HEC-HMS Technical Reference Manual  

–  HEC-HMS Technical Reference Manual

UNDER CONSTRUCTION

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1 Introduction
The Hydrologic Modeling System is designed to simulate the precipitation-runoff processes of dendritic watershed
systems. It is designed to be applicable in a wide range of geographic areas for solving the widest possible range of
problems. This includes large river basin water supply and flood hydrology, and small urban or natural watershed
runoff. Hydrographs produced by the program are used directly or in conjunction with other software for studies of
water availability, urban drainage, flow forecasting, future urbanization impact, reservoir spillway design, flood
damage reduction, floodplain regulation, and systems operation.

1.1 Contents of this Manual

This document is the technical reference manual for the Hydrologic Modeling System (HEC-HMS). The program is a
product of the US Army Corps of Engineers' research and development program, and is produced by the Hydrologic
Engineering Center (HEC). The program simulates precipitation-runoff and channel routing processes, both natural
and controlled. The program is the successor to and replacement for the Flood Hydrograph Package HEC-1 (USACE,
1998) and for various specialized versions of HEC-1. The program improves upon the capabilities of HEC-1 and
provides additional capabilities for distributed modeling, continuous simulation, and interior flooding analysis.
This technical reference manual describes the various methods included in the program, for example, the Green
and Ampt loss method. The development of the mathematical algorithm underlying each method is presented.
Information and guidance are provided to assist the user in selecting a method for application and estimating
parameters. Details on the solution of the algorithm are also provided.
The presentation is aimed at an engineer or scientist who has studied hydrology in a university-level course. Thus,
examples of common methods are not provided; such information may be found by consulting available texts and
journals. On the other hand, examples of the computations for the new or uncommon models within the program
are included.

1.2 Program Overview

For precipitation-runoff-routing simulation, the program provides the following components:
• Precipitation methods which can describe an observed (historical) precipitation event, a frequency-based
hypothetical precipitation event, or an event that represents the upper limit of precipitation possible at a
given location.
• Snow melt methods which can partition precipitation into rainfall and snowfall and then account for
accumulation and melt of the snowpack. When a snow method is not used, all precipitation is assumed to be
rain.
• Evapotranspiration methods which are used in continuous simulation for computing the amount of
infiltrated soil water that is removed back to the atmosphere through evaporation and plant use.
• Loss methods which can estimate the amount of precipitation that infiltrates from the land surface into the
soil. By implication, the precipitation that does not infiltrate becomes surface runoff.
• Direct runoff methods that describe overland flow, storage, and energy losses as water runs off a watershed
and into the stream channels. These are generally called transform methods because the "transform"
uninfiltrated precipitation into watershed outflow.
• Baseflow methods that estimate the amount of infiltrated water returning to the channel. Some of the
included methods conserve mass through the infiltration process to baseflow; others do not have the same
conserving properties.
• Hydrologic routing methods that account for storage and energy flux as water moves through stream
channels.
• Models of naturally occurring confluences (junctions) and bifurcations (diversions).
• Models of water-control measures, including diversions and reservoirs.

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These methods are similar to those options included in HEC-1. Significant methods not included in HEC-1 include:
• A distributed transform model for use with distributed precipitation data, such as the data available from
weather radar.
• A simple one-layer and more complex five-layer soil-moisture-accounting model for use in continuous
simulation. They can be used to simulate the long-term response of a watershed to wetting and drying.
The program also includes a number of tools to help process parameter data and computed results, including:
• An automatic calibration tool that can be used to estimate parameter values and initial conditions for most
methods, given observations of hydrometeorological conditions.
• An analysis tool to assist in developing frequency curves throughout a watershed on the basis of storms with
an associated exceedance probability.
Links to a database management system that permits data storage, retrieval and connectivity with other analysis
tools available from HEC and other sources is also included.

1.3 Other Program References

Two references are available in addition to this technical reference manual:
• The Hydrologic Modeling System HEC-HMS User's Manual (USACE, 1998b) describes how to use the
computer program. While the user's manual identifies the models that are included in the program, its focus
is the program's user interface. Thus, the user's manual provides a description of how to use the interface to
provide data, to specify model parameters, to execute the program, and to review the results. It provides
examples of all of these tasks.
• The Hydrologic Modeling System HEC-HMS Applications Guide (USACE, 2002) describes how to apply the
program to completing a hydrology study. A number of different types of studies are described, including
typical goals, required information, and needed output data. The steps of performing the study are
illustrated with a case study.
The user's manual and the HEC-HMS program are available on the Hydrologic Engineering Center's web site. The
address is www.hec.usace.army.mil1.

1.4 Organization of this Manual

Table 1 shows how this manual is organized. Chapters 4-8 and 10 present the equations of the various methods,
define the terms of the equations that make up the underlying algorithm, and explain the solution techniques used
in the program. In addition, parameters of the methods and techniques for estimating the parameter values are
also described.
Because of the importance of model calibration, Chapter 9 describes the automated calibration feature of the
program in detail. This can be used to estimate model parameters with measured precipitation and streamflow.
Table 1.Summary of contents of HEC-HMS Technical Reference Manual.

Chapter Topic Description of Contents

1 Introduction Provides an overview of the program and the

technical reference manual

1 http://www.hec.usace.army.mil

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2 Primer on models Defines terms used throughout the manual and

describes basic concepts and components or the
program

3 Program components Describes how hydrologic processes are represented

and identifies the methods that are included in the
program

4 Precipitation Identifies each type of precipitation event that may

be analyzed, describes the format of the data for
each, and presents the precipitation processing
algorithms

5 Snow accumulation and melt Summarizes the processes at work in a snow pack
and describes the methods included simulating
snow melt

6 Evaporation and transpiration Describes the processes of evaporation and

transpiration and describes how they are modeled in
the program

7 Infiltration and runoff volume Summarizes the methods that are included for
estimating runoff volume, given precipitation

8 Surface runoff Summarizes the methods available for computing

runoff hydrographs, given runoff volume

9 Baseflow Describes the methods for considering sub-surface

flow

10 Channel flow Describes the alternative methods for open channel

flow that are available and provides guidance for
usage

11 Water-control facilities Describes the diversion and reservoir elements

12 Automatic parameter estimation Describes how parameters may be calibrated with

historical precipitation and runoff data

1.5 References
US Army Corps of Engineers, USACE (1998) HEC-1 flood hydrograph package user's manual. Hydrologic Engineering
Center, Davis, CA.

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USACE (2000) Hydrologic Modeling System HEC-HMS User's Manual. Hydrologic Engineering Center, Davis, CA.
USACE (2002) Hydrologic Modeling System HEC-HMS Applications Guide. Hydrologic Engineering Center, Davis,
CA.CHAPTER 2

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2 Primer on Models
This chapter explains basic concepts of modeling and the most important properties of models. It also defines
essential terms used throughout this technical reference manual.

2.1 What is a Model?

Hydrologic engineers are called upon to provide information for a variety of water resource studies:
• Planning and designing new hydraulic-conveyance and water-control facilities.
• Operating and/or evaluating existing hydraulic-conveyance and water-control facilities.
• Preparing for and responding to floods and/or droughts.
• Regulating floodplain activities.
• Developing plans that use water to enhance environmental function.
In rare cases, the record of historical flow, stage or precipitation satisfies the information need. More commonly,
watershed runoff must be predicted to provide the information. For example, a flood-damage reduction study may
require an estimate of the increased volume of runoff for proposed changes to land use in a watershed. However,
no record will be available to provide this information because the change has not yet taken place. Similarly, a
forecast of reservoir inflow may be needed to determine releases if a tropical storm alters its course and moves over
a watershed. Waiting to observe the flow is not acceptable. The alternative is to use a model to provide the
information.
A model relates something unknown (the output) to something known (the input). In the case of the models that
are included in the program, the known input is precipitation, temperature, and perhaps other meteorologic data.
The unknown output is usually runoff. For applications other than watershed runoff estimation, the known input is
upstream flow and the unknown output is downstream flow.

2.2 Model Classification

Models take a variety of forms. Physical models are reduced-dimension representations of real world systems. A
physical model of a watershed, such as the model constructed in the lab at Colorado State University, is a large
surface with overhead sprinkling devices that simulate the precipitation input. The surface can be altered to
simulate various land uses, soil types, surface slopes, and so on; and the rainfall rate can be controlled. The runoff
can be measured, as the system is closed. A more common application of a physical model is simulation of open
channel flow. The Corps of Engineers San Francisco District maintains and operates the Bay-Delta Model to provide
information for answering questions about complex hydraulic flow in the San Francisco Bay and upstream
watershed.
Table 2.What is a mathematical model?

…a quantitative expression of a process or phenomenon one is observing, analyzing, or predicting (Overton

and Meadows, 1976)

…simplified systems that are used to represent real-life systems and may be substitutes of the real systems for
certain purposes. The models express formalized concepts of the real systems. (Diskin, 1970)

…a symbolic, usually mathematical representation of an idealized situation that has the important structural
properties of the real system. A theoretical model includes a set of general laws or theoretical principles and a
set of statements of empirical circumstances. An empirical model omits the general laws and is in reality a
representation of the data. (Woolhiser and Brakensiek, 1982)

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…idealized representations…They consist of mathematical relationships that state a theory or hypothesis.

(Meta Systems, 1971)

Researchers have also developed analog models that represent the flow of water with the flow of electricity in a
circuit. With those models, the input is controlled by adjusting the amperage, and the output is measured with a
voltmeter. Historically, analog models have been used to calculate subsurface flow.

The HEC-HMS program includes models in a third category—mathematical models. In this manual, that term
defines an equation or a set of equations that represent the response of a hydrologic system component to a
change in hydrometeorological conditions. Table 2 shows some other definitions of mathematical models; each of
these applies to the models included in the program.
Mathematical models, including those that are included in the program, can be classified using a number of
different criteria. These focus on the mechanics of the model: how it deals with time, how it addresses randomness,
and so on. While knowledge of this classification is not necessary to use the program, it is helpful in deciding which
of the models to use for various applications. For example, if the goal is to create a model for predicting runoff from
an ungaged watershed, the fitted-parameter models included in the program that require unavailable data are a
poor choice. For long-term runoff forecasting, use a continuous model, rather than a single-event model; the former
will account for system changes between rainfall events, while the latter will not.

2.2.1 Event or Continuous

This distinction applies primarily to models of infiltration, surface runoff, and baseflow. An event model simulates a
single storm. The duration of the storm may range from a few hours to a few days. The key identifying feature is that
the model is only capable of representing watershed response during and immediately after a storm. Event
infiltration models do not include redistribution of the wetting front between storms and do not account for drying
of the soil through evaporation and transpiration. Often but not always, event infiltration models use a function of
cumulative loss to compute infiltration capacity. Unit hydrograph models of surface runoff are all classified as event
models because the respond to excess precipitation. Excess precipitation is the actual precipitation minus any
infiltrated loss. By definition, excess precipitation can only occur during a storm so these are also event models.
Some baseflow models are classified as event because they compute receding flow based on the peak flow rate
computed during a storm event. These same methods must include a capability to reset between storms to begin
the next recession; nevertheless they remain event models.

A continuous model simulates a longer period, ranging from several days to many years. In order to do so, it must
be capable of predicting watershed response both during and between precipitation events. For infiltration models,
this requires consideration of the drying processes that occur in the soil between precipitation events. Surface
runoff models must be able to account for dry surface conditions with no runoff, wet surface conditions that
produce runoff during and after a storm, and the transition between the two states. Baseflow methods become
increasing important in continuous simulation because the vast majority of the hydrograph is defined by inter-
storm flow characteristics. Most of the models included in HEC-HMS are event models.

2.2.2 Spatially-Averaged or Distributed

This distinction applies mostly to models of infiltration and surface runoff. A distributed model is one in which the
spatial (geographic) variations of characteristics and processes are considered explicitly, while in a spatially-
averaged model, these spatial variations are averaged or ignored. While not always true, it is often the case that
distributed models represent the watershed as a set of grid cells. Calculations are carried out separately for each
grid cell. Depending on the complexity of the model, a grid cell may interact with its neighbor cells by exchanging
water either above or below the ground surface.

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It is important that note that even distributed models perform spatial averaging. As we will see later in detail, most
of the models included in HEC-HMS are based on differential equations. These equations are written at the so-
called point scale. By point scale we mean that the equation applies over a length ∆x that is very small (differential)
compared to the size of the watershed. In a spatially-averaged model, the equation is assumed to apply at the scale
of a subbasin. Conversely, in a distributed model the equation is typically assumed to apply at the scale of a grid
cell. Therefore it is accurate to say that distributed models also perform spatial averaging but generally do so over a
much smaller scale than typical spatially-averaged models. HEC-HMS includes primarily spatially-averaged models.

2.2.3 Empirical or Conceptual

This distinction focuses on the knowledge base upon which the mathematical models are built. A conceptual model
is built upon a base of knowledge of the pertinent physical, chemical, and biological processes that act on the input
to produce the output. Many conceptual models are said to be based on "first principles." This usually means that a
control volume is established and equations for the conservation of mass and either momentum or energy are
written for the control volume. Conservation is a basic principle of physics that cannot be broken. Through the
writing of the equations, a model of the process will emerge. In other cases, conceptual models are developed
through a mechanistic view instead of first principles. A mechanistic view attempts to represent the dynamics of a
process explicitly. For example, water has been observed to move through soil in very predictable ways. A
mechanistic view attempts to determine what processes cause water to move as it is observed. If the processes can
be described by one or more mathematical equations, then a model can be developed to directly describe the
observed behavior.

An empirical model, on the other hand, is built upon observation of input and output, without seeking to represent
explicitly the process of conversion. These types of models are sometimes called "black box" models because they
convert input to output without any details of the actual physical process involved. A common way to develop
empirical models is to collect field data with observations of input and resulting output. The data is analyzed
statistically and a mathematical relationship is sought between input and output. Once the relationship is
established, output can be predicted for an observed input. For example, observations of inflow to a river reach and
resulting flow at a downstream location could be used to develop a relationship for travel time and attenuation of a
flood peak through the reach. These empirical models can be very effective so long as they are applied under the
same conditions for which they were originally developed. HEC-HMS includes both empirical and conceptual
models.

2.2.4 Deterministic or Stochastic

A deterministic model assumes that the input is exactly known. Further, it assumes that the process described by
the model is free from random variation. In reality there is always some variation. For example, you could collect a
large sample of soil in the field and take it into a laboratory. Next you could divide the large sample into 10 equal
small samples and estimate the porosity of each one. You would find a slightly different value for the porosity of
each small sample even though the large sample was collected from a single hole dug in the field. This is one
example of natural variation in model input. Process variation is somewhat different. Suppose a flood with a
specific peak flow enters a section of river. The flood will move down through the reach and the resulting outflow
hydrograph will show evidence of translation and attenuation. However, the bed of the river is constantly moving in
response to both floods and inter-flood channel flows. The movement of the bed means that the exact same flood
with the same specific peak flow could happen again, but the outflow hydrograph would be slightly different. While
you might try to describe the reach carefully enough to eliminate the natural variation in the process, it is not
practically possible to do so.

Deterministic models essentially ignore variation in input by assuming fixed input. The input may be changed for
different scenarios or historical periods, but the input still takes on a single value. Such an assumption may seem
too significant for the resulting model to produce meaningful results. However, deterministic models nevertheless

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are valuable tools because of the difficulty of characterizing watersheds and the hydrologic environment in the first
place. Stochastic models, on the other hand, embrace random variation by attempting to explicitly describe it. For
example, many floods in a particular river reach may be examined to determine the bed slope during each flood.
Given enough floods to examine, you could estimate the mean bed slope, its standard deviation, and perhaps infer
a complete probability distribution. Instead of using a single input like deterministic models, stochastic models
include the statistics of variation both of the input and process. All models included in HEC-HMS are deterministic.

2.2.5 Measured-Parameter or Fitted-Parameter

This distinction between measured and fitted parameters is critical in selecting models for application when
observations of input and output are unavailable. A measured-parameter model is one in which model parameters
can be determined from system properties, either by direct measurement or by indirect methods that are based
upon the measurements. The Green and Ampt infiltration model is an example of a measured parameter model. It
includes hydraulic conductivity and wetting front suction as parameters. Both parameters can be measured directly
using appropriate instruments imbedded in the soil during a wetting-drying cycle. Many other parameters used in
infiltration models can be reliably estimated if the soil texture is known; texture can be determined by direct visual
examination of the soil.

A fitted-parameter model, on the other hand, includes parameters that cannot be measured. Instead, the
parameters must be found by fitting the model with observed values of the input and the output. The Muskingum
routing model is an example of a fitted parameter model. The K parameter can be directly estimated as the travel
time of the reach. However, the X parameter is a qualitative estimate of the amount of attenuation in the reach. Low
values of X indicate significant attenuation while high values indicate pure translation. The only way to estimate the
value of X for a particular reach is to examine the upstream hydrograph and the resulting outflow hydrograph. HEC-
HMS includes both measured-parameter models and fitted-parameter models.

2.3 Constituents of a Model

The mathematical models that are included in the program describe how a watershed responds to precipitation
falling on it or to upstream water flowing into it. While the equations and the solution procedures vary, all the
models have the same components in common.

2.3.1 State Variables

These terms in the model's equations represent the state of the hydrologic system at a particular time and location.
For example, the deficit and constant-rate loss model that is described in Chapter 5 tracks the mean volume of
water in natural storage in the watershed. This volume is represented by a state variable in the deficit and constant-
rate loss model's equations. Likewise, in the detention model of Chapter 10, the pond storage at any time is a state
variable; the variable describes the state of the engineered storage system.

2.3.2 Parameters
These are numerical measures of the properties of the real-world system. They control the relationship of the
system input to system output. An example of this is the curve number that is a constituent of the SCS curve
number runoff model described in Chapter 5. This parameter, a single number specified when using the model,
represents complex properties of the real-world soil system. If the number increases, the computed runoff volume
will increase. If the number decreases, the runoff volume will decrease.
Parameters can be considered the "tuning knobs" of a model. The parameter values are adjusted so that the model
accurately predicts the physical system response. For example, the Snyder unit hydrograph model has two

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parameters, the basin lag, tp, and peaking coefficient, Cp. The values of these parameters can be adjusted to "fit"
the model to a particular physical system. Adjusting the values is referred to as calibration. Calibration is discussed
in Chapter 9.
Parameters may have obvious physical significance, or they may be purely empirical. For example, the Muskingum-
Cunge channel model includes the channel slope, a physically significant, measurable parameter. On the other
hand, the Snyder unit hydrograph model has a peaking coefficient, Cp. This parameter has no direct relationship to
any physical property; it can only be estimated by calibration.

2.3.3 Boundary Conditions

These are the values of the system input—the forces that act on the hydrologic system and cause it to change. The
most common boundary condition in the program is precipitation; applying this boundary condition causes runoff
from a watershed. Another example is the upstream (inflow) flow hydrograph to a channel reach; this is the
boundary condition for a routing model.

2.3.4 Initial Conditions

All models included in the program are unsteady-flow models; that is, they describe changes in flow over time. They
do so by solving, in some form, differential equations that describe a component of the hydrologic system. Solving
differential equations that involve time always requires knowledge about the state of the system at the beginning of
the simulation.
The solution of any differential equation is a report of how much the output changes with respect to changes in the
input, the parameters, and other critical variables in the modeled process. For example, the solution of the routing
equations will tell us the value of ∆Q/∆t, the rate of change of flow with respect to time. But in using the models for
planning, designing, operating, responding, or regulating, the flow values at various times are needed, not just the
rate of change. Given an initial value of flow, Q at some time t, in addition to the rate of change, then the required
values are computed using the following equation in a recursive fashion:

In this equation, Qt-∆t is the initial condition; the known value with which the computations start.
The initial conditions must be specified to use any of the models included in the program. With the volume-
computation models, the initial conditions represent the initial state of soil moisture in the watershed. With the
runoff models, the initial conditions represent the runoff at the start of the storm being analyzed. With the routing
models, initial conditions represent the flows in the channel at the start of the storm. Moreover, with the models of
detention storage, the initial condition is the state of storage at the beginning of the runoff event.

2.4 Models and Computer Programs

Many engineers and scientists will use the term "model" to refer to a variety of different things. An equation can
properly be called a model because it does "model" or describe the behavior of a physical system. "Model" can also
be used to refer to a primary equation and additional supporting equations or graphs that are used to estimate
parameters for the primary equation. A good example of this second use of model is the Snyder unit hydrograph
model, described in Chapter 6. An input "model" describes how data required to solve equations is acquired,
processed, and prepared for use. Finally, a computer program may also be called a "model" because is solves
equations that describe a physical system. For clarity, this manual minimizes the use of the term "model" in an
attempt to reduce ambiguity. These terms are used:

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2.4.1 Method
As noted above, a mathematical model is the equations that represent the behavior of hydrologic system
components. This manual uses the term method in this context. For example, the Muskingum-Cunge channel
routing method described in Chapter 8 encapsulates equations for continuity and momentum to form a
mathematical model of open-channel flow for routing. All of the details of the equations, initial conditions, state
variables, boundary conditions, and technique of solving the equations are contained within the method.

2.4.2 Input
When the equations of a mathematical model are solved with site-specific conditions and parameters, the
equations describe the processes and predict what will happen within a particular watershed or hydrologic system.
In this manual, this is referred to as an application of the model. In using a program to solve the equations, input to
the program is necessary. The input encapsulates the site-specified conditions and parameters. With HEC-HMS, the
information is supplied by completing forms in the graphical user interface. The input may also include time-series
data, paired data functions, or grid data from an HEC-DSS database (USACE, 1995).

2.4.3 Program
If the equations of a mathematical model are too numerous or too complex to solve with pencil, paper, and
calculator, they can be translated into computer code. Techniques from a branch of mathematics called numerical
analysis are used to solve the equations within the constraints of performing calculations with a computer. The
result is a computer program. The term model is often applied to a computer program because the particular
program only solves one mathematical model. However, HEC-HMS includes a variety of methods for modeling
hydrologic components. Thus it does not make sense to call it a model; it is a computer program.
Programs may be classified broadly as those developed for a specific set of parameters, boundary conditions or
initial conditions, and those that are data-driven. Programs in the first category are "hard wired" to represent the
system of interest. To change parameters, boundary conditions or initial conditions, the program code must be
changed and recompiled. HEC-HMS is in the second category of programs—generalized so that such fundamental
changes are not required. Instead, these programs are tailored to the system of interest through changes to data in
a database or changes to parameters, boundary conditions, or initial conditions in the input. Also, not all methods
can be applied in all circumstances and selections must be made carefully. Criteria to assist in selecting a method
for a particular application are listed at the end of each chapter.

2.5 References0
Diskin, M.H. (1970). "Research approach to watershed modeling, definition of terms." ARS and SCS watershed
modeling workshop, Tucson, AZ.
Ford, D.T., and Hamilton, D. (1996). "Computer models for water-excess management." Larry W. Mays ed., Water
resources handbook, McGraw-Hill, NY.
Meta Systems (1971). Systems analysis in water resources planning. Water Information Center, NY.
Overton, D.E., and Meadows, M.E. (1976). Stormwater modeling. Academic Press, NY.
USACE (1995) HEC-DSS user's guide and utility manuals. Hydrologic Engineering Center, Davis, CA.
Woolhiser, D.A, and D.L. Brakensiek (1982) "Hydrologic system synthesis." Hydrologic modeling of small
watersheds, American Society of Agricultural Engineers, St. Joseph, MO.CHAPTER 3

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3 Program Components
This chapter describes how the methods included in the program conceptually represent watershed behavior. It
also identifies and categorizes these methods on the basis of the underlying mathematical models.

3.1 Watershed Processes

Figure 1 is a systems diagram of the watershed runoff process, at a scale that is consistent with the scale modeled
well with the program. The processes illustrated begin with precipitation. The precipitation may be rainfall or could
optionally include snowfall as well. In the simple conceptualization shown, the precipitation can fall on the
watershed's vegetation, land surface, and water bodies such as streams and lakes.

Figure 1.Systems diagram of the runoff process at local scale (after Ward, 1975).
In the natural hydrologic system, much of the water that falls as precipitation returns to the atmosphere through
evaporation from vegetation, land surfaces, and water bodies and through transpiration from vegetation. During a
storm event, this evaporation and transpiration is limited. The limitation occurs because the meteorologic
conditions that result in precipitation often reduce evaporation nearly to zero by decreasing solar radiation and
increasing relative humidity. Transpiration from vegetation may also be reduced during a storm because of
decreased temperature. Finally, the short time window of a storm event does not allow the evaporation and
transpiration processes to make a significant difference on the total water balance. However, evaporation and
transpiration are almost always major components of the total water balance over long time windows, often
returning a majority of the precipitation back to the atmosphere.
Some precipitation on vegetation falls between the leaves or runs down stems, branches, and trunks to the land
surface, where it joins the precipitation that fell directly onto the surface. This is called through-fall and stem-flow,
respectively. Once on the land surface, the water may pond, and depending upon the soil type, ground cover,
antecedent moisture and other watershed properties, a portion may infiltrate. This infiltrated water is stored
temporarily in the upper, partially saturated layers of soil. From there, it may rise to the surface again by capillary
action. When enough water has infiltrated to create saturation zones, it begins to move vertically, and perhaps
horizontally. The saturation point at which this occurs is called the field capacity. The presence of interflow
(horizontal subsurface flow) is greatly enhanced by impeding layers such as clay. A saturated zone may develop
above the impeding layer and horizontally just above it. The interflow eventually moves into the stream channel.
Soil water above the field capacity also moves vertically as gravity drainage in a process called percolation.
Percolation water eventually enters the groundwater aquifer beneath the watershed. Water in the aquifer moves

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slowly, but eventually, some returns to the channels as baseflow. Under some conditions, water in the stream
channel may move to the groundwater aquifer as recharge.
Water that does not pond on the land surface or infiltrate into the soil moves by overland flow to a stream channel.
The stream channel is the combination point for the overland flow, the precipitation that falls directly on water
bodies in the watershed, and the interflow and baseflow. Thus, resultant streamflow is the total watershed outflow.

3.2 Representation of Watershed Processes

The appropriate representation of the system shown in Figure 1 depends upon the information needs of a
hydrologic-engineering study. For some analyses, a detailed accounting of the movement and storage of water
through all components of the system is required. For example, to estimate changes due to modifications of
watershed land use, it may be appropriate to use a long record of precipitation to construct a corresponding long
record of runoff, which can be statistically analyzed. In that case, evapotranspiration, infiltration, percolation, and
other movement and storage should be tracked over a long period. To do so, a loss method must be selected that is
detailed and includes all of the necessary components. The program includes such a method.
On the other hand, such a detailed accounting is not necessary for many of the reasons for conducting a water
resources study. For example, if the goal of a study is to determine the area inundated by a storm of selected
exceedance probability, a detailed accounting and reporting of the amount of water stored in the upper soil layers
is not needed. Instead, only an accurate report the peak, or the volume, or the hydrograph of watershed runoff is
required. In this and similar cases, the "view" of the hydrologic process can be simpler. Then, as illustrated in Figure
2, only those components necessary to predict runoff are represented in detail, and the other components are
simplified or omitted entirely. For example, in a common application, detailed accounting of movement of water
within the soil can be omitted. In this "reductionist" view, the program is configured to include an infiltration
method for the land surface, but it does not model storage and movement of water vertically within the soil layer. It
implicitly combines the near surface flow and overland flow as direct runoff. It does not include a detailed model of
interflow or flow to the groundwater aquifer, instead representing only the combined outflow as baseflow.

Figure 2.Typical representation of watershed runoff.

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3.3 Synopsis of Program Methods

The program uses a separate method to represent each component of the runoff process that is illustrated in Figure
2, including:
• Methods that process precipitation, snow, and potential evapotranspiration meteorologic data.
• Methods that compute infiltration and the resulting runoff volume.
• Methods that represent direct runoff, including overland flow and interflow.
• Methods for describing baseflow.
• Methods for computing channel flow.
The methods that compute infiltration and the resulting runoff volume are listed in Table 3. These methods address
questions about the volume of precipitation that falls on the watershed: How much infiltrates on pervious surfaces?
How much runs off of the impervious surfaces? When does it run off?
The methods for surface runoff are listed in Table 4. These methods describe what happens as water that has not
infiltrated or been stored on the watershed moves over or just beneath the watershed surface. Table 5 lists the
models of baseflow. These simulate the slow subsurface drainage of water from the system into the channels.
The choices for modeling channel flow within the program are listed in Table 6. These so-called hydrologic routing
models simulate one-dimensional open channel flow. An exception is the kinematic wave method which is a
simplified hydraulic routing model.
Table 3.Loss methods for computing infiltration.

Model Categorization

Deficit and constant continuous, spatially averaged, conceptual, measured

parameter

Exponential event, spatially averaged, empirical, fitted parameter

Green and Ampt event, spatially averaged, conceptual, measured parameter

Gridded deficit and constant continuous, distributed, conceptual, measured parameter

Gridded SCS curve number event, distributed, empirical, fitted parameter

Gridded SMA continuous, distributed, empirical, fitted parameter

Initial and constant event, spatially averaged, conceptual, fitted and measured
parameter

SCS curve number event, spatially averaged, empirical, fitted parameter

Smith Parlange event, spatially averaged, conceptual, measured parameter

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Soil moisture accounting (SMA) continuous, spatially averaged, conceptual, fitted and
measured parameter

Table 4. Transform methods for computing surface runoff.

Model Categorization

User-specified unit hydrograph (UH) event, spatially averaged, empirical, fitted parameter

User-specified s-graph event, spatially averaged, empirical, fitted parameter

Clark's UH event, spatially averaged, empirical, fitted parameter

Snyder's UH event, spatially averaged, empirical, fitted and measured

parameter

SCS UH event, spatially averaged, empirical, fitted parameter

ModClark event, distributed, empirical, fitted parameter

Kinematic wave continuous, spatially averaged, conceptual, measured

parameter

Table 5.Baseflow methods for computing subsurface flow.

Model Categorization

Bounded recession event, spatially averaged, empirical, fitted parameter

Constant monthly continuous, spatially averaged, empirical, fitted parameter

Exponential recession event, spatially averaged, empirical, fitted parameter

Linear reservoir continuous, spatially averaged, empirical, fitted parameter

Nonlinear Boussinesq event, spatially averaged, conceptual, measured parameter

Table 6.Routing methods for computing open channel flow..

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Model Categorization

Kinematic wave continuous, spatially averaged, conceptual, measured parameter

Lag continuous, spatially averaged, empirical, fitted parameter

Modified Puls continuous, spatially averaged, empirical, fitted parameter

Muskingum event, spatially averaged, empirical, fitted parameter

Muskingum-Cunge continuous, spatially averaged, quasi-conceptual, measured

parameter

Straddle-stagger continuous, spatially averaged, empirical, fitted parameter

Confluence continuous, conceptual, measured parameter

Bifurcation continuous, conceptual, measured parameter

Reservoir Continuous, empirical or conceptual, measured parameter

3.4 Program Setup and Application

The program has been designed to be as flexible as possible in how the hydrologic system is defined. For example,
you could choose to combine the deficit and constant loss method with the Clark transform method. The program
will do the work of connecting the infiltration and excess precipitation from the loss method to the transform
method for computing surface runoff. Most methods can be successfully combined with any other method to
compute watershed discharge. However, the applicability of any particular method depends on the characteristics
of the watershed and some methods may not be appropriate for some hydrologic-engineering studies.
The program has also been designed to be flexible in the order in which setup is performed. However, some
components must exist before others can be created. For example, infiltration calculations cannot be performed
until precipitation data has been defined. To analyze a hydrologic system, the following steps work best:
1. Create a new project.
2. Enter shared component data.
3. Define the physical characteristics of the watershed by creating and editing a basin model.
4. Describe the meteorology by creating a meteorologic model.
5. Enter simulation time windows by creating control specifications.
6. Create a simulation by combining a basin model, meteorologic model, and control specifications and view
results.
7. Create or modify data.
8. Make additional simulations and compare results.
Create a New Project
Create a new project by selecting the File New… menu command. After you press the button a window will open

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where you can name, choose a location on your computer or a network computer to save the new project, and
enter a description for the new project. If the description is long, you can press the button to the right of the
description field to open an editor. You should also select the default unit system; you can always change the unit
system for any component after it is created but the default provides convenience. Press the Create button when
you are satisfied with the name, location, and description. You cannot press the Create button if no name or
location is specified for the new project. If you change your mind and do not want to create a new meteorologic
model, press the Cancel button or the X button in the upper right of the Create a New Project window.
Enter Shared Project Data
Shared data includes time-series data, paired data, and grid data. Shared data is often required by basin and
meteorologic models. For example, a reach element using the Modified-Puls routing method requires a storage-
discharge relationship for the program to calculate flow through the reach. Error! Reference source not found.
contains a complete list of shared data types used by the program.
Open a component manager to add shared data to a project. Go to the Components menu and select Time-Series
Data Manager, Paired Data Manager, or Grid Data Manager command. Each one of these component managers
contains a menu for selecting the type of data to create or manage. The Paired Data Manager with the Storage-
Discharge data type selected is shown in Figure 3. Once the data type is selected, you can use the buttons on the
right side of the component manager to add a New, Copy, Rename, and Delete a data type. In the case or time-
series data, the manager contains two extra buttons to add or delete time windows. A time window is needed for
entering or viewing time-series data.
Table 7.Different kinds of shared component data that may be required.

Time-Series Data Paired Data Grid Data

Precipitation Storage-discharge Precipitation

Discharge Elevation-storage Temperature

Stage Elevation-area Solar radiation

Temperature Elevation-discharge Crop coefficient

Solar radiation Inflow-diversion Storage capacity

Windspeed Diameter-percentage Percolation rate

Crop coefficient Cross sections Storage coefficients

Snow water equivalent Unit hydrograph curves Moisture deficit

Sediment Load Percentage curves Impervious area

Concentration ATI-meltrate functions SCS curve number

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ATI-coldrate functions Elevation

Groundmelt patterns Cold content

Meltrate patterns Cold content ATI

Meltrate ATI

Liquid water content

Snow water equivalent

Figure 3.The paired data manager set to work with storage-discharge functions.
Describe the Physical Watershed
The physical watershed is represented in the basin model. Hydrologic elements are added and connected to one
another to model the real-world flow of water in a natural watershed. A description of each hydrologic element is
given in Table 8.
The basin model manager can be used to add a new basin model to the project. Open the basin model manager by
selecting the Components Basin Model Manager command. The basin model manager can be used to copy,
rename, or delete an existing basin model.
Once a basin model is created, hydrologic elements can be added to the basin map. Select the basin model in the
Watershed Explorer to open the basin map in the Desktop. If background map layers are available, add them to the
basin model before adding hydrologic elements. Add a hydrologic element by selecting one of the tools from the
toolbar, and clicking the left mouse button on the desired location in the basin map. Connect a hydrologic element
to a downstream element by placing the pointer tool over the upstream element icon and clicking the right mouse
button to access the Connect Downstream menu item.

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Most hydrologic elements require parameter data so that the program can model the hydrologic processes
represented by the element. In the case of the subbasin element, many mathematical models are available for
determining precipitation losses (Table 3), transforming excess precipitation to stream flow at the subbasin outlet
(Table 4), and adding baseflow (Table 5). Models are also available for computing open channel flow (Table 6). In
this document the different mathematical models will be referred to as methods. Parameter data is entered in the
Component Editor. Select a hydrologic element in the basin map or Watershed Explorer to open the correct
Component Editor. An example is shown in . Global parameter editors can also be used to enter or view parameter
data for many hydrologic elements in one table. Global parameter editors are opened by selecting the Parameters
menu. An example of a global editor is shown in Figure 5.

Figure 4.Subbasin component editor including data for loss, transform, and baseflow methods. Area is required.

Figure 5.Global editor for the initial and constant loss method.
Table 8.Different kinds of hydrologic elements in a basin model.

Hydrologic Element Description

Subbasin The subbasin is used to represent the physical watershed. Given

precipitation, outflow from the subbasin element is calculated by
subtracting precipitation losses, calculating surface runoff, and adding
baseflow.

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Reach The reach is used to convey streamflow in the basin model. Inflow to the
reach can come from one or many upstream elements. Outflow from the
reach is calculated by accounting for translation and attenuation. Channel
losses can optionally be included in the routing.

Junction The junction is used to combine streamflow from elements located

upstream of the junction. Inflow to the junction can come from one or
many upstream elements. Outflow is calculated by summing all inflows.

Source The source element is used to introduce flow into the basin model. The
source element has no inflow. Outflow from the source element is defined
by the user.

Sink The sink is used to represent the outlet of the physical watershed. Inflow
to the sink can come from one or many upstream elements. There is no
outflow from the sink.

Reservoir The reservoir is used to model the detention and attenuation of a

hydrograph caused by a reservoir or detention pond. Inflow to the
reservoir element can come from one or many upstream elements.
Outflow from the reservoir can be calculated using one of three routing
methods.

Diversion The diversion is used for modeling streamflow leaving the main channel.
Inflow to the diversion can come from one or many upstream elements.
Outflow from the diversion element consists of diverted flow and non-
diverted flow. Diverted flow is calculated using input from the user. Both
diverted and non-diverted flows can be connected to hydrologic elements
downstream of the diversion element.

Describe the Meteorology

The meteorologic model calculates the precipitation input required by a subbasin element. The meteorologic
model can utilize both point and gridded precipitation and has the capability to model frozen and liquid
precipitation along with evapotranspiration. The snowmelt methods model the accumulation and melt of the snow
pack. The evapotranspiration methods include the constant monthly method and the new Priestly Taylor and
gridded Priestly Taylor methods. An evapotranspiration method is only required when simulating the continuous or
long term hydrologic response in a watershed. A brief description of the methods available for calculating basin
average precipitation or grid cell precipitation is included in Table 9.
Use the meteorologic model manager to add a new meteorologic model to the project. Go to the Components
menu and select the correct option from the menu list. The meteorologic model manager can also be used to copy,
rename, and delete an existing meteorologic model.
Table 9.Precipitation methods available for describing meteorology.

Precipitation Methods Description

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Frequency Storm Used to develop a precipitation event where depths for various
durations within the storm have a consistent exceedance
probability.

Gage Weights User specified weights applied to precipitation gages.

Gridded Precipitation Allows the use of gridded precipitation products, such as NEXRAD
radar.

Inverse Distance Calculates subbasin average precipitation by applying an inverse

distance squared weighting with gages.

SCS Storm Applies a user specified SCS time distribution to a 24-hour total
storm depth.

Specified Hyetograph Applies a user defined hyetograph to a specified subbasin element.

Standard Project Storm Uses a time distribution to an index precipitation depth.

Enter Simulation Time Windows

A simulation time window sets the time span and time interval of a simulation run. A simulation time window is
created by adding a control specifications to the project. This can be done using the control specifications manager.
Go to the Components menu and select the correct option from the menu list. Besides creating a new simulation
time window, the control specifications manager can be used to copy, rename, and delete an existing window.
Once a new control specifications has been added to the project, use the mouse pointer and select it in the
Watershed Explorer. This will open the Component Editor for the control specifications as shown in Figure 6.
Information that must be defined includes a starting date and time, ending date and time, and computation time
step.

Figure 6.Control specifications Component Editor.

Simulate and View Results

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A simulation run calculates the precipitation-runoff response in the basin model given input from the meteorologic
model. The control specifications define the time period and time interval. All three components are required for a
simulation run to compute.
Create a new simulation run by selecting the Compute Create Simulation Run menu option. A wizard will open to
step you through the process of creating a simulation run. First, enter a name for the simulation. Then, choose a
basin model, meteorologic model, and control specifications. After the simulation run has been created, select the
run. Go to the Compute Select Run menu option. When the mouse moves on top of Select Run a list of available
runs will open. Choose the correct simulation. To compute the simulation, reselect the Compute menu and choose
the Compute Run option at the bottom of the menu.
Results can be accessed from the basin map and the Watershed Explorer, "Results" tab. Results are available as long
as a simulation run has been successfully computed and no edits have been made after the compute to any
component used by the simulation run. For example, if the time of concentration parameter was changed for a
subbasin element after the simulation run was computed, then results are no longer available for any hydrologic
element in the basin model. The simulation run must be recomputed for results to become available.
The simulation must be selected (from the Compute menu or Watershed Explorer) before results can be accessed
from the basin map. After the simulation run is selected, select the hydrologic element where you want to view
results. While the mouse is located on top of the element icon, click the right mouse button. In the menu that opens,
select the View Results option. Three result types are available: Graph, Summary Table, and Time-Series Table
(Figure 12). These results can also be accessed through the toolbar and the Results menu. A hydrologic element
must be selected before the toolbar buttons and options from the Results menu are active. A global summary table
is available from the toolbar and Results menu. The global summary table contains peak flows and time of peak
flows for each hydrologic element in the basin model.
Results can also be viewed from the Watershed Explorer, "Results" tab. Select the simulation run and the Watershed
Explorer will expand to show all hydrologic elements in the basin model. If you select one of the hydrologic
elements, the Watershed Explorer expands again to show all result types as shown in Figure 13. For a subbasin
element, you might see outflow, incremental precipitation, excess precipitation, precipitation losses, direct runoff,
and baseflow as the output results. Select one of these results to open a preview graph. Multiple results can be
selected and viewed by holding down the Control or Shift buttons. Results from multiple hydrologic elements can
be viewed together. Also, results from different simulation runs can be selected and viewed. Once output types are
selected in the Watershed Explorer, a larger graph or time-series table can be opened in the Desktop by selecting the
Graph and Time-Series buttons on the toolbar.

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Figure 7.Accessing results for the current simulation run using the basin map.
Create or Modify Data
Many hydrologic studies are carried out to estimate the change in runoff given some change in the watershed. For
example, a residential area is planned in a watershed. The change in flow at some point downstream of the new
residential area is required to determine if flooding will occur as a result of the residential area. If this is the case,
then two basin models can be developed. One is developed to model the current rainfall-runoff response given
predevelopment conditions and another is developed to reflect future development.
An existing basin model can be copied using the basin model manager or the right mouse menu in the Watershed
Explorer. In the Watershed Explorer, "Components" tab, select the basin model. Keep the mouse over the selected
basin model and click the right mouse button. Select the Create Copy… menu item to copy the selected basin
model. The copied basin model can be used to model the future development in the watershed.
To reflect future changes in the watershed, method parameters can be changed. For example, the percent
impervious area can be increased for a subbasin element to reflect the increase in impervious area from
development. Routing parameters can also be adjusted to reflect changes to the routing reach.
Make Additional simulations and Compare Results
Additional simulations can be created using new or modified model components. Results from each simulation run
can be compared to one another in the same graph or time-series table. Select the "Results" tab in the Watershed
Explorer. Select each simulation run that contains results you want to compare. The Watershed Explorer will expand
to show all hydrologic elements in the basin models. Select the hydrologic element in all simulation runs where
results are needed. This will expand the Watershed Explorer even more to show available result types. Press the

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Control key and select each output result from the different simulation runs. When a result type is selected the
result is added to the preview graph. Once all the results have been selected, a larger graph or time-series table can
be opened by selecting the Graph and Time-Series buttons on the toolbar as seen in Figure 8.

Figure 8.Graph comparing outflow in the same element in two different simulation runs. The correct time-series were
selected in the Watershed Explorer and then the graph toolbar button was pressed.

3.5 References1
USACE (2005) HEC-HMS user's manual. Hydrologic Engineering Center, Davis, CA.
Ward, R.C. (1975) Principles of hydrology. McGraw-Hill Book Company (UK) Limited, London.
CHAPTER 4

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4 Precipitation
In the view of watershed hydrology, as illustrated by Figure 2, the response of a watershed is driven by precipitation
that falls on the watershed and evapotranspiration from the watershed. The precipitation may be observed rainfall
from a historical event, it may be a frequency-based hypothetical rainfall event, or it may be an event that
represents the upper limit of precipitation possible at a given location. Historical precipitation data are useful for
calibration and verification of model parameters, for real-time forecasting, and for evaluating the performance of
proposed designs or regulations. Data from the second and third categories—commonly referred to as hypothetical
or design storms—are useful if performance must be tested with events that are outside the range of observations
or if the risk of flooding must be described. This chapter describes methods of specifying and analyzing historical or
hypothetical-storm precipitation.

4.1 Basic Concepts

Precipitation is the driving force behind all hydrologic processes. In the strict sense, precipitation includes rain,
snow, ice, and every other form of water falling from the atmosphere and reaching the earth's surface. Without
precipitation, there can be no infiltration, transpiration, surface runoff, baseflow, channel flow, or any other
hydrologic process.

4.1.1 Mechanisms of Precipitation

While all precipitation involves some form of water falling from the atmosphere to the land surface, precipitation
forms for a variety of reasons. Two principal mechanisms of precipitation are coalescence and cooling.
Coalescence
Under the coalescence mechanism, a water droplet forms around a nuclei when the temperature is below the dew
point. The nuclei could be a dust particle, carbon dioxide, salt particle, or any other airborne non-water particle. As
the amount of water coalesced in the droplet increases, the droplet falls at an increased velocity. The droplet will
break apart when its diameter reaches approximately 7 mm. The pieces of the broken droplet can then form the
nuclei of more droplets. Depending on wind conditions in the atmosphere, a droplet may grow and break apart
many times before it finally reaches the ground.
Cooling
Under the cooling mechanism, precipitation occurs when the amount of moisture in the atmosphere exceeds the
saturation capacity of air. Warm air can hold more water than cold air. If warm, moist air is cooled sufficiently, water
in excess of the saturation capacity will fall as precipitation. Adiabatic cooling occurs when an air mass at a low
elevation is lifted to a higher elevation. Frontal cooling happens along the border between a warm weather front
and a cold front. Contact cooling is the result of warm air blowing across a cold lake. Finally, radiation cooling
occurs when air is heated during the day and absorbs evaporated water, but then cools during the night. Any of the
various cooling processes can lead to precipitation. Certain cooling processes may be more likely at some times of
the year, and not all processes occur over every watershed.

4.1.2 Types of Precipitation

There are three different types of precipitation that are classified by the producing mechanism. The different types
are closely related to weather patterns.
Convective
Convective precipitation occurs when warm, moist air rises in the atmosphere. Pressure decreases as elevation
increases, which causes the temperature to fall. If the moist air mass rises to a sufficiently high elevation,

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precipitation will condense and fall. The tremendous energy associated with convection processes often leads to
very intense precipitation rates. However, a convective storm usually has a small area and a short duration.
Summer thunderstorms are the principal example of this type of precipitation.
Cyclonic
Cyclonic precipitation occurs when warm, moist air is drawn into a low-pressure, cold front. The warm air rises as it
is drawn into the low-pressure zone and is subjected to adiabatic cooling. The intensity of the precipitation is
determined by the magnitude of the low-pressure system and the presence of a warm and moist air mass. Cyclonic
storms tend to be large and have a light to medium-intensity precipitation rate. Because of their large size, they
tend to have a long duration. Most precipitation is the result of cyclonic activity.
Orographic
Orographic precipitation results when an air mass is lifted as it encounters topographic obstacles. A cold front is
usually the driving force that pushes the air mass towards the obstacle, usually a mountain range. The moist air
mass is mechanically lifted when the cold front forces it against a mountain range. The air mass is forced up in
elevation where it cools adiabatically and precipitation results. It is important to realize that precipitation is not
automatically orographic because the precipitation occurs over mountains. Orographic precipitation only results
when the air mass moves perpendicular to the mountains. Within the United States, these storms are often found in
the Cascade, Sierra Nevada, and Rocky mountains.

4.1.3 Measuring Precipitation

Accurately measuring precipitation is one of the greatest challenges in water resources engineering; the lack of
measured precipitation may be a significant hurdle to hydrologic modeling. The complexity, accuracy, and
robustness of a hydrologic model are meaningless if the precipitation boundary condition is incorrect. Precipitation
can be measured at a point using some type of gage, or it can be measured spatially using a tool such as radar.
Point Measurements from Gages
Each of the precipitation measuring devices described in Table 10 captures rainfall or snowfall in a storage
container that is open to the atmosphere. The depth of the collected water is then observed, manually or
automatically, and from those observations, the depth of precipitation at the location of the gage is obtained.

Table 10.Precipitation field monitoring options (WMO, 1994)

Option Categorization

Manual (also referred to as non-recording, This gage is read by a human observer. An example is shown
totalizer, or accumulator gage) in Figure 9. Often such gages are read daily, so detailed
information about the short-term temporal distribution of the
rainfall is not available.

Automatic hydrometeorological observation This type of gage observes and records precipitation
station automatically. An example is a weighing gage with a strip-
chart data logger. With this gage, the temporal distribution is
known, as a continuous time record is available. In the HEC-
HMS, a gage at which the temporal distribution is known is
referred to as a recording gage.

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Telemetering hydrometeorological This type of gage observes and transmits precipitation depth
observation station automatically, but does not store it locally. An example is an
ALERT system tipping bucket raingage with UHF radio
transmitter. Telemetering gages are typically recording gages.
Figure 10 is an example of such a gage.

Telemetering automatic hydrometeorological This type of gage observes, records, and transmits
observation station automatically. It is a recording gage.

Figure 9.Manual precipitation gage.

1 Figure 10. Telemetering precipitation observation gage

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Areal Measurements from Radar

Figure 11 shows a typical (but very simple) situation. Runoff is to be predicted for the watershed shown. Rainfall
depths are measured at reporting gages A and B near the watershed.

Figure 11.Mean areal precipitation can be computed as a weighted-average of depths at gages A and B.

From the gaged data, one might estimate mean areal precipitation (MAP) as a weighted average of the depths
observed. The weights assigned might depend, for example, on how far the gage is from one or more user-specified
index points in the watershed. In this example, if an index point at the centroid of the watershed is selected, then
the weights will be approximately equal, so the MAP will equal the arithmetic average of the depths observed at
gages A and B.
The MAP estimated from the gage network in this manner is a good representation of rainfall on a watershed if the
raingage network is adequately dense in the vicinity of the storm. The gages near the storm must also be in
operation, and must not be subject to inadvertent inconsistencies (Curtis and Burnash, 1996).
The National Weather Service provides guidelines on the density of a raingage network. These suggest that the
minimum number of raingages, N, for a local flood warning network is:

in which A = area in square miles. However, even with this network of more than the minimum number of gages, not
all storms may be adequately measured. Precipitation gages such as those illustrated in Figure 9 and Figure 10 are
typically 8-12 inches (20-30 cm) in diameter. Thus, in a one sq-mi (2.6 km2) watershed, the catch surface of the gage
represents a sample of precipitation on approximately 1/100,000,000th of the total watershed area. With this small
sample size, isolated storms may not be measured well if the storm cells are located over areas in which "holes"
exist in the gage network or if the precipitation is not truly uniform over the watershed.
The impact of these "holes" is illustrated by Figure 12. Figure 12(a) shows the watershed from Figure 11, but with a
storm superimposed. In this case, observations at gages A and B would not represent well the rainfall because of
the areal distribution of the rainfall field. The "true" MAP likely would exceed the MAP computed as an average of
the observations. In that case, the runoff would be under-predicted. Similarly, the gage observations do not
represent well the true rainfall in the case shown in Figure 12(b). There, the storm cell is over gage A, but because of
the location of the gage, it is not a good sampler of rainfall for this watershed. Thus, in the second case the runoff
might be over-predicted.

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Figure 12. Lack of coverage can complicate MAP estimation.

One potential solution to the problem of holes in the rainfall observations is to increase the number of gages in the
network. But even as the number of gages is increased, one cannot be assured of measuring adequately the rainfall
for all storm events. Unless the distance between gages is less than the principal dimension of a typical storm cell,
the rainfall on a watershed may be improperly estimated. A second solution is to use of rainfall depth estimates
from weather radar.
The WMO Guide to hydrological practices (1994) explains that 
Radar permits the observation of the location and movement of areas of precipitation, and certain types of radar
equipment can yield estimates of rainfall rates over areas within range of the radar.
Weather radar data are available from National Weather Service (NWS) Weather Surveillance Radar Doppler units
(WSR-88D) throughout much of the United States. Each of these units provides coverage of a 230-km-radius circular
area. The WSR-88D radar transmits an S-band signal that is reflected when it encounters a raindrop or another
obstacle in the atmosphere. The power of the reflected signal, which is commonly expressed in terms of reflectivity,
is measured at the transmitter during 360º azimuthal scans, centered at the radar unit. Over a 5- to 10-minute
period, successive scans are made with 0.5º increments in elevation. The reflectivity observations from these scans
are integrated over time and space to yield estimates of particle size and density in an atmospheric column over a
particular location. Varying levels of analysis may be performed to check and correct inconsistencies in the
measured data. The final data products are distributed in a variety of digital formats. Grid cells are typically on the
order of 4 km by 4 km.

4.1.4 Program Data Requirements

Chapter 6 provides details of the models for computing surface runoff from precipitation: the alternatives are
various forms of the unit-hydrograph methods, and the kinematic-wave method. Inherent in methods of both types
is an assumption that the precipitation is distributed uniformly over the watershed for a given time duration. This,
in turn, requires specifying the properties of this uniform rainfall. In the program, these properties include (1) the
total depth of the watershed precipitation, and (2) the temporal distribution of that precipitation.
Most of the precipitation methods included in the program compute a precipitation hyetograph for all of the
subbasins in a basin model. The hyetograph is a time-series of precipitation, so it includes both the depth and
timing of the precipitation. Note that the hyetograph represents a mean precipitation condition over the subbasin.
The gridded precipitation method is an exception; it computes grids of precipitation over each subbasin instead of
a hyetograph. Even so, the gridded precipitation is essentially a hyetograph for each grid cell.

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4.2 User-Specified Hyetograph

The program includes a rich variety of methods for processing raw precipitation data into a hyetograph for each
subbasin. However, there are so many methods for processing precipitation data that it is not feasible to include all
of them within the program. This method allows you to process your own data and provide a hyetograph for the
program to use. You may also choose to subdivide a watershed into many subbasins so that it becomes reasonable
to use only one precipitation gage for each subbasin. In either case, the program makes no assumptions about the
source of the precipitation data, it only applies the hyetograph to each subbasin as specified by the user. The
hyetograph is entered in the program as if it were gage data.
While all of the major processing of the raw data must be performed external to the program, some "convenience"
processing is done. The hyetograph entered by the user will be at some interval, for example, 15 minutes. However,
you may wish to use control specifications with a time step different from the original data. Instead of re-entering
the data manually, the program will automatically interpolate the data to the requested time step. While the data
may be entered as incremental or cumulative, it will be converted to cumulative before interpolation is performed.
The interpolation process does not affect the original data, it is performed "on-the-fly" during a compute so that the
data agrees with the time step.
The hyetograph entered by the user inherently includes both volume and timing information. In most cases the
data should be used exactly as entered, with the possibility of interpolation described above. In some cases it is
convenient to prepare a hyetograph that should be treated as a pattern. In this case, the volume implicit in the
hyetograph is not as important and the timing pattern it represents. You may optionally enter a total storm depth
when selecting a hyetograph for each subbasin. This can be useful when examining the impact of the same storm
occurring with a different precipitation depth.

4.3 User-Specified Gage Weights

Many watersheds are large enough that they contain multiple precipitation gages, especially in urban areas. An
important question is immediately presented: How should the information at each gage be used to compute MAP
over the watershed? A common approach is to take a fraction of the precipitation that occurs at each gage in order
to compute MAP. The user-specified gage weights method provides a great deal of flexibility for the user to specify
fractions using a generalized weighting scheme. 

4.3.1 Basic Concepts and Equations

The required watershed precipitation depth can be inferred from the depths at gages using an averaging scheme.
Thus:

where PMAP = total storm MAP over the subbasin; pi(t) = precipitation depth measured at time t at gage i; and wi =
weighting factor assigned to gage i. If gage i is not a recording device, the quantity is replaced by the total
storm depth entered by the user. Many techniques have been developed for computing the gage weighting factors
for a subbasin; some of them are described in the next section on estimating parameters.
Problems can occur when interpolating precipitation over a large subbasin. For many reasons, the mean annual
precipitation is likely to vary as a result of regional meteorological trends. When the variation is significant, the
techniques presented previously for estimating depth factors must be modified. Consider the case where a
precipitation gage has a mean annual precipitation depth of 76 cm. A subbasin in a study may be closer to that gage
than to any other, but the subbasin may have an estimated annual precipitation of 88 cm. This suggests that on
average, if 1 cm of precipitation is measured at the gage, that slightly more precipitation should be applied over the
subbasin. The index precipitation can be used to correct for this situation.

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The index precipitation for the gage and subbasin are applied together, by adjusting the gage data before it is used
with the MAP factors to calculate the MAP for the subbasin. The precipitation gage data is then computed as:

where PMAP = total storm MAP for the subbasin; pi(t) = precipitation depth measured at time t at gage i; Isub is the
index precipitation for the subbasin; Ii is the index precipitation for the gage. As before, if gage i is not a recording
device, the quantity is replaced by the total storm depth entered by the user. The index precipitation for a
gage is usually estimated as the mean annual precipitation computed from the historical records at the gage.
Another logical choice is to use the mean spring precipitation if the study goal is to produce a watershed model that
works well only in spring months. However, there is no rule that requires the index precipitation to be the mean
precipitation, whether for a year, a season, or a month. The index precipitation can be used carefully to apply a
user-selected ratio of the measured precipitation to each subbasin.
While the mean annual precipitation can be estimated for a gage using the historical record, it can be difficult to
estimate for a subbasin. Typically regional information on precipitation patterns must be used. One example of
generally available data for estimating the annual precipitation for a subbasin is the PRISM data set (Daly, Neilson,
and Phillips, 1994).
The time-series data recorded at each gage implicitly includes both volume and timing of the precipitation. In some
cases it may be desirable to change the volume for a gage without changing the timing. This may be necessary if
high winds during the storm cause the gage to under-catch precipitation and consequently under estimate the
actual precipitation. Specifying the total storm depth for a recording gage is always optional. When a total storm
depth is included, the precipitation gage data is then computed as:

where PMAP = total storm MAP for the subbasin; pi(t) = precipitation depth measured at time t at gage i; Isub is the
index precipitation for the subbasin; Ii is the index precipitation for the gage, Dmeasure is the total depth measured at
the gage, Doption is the optionally specified total storm depth. For a non-recording gage, Dmeasure is automatically
equal to Doption.
After the mean areal precipitation is computed, it must be distributed in time to create the hyetograph for a
subbasin. A second weighting process is used to establish the temporal pattern using only recording gages. The
weighting process includes a scheme to bias in favor of gages reporting precipitation when more than once gage is
used to establish the temporal pattern. The hyetograph is computed as:

where PMAP = total storm MAP for the subbasin; pi(t) = precipitation depth measured at time t at gage i; wi is the
temporal weight for gage i.

4.3.2 Parameter Estimation

This method requires a MAP weighting factor for each gage that will be used to compute a hyetograph for a
subbasin. A separate temporal weighting factor is also required. The weights are determined by the user and
entered; the program is not able to automatically estimate the weighting factors. The use of the index precipitation
is optional. The following methods could be considered for estimating the weighting factors.
Arithmetic Mean MAP Factors

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This method assigns a weight to each gage equal to the reciprocal of the total number of gages used for the MAP
computation. Gages in or adjacent to the watershed can be selected.
Thiessen Polygon MAP Factors
This is an area-based weighting scheme, predicated on an assumption that the precipitation depth at any point
within a watershed is best estimated as the precipitation depth at the nearest gage to that point. Thus, it assigns a
weight to each gage in proportion to the area of the watershed that is closest to each gage.
As illustrated in Figure 13(a), the gage nearest each point in the watershed may be found graphically by connecting
the gages, and constructing perpendicular bisecting lines; these form the boundaries of polygons surrounding each
gage. The area within each polygon is nearest the enclosed gage, so the weight assigned to the gage is the fraction
of the total area that the polygon represents.
Details and examples of the procedure are presented in Chow, Maidment, and Mays (1988), Linsley, Koehler, and
Paulus (1982), and most hydrology textbooks.
Isohyetal Line MAP Factors
This is also an area-based weighting scheme. Contour lines of equal precipitation are estimated from the point
measurements, as illustrated by Figure 13(b). This allows a user to exercise judgment and knowledge of a basin
while constructing the contour map. MAP is estimated by finding the average precipitation depth between each pair
of contours (rather than precipitation at individual gages), and weighting these depths by the fraction of total area
enclosed by the pair of contours. Again, details and examples of the procedure are presented in most hydrology
textbooks.

Figure 13.Illustration of MAP depth computation schemes.

Time Weighting Factors

If a single recording gage is used to establish the temporal pattern of the hyetograph, the resulting MAP hyetograph
will have the same relative distribution as the one recording gage. For example, if the gage recorded 10% of the
total precipitation in 30 minutes, the MAP hyetograph will have 10% of the MAP in the same 30-minute period.
On the other hand, if two or more gages are used, the pattern will be a weighted average of the pattern observed at
those gages. Consequently, if the temporal distribution at those gages is significantly different, as it might be with a
moving storm, the average pattern may obscure information about the precipitation on the subbasin. This is
illustrated by the temporal distributions shown in Figure 14. Here, hyetographs of rainfall at two gages are shown.
At gage A, rain fell at a uniform rate of 10 mm/hr from 00:00 hours until 02:00 hours. No rain was measured at gage A
after 02:00. At gage B, no rain was observed until 02:00, and then rainfall at a uniform rate of 10

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Figure 14.Illustration of the hazard of averaging rainfall temporal distributions.

mm/hr was observed until 04:00. The likely pattern is that the storm moved across the subbasin from gage A toward
gage B. If these gage data are used with Equations 4 and 5 to compute an average pattern, weighting each gage
equally, the result is a uniform rate of 5 mm/hr from 0:000 until 04:00. This may fail to represent well the average
temporal pattern. A better scheme might be to use one of the gages as a pattern for the watershed average.

4.4 Inverse Distance Gage Weighting

The inverse distance gage weighting method was originally designed for real-time forecasting applications. It
includes procedures for automatically using the closest available gage data, but switching to more remote gages if
close gages stop reporting or contain missing data.

4.4.1 Basic Concepts and Equations

As an alternative to separately defining the total mean areal precipitation (MAP) depth and combining this with a
pattern temporal distribution to derive the MAP hyetograph, one can select a scheme that computes the MAP
hyetograph directly. This so-called inverse-distance-squared weighting method computes P(t), the subbasin
precipitation at time t, by dynamically applying a weighting scheme to precipitation measured at watershed
precipitation gages at time t.
The scheme relies on the notion of nodes that are positioned within a subbasin such that they provide adequate
spatial resolution of precipitation in the subbasin. The program computes the precipitation hyetograph for each
node using gages near that node. To select these gages, hypothetical north-south and east-west axes are
constructed through each node and the nearest gage is found in each quadrant defined by the axes. This is
illustrated in Figure 15. Weights are computed and assigned to the gages in inverse proportion to the square of the
distance from the node to the gage. For example, in Figure 15, the weight for the gage C in the northeastern
quadrant of the grid is computed as:

in which wC = weight assigned to gage C; dC = distance from node to gage C; dD = distance from node to gage D in
southeastern quadrant; dE = distance from node to gage E in southwestern quadrant; and dF = distance from node

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to gage F in northwestern quadrant of grid. Weights for gages D, E and A are computed similarly. The distance
between each gage and the node is computed using a curved earth assumption as:

where d is the distance between a gage and the node; rad is the radius of the earth at 6370 km; A is one-half pi
minus latitude of the gage in radians, B is one-half pi minus the latitude of the node in radians, and C is the
longitude of the node in radians minus the longitude of the gage.
With the weights thus computed, the node hyetograph ordinate at time t is computed as:

This computation is repeated for all times t. Note that gage B in Figure 15 is not used in this example, as it is not
nearest to the node in the northwestern quadrant. However, for any time that the precipitation ordinate is missing
for gage A, the data from gage B will be used. In general terms, the nearest gage in the quadrant with data
(including a zero value) will be used to compute the MAP.

Figure 15.Illustration of inverse-distance-squared scheme.

As noted in the description of the user-specified gage weights method, regional trends in meteorology and
specifically precipitation can lead to problems. The index precipitation can be used to account for these trends.
Each node can have an index depth as well as each gage. The index correction can only be used if it is specified for
all gages and nodes that will be used for a subbasin. When used, the index precipitation values are included in the
calculations as:

Where Inode is the index at the node, IA is the index at gage A, and IC, ID, and IE are the index at each of the remaining
gages.
This example has used only one node in the subbasin. However, it is possible to include more than one node. In this
case a weight must be specified for each node as the final precipitation hyetograph for the subbasin is computed as:

Where p(t) is the precipitation at each time t for the subbasin; wi is the weight for node i; pi(t) is the precipitation at
each time t for node i as computed by equation 10.
Most recording gages that are used with this method report data at a 1-hour or shorter interval. However, there are

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many gages available that only report once a day, giving the total daily precipitation. These gages can also be used
for calculating the precipitation at each node. Each "daily" gage is preprocessed before beginning the calculations
for a node. The processed daily gage is used exactly as if it were a recording gage when dynamically computing the
precipitation for each node.
The preprocessing for a daily gage utilizes recording gages near the daily gage to compute a pattern hyetograph
and then applies the precipitation recorded at the daily gage. The processing is similar to what happens at a node.
Hypothetical north-south and east-west axes are constructed through the coordinates of the daily gage. The
adjacent recording gages are sorted into each of the four quadrants surrounding the daily gage. The closest gage is
selected in each quadrant; this process is performed once and not for each time interval as is done when processing
for a node. For each time step, pattern precipitation is computed at the daily gage using equations 7, 8, and 10 with
the substitution of the daily gage coordinates for the node coordinates. Subsequently, the pattern precipitation
hyetograph is normalized by dividing each value by the total depth in the pattern precipitation. This step yields a
pattern hyetograph for the daily gage that has exactly 1 unit of precipitation depth. The next step in preprocessing
the daily gage is to determine the total depth recorded at the daily gage. Only time intervals at the daily gage that
are completely within the simulation time window are included for computing the total depth. For example,
consider a daily gage that is used in a simulation at begins on the first day at 12:00 hours and continues until 12:00
hours on the fifth day. Only the daily gage values recorded on the second through fourth days will be included. This
is necessary because it is not possible to know when the depth recorded by the daily gage on the first day happened
during the day. It is possible that it occurred during the first 12 hours of the day which are not included in the
simulation time window, so they must be excluded. Each value in the normalized pattern hyetograph is multiplied
by the calculated total depth at the daily gage to yield the final gage hyetograph used in node calculations.

4.4.2 Parameter Estimation

This method requires at least one node for each subbasin. The parameters then are the latitude and longitude of
the node and any gages that will be used. The coordinates of each gage are generally known or can be found by
examining a map. The use of the index precipitation is optional.
Selecting Node Locations
A common practice is to specify a single node for each subbasin, located at the centroid of the subbasin. This can be
a quick way to initially estimate parameters because it is relatively easy to compute the coordinates of the subbasin
centroid using a geographic information system. This is less arbitrary that it first seems. By definition, the centroid
is closer to more of the subbasin than any other point. Using this placement assumes that centering in the subbasin
is the best representation of the subbasin-average precipitation.
An alternate method of placing the node would be to examine the precipitation trends over the subbasin. Compute
the average annual subbasin precipitation by consulting regional maps. One source for such maps is the PRISM
project (Daly, Neilson, and Phillips, 1994) which includes both total annual and monthly estimates of precipitation.
Once the average annual precipitation amount for the subbasin is known, a node could be located at a point in the
subbasin with the same average annual precipitation depth. Ideally, the selected point would be near the centroid.
This placement attempts to match individual storm events that will be simulated consistent with the average
trends in the subbasin.
Regardless of the method used to locate the node, placement should consider the surrounding gages. Sometimes
the location initially selected for the node will almost always ignore a gage that is relatively close, as shown in
Figure 16. Because of the node placement, all four gages fall into only three quadrants. Most of the time only the
three closest gages will be used and gage B will never be used unless there is missing data at gage A. By moving the
node slightly East, each gage will fall into a separate quadrant and be used.

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Figure 16.Placing a subbasin node where one gage is excluded. Moving the node to the West would use all four gages.
It is possible to use more than one node in a subbasin. However, if two or more nodes are used, the pattern for the
subbasin will be a weighted average of that computed at those nodes. Consequently, if the temporal distribution at
those nodes is significantly different, as it might be with a moving storm, the average pattern may obscure
information about the precipitation intensity over the subbasin. If circumstances cause precipitation patterns to
differ significantly over a subbasin so that multiple nodes may be necessary, it is often better to subdivide the
subbasin rather than use multiple nodes.
Daily Gages
Strictly speaking, any gage can be considered a "recording" or "daily" gage. A recording gage will be interpolated in
time in order to obtain values at the time step of the simulation. As an example, consider a recording gage with data
recorded at 1-hour intervals. If the simulation is computed at a 15-minute time interval, then each value in the gage
time-series will be divided into four equal amounts during each hour in order to have a value for each simulation
time step. This so-called down scaling can be an acceptable approximation of the precipitation but the
approximation becomes worse as the ratio of simulation time interval divided by the gage recording interval
becomes smaller. It is a fact that gages cannot capture information about the temporal distribution of precipitation
at time scales smaller than the recording interval of the gage.
As a second example, consider a gage that records data at a 1-day time interval that will be used in a simulation
with a 1-hour time step. If the gage were treated as a typical recording gage, each daily value would be divided into
24 equal values for the simulation time step during each day. In general, this would lead to unacceptable smoothing
of the daily data. Designating the gage as "daily" will allow the processing described above to convert the data to a
better approximation of what happened at short time scale by using adjacent high-resolution gages.
You should always have at least one gage with a data time interval near the simulation time interval. Any gage with
a data time interval more than several times the simulation time interval should be evaluated for treatment as a
"daily" gage. For example, if the simulation time interval is 1-hour and some gages report at 6-hour intervals, they
should be evaluated for treatment as daily gages. Even though they report at less that 24-hour or daily intervals,
their time interval is so much longer than the simulation interval that results may be significantly improved by using
the "daily" processing option.

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4.5 Gridded Precipitation

By far, the most common use of gridded precipitation is for data collected by weather radar. It is possible to create
gridded precipitation from gages, for example, using an inverse distance squared scheme between all gages and
each grid cell. It is also possible to extract gridded precipitation data from some atmospheric models. The
remainder of this section will focus on the common application with weather radar.

4.5.1 Basic Concepts and Equations

Given the radar reflectivity, the rainfall rate for each grid cell can be inferred because the power of the reflected
signal is related to the size of and density of the reflecting obstacles. The simplest model to estimate rainfall from
reflectivity is a Z-R relationship, and the most commonly-used of these is:

in which Z is the reflectivity factor; R is the rainfall intensity; and a and b are empirical coefficients. Thus, as a
product of the weather radar, rainfall for cells of a grid that is centered about a radar unit can be estimated. This
estimate is the MAP for that cell and does not necessarily suggest the rain depth at any particular point in the cell.
The National Weather Service, Department of Defense, and Department of Transportation (Federal Aviation
Administration) cooperatively operate the WSR-88D network. They collect and disseminate the weather radar data
to federal government users. The NEXRAD Information Dissemination Service (NIDS) was established to provide
access to the weather radar data for users outside of the federal government. Each WSR-88D unit that is designated
to support the NIDS program has four ports to which selected vendors may connect. The NIDS vendors, in turn,
disseminate the data to their clients using their own facilities, charging the clients for the products provided and for
any value added. For example, one NIDS vendor in 1998 was distributing a 1-km x 1-km mosaic of data. This mosaic
is a combined image of reflectivity data from several radar units with overlapping or contiguous scans. Combining
images in this manner increases the chance of identifying and eliminating anomalies. It also provides a better view
of storms over large basins.
Figure 17 illustrates the advantages of acquiring weather radar data. Figure 17(a) shows the watershed from Figure
12, but with a grid system superimposed. Data from a radar unit will provide an estimate of rainfall in each cell of
the grid. Commonly these radar-rainfall estimates are presented in graphical format, as illustrated in Figure 17(b),
with color codes for various intensity ranges. (This is similar to the images seen on television weather reports.)

Figure 17.Weather radar provides rainfall "observations" on a grid.

With estimates of rainfall in grid cells, a "big picture" of the rainfall field over a watershed is presented. With this,
better estimates of the MAP at any time are possible due to knowledge of the extent of the storm cells, the areas of

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more intense rainfall, and the areas of no rainfall. By using successive sweeps of the radar, a time series of average
rainfall depths for cells that represent each watershed can be developed.

4.5.2 Parameter Estimation

The radar-estimated precipitation should be compared or corrected to correlate with field observations. Radar
measures only the movement of water in the atmosphere, not the volume of water falling on the watershed.
Precipitation gages must be used to measure the amount of water that actually reaches the ground. Furthermore,
radar cannot differentiate liquid and frozen water in the atmosphere. Rain drops and snowflakes have very different
reflectance properties and different Z-R relationships must be used. Temperature information must be used to
determine the likely state of the precipitation so that the correct Z-R relationship can be used. As noted earlier, the
process is complicated by the fact that the gridded precipitation represents an integrated average over the grid cell
and not the value at a particular point in the cell, such as a precipitation gage. Because of these and other
complications, the work of correcting or calibrating weather radar into a usable precipitation estimate should be
done by experienced meteorologists. When such processing is done by the National Weather Service, the final
estimate is referred to as a Stage III product. All processing must be done external to the program. The final
integrated gridded product is loaded into the program via a HEC-DSS file.

4.6 Frequency Storm

The objective of the frequency-based hypothetical storm that is included in the program is to define an event for
which the precipitation depths for various durations within the storm have a consistent exceedance probability.
Nesting the various precipitation depths leads to the notion of a "balanced" storm. For example, consider a
synthetic storm with 0.1 annual exceedance probability (AEP.) If the storm is 6 hours long, it will also contain the 3-
hour storm, and the 1-hour storm. When actual historical gage records are examined, it is not necessarily true that
the 0.1-AEP storm 6 hours long contains the 0.1-AEP storm 1 hour long. However, generating nested storms does
produce consistent results that are valuable for design and regulation purposes.

4.6.1 Basic Concepts and Equations

The development of a frequency storm begins with precipitation depths entered by the user. Each depth is
associated with a duration. The shortest duration is often called the peak intensity duration and usually should
match the simulation time interval. The longest duration may be up to 10 days; the exact length depends on the
purpose for developing the frequency storm. A precipitation depth must be entered for each duration, from the
selected shortest to the selected longest. All depth-duration precipitation values must be for the same annual
exceedance probability.
The depth-duration values entered by the user are first augmented using relationships found in HYDRO-35
(Fredrick, Myers, and Auciello, 1977.) Analysis of high-resolution precipitation gages found that depths for
intermediate durations can be reliably estimated as:

The estimated 10-minute and 30-minute depths are inserted into the depth-duration values entered by the user to
create an augmented depth-duration relationship.
The augmented depth-duration relationship is next adjusted for storm area. The values entered by the user are so-
called point values. Point values represent the precipitation characteristics observed at a point in the watershed.
Precipitation at a point (perhaps measured by a rain gage) can be very intense and change rapidly over a short time,
but high intensity cannot be sustained simultaneously over a large area. As the area of consideration increases,
average intensity decreases. For example, a small thunderstorm may release an intense burst of rainfall over a
small area. However, the physical dynamics of thunderstorms do not allow for the intense rainfall to be widespread.

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Further, if you were to consider a large area around the thunderstorm, the same precipitation volume averaged
over the large area would result in a much lower intensity. For a specified frequency and storm duration, the
average rainfall depth over an area is less than the depth at a point. To account for this, the U.S. Weather Bureau
(1958) used averages of annual series of point and areal values for several dense, recording-raingage networks to
develop reduction factors. The factors indicate how much point depths are to be reduced to yield areal-average
depths. The factors, expressed as a percentage of point depth, are a function of area and duration, as shown in
Figure 18. These factors are used in HEC-HMS to automatically adjust the depth-duration values entered by the user
and the augmented values based on the storm area, which is also specified by the user.
In accordance with the recommendation of HEC (USACE, 1982), no adjustment should be made for durations less
than 30 minutes. A short duration is appropriate for a watershed with a small time of concentration. A small time of
concentration, in turn, is indicative of a relatively small watershed, which, in turn, requires no adjustment. HEC-
HMS implements this recommendation.

Figure 18.Reduction of point rainfall depth as storm area increases.

The last adjustment of the depth-duration relationship accounts for the type of input that is used, and the type of
output that is desired: annual duration or partial duration. Virtually all precipitation analyses that give depth for a
specific duration use partial duration values. This means that the entire precipitation record was scanned and all
events greater than a threshold value were included in the statistical analysis. In an analysis of this type, some years
may contribute multiple events while other years provide none. However, in some cases the input precipitation
data may use annual duration instead. The user must select the type of precipitation data that will be entered, and
the type of output that is desired. When the input and output types do not match, the reduction factors shown in
Table 11 are used to convert the data as necessary. Note that the conversion only applies to relatively frequent
storms. As the annual exceedance probability decreases, the difference between annual and partial duration
statistics becomes negligible.
Table 11.Reduction factors for converting partial-duration input to annual-duration output.

Exceedance Probability Reduction Factor

0.50 0.88

0.20 0.96

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0.10 0.99

Finally, the program is able to use the processed depth-duration relationship to compute a hyetograph. It
interpolates to find depths for durations that are integer multiples of the time interval selected for runoff modeling.
Linear interpolation is used, after taking logarithms of both the depth and duration data. Performing the
interpolation in log-log space improves the quality of intermediate estimates (Herschfield, 1961.) The interpolation
yields successive differences in the cumulative depths, thus computing a set of incremental precipitation depths,
each of duration equal to the selected computation interval.
The alternating block method (Chow, Maidment, Mays, 1988) is used to develop a hyetograph from the incremental
precipitation values (blocks). This method positions the block of maximum incremental depth first at the specified
location in the storm. The user may choose from values of 25, 33, 50, 67, or 75% of the time measured from the
beginning of the storm to the total storm duration. The remaining blocks are arranged then in descending order,
alternating before and after the central block. When the maximum incremental depth is not located at 50%, the
arranged blocks will stop alternating as soon as the front (25 and 33%) or back (67 and 75%) of the storm is filled;
remaining blocks are placed on the free side of the storm. Figure 19 is an example of this temporal distribution; this
shows the rainfall depths for a 24-hour hypothetical storm with a 1-hour computation interval.

Figure 19.Example of distribution of frequency-based hypothetical storm.

4.6.2 Parameter Estimation

In the United States, depths for various durations can be obtained from a variety of sources. Several products are
available for the entire country, including TP-40 (Herschfield, 1961) for durations from 30 minutes to 24 hours and
TP-49 (Miller, 1964) for durations from 2 to 10 days. The Eastern part of the country has extra data for short
durations in HYDRO-35 (Fredrick, Myers, and Auciello, 1977.) Some locations have specialized data developed
locally, for example the Midwest has available Bulletin 71 (Huff and Angel, 1992.) The Pacific coast, inter-mountain,
and Rocky Mountain states are covered by NOAA Atlas 2 (Miller et al., 1973) with a separate volume for each state.
The Ohio River Valley and the Southwest Dessert are covered by NOAA Atlas 14 (Bonnin et al., 2004). These various
reports are all similar in that they contain maps with isopluvial lines of constant precipitation depth. Each map is
labeled with an annual exceedance probability and storm duration. Knowing the location of the watershed on the
map, the depth for each required duration and exceedance probability can be interpolated between the isopluvial
lines.

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Each of the maps included in the reference sources is developed independently of other maps. That is, the map for
the 0.01 probability of exceedance and 1-hour duration is developed separately from the 0.01 probability of
exceedance and 6-hour duration. Because of this independence there can be inconsistencies in the values
estimated from the maps. If this raw data is input to the program, there can result fluctuations in the computed
hyetograph. These fluctuations can be reduced by smoothing the data before entering it into the program. The
precipitation depth values for the range of durations, all with the same exceedance probability, should be plotted. A
smooth line should be fit through the data. A best-fit line can be used without attempting to fit a line of a particular
function. Precipitation values can then be determined from the smooth line, and those values input to the program.
The storm area should be set equal to the drainage area at the evaluation location. The evaluation location will be
where the flow estimate is needed, for example at the inflow to a reservoir or at a particular river station where a
flood damage reduction measure is being designed. When there are several evaluation locations in a watershed,
separate storms must be prepared for each location. Failure to set the storm area equal to the drainage area at the
evaluation location leads to incorrect depth-area adjustments and either over or underestimation of the flow for a
particular exceedance probability.
As stated earlier, virtually all precipitation maps are given in partial duration form, so input is assumed to be of
partial duration type. The selection of the output type as partial or annual duration depends on the intended use of
the computed results. Frequently the computed results are used for floodplain regulation or the design of flood
damage reduction measures. In these cases, the type of output is determined by the type of damages that are
expected. Some damages are generally assumed to happen only once in a year. For example, the time required to
rebuild residential housing usually means it can only be damaged once in a year. If two large floods occurred in the
same year, the housing would be flooded twice before it could be rebuilt and no additional damage would occur.
Annual duration output should be selected. Partial duration output should be used if damages can happen more
than once in the same year. This is often the case in agricultural crops, where fields can be plowed and replanted
after a flood only to be reflooded. Partial duration output may also be appropriate when ever the recovery time is so
short that multiple damaging floods may happen in the same year.

4.7 Standard Project Storm

The standard project storm (SPS) is
…a relationship of precipitation versus time that is intended to be reasonably characteristic of large storms that
have or could occur in the locality of concern. It is developed by studying the major storm events in the region,
excluding the most extreme. For areas east of 105 longitude the results of SPS studies are published in EM
1110-2-1411 as generalized regional relationships for depth, duration and area of precipitation. For areas west of
105 longitude, special studies are made to develop the appropriate SPS estimates. The standard project flood (SPF)
[runoff from the SPS] is used as one convenient way to compare levels of protection between projects, calibrate
watershed models, and provide a deterministic check of statistical flood frequency estimates. (USACE, 1989)

4.7.1 Basic Concepts and Equations

The SPS model included in the program is applicable to watersheds within the continental United States and East
of 105 longitude. It is limited to areas 10 to 1,000 square miles. The SPS is rarely used now because of the
emergence of risk-based design techniques, the inconsistency of the method between different geographic regions,
the lack of a standard SPS West of 105 longitude, and no attached probability of occurrence. The 0.002 annual
exceedance probability event has all but replaced the SPS for design and description purposes. However, the
regulations that originally instituted the SPS have not been rescinded and it may still be necessary to compute it as
part of designing a flood protection project. A detailed description of the SPS can be found in the EM 1110-2-1411
and also in HEC Training Document No. 15 (USACE, 1982). Development of the SPS begins with the specification of
the index depth. The program calculates a total storm depth distributed over a 96-hour duration using:

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where SPFE is the standard-project-flood index-precipitation depth in inches; and R24HR(i) is the percent of the
index precipitation occurring during 24-hour period i. R24HR(i) is given by:

where TRSDA = storm area, in square miles. Each 24-hour period is divided into four 6-hour periods. The ratio of the
24-hour precipitation occurring during each 6-hour period is calculated as:

where R6HR(i) is the ratio of 24-hour precipitation occurring during hour period i. The program computes the
precipitation for each time interval in the  6-hour interval of the 24-hour period (except the peak 6-hour
period) with:

where ∆t is the computation time interval, in hours. The peak 6-hour precipitation of each day is distributed
according to the percentages in Table 12. When using a computation time interval less than one hour, the peak 1-
hour precipitation is distributed according to the percentages in Table 13. (The selected time interval must divide
evenly into one hour.) When the time interval is larger than shown in Table 12 or Table 13, the percentage for the
peak time interval is the sum of the highest percentages. For example, for a 2-hour time interval, the values are (14 +
12)%, (38 + 15)%, and (11 + 10)%. The interval with the largest percentage is preceded by the second largest and
followed by the third largest. The second largest percentage is preceded by the fourth largest, the third largest
percentage is followed by the fifth largest, and so on.
Following the development of the distribution, the hyetograph for each subbasin is computed as the transposition
factor multiplied by the distribution depth.

Table 12. Distribution of maximum 6-hour SPS in percent of 6-hour amount.

Duration (hr) EM 1110-2-1411 Criteria (Standard) Southwestern Division Criteria (SWD)

1 10 4

2 12 8

3 15 19

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4 38 50

5 14 11

6 11 8

Table 13.Distribution of maximum 1-hour precipitation in the SPS.

Time (min) Percent of Maximum 1-hr Precipitation in Accumulated Precent of Precipitation

Each Time Interval

5 3 3

10 4 7

15 5 12

20 6 18

25 9 27

30 17 44

35 25 69

40 11 80

45 8 88

50 5 93

55 4 97

60 3 100

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4.7.2
Parameter Estimation
A storm area must be selected in order for the distribution to be developed. In general, the area should match the
drainage area for the watershed that drains to the location where the flood protection project will be constructed.
The area may be slightly larger than the drainage area at the actual proposed construction site.
The SPS index precipitation value is taken from Plate 2 in EM 1110-2-1411, as shown in Figure 20. The lowest isohyet
line has a value of 9 inches and passes through central Minnesota, Northern Michigan, New York, and Maine. A high
isohyet line with a value of 19 inches follows the Texas-Louisiana gulf coast and crosses to Florida. Select the best
index precipitation value based on the location of the flood protection project.
Each subbasin must have a so-called transposition factor. The factors are selected by overlaying the SPS isohyetal
pattern over the complete project watershed. An area-weighted average should be used to determine the factor for
each subbasin. The isohyetal pattern is taken from Plate 12 in EM 1110-2-1411, as shown in Figure 21.

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Figure 20.Reproduction of Plate 2 from EM 1110-2-1411.

Figure 21.Reproduction of Plate 12 in EM 1110-2-1411.

4.8 SCS Storm

Drainage planning in the United States is often performed using hypothetical storms developed by the Soil
Conservation Service (SCS), now known as the Natural Resources Conservation Service (NRCS). These storms were
developed by the SCS as averages of rainfall patterns; they are represented in a dimensionless form.

4.8.1 Basic Concepts and Equations

The SCS designed the storm for small drainage area of the type for which they usually provide assistance. The
intended use is for estimating both peak flow rate and runoff volume from precipitation of a "critical" duration.
Storm producing mechanisms vary across the United States so four different storm patterns were developed. The
patterns are shown in Figure 22; the actual data values can be found separately (USDA, 1992). The so-called Type I
and Ia storms represent Pacific climates with generally wet winters and dry summers; these are used on the Pacific
coast from Washington to California, plus Alaska and Hawaii (Figure 23). The Type III storm represents areas
bordering the Gulf of Mexico and Atlantic seaboard where tropical storms and hurricanes generate heavy runoff.
The Type II storm is used in the remainder of the United States. Storm types have not been defined for other
locations in the world; a storm type may be selected based on similar weather patterns and comparisons of
cumulative precipitation for typical storms.

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Figure 22.Reproduction of Figure B-1 in TR-55. SCS 24-hour rainfall distributions.

4.8.2 Parameter Estimation

The storm type should be selected based on the location of the watershed after consulting Figure 23. The
boundaries are approximate so engineering judgement may be used to select a storm type on the basis of the
meteorologic patterns. The precipitation depth to be applied to the pattern can be selected from any of the sources
discussed in the Frequency Storm section above. Because the SCS storm method does not account for depth-area
reduction or annual-partial duration conversion, the user must make these adjustments manually before entering a
depth value.

Figure 23.Reproduction of Figure B-2 in TR-55. Approximate geographic boundaries for SCS storm distributions.

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4.9 Standards-Based Design Concepts

Standards-based criteria are commonly used for planning and designing new water-control facilities, preparing for
and responding to floods, and regulating floodplain activities (WEF/ASCE, 1992). With the standards-based criteria,
a threshold or standard is set for an acceptable level of risk to the public, and actions are taken to satisfy this
standard. A level of risk may be set by determining the acceptable risk of a project failing during its design life. For
example, it may be decided that it is tolerable for there to be a 0.05 probability that the project fails during its 50-
year design life. Conversely, many older projects were designed to provide protection from flooding should a
selected large historical event re-occur. Such historical adequacy methods are not generally used in current design.
Instead, an acceptable failure risk is determined for a project. Alternately, agencies or companies that operate
multiple projects may set a risk tolerance for any project in the managed portfolio to fail in a given year.

Standards-based criteria commonly limit risk by constraining the long-term average time between exceedances of
the capacity of drainage facilities. For example, the criteria might limit development in a floodplain so that the
annual probability is no more than 0.01 that water rises above the first floor of structures. This limit is known as the
annual exceedance probability (AEP). To meet the standard, the specified AEP discharge and stage must be
estimated. In many cases, additional information about the volume and timing of runoff may be required. For
example, runoff volume must be estimated to provide information for sizing a detention pond for flood protection.
When sufficient streamflow data are available for the location of interest, design discharges for specified AEP can be
estimated using statistical-analysis methods. In the United States, guidelines for conducting such statistical
analyses were proposed by the Interagency Advisory Committee on Water Data and published in Bulletin 17B
(1982). The Bulletin 17B procedure uses recorded annual maximum discharge to calibrate a log-Pearson type III
statistical model, and uses this calibrated statistical model to predict the flows with selected AEP. Designs based
upon non-exceedance of this flow will meet the standards.
The statistical-analysis procedure of Bulletin 17B is of limited use for estimating discharge in many cases, because:
• Few streams are gaged, and those that are, usually do not have a record long enough for the statistical
model to be fitted accurately.
• Land-use changes alter the response of a watershed to rainfall, so hypothetical-flood discharges determined
with data for undeveloped or natural conditions do not reflect discharges expected with developed
conditions.
• The statistical-analysis procedure does not provide information about runoff volume and timing.
Consequently, in many cases an alternative analysis procedure is required. A common alternative analysis
procedure relies upon use of rainfall of specified AEP (also known as a design or hypothetical storm), coupled with a
mathematical model of the processes by which rainfall is transformed to runoff. The notion is that if median or
average values of all model parameters are used, the AEP of the discharge computed from the hypothetical storm
should equal the AEP of the precipitation (Pilgrim and Cordery, 1975).

4.10 Selecting a Design Storm

In many cases the design storm will be required by regulation or governmental policy. When no such regulation
exists, you must determine the appropriate storm for you specific application. The following guidelines can help in
making the decision.

4.10.1 Exceedance Probability

What AEP event should be used when planning to use a risk-based event? If the goal is to define a regulatory
floodplain, such as the so-called 100-yr floodplain, select a single hypothetical storm with the specified AEP.
Compute the runoff from that storm, and assign to the flow, volume, or stage the same AEP as that assigned to the
storm.

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On the other hand, if the goal is to define a discharge-frequency function, the solution is to define hypothetical
storms with AEP ranging from small, frequent events (say 0.50 AEP) to large, infrequent events (such as the 0.002-
AEP event.) With these, compute the runoff and assign to the runoff peaks, volumes or states the same AEP as the
hypothetical storm. Chapter 3 of EM 1110-2-1415 (USACE, 1993) and Chapter 17 of EM 1110-2-1417 (USACE, 1994)
provide more information about this procedure.

4.10.2 Storm Duration

What duration should the event be? The included hypothetical storm options permit defining events that last from
a few minutes to several days. The selected storm must be sufficiently long so that the entire watershed is
contributing to runoff at the concentration point. Thus, the duration must exceed the time of concentration of the
watershed; some argue that it should be 3 or 4 times the time of concentration (Placer County, 1990).
The National Weather Service (Fredrick et al., 1977) reports that
…in the contiguous US, the most frequent duration of runoff-producing rainfall is about 12 hr…at the end of any 6-
hr period within a storm, the probability of occurrence of additional runoff-producing rain is slightly greater than
0.5…at the end of the first 6 hr, the probability that the storm is not over is approximately 0.75. It does not drop
below 0.5 until the duration has exceeded 24 hr.
Using observed data, Levy and McCuen (1999) showed that 24 hr is a good hypothetical-storm length for
watersheds in Maryland from 2 to 50 square miles. This leads to the conclusion that a 24-hr hypothetical storm is a
reasonable choice if the storm duration exceeds the time of concentration of the watershed. Indeed, much drainage
system planning in the US relies on use of a 24-hr event, and the SCS events are limited to storms of 24-hr duration.
However, considering the likelihood of longer or shorter storms, this length should be used with care.

4.10.3 Storm Temporal Pattern

Should a frequency-based hypothetical storm temporal distribution be used, the SPS distribution, or another
distribution be used? The answer to this depends upon the information needs of the study. The SPS may be chosen
to provide hydrological estimates for design of a major flood-control structure. On the other hand, a different
distribution, such as the triangular temporal distribution, may be selected if flows for establishing frequency
functions for determining optimal detention storage are necessary.

4.11 Risk-Based Design Concepts

The program includes features for specifying and computing runoff from a variety of standards-based storms,
including frequency-based hypothetical storms. However, this does not form the basis for the Corps' flood-damage
reduction projects. Instead, as outlined in EM 1110-2-1419 and EM 1110-2-1619, these projects are designed to
provide protection from a range of events, with project features selected to maximize contribution to national
economic development (NED), consistent with environmental and policy constraints. In this context, the frequency-
based hypothetical storm capability may be used to estimate without-project and with-project flow or stage
frequency functions, with which expected annual damage reduction may be computed.

4.12 References2
Bonnin, G.M., D. Martin, B. Lin, T. Parzybok, M. Yekta, and D. Riley (2004) Precipitation-Frequency Atlas of the United
States. National Weather Service, Silver Spring, MD.
Chow, V.T., D.R. Maidment, and L.W. Mays (1988) Applied hydrology. McGraw-Hill, New York, NY.
Curtis, D.C. and R.J.C. Burnash (1996) "Inadvertent rain gauge inconsistencies and their effects on hydrologic
analysis." California-Nevada ALERT users group conference, Ventura, CA.
Daly, C., R.P. Neilson, and D.L. Phillips (1994) "A statistical-topographic model for mapping climatological
precipitation over mountainous terrain." Journal of Applied Meteorology, vol 33 pp 140-158.

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Ely, P.B. and J.C. Peters (1984) "Probable maximum flood estimation – eastern United States." Water Resources
Bulletin, American Water Resources Association, 20(3).
Fredrick, R.H., V.A. Myers, and E.P. Auciello (1977) Five- to 60-minute precipitation frequency for the eastern and
central United States, Hydro-35. National Weather Service, Silver Spring, MD.
Herschfield, D.M. (1961) Rainfall frequency atlas of the United States for durations from 30 minutes to 24 hours and
return periods from 1 to 100 years, TP 40. Weather Bureau, US Dept. of Commerce, Washington, DC.
Huff, F.A., and J.R. Angel (1992) Rainfall frequency atlas of the Midwest, Bulletin 71. Illinois State Water Survey,
Champaign, IL.
Interagency Advisory Committee on Water Data (1982). Guidelines for determining flood flow frequency, Bulletin
17B. USGS, Reston, VA.
Levy, B., and R. McCuen (1999) "Assessment of storm duration for hydrologic design." ASCE Journal of Hydrologic
Engineering, 4(3) 209-213.
Linsley, R.K., M.A. Kohler, and J.L.H. Paulhus (1982) Hydrology for engineers. McGraw-Hill, New York, NY.
Miller, J.F. (1964) Two- to ten-day precipitation for return periods of 2 to 100 years in the contiguous United States,
TP 49. Weather Bureau, US Dept. of Commerce, Washington, DC.
Miller, J.F., R.H. Frederick, and R.J. Tracey (1973) Precipitation-frequency atlas of the western United States, NOAA
Atlas 2. National Weather Service, Silver Spring, MD.
Pilgrim, D.H., and I. Cordery (1975) "Rainfall temporal patterns for design floods." Journal of the Hydraulics Division,
ASCE, 101(HY1), 81-85.
Placer County Flood Control and Water Conservation District (1990) Stormwater management manual. Auburn, CA.
US Department of Agriculture, USDA (1992) Computer program for project formulation hydrology, Technical
Release 20. Soil Conservation Service, Washington, DC.
USACE (1952) Standard project flood determinations, EM 1110-2-1411. Office of Chief of Engineers, Washington, DC.
USACE (1982) Hydrologic analysis of ungaged watersheds using HEC-1, Training Document 15. Hydrologic
Engineering Center, Davis, CA.
USACE (1989) Digest of water resources policies and authorities, EP 1165-2-1. Washington, DC.
USACE (1993) Hydrologic frequency analysis, EM 1110-2-1415. Office of Chief of Engineers, Washington, DC.
USACE (1994) Flood-runoff analysis, EM 1110-2-1417. Office of Chief of Engineers, Washington, DC.
USACE (1995) Hydrologic engineering requirements for flood damage reduction studies, EM 1110-2-1419. Office of
Chief of Engineers, Washington, DC.
USACE (1996) Risk-based analysis for flood damage-reduction studies, EM 1110-2-1619. Office of Chief of Engineers,
Washington, DC.
U.S. Weather Bureau (1958) "Rainfall intensity-frequency regime." USWB Technical Paper 29, Washington, DC.
Water Environment Federation/American Society of Civil Engineers (1992) Design and construction of urban
stormwater management system. New York, NY.
World Meteorological Organization (1994) Guide to hydrological practices: Vol. II—Analysis, forecasting and other
applications, WMO-No. 168. Geneva, Switzerland.
CHAPTER 5

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5 Snow Accumulation and Melt

Snowmelt is the primary focus area of snowmelt hydrology. Snowmelt is the phase change of solid ice crystals that
form the snowpack into liquid water.  The goals of understanding snowmelt are estimation of the timing, rate, and
ultimate volume of water produced by snowmelt. Snowmelt is determined through the snowpack energy balance.

5.1 Snowmelt Basic Concepts

5.1.1 Snowpack/Snow Cover

The terms snowpack and snow cover are often used interchangeably but they do have slightly different meanings.
The term snowpack is used when referring to the physical and mechanical properties of the snow on the ground.
The term snow cover is used when referring to the snow accumulation on ground, and in particular, the areal extent
of the snow-covered ground. This distinction will be respected for the most part. Both snowpack and snow cover
refer to the total snow and ice on the ground, including both new snow and any existing un-melted snow and ice.
From the time of its deposition until melting, snow on the ground is a fascinating and unique material. Snow is a
highly porous, sintered material made up of a continuous ice structure and a continuously connected pore space,
forming together the snow microstructure. As the temperature of snow is almost always near its melting
temperature, snow on the ground is in a continuous state of transformation, known as metamorphism.
At the melting temperature, liquid water may partially fill the pore space. In general, therefore, all three phases of
water - ice, vapor, and liquid - can coexist in snow on the ground. 
Due to the intermittent nature of precipitation, the action of wind and the continuously ongoing metamorphism of
snow, distinct layers of snow build up the snowpack. However, in hydrologic applications, the snowpack is treated
as a single layer and the properties of the snowpack must represent the conditions of the entire layer from the snow
surface to the ground. This single layer representation is required by the practical limits of current hydrologic
practice, and the currently available data on snow observed in the field. Generally, in practice, the distinct
properties of individual layers of the snowpack are not known.

Snowpack
A laterally extensive accumulation of snow on the ground that persists through winter and melts in the
spring and summer. AMS glossary
Snowpack
The total snow and ice on the ground, including both new snow and the previous snow and ice which have
not melted. NSIDC glossary
Snowpack
The accumulation of snow at a given site and time; term to be preferably used in conjunction with the
physical and mechanical properties of the snow on the ground. UNESCO glossary
Snow cover
In general, the accumulation of snow on the ground surface, and in particular, the areal extent of snow-
covered ground (NSIDC, 2008); term to be preferably used in conjunction with the climatologic relevance of
snow on the ground. UNESCO glossary

5.1.2 Seasonal Snow

In almost all cases, the HEC-HMS snowmelt model is applied to seasonal snow.  Seasonal snow is snow that
accumulates during one season and does not last for more than one year. An example of seasonal snow is shown in
Figure 1. The chart on this slide displays the Snow Water Equivalent (SWE) measured on Mount Alyeska in Alaska

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over the winter of 2000-01. Notice that the chart starts with a near monotonic increase in SWE up to the Annual
Maximum SWE. This is the accumulation period. After the Annual Maximum SWE the ablation or melting period
occurs. In many cases, the accumulation period is longer than the ablation period.  In this case, the accumulation
lasts for 7 months and the melt for 2 months. Other sites will vary in the timing and length of the accumulation and
ablation periods. Some sites may have two or more accumulation periods and the SWE may drop to zero between
the periods.
Temperature gradients and sub-freezing temperatures are more likely to exist in the snowpack during the
accumulation period. Uniform temperatures throughout the snowpack at 32°F (0°C) are most likely to exist during
the ablation period, especially during periods of continuous snowmelt.

Seasonal Snow Classification

There is a tremendous amount of variability in seasonal snow. The range of seasonal snow characteristics has been
catalogued and classified by Sturm et al (1995). They divided seasonal snow covers in to six classes: tundra, taiga,
alpine, prairie, maritime, and ephemeral. They found it difficult to classify the snow cover of mountainous regions.
Mountain snow covers have as their chief attribute a high degree of lateral or spatial variability. Wind turbulence
over steep, complicated terrain and highly variable solar radiation distribution are the chief causes of this
variability. So, the mountain snow class is used to flag regions of high snow variability. They found that these snow
classes could be discriminated by a group of variables that they felt were relatively easy to measure. These
variables are the winter average values of snow depth, air temperature, snow-ground interface temperature, and
bulk density.  The Table and Figure below describes the seasonal snow classifications and locations.

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Class Description Depth (cm) No. Layers

Tundra A thin, cold, wind-blown snow. Max. depth 10-75 0-6

approx. 75 cm. Usually found above or north of
tree line. Consists of a basal layer of depth
hoar overlain by multiple wind slabs.

Taiga A thin to moderately deep low-density cold 30-120 >15

snow cover. Max. depth: 120 cm. Found in cold
climates in forests where wind, initial snow
density, and average winter air temperatures
are all low. By late winter consists of 50% to
80% depth hoar covered by low-density new
snow.

Alpine An intermediate to cold deep snow cover. Max 75-250 >15

depth approx. 250 cm. Often alternate thick
and thin layers, some wind affected. Basal
depth hoar common, as well as occasional
wind crusts. Most new snowfalls are low
density. Melt features occur but are generally
insignificant.

Maritime A warm deep snow cover. Max depth can be in 75-500 >15
excess of 300 cm. Melt features (ice layers,
percolation columns) very common. Coarse
grained snow due to wetting ubiquitous. Basal
Melting common.

Ephemeral A thin extremely warm snow cover. Ranges 0-50 1-3

from 0 to 50 cm. Shortly after it is deposited, it
begins melting, with basal melting common.
Melt features common. Often consists of a
single snowfall, which melts away, then a new
snow cover reforms at the next snowfall.

Prairie A thin, except in drifts, moderately cold snow 0-50 <5

cover with substantial wind drifting. Max.
depth approx. 1 m. Wind slabs and drifts
common.

Mountain A highly variable snow cover, depending on the Variable

solar radiation effects and local wind patterns.
Usually deeper than associated type of snow
cover from adjacent low-lands.

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Basal: base (bottom) of snowpack

Hoar: Crystals that form in the snowpack after deposition. Common feature of Arctic snow
Melt Features: Evidence that melting has occurred; Could include an ice layer, percolation column, etc.
Wind slab: Both wind crusts and wind slabs are layers of small, broken or abraded, closely packed and
well-sintered particles.

Snow Metamorphism
A snowpack is not static. The ice crystals and grains that comprise the snowpack are constantly evolving and
changing throughout the winter season. This process is called snow metamorphism.  There are two major processes
of snow metamorphism that can occur. The first results from the general tendency of ice crystals to change their
form to a more spherical shape. The rate of this metamorphism depends on the temperature of the snowpack. The
closer the pack temperature is to 0°C (32°F) the faster metamorphism will occur. It proceeds relatively rapidly when
the snowpack is melting. The second process of snowpack metamorphism is driven by vertical temperature
gradients in the snowpack. The temperature gradient creates a vapor gradient which effectively moves water
molecules between ice crystals by vapor transport. A strong temperature gradient through the snowpack (>10°C
m-1) may result in the formation of new, relatively large, ice crystals within the snowpack termed depth hoar. This
second form of metamorphism is common in the arctic but it can occur anywhere the difference between cold air
temperatures and relatively warm ground temperatures are large and long lasting.
The first process of metamorphism occurs in all snowpacks. Its beginnings lay in the incredible variety of ice crystal
shapes deposited on a snowpack. Something most crystal shapes share in common on reaching the snowpack is
large surface-area-to-volume ratios. These large ratios are created during the rapid crystal growth that occurs in the
atmosphere when snow crystals form. When the ice crystals are incorporated into the snowpack they no longer
grow and tend towards their spherical equilibrium form. Snow metamorphism describes the change in the snow
crystals and grains to less angular, more rounded forms with time.  This type of metamorphism causes a gradual

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increase in the snowpack density, a reduction in the surface reflection of sunlight (described by the surface albedo)
and changes other snowpack properties with time. Metamorphism occurs quickly when the snowpack is melting.
This rapid metamorphism causes the surface albedo to decline relatively rapidly. The decline in albedo increases
the shortwave radiation (sunlight) that can be absorbed by the snowpack and can increase the rate of snowmelt.
Hydrologic snowmelt models generally do not model snow metamorphism directly. Some approaches do model
the changes in the snowpack density and albedo that result from metamorphism, as will be shown later.

Snow Phase Change

Phase change describes the transition between ice and liquid water, between ice and water vapor, and between
liquid water and water vapor.  Adding heat to snow causes the snow to become warmer until it reaches the ice/
water equilibrium temperature, 0°C (32°F). (This is the value for fresh water under the normal range of atmospheric
pressure.) The relationship between the amount of heat added (or removed) per unit volume of snow and rate of
temperature increase (or decrease) is determined by the snow density and the specific heat of ice. Once the
temperature of snow reaches the ice/water equilibrium temperature further addition of heat will not change the
snow temperature but will cause the snow to melt, to change phase to liquid water. The relationship between the
amount of heat added and the amount of liquid water created is determined by the latent heat of fusion of water.
The transfer of water molecules directly from the ice crystals to water vapor occurs by sublimation. Sublimation can
occur over the entire temperature range at which snow exists. Sublimation removes heat from the snowpack to
provide the ice molecules enough energy to escape from the snow ice crystal surface. Sublimation cools the
snowpack. The relationship between the amount of ice removed by sublimation and the amount of heat removed
defines the latent heat of sublimation of ice. The transfer of water from the vapor state to the snowpack occurs by
condensation. Condensation adds heat to the snowpack to remove the energy of the water vapor molecules so they
can join the liquid water or ice crystals that form the snowpack. Condensation warms the snowpack.
The transfer of water molecules between the snow surface and the atmosphere is one of the several modes of heat
transfer between snow and the atmosphere. (The four major heat transfer modes being sensible heat transfer,
latent heat transfer (evaporation and condensation), long wave radiation, and short-wave radiation.) Overall, the
transfer of water is driven by the difference between the amount of water vapor per unit volume contained in a
saturated vapor layer immediately above the snow surface and the amount of water vapor per unit volume
contained in the atmosphere above. The actual rate of sublimation and condensation is controlled by the mass
transfer ability of the meteorological boundary layer above the snow surface (as will be discussed below).

5.2 Snow Properties

The primary physical properties of a snowpack important to hydrology are three properties that can vary from point
to point: Snow Water Equivalent (SWE), snowpack temperature, as represented by its Cold Content, and Liquid Water
Content; and one spatial property: the Snow Covered Area (SCA). The point properties are applicable at a specific
location at a specific time, and represent the entire single layer of the snowpack at that location. These properties
will vary from location to location throughout a watershed and with time. The primary spatial property of the snow
cover for hydrology is the SCA. SCA describes the area of a watershed that is snow covered. SCA often changes with
time, especially during periods of snowmelt.

5.2.1 Snow Covered Area (SCA)

The Snow Covered Area (SCA, pronounced “Ska”) is the portion of a given area covered by snow. In theory, the
given area can be an entire watershed, a subbasin, an elevation band, a grid cell, or any other arbitrarily designated
area. Generally SCA is given in terms of area, or as a fraction of the designated area.

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In mountainous watersheds SCA is usually closely associated with elevation. In watersheds with low topographic
relief, SCA reflects the paths of snow storms that have crossed the watershed. Determination of the SCA of a
watershed may be easy or very difficult, depending on the size, accessibility, remoteness, topographic relief, and
the extent of installed instrumentation. In recent decades, the development of optical and passive microwave
satellite sensors has provided an extensive suite of instruments for accurately mapping snow.

5.2.2 Snow Water Equivalent (SWE)

The Snow Water Equivalent, (SWE, pronounced “sweeee”) is the height of water if a snow cover is completely
melted, on a corresponding horizontal surface area. The continuity equation equating the mass of liquid water in
SWE with the mass snow in the snowpack is

where ρw = the density of water; SWE = the snow water equivalent;  = the depth averaged snow density; and D = the
snow depth. Snow depth denotes the total height of the snowpack, i.e., the vertical distance from the ground to the
snow surface. Unless otherwise specified, SWE and snow depth are related to a single location at a given time. Snow
density, i.e., mass per unit volume, is normally determined by weighing snow of a known volume. Theoretically,
total snow density encompasses all constituents of the snowpack - ice, liquid water, vapor, and air. In practice, only
the ice and liquid water are included in estimates of SWE as the air and water vapor make only a negligible
contribution to the density. Rearranging equation

As shown in equation , if D and are both known, then SWE can be estimated (as the density of water is always
known). It is also clear that D alone is not sufficient to estimate SWE unless some estimate of  can be made. In fact,
snow depth is a parameter that is of little use in snowmelt hydrology, except when used to estimate SWE.

Snow Type Density (kg/m3) Snow Depth for One Inch Water

Wild Snow 10 to 30 33” to 98”

Ordinary new snow immediately after 50 to 65 20” to 15”

falling in still air

Settling Snow 70 to 90 11” to 14”

Average wind-toughened snow 280 3.5”

Hard wind slab 350 2.8”

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5.2.3 Snowpack Temperature/Cold Content

The snowpack temperature is controlled by heat transfer through the snow surface to the atmosphere, heat
transfer through the snowpack base to the ground below, and the temperature of the falling snow deposited in the
snowpack. The trend of the snowpack temperature is to follow the air temperature as long as the air temperature is
below 0°C (32°F). The actual vertical temperature profile through the snowpack will depend on the snowpack
surface temperature, the base temperature, the snowpack depth, and the thermal conductivity of the snow in the
pack.  

Phase Change of Snow

While 0°C (32°F) is often called the melting temperature of ice, ice happily survives at 0°C (32°F). It is only
when heat is transferred into ice which is at 0°C (32°F) that melting, the phase change from solid ice to
liquid water, occurs. Similarly, liquid water also happily survives at 0°C (32°F). It is only when heat is
transferred away from liquid water which is at 0°C (32°F) that freezing, the phase change from liquid water
to solid ice, occurs. If ice and liquid water are coexisting in a given volume, their masses are not changing
with time, and there is no heat transfer into or out of the volume, then their temperature must be 0°C
(32°F).

In many cases, during the accumulation phase of the winter season, a difference in temperature exists between the
top surface and the base of the snowpack. This temperature gradient may be large or small depending on the
conditions. Small temperature gradients occur with deep snow and moderately cold temperatures. Large gradients
tend to occur in shallow snowpacks with very cold air temperatures.

Large gradients can drive heat and water vapor from the warmer portions of the snowpack (generally the base) to
the colder portions (generally the surface). This heat and mass flux can lead to rapid metamorphism, causing
changes in the ice crystal size and shape.

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The snowpack temperature cannot be greater than 0°C (32°F), the temperature at which ice and water coexist. If the
snowpack temperature is less than 0°C (32°F) then liquid water cannot exist for any length of time in the snowpack.
 If the snowpack temperature is at 0°C (32°F), then liquid water can exist in the snowpack. The snowpack is at 0°C
(32°F) and isothermal, with uniform temperature from surface to base (zero temperature gradient), during the
active melt period.
The concept of “Cold Content” grew directly out of attempts to predict snowmelt using the Temperature Index
approach. Snowmelt cannot occur unless the snowpack temperature is at 0°C (32°F). Cold content is the heat
necessary to warm the snowpack up to 0°C (32°F) in terms of the amount of ice this heat would melt.
The heat required per unit area to raise temperature of the snowpack to 32°F (0°C), Hc_heat, is

where   = the depth averaged snow density; Cp_ice = the heat capacity of ice; D = the snow depth; and ΔT = the
temperature below 0°C (32°F).

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Parameter Definition SI Customary

Cp ice Heat Capacity ice 2114 J/kg °C 0.505 Btu/lb °F

λ latent heat of fusion of water 333.4 k J/Kg 143.3 Btu/lb

ρw Density of water (0°C- 32°F) 999.87 kg/m3 62.42 lb/ft3

In practice, the flow of heat is not estimated during snowmelt modeling when using the Temperature Index
approach. Rather (as will be shown in the section on modeling below), the snowpack temperature is more
conveniently described by expressing the Cold Content as the negative of the depth of frozen water that Hc_heat
would melt.

where λ = the latent heat of fusion of water; and Cc = the Cold Content in units of negative inches (or cm).

5.2.4 Liquid Water Content

Liquid Water Content (LWC) describes the amount of liquid water contained in the snowpack. Liquid water in the
snowpack results from ice melting or by rain falling on the snow surface and can only permanently exist in the
snowpack when the snowpack temperature is at 0°C (32°F). Another, and equivalent, way of stating this is: liquid
water can exist in the snowpack only if the Cold Content is zero.
There is a limit to the amount of liquid water that a snowpack can hold, described by the percentage, LWCmax%, of
the SWE. Further liquid water added to the snowpack once the percentage of LWC in the snowpack has reached
LWCmax% leads to the downward vertical movement of the liquid water through the snowpack. Once the liquid
water reaches the base of the snowpack it becomes snowmelt runoff. Another term for snowmelt runoff is Liquid
Water at the Soil Surface (LWASS).
A “ripe” snowpack has Cc = 0; and the percentage of LWC in the snowpack is LWCmax%. Any heat added to a ripe
snowpack will result in snowmelt runoff.
The downward vertical movement of liquid water through the snowpack is an interesting physical process. In most
cases, the snowpack is not saturated with water. Air can move freely throughout the snowpack and the air pressure
is uniform throughout. The effects of capillarity are generally regarded as negligibly small compared to the effects
of gravity, and the inertial forces are small compared to viscous forces. An analysis of flow under these conditions
balances the downward pull of gravity on the water and the fluid viscous forces.  The movement of liquid water
occurs at very low Reynolds number and can be described as creeping or Stokes flow.  The result is a simplified form
of Darcy’s equation. The effective permeability of the snowpack - a key parameter of Darcy’s equation - has only
been roughly measured. Observations suggest that the permeability is proportional to the third power of the
effective saturation. This strong nonlinearity greatly complicates the solution of the flow equation.
A number of factors can impact the movement of liquid water through the snowpack, including non-uniform
temperatures with depth, non-homogeneity of the crystal and void sizes, formation of ice lenses, etc. Nonetheless,
once the liquid water has reached the base of the snowpack and snowmelt runoff has commenced, further
additions of liquid water move through the snowpack relatively rapidly. So rapidly, in fact, that the any delay in the

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appearance of snowmelt runoff caused by the vertical movement of water through the snowpack is not considered
hydrologically significant. As a result, once the models determine that the conditions are appropriate for snowmelt
runoff (Cc = 0 and LWC = LWCmax), snowmelt runoff will occur without delay.

Term Description Range % Mean %

Dry Usually Ts is below 0°C, but dry snow can occur 0 0

at any temperature up to 0°C. Disaggregated
snow grains have little tendency to adhere to
each other when pressed together, as in making
a snowball.

moist Ts = 0°C. The water is not visible even at 10x 0–3 1.5
magnification. When lightly crushed, the snow
has a distinct tendency to stick together.

wet  Ts = 0°C. The water can be recognized at 10x 3–8 5.5
magnification by its meniscus between adjacent
snow grains, but water cannot be pressed out
by moderately squeezing the snow in the hands
(pendular regime).

very wet Ts = 0°C. The water can be pressed out by 8–15 11.5
moderately squeezing the snow in the hands,
but an appreciable amount of air is confined
within the pores (funicular regime).

Soaked or slush Ts = 0°C. The snow is soaked with water and >15 >15
contains a volume fraction of air from 20 to 40%
(funicular regime).

Pendular regime (of water) The condition of low liquid water content where a continuous air space as well
as discontinuous volumes of water coexist in a snowpack, i.e., air-ice, water-ice, and air-liquid interfaces
are all found. Grain-to-grain bonds give strength. The volume fraction of free water does not exceed 8 %. 
Funicular regime (of water) The condition of high liquid water content where liquid exists in continuous
paths covering the ice structure; grain-to-grain bonds are weak. The volume fraction of free water exceeds
8 %.

5.3 Snowpack Mass and Energy Accounting

The two primary requirements of snowmelt hydrology are accounting for the time varying and spatially varying
snowpack SWE and energy. The snowpack SWE is accounted for by balancing changes in SWE with the SWE
deposited on or removed from the snow surface and the SWE lost from the snowpack as liquid water runoff. The
snowpack energy is accounted for by balancing changes in the snowpack temperature and phase change with the
heat flux at the snowpack top and bottom surfaces.

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5.3.1 Snowpack Mass Balance

The snowpack mass balance describes changes in the snowpack SWE as a result of precipitation, runoff,
sublimation, and blowing snow:

where SWEt = the SWE of the snowpack (depth); t = time; Pt = the precipitation rate (depth/time); Rt = the runoff rate
(depth/time); Vt = mass gained from or lost to water vapor (depth/time); and Bt = the snow gained from or lost to
blowing snow (depth/time). (Variables with the subscript t are time varying.) The precipitation can be in the form of
snow or rain – both will increase the SWE. The runoff rate (Rt) is determined by phase change in the snowpack which
is determined through the energy balance calculations.
In general, the principal mass input into the snowpack is precipitation in the form of snow, which increases the
snowpack SWE during the accumulation period; and the principal mass loss is liquid water runoff, which decreases
the SWE during the ablation period. These are the processes modeled by the HEC-HMS Temperature Index Snow
Model. However, mass lost to water vapor and blowing snow erosion and deposition can also be important at some
locations.
Sublimation and condensation (Vt) describe the phase change of ice crystals of the snowpack directly into water
vapor or the phase change of water vapor into ice or liquid water in the snowpack. Sublimation and condensation
occur when heat is transferred between the snowpack and the atmosphere through the latent heat flux. (More
about this in the heat transfer section below.) Blowing snow and sublimation can play significant roles in tundra,
along alpine ridges, and other areas where strong winds and low humidity are common. In any case, sublimation,
condensation, and blowing snow are not by the HEC-HMS Temperature Index Snow Model. As a result, the
snowpack mass balance can be simplified to

5.3.2 Snowpack Energy Balance

The snowpack energy balance describes changes in the snowpack temperature and phase change in the snowpack
as a result of heat transfer at the top and bottom surfaces of the snowpack. The snowpack energy balance is done
per unit area of the snowpack surface. The snowpack is treated as a single layer with a uniform temperature, . All
heat transfer is vertical and there is no horizontal heat transfer within the snowpack.
If <0°C (32°F) the energy balance is

where Qtotal = the net heat flux at the snow surface (units of joules per second per unit area). (Qtotal > 0, implies a net
heat flow into the snowpack). Note that equation includes the snow depth and density inside the differentiation as
the depth and density can also change with time. In general, the snow depth will only change with time under these
conditions ( <0°C (32°F)) if there is snowfall occurring. This will be discussed in more detail below. Assume that the
snow depth and density are constant with time as is usual under these conditions. Equation is then written as

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Equation can be re-written in terms of the cold constant as

where Cc = the Cold Content of the snowpack, as defined in equation . Note that equation and equation are entirely
equivalent.
If =0°C (32°F), which is equivalent to Cc =0, and the net heat transfer is into the snowpack, that is, Qtotal > 0, then the
conditions are set for phase change, melting, to occur. The rate liquid water is formed from melting ice, Mt (depth/
time), is

If the ratio  LWC/SWE  LWCmax% then

If the percentage of the Liquid Water Content of the snowpack is less than LWCmax% then the liquid water created by
melting snow increases the Liquid Water Content of the snowpack and no runoff occurs.
If LWC/SWE =  then

Once the percentage of the Liquid Water Content of the snowpack is equal to LWCmax% then all liquid water formed
goes into runoff, which reduces the SWE and the LWC. This process can continue until the SWE is zero.
There are a number of different modes of heat transfer that are included in Qtotal. These will be discussed next.

5.3.3 Snow Surface Heat Transfer

Overview
Snowmelt is ultimately driven by the transfer of heat energy into the snowpack from the atmosphere and the
surrounding environment. There are four primary modes of heat transfer between the snowpack and its
environment: sensible heat transfer, latent heat transfer, long wave radiation heat transfer, and short-wave
radiation heat transfer.  There is also heat transfer from precipitation falling on the snow surface as rain or snow,
and heat transfer from the soil layer beneath the snowpack. This can be stated as

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where QLatent = the rate of latent heat transfer; Qsensible = the rate of sensible heat transfer; QSWâ = the rate of
downwelling shortwave radiation at the snow surface; α = the snowpack albedo (0< α <1); QLWnet = the rate of net
longwave heat transfer; QPrecipitation =the rate of heat transfer due to rain and snow falling on the snow surface; and
QGround = the rate of heat transfer from the ground beneath the snowpack.
It is important to note that HEC-HMS Temperature Index Snow Model does not model the individual modes of heat
transfer included in equation explicitly. It uses a temperature index approach to simplify and model the net heat
transfer instead. However, it is important to have insight into the physics of each mode of heat transfer. This is
provided next.

Sensible and Latent Heat Transfer

Sensible and latent heat transfer are discussed together because both are driven by turbulent transport in the air
between the snow surface and the lower part of the atmosphere. In fact, sensible and latent heat transfer are often
referred to as turbulent fluxes due to the fact that they occur largely through turbulent transport in the air.
Sensible heat is the heat energy that can be measured with a thermometer. The direction of sensible heat transfer is
always from the warmer object to the colder. So, for heat to be transferred into the snowpack from the atmosphere
the air temperature must be warmer than the snowpack surface temperature. The heat transferred into the
snowpack will cause the pack temperature to rise until the pack temperature reaches the equilibrium temperature
of 0°C (32°F). Additional heat transfer into the snowpack after this point causes snowmelt. In similar fashion, for
heat to be transferred from the snowpack into the atmosphere, the air temperature must be colder than the
snowpack surface temperature. In this case, the snowpack temperature will drop. If the snowpack surface
temperature and the air temperature are the same there will be no heat transfer between them as sensible heat.
Latent heat transfer is due to the transfer of water vapor between the snowpack surface and the atmosphere.
Latent heat transfer always involves phases change between the water in the form of ice in the snowpack and the
water in the form of vapor in the atmosphere. The transfer of water molecules directly from snow to vapor occurs
by sublimation. Sublimation absorbs heat energy from the snowpack and cools it off. The transfer of water
molecules directly from vapor to ice occurs by condensation (sometimes also referred to as deposition.)
Condensation releases heat energy into the snowpack. The direction of latent heat transfer is determined by the
difference between the water vapor pressure of the air immediately above the snowpack and the water vapor
pressure in the atmosphere above the snowpack. The direction is from the higher vapor pressure layer to the lower
vapor pressure layer. The water vapor pressure of the air immediately above the snowpack is the saturated vapor
pressure at the temperature of the snow surface. Saturated vapor pressure is largely determined by air temperature
and to a much less degree the atmospheric air pressure. Saturated vapor pressure means that the water contained
in the air is in equilibrium with the ice of the snowpack and is the maximum amount of water that can be contained
in the air at that temperature and atmospheric pressure immediately above ice. The vapor pressure of the
atmosphere above the snowpack is determined by the relative humidity of the air and the air temperature.
The latent heat flux is from the air into the snowpack (condensation occurs) when

                                                                  
where ea = the vapor pressure of the air; and esat(Tss) = the saturated vapor pressure immediately above the snow
surface at the snow surface temperature, Tss. The equation can be cast in terms of the relative humidity of the air
(which is often known) by noting that the definition of relative humidity, RH,

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where esat(Ta) = the saturation vapor pressure of the air at the air temperature Ta. Substituting this into the previous
equation, it can be seen that the latent heat transfer is the from air into the snowpack when
where RHnuet = the neutral relative humidity at which no latent heat flux occurs. During the ablation period, the
snow surface temperature is 0°C (32°F) and the saturated vapor pressure above the snowpack, esat(Tss)   can be
calculated directly. The neutral relative humidity under these conditions can be estimated as a function of the air
temperature index (the degrees that the air temperature is above 32°F) and is shown in Figure below.  

It can be seen in Figure that sublimation of the snowpack will not be an uncommon occurrence during the ablation
period, even when the air temperature is 10°F above freezing or more. During the ablation period, the sensible and
latent heat fluxes will often be in different directions: the sensible heat flux into the snowpack and the latent heat
flux out of the snowpack. The latent heat flux will be into the snowpack generally only during periods of high
relative humidity, for example rain on snow events, fog, and other periods when very moist air is present.
The rates of sensible and latent heat transfer are both determined by the degree of turbulence in the atmosphere
above the snow and the stability of the atmosphere. The primary way by which turbulence is generated is by wind
drag over the snow and ground surface. The rate of the turbulent energy generation is very sensitive to the velocity
of the wind. The ability of wind to increase the heat transfer rate is called convection. However, wind is not the only
creator of turbulence in the atmosphere – natural convection of sensible and latent heat from the snow and ground
surface can also create turbulence. Natural convection occurs when the density of the air immediately at the snow
surface is less than the density of the air above. This difference in density causes the air to rise vertically upwards
though buoyancy. The atmosphere is said to unstable when natural convection occurs. Mixed convection occurs
when wind convection is augmented by natural convection. A contrasting case occurs when the atmosphere is
stable – that is the air near the ground is denser than the air above. Under stable conditions, natural convection
does not occur and the wind convection is damped. Under very stable conditions convection may not occur at all if
the wind velocity is low, and sensible and latent heat transfer can drop to very low levels.
The rates of sensible and latent heat transfer can be calculated using formulas such as

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Where QLatent = the rate of latent heat transfer; Qsensible = the rate of sensible heat transfer; ρa = the density of air; Lv
= the latent heat of sublimation; Cpa = the heat capacity of air; UZ = the wind speed measured at an elevation Z; ea =
the water vapor pressure in the atmosphere; esat(Tsnow) = the saturated vapor pressure immediately above the snow
surface; Ta = the air temperature; and Tsnow = the snow surface temperature. CL and Cs are stability factors that
account for the influence of the stability of the atmosphere on the rates of sensible and latent heat transfer. There
are a variety of ways of estimating the stability factors, but often they are presented as functions of the
dimensionless bulk Richardson Number (Ri). Ri is calculated as

where g = the acceleration of gravity. When Ri >0, (that is, Ta > Tsnow) the conditions are stable, and the stability
factor tends to be small, indicating that sensible and latent heat transfer rates are small. If Ri >>0 then any
convection is effectively damped and the transfer rates drop to near zero. When Ri = 0 (Ta = Tsnow), the conditions
are neutral, and the heat transfer is controlled by forced convection. When Ri < 0 (Ta < Tsnow), the conditions are
unstable, and the stability factor tends to be large, indicating that the sensible and latent heat transfer rates are
greater due to augmentation of forced convection by natural convection. Representative values of the stability
factors are shown in Figure  below.

During the ablation period, the snow surface temperature is 0°C (32°F) and the air temperature is generally greater
than 0°C (32°F) which means that Ta > Tsnow and Ri > 0 and the atmosphere is stable. The atmosphere becomes more
and more stable as the air temperature increases relative to the snow surface temperature. This means that the
turbulent fluxes of latent and sensible heat are effectively suppressed by the increasing stability of the air during
the ablation period unless there is a significant wind velocity.

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Longwave Radiation Heat Transfer

All bodies possessing energy emit electromagnetic radiation (and this is always true if their temperature is above
absolute zero). The amount of radiation emitted by a body at each wavelength of the electromagnetic spectrum is
determined by the temperature of the surface of the body according to Planck’s Law. (Longwave radiation of bodies
with surface temperatures in the range of temperatures found near the earth’s surface typically emit radiation at
wavelengths between 4 and 50 μm.) The total longwave radiation emitted by a body per unit area can be calculated
by integrating over all frequencies to arrive at the Stefan-Boltzmann Law

where QLW = the longwave radiation emitted per unit time per unit area; σ = the Stefan-Boltzmann constant (5.67 x
10-8 W m-2 °K-1); Ts = the surface temperature in degrees Kelvin; and ε = the emissivity of the surface (emissivity is
between 0 and 1. If a body is a “perfect” emitter of radiation, ε = 1. In fact, many bodies, such as snow and
vegetation are close to being perfect emitters).
Longwave radiation is emitted by the snow surface according to the Stefan-Boltzmann Law. This is known as
upwelling (or outgoing) radiation. The upwelling longwave radiation emitted by the snow surface is energy lost
from the snow that cools the snow. The longwave radiation emitted by the snow surface is found as

where εs = the emissivity of the snow surface (accepted values range from .97 to 1.0); and Tsnow = the temperature of
the snow surface (°K).
There is also downwelling (or incoming radiation) emitted from the atmosphere itself and by vegetation and
structures in the vicinity. The downwelling radiation absorbed by the snow surface is energy gained by the snow
that warms the snow. The overall impact of longwave radiation is found by summing the downwelling and
upwelling longwave radiation at the surface:

where QLWnet = the net longwave at the snow surface; and QLWâ = the downwelling longwave radiation. The
longwave radiation emitted by the atmosphere that reaches the snow surface is

where εa = the emissivity of the atmosphere. εa is affected by the vapor pressure (ea), air temperature (Ta), and
cloud cover (clf). The cloud cover is parameterized by the sky cloud fraction, with clf = 1 for a complete cloud cover,
clf = 0 clear skies. εa can be estimated by a variety of formulas. A representative formula is

where εcl = the clear-sky emissivity. Note that as clf increases from 0 to 1, εa proportionally increases between the
clear sky value, εcl and the limiting value of 1 for a completely cloud covered sky. The clear-sky emissivity is often
estimated as

The equation for the downwelling longwave radiation from the atmosphere can be found by combining the above
equations as

The downwelling longwave radiation from the atmosphere is relatively small during cold, clear periods with low
humidity (clf = 0, ea ~0, εcl ~0.68). It is relatively large during warm cloud covered periods (clf = 1, εcl =1).

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Downwelling longwave radiation can also be emitted by the vegetative canopies above the snow surface. The total
downwelling radiation can be described as the sum of the radiation from the sky and the vegetative canopies as

where QLWvâ  = the longwave radiation emitted by the canopy. The vegetative canopy is parameterized by the sky
view factor, Svf, with Svf, = 1 if there is no vegetative canopy above the snow, and Svf = 0 if the view of the sky is
completely blocked by the canopy. The longwave radiation emitted by the canopy is estimated as

The branches, stems, leaves, and other components of the vegetative canopy are generally assumed to have an
emissivity of 1 and their temperature assumed to be equal to the air temperature. 
The net longwave radiation at the snow surface can now be written as

Note the upwelling longwave radiation emitted by the snow surface has been given the opposite sign of the
downwelling radiation. Expanding this equation

Shortwave Radiation Heat Transfer

Shortwave radiation is radiation produced by the sun that reaches the surface of the earth. The sun, like all bodies,
emits radiation determined by the temperature of the surface of the body according to Planck’s Law. The intense
temperature of the sun (about 10,000°F or 5,500°C) produces the majority of its radiation in the wavelengths from
0.295 to 2.85 μm. The human eye is sensitive to wavelengths between about 0.390 to 0.700 μm. It is the shortwave
radiation from the sun that the human eye uses to see.
In the context of snow hydrology, shortwave radiation is not approached wavelength by wavelength but rather in
terms of the broadband value of downwelling shortwave radiation. The broadband value of shortwave radiation is
found through a weighted integration of the downwelling shortwave radiation at each wavelength that comprises
shortwave radiation. When shortwave radiation reaches the snow surface a portion is reflected and a portion
absorbed. It is only the absorbed portion that can change the snowpack temperature and/or cause snowmelt. The
ability of snow to reflect shortwave radiation is determined by the albedo of the snow, α. The energy absorbed by
the snow is

where QSW = the shortwave radiation absorbed at the snow surface; QSWâ = the downwelling shortwave radiation
that reaches the snow surface; and α = the albedo of the snow (0< α <1)

Albedo.
 Albedo is the ratio of the reflected shortwave radiation to the downwelling shortwave radiation reaching the
surface. It is well known that the albedo of snow varies wavelength by wavelength. However, in snow hydrology, it
is generally the broadband albedo that is of interest. The broadband albedo is found through a weighted integration
of the albedo at each wavelength that comprises shortwave radiation. The albedo is determined by the crystalline
structure of the snowpack surface. Shortwave radiation tends to be reflected by the surface of ice crystals and
absorbed in the interior of crystals. As mentioned above, newly fallen snow typically has large surface areas to
volume ratios. As a result, the albedo of newly fallen snow is large, generally in the range of 0.85-0.95. Snow
metamorphism is the modification of the snow crystals and grains to less angular, more rounded forms with time.
Metamorphism increases the size of the crystals which decreases the surface area and increases their volume. This
causes the albedo to decline as the metamorphism progresses. As long as the air temperature is less than 0°C (32°F),

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metamorphism proceeds slowly and the rate of decline of the albedo is relatively slow. Each new snowfall ‘resets’
the albedo back to the newly fallen value and the metamorphism and albedo decline start over again. However,
when the air temperature is greater than 0°C (32°F) and active snowmelt is occurring, metamorphism occurs quickly
and the rate of decline of the albedo is relatively rapid. The albedo can decline to values of about 0.40 for well-aged
snow. The albedo may drop to even lower values when the snowpack is shallow (snow depths of 0.5 m or less)
allowing the ground surface beneath the snow to have an influence. Dust, soot, forest debris such as bark and twigs,
and other deposited matter can also influence the snow surface albedo, and generally cause it to decline.

Modeling Downwelling shortwave radiation.

Many factors can influence the amount of shortwave radiation reaching the ground at any location. The journey of
shortwave radiation begins at the surface of the sun where it is emitted. It then travels through space for a short
span of 8 minutes and 20 seconds to reach the top of the atmosphere of the earth. This top-of-the-atmosphere
value can be directly calculated as

where I0â = the top of the atmosphere shortwave radiation (Wm-2); r0 = the mean distance between the earth and
sun; r = the actual Earth-Sun distance; S0 = the solar constant at the mean Earth-Sun distance r0  (1369.3 w/m2); and
q0 = the solar zenith angle, the angle measured at the earth's surface between the location of the sun in the sky and
the local zenith (The local zenith is the point in the sky directly above a particular location.) The Earth-Sun distance
r varies throughout the year because the earth follows a slightly elliptical orbit around the sun. Each of these
geometrical parameters in this equation, r0, r, and q0, can be calculated with precision because the clockwork
nature of the earth’s orbit around sun and the obliquity (tilt) of the earth itself are both well understood. (Whether
or not the solar constant, S0, is, in fact, a constant is a question beyond the scope of this write up. Certainly, ongoing
observations suggest that any variations are relatively small.) The formulas for the geometrical parameters are
straightforward but computationally intensive if done by hand. In short, the top of the atmosphere shortwave 

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radiation can be calculated precisely for any location on earth for any time if the following are known: day of year,
latitude, longitude, time of day, and offset from Greenwich Mean Time. The portion of the top of the atmosphere
shortwave radiation that actually reaches the surface of the earth depends on the conditions of the atmosphere, -
primarily the presence of clouds. The earth’s atmosphere is not perfectly transparent to all the shortwave radiation
even on a cloud free day when some radiation will be scattered, absorbed by gases and water vapor, and scattered
by aerosol particles. These reductions in solar radiation on cloud-free days will tend to be relatively small unless the
atmosphere is particularly turbid.
Clouds have a major impact on the sunlight reaching the earth. The impact will vary depending on the location of
clouds relative to the position of the sun, the type of clouds, and the percentage of the sky covered by clouds. An
example relationship describing the shortwave radiation absorbed by a horizontal snow surface given the top of
atmosphere value can be written

where at = an attenuation factor due to dust, scattering and absorption by the atmosphere (at < 1); clf = the sky
cloud factor (0 < clf < 1); α = the snow albedo; Ioâ = the top of the atmosphere shortwave radiation; and QSWâ = the
shortwave radiation reaching the snow surface. If the snow surface is not horizontal corrections can be made based
on the slope and aspect of the immediate topography. Shadows from surrounding terrain can also impact the
downwelling shortwave radiation.
The top of the atmosphere shortwave radiation arriving at any location follows a seasonal cycle. In the Northern
Hemisphere, the minimum top of the atmosphere radiation occurs at the winter solstice (December 21st). The value
of the daily average shortwave radiation at the winter solstice decreases from south to north. North of the Arctic
Circle (66° 33′ 47.3”), the daily average shortwave radiation is zero at the winter solstice because north of the Arctic
Circle is continually dark at that time of year. As the season progresses in time the solar radiation increases at every
latitude in the northern hemisphere reaching a maximum on the summer solstice (June 21st). The relative change
from winter minimum to summer maximum is greatest in the northern latitudes and less in the southern. The
further south a position is located the earlier in the year it will reach a given level of solar radiation above its
minimum. At the summer solstice the daily average shortwave radiation is remarkably uniform from the North Pole
to the equator. However, the length of the sunlit portion of the day also varies from the North where there are 24
hours of continuous daylight to a minimum at the equator where there are 12 daylight hours. This means that the
instantaneous or hourly radiation is less in the north because the daily average is applied over more hours of
daylight.

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Precipitation heat transfer

Heat can be transferred into the snowpack by precipitation. The heat transfer process is very different depending
on the form of the precipitation, rain or snow. In the HEC-HMS Temperature Index Snow Model, the form of the
precipitation is determined by comparing the air temperature, Ta, to the rain/snow determinate temperature, also
known as the PX temperature, or TPX. If the air temperature is warmer than the PX temperature, Ta > TPX, than the
precipitation is falling as rain. If the air temperature is less than or equal to the PX temperature, Ta £ TPX, than the
precipitation is falling as snow. TPX.is considered a constant, and is set by the model user. In general, TPX is usually
set warmer than the ice/water equilibrium temperature (32°F (0°C)), by a small margin.

Snowfall.
The precipitation is falling as snow when Ta £ TPX. The sensible heat that arrives at the surface of the snowpack due
to snowfall is

where St = the snowfall rate in terms of the snow water equivalent (depth/time); and Ta = the air temperature. Note
that it is assumed that the temperature of the snowfall is the same as the air temperature, Ta. The snowfall sensible
heat may or may not have an impact on the average snowpack temperature. This can be determined by restating
equation as

Which can be expanded into

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Note that the rate of change in SWE is equal to the snowfall rate, which is stated as

Substituting equation into equation , the change in the average snowpack temperature, , due to snowfall is  

The average snowpack temperature, , will be changed by snowfall only if the air temperature and  are different.
The above equation can also be stated in terms of the Cold Content, Cc. First, the definition of Cold Content, as
written in equation , is restated in terms of SWE

The change of cold content with time can be found by taking the derivative of equation with respect to time and
substituting in the expression for the rate of change of the average snowpack temperature, , from equation

 The rate of change of the Cold Content is described by , however, this can be stated in a more compact form if the
rate that Cold Content arrives as snowfall,   is defined as

Then

Rainfall.
The precipitation is falling as rain when Ta > TPX. Rainfall impacts the energy balance of the snowpack through the
sensible heat that it brings to the snowpack and the through the possibility of phase change of the liquid water. The
sensible heat is a determined by the temperature of the rain when it reaches the snow surface. Once the liquid
water has cooled to the ice/water equilibrium temperature further heat extraction must result in phase change of
the liquid water to ice. Generally, freezing of rainfall in the snowpack can only happen if the snowpack temperature
is less than the ice/water equilibrium temperature.
The sensible heat that arrives at the surface of the snowpack due to rainfall is

where Pt = the rainfall rate (depth/time); and Ta = the air temperature. Note that it is assumed that the temperature
of the rainfall is the same as the air temperature, Ta. Also note that the water can only be cooled to Tm, the ice/water
equilibrium temperature (32°F (0°C)).
Once the liquid water has reached the ice/water equilibrium temperature further cooling must result in phase
change of the liquid water to ice. Generally, freezing of rainfall in the snowpack can only happen if the snowpack
temperature is less than the ice/water equilibrium temperature. Freezing of rainfall in the snowpack is a very
effective means of raising the snowpack temperature due to the latent heat released by the liquid water when it
freezes.

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The potential latent heat that arrives at the surface of the snowpack due to rainfall is

Note that latent heat will be extracted from the liquid rainfall only as long as the snowpack temperature, , is less
than the ice/water equilibrium temperature (32°F (0°C)), Tm.

5.4 Temperature Index Method

The HEC-HMS Temperature Index Snow Model is described in this section. This temperature index approach is
derived, almost directly, from the Temperature Index Snow Model of SSARR model (USACE 1987). The SSARR
Temperature Index Snow Model was based, in large part, on the original snow hydrology studies conducted by the
Corps of Engineers in the 1950’s. (USACE 1956).

5.4.1 Overview

Mass Balance
A temperature index snow model simplifies the heat transfer calculations into the snowpack by estimating the heat
transfer into or out of the snowpack as a function of the difference between the surface temperature and the air
temperature.
The snowmelt capability in HEC-HMS estimates the following snowpack properties at each time step: The Snow
Water Equivalent (SWE) accumulated in the snowpack; the snowpack temperature (actually, the snowpack cold
content but this is equivalent to the snowpack temperature); snowmelt (when appropriate); the liquid water
content of the snowpack; and finally, the runoff at the base of the snowpack.

5.4.2 Energy Balance

Cold Content
The rate of change of cold content with time can be approximated starting with the definition from equation as

where Qt = the rate of heat transfer per unit area (energy per unit area per time); h= a heat transfer coefficient
(energy per unit area per time per degree air temperature); Tat = the air temperature; Ts = a representative
temperature of the snow pack; and cr = the “cold rate” that will be discussed below. Note that, following the
example of Anderson (1973) and others, the engineering approximation of heat transfer  has been used. There is a
question of what the representative temperature of the snowpack should represent. To be entirely consistent with
the concept of engineering heat transfer coefficient, Ts should equal the surface temperature of the snowpack.
However, this is not very satisfactory because the surface temperature of the snow pack is not known a priori. This
is because the heat transfer from the snow pack is controlled both by the heat transfer from the surface to the
atmosphere and by the heat conduction through the snowpack itself; with the slower of the two processes
controlling the rate. To overcome this problem, the representative temperature of the snow pack will be considered
to represent some interior temperature of the snowpack. If the snowpack is shallow, the temperature will be
representative of the entire snowpack; if the snowpack is deep, the temperature will be representative of the upper

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layer. This representative temperature, termed the “Antecedent Temperature Index for Cold Content” (ATICC) will
be estimated using quasi-engineering approach to heat transfer in a somewhat similar manner as the cold content,
as described below.

Index Temperature
 The cold content is found by first estimating an “Antecedent Temperature Index for Cold Content” (ATICC) “near”
the snow surface, ATICC, defined and estimated as (Anderson 1973, Corps of Engineers 1987, p 18)

where ATICC2 = the index temperature at the current time step; ATICC1 = the index temperature at the previous time
step; and TIPM is a non-dimensional parameter. The problem is that limited documentation exists to describe how
the parameter TIPM is related to the time step, snow material properties, or heat transfer conditions.

In this section a consistent approach for estimating cold content is developed that is based on the approach of
estimating changes in cold content based on the temperature difference between the air temperature and ATICC.
First, an approach for estimating ATICC is developed. To do this, we turn to a simple heat budget type analysis of
the snow pack in order to gain some insight. A straightforward heat budget of the snow pack can be written

where d = the “depth” of the snow pack associated with the depth of the index temperature; TATI = the snow
temperature measured by the antecedent temperature index, h* = the “effective” heat transfer coefficient from the
snow surface to the atmosphere (wm-2°C-1); and Ta = the air temperature. Note that we are assuming that a region
of the snow pack temperature has a uniform temperature TATI. This assumption is a bit dubious BUT it makes TATI
entirely analogous to ATICC. Note also that h* can be defined as

where h = the heat transfer coefficient from the snow surface to the atmosphere; ks = the snow thermal
conductivity; and ls = the effective snow depth through which thermal conduction occurs. h* will be dominated by
whichever process is slower: heat transfer from the snow to the atmosphere or thermal conduction through the
snow depth ls. If it is assumed that the snowpack temperature is To at time t = 0, the solution for equation is

where To = the initial snow pack temperature; and t = time from start. Setting TATI  ATICC2 and To  ATICC1, equation
(6) can be restated as

By comparing equation and equation , the expression for TIPM results:

We can see that TIPM is a function of the material properties of the snow pack, ρs, cp, and d; the heat transfer regime
as indicated by h*; and the time step, t. If we assume that the material properties and heat transfer regime of the
snow pack are set by the value of TIPM corresponding to a given time step of one day (for example, TIPM1 is the

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value of TIPM corresponding to a time step, t1, of one day) then the value of TIPM at another time step with same
material and heat transfer properties can be found as

where t2 = the time step corresponding to TIPM2. Equation was also presented without explanation in Anderson
(2006). Equation can now be restated as

where TIPM1 is the value of TIPM  corresponding to a time step of one day; and t2/t1 is the ratio of the model time
step (t2) to one day (t1). Equation employs the value of TIPM1 calibrated from a time step of one day, and allows it to
be used in model runs of 1 hour or even 1 minute and arrive at the same results for ATICC if the air temperature is
the same.
If a simple differential equation for cold content is used

where cc = cold content (inches day-1); and cr = cold rate (in. day-1 °F-1). Equation can be integrated by again setting
TATI  ATICC2; noting the solution for ATICC2 as given in equation to arrive at

Where log = the natural logarithm; and, as before, TIPM1 is the value of TIPM calibrated for a time step of one day;
and t2/t1 is the ratio of the model time step (t2) to one day (t1). where t2/t1 is the ratio of the model time step (t2) to
one day (t1) (or, more exactly t1 should correspond to the units of cr.).

5.5 Gridded Temperature Index Method

The Gridded Temperature Index Method is the same as the Temperature Index method but applied on a grid cell by
grid cell basis rather than an area-average over the watershed.  The Gridded Temperature Index is used in
conjunction with the ModClark Unit Hydrograph Transform method.  

5.6 Snowmelt References

NSIDC (2008) NISDC’s Cryospheric Glossary. The National Snow and Ice Data Center, Boulder, CO, USA. http://
nsidc.org/cryosphere/glossary
Sturm, M., et al. (1995) A Seasonal Snow Cover Classification System for Local to Global Applications DOI: http://
dx.doi.org/10.1175/1520-0442(1995)008<1261:ASSCCS>2.0.CO;22
Oke, T. R. (1987) Boundary Layer Climates. Second Edition. Methuen: London and New York
USACE. (1987) SSARR Model, Streamflow Synthesis and Reservoir Regulation. User Manual. (Reprinted 1991) US
Army Corps of Engineers, North Pacific Division, PO Box 2810, Portland, OR 97208-2870

2 http://dx.doi.org/10.1175/1520-0442(1995)008%3c1261:ASSCCS%3e2.0.CO;2

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USACE. (1956) Snow Hydrology. Summary Report Of The Snow Investigations. North Pacific Division, Corps of
Engineers, U.S. Army, Portland, Oregon. 30 June 1956

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6 Evaporation and Transpiration

Precipitation provides nearly all of the influx of water to a watershed. It is obvious to engineers and hydrologists
that precipitation must be accurately estimated before any estimates of channel flow can be made. It is much less
common for equal consideration to be given to ways water leaves a watershed other than as outflow. In many areas
of the United States it is a fact that than 50% of precipitation returns to the atmosphere through evaporation and
transpiration. Transpiration makes up most of the return. These two processes are key to accurate long-term
hydrologic simulations.

6.1 Basic Concepts1

Evaporation and transpiration are responsible for returning massive quantities of precipitation back to the
atmosphere. While evaporation is present in a watershed, the dominant pathway for water to return to the
atmosphere is via transpiration. Transpiration describes the process of plants extracting water from the soil
through their roots and releasing it to the air through their leaves.

6.1.1 Evaporation
Evaporation is the process of converting water from the liquid to the gaseous state. The process happens
throughout a watershed. Water evaporates from the surface of lakes, reservoirs, and streams. Water also
evaporates from small depressions on the ground surface that fill with precipitation during a storm. Water held in
pore spaces near the surface of the soil may evaporate. Finally, precipitation that has landed on vegetation may
evaporate before it can fall from the vegetation to the ground.
Thermodynamics of Evaporation
Evaporation is the conversion of water from the liquid to the gaseous state and involves large quantities of energy.
The latent heat of vaporization is the amount of energy required to affect the state transition. The latent heat of
vaporization is 539 calories per gram of water at 1 atmosphere of pressure. Additional energy is required to bring
the water from its current temperature to the boiling point; water must be at the boiling point before it can
vaporize. The energy required to raise the temperature of water is 1 calorie per Celsius degree. As energy is
adsorbed in the water, some of the water molecules will begin moving faster. This increased movement is increased
kinetic energy and is the result of applying energy to the water. The most common source of energy to drive
evaporation is shortwave radiation from the sun. Eventually the fastest water molecules break free from the water
and move into the air as water vapor. This process at the molecular level is repeated many times per second over
the water surface. When taken in bulk, this is the process of evaporation. Because the fastest water molecules are
the ones to break free to the air, the molecules left behind in the water are moving slower. A slower speed means a
lower kinetic energy. Energy is equivalent to temperature so the temperature of the water will decrease during
evaporation, even as some of the water is converted to vapor in the air.
Factors Affecting Evaporation
Many factors affect the amount of evaporation occurring in a watershed at any given time, and the factors are
interrelated. However, some generalities exist. Evaporation occurs as long as the vapor pressure of the water is
greater than the vapor pressure of the air. Therefore, evaporation will decrease as the relative humidity increases
and will stop when the relative humidity reaches 100%. A number of environmental factors affect the vapor
pressure of water and air through difference mechanisms. Evaporation will increase as the ambient temperature of
the water increases. Several sequential days of high temperature could warm water and increase evaporation, but
also shallow water is usually warmer than deep water. Evaporation decreases as the atmospheric pressure
increases, or example when a high pressure system is present. Conversely, evaporation increases as atmospheric
pressure decreases, such as with increasing elevation. Note however that increasing elevation typically is
associated with decreases in temperature and the net result can be unpredictable. Wind also increases evaporation
by removing the thin layer of vapor saturated air that forms over the water under calm conditions.

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Measuring Evaporation
The most common way to measure evaporation is with special pans specifically designed for the purpose. Water is
added to the pan and the depth of water is measured using either calibrated graduations marked on the side of the
pan or measurement tools. The measurements are usually taken daily. Regardless of the method, the measurement
relates directly to the equivalent depth of water that is evaporating at the location where the pan is sited. The pan
must be periodically refilled with water.

6.1.2 Transpiration
Transpiration is the process of plants removing water from the soil and expelling it to the atmosphere. The water is
extracted by the roots, travels through the plant vascular system, and exits through structures called stomata on
the underside of the leaves. Some of the soil water is retained for the biological processes of the plant, while the
process of evaporation that happens in the stomata cools the plant.
Root-Water Uptake
Water uptake does not begin with the roots; it begins within the stomata which are usually found on the underside
of leaves. The stomata are tiny chambers with an opening to the air that can be regulated by the plant. The stomata
are opened or closed in response to many different environmental and physiological factors. When the stomata are
open, water vapor leaves through the opening as long as the relative humidity is less than 100%. The source of the
vapor is water that evaporates inside the stomata, where it is found in the space between the cells that form the
walls of the stomata. The evaporated water causes a meniscus to form in the space between the cells and a
consequent capillary force is transferred to the vascular system of the plant. The capillary force is transmitted
through the water in the vascular system from the leaves down to the roots. Microscopic hairs on the roots keep
them in contact with the moist soil. Water is thus drawn into the roots due to the transmitted capillary force. The
water moves throughout the vascular system of the plant performing functions such as transporting suspended
nutrients. Water evaporating in the stomata performs the critical function of cooling the plant. If the stomata close
for any reason, almost all water uptake by the plant will stop. Most plants transpire during daylight hours and cease
at night.
Factors Affecting Transpiration
The factors affecting the rate of transpiration are related both to the amount of water in the soil and the plant. The
factors are interrelated in very complex ways, but there are some generalities. One of the functions of transpiration
is the cooling of the plant. The plant will attempt to increase transpiration during periods of high temperature to
avoid heat damage, and may reduce transpiration in cool temperatures. The plant may open the stomata to initiate
transpiration, but it can only occur if there is sufficient soil water. Plants cannot extract water in the soil below the
permanent wilting point. This is the water content equivalent to the maximum capillary force which the plant can
exert to extract water from the soil matrix. Different species of plants have differing abilities to generate capillary
force in the vascular system. Further, the grain size distribution of the soil can also affect the permanent wilting
point and changing the amount of water in pore spaces susceptible to the capillary force exerted by the plant. It is
also the case that plants have a greater need for water during a rapid growth phase, and use less water after
reaching maturity. Transpiration is affected by the density of plants in the landscape and by overall health. Finally,
because transpiration is driven by evaporation of water in the stomata, all of the factors that effect evaporation also
effect transpiration in a secondary manner.
Measuring Transpiration
The most accurate and complete method to measure transpiration is with a lysimeter. The lysimeter is essentially a
large steel container on the order of 5 meters in diameter and 1 meter deep that sits on a scale. The container is
installed in an agricultural field so that the top of the lysimeter is even with the ground surface. The container is
filled with soil and crops are planted in the lysimeter and the surrounding field. Irrigation may be applied. The scale
installed under the lysimeter measures the weight of the steel container, soil, water in the soil, and the crops. The
reduction in weight on two subsequent days is equal to the amount of water evaporated plus the amount
transpired. Given the density of water and the weight of water, the volume of water can be calculated. The

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combined evaporation and transpiration can then be calculated from the volume of water and the area of the
lysimeter.
Transpiration can also be measured using the eddy covariance technique. Eddies are turbulent vorticies of air
carrying varying concentrations of water vapor. If the amount of moving air and the concentration of water vapor in
the air can be measured, then the transpiration can be calculated. This requires the installation of a tower at the
site where transpiration will be measured. It is important that areas upwind of the measurement site be
characteristic of vegetation at the site. Measurements may not be possible if the ground in the vicinity of the site is
not level. Instruments for measuring vertical windspeed and air moisture content are installed on the tower.
Separate instruments are used to monitor upward and downward eddies. Complex mathematics is used to take the
instrument measurements and determine the net amount of water moving up from the ground surface. The upward
moving water vapor is the result of transpiration.

6.1.3 Combined Evapotranspiration

It can be relatively straightforward to measure evaporation from an open water body such as a lake. However,
measuring transpiration separately from evaporation over vegetation is very difficult. Consider that the trees, grass,
or crops will be transpiring during daylight hours. Also, any water on the ground surface between the plants will be
evaporating. Any measurement techniques will record the sum of evaporation and transpiration. In most cases it is
not important in the context of hydrologic simulation to be able to separate the two distinct processes. The
important component of the hydrologic cycle is the water that is removed from the soil and returned to the
atmosphere. Therefore, an inability to measure the evaporation and transpiration separately is not a limitation in
hydrologic simulation. It is almost always the case that evaporation and transpiration are combined and termed
evapotranspiration.

6.2 Monthly Average Method

The monthly average method is designed to work with data collected using evaporation pans. Pans are a simple but
effective technique for estimating evaporation. There is a long history of using them and data is widely available
throughout the United States and other regions.

6.2.1 Basic Concepts and Equations

Evaporation pans are measurement instruments. A standard pan is 121 centimeters in diameter and 24 centimeters
deep, though variations exist. It is set on a wooden platform close to the ground as shown in Figure 24. It is common
to measure the windspeed adjacent to the evaporation pan, as well as the minimum and maximum water
temperature each day. Water is added to the pan. Care must be taken to keep the water surface at least 5
centimeters below the top of the pan so that wind does not blow waves over the edge. Usually the pan will be
refilled daily to keep the water level from falling more than 7.5 centimeters below the top. If the pan is allowed to
empty too much, the temperature of the water may increase and cause overestimation of the evaporation rate.

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Figure 24.Example installation of a Class A evaporation pan.

Measurements are often performed in two separate ways. First, the pan may be marked with calibrated
graduations. The graduations represent depth and measure the volume in the evaporation pan. The water surface
is noted against the graduations to determine the water level each day. The difference on two sequential days is the
amount of evaporation that occurred, measured as an equivalent depth. Second, the volume of water added to the
pan each day can be measured; with the pan always being filled to the same level. Given the volume of water added
and the area of the pan, the equivalent depth can be calculated. An average of the two depths may be taken as the
estimate of the evaporation for each day.
Data collected with evaporation pans is usually reported in monthly averages. Averages must be determined for a
long period of time in order to eliminate yearly variations. The United Nations World Meteorological Organization
(ref needed) recommends a minimum record length of 30 years. It has been found that for long-term simulations
greater than 15 years, using pan evaporation data compares favorably with more sophisticated models of
evaporation (ref needed).

6.2.2 Estimating Parameters

There are many sources of data for pan evaporation rates. The source could be the monthly evaporation normals
for a site where data is collected with an evaporation pan. More often the data are presented within the context of a
regional analysis utilizing multiple measure sites, for example Roderick and Farquhar (2004). Within the United
States the National Weather Service has estimated average evaporation as shown in Figure 25.

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Figure 25.Calculated evaporation climatology in millimeters for the month of January using data from 1971 to 2000.
The measured pan evaporation rates overestimate evapotranspiration. The usual practice is to multiple the pan
evaporation rate by a reduction ratio in order to approximate the evapotranspiration. The ratio typically ranges
from 0.5 to 0.85 with the specific value depending on how the evaporation pan is sited and the atmospheric
conditions. The ratio is larger when the relative humidity is higher. The ratio decreases as the windspeed increases.
Typical values taken from the United Nations Food and Agriculture Organization (FAO, 1998) are shown in Table 14
and Table 15. The values are for a Class A evaporation pan and depend on the how the pan is located relative to
vegetation, as shown in Figure 26.

Figure 26.Two cases of evaporation pan siting and their environment.

Table 14.Pan coefficients for Class A pan sited on grass with a grass fetch but measuring transpiration over bare
ground, and different levels of mean relative humidity (RH) and windspeed.

RH (%) --> Low (< 40) Medium (40-70) High (> 70)

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Windspeed Fetch Length

(m/s) (m)

Light 1 0.55 0.65 0.75

<2 10 0.65 0.75 0.85

100 0.70 0.80 0.85

1,000 0.75 0.85 0.85

Moderate 1 0.50 0.60 0.65

2-5 10 .06 0.70 0.75

100 0.65 0.75 0.80

1,000 0.70 0.80 0.80

Strong 1 0.45 0.50 0.60

5-8 10 0.55 0.60 0.65

100 0.60 0.65 0.70

1,000 0.65 0.70 0.75

Very strong 1 0.40 0.45 0.50

>8 10 0.45 0.55 0.60

100 0.50 0.60 0.65

1,000 0.55 0.60 0.65

Table 15.Pan coefficients for Class A pan sited on bare ground with a bare ground fetch but measuring transpiration
over grass, and different levels of mean relative humidity (RH) and windspeed.

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RH (%) --> Low (< 40) Medium (40-70) High (> 70)

Windspeed Fetch Length

(m/s) (m)

Light 1 0.70 0.80 0.85

<2 10 0.60 0.70 0.80

100 0.55 0.65 0.75

1,000 0.50 0.60 0.70

Moderate 1 0.65 0.75 0.80

2-5 10 0.55 0.65 0.70

100 0.50 0.60 0.65

1,000 0.45 0.55 0.60

Strong 1 0.60 0.65 0.70

5-8 10 0.50 0.55 0.65

100 0.45 0.50 0.60

1,000 0.40 0.45 0.55

Very strong 1 0.50 0.60 0.65

>8 10 0.45 0.50 0.55

100 0.40 0.45 0.50

1,000 0.35 0.40 0.45

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The monthly average method is designed to work with data collected using evaporation pans. Pans are a simple but
effective technique for estimating evaporation. There is a long history of using them and data is widely available
throughout the United States and other regions.

6.2.3 Basic Concepts and Equations

Evaporation pans are measurement instruments. A standard pan is 121 centimeters in diameter and 24 centimeters
deep, though variations exist. It is set on a wooden platform close to the ground as shown in Figure 24. It is common
to measure the windspeed adjacent to the evaporation pan, as well as the minimum and maximum water
temperature each day. Water is added to the pan. Care must be taken to keep the water surface at least 5
centimeters below the top of the pan so that wind does not blow waves over the edge. Usually the pan will be
refilled daily to keep the water level from falling more than 7.5 centimeters below the top. If the pan is allowed to
empty too much, the temperature of the water may increase and cause overestimation of the evaporation rate.

Figure 24.Example installation of a Class A evaporation pan.

Measurements are often performed in two separate ways. First, the pan may be marked with calibrated
graduations. The graduations represent depth and measure the volume in the evaporation pan. The water surface
is noted against the graduations to determine the water level each day. The difference on two sequential days is the
amount of evaporation that occurred, measured as an equivalent depth. Second, the volume of water added to the
pan each day can be measured; with the pan always being filled to the same level. Given the volume of water added
and the area of the pan, the equivalent depth can be calculated. An average of the two depths may be taken as the
estimate of the evaporation for each day.
Data collected with evaporation pans is usually reported in monthly averages. Averages must be determined for a
long period of time in order to eliminate yearly variations. The United Nations World Meteorological Organization
(ref needed) recommends a minimum record length of 30 years. It has been found that for long-term simulations
greater than 15 years, using pan evaporation data compares favorably with more sophisticated models of
evaporation (ref needed).

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6.2.4 Estimating Parameters

There are many sources of data for pan evaporation rates. The source could be the monthly evaporation normals
for a site where data is collected with an evaporation pan. More often the data are presented within the context of a
regional analysis utilizing multiple measure sites, for example Roderick and Farquhar (2004). Within the United
States the National Weather Service has estimated average evaporation as shown in Figure 25.

Figure 25.Calculated evaporation climatology in millimeters for the month of January using data from 1971 to 2000.
The measured pan evaporation rates overestimate evapotranspiration. The usual practice is to multiple the pan
evaporation rate by a reduction ratio in order to approximate the evapotranspiration. The ratio typically ranges
from 0.5 to 0.85 with the specific value depending on how the evaporation pan is sited and the atmospheric
conditions. The ratio is larger when the relative humidity is higher. The ratio decreases as the windspeed increases.
Typical values taken from the United Nations Food and Agriculture Organization (FAO, 1998) are shown in Table 14
and Table 15. The values are for a Class A evaporation pan and depend on the how the pan is located relative to
vegetation, as shown in Figure 26.

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Figure 26.Two cases of evaporation pan siting and their environment.

Table 14.Pan coefficients for Class A pan sited on grass with a grass fetch but measuring transpiration over bare
ground, and different levels of mean relative humidity (RH) and windspeed.

RH (%) --> Low (< 40) Medium (40-70) High (> 70)

Windspeed Fetch Length

(m/s) (m)

Light 1 0.55 0.65 0.75

<2 10 0.65 0.75 0.85

100 0.70 0.80 0.85

1,000 0.75 0.85 0.85

Moderate 1 0.50 0.60 0.65

2-5 10 .06 0.70 0.75

100 0.65 0.75 0.80

1,000 0.70 0.80 0.80

Strong 1 0.45 0.50 0.60

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5-8 10 0.55 0.60 0.65

100 0.60 0.65 0.70

1,000 0.65 0.70 0.75

Very strong 1 0.40 0.45 0.50

>8 10 0.45 0.55 0.60

100 0.50 0.60 0.65

1,000 0.55 0.60 0.65

Table 15.Pan coefficients for Class A pan sited on bare ground with a bare ground fetch but measuring transpiration
over grass, and different levels of mean relative humidity (RH) and windspeed.

RH (%) --> Low (< 40) Medium (40-70) High (> 70)

Windspeed Fetch Length

(m/s) (m)

Light 1 0.70 0.80 0.85

<2 10 0.60 0.70 0.80

100 0.55 0.65 0.75

1,000 0.50 0.60 0.70

Moderate 1 0.65 0.75 0.80

2-5 10 0.55 0.65 0.70

100 0.50 0.60 0.65

1,000 0.45 0.55 0.60

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Strong 1 0.60 0.65 0.70

5-8 10 0.50 0.55 0.65

100 0.45 0.50 0.60

1,000 0.40 0.45 0.55

Very strong 1 0.50 0.60 0.65

>8 10 0.45 0.50 0.55

100 0.40 0.45 0.50

1,000 0.35 0.40 0.45

6.3 References4
Allen, R.G., L.S. Pereira, D. Raes, and M. Smith (1998) Crop Evapotranspiration: Guidelines for Computing Crop Water
Requirements. United Nations Food and Agriculture Organization, FAO Irrigation and Drainage Paper 56, Rome.
Roderick, M.L. and G.D. Farquhar (2004) "Changes in Australian pan evaporation from 1970 to 2002." International
Journal of Climatology, vol 24, issue 9, pp 1077-1090.CHAPTER 7

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7 Infiltration and Runoff Volume

As illustrated by Figure 2, HEC-HMS computes runoff volume by computing the volume of water that is intercepted,
infiltrated, stored, evaporated, or transpired and subtracting it from the precipitation. Interception and surface
storage are intended to represent the surface storage of water by trees or grass, local depressions in the ground
surface, cracks and crevices in parking lots or roofs, or a surface area where water is not free to move as overland
flow. Infiltration represents the movement of water to areas beneath the land surface. Interception, infiltration,
storage, evaporation, and transpiration collectively are referred to in the program and documentation as losses.
This chapter describes the loss models and how to use them to compute runoff volumes.

7.1 Basic Concepts2

Determining the portion of precipitation that becomes runoff volume is a complicated matter. Precipitation may
first fall on a vegetation canopy that intercepts a portion of the precipitation. Surface depressions capture some of
the precipitation reaching the ground and allow it to infiltrate. Water that does not infiltrate generally moves over
the ground surface to become runoff volume. Once water is in the soil it can move vertically and a portion that
infiltrated may return to the atmosphere through evapotranspiration. The weight of consideration given to each of
these components depends on the purposes of the hydrologic study. Studies using event simulation models tend to
focus on the initial condition at the beginning of the storm and the portion of the storm volume that becomes
runoff. Studies using continuous simulation models usually focus on infiltration and evapotranspiration in order to
estimate monthly or annual runoff volumes.

7.1.1 Interception
Many watersheds have some type of vegetation growing on the land surface. The vegetation in a natural watershed
could be grass, shrubs, or forest. Agricultural watersheds could have field crops such as wheat or row crops such as
tomatoes. Even urban watersheds often have vegetation with some cities maintaining extensive urban forests.
Falling precipitation first impacts the leaves and other surfaces of the vegetation. Some of the precipitation will
remain on the plant while the remainder will eventually reach the ground. The portion of precipitation that remains
on the plant is called interception.
Precipitation that is intercepted can return to the atmosphere through evaporation. Evaporation is significantly
reduced during a precipitation event because the vapor pressure gradient is reduced by the high humidity
associated with precipitation. However, after the precipitation event is over, the humidity will usually drop and
restore the vapor pressure gradient. This allows evaporation to increase and intercepted precipitation will return to
the atmosphere.
The amount of interception is a function of the species of plant and the life stage of the plant. In general, forests
have the highest potential for interception with evergreen species collecting more precipitation than deciduous
types. Shrubs often have an intermediate about of interception capability with grasses and crops showing the least
ability to capture precipitation. Life stage is also important. Young plants are usually smaller and consequently
capture less precipitation. Deciduous trees can capture a significant amount of precipitation during summer
months when the canopy is full, but collect almost no precipitation in the winter when the leaves have fallen off.
Water that impacts on vegetation and does not remain as intercepted precipitation can reach the ground through
two primary routes: throughfall or stemflow.
Throughfall refers to precipitation that initially lands on the vegetation surface, and then falls off the vegetation to
reach the ground. The leaves of a particular plant species have a limited capacity for holding water in tension. Water
beyond this capacity cannot remain on the vegetation for very long and will eventually fall off the leaf. It is possible
for the amount of water that can be held on a leaf to be affected by atmospheric conditions such as windspeed.
Stemflow refers to precipitation that initially lands on the vegetation surface, and then moves along the leaf stems,
branches, and trunk to reach the ground. The amount of stemflow observed in a plant species in dependent on the
shape of the leaves and branches. Stemflow will be high in plants that have leaves and branches shaped in a way

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that collects intercepted water and directs it to the trunk. Evergreen trees with needles or plants with irregular
branches often have higher throughfall and reduced stemflow.

7.1.2 Surface Depressions

Precipitation can arrive on the ground surface through a variety of pathways. The precipitation lands directly on the
ground when there is no vegetation in the watershed, or the precipitation can pass through gaps in the vegetation
cover. Precipitation may also arrive on the surface as throughfall or stemflow. The water on the ground will collect
in depressions. The capacity of depressions to hold water varies according to the land use. For example, a typical
asphalt parking lot has a very small capacity for storing surface water. Conversely, conservation agriculture
practices use tillage techniques designed to increase the capture of water in surface depressions.
Water captured in surface depressions can infiltrate into to the soil after precipitation has stopped. The amount of
depression storage can control the partitioning of precipitation between infiltration and surface runoff. Watersheds
with a small depression storage capacity will capture very little precipitation and infiltration will occur only during
storm events. Watersheds with substantial depression storage will capture precipitation and infiltration it during
the storm event, and water in depressions at the end of the event will infiltration after the storm has stopped. Water
that is not captured in surface depressions will usually flow over the surface as direct runoff.

7.1.3 Infiltration During a Storm

Infiltration is the process of water on the surface of the soil moving down into the soil. Soil is a porous media with a
structure composed of a variety of grain sizes with air between the individual grains. In some rare cases, the pores
of the soil are completely saturated with water and no air remains. In most cases the soil is unsaturated and only
some of the pores contain water. Therefore, simulating the behavior of water in soil is complicated because the
exact nature of the pore spaces (their volumetric ratio and connectedness) is not known. Further, while the total
amount of water in the soil may be estimated with reasonable accuracy, it is generally unknown exactly where the
water is located in the pore spaces. This entire descriptive task is complicated many times over by the spatial
variation of soil and pore properties horizontally and vertically throughout the watershed.
Soil as a porous media can be visualized similar to a sponge that cannot deform. The soil grains are analogous to
the structure of the sponge and the pore spaces are analogous to the empty space in the sponge. In order to be a
porous media, the pore spaces must be small enough for capillary forces to be significant. The magnitude of
capillary force is proportional to the radius of the pore space. Most soils have a wide variety of pore space sizes, and
the individual spaces are irregularly shaped. Therefore, a measurement of the capillary force can change
dramatically from point to point throughout the soil. The only way to development a meaningful measurement is to
use an instrument that determines the average value over a volume of several cubic centimeters. Such a
measurement is termed the soil water potential and by convention is negative. Units could be kilopascals,
millimeters of water, or Bar.
The flow of water in either saturated or unsaturated soil can almost always be described by Darcy's Law. It is a basic
relationship that states the vertical flow of water is proportional to the potential gradient. When the spatial
coordinate is taken as zero at the soil surface and measured downward, Darcy's Law can be stated in the following
form:

where ν is the flow per unit area, ψ is the matric potential (a negative value), z is the spatial coordinate (measured
positive downward), and K is the hydraulic conductivity. If the soil is saturated, then K is the saturated hydraulic
conductivity and is a function of the soil properties and the water properties. For unsaturated conditions the
conductivity is still a function of soil and water properties, but is additionally a function of the matric potential. As
the water content decreases from saturated toward the residual content, the matric potential becomes increasingly
negative. The relationship between conductivity and matric potential is nonlinear resulting in the magnitude of the
conductivity varying by several orders of magnitude over the possible range of water content. Darcy's Law is at the

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heart of all physically-based models of infiltration and is also used on many conceptual models.
The water moves in soil through a combination of two basic forces: absorption and gravity.
The term absorption is used to describe the process of water on the surface of the soil being drawn into the soil
because of a gradient in the matric potential. Recall that the magnitude of the matric potential increases as the soil
becomes dryer. The greater the magnitude of the matric potential, the greater the matric potential gradient will
become. It is usually the case that infiltration during the first portion of a precipitation event is dominated by
absorption, since the soil is often dry when precipitation begins. The matric potential will decrease as the water
content of the soil increases, eventually becoming zero at saturation. Therefore, the contribution of absorption to
the total infiltration will also decrease as the precipitation event progresses.
The degree to which absorption plays a role in overall infiltration into a soil is determined by the properties of the
soil. Soils with small pore spaces (such as clay soils) have a greater matric potential for a given water content than
soils with large pore spaces (such as sandy soils). One measure of this property of a soil is the bubbling pressure or
air entry potential. Soils with a large bubbling pressure show a great deal of absorption as part of infiltration. Soils
with a small bubbling pressure will very quickly transition from absorption effects to gravity effects during a
precipitation event.
Water begins moving through soil under the effect of gravity after the soil is saturated. The matric potential
becomes zero when the soil is saturated and Darcy's Law predicts water will move at the saturated hydraulic
conductivity. However, there is a degree to which gravity effects water flow in soil just as there is a degree to which
absorption effects flow. Some portions of the soil will be saturated long before the bulk soil is saturated. A certain
collection of soil pores that form a vertical path from the ground surface to the bottom of the soil layer may become
saturated. Once those pores become saturated, gravity will drive infiltration through those pores even if
surrounding pores are unsaturated and still dominated by the absorption process.
Absorption and gravity effects work together to produce the total infiltration rate. Water is pulled into dry soil by
absorption. Absorption is the dominate force driving infiltration as a front of water enters a dry soil at the ground
surface and begins moving down toward the bottom of the soil layer. Soil will be saturated some short distance
behind the wetting front. Water in the saturated pore spaces, closer to the soil surface, will be dominated by gravity
effects. Therefore, the gravity effects supply the water through the saturated pores to the areas along the wetting
front where absorption is expanding the saturated soil region.
The combination of absorption and gravity gives a high total infiltration rate at the beginning of a precipitation
storm. The total infiltration rate will then decrease as the soil layer becomes saturated. Infiltration in the saturated
portions of the soil can only be driven by gravity and lacks the additional component of absorption. Eventually the
soil layer becomes completely saturated and the absorption component becomes zero throughout the soil. At this
point a steady-state is reached and infiltration is only a function of gravity effects. The overall result is that the high
initial rate of infiltration decreases as the soil becomes saturated and eventually becomes constant at the saturated
hydraulic conductivity.

7.1.4 Processes Occurring Between Storms

Physical forces act on water in the soil between storm events. The water will move in response to capillary suction
forces in a process that redistributes the wetting front. Some of the water will be removed through
evapotranspiration. Representation of these processes is critical in continuous simulations. A storm event
simulation simply specifies the wetting front and soil moisture states as initial conditions at the beginning of a
simulation. A continuous simulation must model these two key processes accurately from the end of one storm
event to the beginning of the next storm event. If the simulated state of the soil is incorrect when the second storm
begins, then the infiltration and runoff volume for the second storm will not be accurate.
Water does not stop moving in the soil after the precipitation stops. The process of absorption, driven by the matric
potential in the unsaturated pore spaces, will redistribute water. During a precipitation event, the wetting front can
advance down into the soil relatively quickly due to the combined effects of absorption and gravity. When the
precipitation ends, the wetting front no longer has a supply of water coming from the surface. The wetting front will
not advance without a supply of water so the water that is in the soil must move in response to matric forces. The
matric potential is greater below the wetting front than it is the soil above the wetting front. Therefore, the water
will move from the area above the wetting front toward the bottom of the soil layer. Reducing the water content

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above the wetting front will increase the matric potential in this region of the soil. The matric potential below the
wetting front will decrease as water is pulled down from the formerly saturated region above the wetting front.
Eventually the matric potential above the wetting front will be equal to the matric potential below the wetting
front. At this point it will no longer be possible to identify the wetting front.
Evapotranspiration influences water movement in the soil between storm events by changing the matric potential.
Plants extract water from the soil during the day. The water is drawn into the roots, which reduces the water
content in the soil surrounding the roots. The decrease in the water content around the roots causes the matric
potential to increase. The increase in the matric potential will cause water to move toward the roots from other
regions of the soil layer that have a higher water content. Evapotranspiration can make it impossible for the soil
matric potential to come to a true steady-state condition. The result is that soil water is dynamic and is often in a
constant state of flux.

7.1.5 Program Data Requirements

The program considers that all land and water in a watershed can be categorized as either:
• Directly-connected impervious surface.
• Pervious surface.
Directly-connected impervious surface in a watershed is that portion of the watershed for which all contributing
precipitation runs off, with no infiltration, evaporation, or other volume losses. The infiltration loss models included
in the program include the ability to specify the percentage of the watershed which is impervious. Impervious
surface is usually associated with urbanized areas including roads, parking lots, and building roofs. Precipitation on
the pervious surfaces is subject to losses. The following alternative models are included to account for the
cumulative losses:
• The deficit and constant loss model.
• The exponential loss model.
• The Green and Ampt loss model.
• The initial and constant loss model.
• The SCS curve number loss model.
• The Smith Parlange loss model.
• The soil moisture accounting (sma) loss model.
With each model, precipitation loss is found for each computation time interval, and is subtracted from the MAP
depth for that interval. The remaining depth is referred to as precipitation excess. This depth is considered
uniformly distributed over a watershed area, so it represents a volume of runoff.
Some of the loss models included in the program are gridded. These models presume a subbasin is composed of
regularly spaced cells with uniform length and width. These models permit the user to specify initial conditions and
parameters for each grid cell separate from the neighbor cells. All other loss models simulate the entire subbasin
with one set of initial conditions and parameters. Using a gridded loss model results the gridded precipitation
method (Chapter 4) and the ModClark transform (Chapter 8).
Chapter 8 describes the three options for direct runoff hydrograph computations: the unit hydrograph (UH) model,
ModClark for gridded applications, and the kinematic-wave model. With a UH model, the excess on pervious
portions of the watershed is added to the precipitation on directly-connected impervious area, and the sum is used
in runoff computations. With the ModClark model, the excess from the pervious and impervious portion of each cell
is combined and routed to the outlet. With the kinematic-wave model, directly connected impervious areas may be
modeled separately from pervious areas if two overland flow planes are defined.

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7.2 Deficit and Constant Loss Model

7.2.1 Basic Concepts and Equations

The deficit and constant loss model uses a single layer to represent the soil. Precipitation enters the layer during
storm events. Evapotranspiration withdraws water from the layer between storm events. Precipitation in excess of
the capacity of the layer to hold water becomes direct runoff. As a simplification of the complicated processes
occurring on the land surface and in the soil, the model assumes only two modes: infiltration during storm events,
and evapotranspiration between storms. This model can be used for continuous simulation.

Infiltration
The soil layer used in the deficit and constant loss model has a maximum capacity to hold water. The soil is
saturated when the soil layer is at the maximum storage capacity, and it is not saturated when the layer contains
less than the maximum storage capacity. The deficit is the amount of water required at any point in time to bring
the soil layer to saturation. If the deficit is zero then the layer is saturated. When the layer is not saturated, the
deficit is the amount of water that must be added to bring it to saturation. The deficit is measured in millimeters or
inches. The maximum capacity minus the deficit gives the amount of water currently in storage. The current deficit
(or current storage) is assumed to be uniformly distributed throughout the soil layer. The soil within the layer is
assumed to have homogeneous properties.
The soil layer will have a certain moisture deficit at the beginning of a storm event. This amount could be zero,
indicating the soil is completely saturated. However, it is much more common for the layer to have a deficit greater
than zero, indicating it is not saturated. The moisture deficit could equal the maximum capacity if there has been an
extended period without rain, and evapotranspiration has extracted all water from the soil layer.
The soil layer has an infinite capacity for infiltration when the deficit is greater than zero. This means that when the
layer is below the saturation level, that all precipitation will infiltrate until the soil is saturated. This is one of the
simplifying assumptions in the model since in reality it is possible for the rainfall rate to exceed the infiltration rate
of the soil and result in direct runoff when the soil is not saturated. Nevertheless, within this loss model, all
precipitation will infiltrate until the soil layer is saturated. All infiltrated water remains in the soil layer and does not
percolate out of the layer.

Percolation and Excess Precipitation

Water will percolate out of the bottom of the soil layer if there is precipitation and the deficit is equal to zero. This
represents precipitation infiltrating from the soil surface into the soil layer, and then percolating through the soil
layer. Percolation water passes out of the bottom of the layer. It is lost from the system, unless the linear reservoir
baseflow method is used. In this case only, the percolation water becomes baseflow.
Percolation will continue as long as the soil layer is at maximum storage capacity, and precipitation continues. If
the precipitation rate exceeds the percolation rate, then precipitation up to the percolation rate will infiltrate into
the soil layer and percolate out of the bottom of the layer. Any precipitation above the percolation rate will become
excess precipitation and subject to direct runoff. If the precipitation rate is less than the percolation rate, then all of
the precipitation will infiltrate into the soil layer and percolate out of the bottom of the layer. When the
precipitation rate is less than the percolation rate there will be no excess precipitation. Percolation can only happen
as long as the soil layer remains at saturation.

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Evapotranspiration
Evapotranspiration removes water from the soil layer between storm events. The potential evapotranspiration rate
is taken from the meteorologic model, where a variety of methods are available for representing that process. The
evapotranspiration rate is used as specified by the meteorologic model without any modification. Water is removed
from the soil layer at the potential rate for every time interval when there is no precipitation. There is no further
evapotranspiration after the water in the soil layer is reduced to zero. Evapotranspiration will start again as soon as
water is present in the soil layer and there is no precipitation.

Estimating Parameters
Three parameters must be estimated: maximum deficit, percolation rate, and initial deficit.
The maximum deficit specifies the maximum amount of water that can be held in the soil layer. An upper limit can
be established if the active soil depth is known along with the porosity. The active soil depth is usually taken from
the ground surface down to the full depth of the root zone. The porosity can be estimated from the texture as
shown in TABLE XYZ. Note however that porosity does not show much variation with texture class. An estimate of
the maximum deficit made by multiplying the full rooting depth by the porosity will always form the upper limit. In
actuality the porosity should be reduced to account for the water below the residual water content that is not active
in the hydrology of the soil layer. A reasonable adjustment is to subtract 0.05 from the porosity to account for the
residual water. Further, it is often the case that the lower portions of the root zone are not active in the hydrology of
the soil layer. The active soil depth typically ranges from half of the rooting depth down to the full rooting depth.
Therefore, the calibration often shows the maximum deficit ranging from the upper limit to half its value.
The percolation rate defines how quickly water enters the soil while it is saturated and precipitation is occurring.
The upper limit for the parameter value will be the saturated hydraulic conductivity at the bottom of the root zone.
The conductivity can in turn be estimated using a physical laboratory test, or more commonly, the soil texture and
data such as in TABLE XYZ. In many cases the percolation rate will be less than the saturated hydraulic conductivity
because of incomplete saturation. The soil layer in the active root zone must be saturated for water to be
percolating. However, soil at the very bottom of the root zone may not be completely saturated. Conductivity is
generally reduced in partially saturated soils. Therefore, the percolation rate can be estimated as the saturated
hydraulic conductivity and may be reduced during calibration.
Initial deficit specifies the amount of available water storage capacity in the soil layer at the beginning of the
simulation. This is the initial condition for the loss model. In some rare cases it is possible to estimate the initial
deficit using field measurements from a tensiometer, time domain reflectometer, or neutron probe. These
measurements are generally only available in an instrumented research watershed. The more practical approach is
to begin the simulation three days after the end of a precipitation event that saturated the soil layer. Three days is
the approximate time required for saturated soil to drain to the water content known as field capacity. The field
capacity can be estimated from the physical properties of the soil.

7.3 Exponential Loss Model

Basic Concepts and Equations
Estimating Parameters

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7.4 Green and Ampt Loss Model

7.4.1 Basic Concepts and Equations

The Green and Ampt infiltration model included in the program is a conceptual model of infiltration of precipitation
in a watershed. According to EM 1110-2-1417
…the transport of infiltrated rainfall through the soil profile and the infiltration capacity of the soil is governed by
Richards' equation…[which is] derived by combining an unsaturated flow form of Darcy's law with the requirements
of mass conservation.
EM 1110-2-1417 describes in detail how the Green and Ampt model combines and solves these equations. In
summary, the model computes the precipitation loss on the pervious area in a time interval as:

in which ft = loss during period t, K = saturated hydraulic conductivity, ( -  ) = volume moisture deficit, Sf =
wetting front suction, and Ft = cumulative loss at time t. The precipitation excess on the pervious area is the
difference in the MAP during the period and the loss computed with Equation 20. As implemented, the Green and
Ampt model also includes an initial abstraction. This initial condition represents interception in the canopy or
surface depressions not otherwise included in the model. This interception is separate from the time to ponding
that is an integral part of the model. The solution method used follows that of Li et al. (1976)3.

7.4.2 Estimating Parameters

The Green and Ampt model in HEC-HMS requires specification of the parameters:
• Initial loss. This is a function of the watershed moisture at the beginning of the precipitation. It may be
estimated in the same manner as the initial abstraction for other loss models.
• Hydraulic conductivity. The table below, which is derived from Table 6-2 of EM 1110-2-1417, provides
estimates of this parameter as a function of texture class, which may be found from a soil survey. For
additional details regarding the derivation of information in this table, see Rawls, et al. (1982).
• Wetting front suction. This can be estimated as a function of pore size distribution, which can, in turn, be
correlated with texture class. The table below provides estimates of this parameter.
• Volume moisture deficit. Rawls and Brakensiek (1982) and Rawls, et al. (1982) have correlated the porosity
with soil texture class. The table below demonstrates this relationship. The initial water content must be
between zero and . For example, if the soil is saturated,  = ; for a completely dry soil,  = 0. EM
1110-2-1417 suggests that the initial water content may be related to an antecedent precipitation index.
Texture class estimates (from Rawls, et al., 1982)

Texture Class Porosity,  (cm3/ Hydraulic conductivity, Wetting front suction (cm)
cm) , saturated (cm/hr)

Sand 0.437 21.00 10.6

Loamy sand 0.437 6.11 14.2

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Texture Class Porosity,  (cm3/ Hydraulic conductivity, Wetting front suction (cm)
cm) , saturated (cm/hr)

Sandy loam 0.453 2.59 22.2

Loam 0.463 1.32 31.5

Silt loam 0.501 0.68 40.4

Sandy clay loam 0.398 0.43 44.9

Clay loam 0.464 0.23 44.6

Silty clay loam 0.471 0.15 58.1

Sandy clay 0.430 0.12 63.6

Silty clay 0.479 0.09 64.7

Clay 0.475 0.06 71.4

A Note on Parameter Estimation

The values presented here are meant as initial estimates.  This is the same for all sources of similar data
including Engineer Manual 1110-2-1417 Flood-Runoff Analysis4 and the Introduction to Loss Rate Tutorials5. 
Regardless of the source, these initial estimates must be calibrated and validated.

7.5 Initial and Constant Loss Model

7.5.1 Basic Concepts and Equations

The underlying concept of the initial and constant-rate loss model is that the maximum potential rate of
precipitation loss, , is constant throughout an event. Thus, if pt is the MAP depth during a time interval t to t+ ,
the excess, , during the interval is given by:

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An initial loss, , is added to the model to represent interception and depression storage. Interception storage is a
consequence of absorption of precipitation by surface cover, including plants in the watershed. Depression storage
is a consequence of depressions in the watershed topography; water is stored in these and eventually infiltrates or
evaporates. This loss occurs prior to the onset of runoff.
Until the accumulated precipitation on the pervious area exceeds the initial loss volume, no runoff occurs. Thus, the
excess is given by:

7.5.2 Estimating Initial Loss and Constant Rate

The initial and constant-rate model, in fact, includes one parameter (the constant rate) and one initial condition
(the initial loss). Respectively, these represent physical properties of the watershed soils and land use and the
antecedent condition.
If the watershed is in a saturated condition, Ia will approach zero. If the watershed is dry, then Ia will increase to
represent the maximum precipitation depth that can fall on the watershed with no runoff; this will depend on the
watershed terrain, land use, soil types, and soil treatment. Table 6-1 of EM 1110-2-1417 suggests that this ranges
from 10-20% of the total rainfall for forested areas to 0.1-0.2 inches for urban areas.
The constant loss rate can be viewed as the ultimate infiltration capacity of the soils. The SCS (1986) classified soils
on the basis of this infiltration capacity, and Skaggs and Khaleel (1982) have published estimates of infiltration rates
for those soils, as shown in Table 14. These may be used in the absence of better information.
Because the model parameter is not a measured parameter, it and the initial condition are best determined by
calibration. Chapter 9 of this manual describes the program's calibration capability.

Table 16.SCS soil groups and infiltration (loss) rates (SCS, 1986; Skaggs and Khaleel, 1982)

Soil Group Description Range of Loss Rates (in/hr)

A Deep sand, deep loess, aggregated silts 0.30-0.45

B Shallow loess, sandy loam 0.15-0.30

C Clay loams, shallow sandy loam, soils low in 0.05-0.15

organic content, and soils usually high in clay

D Soils that swell significantly when wet, heavy 0.00-0.05

plastic clays, and certain saline soils

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A Note on Parameter Estimation

The values presented here are meant as initial estimates.  This is the same for all sources of similar data
including Engineer Manual 1110-2-1417 Flood-Runoff Analysis6 and the Introduction to Loss Rate Tutorials7. 
Regardless of the source, these initial estimates must be calibrated and validated.

7.6 SCS Curve Number Loss Model

7.6.1 Basic Concepts and Equations

The Soil Conservation Service (SCS) Curve Number (CN) model estimates precipitation excess as a function of
cumulative precipitation, soil cover, land use, and antecedent moisture, using the following equation:

where Pe = accumulated precipitation excess at time t; P = accumulated rainfall depth at time t; Ia = the initial
abstraction (initial loss); and S = potential maximum retention, a measure of the ability of a watershed to abstract
and retain storm precipitation. Until the accumulated rainfall exceeds the initial abstraction, the precipitation
excess, and hence the runoff, will be zero.  From analysis of results from many small experimental watersheds, the
SCS developed an empirical relationship of Ia and S:

Therefore, the cumulative excess at time t is:

Incremental excess for a time interval is computed as the difference between the accumulated excess at the end of
and beginning of the period.  The maximum retention, S, and watershed characteristics are related through an
intermediate parameter, the curve number (commonly abbreviated CN) as:

CN values range from 100 (for water bodies) to approximately 30 for permeable soils with high infiltration rates.

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Publications from the Soil Conservation Service (1971, 1986) provide further background and details on use of the
CN model.

7.6.2
Estimating CN

The CN for a watershed can be estimated as a function of land use, soil type, and antecedent watershed moisture,
using tables published by the SCS. For convenience, Appendix A of this document includes CN tables developed by
the SCS and published in Technical Report 55 (commonly referred to as TR-55). With these tables and knowledge of
the soil type and land use, the single-valued CN can be found. For example, for a watershed that consists of a
tomato field on sandy loam near Davis, CA, the CN shown in Table 2-2b of the TR-55 tables is 78. (This is the entry for
straight row crop, good hydrologic condition, B hydrologic soil group.) This CN is entered directly in the appropriate
input form.  For a watershed that consists of several soil types and land uses, a composite CN is calculated as:

in which CNcomposite = the composite CN used for runoff volume computations; i = an index of watersheds
subdivisions of uniform land use and soil type; CNi = the CN for subdivision i; and Ai = the drainage area of
subdivision i.
Users of the SCS model as implemented in the program should note that the tables in Appendix A include
composite CN for urban districts, residential districts, and newly graded areas. That is, the CN shown are composite
values for directly-connected impervious area and open space. If CN for these land uses are selected, no further
accounting of directly-connected impervious area is required.

7.6.3
Gridded SCS Curve Number Loss Model

Alternatively, the grid-based CN modeling option can be used. With this option, the subdivisions in Equation 19 are
grid cells. The description of each cell in the database includes: the location of the cell, the travel distance from the
watershed outlet, the cell size, and the cell CN. The program computes precipitation excess for each cell
independently, using Equation 17, and routes the excess to the watershed outlet, using the ModClark method.

7.7 Soil Moisture Accounting Loss Model

Models described thus far in this chapter are event models. They simulate behavior of a hydrologic system during a
precipitation event, and to do so, they require specification of all conditions at the start of the event. The
alternative is a continuous model—a model that simulates both wet and dry weather behavior. The soil moisture
accounting model (SMA) does this.
Basic Concepts and Equations
The SMA model is patterned after Leavesley's Precipitation-Runoff Modeling System (1983) and is described in
detail in Bennett (1998). The model simulates the movement of water through and storage of water on vegetation,
on the soil surface, in the soil profile, and in groundwater layers. Given precipitation and potential
evapotranspiration (ET), the model computes basin surface runoff, groundwater flow, losses due to ET, and deep
percolation over the entire basin.

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Figure 27.Conceptual schematic of the continuous soil moisture accounting algorithm (Bennett, 1998)
Storage Component
The SMA model represents the watershed with a series of storage layers, as illustrated by Figure 22. Rates of inflow
to, outflow from, and capacities of the layers control the volume of water lost or added to each of these storage
components. Current storage contents are calculated during the simulation and vary continuously both during and
between storms. The different storage layers in the SMA model are:
• Canopy-interception storage. Canopy interception represents precipitation that is captured on trees, shrubs,
and grasses, and does not reach the soil surface. Precipitation is the only inflow into this layer. When
precipitation occurs, it first fills canopy storage. Only after this storage is filled does precipitation become
available for filling other storage volumes. Water in canopy interception storage is held until it is removed by
evaporation.
• Surface-interception storage. Surface depression storage is the volume of water held in shallow surface
depressions. Inflows to this storage come from precipitation not captured by canopy interception and in
excess of the infiltration rate. Outflows from this storage can be due to infiltration and to ET. Any contents in
surface depression storage at the beginning of the time step are available for infiltration. If the water
available for infiltration exceeds the infiltration rate, surface interception storage is filled. Once the volume
of surface interception is exceeded, this excess water contributes to surface runoff.
• Soil-profile storage. The soil profile storage represents water stored in the top layer of the soil. Inflow is
infiltration from the surface. Outflows include percolation to a groundwater layer and ET. The soil profile
zone is divided into two regions, the upper zone and the tension zone. The upper zone is defined as the
portion of the soil profile that will lose water to ET and/or percolation. The tension zone is defined as the
area that will lose water to ET only. The upper zone represents water held in the pores of the soil. The

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tension zone represents water attached to soil particles. ET occurs from the upper zone first and tension
zone last. Furthermore, ET is reduced below the potential rate occurring from the tension zone, as shown in
Figure 23. This represents the natural increasing resistance in removing water attached to soil particles. ET
can also be limited to the volume available in the upper zone during specified winter months, depicting the
end of transpiration by annual plants.

Figure 28.ET as a function of tension zone storage (Bennett, 1998)

• Groundwater storage. Groundwater layers in the SMA represent horizontal interflow processes. The SMA
model can include either one or two such layers. Water percolates into groundwater storage from the soil
profile. The percolation rate is a function of a user-specified maximum percolation rate and the current
storage in the layers between which the water flows. Losses from a groundwater storage layer are due to
groundwater flow or to percolation from one layer to another. Percolation from the soil profile enters the
first layer. Stored water can then percolate from layer 1 to groundwater layer 2 or from groundwater layer 2
to deep percolation. In the latter case, this water is considered lost from the system; aquifer flow is not
modeled in the SMA.
Flow Component
The SMA model computes flow into, out of, and between the storage volumes. This flow can take the form of:
• Precipitation. Precipitation is an input to the system of storages. Precipitation first contributes to the canopy
interception storage. If the canopy storage fills, the excess amount is then available for infiltration.
• Infiltration. Infiltration is water that enters the soil profile from the ground surface. Water available for
infiltration during a time step comes from precipitation that passes through canopy interception, plus water
already in surface storage.
The volume of infiltration during a time interval is a function of the volume of water available for infiltration, the
state (fraction of capacity) of the soil profile, and the maximum infiltration rate specified by the model user. For
each interval in the analysis, the SMA model computes the potential infiltration volume, PotSoilInfl, as:

where MaxSoilInfl = the maximum infiltration rate; CurSoilStore = the volume in the soil storage at the beginning of
the time step; and MaxSoilStore = the maximum volume of the soil storage. The actual infiltration rate, ActInfil, is
the minimum of PotSoilInfil and the volume of water available for infiltration. If the water available for infiltration
exceeds this calculated infiltration rate, the excess then contributes to surface interception storage.

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Figure 29.Potential infiltration rate versus beginning of time step soil profile storage.
Figure 24 illustrates the relationship of these, using an example with MaxSoilInfil = 0.5 in/hr and MaxSoilStore = 1.5
in. As illustrated, when the soil profile storage is empty, potential infiltration equals the maximum infiltration rate,
and when the soil profile is full, potential infiltration is zero.
• Percolation. Percolation is the movement of water downward from the soil profile, through the groundwater
layers, and into a deep aquifer.
In the SMA model, the rate of percolation between the soil-profile storage and a groundwater layer or between two
groundwater layers depends on the volume in the source and receiving layers. The rate is greatest when the source
layer is nearly full and the receiving layer is nearly empty. Conversely, when the receiving layer is nearly full and the
source layer is nearly empty, the percolation rate is less. In the SMA model, the percolation rate from the soil profile
into groundwater layer 1 is computed as:

where PotSoilPerc = the potential soil percolation rate; MaxSoilPerc = a user-specified maximum percolation rate;
CurSoilStore = the calculated soil storage at the beginning of the time step; MaxSoilStore = a user-specified
maximum storage for the soil profile; CurGwStore = the calculated groundwater storage for the upper groundwater
layer at the beginning of the time step; and MaxGwStore = a user-specified maximum groundwater storage for
groundwater layer 1.
The potential percolation rate computed with Equation 22 is multiplied by the time step to compute a potential
percolation volume. The available water for percolation is equal the initial soil storage plus infiltration. The
minimum of the potential volume and the available volume percolates to groundwater layer 1.
A similar equation is used to compute PotGwPerc, the potential percolation from groundwater layer 1 to layer 2:

where MaxPercGw = a user-specified maximum percolation rate; CurGwStore = the calculated groundwater storage
for the groundwater layer 2; and MaxGwStore = a user-specified maximum groundwater storage for layer 2. The
actual volume of percolation is computed as described above.
For percolation directly from the soil profile to the deep aquifer in the absence of groundwater layers, for
percolation from layer 1 when layer 2 is not used, or percolation from layer 2, the rate depends only on the storage

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volume in the source layer. In those cases, percolation rates are computed as

and

respectively, and actual percolation volumes are computed as described above.

• Surface runoff and groundwater flow. Surface runoff is the water that exceeds the infiltration rate and
overflows the surface storage. This volume of water is direct runoff; the resulting runoff hydrograph is
computed with one of the models described in Chapter 6.
Groundwater flow is the sum of the volumes of groundwater flow from each groundwater layer at the end of the
time interval. The rate of flow is computed as:

where GwFlowt and GwFlowt+1 = groundwater flow rate at beginning of the time interval t and t+1, respectively;
ActSoilPerc = actual percolation from the soil profile to the groundwater layer; PotGwiPerc = potential percolation
from groundwater layer i; RoutGwiStore = groundwater flow routing coefficient from groundwater storage i;
TimeStep = the simulation time step; and other terms are as defined previously. The volume of groundwater flow
that the watershed releases, GwVolume, is the integral of the rate over the model time interval. This is computed as

This volume may be treated as inflow to a linear reservoir model to simulate baseflow, as described in Chapter 7.
• Evapotranspiration (ET). ET is the loss of water from the canopy interception, surface depression, and soil
profile storages. In the SMA model, potential ET demand currently is computed from monthly pan
evaporation depths, multiplied by monthly-varying pan correction coefficients, and scaled to the time
interval.
The potential ET volume is satisfied first from canopy interception, then from surface interception, and finally from
the soil profile. Within the soil profile, potential ET is first fulfilled from the upper zone, then the tension zone. If
potential ET is not completely satisfied from one storage in a time interval, the unsatisfied potential ET volume is
filled from the next available storage.
When ET is from interception storage, surface storage, or the upper zone of the soil profile, actual ET is equivalent
to potential ET. When potential ET is drawn from the tension zone, the actual ET is a percentage of the potential,
computed as:

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where ActEvapSoil = the calculated ET from soil storage; PotEvapSoil = the calculated maximum potential ET; and
MaxTenStore = the user specified maximum storage in the tension zone of soil storage. The function, f(), in Equation
28 is defined as follows:
• • As long as the current storage in the soil profile exceeds the maximum tension zone storage
(CurSoilStore/MaxTenStore > 1), water is removed from the upper zone at a onetoone rate, the same
as losses from canopy and surface interception.
• Once the volume of water in the soil profile zone reaches the tension zone, f() is determined similar to
percolation. This represents the decreasing rate of ET loss from the soil profile as the amount of
water in storage (and therefore the capillary force) decreases, as illustrated in Figure 23.
Order of Model Computations
Flow into and out of storage layers is computed for each time step in the SMA model. (Appendix B describes how the
time step is selected.) The order of computations in each time step depends upon occurrence of precipitation or ET,
as follows:
• If precipitation occurs during the interval, ET is not modeled. Precipitation contributes first to canopy-
interception storage. Precipitation in excess of canopy-interception storage, combined with water already in
surface storage, is available for infiltration. If the volume available is greater than the available soil storage,
or if the calculated potential infiltration rate is not sufficient to deplete this volume in the determined time
step, the excess goes to surface-depression storage. When surface-depression storage is full, any excess is
surface runoff.
Infiltrated water enters soil storage, with the tension zone filling first. Water in the soil profile, but not in the tension
zone, percolates to the first groundwater layer. Groundwater flow is routed from the groundwater layer 1, and then
any remaining water may percolate to the groundwater layer 2. Percolation from layer 2 is to a deep aquifer and is
lost to the model.
• If no precipitation occurs, ET is modeled. Potential ET is satisfied first from canopy storage, then from
surface storage. Finally, if the potential ET is still not satisfied from surface sources, water is removed from
the upper-soil profile storage. The model then continues as described above for the precipitation periods.
Estimating Model Parameters
SMA model parameters must be determined by calibration with observed data. In this iterative process, candidate
parameter values are proposed, the model is exercised with these parameters and precipitation and
evapotranspiration inputs. The resulting computed hydrograph is compared with an observed hydrograph for the
same period. If the match is not satisfactory, the parameters are adjusted, and the search continues. Bennett (1998)
and EM 1110-2-1417 offer guidance for this calibration. The automatic calibration algorithm described in Chapter 9
may be used to aid this search.

7.8 Applicability and Limitations of the Runoff-Volume Models

Selecting a loss model and estimating the model parameters are critical steps in developing program input. Not all
loss models can be used with all transforms. For instance, the gridded loss methods can only be used with the
ModClark transform. Table 16 lists some positive and negative aspects of the alternatives. However, these are only
guidelines and should be supplemented by knowledge of, and experience with, the models and the watershed.
League and Freeze (1985) point out that
In many ways, hydrologic modeling is more an art than a science, and it is likely to remain so. Predictive hydrologic
modeling is normally carried out on a given catchment using a specific model under the supervision of an individual
hydrologist. The usefulness of the results depends in large measure on the talents and experience of the hydrologist
and …understanding of the mathematical nuances of the particular model and the hydrologic nuances of the
particular catchment. It is unlikely that the results of an objective analysis of modeling methods…can ever be
substituted for the subjective talents of an experienced modeler.
Table 18.Positive and negative aspects of loss models.

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Model Positive Negative

Initial and Constant "Mature" model that has been used Difficult to apply to ungaged areas due to
successfully in hundreds of studies lack of direct physical relationship of
throughout the US. parameters and watershed properties.
Easy to set up and use. Model may be too simple to predict
Model is parsimonious; it includes only losses within event, even if it does predict
a few parameters necessary to explain total losses well.
the variation of runoff volume (see EM
1110-2-1417).

Deficit and Constant Similar to above Similar to above

Can be used for long-term simulations
(for example, for period-of-record
analyses.)

SCS CN Simple, predictable, and stable method Predicted values not in accordance with
Relies on only one parameter, which classical unsaturated flow theory.
varies as a function of soil group, land Infiltration rate will approach zero during
use and treatment, surface condition, a storm of long duration, rather than
and antecedent moisture condition. constant rate as expected.
Features readily grasped and Developed with data from small
reasonable well-documented agricultural watersheds in midwestern
environmental inputs. US, so applicability elsewhere is
Well established method, widely uncertain.
accepted for use in US and abroad. Default initial abstraction (0.2S) does not
(From Ponce and Hawkins, 1996) depend upon storm characteristics or
timing. Thus, if used with design storm,
abstraction will be same with 0.50-AEP
storm and 0.01-AEP storm.
Rainfall intensity not considered. (Same
loss for 25 mm rainfall in 1 hour or 1 day.)

Green and Ampt Parameters can be estimated for Not widely used, so less mature, not as
ungaged watersheds from information much experience in professional
about soils community.
Less parsimonious than simple empirical
models.

7.9 References5
Bennett, T.H. (1998) Development and application of a continuous soil moisture accounting algorithm for the
Hydrologic Engineering Center Hydrologic Modeling System (HEC-HMS). MS thesis, Dept. of Civil and Environmental
Engineering, University of California, Davis.
Leavesley, G. H., R.W. Lichty, B.M. Troutman, and L.G. Saindon (1983) Precipitation-runoff modeling system user's
manual, Water-Resources Investigations 83-4238. United States Department of the Interior, Geological Survey,
Denver, CO.
Li, R.M., M.A. Stevens, and D.B. Simons. (1976) "Solutions to Green-Ampt Infiltration equations." ASCE J Irrigation

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and Drainage Div, vol 102(IR2) pp 239-248.

Loague, K.M., and R.A. Freeze (1985) "A comparison of rainfall-runoff modeling techniques on small upland
catchments." Water Resources Research, AGU, 21(2), 229-248.
McFadden, D.E. (1994) Soil moisture accounting in continuous simulation watershed models. Project report, Dept.
of Civil and Environmental Engineering, University of California, Davis.
Ponce, V.M. and R.H. Hawkins (1996) "Runoff curve number: Has it reached maturity?" Journal of Hydrologic
Engineering, ASCE, 1(1), 11-19.
Rawls, W.J. and D.L. Brakensiek (1982) "Estimating soil water retention from soil properties." Journal of the
Irrigation and Drainage Division, ASCE, 108(IR2), 166-171.
Rawls, W.J., D.L. Brakensiek and K.E. Saxton (1982) "Estimation of soil water properties." Transactions American
Society of Agricultural Engineers, St. Joseph, MI, 25(5), 1316-2320.
Skaggs, R.W. and R. Khaleel (1982) Infiltration, Hydrologic modeling of small watersheds. American Society of
Agricultural Engineers, St. Joseph, MI.
Soil Conservation Service (1971) National engineering handbook, Section 4: Hydrology. USDA, Springfield, VA.
Soil Conservation Service (1986) Urban hydrology for small watersheds, Technical Release 55. USDA, Springfield, VA.
USACE (1992) HEC-IFH user's manual. Hydrologic Engineering Center, Davis, CA.
USACE (1994) Flood-runoff analysis, EM 1110-2-1417. Office of Chief of Engineers, Washington, DC.
CHAPTER 8

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8 Surface Runoff
This chapter describes the models that simulate the process of direct runoff of excess precipitation on a watershed.
This process refers to the "transformation" of precipitation excess into point runoff. The program provides two
options for these transform methods:
• Empirical models (also referred to as system theoretic models). These are the traditional unit hydrograph
(UH) models. The system theoretic models attempt to establish a causal linkage between runoff and excess
precipitation without detailed consideration of the internal processes. The equations and the parameters of
the model have limited physical significance. Instead, they are selected through optimization of some
goodness-of-fit criterion.
• A conceptual model. The conceptual model included in the program is a kinematic-wave model of overland
flow. It represents, to the extent possible, all physical mechanisms that govern the movement of the excess
precipitation over the watershed land surface and in small collector channels in the watershed.

8.1 Basic Concepts of the Unit Hydrograph Model

The unit hydrograph is a well-known, commonly-used empirical model of the relationship of direct runoff to excess
precipitation. As originally proposed by Sherman in 1932, it is "…the basin outflow resulting from one unit of direct
runoff generated uniformly over the drainage area at a uniform rainfall rate during a specified period of rainfall
duration." The underlying concept of the UH is that the runoff process is linear, so the runoff from greater or less
than one unit is simply a multiple of the unit runoff hydrograph.
To compute the direct runoff hydrograph with a UH, the program uses a discrete representation of excess
precipitation, in which a "pulse" of excess precipitation is known for each time interval. It then solves the discrete
convolution equation for a linear system:

where Qn = storm hydrograph ordinate at time n ;  = rainfall excess depth in time interval m to (m+1) ;
M = total number of discrete rainfall pulses; and  = UH ordinate at time (n-m+1) .  and  are
expressed as flow rate and depth respectively, and  has dimensions of flow rate per unit depth. Use of this
equation requires the implicit assumptions:
1. The excess precipitation is distributed uniformly spatially and is of constant intensity throughout a time
interval .
2. The ordinates of a direct-runoff hydrograph corresponding to excess precipitation of a given duration are
directly proportional to the volume of excess. Thus, twice the excess produces a doubling of runoff
hydrograph ordinates and half the excess produces a halving. This is the so-called assumption of linearity.
3. The direct runoff hydrograph resulting from a given increment of excess is independent of the time of
occurrence of the excess and of the antecedent precipitation. This is the assumption of time-invariance.
4. Precipitation excesses of equal duration are assumed to produce hydrographs with equivalent time bases
regardless of the intensity of the precipitation.

8.2 User-Specified Unit Hydrograph

A UH may be specified directly by entering all ordinates of the UH. That is, values of Un-m+1 in Equation 29 may be
specified directly and used for runoff computation.
Estimating the Model Parameters

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Because it is a system theoretic model, the UH for a watershed is properly derived from observed rainfall and runoff,
using deconvolution—the inverse of solution of the convolution equation. To estimate a UH using this procedure:
1. Collect data for an appropriate observed storm runoff hydrograph and the causal precipitation. This storm
selected should result in approximately one unit of excess, should be uniformly distributed over the
watershed, should be uniform in intensity throughout its entire duration, and should be of duration
sufficient to ensure that the entire watershed is responding. This duration, T, is the duration of the UH that
will be found.
2. Estimate losses and subtract these from the precipitation. Estimate baseflow and separate this from the
runoff.
3. Calculate the total volume of direct runoff and convert this to equivalent uniform depth over the watershed
area.
4. Divide the direct runoff ordinates by the equivalent uniform depth. The result is the UH.
Chow, Maidment, and Mays (1988) present matrix algebra, linear regression, and linear programming alternatives to
this approach.
With any of these approaches, the UH derived is appropriate only for analysis of other storms of duration T. To
apply the UH to storms of different duration, the UH for these other durations must be derived. If the other
durations are integral multiples of T, the new UH can be computed by lagging the original UH, summing the results,
and dividing the ordinates to yield a hydrograph with volume equal one unit. Otherwise, the S-hydrograph method
can be used. This is described in detail in texts by Chow, Maidment, and Mays (1988), Linsley, Kohler, and Paulhus
(1982), Bedient and Huber (1992), and others.
Application of the User-Specified UH
In practice, direct runoff computation with a specified-UH is uncommon. The data necessary to derive the UH in the
manner described herein are seldom available, so the UH ordinates are not easily found. Worse yet, streamflow
data are not available for many watersheds of interest, so the procedure cannot be used at all. Even when the data
are available, they are available for complex storms, with significant variations of precipitation depths within the
storm. Thus, the UH-determination procedures described are difficult to apply. Finally, to provide information for
many water resources development activities, a UH for alternative watershed land use or channel conditions is
often needed—data necessary to derive a UH for these future conditions are never available.

8.3 Parametric and Synthetic Unit Hydrographs

What is a Parametric UH?
The alternative to specifying the entire set of UH ordinates is to use a parametric UH. A parametric UH defines all
pertinent UH properties with one or more equations, each of which has one or more parameters. When the
parameters are specified, the equations can be solved, yielding the UH ordinates.
For example, to approximate the UH with a triangle shape, all the ordinates can be described by specifying:
• Magnitude of the UH peak.
• Time of the UH peak.
The volume of the UH is known—it is one unit depth multiplied by the watershed drainage area. This knowledge
allows us, in turn, to determine the time base of the UH. With the peak, time of peak, and time base, all the
ordinates on the rising limb and falling limb of the UH can be computed through simple linear interpolation. Other
parametric UH are more complex, but the concept is the same.
What is a Synthetic UH?
A synthetic UH relates the parameters of a parametric UH model to watershed characteristics. By using the
relationships, it is possible to develop a UH for watersheds or conditions other than the watershed and conditions
originally used as the source of data to derive the UH. For example, a synthetic UH model may relate the UH peak of
the simple triangular UH to the drainage area of the watershed. With the relationship, an estimate of the UH peak
for any watershed can be made given an estimate of the drainage area. If the time of UH peak and total time base of
the UH is estimated in a similar manner, the UH can be defined "synthetically" for any watershed. That is, the UH

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can be defined in the absence of the precipitation and runoff data necessary to derive the UH.
Chow, Maidment, and Mays (1988) suggest that synthetic UH fall into three categories:
1. Those that relate UH characteristics (such as UH peak and peak time) to watershed characteristics. The
Snyder UH is such a synthetic UH.
2. Those that are based upon a dimensionless UH. The SCS UH is such a synthetic UH.
3. Those that are based upon a quasi-conceptual accounting for watershed storage. The Clark UH and the
ModClark model do so.
All of these synthetic UH models are included in the program.

8.4 Snyder Unit Hydrograph Model

Basic Concepts and Equations
In 1938, Snyder published a description of a parametric UH that he had developed for analysis of ungaged
watersheds in the Appalachian Highlands in the US. More importantly, he provided relationships for estimating the
UH parameters from watershed characteristics. The program includes an implementation of the Snyder UH.
For his work, Snyder selected the lag, peak flow, and total time base as the critical characteristics of a UH. He
defined a standard UH as one whose rainfall duration, tr, is related to the basin lag, tp, by:

(Here lag is the difference in the time of the UH peak and the time associated with the centroid of the excess rainfall
hyetograph, as illustrated in Figure 25.) Thus, if the duration is specified, the lag (and hence the time of UH peak) of
Snyder's standard UH can be found. If the duration of the desired UH for the watershed of interest is significantly
different from that specified by Equation 30, the following relationship can be used to define the relationship of UH
peak time and UH duration:

in which tR = duration of desired UH; and tpR = lag of desired UH.

For the standard case, Snyder discovered that UH lag and peak per unit of excess precipitation per unit area of the
watershed were related by:

where Up = peak of standard UH; A = watershed drainage area; Cp = UH peaking coefficient; and C = conversion
constant (2.75 for SI or 640 for foot-pound system).

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Figure 30.Snyder's unit hydrograph.

For other durations, the UH peak, QpR, is defined as:

Snyder's UH model requires specifying the standard lag, tp, and the coefficient, Cp. The program sets tpR of
Equation 31 equal the specified time interval, and solves Equation 31 to find the lag of the required UH. Finally,
Equation 33 is solved to find the UH peak. Snyder proposed a relationship with which the total time base of the UH
may be defined. I nstead of this relationship, the program uses the computed UH peak and time of peak to find an
equivalent UH with Clark's model (see the next section). From that, it determines the time base and all ordinates
other than the UH peak.
Estimating the Model Parameters
Snyder collected rainfall and runoff data from gaged watersheds, derived the UH as described earlier,
parameterized these UH, and related the parameters to measurable watershed characteristics. For the UH lag, he
proposed:

where Ct = basin coefficient; L = length of the main stream from the outlet to the divide; Lc = length along the main
stream from the outlet to a point nearest the watershed centroid; and C = a conversion constant (0.75 for SI and
1.00 for foot-pound system).
The parameter Ct of Equation 34 and Cp of Equation 32 are best found via calibration, as they are not physically-
based parameters. Bedient and Huber (1992) report that Ct typically ranges from 1.8 to 2.2, although it has been
found to vary from 0.4 in mountainous areas to 8.0 along the Gulf of Mexico. They report also that Cp ranges from
0.4 to 0.8, where larger values of Cp are associated with smaller values of Ct.
Alternative forms of the parameter predictive equations have been proposed. For example, the Los Angeles District,
USACE (1944) has proposed to estimate tp as:

where S = overall slope of longest watercourse from point of concentration to the boundary of drainage basin; and
N = an exponent, commonly taken as 0.33.
Others have proposed estimating tp as a function of tC , the watershed time of concentration (Cudworth, 1989;
USACE, 1987). Time of concentration is the time of flow from the most hydraulically remote point in the watershed
to the watershed outlet, and may be estimated with simple models of the hydraulic processes, as described here in
the section on the SCS UH model. Various studies estimate tp as 50-75% of tC.

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8.5 SCS Unit Hydrograph Model

The Soil Conservation Service (SCS) proposed a parametric UH model; this model is included in the program. The
model is based upon averages of UH derived from gaged rainfall and runoff for a large number of small agricultural
watersheds throughout the US. SCS Technical Report 55 (1986) and the National Engineering Handbook (1971)
describe the UH in detail.

8.5.1 Basic Concepts and Equations

At the heart of the SCS UH model is a dimensionless, single-peaked UH. This dimensionless UH, which is shown in
ZZ, expresses the UH discharge, , as a ratio to the UH peak discharge, , for any time t, a fraction of , the
time to UH peak. Research by the SCS suggests that the UH peak and time of UH peak are related by:

in which A = watershed area; and C = conversion constant (2.08 in SI and 484 in foot-pound system). The time of
peak (also known as the time of rise) is related to the duration of the unit of excess precipitation as:

in which t = the excess precipitation duration (which is also the computational interval in the run); and = the
basin lag, defined as the time difference between the center of mass of rainfall excess and the peak of the UH. [Note
that for adequate definition of the ordinates on the rising limb of the SCS UH, a computational interval, , that is
less than 29% of  must be used (USACE, 1998).] When the lag time is specified, the program solves Equation 37
to find the time of UH peak, and Equation 36 to find the UH peak. With and known, the UH can be found
from the dimensionless form, which is built into the program, by multiplication.

8.5.2 Estimating the Model Parameters

The SCS UH lag can be estimated via calibration, using procedures described in Chapter 9, for gaged headwater
subwatersheds. For ungaged watersheds, the SCS suggests that the UH lag time may be related to time of
concentration, , as:

Time of concentration is a quasi-physically based parameter that can be estimated as:

where = sum of travel time in sheet flow segments over the watershed land surface; = sum of travel
time in shallow flow segments, down streets, in gutters, or in shallow rills and rivulets; and = sum of travel
time in channel segments. Identify open channels where cross section information is available. Obtain cross
sections from field surveys, maps, or aerial photographs. For these channels, estimate velocity by Manning's
equation:

where V = average velocity; R = the hydraulic radius (defined as the ratio of channel cross-section area to wetted
perimeter); S = slope of the energy grade line (often approximated as channel bed slope); and C = conversion
constant (1.00 for SI and 1.49 for foot-pound system.) Values of n, which is commonly known as Manning's

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roughness coefficient, can be estimated from textbook tables, such as that in Chaudhry (1993). Once velocity is thus
estimated, channel travel time is computed as:

where L = channel length.

Sheet flow is flow over the watershed land surface, before water reaches a channel. Distances are short—on the
order of 10-100 meters (30-300 feet). The SCS suggests that sheet-flow travel time can be estimated as:

in which N = an overland-flow roughness coefficient; L = flow length; = 2-year, 24-hour rainfall depth, in inches;
and S = slope of hydraulic grade line, which may be approximated by the land slope. (This estimate is based upon
an approximate solution of the kinematic wave equations, which are described later in this chapter.) Table 17
shows values of N for various surfaces. Sheet flow usually turns to shallow concentrated flow after 100 meters. The
average velocity for shallow concentrated flow can be estimated as:

From this, the travel time can be estimated with Equation 41.

Table 19. Overland-flow roughness coefficients for sheet-flow modeling (USACE, 1998)

Surface Description N

Smooth surfaces (concrete, asphalt, gravel, or bare soil) 0.011

Fallow (no residue) 0.05

Cultivated soils:

Residue cover 20% 0.06

Residue cover > 20% 0.17

Grass:

Short grass prairie 0.15

Dense grasses, including species such as weeping love grass, bluegrass, buffalo 0.24
grass, blue grass, and native grass mixtures

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Bermudagrass 0.41

Range 0.13

Woods 1

Light underbrush 0.40

Dense underbrush 0.80

Notes:
1
When selecting N, consider cover to a height of about 0.1 ft. This is the only part of the plant cover that will
obstruct sheet flow.

8.6 Clark Unit Hydrograph Model

Clark's model derives a watershed UH by explicitly representing two critical processes in the transformation of
excess precipitation to runoff:
• Translation or movement of the excess from its origin throughout the drainage to the watershed outlet.
• Attenuation or reduction of the magnitude of the discharge as the excess is stored throughout the
watershed.

8.6.1 Basic Concepts and Equations

Short-term storage of water throughout a watershed—in the soil, on the surface, and in the channels—plays an
important role in the transformation of precipitation excess to runoff. The linear reservoir model is a common
representation of the effects of this storage. That model begins with the continuity equation:

in which dS/dt = time rate of change of water in storage at time t;  = average inflow to storage at time t; and  =
outflow from storage at time t.
With the linear reservoir model, storage at time t is related to outflow as:

where R = a constant linear reservoir parameter. Combining and solving the equations using a simple finite
difference approximation yields:

where ,  = routing coefficients. The coefficients are calculated from:

The average outflow during period t is:

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With Clark's model, the linear reservoir represents the aggregated impacts of all watershed storage. Thus,
conceptually, the reservoir may be considered to be located at the watershed outlet. In addition to this lumped
model of storage, the Clark model accounts for the time required for water to move to the watershed outlet. It does
that with a linear channel model (Dooge, 1959), in which water is "routed" from remote points to the linear
reservoir at the outlet with delay (translation), but without attenuation. This delay is represented implicitly with a
so-called time-area histogram. That specifies the watershed area contributing to flow at the outlet as a function of
time. If the area is multiplied by unit depth and divided by , the computation time step, the result is inflow, ,
to the linear reservoir. Solving Equation 46 and Equation 49 recursively, with the inflow thus defined, yields values
of  . However, if the inflow ordinates in Equation 46 are runoff from a unit of excess, these reservoir outflow
ordinates are, in fact, , the UH. [Note that as the solution of the equations is recursive, outflow will theoretically
continue for an infinite duration. The program continues computation of the UH ordinates until the volume of the
outflow exceeds 0.995 inches or mm. The UH ordinates are then adjusted using a depth-weighted consideration to
produce a UH with a volume exactly equal to one unit of depth.]

8.6.2 Estimating the Model Parameters

Application of the Clark model requires:
• Properties of the time-area histogram.
• The storage coefficient, R.
As noted, the linear routing model properties are defined implicitly by a time-area histogram. Studies at HEC have
shown that, even though a watershed-specific relationship can be developed, a smooth function fitted to a typical
time-area relationship represents the temporal distribution adequately for UH derivation for most watersheds. That
typical time-area relationship, which is built into the program, is:

where  = cumulative watershed area contributing at time t; A = total watershed area; and  = time of
concentration of watershed. Application of this implementation only requires the parameter , the time of
concentration. This can be estimated via calibration, as described in Chapter 9, or it can be estimated using the
procedures described earlier in the SCS UH section of this chapter.
The basin storage coefficient, R, is a index of the temporary storage of precipitation excess in the watershed as it
drains to the outlet point. It, too, can be estimated via calibration if gaged precipitation and streamflow data are
available. Though R has units of time, there is only a qualitative meaning for it in the physical sense. Clark (1945)
indicated that R can be computed as the flow at the inflection point on the falling limb of the hydrograph divided by
the time derivative of flow.

8.7 ModClark Model

In Chapter 2, models are categorized as lumped-parameter models or distributed-parameter models. A distributed
parameter model is one in which spatial variability of characteristics and processes are considered explicitly. The
modified Clark (ModClark) model is such a model (Kull and Feldman, 1998; Peters and Easton, 1996). This model
accounts explicitly for variations in travel time to the watershed outlet from all regions of a watershed.

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8.7.1 Basic Concepts and Equations

As with the Clark UH model, runoff computations with the ModClark model explicitly account for translation and
storage. Storage is accounted for with the same linear reservoir model incorporated in the Clark model. Translation
is accounted for with a grid-based travel-time model.

With the ModClark method, a grid is superimposed on the watershed. For each cell of the grid representation of the
watershed, the distance to the watershed outlet is specified. Translation time to the outlet is computed as:

where  = time of travel for a cell,  = time of concentration for the watershed,  = travel distance from a
cell to the outlet, and  = travel distance for the cell that is most distant from the outlet.
The area of each cell is specified, and from this, the volume of inflow to the linear reservoir for each time interval,
, is computed as the product of area and precipitation excess. The excess is the difference in MAP on the cell and
losses in the cell. The inflows thus computed are routed through a linear reservoir, yielding an outflow hydrograph
for each cell. The program combines these cell outflow hydrographs to determine the basin direct runoff
hydrograph.

8.7.2 Setting Up and Using the ModClark Model

To use the ModClark model, a gridded representation of the watershed is defined. Information about this
representation is stored in a grid-parameter file; Figure 26 shows the contents of such a file. The file may be based
upon an HRAP grid or HEC's standard hydrologic grid, and it can be generated by any means. A geographic
information system (GIS) will permit automated preparation of the file; guidance (GridParm; USACE, 1996) and
software tools (HEC-GeoHMS; USACE, 1999) for this task are available from HEC.

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Parameter Order: Xcoord YCoord TravelLength Area

End:
Subbasin: 85
Grid Cell:                 633        359         88.38         3.76
Grid Cell:                 634        359         84.51         0.18
Grid Cell:                 633        358         85.55         16.13
Grid Cell:                 632        358         82.55         12.76
Grid Cell:                 625        348         13.75         12.07
Grid Cell:                 626        348         17.12         0.09
Grid Cell:                 622        347         21.19         3.26
Grid Cell:                 623        347         15.56         9.96
End:
Subbasin: 86
Grid Cell:                 637        361          59.13        6.79
Grid Cell:                 638        361          59.04        6.95
Grid Cell:                 636        361          56.68        1.17
Grid Cell:                 636        360          55.08        16.38
Grid Cell:                 636        347          67.96        2.45
Grid Cell:                 637        347          71.72        7.41
Grid Cell:                 638        347          72.57        8.78
Grid Cell:                 639        347          73.32        0.04
End:

8.8 Kinematic Wave Model

As an alternative to the empirical UH models, HEC-HMS includes a conceptual model of watershed response. This
model represents a watershed as an open channel (a very wide, open channel), with inflow to the channel equal to
the excess precipitation. Then it solves the equations that simulate unsteady shallow water flow in an open channel
to compute the watershed runoff hydrograph. This model is referred to as the kinematic-wave model. Details of the
kinematic-wave model implemented in the program are presented in HEC's Training document No. 10 (USACE,
1979).

8.8.1 Basic Concepts and Equations

Figure 27(a) shows a simple watershed for which runoff is to be computed for design, planning, or regulating.  For
kinematic wave routing, the watershed and its channels are conceptualized as shown in Figure 27(b). This
represents the watershed as two plane surfaces over which water runs until it reaches the channel. The water then
flows down the channel to the outlet. At a cross section, the system would resemble an open book, with the water
running parallel to the text on the page (down the shaded planes) and then into the channel that follows the book's
center binding. The kinematic wave overland flow model represents behavior of overland flow on the plane
surfaces. The model may also be used to simulate behavior of flow in the watershed channels.

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Figure 27.Simple watershed with kinematic-wave model representation._

Overland-flow model.
At the heart of the overland model are the fundamental equations of open channel flow: the momentum equation
and the continuity equation. Flow over the plane surfaces is primarily one-dimensional flow. In one dimension, the
momentum equation is:

where = energy gradient (also known as the friction slope); = bottom slope; V = velocity; y = hydraulic depth;
x = distance along the flow path, t = time; g = acceleration due to gravity; ( ) = pressure gradient; (V/g)( )
= convective acceleration; and   = local acceleration. [This equation, these terms, and the basic
concepts are described in detail in Chow (1959), Chaudhry (1993), and many other texts.]
The energy gradient can be estimated with Manning's equation (Equation 40), which can be written as:

where Q = flow, R = hydraulic radius, A = cross-sectional area, and N = a resistance factor that depends on the cover
of the planes (note that this is not Manning's n). For shallow flow, bottom slope and the energy gradient are
approximately equal and acceleration effects are negligible, so the momentum equation simplifies to:

Equation 53 can be simplified to:

where and m are parameters related to flow geometry and surface roughness. The second critical equation, the
one-dimensional representation of the continuity equation, is:

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where B = water surface width; q = lateral inflow per unit length of channel; A( ) = prism storage; VB( )
=wedge storage; and B( ) =rate of rise. \[Again, the equation, the terms, and the basic concepts are described
in detail in Chow (1959), Chaudhry (1993), and other texts.] The lateral inflow represents the precipitation excess,
computed as the difference in MAP and precipitation losses. With simplification appropriate for shallow flow over a
plane, the continuity equation reduces to:

Combining Equations 56 and 57 yields

This equation is a kinematic-wave approximation of the equations of motion. The program represents the overland
flow element as a wide rectangular channel of unit width; = and m=5/3. N is not Manning's n, but
rather an overland flow roughness factor (Table 17).
Channel-flow model.
For certain classes of channel flow, conditions are such that the momentum equation can be simplified to the form
shown as Equation 54. (These cases are defined in Chapter 8.) In those cases, the kinematic-wave approximation of
Equation 58 is an appropriate model of channel flow. In the case of channel flow, the inflow in Equation 58 may be
the runoff from watershed planes or the inflow from upstream channels. Figure 28 shows values for and m for
various channel shapes used in the program. (The availability of a circular channel shape here does not imply that
HEC-HMS can be used for analysis of pressure flow in a pipe system; it cannot. Note also that the circular channel
shape only approximates the storage characteristics of a pipe or culvert. Because flow depths greater than the
diameter of the circular channel shape can be computed with the kinematic-wave model, the user must verify that
the results are appropriate.) Solution of equations. The kinematic-wave approximation is solved in the same
manner for either overland or channel flow:
• The partial differential equation is approximated with a finite-difference scheme.
• Initial and boundary conditions are assigned.
• The resulting algebraic equations are solved to find unknown hydrograph ordinates.
The overland-flow plane initial condition sets A, the area in Equation 58, equal to zero, with no inflow at the
upstream boundary of the plane. The initial and boundary conditions for the kinematic wave channel model are
based on the upstream hydrograph. Boundary conditions, either precipitation excess or lateral inflows, are
constant within a time step and uniformly distributed along the element.

Circular Section

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Triangular Section

Square Section

Rectangular Section

Trapezoidal Section

Figure 33.Kinematic wave parameters for various channel shapes (USACE, 1998)
In Equation 58, A is the only dependent variable, as and m are constants, so solution requires only finding values
of A at different times and locations. To do so, the finite difference scheme approximates as ,a
difference in area in successive times, and it approximates as , a difference in area at adjacent
locations, using a scheme proposed by Leclerc and Schaake (1973). The resulting algebraic equation is:

Equation 59 is the so-called standard form of the finite-difference approximation. The indices of the approximation
refer to positions on a space-time grid, as shown in Figure 29. That grid provides a convenient way to visualize the
manner in which the solution scheme solves for unknown values of A at various locations and times. The index i
indicates the current location at which A is to be found along the length, L, of the channel or overland flow plane.
The index j indicates the current time step of the solution scheme. Indices i-1, and j-1 indicate, respectively,
positions and times removed a value and from the current location and time in the solution scheme.

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Figure 34.Finite difference method space-time grid.

With the solution scheme proposed, the only unknown value in Equation 59 is the current value at a given location,
 . All other values of A are known from either a solution of the equation at a previous location and time, or from
an initial or boundary condition. The program solves for the unknown as:

The flow is computed as:

This standard form of the finite difference equation is applied when the following stability factor, R, is less than 1.00
(see Alley and Smith, 1987):

or

If R is greater than 1.00, then the following finite difference approximation is used:

where is the only unknown. This is referred to as the conservation form. Solving for the unknown yields:

When is found, the area is computed as

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Accuracy and stability.

HEC-HMS uses a finite difference scheme that ensures accuracy and stability. Accuracy refers to the ability of the
solution procedure to reproduce the terms of the differential equation without introducing minor errors that affect
the solution. For example, if the solution approximates as , and a very large x is selected, then the
solution will not be accurate. Using a large  introduces significant errors in the approximation of the partial
derivative. Stability refers to the ability of the solution scheme to control errors, particularly numerical errors that
lead to a worthless solution. For example, if by selecting a very small , an instability may be introduced. With
small , many computations are required to simulate a long channel reach or overland flow plan. Each
computation on a digital computer inherently is subject to some round-off error. The round-off error accumulates
with the recursive solution scheme used by the program, so in the end, the accumulated error may be so great that
a solution is not found.
An accurate solution can be found with a stable algorithm when , where c = average kinematic-wave
speed over a distance increment . But the kinematic-wave speed is a function of flow depth, so it varies with
time and location. The program must select and to account for this. To do so, it initially selects =
where c = estimated maximum wave speed, depending on the lateral and upstream inflows; and = time
step equal to the minimum of:
1. One-third the plane or reach length divided by the wave speed.
2. One-sixth the upstream hydrograph rise time for a channel.
3. The specified computation interval.
Finally,  is chosen as: the minimum of this computed and the reach, or plane length divided by the number
of distance steps (segments) specified in the input form for the kinematic-wave models. The minimum default value
is two segments.
When is set, the finite difference scheme varies when solving Equation 61 or Equation 66 to maintain the
desired relationship between , and c. However, the program reports results at the specified constant time
interval.

Setting Up and Using the Kinematic Wave Model

To estimate runoff with the kinematic-wave model, the watershed is described as a set of elements that include:
• Overland flow planes. Up to two planes that contribute runoff to channels within the watershed can be
described. The combined flow from the planes is the total inflow to the watershed channels. Column 1 of
Table 18 shows information that must be provided about each plane.
• Subcollector channels. These are small feeder pipes or channels, with principle dimension generally less
that 18 inches, that convey water from street surfaces, rooftops, lawns, and so on. They might service a
portion of a city block or housing tract, with area of 10 acres. Flow is assumed to enter the channel uniformly
along its length. The average contributing area for each subcollector channel must be specified. Column 2 of
Table 18 shows information that must be provided about the subcollector channels.
• Collector channels. These are channels, with principle dimension generally 18-24 inches, which collect flows
from subcollector channels and convey it to the main channel. Collector channels might service an entire
city block or a housing tract, with flow entering laterally along the length of the channel. As with the
subcollectors, the average contributing area for each collector channel is required. Column 2 of Table 18
shows information that must be provided about the collector channels.
• The main channel. This channel conveys flow from upstream subwatersheds and flows that enter from the
collector channels or overland flow planes. Column 3 of Table 18 shows information that must be provided
about the main channel.
The choice of elements to describe any watershed depends upon the configuration of the drainage system. The
minimum configuration is one overland flow plane and the main channel, while the most complex would include
two planes, subcollectors, collectors, and the main channel.
The planes and channels are described by representative slopes, lengths, shapes, and contributing areas.
Publications from HEC (USACE, 1979; USACE, 1998) provide guidance on how to choose values and give examples.

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The roughness coefficients for both overland flow planes and channels commonly are estimated as a function of
surface cover, using, for example, Table 17, for overland flow planes and the tables in Chow (1959) and other texts
for channel n values.

Table 20.Information needs for kinematic wave modeling.

Overland Flow Planes Collectors and Subcollectors Main Channel

Typical length Area drained by channel Channel length

Representative slope Representative channel length Description of channel shape
Overland-flow roughness Description of channel shape Principle dimensions of channel
coefficient Principle dimensions of cross section
Area represented by plane representative channel cross section Channel slope
Loss model parameters (see Representative channel slope Representative Manning's
Chapter 5) Representative Manning's roughness roughness coefficient
coefficient Identification of upstream inflow
hydrograph (if any)

8.9 Applicability and Limitations of Direct Runoff Models

Choice of a direct runoff model from amongst the included options depends upon:
• Availability of information for calibration or parameter estimation. Use of the parametric UH models
requires specifying model parameters. Use one of the empirical parameter predictors, such as Equation 35,
to compute parameters. However, the optimal source of these parameters is calibration, as described in
Chapter 9. If the necessary data for such calibration in an urban watershed is not available, then the
kinematic-wave model may be the best choice, as the parameters and information required to use that
model are related to measurable and observable watershed properties.
• Appropriateness of the assumptions inherent in the model. Each of the models is based upon one or more
basic assumptions; if these are violated, then avoid the use of the model. For example, the SCS UH model
assumes that the watershed UH is a single-peaked hydrograph. If all available information indicates that the
shape of the watershed and the configuration of the drainage network causes multiple peaks for even
simple storms, then the SCS UH should not be used.

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Likewise, the kinematic wave model is not universally applicable: Ponce (1991) for example, argues that because of
numerical properties of the solution algorithms, the method "…is intended primarily for small watersheds [those
less than 1 sq mi (2.5 km2)], particularly in the cases in which it is possible to resolve the physical detail without
compromising the deterministic nature of the model." Thus, for a larger watershed, one of the UH models is
perhaps a better choice.

• User preference and experience. A combination of experience and preference should guide the choice of
models. As noted in Chapter 5, experience is a critical factor in the success of a modeling effort. However, be
careful in using a particular model with a given parameter just because that seems to be the standard of
practice. For example, do not automatically assume that tlag = 0.6 tc for the SCS UH method. Instead, make
best use of available data to confirm this parameter estimate.

8.10 References6
Alley, W.M. and Smith, P.E. (1987). Distributed routing rainfall-runoff model, Open file report 82-344. U.S. Geological
Survey, Reston, VA.
Bedient, P.B., and Huber, W.C. (1992). Hydrology and floodplain analysis. Addison-Wesley, New York, NY.
Chaudhry, H.C. (1993). Open-channel hydraulics. Prentice Hall, NJ.
Chow, V.T. (1959). Open channel flow. McGraw-Hill, New York, NY.
Chow, V.T., Maidment, D.R., and Mays, L.W. (1988). Applied hydrology. McGraw-Hill, New York, NY.
Clark, C.O. (1945). "Storage and the unit hydrograph." Transactions, ASCE, 110, 1419-1446.
Cudworth, A.G. (1989). Flood hydrology manual. US Department of the Interior, Bureau of Reclamation,
Washington, DC.
Dooge, J.C.I. (1959). "A general theory of the unit hydrograph." Journal of Geophysical Research, 64(2), 241-256.
Kull, D., and Feldman, A. (1998). "Evolution of Clark's unit graph method to spatially distributed runoff." Journal of
Hydrologic Engineering, ASCE, 3(1), 9-19.
Leclerc, G. and Schaake, J.C. (1973). Methodology for assessing the potential impact of urban development on
urban runoff and the relative efficiency of runoff control alternatives, Ralph M. Parsons Lab. Report 167.
Massachusetts Institute of Technology, Cambridge, MA.
Linsley, R.K., Kohler, M.A., and Paulhus, J.L.H. (1982). Hydrology for engineers. McGraw-Hill, New York, NY.
Peters, J. and Easton, D. (1996). "Runoff simulation using radar rainfall data." Water Resources Bulletin, AWRA,
32(4), 753-760.
Ponce, V.M. (1991). "The kinematic wave controversy." Journal of hydraulic engineering, ASCE,. 117(4), 511-525.
Soil Conservation Service (1971). National engineering handbook, Section 4: Hydrology. USDA, Springfield, VA.
Soil Conservation Service (1986). Urban hydrology for small watersheds, Technical Report 55. USDA, Springfield, VA.
USACE (1944). Hydrology, San Gabriel River and the Rio Hondo above Whittier Narrows flood control basin. US Army

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Engineer District, Los Angeles, CA.

USACE (1979). Introduction and application of kinematic wave routing techniques using HEC-1, Training Document
10. Hydrologic Engineering Center, Davis, CA
USACE (1987). Derivation of a rainfall-runoff model to compute n-year floods for Orange County watersheds. US
Army Engineer District, Los Angeles, CA.
USACE (1994). Flood-runoff analysis, EM 1110-2-1417. Office of Chief of Engineers, Washington, DC.
USACE (1996). GridParm: Procedures for deriving grid cell parameters for the ModClark rainfall-runoff model.
Hydrologic Engineering Center, Davis, CA.
USACE (1998). HEC-1 flood hydrograph package user's manual. Hydrologic Engineering Center, Davis, CA.
USACE (1999). GeoHEC-HMS user's manual (Draft). Hydrologic Engineering Center, Davis, CA.
CHAPTER 9

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9 Baseflow
Two distinguishable components of a streamflow hydrograph are (1) direct, quick runoff of precipitation, and (2)
baseflow. Baseflow is the sustained or "fair-weather" runoff of prior precipitation that was stored temporarily in the
watershed, plus the delayed subsurface runoff from the current storm. Some conceptual models of watershed
processes account explicitly for this storage and for the subsurface movement. However this accounting is not
necessary to provide the information for many water resources studies.
The program includes three alternative models of baseflow:
• Constant, monthly-varying value.
• Exponential recession model.
• Linear-reservoir volume accounting model.

9.1 Basic Concepts and Implementation

9.1.1 Constant , Monthly-Varying Baseflow

This is the simplest baseflow model included in the program. It represents baseflow as a constant flow; this may
vary monthly. This user-specified flow is added to the direct runoff computed from rainfall for each time step of the
simulation.

9.1.2 Exponential Recession Model

The program includes a exponential recession model to represent watershed baseflow (Chow, Maidment, and Mays,
1988). The recession model has been used often to explain the drainage from natural storage in a watershed
(Linsley et al, 1982). It defines the relationship of , the baseflow at any time t, to an initial value as:

where Q0 = initial baseflow (at time zero); and k = an exponential decay constant. The baseflow thus computed is
illustrated in Figure 30. The shaded region represents baseflow in this figure; the contribution decays exponentially
from the starting flow. Total flow is the sum of the baseflow and the direct surface runoff.
As implemented in the program, k is defined as the ratio of the baseflow at time t to the baseflow one day earlier.
The starting baseflow value, Q0, is an initial condition of the model. It may be specified as a flow rate (m3/s or cfs), or
it may be specified as a flow per unit area (m3/s/km2 or cfs/sq mi).

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Figure 35.Initial baseflow recession.

The recession baseflow model is applied both at the start of simulation of a storm event, and later in the event as
the delayed subsurface flow reaches the watershed channels, as illustrated in Figure 31. Here, after the peak of the
direct runoff, a user-specified threshold flow defines the time at which the recession model of Equation 67 defines
the total flow. That threshold may be specified as a flow rate or as a ratio to the computed peak flow. For example,
if the threshold is specified as a ratio-to-peak of 0.10, and the computed peak is 1000 m3/s, then the threshold flow
is 100 m3/s. Subsequent total flows are computed with Equation 67, with Q0 = the specified threshold value.

Figure 36.Baseflow model illustration.

At the threshold flow, baseflow is defined by the initial baseflow recession. Thereafter, baseflow is not computed
directly, but is defined as the recession flow less the direct-surface-runoff. When the direct-surface runoff eventually
reaches zero (all rainfall has run off the watershed), the total flow and baseflow are identical.
After the threshold flow occurs, the streamflow hydrograph ordinates are defined by the recession model alone,
unless the direct runoff plus initial baseflow recession contribution exceeds the threshold. This may be the case if
subsequent precipitation causes a second rise in the hydrograph, as illustrated in Figure 32. In that case, ordinates
on the second rising limb are computed by adding direct runoff to the initial recession, as illustrated.

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Figure 37.Recession with multiple runoff peaks.

9.1.3
Linear Reservoir Model
The linear-reservoir baseflow model is used in conjunction with the continuous soil-moisture accounting (SMA)
model that is described in Chapter 5. This baseflow model simulates the storage and movement of subsurface flow
as storage and movement of water through reservoirs. The reservoirs are linear: the outflow at each time step of the
simulation is a linear function of the average storage during the time step. Mathematically, this is identical to the
manner in which Clark's UH model represents watershed runoff, as described in Chapter 6.
The outflow from groundwater layer 1 of the SMA is inflow to one linear reservoir, and the outflow from
groundwater layer 2 of the SMA is inflow to another. The outflow from the two linear reservoirs is combined to
compute the total baseflow for the watershed.

9.2 Estimating Baseflow Model Parameters

9.2.1 Constant , Monthly-Varying Baseflow

The parameters of this model are the monthly baseflows. These are best estimated empirically, with measurements
of channel flow when storm runoff is not occurring. In the absence of such records, field inspection may help
establish the average flow. For large watersheds with contribution from groundwater flow and for watersheds with
year-round precipitation, the contribution may be significant and should not be ignored. On the other hand, for
most urban channels and for smaller streams in the western and southwestern US, the baseflow contribution may
be negligible.

9.2.2 Exponential Recession Model

The parameters of this model include the initial flow, the recession ratio, and the threshold flow. As noted, the
initial flow is an initial condition. For analysis of hypothetical storm runoff, initial flow should be selected as a likely
average flow that would occur at the start of the storm runoff. For frequent events, the initial flow might be the
average annual flow in the channel. Field inspection may help establish this. As with the constant, monthly-varying
baseflow, for most urban channels and for smaller streams in the western and southwestern US, this may well be
zero, as the baseflow contribution is negligible.
The recession constant, k, depends upon the source of baseflow. If k = 1.00, the baseflow contribution will be
constant, with all Qt = Q0. Otherwise to model the exponential decay typical of natural undeveloped watersheds, k
must be less than 1.00. Table 19 shows typical values proposed by Pilgrim and Cordery (1992) for basins ranging in

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size from 300 to 16,000 km2 (120 to 6500 square miles) in the US, eastern Australia, and several other regions. Large
watersheds may have k values at the upper end of the range, while smaller watersheds will have values at the lower
end.

Table 21.Typical recession constant values.

Flow Component Recession Constant, Daily

Groundwater 0.95

Interflow 0.8-0.9

Surface runoff 0.3-0.8

The recession constant can be estimated if gaged flow data are available. Flows prior to the start of direct runoff
can be plotted, and an average of ratios of ordinates spaced one day apart can be computed. This is simplified if a
logarithmic axis is used for the flows, as the recession model will plot as a straight line.
The threshold value can be estimated also from examination of a graph of observed flows versus time. The flow at
which the recession limb is approximated well by a straight line defines the threshold value.

9.2.3 Linear Reservoir Model

The linear reservoir model is used with soil-moisture accounting model. It is best calibrated using procedures
consistent with those used to calibrate that model.

9.3 References7
Chow, V.T., Maidment, D.R., and Mays, L.W. (1988). Applied hydrology. McGraw-Hill, New York, NY.
Linsley, R.K., Kohler, M.A., and Paulhus, J.L.H. (1982). Hydrology for engineers. McGraw-Hill, New York, NY.
Pilgrim, D.H, and Cordery, I. (1992). "Flood runoff." D.R. Maidment, ed., Handbook of hydrology, McGraw-Hill, New
York, NY.
CHAPTER 10

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10 Channel Flow
This section describes the models of channel flow that are included in the program; these are also known as routing
models. The routing models available include:
• Lag
• Muskingum
• Modified Puls, also known as storage routing
• Kinematic-wave
• Muskingum Cunge
Each of these models computes a downstream hydrograph, given an upstream hydrograph as a boundary
condition. Each does so by solving the continuity and momentum equations. This chapter presents a brief review of
the fundamental equations, simplifications, and solutions to alternative models.
The routing models that are included are appropriate for many, but not all, flood runoff studies. The latter part of
this chapter describes how to pick the proper model.

10.1 Open-Channel Flow Equations and Solution Techniques

10.1.1 Basic Equations of Open-Channel Flow

At the heart of the routing models included in the program are the fundamental equations of open channel flow:
the momentum equation and the continuity equation. Together the two equations are known as the St. Venant
equations or the dynamic wave equations.
The momentum equation accounts for forces that act on a body of water in an open channel. In simple terms, it
equates the sum of gravitational force, pressure force, and friction force to the product of fluid mass and
acceleration. In one dimension, the equation is written as:

where = energy gradient (also known as the friction slope); = bottom slope; V = velocity; y = hydraulic depth;
x = distance along the flow path; t = time; g = acceleration due to gravity; = pressure gradient; (V/g) =
convective acceleration; and (1/g)( ) = local acceleration.
The continuity equation accounts for the volume of water in a reach of an open channel, including that flowing into
the reach, that flowing out of the reach, and that stored in the reach. In one-dimension, the equation is:

where B = water surface width; and q = lateral inflow per unit length of channel. Each of the terms in this equation
describes inflow to, outflow from, or storage in a reach of channel, a lake or pond, or a reservoir. Henderson (1966)
described the terms as A( ) = prism storage; VB( ) = wedge storage; and B( ) = rate of rise.
The momentum and continuity equations are derived from basic principles, assuming:
• Velocity is constant, and the water surface is horizontal across any channel section.
• All flow is gradually varied, with hydrostatic pressure prevailing at all points in the flow. Thus vertical
accelerations can be neglected.
• No lateral, secondary circulation occurs.
• Channel boundaries are fixed; erosion and deposition do not alter the shape of a channel cross section.

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Water is of uniform density, and resistance to flow can be described by empirical formulas, such as Manning's and
Chezy's equation.

10.1.2 Approximations
Although the solution of the full equations is appropriate for all one-dimensional channel-flow problems, and
necessary for many, approximations of the full equations are adequate for typical flood routing needs. These
approximations typically combine the continuity equation (Equation 69) with a simplified momentum equation
that includes only relevant and significant terms.

Henderson (1966) illustrates this with an example for a steep alluvial stream with an inflow hydrograph in which the
flow increased from 10,000 cfs to 150,000 cfs and decreased again to 10,000 cfs within 24 hours. Table 20 shows the
terms of the momentum equation and the approximate magnitudes that he found. The force associated with the
stream bed slope is the most important. If the other terms are omitted from the momentum equation, any error in
solution is likely to be insignificant. Thus, for this case, the following simplification of the momentum equation may
be used:

If this simplified momentum equation is combined with the continuity equation, the result is the kinematic wave
approximation, which is described in Chapter 6.
Table 22.Relative magnitude of momentum equation terms for steep channel, rapidly-rising hydrograph (from
Henderson, 1966)

Flow Component Recession Constant, Daily

So (bottom slope) 26

(pressure gradient) 0.5

(convective acceleration) 0.12 – 0.25

(local acceleration) 0.05

Other common approximations of the momentum equation include:

• Diffusion wave approximation. This approximation is the basis of the Muskingum-Cunge routing model that
is described subsequently in this chapter.

• Quasi-steady dynamic-wave approximation. This approximation is often used for water-surface profile
computations along a channel reach, given a steady flow. It is incorporated in computer programs HEC-2
(USACE, 1990) and HEC-RAS (USACE, 1998).

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10.1.3 Solution Methods

In HEC-HMS, the various approximations of the continuity and momentum equations are solved using the finite
difference method. In this method, finite difference equations are formulated from the original partial differential
equations. For example, from the momentum equation is approximated as , a difference in velocity
in successive time steps , and is approximated as , a difference in velocity at successive
locations spaced at . Substituting these approximations into the partial differential equations yields a set of
algebraic equations. Depending upon the manner in which the differences are computed, the algebraic equations
may be solved with either an explicit or an implicit scheme. With an explicit scheme, the unknown values are found
recursively for a constant time, moving from one location along the channel to another. The results of one
computation are necessary for the next. With an implicit scheme, all the unknown values for a given time are found
simultaneously.

10.1.4 Parameters, Initial Conditions, and Boundary Conditions

The basic information requirements for all routing models are:
• A description of the channel. All routing models that are included in the program require a description of the
channel. In some of the models, this description is implicit in parameters of the model. In others, the
description is provided in more common terms: channel width, bed slope, cross-section shape, or the
equivalent.
• Energy-loss model parameters. All routing models incorporate some type of energy-loss model. The
physically-based routing models, such as the kinematic-wave model and the Muskingum-Cunge model use
Manning's equation and Manning's roughness coefficients (n values). Other models represent the energy
loss empirically.
• Initial conditions. All routing models require initial conditions: the flow (or stage) at the downstream cross
section of a channel prior to the first time period. For example, the initial downstream flow could be
estimated as the baseflow within the channel at the start of the simulation, as the initial inflow, or as
downstream flow likely to occur during a hypothetical event.
• Boundary conditions. The boundary conditions for routing models are the upstream inflow, lateral inflow,
and tributary inflow hydrographs. These may be observed historical events, or they may be computed with
the precipitation-runoff models included in the program.

10.2 Modified Puls Model

10.2.1 Basic Concepts and Equations

The Modified Puls routing method, also known as storage routing or level-pool routing, is based upon a finite
difference approximation of the continuity equation, coupled with an empirical representation of the momentum
equation (Chow, 1964; Henderson, 1966). For the Modified Puls model, the continuity equation is written as

This simplification assumes that the lateral inflow is insignificant, and it allows width to change with respect to
location. Rearranging this equation and incorporating a finite-difference approximation for the partial derivatives
yields:

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where  = average upstream flow (inflow to reach) during a period ;  = average downstream flow (outflow
from reach) during the same period; and = change in storage in the reach during the period. Using a simple
backward differencing scheme and rearranging the result to isolate the unknown values yields:

in which and = inflow hydrograph ordinates at times t-1 and t, respectively; and = outflow
hydrograph ordinates at times t-1 and t, respectively; and and = storage in reach at times t-1 and t,
respectively. At time t, all terms on the right-hand side of this equation are known, and terms on the left-hand side
are to be found. Thus, the equation has two unknowns at time t: and . A functional relationship between
storage and outflow is required to solve Equation 75. Once that function is established, it is substituted into
Equation 75, reducing the equation to a nonlinear equation with a single unknown, . This equation is solved
recursively by the program, using a trial-and-error procedure. [Note that at the first time t, the outflow at time t-1
must be specified to permit recursive solution of the equation; this outflow is the initial outflow condition for the
storage routing model.]

10.2.2 Defining the Storage-Outflow Relationship

The storage-outflow relationship required for the Modified Puls routing model can be determined with:
• Water-surface profiles computed with a hydraulics model. Steady-flow water surface profiles, computed for
a range of discharges with programs like HEC-2 (USACE, 1990), HEC-RAS (USACE, 1998), or a similar model,
define a relationship of storage to flow between two channel cross sections.
Figure 33 illustrates this; it shows a set of water-surface profiles between cross section A and cross section B of a
channel. These profiles were computed for a set of steady flows, , , , and .
For each profile, the volume of water in the reach, Si, can be computed, using solid geometry principles. In the
simplest case, if the profile is approximately planar, the volume can be computed by multiplying the average cross-
section area bounded by the water surface by the reach length. Otherwise, another numerical integration method
can be used. If each computed volume is associated with the steady flow with which the profile is computed, the
result is a set of points on the required storage-outflow relationship.
This procedure can be used with existing or with proposed channel configurations. For example, to evaluate the
impact of a proposed channel project, the channel cross sections can be modified, water surface profiles
recalculated, and a revised storage-outflow relationship developed.

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Figure 38.Steady-flow water-surface profiles and storage-outflow curve.

• Historical observations of flow and stage. Observed water surface profiles, obtained from high water marks,
can be used to define the required storage-outflow relationships, in much the same manner that computed
water-surface profiles are used. Each observed discharge-elevation pair provides information for
establishing a point of the relationship.
Sufficient stage data over a range of floods is required to establish the storage-outflow relationship in this manner.
If only a limited set of observations is available, these may best be used to calibrate a water-surface profile-model
for the channel reach of interest. Then that calibrated model can be exercised to establish the storage-outflow
relationship as described above.
• Calibration, using observed inflow and outflow hydrographs for the reach of interest. Observed inflow and
outflow hydrographs can be used to compute channel storage by an inverse process of flood routing. When
both inflow and outflow are known, the change in storage can be computed using Equation 74. Then, the
storage-outflow function can be developed empirically. Note that tributary inflow, if any, must also be
accounted for in this calculation.
Inflow and outflow hydrographs also can be used to find the storage-outflow function by trial-and-error. In that
case, a candidate function is defined and used to route the inflow hydrograph. The outflow hydrograph thus
computed is compared with the observed hydrograph. If the match is not adequate, the function is adjusted, and
the process is repeated. Chapter 9 provides more information regarding this process, which is referred to as
calibration.

10.2.3 Estimating Other Model Parameters

Chapter 6 of this manual describes how an accurate solution of the finite difference form of the kinematic-wave
model requires careful selection of and ; this is also true for solution of the storage-routing model
equations. For the kinematic-wave model, an accurate solution can be found with a stable algorithm when
 , where c = average wave speed over a distance increment . This rule applies also with storage
routing. As implemented in the program, for the finite difference approximation of is implicitly equal to
the channel reach length, L, divided by an integer number of steps. The goal is to select the number of steps so that
the travel time through the reach is approximately equal the time step . This is given approximately by:

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The number of steps affects the computed attenuation of the hydrograph. As the number of routing steps increases,
the amount of attenuation decreases. The maximum attenuation corresponds to one step; this is used commonly
for routing though ponds, lakes, wide, flat floodplains, and channels in which the flow is heavily controlled by
downstream conditions. Strelkoff (1980) suggests that for locally-controlled flow, typical of steeper channels:

where yo = normal depth associated with baseflow in the channel. EM 1110-2-1417 points out that this parameter,
however, is best determined by calibration, using observed inflow and outflow hydrographs.

10.3 Muskingum Model

10.3.1 Basic Concepts and Equations

The Muskingum routing model, like the modified Puls model, uses a simple finite difference approximation of the
continuity equation:

Storage in the reach is modeled as the sum of prism storage and wedge storage. As shown in Figure 34, prism
storage is the volume defined by a steady-flow water surface profile, while wedge storage is the additional volume
under the profile of the flood wave. During rising stages of the flood, wedge storage is positive and is added to the
prism storage. During the falling stages of a flood, the wedge storage is negative and is subtracted from the prism
storage.

Figure 39. Wedge storage (from Linsley et al., 1982)

The volume of prism storage is the outflow rate, O, multiplied by the travel time through the reach, K. The volume of
wedge storage is a weighted difference between inflow and outflow, multiplied by the travel time K. Thus, the
Muskingum model defines the storage as:

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where K = travel time of the flood wave through routing reach; and X = dimensionless weight (0  X  0.5).
The quantity X  + (1-X) is a weighted discharge. If storage in the channel is controlled by downstream
conditions, such that storage and outflow are highly correlated, then X = 0.0. In that case, Equation 82 resolves to S
= KO; this is the linear reservoir model that was described in Chapter 6. If X = 0.5, equal weight is given to inflow and
outflow, and the result is a uniformly progressive wave that does not attenuate as it moves through the reach.
If Equation 78 is substituted into Equation 79 and the result is rearranged to isolate the unknown values at time t,
the result is:

The program solves Equation 80 recursively to compute ordinates of the outflow hydrograph, given the inflow
hydrograph ordinates ( for all t), an initial condition ( ), and the parameters, K and X.

10.3.2 Estimating the Model Parameters

Constraints on the parameters. As noted, the feasible range for the parameter X is (0, 0.5). However, these other
constraints apply to selection of X and the parameter K:
• As with other routing models, an accurate solution requires selection of appropriate time steps, distance
steps, and parameters to ensure accuracy and stability of the solution. With Muskingum routing, as with
modified Puls routing, the distance step, , is defined indirectly by the number of steps into which a reach
is divided for routing. And as with other models, is selected to approximate c , where c = average
wave speed over a distance increment . With the Muskingum model, the wave speed is K/L, so the
number of steps should be approximately K/ .
• The parameters K and X and the computational time step  also must be selected to ensure that the
Muskingum model, as represented by Equations 815 and 8-16, is rational. That means that the parenthetical
terms must be non-negative; the values of K and X must be chosen so that the combination falls within the
shaded region shown in Figure 35.

Figure 40. Feasible region for Muskingum model parameters.

Calibrating the model using observed flows. If observed inflow and outflow hydrographs are available, the
Muskingum model parameter K can be estimated as the interval between similar points on the inflow and outflow

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hydrographs. For example, K can be estimated as the elapsed time between the centroid of areas of the two
hydrographs, as the time between the hydrograph peaks, or as the time between midpoints of the rising limbs.
Once K is estimated, X can be estimated by trial and error.
Chapter 9 describes the calibration capability of the program; this may be used with parameters of the Muskingum
model. In that case, both K and X may be estimated by trial-and-error.
Estimating the parameters for ungaged watersheds. If gaged flows required for calibration are not available, K
and X can be estimated from channel characteristics. For example, EM 1110-2-1417 proposes estimating K as
follows:
• Estimate the flood wave velocity, Vw , using Seddon's law, as:

where B = top width of the water surface, and dQ/dy = slope of the discharge rating curve at a representative
channel cross section. As an alternative, EM 1110-2-1417 suggests estimating the flood wave velocity as 1.33-1.67
times the average velocity, which may be estimated with Manning's equation and representative cross section
geometric information.
• Estimate K as:

Experience has shown that for channels with mild slopes and over-bank flow, the parameter X will approach 0.0. For
steeper streams, with well-defined channels that do not have flows going out of bank, X will be closer to 0.5. Most
natural channels lie somewhere in between these two limits, leaving room for engineering judgement. Cunge (1969)
estimated X as

where = a reference flow from the inflow hydrograph; B = top width of flow area; = friction slope or bed
slope; c = flood wave speed (celerity); and = the length of reach. The reference flow is an average value for the
hydrograph, midway between the base flow and the peak flow (Ponce, 1983).

10.4 Lag Model

10.4.1 Basic Concept

This is the simplest of the included routing models. With it, the outflow hydrograph is simply the inflow hydrograph,
but with all ordinates translated (lagged in time) by a specified duration. The flows are not attenuated, so the shape
is not changed. This model is widely used, especially in urban drainage channels (Pilgrim and Cordery, 1993).
Mathematically, the downstream ordinates are computed by:

where  = outflow hydrograph ordinate at time t;  = inflow hydrograph ordinate at time t; and lag = time by
which the inflow ordinates are to be lagged.

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Figure 36 illustrates the results of application of the lag model. In the figure, the upstream (inflow) hydrograph is
the boundary condition. The downstream hydrograph is the computed outflow, with each ordinate equal to an
earlier inflow ordinate, but lagged in time.

Figure 41. Lag example.

The lag model is a special case of other models, as its results can be duplicated if parameters of those other models
are carefully chosen. For example, if X = 0.50 and K =  in the Muskingum model, the computed outflow
hydrograph will equal the inflow hydrograph lagged by K.

10.4.2
Estimating the Lag
If observed flow hydrographs are available, the lag can be estimated from these as the elapsed time between the
time of the centroid of areas of the two hydrographs, between the time of hydrograph peaks, or between the time of
the midpoints of the rising limbs.

10.5 Kinematic Wave Model0

10.5.1 Basic Concepts and Equations

The kinematic-wave channel routing model is based upon a finite difference approximation of the continuity
equation and a simplification of the momentum equation. This is described in detail in Chapter 6.

10.5.2 Setting Up the Model

Information required to used the kinematic-wave channel routing model is shown in Table 21. This information, for
the most part, can be gathered from maps, surveys, and field inspection. Manning's n can be estimated using
common procedures.

Table 23.Kinematic wave routing model information requirements.

Flow Component

Shape of the cross section: Is it trapezoidal, rectangular, or circular?

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Principle dimension: bottom width of the channel, diameter of the conduit.

Side slope of trapezoidal shape.

Length of the reach.

Slope of the energy grade line.

Manning n, roughness coefficient for channel flow.

10.6 Muskingum-Cunge Model

10.6.1 Basic Concepts and Equations

Although popular and easy to use, the Muskingum model includes parameters that are not physically based and
thus are difficult to estimate. Further, the model is based upon assumptions that often are violated in natural
channels. An extension, the Muskingum-Cunge model, overcomes these limitations.

The model is based upon solution of the following form of the continuity equation, (with lateral inflow, ,
included):

and the diffusion form of the momentum equation:

Combining these and using a linear approximation yields the convective diffusion equation (Miller and Cunge,
1975):

where c = wave celerity (speed); and μ = hydraulic diffusivity. The wave celerity and the hydraulic diffusivity are
expressed as follows:

and

where B = top width of the water surface. A finite difference approximation of the partial derivatives, combined with
Equation 80, yields:

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The coefficients are:

The parameters K and X are (Cunge, 1969; Ponce, 1978):

But c, Q, and B change over time, so the coefficients C1, C2, C3, and C4 must also change. The program recomputes
them at each time and distance step,  and , using the algorithm proposed by Ponce (1986).
Again, the choice of these time and distance steps is critical. The steps are selected to ensure accuracy and stability.
The is selected as the minimum of the following: user time step from the control specifications; the travel time
through the reach; or 1/20th the time to rise of the peak inflow with the steepest rising limb, rounded to the nearest
multiple or divisor of the user time step. Once is chosen, is computed as:

The value is constrained so that:

Here Qo = reference flow, computed from the inflow hydrograph as:

where QB = baseflow; and Qpeak = inflow peak.

10.6.2 Setting Up the Model and Estimating Parameters

The Muskingum-Cunge model included in the program can be used in either of two configurations:
• Standard configuration. In this configuration, a simple description of a representative channel cross
section is provided. Or, one of the alternative shapes shown in Figure 28 is selected. The principle
dimensions of the section are specified, along with channel roughness, energy slope, and length. The length
and roughness can be estimated from maps, aerial photographs, and field surveys. The energy slope can be
estimated as the channel bed slope, in the absence of better information.

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Figure 42.Format for describing channel geometry with 8 points.

• 8-point cross-section configuration. If one of the standard cross-section shapes will not represent will the
channel geometry, the alternative is to use the so-called 8-point cross section configuration. With this, a
representative cross section is described for the routing reach, using 8 pairs of x, y (distance, elevation)
values. These values are defined specifically as illustrated in Figure 37. Points labeled 3 and 6 represent the
left and right banks of the channel at the representative cross section. Points 4 and 5 are within the channel.
Points 1 and 2 represents the left overbank, and points 7 and 8 represent the right overbank.
The reach length, roughness coefficient(s), and energy grade also must be specified. As with the standard
configuration, the length and roughness can be estimated from maps, aerial photographs, and field surveys, and
the energy slope can be estimated as the channel bed slope, in the absence of better information.
With either configuration of the Muskingum-Cunge model, if the channel properties vary significantly along the
routing reach, the reach may be subdivided and modeled as a series of linked subreaches, with the properties of
each defined separately.

10.7 Applicability and Limitations of Routing Models

Each routing model that is included in the program solves the momentum and continuity equations. However, each
omits or simplifies certain terms of those equations to arrive at a solution. To select a routing model, one must
consider the routing method's assumptions and reject those models that fail to account for critical characteristics
of the flow hydrographs and the channels through which they are routed. These include (but are not limited to) the
following:
• Backwater effects. Tidal fluctuations, significant tributary inflows, dams, bridges, culverts, and channel
constrictions can cause backwater effects. A flood wave that is subjected to the influences of backwater will
be attenuated and delayed in time. The kinematic wave and Muskingum models cannot account for the
influences of backwater on the flood wave, because these are based on uniform-flow assumptions. Only the
modified Puls model can simulate backwater effects, and it can do so in only the case of time-invariant
downstream conditions. To model this with the modified Puls model, the effects of the backwater must be
determined and included when developing the storage-discharge relationship.
Practically, none of the routing models that are included in the program will simulate channel flow well if the
downstream conditions have a significant impact on upstream flows. The internal structure of the program is such
that computations move from upstream watersheds and channels to those downstream. Thus downstream
conditions are not yet known when routing computations begin. Only a complete hydraulic system model can
accomplish this.

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• Floodplain storage. If flood flows exceed the channel carrying capacity, water flows into overbank areas.
Depending on the characteristics of the overbanks, that overbank flow can be slowed greatly, and often
ponding will occur. This can be significant in terms of the translation and attenuation of a flood wave.
To analyze the transition from main channel to overbank flows, the model must account for varying conveyance
between the main channel and the overbank areas. For one-dimensional flow models, this is normally
accomplished by calculating the hydraulic properties of the main channel and the overbank areas separately, then
combining them to formulate a composite set of hydraulic relationships. This cannot be accomplished with the
kinematic-wave and Muskingum models. The Muskingum model parameters are assumed constant. However, as
flow spills from the channel, the velocity may change significantly, so K should change. While the Muskingum model
can be calibrated to match the peak flow and timing of a specific flood magnitude, the parameters cannot easily be
used to model a range of floods that may remain in bank or go out of bank. Similarly, the kinematic wave model
assumes constant celerity, an incorrect assumption if flows spill into overbank areas.
In fact, flood flows through extremely flat and wide flood plains may not be modeled adequately as one-
dimensional flow. Velocity of the flow across the floodplain may be just as large as that of flow down the channel. If
this occurs, a two-dimensional flow model will better simulate the physical processes. EM 1110-2-1416 (1993)
provides more information on this complex subject.
• Interaction of channel slope and hydrograph characteristics. As channel slopes lessen, assumptions made to
develop many of the models included in the program will be violated: momentum-equation terms that were
omitted are more important if the channel slope is small.
For example, the simplification for the kinematic-wave model is appropriate only if the channel slope exceeds
0.002. The Muskingum-Cunge model can be used to route slow-rising flood waves through reaches with flat slopes.
However, it should not be used for rapidly-rising hydrographs in the same channels, because it omits acceleration
terms of the momentum equation that are significant in that case. Ponce (1978) established a numerical criterion to
judge the likely applicability of various routing models. He suggested that the error due to the use of the kinematic
wave model is less than 5 percent if:

where T = hydrograph duration; = reference mean velocity, and = reference flow depth. (These reference
values are average flow conditions of the inflow hydrograph.) He suggested that the error with the Muskingum-
Cunge model is less than 5 percent if:

where g = acceleration of gravity.

• Configuration of flow networks. In a dendritic stream system, if the tributary flows or the main channel flows
do not cause significant backwater at the confluence of the two streams, any of the hydraulic or hydrologic
routing methods can be applied. However, if significant backwater does occur at confluences, then the
models that can account for backwater must be applied. For full networks, where the flow divides and
possibly changes direction during the event, none of the simplified models that are included in the program
should be used.
• Occurrence of subcritical and supercritical flow. During a flood, flow may shift between subcritical and
supercritical regimes. If the supercritical flow reaches are short, this shift will not have a noticeable impact
on the discharge hydrograph. However, if the supercritical-flow reaches are long, these should be identified
and treated as separate routing reaches. If the shifts are frequent and unpredictable, then none of the
simplified models are appropriate.
• Availability of data for calibration. In general, if observed data are not available, the physically-based routing
models will be easier to set up and apply with some confidence. Parameters such as the Muskingum X can be

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estimated, but the estimates can be verified only with observed flows. Thus these empirical models should
be avoided if the watershed and channel are ungaged.
Table 22 summarizes the model selection criteria.
Table 24.Guidelines for selecting routing model.

If this is true… …then consider this model

No observed hydrograph data available for Kinematic wave; Muskingum-Cunge

calibration

Significant backwater will influence discharge Modified Puls

hydrograph

Flood wave will go out of bank, into floodplain Modified Puls, Muskingum-Cunge with 8-point cross
section

Any
Channel slope > 0.002 and

Muskingum-Cunge; modified Puls; Muskingum

Channel slopes from 0.002 to 0.0004 and

Muskingum-Cunge

Channel slope < 0.0004 and

None

Channel slope < 0.0004 and

10.8 Modeling Confluences as Junctions

10.8.1 Basic Concepts and Equations

Figure 38 illustrates a simple stream confluence, also known as a stream junction. Here two channels intersect, flow
is combined, and water travels downstream.

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Figure 43.Stream confluence.

Such a confluence can be modeled with the program. To do so, the program uses the following simplification of the
continuity equation, which is based upon an assumption that no water is stored at the confluence:

in which  = the flow in channel r at time t; and = outflow from the confluence in period t. Rearranging yields:

That is, the downstream flow at time t equals the sum of the upstream flows. This equation is solved repeatedly for
all times t in the simulation duration.

10.8.2 Setting Up a Confluence Model

The confluence model included in the program requires the stream system configuration be specified using the
graphical user interface. No parameters are required for the model.

10.8.3 Limitations of the Confluence Model

The confluence model is appropriate only if the fundamental assumption of no storage at the confluence is valid.
This may not be true if backwater conditions exist at the confluence. In that case, the stream system can be
represented well with an unsteady open-channel network model, such as UNET (USACE, 1996).

10.9 Modeling Bifurcations as Diversions

10.9.1 Basic Concepts and Equations

Figure 39 illustrates a bifurcation—a split in the flow in a channel. Such a bifurcation, in which the water flows
downstream in one of two channels, can be modeled with the program.

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Figure 44.Stream bifurcation.

A bifurcation is modeled in the program with a simple one-dimensional approximation of the continuity equation.
In that case:

in which = average flow passing downstream in the main channel during time interval t;  = average
channel flow just upstream of the bifurcation during the interval; and = average flow into the secondary
channel during the interval. The distinction between main and secondary channels is arbitrary.

10.9.2 Setting Up a Bifurcation Model

The diversion model included in the program requires the secondary channel flow be specified as a function of the
inflow upstream of the diversion. That is, Equation 104 must be represented as:

in which f(It) = a functional relationship of main channel inflow and secondary channel flow. The relationship can be
developed with historical measurements, a physical model constructed in a laboratory, or a mathematical model of
the hydraulics of the channel.

10.9.3 Limitations of the Bifurcation Model

The diversion model included in the program is applicable to stream systems in which the necessary relationship
between main channel inflow and secondary channel flow can be developed. Often this is impossible, because the
secondary channel flow will not be a unique function of main channel inflow. Instead, it will depend upon
downstream conditions in one or both channels, and upon the temporal distribution of the inflow hydrographs. In
that case, an unsteady-flow network model, such as UNET (USACE, 1997), must be used instead to represent
properly the complex hydraulic relationship.

10.10 References8
Chow, V.T. (1964). Handbook of applied hydrology. McGraw-Hill , New York, NY.
Cunge, J. A. (1969). "On the subject of a flood propagation computation method (Muskingum method)." Journal of
Hydraulic Research, 7(2), 205-230.
Henderson, F.M. (1966). Open channel flow. MacMillan Publishing Co. Inc., New York, NY.
Linsley, R.K., Kohler, M.A., and Paulhus, J.L.H. (1982). Hydrology for engineers. McGraw-Hill, New York, NY.
Miller, W.A., and Cunge, J.A. (1975). "Simplified equations of unsteady flow." K. Mahmood and V. Yevjevich, eds.,
Unsteady flow in open channels, Vol. I, Water Resources Publications, Ft. Collins, CO.
Pilgrim, D.H, and Cordery, I. (1983). "Flood runoff." D.R. Maidment, ed., Handbook of hydrology, McGraw-Hill, New

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York, NY.
Ponce, V. M. (1983). Development of physically based coefficients for the diffusion method of flood routing, Final
Report to the USDA. Soil Conservation Service, Lanham, MD.
Ponce, V. M., and Yevjevich, V. (1978). "Muskingum-Cunge method with variable parameters." Journal of the
Hydraulics Division, ASCE, 104(HY12), 1663-1667.
Ponce, V.M. (1986). "Diffusion wave modeling of catchment dynamics." Journal of the Hydraulics Division, ASCE,
112(8), 716-727.
Strelkoff, T. (1980). Comparative analysis of flood routing methods. Hydrologic Engineering Center, Davis, CA
USACE (1986). Accuracy of computed water surface profiles, Research Document 26. Hydrologic Engineering Center,
Davis, CA.
USACE (1990). HEC-2 water surface profiles user's manual. Hydrologic Engineering Center, Davis, CA.
USACE (1993). River hydraulics, EM 1110-2-1416. Office of Chief of Engineers, Washington, DC.
USACE (1994). Flood-runoff analysis, EM 1110-2-1417. Office of Chief of Engineers, Washington, DC.
USACE (1995). HEC-DSS user's guide and utility manuals. Hydrologic Engineering Center, Davis, CA.
USACE (1997). UNET one-dimensional unsteady flow through a full network of open channels user's manual.
Hydrologic Engineering Center, Davis, CA.
USACE (1998). HEC-RAS river analysis system user's manual. Hydrologic Engineering Center, Davis, CA.
CHAPTER 11

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11 Water-Control Facilities
This chapter describes how the program can be used for modeling two types of water-control facilities: diversions
and detention ponds or reservoirs.

11.1 Diversion Modeling

11.1.1 Basic Concepts and Equations

Figure 45 is a sketch of a diversion. This diversion includes a bypass channel and a control structure (a broad-
crested side-channel weir). When the water-surface elevation in the main channel exceeds the elevation of the weir
crest, water flows over the weir from the main channel into the by-pass channel. The discharge rate in the diversion
channel is controlled by the properties of the control structure. The discharge rate in the main channel downstream
of the control is reduced by the volume that flows into the diversion channel.

Figure 45.Illustration of a diversion structure.

A diversion is modeled in the same manner as a stream bifurcation by using a simple one-dimensional
approximation of the continuity equation. In that case:

in which = average flow passing downstream in the main channel during time interval t ;  = average main
channel flow just upstream of the diversion control structure during the interval; and = average flow into
the by-pass channel during the interval.

11.1.2 Setting Up a Diversion Model

The diversion model included in the program requires specifying the by-pass channel flow as a function of the main
channel flow upstream of the diversion. That is, Equation 114 is represented as:

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in which f(It ) = the functional relationship of main channel flow and diversion channel flow. The relationship can be
developed with historical measurements, a physical model constructed in a laboratory, or a mathematical model of
the hydraulics of the structure. For example, flow over the weir in Error! Reference source not found. can be
computed with the weir equation:

in which O = flow rate over the weir; C = dimensional discharge coefficient that depends upon the configuration of
the weir; L = effective weir width; H = total energy head on crest. This head is the difference in the weir crest
elevation and the water-surface elevation in the channel plus the velocity head, if appropriate. The channel water-
surface elevation can be computed with a model of open channel flow, such as HEC-RAS (USACE, 1998a). For more
accurate modeling, a two-dimensional flow model can be used to develop the relationship.

11.1.3 Return Flow from a Diversion

The bypass channel may be designed to return flow to the main channel downstream of the protected area, as
illustrated in Error! Reference source not found.. This is modeled in the program by linking a diversion/bifurcation
model with channel routing models for the main and bypass channels and a confluence model at the downstream
intersection of the bypass and main channels, as shown in Error! Reference source not found.. Chapter 8 provides
more information about modeling a confluence.

Figure 46.Illustration of a diversion return flow.

11.1.4 Applicability and Limitations of the Diversion Model

The diversion model is applicable to water-control systems in which the necessary relationship between main
channel and bypass channel flow can be developed.

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If a backwater condition can exist at the control structure (due to downstream conditions such as the confluence of
the diversion and the main channel), then an unsteady-flow network model, such as UNET (USACE, 1997), must be
used to properly represent the complex hydraulic relationship.

11.2 Reservoir and Detention Modeling

A reservoir or detention pond mitigates adverse impacts of excess water by holding that water and releasing it at a
rate that will not cause damage downstream. This is illustrated by the hydrographs shown in Error! Reference
source not found.. In this figure, the target flow (release from detention pond) is 113 units. The inflow peak is as
shown in the figure; 186 units. To reduce this peak to the target level, storage is provided. Thus the volume of water
represented by the shaded area is stored and then released gradually. The total volume of the inflow hydrograph
and the volume of the outflow hydrograph (the dotted line) are the same, but the time distribution of the runoff is
altered by the storage facility.
Error! Reference source not found. is a sketch of a simple detention structure. The structure stores water
temporarily and releases it, either through the outlet pipe or over the emergency spillway. The configuration of the
outlet works and the embankment in this illustration serves two purposes. It limits the release of water during a
flood event, thus protecting downstream property from high flow rates and stages, and it provides a method of
emptying the pond after the event so that the pond can store future runoff. (Also, check that this change in timing of
the peak does not adversely coincide with flows from other parts of the basin.)

Figure 47.Illustration of the impact of detention.

The reservoir outlet may consist of a single culvert, as shown in Error! Reference source not found.. It may also
consist of separate conduits of various sizes or several inlets to a chamber or manifold that leads to a single outlet
pipe or conduit. The rate of release from the reservoir through the outlet and over the spillway depends on the
characteristics of the outlet (in this case, a culvert), the geometric characteristics of the inlet, and the characteristics
of the spillway.

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Figure 48.Simple detention structure.

11.2.1 Basic Concepts and Equations

Outflow from an impoundment that has a horizontal water surface can be computed with the so-called level-pool
routing model (also known as Modified Puls routing model). That model discretizes time, breaking the total analysis
time into equal intervals of duration t. It then solves recursively the following one-dimensional approximation of
the continuity equation:

in which = average inflow during time interval; = average outflow during time interval;  = storage
change. With a finite difference approximation, this can be written as:

in which t = index of time interval; It and = the inflow values at the beginning and end of the time interval,
respectively; and = the corresponding outflow values; and and = corresponding storage values.
This equation can be rearranged as follows:

All terms on the right-hand side are known. The values of  and are the inflow hydrograph ordinates,
perhaps computed with models described earlier in the manual. The values of and are known at the tth time
interval. At t = 0, these are the initial conditions, and at each subsequent interval, they are known from calculation
in the previous interval. Thus, the quantity can be calculated with Equation 119. For an
impoundment, storage and outflow are related, and with this storage-outflow relationship, the corresponding
values of and can be found. The computations can be repeated for successive intervals, yielding values
, , ... , the required outflow hydrograph ordinates.

11.2.2 Setting Up a Reservoir Model

To model detention with the program, the storage-outflow relationship for the existing or proposed reservoir must
be specified. The storage-outflow relationship (or elevation-storage-outflow or elevation-area-outflow relationship)
that is developed and provided will depend on the characteristics of the pond or reservoir, the outlet, and the

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spillway. Error! Reference source not found. illustrates how the relationship in a simple case might be developed.
HEC-RAS or other hydraulics software can develop storage-outflow relationships for complex structures.

Figure 49.Illustration of the procedure for defining storage-outflow a relationship.

Figure 49 (a) is the pond outlet-rating function; this relates outflow to the water-surface elevation in the pond. The
relationship is determined with appropriate weir, orifice, or pipe formulas, depending on the design of the outlet. In
the case of the configuration of Error! Reference source not found., the outflow is approximately equal to the
inflow until the capacity of the culvert is exceeded. Then water is stored and the outflow depends on the head.
When the outlet is fully submerged, the outflow can be computed with the orifice equations:

in which O = flow rate; K = dimensional discharge coefficient that depends upon the configuration of the opening to
the culvert; A= the cross-sectional area of the culvert, normal to the direction of flow; H = total energy head on
outlet. This head is the difference in the downstream water-surface elevation and the upstream (pond) water-
surface elevation.
Error! Reference source not found.(b) is the spillway rating function. In the simplest case, this function can be

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developed with the weir equation (Equation 116). For more complex spillways, refer to EM 111021603 (1965), to
publications of the Soil Conservation Service (1985), and to publications of the Bureau of Reclamation (1977) for
appropriate rating procedures.
Error! Reference source not found.(a) and (b) are combined to yield (c), which represents the total outflow when
the reservoir reaches a selected elevation.
Error! Reference source not found.(d) is relationship of reservoir surface area to water-surface elevation; the datum
for the elevation here is arbitrary, but consistent throughout the figure. This relationship can be derived from
topographic maps or grading plans. Error! Reference source not found.(e) is developed from this with solid-
geometry principles.
For an arbitrarily-selected elevation, the storage volume can be found in (e), the total flow found in (c), and the two
plotted to yield the desired relationship, as shown in (f). With this relationship, Equation 116 can be solved
recursively to find the outflow hydrograph ordinates, given the inflow.

11.2.3 Applicability and Limitations of the Detention Model

The reservoir model that is included in the program is appropriate for simulating performance of any configuration
of outlets and pond. However, the model assumes that outflow is inlet-controlled. That is, the outflow is a function
of the upstream water-surface elevation. If the configuration of the reservoir and outlet works is such that the
outflow is controlled by a backwater effect (perhaps due to a downstream confluence), then the reservoir model
should not be used. Instead, an unsteady-flow network model, such as UNET (USACE, 1997) must be used to
properly represent the complex relationship of storage, pond outflow, and downstream conditions. Further, if the
reservoir is gated, and the gate operation is not uniquely a function of storage, then a reservoir system simulation
model, such as HEC-5 (USACE, 1998b), should be used.

11.3 References9
Bureau of Reclamation (1977). Design of small dams. U.S. Dept. of the Interior, Washington, D.C.
Soil Conservation Service (1985). Earth dams and reservoirs, Technical Release 60. USDA, Springfield, VA.
USACE (1965). Hydraulic design of spillways, EM 111021603. Office of Chief of Engineers, Washington, DC.
USACE (1997). UNET one-dimensional unsteady flow through a full network of open channel user's manual.
Hydrologic Engineering Center, Davis, CA.
USACE (1998a) HEC-RAS user's manual. Hydrologic Engineering Center, Davis, CA.
USACE (1998b). HEC-5 simulation of flood control and conservation systems user's manual. Hydrologic Engineering
Center, Davis, CA.
CHAPTER 12

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12 Modeling Reservoirs
This chapter describes how the reservoir element in HEC-HMS is used for modeling reservoirs or other types of
water storage features, such as detention or retention ponds or natural lakes. Reservoirs have many uses, including
flood mitigation, water supply, hydropower, and recreation. Reservoirs functionally change the hydrograph on a
stream, allowing for inflowing water to be stored and then released at altered times and rates. Some reservoirs are
operable and releases can be controlled, while others, such as detention ponds, may use an uncontrolled culvert or
weir as a release structure. The primary objective of modeling reservoirs in HEC-HMS is to include how the reservoir
changes the hydrologic response in a watershed.
A reservoir can mitigate downstream flooding and other adverse impacts of excess water by holding that water and
releasing it at a rate that will not cause damage downstream. This is illustrated by the hydrographs shown in Figure
1. In this figure, the target flow (release from detention pond) is 113 units. The inflow peak is as shown in the figure;
186 units. To reduce this peak to the target level, the reservoir provides storage for the water. Thus the volume of
water represented by the shaded area is stored and then released gradually. The total volume of the inflow
hydrograph and the volume of the outflow hydrograph (the dotted line) are the same, but the time distribution of
the runoff is altered by the storage facility.
Figure 2 is a sketch of a simple detention structure. The structure stores water temporarily and releases it, either
through controlled or uncontrolled outlets the outlet pipe or over the emergency spillway. The configuration of the
outlet works and the embankment in this illustration serves two purposes. It limits the release of water during a
flood event, thus protecting downstream property from high flow rates and stages, and it provides a method of
emptying the pond after the event so that the pond can store future runoff. (Structure operators also check that this
change in timing of the peak does not adversely coincide with flows from other parts of the basin that are
downstream of the detention structure.)

Figure 1.Illustration of the impact of detention.

The reservoir outlet may consist of a single culvert, as shown in Figure 2. It may also consist of separate conduits of
various sizes or several inlets to a chamber or manifold that leads to a single outlet pipe or conduit. The rate of
release from the reservoir through the outlet and over the spillway depends on the characteristics of the outlet (in
this case, a culvert), the geometric characteristics of the inlet, the characteristics of the spillway, and the tailwater
condition. The reservoir can also have an auxiliary spillway that releases to a different stream.

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Figure 2.Simple detention structure.

12.1 Basic Concepts and Equations

While a reservoir element in HEC-HMS conceptually represents a natural lake or a lake behind a dam, the actual
storage simulation calculations are performed by a routing method in conjunction with a storage method,
contained within the reservoir.

12.1.1 Defining Routing

Outflow from an impoundment that has a horizontal water surface can be computed with the so-called level-pool
routing model (also known as the Modified Puls routing model). That model discretizes time, breaking the total
analysis period into equal intervals of duration Δt. It then recursively solves the following one-dimensional
approximation of the continuity equation:

in which is the average inflow during time interval; is the average outflow during time interval; is
the storage change. With a finite difference approximation, this can be written as:

in which is the index of time interval; and are the inflow values at the beginning and end of the time
interval, respectively; and are the corresponding outflow values; and and are the
corresponding storage values. This equation can be rearranged as follows:

All terms on the right-hand side are known. The values of  and are the inflow hydrograph ordinates,
th
perhaps computed with models described earlier in the manual. The values of and are known at the
time interval. At = 0, these are the initial conditions, and at each subsequent interval, they are known from
calculation in the previous interval. Thus, the quantity can be calculated with the equation above.
For an impoundment, storage and outflow are related, and with this storage-outflow relationship, the

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corresponding values of and can be found. The computations can be repeated for successive intervals,
yielding values , , ... , the required outflow hydrograph ordinates.

12.1.2 Defining Detention (Storage)

To model storage within the reservoir element, the relationship between outflow and storage for the reservoir must
be defined by the user. HEC-HMS can accept this relationship described in terms of storage-outflow, elevation-
storage-outflow, or a combination of elevation-area-outflow with the elevation-storage relationship. The
relationship that is developed and provided will depend on the available data, characteristics of the pond or
reservoir, the outlet, and the spillway. Figure 3 illustrates how the relationship in a simple case might be developed.
Hand calculations or a hydraulic model, like HEC-RAS, can be used develop storage-outflow relationships for
complex structures.

Figure 3.Illustration of the procedure for defining a storage-outflow relationship.

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Figure 3(a) is the pond outlet-rating function; this relates outflow to the water-surface elevation in the pond. The
relationship is determined with appropriate weir, orifice, or pipe formulas, depending on the design of the outlet. In
the case of the configuration of Figure 2, the outflow is approximately equal to the inflow until the capacity of the
culvert is exceeded. Then water is stored and the outflow depends on the head. When the outlet is fully submerged,
the outflow can be computed with the orifice equations:

in which O = flow rate; K = dimensional discharge coefficient that depends upon the configuration of the opening to
the culvert; A = the cross-sectional area of the culvert, normal to the direction of flow; H = total energy head on
outlet; and g is the gravitational constant. This head is the difference in the downstream water-surface elevation
and the upstream (pond) water-surface elevation.
Figure 3(b) is the spillway rating function. In the simplest case, this function can be developed with the weir
equation. For more complex spillways, refer to EM 1110-2-1603 (1965), to publications of the Soil Conservation
Service (1985), and to publications of the Bureau of Reclamation (1977) for appropriate rating procedures.
Figure 3(a) and (b) are combined to yield Figure 3(c), which represents the total outflow when the reservoir reaches
a selected elevation.
Figure 3(d) is relationship of reservoir surface area to water-surface elevation; the datum for the elevation here is
arbitrary, but consistent throughout the figure. This relationship can be derived from topographic maps or grading
plans. Figure 3(e) is developed from this with solid-geometry principles.
For an arbitrarily-selected elevation, the storage volume can be found in Figure 3(e), the total flow found in Figure
3(c), and the two plotted to yield the desired relationship, as shown in Figure 3(f). With this relationship, Equation x
can be solved recursively to find the outflow hydrograph ordinates, given the inflow.
If storage is not known but the relationship for elevation-area is, the conic formula is used to estimate the volume in
slices of the reservoir using elevation and area. The conic formula, as used to approximate storage, is expressed by
the following equation:

where is the incremental storage between two reservoir elevations (elev1 and elev2) and their respective
sectional areas are A1 and A2. A limitation to this approach is that it does not work well for very large reservoirs,
where the level pool assumption is not realistic.
The reservoir can have one or more inflows and computed outflows through one or more outlets. Assumptions
include a level pool.

12.2 Routing and Storage Methods

While a reservoir element in HEC-HMS conceptually represents a natural lake or a lake behind a dam, the actual
storage simulation calculations are performed by a routing method in conjunction with a storage method,
contained within the reservoir. The available options are shown in Table 1.

Table 1.Storage Method and Initial Condition Options for each Routing Method

Routing Method Storage Method Initial Condition Options

Outflow Curve Elevation-Area-Discharge Discharge, Elevation, Inflow = Outflow

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Elevation-Storage-Discharge Discharge, Elevation, Inflow = Outflow,

Storage

Storage-Discharge Discharge, Inflow = Outflow, Storage

Specified Release Elevation-Area Elevation, Inflow = Outflow

Elevation-Storage Elevation, Inflow = Outflow, Storage

Outflow Structures Elevation-Area Elevation, Inflow = Outflow

Elevation-Storage Elevation, Inflow = Outflow, Storage

12.2.1 Selecting a Routing Method

Three different routing methods are available: Outflow Curve, Specified Release, and Outflow Structures. A fourth
option is to choose a routing method of None, which assumes no storage and passes inflow, making the model
element only nominally representative of a reservoir.

Outflow Curve Routing method

The Outflow Curve Routing method is designed to represent a reservoir with a known storage-outflow
relationship. This method does not allow for individual representation of the components of the outlet works,
rather, it lumps all outflow structures into one storage-discharge relationship. This routing method is best used for
simple reservoirs.
For the Outflow Curve Routing method, regardless of which storage method option is selected, the routing is
always performed using only the storage-discharge curve. After the routing is complete using the storage-discharge
curve, the program will compute the elevation and surface area for each time step, depending on the selected
storage method.

Specified Release Routing method

The Specified Release Routing method is designed to model reservoirs where the total discharge is known for
each time interval of a simulation. Usually this method is used when the discharge is either observed or completely
specified by an external decision process. The method can then be used to preserve the specified release and track
the storage using the inflow, outflow, and conservation of mass. The Specified Release method uses a specified
release and computes the storage that would result.
With this method, it is possible to set a maximum capacity limit on the reservoir. The storage at the end of the
previous time interval, and the inflow volume and specified outflow volume for the current time interval, are used
to calculate the storage at the end of the current time interval (equation below). The calculated storage will not be
changed when it exceeds the user setting; however, a warning message will occur when the calculated storage
exceeds the setting value.

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Outflow Structures Routing method

The Outflow Structures Routing method is designed to model reservoirs with a number of uncontrolled outlet
structures. For example, a reservoir may have a spillway and several low-level outlet pipes. While there is an option
to include gates on spillways, the ability to control the gates is extremely limited at this time. There are currently no
gates on outlet pipes. However, there is an ability to include a time-series of releases in addition to the uncontrolled
releases from the various structures. An external analysis may be used to develop the additional releases based on
an operations plan for the reservoir.
Additional features in the reservoir for culverts and pumps allow the simulation of interior ponds. This class of
reservoir often appears in urban flood protection systems. A small urban creek drains to a collection pond adjacent
to a levee where flood waters collect. When the main channel stage is low, water in the collection pond can drain
through culverts into the main channel. Water must be pumped over the levee when the main channel stage is high.

12.2.2 Selecting a Storage Method

Once a routing method has been selected, an associated Storage Method must be selected. The Storage Method
defines the relationship between detention and discharge. There are five storage methods to choose from:
Elevation-Area-Discharge, Elevation-Storage-Discharge, Storage-Discharge, Elevation-Area, and Elevation-Storage.
The user must select the functions to be used and which is to be primary if there is more than one curve.
Different sets of storage methods are available, depending on the routing method selected. Each of these
combinations are shown in Table XXX. For a simple reservoir, the combination of the Outflow Curve routing method
and the Storage-Discharge storage method is preferred. The storage-discharge relationship can be defined with
some dead pool storage associated with zero outflow. For the Specified Release Routing Method, a time series of
releases is specified. Storage is post-processed using the elevation-area or the elevation-storage relationship. For
the Elevation-Area-Discharge and Elevation-Area Storage Methods, the program automatically transforms the
elevation-area curve into an elevation-storage curve using the conic formula. The Elevation-Area-Discharge Storage
Method option is rarely used.
Because HMS doesn't use triplet curves, if Elevation-Area-Discharge or Elevation-Storage-Discharge is selected,
ultimately the storage-discharge relationship is still used to calculate the routing. Elevation is post-processed. The
user will select the primary field when entering data (i.e., which curve to key on), and interpolation is used to get the
other column.

Setting Initial Conditions

The initial condition sets the amount of storage in the reservoir at the beginning of a simulation. The initial
condition can simply be defined using the storage value, or there are other options depending on the method
selected for specifying the storage characteristics of the reservoir. Initial conditions can be set using Discharge,
Elevation, Inflow-Outflow, or Storage.
When the Elevation-Storage method is selected, you may choose to specify the initial elevation or the initial
storage. An initial elevation will be converted to storage using the elevation-storage relationship. When the
Elevation-Area method is selected, you must specify an initial elevation. Again, the conic formula is used to develop
an Elevation-Storage relationship, and thus the initial elevation is converted to a storage. The initial condition can
also be set to Inflow=Outflow, which takes the reservoir inflow at the beginning of the simulation, and uses the
storage-discharge curve to determine the storage required to produce that same flowrate as the outflow from the
reservoir. If only the elevation-discharge curve is available, it uses the elevation-storage curve to find the matching
storage. Typically, the Inflow=Outflow option should not be used. The initial storage or elevation should be defined
at the beginning of a simulation.

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Some storage methods permit the specification of Elevation as the initial condition. In such a case, the elevation
provided by the user is used to interpolate a storage value from the elevation-storage curve. Other storage methods
permit the specification of Discharge as the initial condition. In such a case, the storage is interpolated from the
storage-discharge curve. The Pool Elevation method can also be selected for the initial condition. In those cases,
the elevation provided by the user is used to interpolate a storage value from the elevation-storage curve.

12.3 Outflow Curve Routing Method

For the Outflow Curve Routing Method, regardless of which storage method option is selected, the routing is
always performed using only the storage-discharge curve, because HEC-HMS does not use triplet curves. After the
routing is complete using the storage-discharge curve, the program will compute the elevation and surface area for
each time step, depending on the selected storage method.
Interpolation is used when the Elevation-Storage-Discharge or Elevation-Area-Discharge storage methods are
used. This means that it is not necessary for the storage-discharge and elevation-storage curves used in the
Elevation-Storage-Discharge method to contain matching independent variables. The two curves do not need to
have the same storage values in each curve, or even have the same number of rows. At compute time, the two
curves selected by the user are combined into a single routing table with three rows: elevation, storage, and
discharge. The table is initially configured using the curve selected by the user as the Primary curve. The remaining
column is interpolated from the curve not selected as the primary curve. Finally the storage routing is completed
from the combined table using the storage and outflow columns, and then elevation and area is calculated from the
computed storages where possible. A similar procedure is also used with the Elevation-Area-Discharge storage
method. Elevation is post-processed output.
The approach for calculating the outflow is basically the same as using Modified Puls routing with a single step
(maximum attenuation) and assumes a level pool for the whole element. For the determination of routing, the
Storage-Discharge relationship is not used directly. Instead a Storage Indication Table (which is also used for
Modified Puls routing) is used:

Storage Indication Table

SI Qout

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12.3.1 Applicability and Limitations of the Outflow Curve Method

The Outflow Curve Routing Method of modeling a reservoir is appropriate for simulating performance of any
configuration of outlets. However, the model assumes that outflow is inlet-controlled. That is, the outflow is a
function of the upstream water-surface elevation. If the configuration of the reservoir and outlet works is such that
the outflow is controlled by a backwater effect (perhaps due to a downstream confluence), then the outflow curve
method should not be used. Instead, an unsteady-flow network model must be used to properly represent the
complex relationship of storage, pond outflow, and downstream conditions. Further, if the reservoir is gated, and
the gate operation is not uniquely a function of storage, then a reservoir system simulation model, such as HEC-
ResSim (USACE, 2013), should be used.

12.4 Specified Release Routing Method

For the Specified Release Routing Method, there are two different options for specifying the storage relationship.
The first option is the Elevation-Storage choice. The user must select an elevation-storage curve from the available
curves in the Paired Data Manager. After the routing is complete, the program will compute the elevation and
storage for each time interval. The second option is the Elevation-Area choice, which requires the selection of an
elevation-area curve from the available curves in the Paired Data Manager. With this choice, the program
automatically transforms the elevation-area curve into an elevation-storage curve using the conic formula. After the
routing is complete, the program will compute the elevation, surface area, and storage for each time interval.
You must select a discharge time-series gage as the outflow from the reservoir. The gage should record the
discharge to use for each time interval of the simulation. If there is missing data in the record and the basin model
options are set to replace missing data, a zero flow rate will be substituted for each missing data value. If the basin
model is not set to replace missing data, any missing data will cause the simulation to stop and an error message
will be displayed.
The maximum release setting is optional. It will cause a warning message during a simulation if the specified
release exceeds the setting value. The specified release from the time-series gage record will always be discharged
from the reservoir. However, the warning will occur when the specified release exceeds the optional maximum
release value.
The maximum capacity setting is optional. It will cause a warning message during a simulation if the calculated
storage exceeds the setting value. The storage is calculated for each time interval using conservation of mass. The
storage at the end of the previous time interval, and the inflow volume and specified outflow volume for the current
time interval, are used to calculate the storage at the end of the current time interval. The calculated storage will
not be changed when it exceeds the setting value. However, the warning message will occur when the calculated
storage exceeds the setting value.
Start with the conservation of mass.

The change in storage in a timestep is the difference between the inflows and the outflows. Adding the inflows is
straightforward, but there can be many outflows. We assume the outflows can be calculated given the pool and
tailwater. Typically, the determination of each individual outflow object is straightforward. Each outlet has its own
piece in the equation which is calculated based on given pool and tailwater. The object that represents each outlet
is captured and stored at the end of the time step.
This becomes a root-finding problem and can be solved for storage using standard numerical methods. The root-
finding algorithm Brent's Method is used because it is a very dynamic solution that combines speed and reliability
(Numerical Methods reference).

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12.4.1 Applicability and Limitations of the Specified Release Method

The Specified Release Routing Method is best used for replicating events, forensic hydrology, or calibrating the
channel network. Discharge is calculated based on the outlet elements that are specified, which can include
outlets, spillways, gates, and dam top, but it cannot include evaporation. The primary limitation to this method is
that the total reservoir release is required. It is also not designed for long record runs. Maximum release and
capacity settings offer warnings but do not stop the compute. After calibration with the Specified Release Routing
Method, the model may be used with a different routing approach.
'

12.5 Outflow Structures Routing Method

For the Outflow Structures Routing Method, the routing is computed by evaluating all outlets defined by the user.
After the routing is complete, the program will compute the elevation, surface area, and storage for each time
interval.
An initial condition is given to set the amount of storage in the reservoir at the beginning of a simulation. The
storage can be simply set as a reservoir elevation or volume of water. If an elevation is set, the elevation-storage
curve is used to interpolate a storage volume. Some storage methods permit the specification of Elevation as the
initial condition. The initial condition can also be set using discharge; in this case, the storage is interpolated from
the storage-discharge curve. The initial condition options depend on the selected storage method.

12.5.1 Applicability and Limitations of the Outflow Structures Method

The Outflow Structures Routing Method is ideal for XXX. Further, if the reservoir is gated, and the gate operation is
not uniquely a function of storage, then a reservoir system simulation model, such as HEC-ResSim (USACE, 2013),
should be used.

12.6 Outflow Structures

Outlets and other discharge structures can only be modeled individually when using the Outflow Structures
routing method(see page 158). The table below lists available outflow structure types and subtypes, which include
outlets, spillways, gates, pumps, and dam tops, breaks, and seepage. Evaporation is also a specific type of release
that requires the outflow structures routing method.
Table 2.Outflow Structures available in HEC-HMS

Structure Type Description

Outlet Lower elevation pipes, etc.

Culvert Allows for partially full and submerged, pressure flow

Orifice Assumes a large, submerged outlet

Spillway - ungated Structures on dam top, typically uncontrolled

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Structure Type Description

Broad-Crested Uncontrolled flow using weir assumptions

Ogee Uncontrolled outlet with an approach channel, designed for a

specific head. Weir flow assumptions, adjusts based on upstream
head

Specified Allows for an elevation-discharge relationship

Spillway - gated Allows for controlled spillways

Sluice Gate moves on a vertical plane

Radial Gate rotates on a horizontal axis

Dam Top Allows for uncontrolled overtopping

Level Constant elevation dam top

Non-Level Represents several different segments of a cross section. Can be used

for separate sections of dam, separated by other outlets.

Pump All pumps use the head-discharge relationship to calculate flow

Dam Break Dam failures. Allows for defined trigger time and development

Overtop Dam is overtopped and experiences erosion

Piping Piping occurs through dam and eventually cuts away the dam top

Dam Seepage Tabular

Additional Release User specified tabular release

Evaporation Modeled as its own outflow structure based on user-defined

relationship

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12.7 Outlets
Outlets typically represent structures near the bottom of the dam that allow water to exit in a controlled manner.
They are often called gravity outlets because they can only move water when the head in the reservoir is greater
than the head in the tailwater. Up to ten independent outlets can be included in the reservoir.

12.7.1 Culvert Outlet

The culvert outlet can handle may flow types including pressure flow, so it allows for partially full or submerged
flow through a culvert with a variety of cross-sectional shapes. Culvert flow calculations can be complicated, but
the approach taken by HEC-HMS is shared with RAS – it simplifies the analysis by considering the flow either Inlet
Control or Outlet Control. As described in Chapter 6 of the HEC-RAS Technical Reference Manual, "Inlet control flow
occurs when the flow capacity of the culvert entrance is less than the flow capacity of the culvert barrel. The control
section of a culvert operating under inlet control is located just inside the entrance of the culvert. The water surface
passes through critical depth at or near this location, and the flow regime immediately downstream is supercritical.
For inlet control, the required upstream energy is computed by assuming that the culvert inlet acts as a sluice gate
or as a weir. Therefore, the inlet control capacity depends primarily on the geometry of the culvert entrance. Outlet
control flow occurs when the culvert flow capacity is limited by downstream conditions (high tailwater) or by the
flow carrying capacity of the culvert barrel. The HEC RAS culvert routines compute the upstream energy required to
produce a given flow rate through the culvert for inlet control conditions and for outlet control conditions. In
general, the higher upstream energy "controls" and determines the type of flow in the culvert for a given flow rate
and tailwater condition. For outlet control, the required upstream energy is computed by performing an energy
balance from the downstream section to the upstream section. The HEC RAS culvert routines consider entrance
losses, friction losses in the culvert barrel, and exit losses at the outlet in computing the outlet control headwater of
the culvert."
HEC-HMS shares the RAS culvert routines, and thus requires the same input data. RAS, however, assumes a
roadway crest, whereas HEC-HMS does not. Figure XXX depicts the relationships between upstream energy and flow
rate for outlet control and inlet control flows.

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Thus, there are three different solution methods for culvert outlets, allowing for Inlet Control, Outlet Control, or
Automatic. Automatic allows the program to determine whether the flow is inlet or outlet controlled at each
timestep. This approach is highly recommended, unless the user is modeling a special case.
Table 2.Culvert Outlet Settings

Settings Options

Direction

Number of Barrels Select up to 10 identical barrels

Solution Method Automatic, Inlet Control, Outlet control

Shape Circular, Semi-Circular, Elliptical, Arch, High Profile Arch, Low Profile
Arch, Pipe Arch, Box, Con Span

Depending on which shape you select, you have a subset of Charts

and Scales to choose from. (big list)

Settings Length, Rise, {Span}, Inlet Elevation, Entrance Coefficient, Outlet

Elevation, Exit Coefficient, Manning's n.

The limitations to the culvert calculations are that no upstream or downstream cross sections are used. So the
energy gradeline is calculated assuming a quiescent, level pool above the inlet and a quiescent stilling basin at the
outlet.
Inlet Controlled
Use this method when the culvert outflow is controlled by a high pool elevation in the reservoir. See equations 6-2
and 6-3 in the RAS Tech Ref Man for the calculations used. HEC-HMS departs from the RAS approach at the Outlet
Controlled Headwater. Equation 6-4 is modified for HEC-HMS so that the velocities are assumed zero. The same is
true for equation 6-7.
Outlet Controlled
Outlet controlled calculation can handle zero, partial, pressurized flow. It changes based on the shape of the
culvert. Culvert outflow that is controlled by a high tailwater condition uses this
Automatic
In order to determine which type of flow rules, energy minimization is performed. Flow is computed using inlet or
outlet control and the lower flow is chosen.
Outlet Shape
You must specify the outlet shape and related parameters so that the HEC-HMS can use the appropriate equations.
Table XXX shows a list of the outlet cross section shapes and the associated parameters used in the calculations.
Table 3.Listing of which parameters are required for each cross section shape.

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Cross Section Shape Diameter Rise Span

Circular X

Semi Circular X

Elliptical X X

Arch X X

High-Profile Arch X

Low-Profile Arch X

Pipe Arch X X

Box X X

Con Span X X

12.7.2 Orifice Outlet

The orifice outlet assumes a large outlet with sufficient submergence for orifice flow conditions to dominate. It
should not be used to represent an outlet that may flow only partially full. The necessary submergence is typically
present for low level reservoir outlets, but it may not be assured for small reservoirs, such as those on farms. If there
is any uncertainty about whether or not the large orifice approach is appropriate, it is best to use the Culvert
approach instead. The downside is that it may take ten to twenty times longer to calculate.
In order to ensure that the outlet is experiencing pressure flow conditions, the inlet of the structure should be
submerged at all times by a depth at least 0.2 times the height of the orifice outlet. The approximate height is
estimated to be the square root of the area. The water elevation is calculated and compared accordingly. HEC-HMS
will check this condition and return and error messages with the number of times the condition was not met.
Table 4.Orifice Outlet Settings

Settings Options

Direction Main or auxiliary

Number of Barrels You must select up to 10 identical barrels

Center Elevation center of the cross-sectional flow area

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Area cross-sectional flow area

Coefficient dimensionless discharge coefficient

The center elevation specifies the center of the cross-sectional flow area. It is used to compute the head on the
outlet, so no flow will be released until the reservoir pool elevation is above this specified elevation. The cross-
sectional flow area of the outlet must be specified. The orifice assumptions are independent of the shape of the
flow area. The dimensionless discharge coefficient must be entered. This parameter describes the energy loss as
water exits the reservoir through the outlet.
Section 6 of the HEC-RAS Technical Reference Manual includes detailed descriptions and equations used in culvert
hydraulics and flow analysis. Since much of the approach is shared with HEC-HMS, these descriptions are not
repeated here. Refer to the HEC-RAS manual for details on the algorithms. Note that the difference between the
HEC-RAS and the HEC-HMS outlet flow calculations is that HEC-HMS does not consider flow in upstream or
downstream cross sections, thus the equations are simplified by assuming zero velocity.

12.8 Spillways
Spillways typically represent structures at the top of the dam that allow water to go over the dam top in an
uncontrolled manner. Up to ten independent spillways can be included in the reservoir. There are three different
methods for computing outflow through a spillway: Broad-Crested, Ogee, and User Specified. The broad-crested
and ogee methods may optionally include gates. If no gates are selected, then flow over the spillway is unrestricted.
When gates are included, the flow over the spillway will be controlled by the gates. Up to ten independent gates
may be included on a spillway. The spillway may release to the main channel or an auxiliary location.
The calculations for spillways begin with the standard weir equation:

where:
Q = Discharge over the weir or spillway crest.
C = Discharge coefficient, accounts for energy losses as water enters the spillway, flows through the spillway, and
eventually exits the spillway. Typical values will range from 2.6 to 4.0 depending upon the shape of the spillway
crest.
L = Length of the spillway crest.
H = Upstream energy head above the spillway crest.
HEC-HMS includes a secondary calculation to determine whether tailwater conditions alter the computed
discharge, and the program adjusts accordingly. Details on the application of this equation can be found in the
HEC-RAS Technical Reference Manual. HEC-HMS uses the same approach, with some simplifications.
Broad-Crested Spillway
The broad-crested spillway allows for uncontrolled flow over the top of the reservoir according to the weir flow
assumptions.
The discharge coefficient C accounts for energy losses as water enters the spillway, flows through the spillway, and
eventually exits the spillway. Depending on the exact shape of the spillway, typical values range from 1.10 to 1.66 in
System International units (2.0 to 3.0 US Customary units) (Note: RAS manual says 2.6-3.1).
For each time step within the simulation, the head is estimated using the user-specified crest elevation of the
spillway and the reservoir pool elevation.

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12.8.1 Ogee Spillway

The ogee spillway allows for uncontrolled flow over the top of the reservoir according to the weir flow assumptions.
However, the discharge coefficient in the weir flow equation is automatically adjusted when the upstream energy
head is above or below the design head.
The ogee spillway may be specified with concrete or earthen abutments. These abutments should be the dominant
material at the sides of the spillway above the crest. The selected material is used to adjust energy loss as water
passes through the spillway. The spillway can be conceptually represented using one, two, or no abutments.
The ogee spillway is assumed to have an approach channel that moves water from the main reservoir to the
spillway. If there is such an approach channel, you must specify the depth of the channel, and the energy loss that
occurs between the main reservoir and the spillway. If there is no approach channel, the depth should be the
difference between the spillway crest and the bottom of the reservoir, and the loss should be zero.
The crest elevation and length of the spillway are needed, as are the apron elevation and width.
The design head is the total energy head for which the spillway is designed. The discharge coefficient will be
automatically calculated when the head on the spillway departs from the design head.

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Don't know what equations are used here. Linear interpolation

Calculate the head ratio. If less than design ratio, then X, if greater than or equal to design ratio, then …
Check RAS. It's complicated.
Gate flow equation – either radial or sluice.
• gate coefficient
• gate width
• trunnion^trunnion exponent
• gate opening^opening exponent
• head^head exponent

12.8.2 Specified Spillway

The user-specified spillway can be used to represent spillways with flow characteristics that cannot be represented
by the broad-crested or ogee weir assumptions. The user must create an elevation-discharge curve (Figure X) that
represents the spillway discharge as a function of reservoir pool elevation, and HEC-HMS determines discharge
though a basic table lookup approach. At this time there is no ability to include submergence effects on the
specified spillway discharge. Therefore the user-specified spillway method should only be used for reservoirs where
the downstream tailwater stage cannot affect the discharge over the spillway.

12.8.3 Gated Spillways

Spillway gates are an optional part of specifying the configuration of a spillway. They may be included on either
broad-crested or ogee spillways.
An important part of defining gates on a spillway is the specification of how each gate will operate. It is rare that a
gate is simply opened a certain amount and then never changed. Usually gates are changed on a regular basis in
order to maintain the storage in the reservoir pool at targets; usually seasonal targets will be defined in the
reservoir regulation manual. Under some circumstances, the gate operation may be changed to prevent flooding or
accommodate other special concerns. At this time there is only one method for controlling spillway gates but

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additional methods will be added in the future.

The Fixed opening control method only accommodates a single setting for the gate. The distance between the
spillway and the bottom of the gate is specified. The same setting is used for the entire simulation time window.

Sluice Gate
A sluice gate moves up and down in a vertical plane above the spillway in order to control flow. The water passes
under the gate as it moves over the spillway. For this reason it is also called a vertical gate or underflow gate.
The width of the sluice gate must be specified. It should be specified as the total width of an individual gate.
The gate coefficient describes the energy losses as water passes under the gate. Typical values are between 0.5 and
0.7 depending on the exact geometry and configuration of the gate.
The orifice coefficient describes the energy losses as water passes under the gate and the tailwater of the gate is
sufficiently submerged. A typical value for the coefficient is 0.8.
The HEC-RAS Hydraulic Reference Manual describes sluice gate flow calculations as follows:
An example sluice gate with a broad crest is shown in the figure below.

Figure X Example Sluice Gate with Broad Crested Spillway. (source: HEC-RAS Hydraulic Reference Manual)

The equation for a free flowing sluice gate is as follows:

where: H = Upstream energy head above the spillway crest (ZU - Zsp)
C= Coefficient of discharge, typically 0.5 to 0.7

When the downstream tailwater increases to the point at which the gate is no longer flowing freely (downstream
submergence is causing a greater upstream headwater for a given flow), the program switches to the following form
of the equation:

Where: H= ZU - ZD
Submergence begins to occur when the tailwater depth above the spillway divided by the headwater energy above
the spillway is greater than 0.67. Equation 8-5 is used to transition between free flow and fully submerged flow. This
transition is set up so the program will gradually change to the fully submerged Orifice equation (Equation x) when
the gates reach a submergence of 0.80.

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Radial Gate
A radial gate rotates above the spillway with water passing under the gate as it moves over the spillway. This type of
gate is also known as a tainter gate.
The width of the radial gate must be specified. It should be specified as the total width of an individual gate.
The gate coefficient describes the energy losses as water passes under the gate. Typical values are between 0.5 and
0.7 depending on the exact geometry and configuration of the gate.
The orifice coefficient describes the energy losses as water passes under the gate and the tailwater of the gate is
sufficiently submerged. A typical value for the coefficient is 0.8. The pivot point for the radial gate is known as the
trunnion. The height of the trunnion above the spillway must be entered. The trunnion exponent is part of the
specification of the geometry of the radial gate. A typical value is 0.16. The gate opening exponent is used in the
calculation of flow under the gate. A typical value is 0.72. The head exponent is used in computing the total head on
the radial gate. A typical value is 0.62.
The HEC-RAS Hydraulic Reference Manual describes radial gate calculations as follows:
An example radial gate with an ogee spillway crest is shown in Figure X. (copied out of RAS)

Figure X Example Radial Gate with an Ogee Spillway Crest

The flow through the gate is considered to be "Free Flow" when the downstream tailwater elevation (ZD) is not high
enough to cause an increase in the upstream headwater elevation for a given flow rate. The equation used for a
Radial gate under free flow conditions is as follows:

where:
Q= Flow rate in cfs
C= Discharge coefficient (typically ranges from 0.6 - 0.8)
W= Width of the gated spillway in feet
T= Trunnion height (from spillway crest to trunnion pivot point)
TE= Trunnion height exponent, typically about 0.16 (default 0.0)
B= Height of gate opening in feet
BE= Gate opening exponent, typically about 0.72 (default 1.0)
H= Upstream energy head above the spillway crest ZU - Zsp
HE= Head exponent, typically about 0.62 (default 0.5)
ZU= Elevation of the upstream energy grade line
ZD= Elevation of the downstream water surface
Zsp= Elevation of the spillway crest through the gate

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When the downstream tailwater increases to the point at which the gate is no longer flowing freely (downstream
submergence is causing a greater upstream headwater for a given flow), the program switches to the following form
of the equation:

where: H=ZU - ZD
Submergence begins to occur when the tailwater depth divided by the headwater energy depth above the spillway,
is greater than 0.67. Equation 8-2 is used to transition between free flow and fully submerged flow. This transition is
set up so the program will gradually change to the fully submerged Orifice equation when the gates reach a
submergence of 0.80. The fully submerged Orifice equation is shown below:

where:
A= Area of the gate opening.
H= ZU - ZD
C= Discharge coefficient (typically 0.8)
Sluice gate always uses 0.5 head exponent. It appears the same for radial gate.
They are currently rebuilding to allow the user to specify the opening.
New outlet that allows for gates (no orifice or culvert gate)

12.9 Dam Tops

The top of the dam is important when modeling conditions that may cause water to flow over the top of the dam.
Dam tops can be added to reservoirs that use the outflow structure routing method. These represent the top of the
dam, above any spillways, where water goes over the dam top in an uncontrolled manner. In some cases a dam top
can be used to represent an emergency spillway. Up to 10 independent dam tops can be included in the reservoir.
There are two different methods for computing outflow through a dam top: level or non-level.

12.9.1 Level Dam Top

The level dam top assumes flow over the dam can be represented as a broad-crested weir. The calculations are
essentially the same as for a broad-crested spillway, but they are included separately for conceptual representation
of the reservoir structures.

(8-6)
where:
Q = Discharge over the dam top.
C = Discharge coefficient; accounts for energy losses as water flows over the dam. Typical values will range from 2.6
to 3.3, depending upon the shape of the dam.
L = Length of the dam top.
H = Upstream energy head above the dam top.
The crest elevation of the dam top must be specified in order to allow for the determination of head.
The length of the dam top should represent the total width through which water passes, excluding any amount
occupied by spillways.
The discharge coefficient accounts for energy losses as water approaches the dam top and flows over the dam.
Depending on the exact shape of the dam top, typical values range from 1.45 – 1.84 in SI units (2.63 – 3.33 in US

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Customary units). 1.10 to 1.66 in System International units (2.0 to 3.0 US Customary units). Civil Engineering
Reference Manual says 1.45 – 1.84 2.63 – 3.33

12.9.2 Non-Level Dam Top

In order to model a non-level dam top, the structure can be represented by a cross section with eight station-
elevation pairs. A separate flow calculation is carried out for each segment of the cross section, and the modeler
can specify different coefficients. The broad-crested weir assumptions are made for each segment.
An eight point cross section should be developed to represent the dam from one abutment to the other but
excluding any spillways. Multiple dam tops can be used to represent the different sections of the dam top between
spillways. The cross section should extend from the dam top up to the maximum water surface elevation that will
be encountered during a simulation.
The same discharge coefficient value is used for all segments of the dam top. Typical values range from 2.6 to 4.0
depending on the exact shape of the dam top. Users enter the coefficients. Check the RAS manual for
recommendations.
The tailwater is calculated.
Pool – dam elev
Then tailwater and recalculate pool-tailwater and if the head is smaller, you will go with the smaller flow. No
reverse flow is allowed.

12.10 Pumps
Some smaller reservoirs such as interior detention ponds or pump stations may use pumps to move water out of
the reservoir and into the tailwater when gravity outlets alone are insufficient. Pumps can only be included in
reservoirs using the Outflow Structures routing method. Up to 10 independent pumps can be included in the
reservoir.

12.10.1 Head-Discharge Pump

The head-discharge pump is designed to represent pumps that are applied in low-head, high-flow situations, such
as the centrifugal type. These pumps are designed for high flow rates against a relatively small head. There are
options for setting a reservoir pool elevation range for pumping and minimum times for the on or off condition.
Figure X depicts the representation of this type of pump in HEC-HMS.

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The intake elevation, , defines the elevation at which the pump takes in water within the reservoir pool.
The line elevation, , defines the highest elevation in the pressure line from the pump to the discharge point.
The equipment head loss includes all energy losses between the intake and discharge points, including pipe losses
related to expansion, contraction, and bends, and losses due to the pump itself. These losses are currently modeled
as static losses, not as a function of flow. This total head loss is added to the head difference due to reservoir pool
elevation and tailwater elevation to determine the total energy head, , against which the pump must operate.

A head-discharge curve is used to describe the capacity of the pump as a function of the total head. Total head is
the head difference due to reservoir pool elevation and tailwater elevation, plus equipment loss. The head-
discharge curve must be defined as an elevation-discharge function, although it actually represents head rather
than elevation. If the pump is determined to be active, the pump discharge is determined by looking up and
interpolating the flow value based on the total head value.
The pump is set to turn on at a specified on-trigger elevation, , and remain on until the pool has dropped
below a specified off-trigger elevation, , at which point it turns off. In addition, it is possible to constrain the
pump such that when it is triggered to turn on, it must stay on for a minimum run time.
The pump operation can also be constrained to stay on or off for a minimum length of time by setting a minimum
run time or minimum rest time. If it is used, once the pump turns on it must remain on the specified minimum run
time even if the reservoir pool elevation drops below the trigger elevation to turn the pump off. The only exception
is if the pool elevation drops below the intake elevation, then the pump will shut off even though the minimum run
time is not satisfied.
So HEC-HMS will check to see if the tailwater or headwater is above the intake.

12.11 Dam Break

Sometimes it is of interest to model a scenario in which there is a dam failure. Two types of dam failure can be
modeled in HEC-HMS, overtop and piping. For both types of breach methods, a trigger method, development time,
and progression method are used to define when the failure initiates, how long it takes to attain maximum breach
opening, and how the breach develops during the development time. Typically dam breaks would be modeled in
HEC-HMS only for periodic assessments. At a certain size, RAS would be more meaningful, since it includes the
ability to manage a nonlevel pool.
In order to model a dam break, the Outflow Structures routing method must be used. Only one dam break can be
included in the reservoir.

12.11.1 Trigger Method

There are three methods for triggering the initiation of the failure: elevation, duration at elevation, and specific
time. For the Elevation method, the breach will begin forming as soon as the reservoir reaches a specified
elevation. For the Duration at Elevation method, the reservoir elevation must remain at or above a specified
elevation for a specified length of time in order to initiate the breach. For the Specific Time method, the breach will
begin opening at the specified time regardless of the reservoir pool elevation.
Once the breach has been triggered, the development of the breach is determined using a selected progression
method over the development time. The development time defines the total time (in hours) for the breach to form,
from initiation to reaching the maximum breach size.

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12.11.2 Progression Method

The progression method determines how the breach grows from initiation to maximum size during the user-
specified development time. Current progression method options are: linear, sine wave, and user curve.
The Linear method causes the breach to grow in equal increments of depth and width from initiation to the end of
the development time.
The Sine Wave method causes the breach to grow quickly in the early part of breach development and more slowly
as it reaches maximum size. The speed varies over the development time according to the first quarter cycle of a
sine wave.
The User Curve method allows the modeler to specify a pattern for the breach growth by defining the relationship
between percent of the development time versus percent of the maximum breach size.

12.11.3 Overtop Dam Break Method

The overtop dam break is designed to represent failures caused by overtopping of the dam. These failures are most
common in earthen dams but may also occur in concrete arch, concrete gravity, or roller compacted dams as well.
The failure begins when appreciable amounts of water begin flowing over or around the dam face. The flowing
water will begin to erode the face of the dam.
The method begins the failure at a point on the top of the dam (or below the top) and expands it in a trapezoidal
shape until it reaches the maximum size. The maximum breach size is defined using the top and bottom elevation,
bottom width, and side slopes.
The bottom elevation defines the elevation of the bottom of the trapezoidal opening in the dam face when the
breach is fully developed. The bottom width defines the width of the bottom of the trapezoidal opening in the dam
face when the breach is fully developed.
Flow through the expanding breach is modeled using the weir flow equations:
Q=CLH3/2
(X)
where:
Q = Discharge over dam breach
C = Discharge coefficient = 1.7 or 1.35
L = bottom width of the dam breach = average side slope x head
H = Upstream energy head above dam breach
The size of the dam breach at each timestep is determined using the trigger, progression, and definition of the
maximum dam breach size. The invert elevation is changing, along with the head and the length.

12.11.4 Piping Dam Break

The piping dam break is designed to represent failures caused by piping inside the dam. These failures typically
occur only in earthen dams. The failure begins when water naturally seeping through the dam core increases in
velocity and quantity enough to begin eroding fine sediments out of the soil matrix. If enough material erodes, a
direct piping connection may be established from the reservoir water to the dam face. Once such a piping
connection is formed it is almost impossible to stop the dam from failing.
The method begins the failure at a point in the dam face and expands it as a circular opening. When the opening
reaches the top of the dam, it continues expanding as a trapezoidal shape. Flow through the circular opening is
modeled as orifice flow while in the second stage it is modeled as weir flow.
The piping elevation indicates the point in the dam where the piping failure first begins to form.
The piping coefficient is used to model flow through the piping opening as orifice flow. As such, the coefficient
represents energy losses as water moves through the opening.

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Q=KA2gH
(4)
in which Q = flow rate; K = user-specified orifice coefficient; A = the cross-sectional area of the culvert, normal to the
direction of flow; H = total energy head on outlet; and g is the gravitational constant.
Once the piping opening reaches the top of dam elevation, it transitions from pressurized piping flow to an open,
overtopping breach. Then the outflow is modeled as weir flow, using the top elevation, bottom elevation, bottom
width, left slope, and right slope to describe the trapezoidal breach opening that will be the maximum opening in
the dam.

12.12 Dam Seepage

Most dams have some water seeping through the face of the dam. The amount of seepage depends on the elevation
of water in the dam, the elevation of water in the tailwater, the integrity of the dam itself, and other factors. In some
situations, seepage from the pool through the dam and into the tailwater can be a significant source of discharge
that must be modeled. Less commonly, water in the main channel downstream may seep through the levee or dam
face and enter the pool. Both of these situations can be represented using the dam seepage structure. Only one
seepage structure can be added to any reservoir, so all sources and sinks of seepage must be represented
collectively.
It is assumed that all reservoir seepage ends up in the river downstream of the reservoir. Seepage into the reservoir
is taken from a global source and only will occur when tailwater is lower than the reservoir elevation. When water
seeps out of the reservoir, the seepage is automatically taken from the reservoir storage and added to the main
tailwater discharge location. This is the mode of seepage when the pool elevation is greater than the tailwater
elevation. Seepage into the reservoir happens when the tailwater elevation is higher than the pool elevation. In this
mode the appropriate amount of seepage is added to reservoir storage, but it is not subtracted from the tailwater.
Dam seepage is also commonly used with pump stations outside levees. One side must be declared to be tailwater.
Currently the only dam seepage method available is Tabular Seepage. This is similar to modeling an "Unknown
Spillway". The user gives two elevation-discharge curves.

12.12.1 Tabular Seepage

The tabular seepage method uses an elevation-discharge curve to represent seepage. Usually the elevation-
discharge data will be developed through a geotechnical investigation separate from the hydrologic study. A curve
may be specified for inflow seepage from the tailwater toward the pool, and a separate curve can be specified for
outflow seepage from the pool to the tailwater. The same curve may be selected for both directions if appropriate.
If a curve is not selected for one of the seepage directions, then no seepage will be calculated in that direction.
In order to determine which table to use, the pool elevation elevpool is compared to the tailwater elevation elevtw.
Positive values of the seepage head hs between the pool and tailwater indicate seepage out of the dam, as long as
the pool elevation is above a defined minimum. Negative values of hs indicate seepage from the tailwater into the
pool. Once the direction of seepage is determined, the seepage value is simply a matter of looking up the seepage
from the seepage table.
hs = elevpool – elevtw

12.13 Additional Release

In most situations a dam can be properly configured by defining outlet structures such as spillways, uncontrolled
outlets, etc. The total outflow from the reservoir can be calculated automatically using the physical properties
entered for each of the included structures. However, some reservoirs may have an additional release beyond what

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is represented by the various physical structures. In many cases this additional release is a schedule of managed
releases achieved by operating spillway gates.
Currently the only method for making an additional release is the Gage Release method. The modeler can specify
the additional releases based on a gage reading (time series of discharge). This release is subtracted from the
reservoir pool during the iterative calculation, in order to include the controlled releases the releases from the other
outlet structures are determined.

12.14 Evaporation
Water losses due to evaporation may be an important part of the water balance for a reservoir, especially in dry or
desert environments. If evaporation should be captured, the model must use the Outflow Structures routing
method(see page 158) with the elevation-area storage method. An error message will appear if you attempt to model
evaporation without using these routing and storage methods. This provides a reservoir surface area with which
evaporation can be determined. An evaporation depth is computed for each time interval and then multiplied by
the current surface area.
Currently the only evaporation option is the Monthly evaporation method. It can be used to specify a separate
evaporation rate for each month of the year, entered as a total depth for the month.
The evaporation depth at timestep , , is a function of the current month's evaporation depth
and the number of timesteps in the current month, :

For each timestep, the evaporation volume, evapVolt, is then calculated as the depth of evaporation evapDeptht,
multiplied by the current surface area, At:

12.15 References91
Bureau of Reclamation (1977). Design of small dams. U.S. Dept. of the Interior, Washington, D.C.
Soil Conservation Service (1985). Earth dams and reservoirs, Technical Release 60. USDA, Springfield, VA.
USACE (1990). Hydraulic design of spillways, EM 111021603. Office of Chief of Engineers, Washington, DC.
USACE (2013). HEC-ResSim Version 3.1 User's Manual. Hydrologic Engineering Center, Davis, CA.
USACE (2014). Using HEC-RAS for Dam Break Studies. Hydrologic Engineering Center, Davis, CA.
USACE (2015). HEC-RAS Version 5.0 Hydraulic Reference Manual. Hydrologic Engineering Center, Davis, CA.
USACE (2015). HEC-RAS User's Manual. Hydrologic Engineering Center, Davis, CA.

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13 Automatic Parameter Estimation

13.1 What is Calibration?

Each model that is included in the program has parameters. The value of each parameter must be specified to use
the model for estimating runoff or routing hydrographs. Earlier chapters identified the parameters and described
how they could be estimated from various watershed and channel properties. For example, the kinematic-wave
direct runoff model described in Chapter 6 has a parameter N that represents overland roughness; this parameter
can be estimated from knowledge of watershed land use.
However, as noted in Chapter 2, some of the models that are included have parameters that cannot be estimated by
observation or measurement of channel or watershed characteristics. The parameter Cp in the Snyder UH model is
an example; this parameter has no direct physical meaning. Likewise, the parameter x in the Muskingum routing
model cannot be measured; it is simply a weight that indicates the relative importance of upstream and
downstream flow in computing the storage in a channel reach. Equation 85 provides a method for estimating x from
channel properties, but this is only approximate and is appropriate for limited cases.
How then can the appropriate values for the parameters be selected? If rainfall and streamflow observations are
available, calibration is the answer. Calibration uses observed hydrometeorological data in a systematic search for
parameters that yield the best fit of the computed results to the observed runoff. This search is often referred to as
optimization.

13.2 Summary of the Calibration Procedure

In HEC-HMS, the systematic search for the best (optimal) parameter values follows the procedure illustrated in
Figure 45. This procedure begins with data collection. For rainfall-runoff models, the required data are rainfall and
flow time series. For routing models, observations of both inflow to and outflow from the routing reach are
required. Table 23 and Table 24 offer some tips for collecting these data.
The next step is to select initial estimates of the parameters. As with any search, the better these initial estimates
(the starting point of the search), the quicker the search will yield a solution. Tips for parameter estimation found in
previous chapters may be useful here.

Figure 50.Schematic of calibration procedure.

Given these initial estimates of the parameters, the models included in the program can be used with the observed

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boundary conditions (rainfall or upstream flow) to compute the output, either the watershed runoff hydrograph or
a channel outflow hydrograph.
At this point, the program compares the computed hydrograph to the observed hydrograph. For example, it
computes the hydrograph represented with the dashed line in Figure 46 and compares it to the observed
hydrograph represented with the solid line. The goal of this comparison is to judge how well the model "fits" the
real hydrologic system. Methods of comparison are described later in this chapter.
If the fit is not satisfactory, the program systematically adjusts the parameters and reiterates. The algorithms for
adjusting the parameters are described later in this chapter.
When the fit is satisfactory, the program will report the optimal parameter values. The presumption is that these
parameter values then can be used for runoff or routing computations that are the goal of the flood runoff analyses.
Table 25.Tips for collecting data for rainfall-runoff model calibration.

Rainfall and runoff observations must be from the same storm. The runoff time series should represent all
runoff due to the selected rainfall time series.

The rainfall data must provide adequate spatial coverage of the watershed, as these data will be used with the
methods described in Chapter 4 to compute MAP for the storm.

The volume of the runoff hydrograph should approximately equal the volume of the rainfall hyetograph. If the
runoff volume is slightly less, water is being lost to infiltration, as expected. But if the runoff volume is
significantly less, this may indicate that flow is stored in natural or engineered ponds, or that water is diverted
out of the stream. Similarly, if the runoff volume is slightly greater, baseflow is contributing to the total flow, as
expected. However, if the runoff volume is much greater, this may indicate that flow is entering the system from
other sources, or that the rainfall was not measured accurately.

The duration of the rainfall should exceed the time of concentration of the watershed to ensure that the entire
watershed upstream of the concentration point is contributing to the observed runoff.

The size of the storm selected for calibration should approximately equal the size of the storm the calibrated
model is intended to analyze. For example, if the goal is to predict runoff from a 1%-chance 24-hour storm of
depth 7 inches, data from a storm of duration approximately 24 hours and depth approximately 7 inches should
be used for calibration.

Table 26.Tips for collecting data for routing model calibration.

The upstream and downstream hydrograph time series must represent flow for the same period of time.

The volume of the upstream hydrograph should approximately equal the volume of the downstream
hydrograph, with minimum lateral inflow. The lumped routing models in HEC-HMS assume that these volumes
are equal.

The duration of the downstream hydrograph should be sufficiently long so that the total volume represented
equals the volume of the upstream hydrograph.

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The size of the event selected for calibration should approximately equal the size of the event the calibrated
model is intended to analyze. For example, if the study requires prediction of downstream flows for an event
with depths of 20 feet in a channel, historical data for a event of similar depth should be used for calibration.

Figure 51.How well does the computed hydrograph "fit"?

13.3 Goodness-of-Fit Indices

To compare a computed hydrograph to an observed hydrograph, the program computes an index of the goodness-
of-fit. Algorithms included in the program search for the model parameters that yield the best value of an index,
also known as objective function. Only one of four objective functions included in the program can be used,
depending upon the needs of the analysis. The goal of all four calibration schemes is to find reasonable parameters
that yield the minimum value of the objective function. The objective function choices (shown in Table 25) are:
• Sum of absolute errors. This objective function compares each ordinate of the computed hydrograph with
the observed, weighting each equally. The index of comparison, in this case, is the difference in the
ordinates. However, as differences may be positive or negative, a simple sum would allow positive and
negative differences to offset each other. In hydrologic modeling, both positive and negative differences are
undesirable, as overestimates and underestimates as equally undesirable. To reflect this, the function sums
the absolute differences. Thus, this function implicitly is a measure of fit of the magnitudes of the peaks,
volumes, and times of peak of the two hydrographs. If the value of this function equals zero, the fit is perfect:
all computed hydrograph ordinates equal exactly the observed values. Of course, this is seldom the case.
• Sum of squared residuals. This is a commonly-used objective function for model calibration. It too compares
all ordinates, but uses the squared differences as the measure of fit. Thus a difference of 10 m3/sec "scores"
100 times worse than a difference of 1 m3/sec. Squaring the differences also treats overestimates and
underestimates as undesirable. This function too is implicitly a measure of the comparison of the
magnitudes of the peaks, volumes, and times of peak of the two hydrographs.
Table 27.Objective functions for calibration.

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Criterion Equation

Sum of absolute errors (Stephenson, 1979)

Sum of squared residuals (Diskin and Simon, 1977)

Percent error in peak

Peak-weighted root mean square error objective function (USACE, 1998)

Note: Z = objective function; NQ = number of computed hydrograph ordinates; = observed flows; =

calculated flows, computed with a selected set of model parameters;  = observed peak; =
mean of observed flows; and = calculated peak

• Percent error in peak. This measures only the goodness-of-fit of the computed-hydrograph peak to the
observed peak. It quantifies the fit as the absolute value of the difference, expressed as a percentage, thus
treating overestimates and underestimates as equally undesirable. It does not reflect errors in volume or
peak timing. This objective function is a logical choice if the information needed for designing or planning is
limited to peak flow or peak stages. This might be the case for a floodplain management study that seeks to
limit development in areas subject to inundation, with flow and stage uniquely related.
• Peak-weighted root mean square error. This function is identical to the calibration objective function
included in computer program HEC-1 (USACE, 1998). It compares all ordinates, squaring differences, and it
weights the squared differences. The weight assigned to each ordinate is proportional to the magnitude of
the ordinate. Ordinates greater than the mean of the observed hydrograph are assigned a weight greater
than 1.00, and those smaller, a weight less than 1.00. The peak observed ordinate is assigned the maximum
weight. The sum of the weighted, squared differences is divided by the number of computed hydrograph
ordinates; thus, yielding the mean squared error. Taking the square root yields the root mean squared error.
This function is an implicit measure of comparison of the magnitudes of the peaks, volumes, and times of
peak of the two hydrographs.
In addition to the numerical measures of fit, the program also provides graphical comparisons that permit
visualization of the fit of the model to the observations of the hydrologic system. A comparison of computed
hydrographs can be displayed, much like that shown in Figure 46. In addition, the program displays a scatter plot,
as shown in Figure 47. This is a plot of the calculated value for each time step against the observed flow for the
same step. Inspection of this plot can assist in identifying model bias as a consequence of the parameters selected.
The straight line on the plot represents equality of calculated and observed flows: If plotted points fall on the line,
this indicates that the model with specified parameters has predicted exactly the observed ordinate. Points plotted
above the line represents ordinates that are over-predicted by the model. Points below represent under-
predictions. If all of the plotted values fall above the equality line, the model is biased; it always over-predicts.
Similarly, if all points fall below the line, the model has consistently under-predicted. If points fall in equal numbers

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above and below the line, this indicates that the calibrated model is no more likely to over-predict than to under-
predict.
The spread of points about the equality line also provides an indication of the fit of the model. If the spread is great,
the model does not match well with the observations – random errors in the prediction are large relative to the
magnitude of the flows. If the spread is small, the model and parameters fit better.

Figure 52.Scatter plot of optimization results.

The program also computes and plots a time series of residuals—differences between computed and observed
flows. Figure 48 is an example of this. This plot indicates how prediction errors are distributed throughout the
duration of the simulation. Inspection of the plot may help focus attention on parameters that require additional
effort for estimation. For example, if the greatest residuals are grouped at the start of a runoff event, the initial loss
parameter may have been poorly chosen.

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Figure 53.Residual plot of optimization results.

13.4 Search Methods

As noted earlier, the goal of calibration is to identify reasonable parameters that yield the best fit of computed to
observed hydrograph, as measured by one of the objective functions. This corresponds mathematically to
searching for the parameters that minimize the value of the objective function.
As shown in Figure 45, the search is a trial-and-error search. Trial parameters are selected, the models are exercised,
and the error is computed. If the error is unacceptable, the program changes the trial parameters and reiterates.
Decisions about the changes rely on the univariate gradient search algorithm or the Nelder and Mead simplex
search algorithm.

13.4.1 Univariate-Gradient Algorithm

The univariate-gradient search algorithm makes successive corrections to the parameter estimate. That is, if
represents the parameter estimate with objective function at iteration k, the search defines a new estimate
at iteration k+1 as:

in which = the correction to the parameter. The goal of the search is to select so the estimates move
toward the parameter that yields the minimum value of the objective function. One correction does not, in general,
reach the minimum value, so this equation is applied recursively.
The gradient method, as used in the program, is based upon Newton's method. Newton's method uses the
following strategy to define :
• The objective function is approximated with the following Taylor series:

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in which = the objective function at iteration k; and and = the first and second derivatives
of the objective function, respectively.
• Ideally, should be selected so is a minimum. That will be true if the derivative of is
zero. To find this, the derivative of Equation 107 is found and set to zero, ignoring the higher order terms.
That yields

This equation is rearranged and combined with Equation 106, yielding

The program uses a numerical approximation of the derivatives and at each iteration k. These are
computed as follows:
• Two alternative parameters in the neighborhood of are defined as = and = ,
and the objective function value is computed for each.
• Differences are computed, yielding = – and = –
• The derivative is approximated as , and is approximated as . Strictly speaking,
when these approximations are substituted in Equation 109, this yields the correction in Newton's
method.
As implemented in the program, the correction is modified slightly to incorporate HEC staff experience with
calibrating the models included. Specifically, the correction is computed as:

in which C is as shown in Table 26.

In addition to this modification, the program tests each value to determine if, in fact,  < . If
not, a new trial value, is defined as

If  >  , the search ends, as no improvement is indicated.

Table 28.Coefficients for correction in the univariant gradient search.

>0 —  

<0 >0 50

0 -33

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If more than a single parameter is to be found via calibration, this procedure is applied successively to each
parameter, holding all others constant. For example, if Snyder's Cp and tp are sought, Cp, is adjusted while holding
tp at the initial estimate. Then, the algorithm will adjust tp, holding Cp at its new, adjusted value. This successive
adjustment is repeated four times. Then, the algorithm evaluates the last adjustment for all parameters to identify
the parameter for which the adjustment yielded the greatest reduction in the objective function. That parameter is
adjusted, using the procedure defined here. This process continues until additional adjustments will not decrease
the objective function by at least 1%.

13.4.2 Nelder and Mead Algorithm

The Nelder and Mead algorithm searches for the optimal parameter value without using derivatives of the objective
function to guide the search. Instead this algorithm relies on a simpler direct search. In this search, parameter
estimates are selected with a strategy that uses knowledge gained in prior iterations to identify good estimates, to
reject bad estimates, and to generate better estimates from the pattern established by the good.
The Nelder and Mead search uses a simplex—a set of alternative parameter values. For a model with n parameters,
the simplex has n+1 different sets of parameters. For example, if the model has two parameters, a set of three
estimates of each of the two parameters is included in the simplex. Geometrically, the n model parameters can be
visualized as dimensions in space, the simplex as a polyhedron in the n-dimensional space, and each set of
parameters as one of the n+1 vertices of the polyhedron. In the case of the two-parameter model, then, the simplex
is a triangle in two-dimensional space, as illustrated in Figure 49.

Figure 54.Initial simplex for a 2-parameter model.

The Nelder and Mead algorithm evolves the simplex to find a vertex at which the value of the objective function is a
minimum. To do so, it uses the following operations:
• Comparison. The first step in the evolution is to find the vertex of the simplex that yields the worst (greatest)
value of the objective function and the vertex that yields the best (least) value of the objective function. In
Figure 50, these are labeled W and B, respectively.
• Reflection. The next step is to find the centroid of all vertices, excluding vertex W; this centroid is labeled C in
Figure 50. The algorithm then defines a line from W, through the centroid, and reflects a distance WC along
the line to define a new vertex R, as illustrated Figure 50.

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Figure 55.Reflection of a simplex.

• Expansion. If the parameter set represented by vertex R is better than, or as good as, the best vertex, the
algorithm further expands the simplex in the same direction, as illustrated in Figure 51. This defines an
expanded vertex, labeled E in the figure. If the expanded vertex is better than the best, the worst vertex of
the simplex is replaced with the expanded vertex. If the expanded vertex is not better than the best, the
worst vertex is replaced with the reflected vertex.

Figure 56.Expansion of a simplex.

• Contraction. If the reflected vertex is worse than the best vertex, but better than some other vertex
(excluding the worst), the simplex is contracted by replacing the worst vertex with the reflected vertex. If the
reflected vertex is not better than any other, excluding the worst, the simplex is contracted. This is
illustrated in Figure 52. To do so, the worst vertex is shifted along the line toward the centroid. If the
objective function for this contracted vertex is better, the worst vertex is replaced with this vertex.

Figure 57.Contraction of a simplex.

• Reduction. If the contracted vertex is not an improvement, the simplex is reduced by moving all vertices
toward the best vertex. This yields new vertices R1 and R2, as shown in Figure 53.

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Figure 58.Reduction of a simplex.

The Nelder and Mead search terminates when either of the following criterion is satisfied:

•
in which n = number of parameters; j = index of a vertex, c = index of centroid vertex; and  and  = objective
function values for vertices j and c, respectively.
• The number of iterations reaches 50 times the number of parameters.
The parameters represented by the best vertex when the search terminates are reported as the optimal parameter
values.

13.5 Constraints on the Search

The mathematical problem of finding the best parameters for a selected model (or models) is what systems
engineers refer to as a constrained optimization problem. That is, the range of feasible, acceptable parameters
(which systems engineers would call the decision variables) is limited. For example, a Muskingum x parameter that
is less than 0.0 or greater than 0.5 is unacceptable, no matter how good the resulting fit might be. Thus, searching
outside that range is not necessary, and any value found outside that range is not be accepted. These limits on x,
and others listed in Table 27, are incorporated in the search.
During the search with either the univariant gradient or Nelder and Mead algorithm, the program checks at each
iteration to ascertain that the trial values of the parameters are within the feasible range. If they are not, the
program increases the trial value to the minimum or decreases it to the maximum before it continues.
In addition to these inviolable constraints, the program will also consider user-specified soft constraints. These
constraints define desired limits on the parameters. For example, the default range of feasible values of constant
loss rate is 0-300 mm/hr. However, for a watershed with dense clay soils, the rate is likely to be less than 15 mm/hr—
a much greater value would be suspect. A desired range, 0-15 mm/hr, could be specified as a soft constraint. Then if
the search yields a candidate parameter outside the soft constraint range, the objective function is multiplied by a
penalty factor. This penalty factor is defined as:

in which xi = estimate of parameter i; ci = maximum or minimum value for parameter i; and n = number of
parameters. This "persuades" the search algorithm to select parameters that are nearer the soft-constraint range.
For example, if the search for uniform loss rate leads to a value of 300 mm/hr when a 15 mm/hr soft constraint was
specified, the objective function value would be multiplied by 2(300-15+1) = 572. Even if the fit was otherwise quite
good, this penalty will cause either of the search algorithms to move away from this value and towards one that is

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nearer 15 mm/hr.
Table 29.Calibration parameter constraints.

Model Parameter Minimum Maximum

Initial and constant-rate loss Initial loss 0 mm 500 mm

Constant loss rate 0 mm/hr 300 mm/hr

SCS loss Initial abstraction 0 mm 500 mm

Curve number 1 100

Green and Ampt loss Moisture deficit 0 1

Hydraulic conductivity 0 mm/mm 250 mm/mm

Wetting front suction 0 mm 1000 mm

Deficit and constant-rate loss Initial deficit 0 mm 500 mm

Maximum deficit 0 mm 500 mm

Deficit recovery factor 0.1 5

Clark's UH Time of concentration 0.1 hr 500 hr

Storage coefficient 0 hr 150 hr

Snyder's UH Lag 0.1 hr 500 hr

Cp 0.1 1.0

Kinematic wave Lag 0.1 min 30000 min

Baseflow Manning's n 0 1

Initial baseflow 0 m3/s 100000 m3/s

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Recession factor 0.000011 -

Muskingum routing K 0.1 hr 150 hr

X 0 0.5

Number of steps 1 100

Kinematic wave routing N-value factor 0.01 10

Lag routing Lag 0 min 30000 min

13.6 References10
Diskin, M.H. and Simon, E. (1977). "A procedure for the selection of objective functions for hydrologic simulation
models." Journal of Hydrology, 34, 129-149.
Stephenson, D. (1979). "Direct optimization of Muskingum routing coefficients." Journal of Hydrology, 41, 161-165.
US Army Corps of Engineers, USACE (1998). HEC-1 flood hydrograph package user's manual. Hydrologic Engineering
Center, Davis, CA.
USACE (2000). HEC-HMS hydrologic modeling system user's manual. Hydrologic Engineering Center, Davis, CA.
APPENDIX A

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14 CN Tables
The four pages in this section are reproduced from the SCS (now NRCS) report Urban hydrology for small
watersheds. This report is commonly known as TR-55. The tables provide estimates of the curve number (CN) as a
function of hydrologic soil group (HSG), cover type, treatment, hydrologic condition, antecedent runoff condition
(ARC), and impervious area in the catchment.
TR-55 provides the following guidance for use of these tables:
• Soils are classified into four HSG's (A, B, C, and D) according to their minimum infiltration rate, which is
obtained for bare soil after prolonged wetting. Appendix A \[of TR-55\] defines the four groups and provides
a list of most of the soils in the United States and their group classification. The soils in the area of interest
may be identified from a soil survey report, which can be obtained from local SCS offices or soil and water
conservation district offices.
• There are a number of methods for determining cover type. The most common are field reconnaissance,
aerial photographs, and land use maps.
• Treatment is a cover type modifier (used only in Table 2-2b) to describe the management of cultivated
agricultural lands. It includes mechanical practices, such as contouring and terracing, and management
practices, such as crop rotations and reduced or no tillage.
• Hydrologic condition indicates the effects of cover type and treatment on infiltration and runoff and is
generally estimated from density of plant and residue cover on sample areas. Good hydrologic condition
indicates that the soil usually has a low runoff potential for that specific hydrologic soil group, cover type
and treatment. Some factors to consider in estimating the effect of cover on infiltration and runoff are: (a)
canopy or density of lawns, crops, or other vegetative areas; (b) amount of year-round cover; (c) amount of
grass or close-seeded legumes in rotations; (d) percent of residue cover; and (e) degree of surface roughness.
• The index of runoff potential before a storm event is the antecedent runoff condition (ARC). The CN for the
average ARC at a site is the median value as taken from sample rainfall and runoff data. The curve numbers
in table 2-2 are for the average ARC, which is used primarily for design applications.
• The percentage of impervious area and the means of conveying runoff from impervious areas to the
drainage systems should be considered in computing CN for urban areas. An impervious area is considered
connected if runoff from it flows directly into the drainage systems. It is also considered connected if runoff
from it occurs as shallow concentrated shallow flow that runs over a pervious area and then into a drainage
system. Runoff from unconnected impervious areas is spread over a pervious area as sheet flow.

SCS TR-55 Table 2-2a – Runoff curve numbers for urban areas1

Cover description Curve numbers for hydrologic

soil group

Cover type and hydrologic condition Average percent A B C D

impervious area2

Fully developed urban areas

Open space (lawns, parks, golf courses,

cemeteries, etc.)3:

Poor condition (grass cover < 50%) . . . . . . . . . . . . . 68 79 86 89

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Fair condition (grass cover 50% to 75%) . . . . . . . . . 49 69 79 84

Good condition (grass cover > 75%) . . . . . . . . . . . . 39 61 74 80

Impervious areas:

Paved parking lots, roofs, driveways, etc. 98 98 98 98

(excluding right-of-way) . . . . . . . . . . . . . . . . . . . .

Streets and roads:

Paved; curbs and storm sewers (excluding 98 98 98 98

right-of-way) . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Paved; open ditches (including right-of-way) . . . . 83 89 92 93

Gravel (including right-of-way) . . . . . . . . . . . . . . . 76 85 89 91

Dirt (including right-of-way) . . . . . . . . . . . . . . . . . 72 82 87 89

Western desert urban areas:

Natural desert landscaping (pervious areas 63 77 85 88

only)4 . .

Artificial desert landscaping (impervious weed 96 96 96 96

barrier, desert shrub with 1- to 2-inch sand
or gravel mulch and basin borders) . . . . . . . . . . . .

Urban districts:

Commercial and business . . . . . . . . . . . . . . . . . . . . . 85 89 92 94 95

Industrial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 81 88 91 93

Residential districts by average lot size

1/8 acre or less (town houses) . . . . . . . . . . . . . . . . . . 65 77 85 90 92

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1/4 acre . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 61 75 83 87

1/3 acre . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 57 72 81 86

1/2 acre . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 54 70 80 85

1 acre . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 51 68 79 84

2 acre . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 46 65 77 82

Developing urban areas

Newly graded areas (pervious areas only, 77 86 91 94

no vegetation)5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Idle lands (CN's are determined using cover types

similar to those in table 2-2c

1
Average runoff condition, and Ia = 0.2S.
2
The average percent impervious area shown was used to develop the composite CN's. Other assumptions are as
follows: impervious areas are directly connected to the drainage system, impervious areas have a CN of 98, and
pervious areas are considered equivalent to open space in good hydrologic condition. CN's for other combinations
of conditions may be computed using figure 2-3 or 2-4.
3
CN's shown are equivalent to those of pasture. Composite CN's may be computed for other combinations of open
space cover type.
4
Composite CN's for natural desert landscaping should be computed using figures 2-3 or 2-4 based on the
impervious area percentage (CN = 98) and the pervious area CN. The pervious area CN's are assumed equivalent to
desert shrub in poor hydrologic condition.
5
Composite CN's to use for the design of temporary measures during grading and construction should be
computed using figure 2-3 or 2-4, based on the degree of development (imperviousness area percentage) and the
CN's for the newly graded pervious areas.

SCS TR-55 Table 2-2b – Runoff curve numbers for cultivated agricultural lands1

Cover description Curve numbers for hydrologic soil

group

Cover type Treatment2 Hydrologic A B C D

condition3

Fallow Bare soil - 77 86 91 94

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Crop residue cover (CR) Poor 76 85 90 93

Good 74 83 88 90

Row crops Straight row (SR) Poor 72 81 88 91

Good 67 78 85 89

SR + CR Poor 71 80 87 90

Good 64 75 82 85

Contoured (C) Poor 70 79 84 88

Good 65 75 82 86

C + CR Poor 69 78 83 87

Good 64 74 81 85

Contoured & terraced (C & Poor 66 74 80 82

T)

Good 62 71 78 81

C & T + CR Poor 65 73 79 81

Good 61 70 77 80

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Small grain SR Poor 65 76 84 88

Good 63 75 83 87

SR + CR Poor 64 75 83 86

Good 60 72 80 84

C Poor 63 74 82 85

Good 61 73 81 84

C + CR Poor 62 73 81 84

Good 60 72 80 838

C&T Poor 61 72 79 82

Good 59 70 78 81

C & T + CR Poor 60 71 78 81

Good 58 69 77 80

Close- SR Poor 66 77 85 89
seeded
or Good 58 72 81 85
broadcast
legumes or
C Poor 64 75 83 85
rotation
meadow Good 55 69 78 83

C&T Poor 63 73 80 83

Good 51 67 76 80

1
Average runoff condition, and Ia = 0.2S.
2
Crop residue cover applies only if residue is on at least 5% of the surface throughout the year.
3
Hydrologic condition is based on combination of factors that affect infiltration and runoff, including (a) density

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and canopy of vegetative areas, (b) amount of year-round cover, (c) amount of grass or close-seeded legumes in
rotations, (d) percent of residue cover on the land surface (good 20%), and (e) degree of surface roughness.
Good: Factors impair infiltration and tend to increase runoff.
Poor: Factors encourage average and better than average infiltration and tend to decrease runoff.

SCS TR-55 Table 2-2c – Runoff curve numbers for other agricultural lands1

Cover description Curve numbers

for hydrologic
soil group

Cover type and Hydr A B C D

hydrologic ologi
condition c
cond
ition

Pasture, Poor 68 7 8 8
grassland, or 9 6 9
range –
continuous

forage for Fair 49 6 7 8

graving.2 9 9 4

Goo 39 6 7 8
d 1 4 0

Meadow – 30 5 7 7
continuous grass, 8 1 8
protected from

grazing and
generally mowed
for hay.

Brush – brush- Poor 48 6 7 8

weed mixture 7 7 3
with brush

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the major Fair 35 5 7 7

element.3 6 0 7

Goo 304 4 6 7
d 8 5 3

Woods – grass Poor 57 7 8 8

combination 3 2 6
(orchard

or tree farm).5 Fair 43 6 7 8

5 6 2

Goo 32 5 7 7
d 8 2 9

Woods.6 Poor 45 6 7 8
6 7 3

Fair 36 6 7 7
0 3 9

Goo 304 5 7 7
d 5 0 7

Farmsteads – 59 7 8 8
buildings, lanes, 4 2 6
driveways,

and surrounding
lots.

1
Average runoff condition, and Ia = 0.2S.
2
Poor: <50% ground cover or heavily grazed with no mulch.
Fair: 50 to 75% ground cover and not heavily grazed.
Good: >75% ground cover and lightly or only occasionally grazed.

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3
Poor: <50% ground cover.
Fair: 50 to 75% ground cover.
Good: >75% ground cover.
4
Actual curve number is less than 30; use CN=30 for runoff computations.
5
CN's shown were computed for areas with 50% woods and 50% grass (pasture) cover. Other combinations of
conditions may be computed from the CN's for woods and pasture.
6 Poor: Forest litter, small trees, and brush are destroyed by heavy grazing or regular burning.
Fair: Woods are grazed but not burned, and some forest litter covers the soil.
Good: Woods are protected from grazing, and litter and brush adequately cover the soil.

SCS TR-55 Table 2-2d – Runoff curve numbers for arid and semiarid rangelands1

Cover description Curve numbers for

hydrologic soil group

Cover type Hydrologic condition2 A3 B C D

Herbaceous – mixture of grass, weeds, and Poor 80 87 93

low-growing brush, with brush the
minor element. Fair 71 81 89

Good 62 74 85

Oak-aspen – mountain brush mixture of Poor 66 74 79

oak brush,
aspen, mountain mahogany, bitter brush, Fair 48 57 63
maple,
and other brush
Good 30 41 48

Pinyon-juniper – pinyon, juniper, or both; Poor 75 85 89

grass understory.
Fair 58 73 80

Good 41 61 71

Sagebrush with grass understory. Poor 67 80 85

Fair 51 63 70

Good 35 47 55

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Desert shrub – major plants include Poor 63 77 85 88

saltbrush,
greasewood, creosotebush, blackbrush, Fair 55 72 81 86
bursage,
palo verde, mesquite, and cactus.
Good 49 68 79 84

1
Average runoff condition, and Ia = 0.2S.
2
Poor: <30% ground cover (litter, grass, and brush overstory).
Fair: 30 to 70% ground cover.
Good: >70% ground cover.
3
Curve numbers for group A have been developed only for desert shrub.

APPENDIX B

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15 Soil Moisture Accounting Model Details

This appendix includes additional description of features of the soil moisture accounting model.

15.1 Time Interval Selection

Models included in the program rely on the solution of differential equations to estimate watershed runoff. To solve
the equations, the models use a finite-difference approximation, as described in Chapter 6. A discrete time interval (
t) is selected for the approximation, and for this time interval, the program commonly uses the value defined by
the user in the control specifications. So, for example, if the control specification calls for a 10-minute time interval,
the curve number loss model is applied to compute infiltration for successive 10-minute intervals, and the unit
hydrograph equations are solved to compute runoff hydrograph ordinates at 10-minute intervals. For these cases,
the time interval is user-specified and is constant.
To ensure accuracy of solution of SMA model equations, the program determines and uses internally a
computational time interval. This interval may be the user-specified interval, or it may be a fraction of that value. In
either case, the program reports hydrograph ordinates at the user-specified interval. The time interval is selected as
follows:
1. HEC-HMS finds a minimum time interval for each storage volume with potential to outflow, using
procedures shown in Table 28.
2. HEC-HMS selects the minimum interval from Step 1. If the user-specified value is less, it is used instead.
3. If the time interval calculated in Step 2 is larger than one-quarter of the time required to fill the combined
available canopy, surface and soil profile storage, the interval is reduced to that value.
4. If the interval from Step 3 is greater than the precipitation data interval, the computational interval is set
equal the precipitation interval.
5. If the interval from Step 4 is greater than 12 hours, the computational interval is reduced to 12 hours. If the
interval is less than 1 minute, the interval is increased to 1 minute.
6. If the interval from Step 5 is greater than the remaining time in the user-specified interval, the
computational interval is set equal the remaining time.
7. If the interval from Step 6 is less than the remaining time in the user-specified interval, the computational
interval is adjusted so it is an even divisor of the remaining time.
8. If the remaining time less the interval found in Step 7 is less than one minute, the computational interval is
set equal to the time remaining in the user-specified interval.
The time required to fill or drain storages varies throughout the simulation period, so the program varies the
computational time interval throughout the simulation. To do so, it repeats these steps for each user-specified
interval. So, for example, during periods in which water is moving rapidly into and out of the storages in the SMA,
the program may select and use ten 1-minute computational intervals to account for soil moisture fluxes during a
10-minute user-specified interval. However, as the movement slows, the program may select a longer
computational interval—perhaps using two 5-minute computational intervals during the 10-minute user-specified
interval.
Table 30.Minimum time step for storages.

Storage Minimum Time Step

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Canopy interception storage

Calculated only if evapotranspiration losses can occur and when

the current canopy interception storage at the beginning of the
time step exceeds the nominal storage volume.

Surface interception storage

Calculated when potential evapotranspiration or infiltration

losses > 0, and CurSurfStore > 0.

Soil profile storage

Calculated when percolation or evapotranspiration can occur

from the soil profile, and CurSoilStore > 0.0001 inches.

Groundwater storage

Calculated when percolation (loss) can occur from a groundwater

layer, and the current volume in a groundwater layer > 0

Calculated when the groundwater storage volume divided by the

linear reservoir routing coefficient > 0

Precipitation intensity

 
Calculated when PrecipTimeStep > 0

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Note:
1 TimeStep = time step for storage; CurCanStore = current canopy interception storage; CurSurfStore = current
surface interception storage; CurSoilStore = current soil profile storage; MaxCanStore = maximum canopy
interception storage; MaxSurfStore = maximum surface interception storage; MaxSoilStore = maximum soil
profile storage; CurGw1Store = current groundwater storage; PotEvapTrans = potential ET; PotSoilInf =
potential infiltration; PotSoilPerc = potential percolation from soil profile; PotGw1Perc = potential percolation
from groundwater layer; RoutGw1Store = coefficient for groundwater linear reservoir model; PrecipTimeStep =
time step for specification of precipitation data.

APPENDIX C

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16 Glossary
This glossary is a collection of definitions from throughout the technical reference manual plus definitions of other
pertinent terms. Many of the definitions herein are from the electronic glossary available from the USGS internet
website at http://water.usgs.gov/wsc/wsc_glo.htm and the USBR website at http://www.usbr.gov/cdams/
glossary.html .

16.1 Term Definitions

Annual Flood
The maximum peak discharge in a water year.
Annual Flood Series
A list of annual floods.
Antecedent Conditions
Watershed conditions prevailing prior to an event; normally used to characterize basin wetness, e.g., soil moisture.
Also referred to as initial conditions.
Area-Capacity Curve
A graph showing the relation between the surface area of the water in a reservoir and the corresponding volume.
Attenuation
The reduction in the peak of a hydrograph resulting in a more broad, flat hydrograph.
Backwater
Water backed up or retarded in its course as compared with its normal or natural condition of flow. In stream
gaging, a rise in stage produced by a temporary obstruction such as ice or weeds, or by the flooding of the stream
below. The difference between the observed stage and that indicated by the stage-discharge relation, is reported as
backwater.
Bank
The margins of a channel. Banks are called right or left as viewed facing in the direction of the flow.
Bank Storage
The water absorbed into the banks of a stream channel, when the stages rise above the water table in the bank
formations, then returns to the channel as effluent seepage when the stages fall below the water table.
Bankfull Stage
Maximum stage of a stream before it overflows its banks. Bankfull stage is a hydraulic term, whereas flood stage
implies damage. See also flood stage.
Base Discharge
In the US Geological Survey's annual reports on surface-water supply, the discharge above which peak discharge
data are published. The base discharge at each station is selected so that an average of about three peaks a year
will be presented. See also partial-duration flood series.
Baseflow
The sustained or fair weather flow in a channel due to subsurface runoff. In most streams, baseflow is composed
largely of groundwater effluent. Also known as base runoff.
Basic Hydrologic Data
Includes inventories of features of land and water that vary spatially (topographic and geologic maps are
examples), and records of processes that vary with both place and time. Examples include records of precipitation,
streamflow, ground-water, and quality-of-water analyses.
Basic hydrologic information is a broader term that includes surveys of the water resources of particular areas and a
study of their physical and related economic processes, interrelations and mechanisms.
Basic-Stage Flood Series
See partial duration flood series.
Bifurcation
The point where a stream channel splits into two distinct channels.
Boundary Condition
Known or hypothetical conditions at the boundary of a problem that govern its solution. For example, when solving

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a routing problem for a given reach, an upstream boundary condition is necessary to determine condition at the
downstream boundary.
Calibration
Derivation of a set of model parameter values that produces the "best" fit to observed data.
Canopy Interception
Precipitation that falls on, and is stored in the leaf or trunk of vegetation. The term can refer to either the process or
a volume.
Channel
An naturally or artificially created open conduit that may convey water. See also watercourse.
Channel Storage
The volume of water at a given time in the channel or over the flood plain of the streams in a drainage basin or river
reach. Channel storage can be large during the progress of a flood event.
Computation Duration
The user-defined time window used in hydrologic modeling.
Computation Interval
The user-defined time step used by a hydrologic model for performing mathematical computations. For example, if
the computation interval is 15 minutes and the starting time is 1200, hydrograph ordinates will be computed at
1200, 1215, 1230, 1245, and so on.
Concentration Time
See time of concentration.
Confluence
The point at which two streams converge.
Continuous Model
A model that tracks the periods between precipitation events, as well as the events themselves. Compare event-
based model.
Correlation
The process of establishing a relation between a variable and one or more related variables. Correlation is simple if
there is only one independent variable and multiple when there is more than one independent variable. For gaging
station records, the usual variables are the short-term gaging-station record and one or more long-term gaging-
station records.
Dendritic
Channel pattern of streams with tributaries that branch to form a tree-like pattern.
Depression Storage
The volume of water contained in natural depressions in the land surface, such as puddles.
Detention Basin
Storage, such as a small unregulated reservoir, which delays the conveyance of water downstream.
Diffusion
Dissipation of the energy associated with a flood wave; results in the attenuation of the flood wave.
Direct Runoff
The runoff entering stream channels promptly after rainfall or snowmelt. Superposed on base runoff, it forms the
bulk of the hydrograph of a flood. The terms base runoff and direct runoff are time classifications of runoff. The
terms groundwater runoff and surface runoff are classifications according to source. See also surface runoff
Discharge
The volume of water that passes through a given cross-section per unit time; commonly measured in cubic feet per
second (cfs) or cubic meters per second (m3/s). Also referred to as flow.
In its simplest concept discharge means outflow; therefore, the use of this term is not restricted as to course or
location, and it can be applied to describe the flow of water from a pipe or from a drainage basin. If the discharge
occurs in some course or channel, it is correct to speak of the discharge of a canal or of a river. It is also correct to
speak of the discharge of a canal or stream into a lake, a stream, or an ocean.
Discharge data in US Geological Survey reports on surface water represent the total fluids measured. Thus, the
terms discharge, streamflow, and runoff represent water with sediment and dissolved solids. Of these terms,
discharge is the most comprehensive. The discharge of drainage basins is distinguished as follows:

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• Yield. Total water runout or crop; includes runoff plus underflow.

• Runoff. That part of water yield that appears in streams.
• Streamflow. The actual flow in streams, whether or not subject to regulation, or underflow.
Each of these terms can be reported in total volumes or time rates. The differentiation between runoff as a volume
and streamflow as a rate is not accepted. See also streamflow and runoff.
Discharge Rating Curve
See stage discharge relation.
Distribution Graph
A unit hydrograph of direct runoff modified to show the proportions of the volume of runoff that occurs during
successive equal units of time.
Diversion
The taking of water from a stream or other body of water into a canal, pipe, or other conduit.
Drainage Area
The drainage area of a stream at a specified location is that area, measured in a horizontal plane, which is enclosed
by a drainage divide.
Drainage Divide
The rim of a drainage basin. See also watershed.
Duration Curve
See flow-duration curve for one type.
ET
See evapotranspiration.
Effective Precipitation
That part of the precipitation that produces runoff. Also, a weighted average of current and antecedent
precipitation that is "effective" in correlating with runoff.
Evaporation
The process by which water is changed from the liquid or the solid state into the vapor state. In hydrology,
evaporation is vaporization and sublimation that takes place at a temperature below the boiling point. In a general
sense, evaporation is often used interchangeably with evapotranspiration or ET. See also total evaporation.
Evaporation Demand
The maximum potential evaporation generally determined using an evaporation pan. For example, if there is
sufficient water in the combination of canopy and surface storage, and in the soil profile, the actual evaporation will
equal the evaporation demand. A soil-water retention curve describes the relationship between evaporation
demand, and actual evaporation when the demand is greater than available water. See also tension zone.
Evaporation Pan
An open tank used to contain water for measuring the amount of evaporation. The US National Weather Service
class A pan is 4 feet in diameter, 10 inches deep, set up on a timber grillage so that the top rim is about 16 inches
from the ground. The water level in the pan during the course of observation is maintained between 2 and 3 inches
below the rim.
Evapotranspiration
Water withdrawn from a land area by evaporation from water surfaces and moist soils and plant transpiration.
Event-Based Model
A model that simulates some hydrologic response to a precipitation event. Compare continuous model.
Exceedance Probability
Hydrologically, the probability that an event selected at random will exceed a specified magnitude.
Excess Precipitation
The precipitation in excess of infiltration capacity, evaporation, transpiration, and other losses. Also referred to as
effective precipitation.
Excess Rainfall
The volume of rainfall available for direct runoff. It is equal to the total rainfall minus interception, depression
storage, and absorption.
Falling Limb
The portion of a hydrograph where runoff is decreasing.
Field Capacity

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The quantity of water which can be permanently retained in the soil in opposition to the downward pull of gravity.
Also known as field-moisture capacity.
Field-Moisture Deficiency
The quantity of water, which would be required to restore the soil moisture to field-moisture capacity.
Flood
An overflow or inundation that comes from a river or other body of water, and causes or threatens damage. Any
relatively high streamflow overtopping the natural or artificial banks in any reach of a stream. A relatively high flow
as measured by either gage height or discharge quantity.
Flood Crest
See flood peak.
Flood Event
See flood wave.
Flood Peak
The highest value of the stage or discharge attained by a flood; thus, peak stage or peak discharge. Flood crest has
nearly the same meaning, but since it connotes the top of the flood wave, it is properly used only in referring to
stage—thus, crest stage, but not crest discharge.
Floodplain
A strip of relatively flat land bordering a stream, built of sediment carried by the stream and dropped in the slack
water beyond the influence of the swiftest current. It is called a living flood plain if it is overflowed in times of
highwater; but a fossil flood plain if it is beyond the reach of the highest flood. The lowland that borders a river,
usually dry but subject to flooding. That land outside of a stream channel described by the perimeter of the
maximum probable flood.
Flood Profile
A graph of elevation of the water surface of a river in flood, plotted as ordinate, against distance, measured in the
downstream direction, plotted as abscissa. A flood profile may be drawn to show elevation at a given time, crests
during a particular flood, or to show stages of concordant flows.
Flood Routing
The process of progressively determining the timing and shape of a flood wave at successive points along a river.
Flood Stage
The gage height of the lowest bank of the reach in which the gage is situated. The term "lowest bank" is, however,
not to be taken to mean an unusually low place or break in the natural bank through which the water inundates an
unimportant and small area. The stage at which overflow of the natural banks of a stream begins to cause damage
in the reach in which the elevation is measured. See also bankfull stage.
Flood Wave
A distinct rise in stage culminating in a crest and followed by recession to lower stages.
Flood-Frequency Curve
A graph showing the number of times per year on the average, plotted as abscissa, that floods of magnitude,
indicated by the ordinate, are equaled or exceeded. Also, a similar graph but with recurrence intervals of floods
plotted as abscissa.
Floodway
A part of the floodplain otherwise leveed, reserved for emergency diversion of water during floods. A part of the
floodplain which, to facilitate the passage of floodwater, is kept clear of encumbrances.
The channel of a river or stream and those parts of the floodplains adjoining the channel, which are reasonably
required to carry and discharge the floodwater or floodflow of any river or stream.
Flow-Duration Curve
A cumulative frequency curve that shows the percentage of time that specified discharges are equaled or exceeded.
Gaging Station
A particular site on a stream, canal, lake, or reservoir where systematic observations of gage height or discharge are
obtained. See also stream-gaging station.
Ground Water
Water in the ground that is in the zone of saturation, from which wells, springs, and groundwater runoff are
supplied.
Groundwater Outflow

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That part of the discharge from a drainage basin that occurs through the ground water. The term "underflow" is
often used to describe the groundwater outflow that takes place in valley alluvium, instead of the surface channel,
and thus is not measured at a gaging station.
Groundwater Runoff
That part of the runoff that has passed into the ground, has become ground water, and has been discharged into a
stream channel as spring or seepage water. See also base runoff and direct runoff.
Hydraulic Radius
The flow area divided by the wetted perimeter. The wetted perimeter does not include the free surface.
Hydrograph
A graph showing stage, flow, velocity, or other property of water with respect to time.
Hydrologic Budget
An accounting of the inflow to, outflow from, and storage in, a hydrologic unit, such as a drainage basin, aquifer,
soil zone, lake, reservoir, or irrigation project.
Hydrologic Cycle
The continuous process of water movement between the oceans, atmosphere, and land.
Hydrology
The study of water; generally focuses on the distribution of water and interaction with the land surface and
underlying soils and rocks.
Hyetograph
Rainfall intensity versus time; often represented by a bar graph.
Index Precipitation
An index that can be used to adjust for bias in regional precipitation, often quantified as the expected annual
precipitation.
Infiltration
The movement of water from the land surface into the soil.
Infiltration Capacity
The maximum rate at which the soil, when in a given condition, can absorb falling rain or melting snow.
Infiltration Index
An average rate of infiltration, in inches per hour, equal to the average rate of rainfall such that the volume of rain
fall at greater rates equals the total direct runoff.
Inflection Point
Generally refers the point on a hydrograph separating the falling limb from the recession curve; any point on the
hydrograph where the curve changes concavity.
Initial Conditions
The conditions prevailing prior to an event. See also to antecedent conditions.
Interception
The capture of precipitation above the ground surface, for example by vegetation or buildings.
Isohyet
Lines of equal rainfall intensity.
Isohyetal Line
A line drawn on a map or chart joining points that receive the same amount of precipitation.
Lag
Variously defined as time from beginning (or center of mass) of rainfall to peak (or center of mass) of runoff.
Lag Time
The time from the center of mass of excess rainfall to the hydrograph peak. Also referred to as basin lag.
Loss
The difference between the volume of rainfall and the volume of runoff. Losses include water absorbed by
infiltration, water stored in surface depressions, and water intercepted by vegetation.
Mass Curve
A graph of the cumulative values of a hydrologic quantity (such as precipitation or runoff), generally as ordinate,
plotted against time or date as abscissa. See also double-mass curve and residual-mass curve.
Maximum Probable Flood
See probable maximum flood.

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Meander
The winding of a stream channel.
Model
A physical or mathematical representation of a process that can be used to predict some aspect of the process.
Moisture
Water diffused in the atmosphere or the ground.
Objective Function
A mathematical expression that allows comparison between a calculated result and a specified goal. In the
program, the objective function correlates calculated discharge with observed discharge. The value of the objective
function is the basis for calibrating model parameters.
Overland Flow
The flow of rainwater or snowmelt over the land surface toward stream channels. After it enters a stream, it
becomes runoff.
Parameter
A variable, in a general model, whose value is adjusted to make the model specific to a given situation. A numerical
measure of the properties of the real-world system.
Parameter Estimation
The selection of a parameter value based on the results of analysis and/or engineering judgement. Analysis
techniques include calibration, regional analysis, estimating equations, and physically based methods. See also
calibration.
Partial-Duration Flood Series
A list of all flood peaks that exceed a chosen base stage or discharge, regardless of the number of peaks occurring in
a year. Also called floods above a base. See also basic-stage flood series.
Peak
The highest elevation reached by a flood wave. Also referred to as the crest.
Peak Flow
The point of the hydrograph that has the highest flow.
Peakedness
Describes the rate of rise and fall of a hydrograph.
Percolation
The movement, under hydrostatic pressure, of water through the interstices of a rock or soil.
Precipitation
As used in hydrology, precipitation is the discharge of water, in liquid or solid state, out of the atmosphere,
generally upon a land or water surface. It is the common process by which atmospheric water becomes surface or
subsurface water. The term precipitation is also commonly used to designate the quantity of water that is
precipitated. Precipitation includes rainfall, snow, hail, and sleet, and is therefore a more general term than rainfall.
Probable Maximum Flood
The largest flood for which there is any reasonable expectancy in this climatic era.
Probable Maximum Precipitation
The largest precipitation for which there is any reasonable expectancy in this climatic era.
Rain
Liquid precipitation.
Rainfall
The quantity of water that falls as rain only. Not synonymous with precipitation.
Rainfall Excess
See excess rainfall.
Rating Curve
The relationship between stage and discharge.
Reach
A segment of a stream channel.
Recession Curve
The portion of the hydrograph where runoff is predominantly produced from basin storage (subsurface and small
land depressions); it is separated from the falling limb of the hydrograph by an inflection point.

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Recurrence Interval
The average interval of time within which the given flood will be equaled or exceeded once. When the recurrence
interval is expressed in years, it is the reciprocal of the annual exceedance probability.
Regulation
The artificial manipulation of the flow of a stream.
Reservoir
A pond, lake, or basin, either natural or artificial, for the storage, regulation, and control of water.
Residual-Mass Curve
A graph of the cumulative departures from a given reference such as the arithmetic average, generally as ordinate,
plotted against time or date, as abscissa. See also mass curve.
Retention Basin
Similar to detention basin but water in storage is permanently obstructed from flowing downstream.
Return Period
See recurrence interval.
Rising Limb
Portion of the hydrograph where runoff is increasing.
Runoff
That part of the precipitation that appears in surface streams. It is the same as streamflow unaffected by artificial
diversions, storage, or other works of man in or on the stream channels.
Saturation Zone
The portion of the soil profile where available water storage is completely filled. The boundary between the vadose
zone and the saturation zone is called the water table. Note, that under certain periods of infiltration, the
uppermost layers of the soil profile can be saturated. See vadose zone.
SCS Curve Number
An empirically derived relationship between location, soil-type, land use, antecedent moisture conditions and
runoff. A SCS curve number is used in many event-based models to establish the initial soil moisture condition, and
the infiltration characteristics.
Snow
A form of precipitation composed of ice crystals.
Soil Moisture Accounting
A modeling process that accounts for continuous fluxes to and from the soil profile. Models can be event-based or
continuous. When using a continuous simulation, a soil moisture accounting method is used to account for changes
in soil moisture between precipitation events.
Soil Moisture
Water diffused in the soil, the upper part of the zone of aeration from which water is discharged by the transpiration
of plants or by soil evaporation. See also field-moisture capacity and field-moisture deficiency.
Soil Profile
A description of the uppermost layers of the ground down to bedrock. In a hydrologic context, the portion of the
ground subject to infiltration, evaporation and percolation fluxes.
Soil Water
See soil moisture.
Stage
The height of a water surface in relation to a datum.
Stage-Capacity Curve
A graph showing the relation between the surface elevation of the water in a reservoir usually plotted as ordinate,
against the volume below that elevation plotted as abscissa.
Stage-Discharge Curve
A graph showing the relation between the water height, usually plotted as ordinate, and the amount of water
flowing in a channel, expressed as volume per unit of time, plotted as abscissa. See also rating curve.
Stage-Discharge Relation
The relation expressed by the stage-discharge curve.
Stemflow
Rainfall or snowmelt led to the ground down the trunks or stems of plants.

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Storage
Water artificially or naturally impounded in surface or underground reservoirs. The term regulation refers to the
action of this storage in modifying downstream streamflow.
Also, water naturally detained in a drainage basin, such as ground water, channel storage, and depression storage.
The term drainage basin storage or simply basin storage is sometimes used to refer collectively to the amount of
water in natural storage in a drainage basin.
Storm
A disturbance of the ordinary average conditions of the atmosphere which, unless specifically qualified, may
include any or all meteorological disturbances, such as wind, rain, snow, hail, or thunder.
Stream
A general term for a body of flowing water. In hydrology the term is generally applied to the water flowing in a
natural channel as distinct from a canal. More generally as in the term stream gaging, it is applied to the water
flowing in any channel, natural or artificial.
Stream Gaging
The process and art of measuring the depths, areas, velocities, and rates of flow in natural or artificial channels.
Streamflow
The discharge that occurs in a natural channel. Although the term discharge can be applied to the flow of a canal,
the word streamflow uniquely describes the discharge in a surface stream course. The term streamflow is more
general than runoff, as streamflow may be applied to discharge whether or not it is affected by diversion or
regulation.
Stream-Gaging Station
A gaging station where a record of discharge of a stream is obtained. Within the US Geological Survey this term is
used only for those gaging stations where a continuous record of discharge is obtained.
Sublimation
The process of transformation directly between a solid and a gas.
Surface Runoff
That part of the runoff that travels over the soil surface to the nearest stream channel. It is also defined as that part
of the runoff of a drainage basin that has not passed beneath the surface since precipitation. The term is misused
when applied in the sense of direct runoff. See also runoff, overland flow, direct runoff, groundwater runoff, and
surface water.
Surface Water
Water on the surface of the earth.
Tension Zone
In the context of the program, the portion of the soil profile that will lose water only to evapotranspiration. This
designation allows modeling water held in the interstices of the soil. See also soil profile.
Time of Concentration
The travel time from the hydraulically furthermost point in a watershed to the outlet. Also defined as the time from
the end of rainfall excess to the inflection point on the recession curve.
Time of Rise
The time from the start of rainfall excess to the peak of the hydrograph.
Time to Peak
The time from the center of mass of the rainfall excess to the peak of the hydrograph. See also to lag time.
Total Evaporation
The sum of water lost from a given land area during any specific time by transpiration from vegetation and building
of plant tissue; by evaporation from water surfaces, moist soil, and snow; and by interception. It has been variously
termed evaporation, evaporation from land areas, evapotranspiration, total loss, water losses, and fly off.
Transpiration
The quantity of water absorbed and transpired and used directly in the building of plant tissue, in a specified time.
It does not include soil evaporation. The process by which water vapor escapes from the living plant, principally the
leaves, and enters the atmosphere.
Underflow
The downstream flow of water through the permeable deposits that underlie a stream and that are more or less
limited by rocks of low permeability.

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Unit Hydrograph
A direct runoff hydrograph produced by one unit of excess precipitation over a specified duration. For example, a
one-hour unit hydrograph is the direct runoff from one unit of excess precipitation occurring uniformly over one
hour.
Vadose Zone
The portion of the soil profile above the saturation zone.
Water Year
In US Geological Survey reports dealing with surface-water supply, the 12-month period, October 1 through
September 30. The water year is designated by the calendar year in which it ends and which includes 9 of the 12
months. Thus, the year ended September 30, 1959, is called the 1959 water year.
Watercourse
An open conduit either naturally or artificially created which periodically or continuously contains moving water, or
which forms a connecting link between two bodies of water. River, creek, run, branch, anabranch, and tributary are
some of the terms used to describe natural channels. Natural channels may be single or braided. Canal and
floodway are terms used to describe artificial channels.
Watershed
An area characterized by all direct runoff being conveyed to the same outlet. Similar terms include basin, drainage
basin, catchment, and catch basin.
A part of the surface of the earth that is occupied by a drainage system, which consists of a surface stream or a body
of impounded surface water together with all tributary surface streams and bodies of impounded surface water.
INDEX
algorithm, 8
annual exceedance probability (AEP), 25
application, 8
attenuation, 57
backwater, 88
baseflow model
recession, 72
threshold, 73
bifurcation model
concepts, 91
limitations, 92
setup, 92
calibration
constraints, 104
definition, 94
objective function, 97
plots, 98
procedure, 94
search methods, 100
channel-flow models
approximations, 75
concepts, 74
equation solution methods, 76
parameters, 76
Clark UH
concepts, 57
parameters, 58
storage coefficient, 58
time-area histogram, 58
confluence model
concepts, 90
limitations, 91

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setup, 91
constant monthly baseflow model
concepts, 70
parameters, 72
deficit and constant loss rate model, 37
design flood
concepts, 24
design storm
alternating block temporal distribution, 27
area correction factor, 26
concepts, 24
depths, 26
duration, 31
frequency based, 25
selection, 31
standard project (SPS), 28
user-specified, 30
detention model. see reservoir model
diversion model
concepts, 107
limitations, 109
return flow, 108
setup, 108
evaporation, 32
floodplain storage, 88
geographic information system (GIS), 60
green and ampt loss rate model
concepts, 39
parameters, 39
HEC-1, 1
HEC-2, 76, 78
HEC-DSS, 9
HEC-HMS
application, 14
graphical user interface (GUI), 15
models included, 12
on-line help, 2
overview, 1
setup, 14
user's manual, 2
web-site address, 2
HEC-IFH, 37
HEC-RAS, 76, 78
hypothetical-storm
SCS, 30
impervious surface, 35
infiltration, 35
information
flood-runoff, 4
initial and constant loss rate model
concepts, 36
parameters, 36
initial condition, 7

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kinematic wave model

channel flow, 62, 84
concepts, 60
overland flow, 61
setup, 66
solution of equations, 63
lag model
concepts, 83
parameters, 84
linear reservoir baseflow model
concepts, 72
parameters, 73
loss, 35
mean areal precipitation (MAP)
arithmetic mean, 18
inverse-distance squared method, 20
isohyetal, 18
temporal distribution, 19
Thiessen polygon, 18
ModClark model
concepts, 59
setup, 60
model
categories of mathematical, 5
constituents of, 6
forms of, 4
primer, 4
modified Puls model
concepts, 77
parameters, 79
storage-outflow relationship, 78
Muskingum model
concepts, 80
parameters, 81
Muskingum-Cunge model
concepts
parameters, 87
networks, 89
precipitation
design, 24
historical, 16
measurement, 16
minimum number of raingages, 22
radar, 21
runoff computation requirements, 17
radar
HRAP grid, 23
NEXRAD Information Dissemination Service, 23
Stage 3, 24
use with HEC-HMS, 24
WSR-88D, 23
Z-R relationship, 23
recession baseflow model

Glossary –  208
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concepts, 70
parameters, 72
reservoir model
concepts, 110
limitations, 113
setup, 111
storage-outflow relationship, 111
roughness coefficient
channel, 56
overland, 56
runoff process
components of, 10
representation of, 11
SCS CN loss rate model
composite CN, 38
concepts, 37
gridded, 38
parameters, 38
SCS UH
basin lag, 55
concepts, 55
parameters, 55
SMA loss rate model
concepts, 40
flow component, 43
parameters, 46
storage component, 41
Snyder UH
basin lag, 53
concepts, 53
parameters, 54
peaking coefficient, 53
standard hydrologic grid (SHG), 24, 60
standard project storm (SPS)
concept, 28
index rainfall, 28
temporal distribution, 29
transposition coefficient, 28
state variable, 7
subcritical and supercritical flow, 89
time of concentration, 56
translation, 57
transpiration, 32
UNET, 91, 92, 109, 113
unit hydrograph
concepts, 50
unit hydrograph (UH)
assumption of linearity, 51
assumption of time-invariance, 51
convolution, 50
of different duration, 51
parametric, 52

Glossary –  209
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synthetic, 52
user-specified, 51

Glossary –  210