, concurrently conducting interviews with local authorities,

including individuals engaged in government flood risk assessment and mitigation

efforts, to gain insights into the perspectives regarding existing flood management

measures and the challenges faced. For Research Question 4, readily available basic 3D

modeling software will be leveraged to construct a simplified flood risk model,

incorporating data from community surveys and assessments, along with feedback from

residents and local authorities. The modeling outcomes and stakeholder input will serve

as the basis for straightforward floodplain mapping recommendations tailored to the

community's unique needs. Following data integration, analysis, and recommendation

development for each research question, results will be presented in a comprehensive

report, summarizing the process, findings, and recommendations, and shared with

stakeholders to gather feedback and ensure alignment with their needs and expectations.

20
3.8 Research Flow and Timeline

Project Initiation Data Collection Data Analysis Recommendation

Conduct community Analyze survey data for Develop

surveys (RQ 1-3). RQ 1-3. recommendations for
Define research
RQ 1-3 based on survey
objectives and Conduct interviews with Analyze interview data
and interview data.
questions. local authorities (RQ 1- for RQ 1-3.
3). Develop floodplain
Secure necessary Analyze 3D modeling
mapping
approvals and funding. Utilize 3D modeling outcomes for RQ 4.
recommendations for
software (RQ 4).
Create a comprehensive RQ 4 based on modeling
Gather and integrate dataset for each outcomes.
data. research question.

Figure 2. Research Flow Chart

21
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