Unite 1 Basic Principle of watershed management

1. Definition, Importance, basic watershed processes and their interrelated

nature
1.1. Definition of watershed
There may be several definitions of watershed. Few are
1. Watershed is an area which contribute runoff to a single outlet.
2. It may be defined as an area surrounded by a ridge line.
3. It may also be defined as the area which drain its excess rainfall to a stream.
4. The area which drain its runoff to any Stream or river is called the watershed area
of that stream or river. Basin, drainage area & catchment are the synonyms of
watershed. Watershed is a topographically delineated area drained by a stream system
i.e. the total land area above some point on a stream or river that drains down slope to
the lowest point. Watershed may also be defined as a natural unit of land which
collects water and drains through a common point called an outlet by a system of
drains. Therefore, watershed is the area encompassing the catchments, command and
delta area of a stream. The top most portion of the watershed is known as "ridge" and
a line joining the ridge portion along the boundary of the watershed is called as
"ridgeline".

1.2. Importance of watershed

 It recharges the groundwater table.

 Restores soil fertility and helps in soil conservation
 Restores water for drinking and other human purposes.
 It helps to fight climate change and promotes sustainable agriculture.
 Protects biodiversity of a region, if managed properly can restore biodiversity

1.3. Watershed processes and their interrelated nature

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. 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 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.
1.3.1. Natural Processes at Work in the Watershed
Importantly, no matter where we live or work, we are in a watershed teeming with
unique, inter- related natural processes. These natural forces help shape the watershed
landscape, its water quality, and in turn our lives. In mountain upland areas, there are
unique blends of climate, geology, hydrology, soils and vegetation shaping the
landscape, with waterways often cutting down steep slopes. In the coastal area where
oceans meet land, there are again different blends of features and processes shaping
the environment. In lowland areas between upland and coastal waters, where tidal
wetlands are prevalent, processes serve entirely different functions. In other words,
each watershed indeed each watershed zone has unique living and nonliving
components that interact, with one element responding to the action or change of
another. Knowing your watershed means coming to learn the natural processes
working within the watershed boundaries. Once you better understand these
processes, you can better appreciate how the watershed’s ecological processes help
sustain life.Some natural processes or forces provide benefits to some parts of the
watershed while impacting others at least in the short term. For example, floods
replenish soils in the flood plain, but people and other living organisms may be
impacted.
1.3.2. Human Factors at Work in the watershed
Working with your watershed also means understanding how most human activities in
the watershed can occur in harmony with natural processes. Communities located
along streams and rivers, for example, are faced with very basic choices: they can
learn how the river functions and learn to draw benefits from it while staying out of
harm’s way or, they can try to significantly change the river’s behavior in order to
accomplish their plans. It may be feasible to change the way a river acts, but this
usually means taking on costly and never-ending maintenance of those man-made
changes; and despite all the maintenance, communities may remain still vulnerable to
floods and other disasters. In contrast, a community that has made sensible decisions
on activities near the river can avoid a costly maintenance burden while sustaining
their community’s use and enjoyment of a healthy river system. These human forces
interact with the natural forces to directly shape the condition of the land and water.
For example,
• increasing impervious surfaces in the urban areas leads to increased water and
contaminant runoff; removing vegetation along drainage areas and increased
stormflows lead to erosion of soils which can change the landscape to more arid
conditions;
• increasing the velocity of the water and contaminants it contains can be lethal to
living things
• or it can create health hazards, reducing our quality of life.

2. Aims and principles of Watershed management

2.1. Watershed management
Watershed management is the process of guiding and organizing use of land and other
resources in the watershed to provide desired goods and services without adversely
affecting soil, water and other natural resources.Watershed management in the
broader sense means maintaining the equilibrium between elements of natural eco-
system or vegetation, land or water on the one hand and human activities on the other
hand.
2.2. Aim of Watershed Management
The basic objective of watershed management is to overcome the problems of land
and water use based on interdependence of all the resources and therefore must be
considered together. The watershed ultimately aims, at improving standard of living
of common man in the basin by increasing his earning capacity, by providing facilities
such as electricity; water for irrigation and drinking water supply, freedom from fear
of floods and droughts etc. Watershed management aims at efficient utilization of the
entire resources namely soil, water, crop including plantation, livestock, fishery and
human population etc for sustained prosperity of the watersheds.
This include:
• controls floods, erosion and sedimentation;
• enhances productivity per unit area, per unit time and per unit of water;
• increases cropping intensity;
• leads to proper utilization of waste lands through alternate land use systems;
• ensures ecological balance;
• maximizes income through integrated farming system; and
• stabilizes income even under unfavourable weather conditions.
2.3. Principles of watershed management:
Based on successful watershed management efforts like these across the country, this
tutorial presents four core principles of watershed management:
1. Watersheds are natural systems that we can work with.
2. Watershed management is continuous and needs a multi-disciplinary approach.
3. A watershed management framework supports partnering, using sound science,
taking well-planned actions and achieving results.
4. A flexible approach is always needed.

3. Watershed management framework

The same is true for designing a watershed management framework. A strong
watershed framework
• Uses sound science
• Facilitates communication and partnerships
• Fosters actions that are well- planned and cost effective
• stimulates actions and tracks results
3.1. Elements of successful watershed management frameworks
In looking at watershed management efforts across the country, there are three
common elements of successful watershed management frameworks. Management
cycle, stake holder involvement and geographic management unit. geographic
management units are the watersheds themselves. Partners agree upon a common set
of units (i.e., watersheds) to provide a functional, practical basis for integrating
efforts. Stakeholders involvmnt are involved throughout the process, with clearly
defined roles and responsibilities. When we say stakeholder we mean anyone who can
impact or is impacted by a decision in the watershed. There are two general categories
of stakeholders: first, there are those people who work together on a daily or weekly
basis. We call these people watershed partners. Then there are some citizens who live
and work in the watershed who just want to be consulted and to provide input
periodically. Partners agree on a management cycle, including activities they will
work on together and a fixed time schedule for sequencing these activities.
Importantly, the cycle signals that watershed management is a never ending job.
Nine essential elements are recommended for a unifying watershed management
framework: (1) geographic management units, (2) stakeholder involvement, (3) a
basin management cycle, (4) strategic monitoring, (5) basin assessment, (6) a priority
ranking and resource targeting system, (7) capability for developing management
strategies, (8) management plan documentation, and (9) implementation
4. Watershed management approach
Watershed management approaches are evolving throughout the country and are
being used to solve tough problems. On the following pages are 6 examples of
successful watershed management cases.
1. Public and private partners collaborate to build watershed toolbox to aid
management decision-making
2. Restoring multiple river corridor values and uses by choosing most cost- effective
strategies
3. Looking at best use of land throughout watershed, local governments meet multiple
objectives
4. Innovative, cost-effective solutions through partnerships and leveraging
5. corporate community takes the lead in ecological restoration
6. Improved database to support decision making
4.1. Benefits of a Watershed management Approach
Now take a few minutes to think about how operating with these principles could
benefit your watershed management efforts and make your responsibilities easier.
Here are some benefits others have found who have used the watershed approach:
1. It provides a context for integration
• using practical, tangible management units that people understand
• focusing and coordinating efforts
• finding common ground and meeting multiple needs
2. It provides a better understanding and appreciation of nature
• understanding nature’s interrelated processes
• helping answer the question, “What are we trying to protect?”
• linking human activities to nature’s response
• appreciating how nature’s processes can benefit people
• identifying ways we can work with watershed processes
3. It yields better management
• generating ecologically-based, innovative, cost-effective solutions
• forging stronger working relationships
• supporting consistent, continuous management

SELF CHECK
Self Test for Principles of Watershed Management
I. Check the appropriate response to each question below.
1. The four core principles of watershed management. Which of the following is not
one?
A. Watershed management is continuous and needs a multidisciplinary approach
B. A watershed management framework supports partnering, using sound science,
taking well- planned actions and achieving results
C. Watersheds are natural systems that we can work with
D. Watersheds are a type of building for storing bottled water
2. Which of the following statements are true with regard to delineating a watershed:
A. A watershed is the land that water flows across or through on its way to a common
stream, river, or lake
B. The size of a watershed can be very large or very small depending on the location
of its outlet
C. A small watershed that rests within a larger watershed is sometimes called a sub
watershed D. All of the above
3. As described in the module, the three natural watershed management zones are:
A. Lake, river, and stream B. Head water, confluence, and outlet
C. Water body, riparian, and upland D. None of the above
5. Natural processes at work in a watershed can provide which of the following
benefits:
A. Habitat for fish and other life
B. Drinking water for people and other living organisms
C. Assimilation of contaminants
D. All the above
5. Which of the following human actions affect the health and condition of a
watershed:
A. Increasing impervious surfaces through building roads, houses, and parking lots
B. Removing vegetation along drainage ways and streams
C. Straightening stream channels and piping stormwater directly into waterways
D. All of the above
6. s defined in the module, a watershed management framework is:
A. A lasting process for partners working together
B. A structure made of agreed upon standard operating procedures, timelines, and
forums for
communicating with each other
C. A plan that describes environmental problems and outlines specific restoration
actions
D. Both A and B above
II. Describe the following
1) Define watershed
2) List two principles of watershed management programme
3) List any two objectives of watershed management. ?
Unite 2 Watersheds Geomorphology
2. Identify boundary of the watershed (Delineation)
2.1. Watershed Boundary
Watershed boundary is defined by topographic divides and delineates areas where
surface-water runoff drains into a common surface-water body, such as a lake or
section of a stream.Watershed boundaries always follow the highest ridgeline around
the stream channels and meet at the bottom or lowest point of the land where water
flows out of the watershed.
2.2. Delineation of Watershed
Hydrologically, watershed is an area from which the runoff flows to a common point
on the drainage system. Every stream, tributary, or river has an associated watershed,
and small watersheds aggregate together to become larger watersheds. Water travels
from head water to the downward location and meets with similar strength of stream,
then it forms one order higher stream. The stream order is a measure of the degree of
stream branching within a watershed. Each length of stream is indicated by its order
(for example, first-order, second- order, etc.). The start or headwaters of a stream,
with no other streams flowing into it, is called the first-order stream. First-order
streams flow together to form a second-order stream. Second-order streams flow into
a third-order stream and so on. Stream order describes the relative location of the
reach in the watershed. Identifying stream order is useful to understand amount of
water availability in reach and its quality; and also used as criteria to divide larger
watershed into smaller unit. Moreover, criteria for selecting watershed size also
depend on the objectives of the development and terrain slope. A large watershed can
be managed in plain valley areas or where forest or pasture development is the main
objective (Singh, 2000). In hilly areas or where intensive agriculture development is
planned, the size of watershed relatively preferred is small.

Watershed geomorphology refers to the study of the characteristics, configuration and

evolution of land forms and properties. It comprises of the characteristics of land
surface as well as the characteristics of the channels within the watershed/basin
boundary. These properties of watersheds significantly affect the characteristics of
runoff and other hydrological processes. The geomorphological attributes of
watersheds often provide valuable insight into their hydrological behaviour and can
be used to develop design hydrologic models.The quantification of these
geomorphologic properties of watershed are important for estimating the watershed
hydrologic processes. The morphological Characteristics of watershed may Broadly
be classified as:
1. Linear aspects (one dimensional)
Linear aspects are one dimensional properties of watershed. Linear aspects of
watershed is concerned with the streams and its network. In general, these are one
dimensional property. The important characteristics are watershed length& width,
stream order, stream number, bifurcation ratio &stream length ratio.
1.1 Watershed Length Lb&Width Lw:
Watershed length has been defined in several ways however the most appropriate may
be as the longest straight length parallel to main stream of watershed and watershed
width may be measurement perpendicular to the direction of watershed length.
1.2 Watershed Perimeter (Pp):
Watershed perimeter is the outer boundary of the watershed that enclosed its area. It is
measured along the divides between watersheds. It is the indicator of watershed size
and shape.
1.3 Stream Order:
There are two systems of stream order. First Strahler stream order and second Shreve
stream order. The Strahler (1952) system of stream order is more popular due to its
simplicity. In this system smallest, un branched fingertip streams are designated as
first order stream. Two first order streams join and form larger second order stream.
Two second order streams join and form further larger third order stream and so on.
Small streams entering a higher order stream do not change its order number.
1.4 Stream Number Nu:
The number of segments of a particular order is counted and expressed as number of
that particular order. It is related to bifurcation ratio.
1.5 Bifurcation Ratio (Rb):
The bifurcation ratio expresses the branching pattern of the stream network and is a
measure of drainage density. The numerical value is in general more than 1. It is
defined as the ratio of number of streams of a particular order (Nu) to number of
streams of next higher order (Nu+i). Rb = Nu / Nu+1
1.6 Stream Length Lu:
Stream length is an important morphological property and is used to determine
drainage density. It is the length of stream / channel of each order. The total length of
any particular stream order is the length of that stream order. The mean length of
stream of each higher order increases in geometric sequence. The mean length of first
order stream is shorter than second order stream. Similarly, the mean length of second
order stream is shorter than third order stream and so on.
1.7 Stream Length Ratio (RL)
It is defined as the ratio of mean stream length (Lu) of a particular stream order to
mean stream length of the next lower order (Lu-1). Thus RL = Lu / Lu-1

2. Areal aspects (two dimensional)

Areal aspects are two dimensional properties of watershed. Areal aspects of watershed
include the description of areal elements such as watershed area, Watershed slope.
watershed shape, watershed perimeter, drainage density, stream frequency, is
reflected by some parameters such as shape factor,form factor, elongation ratio,
circulatory ratio and compactness coefficient. In general, these are two dimensional
properties.
2.1 Watershed Area (Aw):
Drainage area, basin area and catchment area are the synonyms of watershed
area. It is the area surrounded by the ridge line / divide of that watershed. It can be
expressed in m2, hectares or Km2. It is an important morphological feature as the
amount of runoff is influenced by it. Watershed area is having two components stream
area and inter basin area. The stream area discharges its runoff to stream order
number 1 but inter basin area discharge its runoff directly to the stream order higher
than 1.
2.2 Watershed Shape:
Watershed may have several shapes. Broadly we may consider fan shaped (circular)
and fern shaped (elliptical) watershed. Shape is closely related to contribution of
runoff to outlet. In fan shaped watershed the runoff from various parts accumulate to
outlet at almost same time thus magnitude of peak runoff is high. In fern shaped
watershed the runoff from various parts reach gradually to outlet thus magnitude of
runoff is lower as compare to fan shaped watershed. The watershed shape is reflected
by number of parameters like form factor, shape factor, circulatory ratio, elongation
ratio and compactness coefficient.
2.3 Form Factor (Rf):
It is defined as the ratio between watershed area (Aw)and the square of watershed
length (Lw). It is a dimensionless number and will always be less than1. For a
perfectly fan shaped (circular) watershed the numerical value of form factor will be
0.786. Fern shaped watershed has value smaller than 0.786. Smaller numerical value
of form factor indicates the more elongation of watershed. Form Factor Rf= Aw /
(Lw)2
2.4 Shape Factor
It is defined as the ratio between watershed area (Aw) and the square of main flow
path. It is a dimensionless number and will always be less than 1.
2.5 Elongation Ratio (Re):
Elongation ratio is defined as the ratio of diameter of a circle of the same area as the
watershed to the maximum watershed length. The numerical value varies from 0 (in
highly elongated shape) to 1 (in circular shape).
These values can be grouped as,
Elongation ratio Shape of watershed
< 0.7 Elongated
0.8-0.7 Less elongated
0.9-0.8 Oval
> 0.9 Circular
2.6 Circularity Ratio (Rc)
Circulatory ratio is defined as the ratio of watershed area to the area of the circle
having the same perimeter as the watershed perimeter. The numeric value may vary in
between 0 (in line)and1 (in a circle). In general most of the watersheds have values
from 0.2 to 0.8.
2.7 Compactness Coefficient
Compactness coefficient is defined as the ratio of the watershed perimeter to the
circumference of equivalent circular area.
2.8 Stream Frequency (Fs):
Stream frequency is defined as the number of stream segments per unit area
2.9 Drainage Density (Dd):
Drainage density is defined as total length of all streams per unit area of watershed..
Relief aspects: Relief aspects are three dimensional properties of watershed.

3. Relief aspects(three dimensional)

Relief aspect is related to elevation difference between reference points in watershed.
In general, these are three dimensional properties. Few important characteristics are
watershed relief, relative relief, channel slope, law of stream slope & ruggedness
number.
3.1 Watershed Slope (Sw):
It is very important property as it affects the velocity, momentum of runoff and
erosion potential of watershed. It also affects the ground water recharge. It is the rate
of elevation difference along the principal flow path. It is calculated as the elevation
difference between the two end points of the main flow path divided by its length. Sw
= hf / Lf Where Sw is the slope of watershed in m/m, hf is the elevation difference
between upper and lower points of main flow path in m, and Lf is the length of main
flow path in m.
3.2 Watershed Relief (H):
Watershed relief is the elevation difference between highest and lowest points of
valley floor.
3.3 Relief Ratio (Rh):
Relief ratio is defined as the ratio between watershed relief and the longest dimension
of the watershed parallel to the main flow path. High numeric value of relief ratio
indicates the steep slope and vice-versa.

Unite 3 Watershed hydrology

3.1. The Hydrologic Cycle; Precipitation forms and spatial- temporal
distribution and intensity

The hydrologic cycle generally describes the circulation of water from the ocean to
the atmosphere to the earth’s surface and back to the ocean again. Solar energy
evaporates water from the ocean; wind carries the water vapor over the land surface;
and water is precipitated by gravity back to earth. Rain is the common form of
precipitation, but hail, dew, fog drip, and frost can also bring water into a watershed.
It refers to the continuous circulation of water within the earth’s hydro-sphere. Water
moves into and from the various sources on, over and below the earth, with the total
mass of water remaining fairly constant. The water cycle is highly crucial to maintain
the life on earth, as it replenishes the world’s freshwater resources and moderates
extremes in climate. The physical processes involved in hydrologic cycle are
Evaporation Condensation Precipitation Transpiration, Interception,
Infiltration, Percolation and The runoff

Precipitation
Precipitation is the process by which all forms of water reach back to earth from the
atmosphere. Precipitation occurs in the form of rainfall, frost, hail, and dew. Among
all, rainfall and snowfall contribute a significant amount of water. In water resource
study, precipitation is commonly considered as rainfall, as it is one of the major
sources of water coming to earth.

Forms of Precipitation
Precipitation occurs in many forms e.g. drizzle, rain, glaze, sleet, snow, hail, dew and
frost, depending upon the causes and temperature at the time of formation. Dew is
condensation on the ground of atmospheric vapor caused by radiational cooling of the
lower layers of atmosphere, usually at night. Frost is dew formed under freezing
conditions. Dew and frost are quantitatively unimportant and rarely measured.

1. Drizzle: Drop size < 0.5 mm in diameter and intensity is usually < 1 mm/hr
and generally occurs in conjunction with warm frontal lifting. Drizzle is a fine
sprinkle of tiny water droplets of size less than 0.5mm and intensity greater
than 1mm/h. The tiny drops forming a drizzle appear to float in the air.
2. Rain: Drop size is between 0.5 to 6 mm in dia. Drops bigger than 6 mm tend
to break up as they fell. It is formed by condensation and coalescence of cloud
droplets at temperatures above the freezing point.
3. Glaze: It is the ice coating formed when drizzle or rain freezes as it comes in
contact with cold objects on the ground.The glaze is formed when rain or
drizzle comes in contact with the cold ground at around 0 degrees celsius.
4. Sleet: It is frozen raindrops cooled to ice stage while falling through air at sub-
freezing temperature. Sleet is frozen raindrops formed when rainfall passes
through the air at subfreezing temperatures.
 5. Snow: It is a precipitation in the form of ice crystals resulting from
sublimation, i.e., directly from water vapor to ice. Snow consists of ice crystals
in a flaky form (average density ~ 0.1g/cc). It is also an important form of
precipitation.
6. Snow Flake: It is made of a number of ice crystals fused to gather.
7. Hail: It is precipitation in the form of balls or lumps of ice over 5 mm diameter
formed by alternate freezing and melting as they are carried up and down in
highly turbulent air currents. Hail is a type of showery precipitation in the
form of pellets or lumps of size greater than 8mm. Hail occurs in violent
thunderstorms.
8. Rain: Rain is a form of precipitation that is in the form of water drops of a
size larger than 0.5mm. The maximum raindrop size is about 6mm. Drops of
larger size break up into smaller drops as it falls down. Rainfall is the
predominant form of precipitation and hence the term precipitation is used
synonymously with rainfall. The magnitude of rainfall shows high temporal
and spatial variation. This variation is responsible for the occurrence of
hydrologic extremes such as floods and droughts.

Evaporation - It involves the vaporization of water from the water sources due to
heat energy of solar radiation. The evaporated water gets converted into cloud.
Through which water gets fall on the earth system in terms of precipitation. In water
transfer process about 90% of atmospheric water is contributed by evaporation.

Evaporation Process
Evaporation includes all processes by which water returns to the atmosphere as water
vapour: evaporation of intercepted rain and snow; evaporation from bare soil and
water bodies, such as ponds, lakes, and streams and transpiration from plant leaves.
Evaporation (and Transpiration) are small for a runoff event and can be neglected.The
bulk of these abstractions take place during the time between runoff events, which is
usually long. Hence, these are more important during this time interval. Evaporation
requires the following four conditions:

(1) Available water (2) Higher humidity at the evaporative surface (i.e., vapour
pressure) than in the surrounding air (3) Energy to evaporate the water and (4)
Movement, or transfer, of water vapour away from the evaporative surface.
Energy required to evaporate water depends on incoming solar radiation, reflectivity
of the evaporative surface, and air and surface temperature. Diffusion and convection
move the vapour away from the surface. Increasing solar radiation, air temperature,
and wind speed and decreasing atmospheric humidity all create an increase in
evaporation rate. Evaporation is enhanced by warm air flowing over a cooler surface
(e.g., air moving from dry rangeland over an irrigated crop or a small lake), but
decreases rapidly with distance from the boundary between dry and wet surfaces.
Intercepted rain or snow, and open water are in direct contact with the air. Both
boundary-layer and aerodynamic resistance affect water loss from these surfaces. The
boundary layer is a thin layer adjacent to a surface through which vapour moves by
diffusion. Aerodynamic resistance describes vapour movement in the rest of the
atmosphere. Both resistances depend on the size and shape of the evaporative surface,
and both decrease as wind speed increases. Tree needles have a lower boundary layer
resistance than large leaves and a much lower resistance than that of a lake. Trees
generate more turbulence to airflow than smooth surfaces, such as a lake;
consequently, trees have lower aerodynamic resistances at the same wind speed. The
combined resistances for a wet surface are relatively low compared to the resistance
to movement of water from inside leaves or from below a dry soil surface.

Factors Affecting Evaporation

The factors that affect evaporation are:
1. Wind: When wind speed is high it assists evaporation.

2. Heat:Evaporation is more in summer as compared to winter.

3. Exposed surface area:For instance, a wet cloth spread out dries faster than when
folded.

4. Humidity: Dryness assists evaporation; for instance, clothes dry faster in summer
than during the monsoon when the air is humid.

5. Nature of the liquid: Rate of evaporation depends upon the type of liquid; for
example, petrol evaporates faster than water.

6.Vapour pressure: If pressure is applied on the surface of a liquid, evaporation is

hindered; consider, for example, the case of a pressure cooker.

Transpiration- It is a process of water loss from plants' leaves through respiration. The
water loss through transpiration and evaporation coupled together is referred to
Evapotranspiration (ET). In hydrologic cycle about 10% water or moisture is added to
the atmosphere by transpiration process.

Evapotranspiration
Transpiration
Transpiration consists of the vaporization of liquid water contained in plant tissues
and the vapour removal to the atmosphere. Crops predominately lose their water
through stomata. These are small openings on the plant leaf through which gases and
water vapour pass. The water, together with some nutrients, is taken up by the roots
and transported through the plant. The vaporization occurs within the leaf, namely in
the intercellular spaces, and the vapour exchange with the atmosphere is controlled by
the stomatal aperture. Nearly all water taken up is lost by transpiration and only a tiny
fraction is used within the plant. Transpiration, like direct evaporation, depends on the
energy supply, vapour pressure gradient and wind. Hence, radiation, air temperature,
air humidity and wind terms should be considered when assessing transpiration. The
soil water content and the ability of the soil to conduct water to the roots also
determine the transpiration rate, as do water logging and soil water salinity. The
transpiration rate is also influenced by crop characteristics, environmental aspects and
cultivation practices. Different kinds of plants may have different transpiration rates.
Not only the type of crop, but also the crop development, environment and
management should be considered when assessing transpiration.

Evapotranspiration (ET)
Evaporation and transpiration occur simultaneously and there is no easy way of
distinguishing between the two processes. Apart from the water availability in the
topsoil, the evaporation from a cropped soil is mainly determined by the fraction of
the solar radiation reaching the soil surface. This fraction decreases over the growing
period as the crop develops and the crop canopy shades more and more of the ground
area. When the crop is small, water is predominately lost by soil evaporation, but once
the crop is well developed and completely covers the soil, transpiration becomes the
main process. At sowing nearly 100% of ET comes from evaporation, while at full
crop cover more than 90% of ET comes from transpiration.

The evapotranspiration rate is normally expressed in millimetres (mm) per unit time.
The rate expresses the amount of water lost from a cropped surface in units of water
depth. The time unit can be an hour, day, decade, month or even an entire growing
period or year.

Evaporation and Evapo-transpiration; measurements and estimation methods;

Measurement of Evaporation
Lysimeter
A lysimeter is a measuring device which can be used to measure the amount of actual
evapotranspiration which is released by plants, usually crops or trees. By recording
the amount of precipitation that an area receives and the amount lost through the soil,
the amount of water lost to evapotranspiration can be calculated.In general, a
lysimeter consists of the soil-filled inner container and retaining walls or an outer
container, as well as special devices for measuring percolation and changes in the
soil-moisture content. There is no universal international standard lysimeter for
measuring evapotranspiration. The surface area of lysimeters in use varies from 0.05
to some 100 m2 and their depth varies from 0.1 to 5 m. According to their method of
operation, lysimeters can be classified into non-weighable and weighable instruments.
Each of these devices has its special merits and drawbacks, and the choice of any type
of lysimeter depends on the problem to be studied. Monolithic weighable lysimeters
are a tool for water balance studies and solute transport determination.

Lysimeters are of two types:

1. Weighing
2. Non-weighing

Non-weighable (percolation-type) lysimeters can be used only for long-term

measurements, unless the soil-moisture content can be measured by some independent
and reliable technique. Large-area percolation-type lysimeters are used for water
budget and evapotranspiration studies of tall, deep rooting vegetation cover, such as
mature trees. Small, simple types of lysimeters in areas with bare soil or grass and
crop cover could provide useful results for practical purposes under humid conditions.
This type of lysimeter can easily be installed and maintained at a low cost and is,
therefore, suitable for network operations. Weighable lysimeters, unless of a simple
microlysimeter-type for soil evaporation, are much more expensive, but their
advantage is that they secure reliable and precise estimates of short-term values of
evapotranspiration, provided that the necessary design, operation and siting
precautions have been taken.

Several weighing techniques using mechanical or hydraulic principles have been

developed. The simpler, small lysimeters are usually lifted out of their sockets and
transferred to mechanical scales by means of mobile cranes. The container of a
lysimeter can be mounted on a permanently installed mechanical scale for continuous
recording. The design of the weighing and recording system can be considerably
simplified by using load cells with strain gauges of variable electrical resistance. The
hydraulic weighing systems use theprinciple of fluid displacement resulting from the
changing buoyancy of a floating container (socalled floating lysimeter), or the
principle of fluid pressure changes in hydraulic load cells.The large weighable and
recording lysimeters are recommended for precision measurements in research centres
and for standardization and parameterization of other methods of evapotranspiration
measurement and the modelling of evapotranspiration. Small weighable types of
lysimeters are quite useful and suitable for network operation. Microlysimeters for
soil evaporation are a relatively new phenomenon.

Pan Evaporation
Pan evaporation is a measurement that combines or integrates the effects of several
climate elements: temperature, humidity, rain fall, drought dispersion, solar radiation,
and wind. Evaporation is greatest on hot, windy, dry, sunny days; and is greatly
reduced when clouds block the sun and when air is cool, calm, and humid.Pan
evaporation measurements enable farmers and ranchers to understand how much
water their crops will need. There are many types of evaporation pans used by
farmers. However, the universal pan is the United States Weather Bureau (USWB)
Class A pan evaporimeter. It is important to use the same dimensions as this universal
pan, mainly because the effect of wind and temperature on evaporation will vary with
the surface area and the depth of water in the pan. Evaporation and irrigation
replacements cannot be compared between sites if non standard pans are used.

Construction:
There are three parts to an evaporimeter. All parts can be made very cheaply with
common materials. Alternatively a complete unit can be purchased at considerably
greater cost. The following is a description of how to construct the three components
of the evaporimeter. Evaporation Pan:The evaporation pan must be made to the
standard specifications of an internal diameter of 1207 mm and height of 254 mm
using 20 gauge galvanised iron. The standard material is galvanised iron as
alternatives will have different thermal and reflectance properties, therefore altering
the evaporation rate. It is best to have the pan made by either a galvanised tank
manufacturer or an engineering firm. Before the pan is sited in the field it should be
checked for leaks.

Fixed Pointer:
The fixed pointer that sits inside the pan can be made from standard irrigation fittings
and a piece of stainless steel rod (Fig. 12.2). There are three parts to the fixed
pointer:

 the base, a 100 mm PVC flange

 The pointer support, a 230 mm long piece of 100 mm PVC pipe. Four equally
spaced 9 mm holes 70 mm from the base are drilled to allow the water height
around the fixed pointer to quickly adjust to the water height in the pan. A
single 15 mm long 5 mm wide elongated hole is also drilled 70 mm from the
base of the PVC pipe.
 The pointer, a 170 mm long piece of 5 mm stainless steel rod bent at a right
angle 60 mm from one end. From the shorter end a thread is tapped for about
15 mm and a point is ground on the other end of the rod.

After fitting the PVC pipe into the flange, the stainless steel rod is inserted into the
elongated hole with nuts located on the inside and outside of the PVC pipe. To
initially set the stainless steel rod in the correct position, the fixed pointer is placed in
the pan and the pan is filled with water to a depth of 190 mm. The rod is then slid up
or down in the 5 mm elongated hole so that the point of the rod just breaks the surface
of the water.

Measuring Cylinder:
To measure evaporation the pan must be refilled with a known volume of water. The
surface area of the pan is 1.14 square metres, so for every mm of evaporation 1.14
litres of water must be added to the pan. A transparent plastic 2 litre measuring jug
with vertical sides is an excellent measuring cylinder if it is scaled properly. It is
important that the jug actually holds more water than 2 litres so the sides of the jug
must extend past the 2 litre mark. The jug is filled with 2.28 litres of water and the
water level marked. This can conveniently be done by weighing the jug and adding
2.28 kilograms of water. For most jugs this will just about overflow, which is perfect.
A jug of water filled to the marker will be equivalent to 2 mm of evaporation. To
scale the jug when less than 2 mm of water is required to fill the pan, the distance
from the top marker to the bottom of the jug is measured and divided by 20. The
numbers 0 to 2.0 in increments of 0.1 are then written with a permanent marking pen
from the top marker to the bottom of the jug. These numbers are equivalent to the
same number of mm of evaporation from the pan.

Measurement:

With evaporation the water level in the pan will fall. To measure the amount of
evaporation, water is added to the pan with the measuring jug filled to the top mark.
Water is added until the pointer just breaks the surface of the water. The PVC pipe
supporting the pointer will help by reducing wave motion. It is important to keep
track of the number of jugs used to refill the pan and the reading on the last jug when
the pan water level is just broken by the pointer. The total amount of water added
equals the amount of evaporation. It is also essential to measure rainfall in
conjunction with evaporation. Both measurements enable evaporation to be calculated
on rainy days. After heavy rain the pan may have to be emptied to bring the water
level down to the pointer. After rainfall on a hot summer day, less water may have to
be removed than actually fell as rain. For example, after a 25 mm rainfall there might
only be 12 mm of water removed from the pan with the measuring jug to bring the
water level back to the pointer. The difference between the rainfall (25 mm) and the
water removed from the pan (12 mm) is the evaporation. In this example it is 13 mm.
If the rain does not fill the pan above the pointer, the rainfall must still be added onto
the measured evaporation to give the actual evaporation. For example, if there was 7
mm of rainfall and 6 mm of water was added to the pan with the measuring jug then
the evaporation would be 13 mm. Evaporation measurements should be routinely
done every day at 9.00 am and clearly recorded. If measurements are not done
routinely then the volume of water in the pan will decrease and take less time to heat
up during the day and cool at night. This will induce an error which will become
greater as the volume of water in the pan decreases. Evaporation measurements are
very simple and take less than 5 minutes.
Determination of Evaporation from Water Surfaces
Evaporation from water surfaces can be determined by:
(1) Water budget
(2) Energy budget
(3) Mass transfer methods
(4) Combination methods
(5) Evaporation formulas

Water Budget
The water-budget equation for estimating evaporation (Horton, 1943) can be written
as:

(12.1)
Where,
E =Evaporation
I = Inflow
P = Precipitation
O = Outflow
Os = Seepage and
ΔS = Change in storage
Here, Inflow, outflow, precipitation, and change in storage can be measured
reasonably accurately .Seepage, Os, cannot be measured or evaluated directly and
accurately, and the extent to which this quantity is accurate will affect the true value
of evaporation. The water-budget method of determining long-term evaporation can
be used as a standard for comparing other methods. This method is not perfect, but it
is satisfactory for practical purposes.

Measurement of Evapotranspiration
The principal methods for direct measurement of evapotranspiration are:

1) Lysimeter experiment

2) Field experimental plots

3) Soil moisture depletion studies

4) Water balance method

Lysimeter
A lysimeter is a special watertight tank containing a block of soil and set in a field of
growing plants. The plants grown in the lysimeter are the same as in the surrounding
field. Evapotranspiration is estimated in terms of the amount of water required to
maintain constant moisture conditions within the tank measured either volumetrically
or gravimetrically through an arrangement made in the lysimeter. Lysimeters should
be designed to accurately reproduce the soil conditions, moisture content, type and
size of the vegetation of the surrounding area. They should be so hurried that the soil
is at the same level inside and outside the container. Lysimeter studies are time-
consuming and expensive.

Field Experimental Plots

Measurement of water supplies to the field and changes in soil moisture content of the
field plots are sometime more dependable for computing seasonal water requirement
of crops than measurement with lysimeters which do not simulate field conditions.
The seasonal water requirements are computed by adding measured quantities of
irrigation water, the effective rainfall received during the season and the contribution
of moisture from the soil. Field water balance may be expressed by the following
relationship:Where,WR is seasonal water requirement (mm), IR is total water applied
(mm), ER is seasonal effective rainfall (mm), M bi and Mei are the moisture percentage
at the beginning and end of the season in the i thlayer of soil, Ai is the apparent specific
gravity of the ithlayer of soil, Di is the depth of the ithlayer of soil within the root zone
(mm) and n is the number of soil layer in the root zone D.

Soil Moisture Depletion Studies

The soil moisture depletion method is usually employed to determine the consumptive
use of irrigated field crops grown on fairly uniform soils when the depth to the ground
water is such that it will not influence the soil moisture fluctuation within the root
zone. Where, u is the water use from the root zone for successive sampling periods or
within one irrigation cycle (mm), n is the number of soil layers sampled in the root
zone depth D, M1i and M2i are the soil moisture percentage at the time of the first and
second sampling in the ith layer respectively, Aiis the apparent specific gravity of the
ithlayer of soil and Di is the depth of the ithlayer of soil (mm). Seasonal consumptive
use (Cu = Σu) is calculated by assuming consumptive use values of each sampling
interval. A correction is made by adding PET values for accelerated water loss for the
intervals(s) just after irrigation and before soil moisture sampling.
Water Balance Method

Water balance method is also called the inflow-outflow method, is suitable for large
areas (watersheds) over long period. It may be represented by the following
hydrological equation;

Precipitation = Evapotranspiration + Surface Runoff + Sub-surface drainage + change

in soil water content

This method necessitates adequate measurement of all factors, expect

evapotranspiration. The value of evapotranspiration is computed from the measured
data.

Determination of Evapotranspiration

Owing to the difficulty in obtaining accurate direct measurement of pan evaporation

under field conditions, evaporation is often predicted on the basis of climatological
data. The approaches followed are to relate the magnitude and variation of
evapotranspiration to one or more climatic factors (temperature, day length, humidity,
wind, sunshine etc.). The more commonly used empirical formulae in estimating
evapotranspiration are:

a) Blaney-Criddle Method

b) Thornthwaite Method

c) Hargreaves’ Method

The Blaney-Criddle method is recommended for periods of one month or longer.

Blaney-Criddle Method

This method requires the use of only two factors, temperature and information of day
light hours which is a factor based purely on the latitude of the place. Using Blaney-
Criddle approach, potential evapotranspiration can be expressed as follows, in metric
unit:

(13.3)

Where, PET = potential evapotranspiration, mm of water per day (mean value over
the month)

P= monthly percent of total day time hours of the year

T= mean monthly temp. In °C (Average of daily max and minvalues)

The seasonal consumptive use of a crop can be determined from the following
relationship,

(13.4)

Where, U = seasonal consumptive use of water by the crop for a given period
(mm/inches)

u = monthly consumptive use (mm)

K = empirical seasonal consumptive use consumptive us for the growing season

F = sum of the monthly consumptive use factors (f) for the growing season

k = empirical consumptive use crop coefficient for the month (u/f)

f = value of monthly PET in mm

Thornthwaite Method

Thornthwaite method is based on the assumption of an exponential relationship

between mean monthly temperature and mean monthly consumptive use.

(13.5)
Where, e = unadjusted PET (cm per month)
t = mean air temperature (°C)
I = annual or seasonal heat index, the summation of 12 values of monthly
heat indices (i) when, i = ( t / 5 )1.514
Hargreaves’ Method
Hargreaves based on his work on data from grass lysimeter, proposed the following
relationship to estimate ET,

Where, PET = reference crop potential consumptive use

t = mean daily temperature (°C)
Rs= incident solar radiation in langlay/day, it can be calculated using the
following relationship, Where, S is the percent possible sunshine hour and R so is the
clear daysolar radiation in langlay/day.

FAO Penman-Monteith Method

The FAO Penman-Monteith method is used to estimate reference evapotranspiration.
The equation is:
Where, ET0 = reference evapotranspiration [mm day-1]
 Rn = net radiation at the crop surface [MJ m-2 day-1]
T = mean daily air temperature at 2 m height [°C]
u2 = wind speed at 2 m height [m/s]
es = saturation vapour pressure [kPa]
ea = actual vapour pressure [kPa]
es - ea = saturation vapour pressure deficit [kPa]
Δ = slope of vapour pressure curve [kPa°C-1]
Υ = psychometric constant [kPa°C-1]
The reference evapotranspiration, ET0, provides a standard to which:
a) Evapotranspiration at different periods of the year or in other region can be
compared.
b) Evapotranspiration of other crops can be relate

Interception- This is the process in which a part of precipitation is abstracted by the

objects lying on the ground surface. The objects may be the crop, tree, natural
vegetations and any other in live or dead conditions. Intercepted precipitated water is
ultimately lost through evaporation process. Rate and quantity of water loss under this
process varied with the type and characteristics of vegetation/objects and climatic
condition, mainly.

Infiltration- It is defined as the entry of water into the soil by crossing the imaginary
boundary between soil and atmosphere and its rate called infiltration rate. Under this
process the precipitated water moves into the soil media and ultimately joins to the
water –table or deposited on impervious layer, if there occurs across water movement
path. It is treated as the input process for ground water occurrence. Runoff- The flow
of joined rain water in the stream is designated as the channel flow or the runoff.
The characteristics associated to the climate and watershed affects the quantum of
runoff at the outlet. Runoff is categorised into surface and sub-surface runoff. In
which surface runoff is that part of the runoff which travels over the ground surface
thought the channels/ streams /rivers to reach the basin outlet, and sub- surface or
indirect runoff points to the flow of precipitated water below
the soil surface leading to water- table.

Infiltration Process
It is well-known that when water is applied to the surface of a soil, a part of it seeps
into the soil. This movement of water through the soil surface is known as infiltration
and plays a very significant role in the runoff process by affecting the timing,
distribution and magnitude of the surface runoff. Further, infiltration is the primary
step in the natural groundwater recharge. Infiltration is the flow of water into the
ground through the soil surface and the process can be easily understood through a
simple analogy. Consider a small container covered with wire gauze, if water is
poured over the gauze, a part of it will go to container and a part overflows. Further,
the container can hold only a fixed quantity and when it is full no more flow into the
container can take place. This analogy, though a highly simplified one, underscores
two important aspects, viz., the maximum rate at which the ground can absorb water,
the infiltration capacity and the volume of water that it can hold, the field capacity.

Factors Affecting Infiltration Rate

The major factors affecting the infiltration of water into the soil are,
Initial moisture content
Condition of the soil surface
Hydraulic conductivity of the soil profile
Texture
Porosity
Degree of swelling of soil colloids
Organic matte
Vegetative cover
Duration of irrigation or rainfall
Viscosity of water
The antecedent soil moisture content has considerable influence on the initial rate and
total amount of infiltration, but decreasing as the soil moisture content rises. The
infiltration rate of any soil is limited by any restraint to the flow of water into and
through the soil profile. The soil layer with the lowest permeability, either at the
surface or below it, usually determines the infiltration rate. Infiltration rates are also
affected by the porosity of the soil which is changed by cultivation or compaction.
Cultivation influences the infiltration rate by increasing the porosity of the surface soil
and breaking up the surface seals. The effect of tillage on infiltration usually lasts
only until the soil settles back to its former condition of bulk density because of
subsequent irrigations. Infiltration rates are generally lower in soils of heavy texture
than in soil of light texture. It has been established that in surface irrigation, increased
depth increases initial infiltration slightly but the depth of application has negligible
effect after prolonged irrigation. Infiltration rates are also influenced by the vegetal
cover. Infiltration rates on grassland are subsequently higher than bare uncultivated
land. Addition of organic matter increases infiltration rate substantially. The hydraulic
conductivity of soil profile often change during infiltration, not only because of
increasing moisture content, but also because of the puddling of the surface caused by
reorientation of surface particles and washing of finer materials into the soil.
Viscosity of water influences infiltration. The high rates of infiltration in the tropics
under otherwise comparable soil conditions are due to the low viscosity of warm
water.

Measurement of Infiltration

Information about the infiltration characteristics of the soil at a given location can be
obtained by conducting controlled experiments on small areas. The experimental set-
up is called an infiltrometer. There are two kinds of infiltrometers

Flooding-type infiltrometer

Rainfall simulator

Flooding-Type lnfiltrometer
This is a simple instrument consisting essentially of a metal cylinder, 30 cm diameter
and 60 cm long, open at both ends. This cylinder is driven into the ground to a depth
of 50 cm . Water is poured into the top part to a depth of 5 cm and a pointer is set to
mark the water level. As infiltration proceeds, the volume is made up by adding water
from a burette to keep the water level at the tip of the pointer. Knowing the volume of
water added at different time intervals, the plot of the infiltration capacity vs lime is
obtained. The experiments are continued till a uniform rate of infiltration is obtained
and this may take 2-3 h. The surface of the soil is usually protected by a perforated
disk to prevent formation capacity vs time is obtained. The experiments are continued
till a uniform rate of infiltration is obtained and this may take 2-3 h.

the main disadvantages of flooding-type infiltrometer are:

(1) The raindrop-impact effect is not simulated;

(2) The driving of the tube or rings disturbs the soil structure;

(3) The results of the infiltrometer depend to some extent on their size with thelarger
meters giving fewer rates than the smaller ones; this is due to the border effect.
Rainfall Simulator
In this a small plot of land, of about 2 m X 4 m size, is provided with a size of nozzles
on the longer side with arrangements to collect and measure the surface runoff rate.
The specially designed nozzles produce raindrops falling from a height of 2 m and are
capable of producing various intensities of rainfall. Experiments are conducted under
controlled conditions with various combinations of intensities and durations and the
surface runoff is measured in each case. Using the water-budget equation involving
the volume of rainfall, infiltration and runoff, the infiltration rate and its variation
with time is calculated. If the rainfall intensity is higher than the infiltration rate,
infiltration-capacity values are obtained.

Rainfall simulator type infiltrometers give lower values than flooding type
infiltrometers. This is due to the effect of the rainfall impact and turbidity of the
surface water present in the former.

Infiltration indices
Hydrological calculations involving floods it is found convenient to use a constant
value of infiltration rate for the duration of the storm. The average infiltration rate is
called infiltration index and two types of indices are in common use

Φ-index

The Φ index is the average rainfall above which the rainfall volume is equal tothe
runoff volume. The Φ index is derived from the rainfall hyetograph with
theknowledge of the resulting runoff volume. The initial loss is also considered as
infiltration. The Φ value is found by treating it as a constant infiltration capacity. If
the rainfall intensity is less than 0, then the infiltration rate is equal to the rainfall
intensity; however, if the rainfall infiltration. TheΦ value is found by treating it
intensity is larger than Φ the difference between rainfall and infiltration in an interval
of time represents the runoff volume

The amount of rainfall in excess of the Φ index is called rainfall excess. The Φ -index
thus accounts for the total abstraction and enables runoff magnitudes to be estimated
for a givenrainfall hyetograph.

W- Index

In an attempt to refine the Φ-index the initial losses are separated from the total
abstraction and an average value of infiltration rate called the W index is defined as
 (14.1)

Where, P is total precipitation (cm), R is total storm runoff (cm), I a is initial losses
(cm), te is the duration of the rainfall excess, i.e. the total time in which the rainfall
intensity is greater than W (in hours) and W is the average rate of infiltration (cm/h).
Since Ia values are difficult to obtain, the accurate estimation of the W index is ratger
difficult. The minimum value of the W index obtained under very wet soil conditions,
representing the constant minimum rate of infiltration of the catchment, is known as
Wmin. Both theW-index and Φ index vary from storm to storm.

Unit 4 watershed survey and planning

4.1.The need for watershed survey and planning
The protection, improvement and rehabilitation of mountain and/or upland watersheds
are of critical importance in the achievement of overall development goals.
Recognizing this, many developing countries are turning increasing attention and
resources to the field of watershed management. Initial efforts have often been "fire-
fighting" in nature, i.e. an immediate but isolated response to a perceived problem.
However, in many if not most developing countries, the nature and magnitude of the
problem of watershed degradation, and the scarce availability of resources mandate a
comprehensive long-term approach. The keys to successful implementation of any
such effort are accurate and appropriate survey and planning.

Watershed degradation: Watershed degradation is the loss of value over time,

including the productive potential of land and water, accompanied by marked changes
in the hydrological behaviour of a river system resulting in inferior quality, quantity
and timing of waterflow. Watershed degradation results from the interaction of
physiographic features, climate and poor land use (indiscriminate deforestation,
inappropriate cultivation, disturbance of soils and slopes by mining, the movement of
animals, road construction, and badly controlled diversion, storage, transportation and
use of water). Watershed degradation, in turn, leads to accelerated ecological
degeneration, reduced economic opportunities and increased social problems.
Watershed management: Watershed management is the process of formulating and
carrying out a course of action involving the manipulation of resources in a watershed
to provide goods and services without adversely affecting the soil and water base.
Usually, watershed management must consider the social, economic and institutional
factors operating within and outside the watershed area.

Watershed survey and planning: Watershed survey and planning is the preparatory
work which, if properly conceptualized and carried out, permits the successful
implementation of actual watershed management. Watershed survey and planning
should be undertaken at four levels with a problem-oriented approach.

1. National level

At the national level, a quick reconnaissance type of survey, assisted by aerial

photographs or other remote sensing techniques, is often sufficient for identifying
major watershed problems and areas. This type of survey can identify broad land use
categories, main causes of disturbance and, combined with existing data, can provide
enough information for a simple classification of the nation's watersheds.

The main purpose of this overall classification is to identify the following important
items:

- nature of watersheds, i.e. municipal watersheds, forest and wildland watersheds,

agricultural watersheds, etc.;

- main problems and critical areas, i.e. problems caused by man, nature or both,
seriousness of the problems, extent of critical areas, etc.;

- watershed sites, i.e. upland or highland watersheds, lowland watersheds, watersheds

with downstream interest, watersheds without downstream interest, etc.

This classification can be an important input in determining national policy and in

setting priorities.

2.Regional or district level

Regional or district level survey and planning is either carried out specifically for a
cluster of watersheds or in conjunction with regional development plans. The work
covers a more restricted area than the national study but is not necessarily as detailed
as the plans for individual watersheds. These studies are important in the formulation
of long-term development plans for the region or district.
3.Watershed and sub-watershed level

Most detailed survey and planning is carried out on the watershed level, both because
a watershed is a functional unit which links upstream and downstream areas in an
integral system, and because it is a convenient unit for planning and economic
analysis. This manual aims at this level. In a large watershed, detailed survey and
planning can also be concentrated on sub-watersheds with particularly serious
problem areas or critical areas.

4.Farm or community level

Individual farm planning, group farm planning and planning for community
development are also necessary. These can either be done during the planning period
or at the beginning of the implementing stage, depending upon actual needs. The main
objective is to improve farm management and community development within the
watershed area. Emphasis is usually put on conservation as well as on development.

Local survey and planning provides basic data and also involves local farmers and
communities in the planning process. If there are local bodies such as local
government, farmers' associations, private interest groups, etc., their representatives
should be involved in the planning process. Direct survey of farmers or watershed
inhabitants by properly designed questionnaires on important watershed issues is also
a way to get local people involved.

A problem-solving approach

To make use of limited manpower, resources and time, watershed survey and
planning should be carried out in as practical a manner as possible. Surveys should be
oriented towards identifying main objectives and major problems, and plans and
recommendations should be centred on solving or alleviating these problems,
although the overall potential of the watershed should not be neglected.

Major watershed problems

Major watershed problems vary from country to country, but the following list
identifies some of those most common to developing countries. Most of these are
interrelated and cannot easily be separated for diagnosis.

However, for the sake of presentation they may be grouped as follows:

Socio-economic
Rural poverty in the uplands, causing migration to crowded urban centres
and/or destroying watershed resources.

Improper land use (slopeland farming, shifting cultivation without proper

fallow, overgrazing, etc.) resulting in degradation of land and other watershed
resources.

Deforestation, thereby increasing hazards of seasonal flooding and/or drought

downstream.

Technical/Institutional

Poorly planned and executed development activities (roads, housing, mining,

recreation, etc.), impairing streams and polluting the natural environment.

Natural

Natural disasters (heavy storms, landslides, wildfire, etc.) damaging watershed

conditions.

Natural and accelerated soil erosion, causing heavy deposits of sediment in

storage reservoirs, irrigation channels and other public installations.

Resource availability and constraints

Practical watershed planning should not overlook resource availabilities and

constraints. An over-ambitious or unrealistic plan is less likely to be approved or
implemented successfully.

Some of the main constraints facing watershed projects in developing countries

include:

- lack of funds;
- insufficient manpower, especially at the professional level;
- poor coordination among government organizations;
- low mobility and insufficiently equipped field staff;
- lack of data and research for continuous improvement;
- other socio-economic, institutional or policy constraints.
These constraints should be taken into consideration seriously and strategies to
overcome them should be developed at the early planning stage. Watershed managers
or planners should find out what resources are or will be available to realistically
manage the watersheds.
Technological considerations

The capacity of present technology to cope with the major problems of the watershed
is a subject to be well considered at the planning stage. If expertise is insufficient,
technology exchanges with other countries should be contemplated. This may include
sending fellows abroad, or inviting foreign consultants. Technology transfer from
government staff to local farmers is also important and should be considered at the
planning stage. Proper extension, education and training activities for farmers in the
watershed area will help ensure ongoing success.

4.2. WATERSHED PROBLEMS, OBJECTIVES AND PRIORITIES

Collecting existing data

Collecting existing data is the first step toward comprehensive survey and planning of
a watershed. In many countries, soil surveys, geology surveys, forest inventories and
hydro-meteorologic studies may have already been carried out. Their reports, statistics
and maps can be of great help in watershed survey and planning. Other government
agencies may possess aerial photos, contour maps, ownership data and information of
infrastructures. Spending a little time to search for them is usually worthwhile and
rewarding. Avoiding a duplication of effort will save time and money. Also, historical
data such as rainfall, streamflow, land use history, various development plans cannot
be obtained just by field surveys, but must be extracted from the files of the
appropriate government agencies.

A list of data sources should be prepared and related institutions contacted. A central
file of relevant maps, reports and records should be created and routinely updated.
After the existing data have been collected and analysed, then a preliminary survey
plan can be drawn up to check, add and update the existing information. By so doing,
the overall survey time can be much shortened.

Quick identification of watershed problems

Before starting formal survey, preparatory investigation is often needed. The main
purpose is to identify major watershed problems and collect or check preliminary
information. The usual activities may include:

- collecting first-hand information on the nature and extent of physical and social
watershed problems to facilitate future detailed planning;
- using available photos, maps and other data to become familiar with watershed
conditions;

- examining the number, reliability and condition of existing hydro-meteorological

stations in the watershed;

- interviewing local agencies, institutions, communities and farmers to obtain their

views, interests and concerns about the watershed;

- arranging for future survey work and estimating survey expenses.

Physical problems

These problems are usually not difficult to detect or identify. Steep slopes, bad lands,
slide-prone soils, weak geologic formations, etc. can be easily found by observation
or with the assistance of existing maps. Problems such as heavy and intense rainfall,
excessive run-off, torrential flows and strong winds should be identified from weather
and hydrological data or by gathering information and evidence locally.

Resource use problems

Problems such as shifting cultivation, forest destruction, fire, over-grazing, poor road
construction and maintenance and uncontrolled mining should be identified and, if
possible, the causes should be determined. Clear identification of these problems at
the preliminary stage will benefit the follow-up surveys and planning as well as the
formation of a realistic policy in the future.

End problems

The final effects of watershed degradation - soil erosion, landslides, heavy

sedimentation, water pollution, floods and droughts, etc. - must be identified as
quickly as possible. This can be done partly by observation and spot checking and
partly from data obtained from water resource agencies and local inhabitants. By
reviewing or analysing existing information, the history, frequency and extent of these
problems can also be determined.

Socio-economic and other problems

Serious socio-economic problems can be major obstacles in carrying out watershed

work in the developing countries. Any serious problems should be identified at the
beginning of the planning stage. These may include land tenure, poverty, education,
low acceptance of innovations, seasonal shortages of labour, etc.
Considering management possibilities

Recognizing challenges

It is not enough to simply identify watershed problems; possible challenges must also
be considered when work is to be initiated.

The major challenges facing watershed managers in developing countries are

highlighted below:

- watershed projects usually deal with thousands of people and therefore have broad
political implications, hence political interest. Sometimes, politicians' views may
differ considerably from those of the technical experts regarding the types, priorities,
and timing of watershed work;

- public goals may not always coincide with the interests of private people, farmers or
watershed inhabitants. For example, farmers tend to maximize the returns from their
lands as fast as possible whereas governments may wish to slow down the use rate in
order to conserve resources and protect the watershed;

- a technically sound plan or the most effective treatment for watershed protection
may not always be acceptable to the local communities for a variety of reasons,
including requirements of high labour inputs or cost;

- many watershed projects may seem financially unattractive to government or

international financing agencies due to difficulties in putting a monetary value on
"intangible" benefits;

- bottom-up planning is a necessity but often difficult to do successfully, especially in

watersheds populated by numerous small farmers.

There are no universal answers to these challenges. However, managers and/or

planners should examine them carefully and derive proper counter measures in the
context of given conditions.

Examples of effective work in the country

If there are examples of successful and effective projects in watershed management,

forestry or rural development in the country, a quick study should be made of their
setup, administration, management techniques, accomplishments, etc. The lessons
learned will aid in the planning, design, and future implementation of the proposed
watershed project.
Level and kind of management expected

Consideration should also be given to the appropriate level and kind of management a
watershed will receive in the future. This will, of course, depend on the seriousness of
the watershed problems, the urgency of the task, and the resources available to do the
work.

Classically, watershed work can generally be divided into three categories: protection;
improvement; and rehabilitation. Protection measures are employed to maintain the
status quo. Improvement techniques are used to obtain water yield benefits.
Watershed rehabilitation is applied to seriously deteriorated watersheds and usually
requires more work, more time and more money. Unfortunately, watersheds in
developing countries often require rehabilitation. Since the last decade or two,
watershed development has become a new category of work. It emphasizes the
development of all resources in a watershed including human resources. These
categories of work are sometimes all present in a single watershed; it is the
responsibility of the planner to work out the right combinations according to the
nature and extent of the problems identified.

Possible investment

Finally, investment needs in a watershed must be considered against the possible

sources and amounts of funding. The need for heavy and long-term investment should
be brought to the immediate attention of the government. More avenues of possible
investment should also be explored. For instance, investment in production and
development type of activities in conjunction with watershed conservation may attract
more sources of funding.

Determining main objectives and priorities

Setting main objectives

After collecting existing data, identifying major watershed problems and considering
management possibilities, the main objectives of the proposed project should then be
defined.

The objectives will vary from country to country and from watershed to watershed but
the following are some of the most common ones:
- to rehabilitate the watershed through proper land use and protection/conservation
measures in order to minimize erosion and simultaneously increase the productivity of
the land and the income of the farmers;

- to protect, improve or manage the watershed for the benefit of water resources
development (domestic water supply, irrigation, hydro-power, etc.);

- to manage the watershed in order to minimize natural disasters such as flood,

drought and landslides, etc.;

- to develop rural areas in the watershed for the benefit of the people and the
economies of the region;

- a combination of the above.

Different objectives call for different techniques, manpower, inputs and approaches in
planning. The monitoring and evaluation criteria will also be different. Therefore,
main objectives should be identified and defined as early as possible.

Establishing priorities

Priority watersheds or sub-watersheds should be identified during the preparatory

stage. As work cannot be carried out at the same time in all the sub-watersheds due to
manpower and resource constraints, a priority list must be set.

Priorities are usually given to those sub-watersheds which are in critical condition and
which are close to the main stream or to a public installation where protection is
needed, e.g. a storage reservoir, water intakes or diversion dams. Many times, priority
areas are also selected because of people: their enthusiasm, strategic locations,
poverty or others.

Even in a priority sub-watershed, some efforts need to be started earlier than others.
Therefore, a priority list of work should also be identified for future progressive
planning and implementation.

Estimating survey budget

As the final stage of the preparatory work, an estimate of the needed budget for detail
surveys should be prepared. Although at the early planning stage, an exact estimation
is impossible, the investigators or planners must not over-estimate or under-estimate
too much the needed budget.

4.3.BIOPHYSICAL DATA COLLECTION AND ANALYSIS

Basic approaches
Problem-oriented biophysical surveys
After identifying the major problems of the watershed, detailed biophysical surveys
should be designed on a problem-solving basis. Healthy parts of a watershed should
be put on routine care while special attention and urgent treatment must be given to
critical areas or problem sub-watersheds. For instance, if the main purpose of the
effort is to reduce sedimentation of a reservoir, the survey work should be
concentrated on identifying erosion or sediment source areas. Survey of forest areas
should be concentrated on identification of cut-over areas, bare areas, reforestation
needs, as well as cover types, densities and hydrological conditions of the land, rather
than on volume or value of timber. Detailed surveys will also need to be carried out
on disturbed areas such as cultivated fields, road slopes, streambanks, mined-out areas
and landslides, etc. If the main objective is for watershed or rural development, then,
the survey should concentrate on resources inventory, distribution, uses, establishment
and land productivity, etc.

Collecting relevant and essential data

Collection of too much or too little data can only result in a waste of time and money.
The way to avoid this is to have a careful design at the beginning of the survey.
Attention should be given to what data are really needed for future management and
whether they are relevant to the main objectives.

Establishing benchmarks for future surveys

Since watershed conditions change over time, future biophysical surveys will be
needed every ten years or so. These periodic surveys are also used to evaluate
management effects. For this reason, the initial surveys should be considered as
benchmarks, and all results kept and stored for future monitoring use.

General guidelines
Design
Although the design of the survey will vary depending on objectives and actual needs,
some general rules should be observed:

- the data to be collected should be accurate and useful for the final analysis;
- survey forms, tables and guidelines to be used in the field should be easily
understood. They should be field-tested before extensive use. The forms and tables
must produce objective and not subjective results;

- the survey should be designed to identify problems and their location, extent, and
areas which will be useful for deciding on treatment and control measures;

- all the field surveys should be so arranged that they can be carried out orderly within
the allowable time period. A network analysis or a flow chart is sometimes needed to
indicate a step-by-step approach;

- to facilitate future surveys, all measurement units, mapping and photo scales, survey
forms and analysis procedures and records should be kept in a standard format.

Sample size and sampling techniques

Many types of surveys do not need to cover the whole area or the whole population.
However, the difficult question is how big a sample size or how many samples are
considered sufficient. For practical purposes, if the known population is large, a
sample of 3 to 5 percent may be adequate; if the population is small, a sample of 10 to
15 percent may be more appropriate. The sample must represent the population and
allow the work to be done within the time frame and financial limits. Many sampling
techniques can be used in the biophysical survey of a watershed. The general ones are
briefly described below. For those who are interested in theories and detailed
techniques, standard textbooks should be consulted.

Random sampling. This technique requires a knowledge of the population to be

sampled. This sampling method can be used to check large quantities of gullies,
landslides, streambank cutting where total numbers can be identified (for example,
from air photos) but specifications of each cannot be measured except by field
sampling. This technique can also be used to investigate, for example, hydrologic soil
conditions of forest lands or of the entire watershed. After sampling size is
determined, a random starting point should be selected on a map. From there, the
subsequent points can be decided upon by use of a predetermined distance or grid. All
the chosen points should then be visited and investigated in the field. Sometimes, a
random number table is used to select the samples of gullies and slides.
Stratified sampling. A population is divided into sub-populations of known size, and
then random samples are taken from each stratum. For instance, survey and estimation
of sheet erosion can be done by major soil types and by major land uses. In each
category, random samples can further be determined for field investigation. Such
strata can also be established in different elevation groups, slope categories, cover
types and farm sizes to be used for various kinds of sampling surveys.

Cluster sampling. In this technique random clusters are selected and then the entire
sample in the clusters is surveyed. This method is usually employed to check survival
rates of tree plantations (by small parcels or rows); to investigate fuel consumption of
villagers (by village), or to estimate land use patterns in different parts of a watershed.

Whatever method is used, it needs to be done faithfully and as accurately as possible.

Sampling saves much time and effort compared with surveys of the entire population,
but if not properly carried out, can be useless or misleading.

Mapping scales and mapping

Basic maps need to be prepared at one convenient scale. If the country's base maps are
at 1:10 000 or 1:12 500 scale, the watershed maps should have the same scale in order
to facilitate the transfer of information or the production of subsequent maps by
superimposing one on another. To transfer images from air photos to a map, a
"Sketchmaster" can be employed. A Sketchmaster is a simple and inexpensive
mapping device used extensively in many developing countries. If the map and photo
scales are the same or similar, the work can be done much more quickly. For more
precise mapping work, a desk type of "Map-o-graph" can be equipped to do the job.
With some training, a draftsman can enlarge, reduce and transfer information from
map to map.

Obtaining area statistics

To obtain area statistics from maps, the dot counting method is usually employed.
However, if a map contains hundreds of small parcels, the work can become tedious
and time-consuming. A much simpler and quicker method which can be used by non-
technical personnel has been devised recently. It is called the "cutting and weighing"
method, in that parcels are coloured, cut, grouped and weighed by a balance against
the weight of a known area. Various categories of areas can easily be obtained using a
simple ratio calculation. The area figures thus acquired are quite accurate provided
that the thickness of the paper used is constant.

When computers are used for mapping, area statistics are presented automatically and
graphs are in the form of histograms or pie charts.

Data requirements

The kind of biophysical data needed for survey and planning depends on watershed
problems and management objectives. Only brief descriptions are given in the
following sections. Survey techniques and samples are given in Chapter 7.

General data

General data on a watershed should include watershed name, location, boundaries,

size, elevation, the presence of streams, tributaries, etc. The watershed may need to be
divided into many sub-watersheds and each should be assigned a number for easy
identification. Further data will be needed on a sub-watershed basis. General
information such as population, administrative districts, accessibility and roads, etc. is
also useful.

Physical data

Data on geology and soils can usually be obtained from existing reports. Nonetheless,
field checking is often necessary to verify or supplement the existing information.
Geomorphological data such as drainage patterns, stream density and order, channel
profiles, etc. can be obtained and/or quantified by using a good topographic map.
Data on soil hydrologic conditions are sometimes required in forest, rangeland, and
cultivated lands (section 7.3 and examples 18 and 19 explain some of the
methodology for reference). Land slope information must be obtained and analysed
in order to determine land capabilities of a watershed and appropriate conservation or
treatment needs. With a topographic map of appropriate scales and a corresponding
circle sheet, a simple and practical method called the "circle interception" can be used.
The method is explained in section 7.1. Using air photos and a stereoscope and with a
slope scale model or a parallel wedge it would also be possible obtain slope values,
but this requires a highly trained photogrammetrist for satisfactory results.

Climate, hydrology and water resource data

Climatic data such as precipitation, wind, evaporation, temperature, humidity, etc. can
normally be obtained from climatic stations in the watershed or nearby. For watershed
management, especially for run-off estimation and erosion control, rainfall intensities
are required. However, they are often lacking in the upland or mountain watersheds.
In this case, some supplementary automatic rain gauges may need to be placed in the
watershed area.

Unless there is a big engineering project under way, data on streamflows and
sedimentation are often not available in upstream watersheds in developing countries.
Many times, the investigator can only collect data from stations at lower reaches of
the same stream or from neighbouring watersheds. For information on flood damage,
drought and other hydrologic problems, the usual techniques are visiting damaged
areas, interviewing people and discussing the matter with knowledgeable institutions
in the area. The water balance or water budget of the watershed should be estimated.
Water use problems regarding quality or quantity need also to be collected.

Land use, land capability and biological data

This category of data usually includes present land use, land use history and future
trends, land capability or suitability and a number of vegetation surveys. For present
land use, a new survey is often required in order to identify forest and range cover,
cropland, plantations, recreation and wildlife reservations, urban and water areas, etc.
The needed data and survey criteria for each major land use will depend on
management objectives and individual conditions.

Land use history is needed to reveal past lessons and experience. This kind of data can
be obtained from reports, records, or from knowledgeable persons in the local
community. Future trends in land use are very important to planners. Trend prediction
requires estimating population growth, forecasting migration and development, and
surveying farmers' intentions for changes.

Land capability or suitability data are usually required to show the limit, extent, and
proper use of each piece of land in the watershed. Although criteria may vary, they
are essentially based on soils, slope, land capability classification which has been used
in many hill watersheds in developing countries .Special biological, vegetation and
multiple use surveys are sometimes needed. They may cover forest resources,
protection forest, range and grassland, wildlife reservations and recreation areas.
These surveys are discussed in more detail in section 7.3.

Erosion data

Since erosion is a major concern in most watersheds, the collection of erosion data
becomes a very important part of the overall surveys. The causes of erosion should
first be identified. They may include many activities of human beings such as
cultivating, grazing, logging, mining, road building, housing, fire, recreation
activities. Nature also causes erosion in the watershed in the form of landslides,
stream cutting, wild-fire, etc. Some of the erosion may be caused by a combination of
man and nature. In Chapter 7, survey techniques are introduced and examples
provided regarding the collection of data on sheet and gully erosion, road erosion,
landslides, stream erosion, torrents, etc. Survey of geology and land forms or
geomorphology, both of which are related to erosion, are also explained.

Analysis of major biophysical problems

Land use vs land capability

Determination of proper land use based on land capability or suitability is always the
first step toward the protection and development of a watershed. A land use
adjustment map can be produced by superimposition of land use and capability maps.
Land showing serious over-use should receive urgent attention. On the other hand,
land which is presently under-used can be used more intensively. In case of public
lands, those under-used can be designated for resettlement of farmers who are
cultivating steep slopes or encroaching upon forest lands. The map will not only show
the sites, extent and seriousness of the problem areas, but will also provide the basis
for rationalization of use of watershed lands. Land presently being used within
capability but needing soil conservation treatments will also be shown on the map,
and can be used for planning soil conservation activities. Details of such survey and
planning can be seen in sections 7.1 and 8.3.

Water resources and use problems

From the basic data collected, an analysis should be made of stream flows including
annual and seasonal, maximum and minimum, and qualities such as turbidity, types
and sources of pollutants, etc. The timing and frequency of flood and drought should
also be studied. Any water use problems, including questions regarding rates of use
and problems of quantity and quality, should also be addressed. Section 7.3 shows
some examples of analysis. For more details, a water resources and a hydrology book
should be consulted.

Hazards of erosion and sedimentation

The various sources and damages of erosion and sedimentation should be identified
and analysed, and potential hazards should be pointed out. The latter is very important
since most watershed rehabilitation or protection is centred on the minimization of
potential hazards. Special efforts should be made to analyse the data collected on
erosion and sedimentation. A general methodology may include the following:

- compiling data from the field surveys, observations or from interviewing people;

- analysing soil loss and run-off plot data in the area;

- using erosion models or soil loss prediction equations to estimate quantities;

- analysing storm frequencies, sediment delivery ratios and yields, etc., from the
existing hydro-meteorological data;

- compiling reservoir or water storage sedimentation data;

- using geology and geomorphology data for estimating landslide hazards;

- estimating results from all the above data.

The cost of erosion and sedimentation, treatment needs and the benefit of minimizing
or controlling them should eventually be estimated.

Results and products

Maps, statistics and interpretations
Maps and statistics are a major product of this type of biophysical survey. The kinds
of maps and statistics produced depend on watersheds and management objectives.
The fundamental ones may include the following:

- base map, showing boundary, sub-watersheds, villages, roads, etc;

- topographic map, showing contours, elevations, land forms, streams, etc;

- soil map, showing soil types and boundaries, depths and soil limiting properties;
- climatic map, showing mainly rainfall, but statistics may include temperature,
evapotranspiration, etc.;

- geology map, showing rock types, structures, displacement, morphology, etc.;

- slope map, showing different slope classes or exposures/aspects;

- present land use map, showing major land uses and cover types;

- land capability or land suitability map, showing different land capability classes; or
land suitability classes:

- land use adjustment map, showing land being over-used or under-used and
adjustment needs;

- erosion or sediment source maps, showing sites of various types of erosion and
sediment potential areas;

- hydro-meteorological network map, showing the location of climatic and stream

gauging stations;

- water resource map, showing surface and underground sources.

Many other maps and statistics of a detailed nature can also be added according to the
needs. Some examples are forest and vegetation; landslide potentials; slope stability;
stream profiles; land ownership; demographic and population distribution. Many
maps can also be combined together.

To produce these maps and statistics on schedule, a flow chart is sometimes needed to
set the sequence for collecting data and developing the needed maps.

Brief and essential interpretations are needed for the data collected and analysed. The
interpretations should be relevant to watershed problems or management objectives.

Plans and management recommendations

Based on survey data and the results of analysis, the team or teams responsible for
biophysical surveys should make draft plans (including treatment, costs, etc.) and
management recommendations for further discussion.

4.4. SOCIO-ECONOMIC AND INFRASTRUCTURAL DATA

Review of existing reports

Existing reports on general socio-economic conditions of the rural areas of the

country should be collected and reviewed before beginning detailed studies in a
specific watershed. The existing reports will give managers or planners much basic
information which may be valuable to the preparation of survey proposals, related
forms and questionnaires. If there are specific socio-economic and infrastructure
reports covering the selected watershed, these reports will be particularly useful.
Farmers are usually tired of being asked similar questions over and over again and
changes in rural areas are often slow. Therefore, planners should make good use of
what information already exists and keep new surveys, especially those of a general
nature, to a minimum.

Survey methodology and techniques

Sampling techniques for socio-economic and infrastructure surveys are similar to

those discussed in the previous section on biophysical surveys, i.e. random, stratified
and cluster. Some socio-economic survey techniques can be seen from FAO
Conservation Guide 8. Techniques for infrastructure surveys

Design and use of questionnaires

Questionnaires need careful design and clear thinking. They should be concise and
constructed in a logical order. Ambiguous questions should be avoided. For example,
asking farmers whether they need cash subsidies to accomplish tasks they never knew
will not only raise false hopes but also get irrelevant answers. Questionnaires should
include a double checking system so that if the enumerator detects an inconsistency in
the responses, the uncertainty can be resolved immediately. It is often difficult to
obtain economic figures, especially those regarding the income of the farmer. To win
the trust of the farmer may overcome such difficulties.

Collection of data
Social conditions

The following are some important social data, among others, that the managers or
planners may need to find out in order to draw up a useful plan:

- what will be the population trend in the watershed, its rate of growth, age structure,
migration possibilities and other demographic factors that will affect the rate of
resource use?

- what are the possible barriers toward innovative technology: poverty, lack of
education, poor extension services, tradition, non-aggressiveness, lack of
encouragement and incentives?
- what social factors constrain the development and management of the farms in the
watershed - land tenure, government rules, traditional farming systems, fear of risk, or
others?

- what do the existing social structures, systems or hierarchy influence the individual
or community development in the watershed?

- what do the farmers see as their immediate needs - more roads, domestic/irrigation
water, housing, marketing arrangements, recreation facilities? ,

- do farmers like to work together or tend to be individualists?

- what is the status of women in the society and their responsibilities? What are the
conditions of youth including rates of unemployment, willingness to undertake field
work and migration trends?

- to what extent are the farmers aware of the causes and problems facing the
watershed?

- what are the farmers' views on the protection and development of the watershed as a
whole?

Economic status

Collection of baseline economic data can, in many cases, be combined with the
sociological survey. In fact, many social and economic data are interlocked and
difficult to separate. The main topics to be covered in a survey of the economic status
of a watershed include but are not limited to the following:

- the present economic activities in the watershed, including farm production, farm
income, farm models, farming systems, land use patterns, employment, labour
demand and supply, rural enterprises, marketing, etc.;

- the potential for economic improvement or development, including farmers'

capabilities (labour, resources and technology), non-farm employment opportunities,
infrastructure needs, availability of credit or financial aid and agro-industrial
development possibilities;

- the constraints or problems of development from an economic point of view,

including land tenure, land rental, farm size and fragmentation, capital, knowledge,
labour, prices, markets and transportation, etc.;
- farmers' reaction to proposed economic improvement measures including credit
and/or subsidies, extension services, taxation and rental reductions, farming
equipment and materials, better marketing arrangements, etc.;

- various costs of cropping and farming activities and their returns, the cost and
benefit of watershed conservation work, and other related economic figures.

Chapter 7 includes a brief description of socio-economic baseline surveys, farming

systems and community development survey, and some other surveys and examples.

Infrastructure in the watershed

The existing infrastructure in a watershed needs to be surveyed. For watershed

projects involving rural development, detailed investigations of roads, housing and
water and energy supplies are often needed.

Analysis of problems
Survey data should be used to analyse major problems and their possible solutions.
Merely presenting data may attract academic interest but it is not good enough for
practical watershed management.

Problems needing long-term solutions

Special attention should be given to those socio-economic problems which need long-
term solutions, including:

- land tenure. Usually, farmers who do not own the land are reluctant to adopt any soil
conservation or protection practices. However, in case of squatting public land,
permission should be granted for leasing cultivable lands after classification, provided
the farmer agrees to apply and maintain prescribed conservation measures on a
continuing basis. This has been done in many countries to end the deadlock of
squatting. On the other hand, farmers who presently farm public land not suitable for
permanent cultivation should receive first priority for resettlement. In the case of
privately rented land, the land owners and the tenants should both be involved in the
planning process;

- farming systems of the watershed should be studied and analysed to see whether
they are compatible with the principles of sound watershed management. New
systems may be developed to benefit both farmers and the watershed. This may
require on-farm trials and demonstrations and will take several years to implement;
- farmers' attitudes toward new techniques, extension personnel and government
schemes are important subjects for consideration. Many farmers are skeptical about
government schemes based on negative experiences in the past. Without the full and
willing participation of the farmers, any project will eventually fail. To change
farmers' attitudes or to win their trust is a long and gradual process. Possible strategies
such as farmer education programmes, better and more active extension services,
incentives, and removal of social obstacles should be considered;

- in heavily populated hilly watersheds, a great portion of the land area may already
be misused. To correct this requires a long-term approach. Usually, it is beyond the
ability of the government to move large numbers of farmers out of the watershed
without creating social disorder. Many countries may simply not have suitable land to
resettle them. The solution is gradual land use adjustment starting with some simple,
scientific and down-to-earth criteria. Technical assistance and incentives should also
be planned for such task;

Depending on the actual situation, the planners will need to address many such
problems clearly and seek possible solutions. In a heavily populated watershed,
population education or family planning will also be a part of a long-term solution.

Problems which can be solved in a relatively short time period

There are many problems which can be solved in a relatively short time period,
including:

- problems of infrastructures including roads, water supplies, market facilities, etc.,

can be alleviated or improved by public investment;

- problems of availability of farming tools and materials - seedlings, fertilizer,

pesticide, improved ploughs - can be pre-arranged or secured before a project
becomes fully operational;

- capital problems of the farmers. The types of loans or credit, mortgage needs,
interest rates, sources and period of loans and repayment schedules, etc., need to be
studied fully before making plans and recommendations;

- in addition to credit, other incentive requirements such as subsidies for adopting new
practices, tax exemption for farms applying conservation measures, etc., should be
considered in order to encourage farmers' participation;
- in many developing countries, unemployment and labour shortages are a major
problem in upland watershed areas. A careful analysis should be made to see what can
be done to alleviate the problem. Possibilities may include adopting a group approach,
public employment to do conservation work on both private and government land,
organizing cooperatives, employing small farm machinery, etc.

Expected accomplishments

After a close and joint examination of the above mentioned problems, the managers
and planners should make some realistic estimates as to what can be accomplished
during the life of the proposed project. This is one of the most difficult tasks the
planners must face. Predictions which are either too optimistic or too pessimistic can
only hurt the proposed project.

If farmers' acceptance is a major issue, for instance, the planner should not only
emphasize education and extension at the beginning of the project, but also keep the
goals of the initial period reasonably low. Another strategy is to set a basic annual
goal for the first few years and review it every year for modification according to the
progress and output of the previous year.

Result reporting and recommendations

Result reporting

The results of surveys, analyses and findings should be periodically reported to the
steering committee for discussion and study. This kind of information is often very
useful for other teams in drawing up their respective plans. Any serious socio-
economic and infrastructure problems should be brought up early in the planning
stage. In many cases, they are much more complicated than technical problems and
need policy support from the government. Socio-economic and infrastructure
information will constitute an important part of the interim report as well as of the
final plan.

Management recommendations

The report on socio-economic findings should include management

recommendations. Infrastructure needs should also be addressed clearly.

Future study needs

Periodic socio-economic surveys will be required for monitoring purpose and for
detecting changes over time and the impact of the project. Therefore,
recommendations on time of future surveys, methodology and criteria based on the
first survey should also be spelled out in the team report.

4.5. INSTITUTIONAL AND CULTURAL INFORMATION

Information on institutions and legislation
Any serious problem regarding institutions and culture should be well studied and
analysed. Generally speaking, cultural problems can only be solved over a long time
period. In many cases, a project may need to go along with rather than against cultural
barriers at the initial stages and gradually influence or change them later. Institutional
problems, on the other hand, can often be solved in a relatively short time period if the
government has the political will and firm commitment. The main institutional
problems in developing countries often include the following:

- inadequate support from the higher authorities in terms of policy, funding and
administration;

- insufficient numbers of trained personnel to carry out planning, design,

implementation, field supervision, monitoring and evaluation;

- weak planning and appraisal activities resulting in waste and ineffectiveness in many
areas;

- lack of incentives for technicians working in the field;

- poor coordination among related organizations;

- weak field operations due to a lack of efficiency in supervision, reporting and

monitoring;

- poor mobility due to lack of vehicles and public transportation;

- lack of research data for continuous improvement.

The above list can be greatly expanded. During planning, such problems should be
pinpointed and possible solutions suggested.

Watershed policy and legislation

If there is a well defined government policy on watershed management, it is worth

careful study. If such a policy is yet to be formulated, planners should either collect
policy statements from related fields such as forestry, agriculture, conservation and
water resources, etc., or ask the appropriate authorities to give policy guidance. Any
legislation in watershed management or soil conservation should receive close review.
Since watershed management involves resources of many kinds, the planners and
managers should review other related legislation as well, including:

- agricultural and related land use laws and acts;

- forest (and rangeland) laws or acts;

- legislation concerning water resource development and use;

- legislation on mining activities and control;
- environmental protection laws and acts;
- recreation and wildlife legislation;
- other related legislation, e.g. on rural development, roads, marketing, etc.
Attention should be given to major conflicts of these legislations toward watershed
conservation. In some countries, it may be desirable to propose new legislation or
slightly revise existing ones in order to ensure a better institutional set up, or to
improve coordination and implementation. For example, in some developing
countries, special legislation coordinating forestry, water resources, agricultural and
conservations in overall watershed activities has proven very effective. This kind of
legislation which changes no basic laws but bridges institutional gaps will usually
meet with prompt approval by government authorities.

Related government organizations and coordination

The structure and functions of related organizations in watershed management should

be analysed. Special attention should be given to those with similar functions or
overlapping responsibilities. Any weak organization should be identified by the
survey and suggestions for improvement be brought to the attention of the appropriate
authorities. Coordination among related organizations is an important factor and
should be subjected to careful study. This should include: history, forms and
mechanisms of coordination; successes and failures in the past, etc. From this study a
better coordination strategy can be devised.

Present and past programmes in watershed management

This is also a very important subject. Much can be learned from the problems and
experiences of present or past projects. Errors must not be repeated. Successful
projects merit special attention. Their backgrounds, administration, support services,
and field operations need to be analysed.

Education, training and extension needs

Since much watershed work relies on local people for implementation, the importance
of farmers' education, training and active participation cannot be over-emphasized.
Therefore, the managers or planners should first look at the farmers' needs. For
instance, how many extension agents are needed in the watershed to do an effective
job? How many farm leaders or contact farmers should be identified and trained, and
for what subjects? When should an intensive training programme be initiated and for
how long? What kinds of demonstration plots should be established and where and
how many?

The planners should also examine the existing quantity and quality of the officers
both in specialized agencies and extension service. If their services need to be
improved, how many senior and junior officers should be hired? And what type of
skill training is needed for both new and old officers?

Sometimes mechanisms and techniques in extension may need to be entirely

overhauled in order to deal effectively with the large numbers of small farmers living
mostly at less accessible areas. Small farmers will not be easily convinced or
motivated by meetings and slide shows alone. Most land conservation measures, for
example, require technical assistance and close supervision. Therefore, a thorough
review of the existing extension set up, including capabilities, strategies and
problems, is absolutely necessary. Another important issue is the division of labour
between specialized field officers and general agricultural extension agents. The
extension officers should be geared to do their normal extension duties while
technical work is handled by these specially trained professionals or sub-
professionals.

Local community development

Local communities are important to any watershed project. Assisting in developing

local communities will, in turn, benefit the people as well as the watershed.
Community development work is always a worthwhile investment in a watershed
management project.
Many community development or improvement efforts are relatively inexpensive, yet
can mean much to the local community and the well-being of the inhabitants. From
the survey of farmers' needs, the planners should be able to work out realistic
development plans to cater for community needs within the scope and resources of the
project.

Farmers' organizations, community and special interest groups

Farmers' organizations such as farmers' associations, irrigation districts and various

bodies which are vital to watershed activities should not be overlooked by the
planners. Many farmers' organizations may have their own extension staff and funds
to assist various activities in the watershed. Even if they do not have available funds,
at least they can represent the view of farmers in the area. Care, however, should be
taken when approaching those organizations having narrow interests and strong
political views. Involvement of one of these groups may cause the non-cooperation of
others.

Community-level organizations such as county and village councils are essential in

many watershed activities. They should be contacted and involved in planning and
implementation as appropriate. Special interest groups such as environmental
protection or conservation societies, 4-H clubs, women's groups or youth clubs and
private aid agencies and non-governmental organizations (NGO) in the area should be
contacted and consulted. Some of these groups should be involved in spreading
messages, disseminating technical information and supplementing extension
activities.

Marketing and others

Some watershed conservation projects may not aim directly at production increases.
But, farmers will not be convinced to adopt new conservation measures unless these
will result in increasing crop production and income. Otherwise, they will not even
maintain existing measures. Producing more and better crops without appropriate
markets is also futile. Even subsistence farmers need cash to buy farm tools and to
pay their bills. Yet marketing is often neglected in many watershed conservation
projects. The marketing arrangement is mainly an institutional arrangement. It
includes crop outlets to factories, agro-industries, purchasing stations, etc. It may also
include price support, transport and storage arrangements. All these information
should be collected and analysed. Other institutional information such as land
registration, cadastral surveys, and institutions for credit and mortgage arrangements,
seedling and fertilizer supplies, etc., are also needed.

4.6.Cultural information and considerations

Compatible with cultural patterns

To consider local culture in planning is to minimize possible resistance in future

implementation. Farmers are relatively conservative. Any improvement which is
compatible with the local culture and with a gradual path will have better potential for
success. For instance, bench terracing in upland areas is easily accepted in the Far
East, where rice paddies are common. Planners must carefully collect and study
cultural information before making any recommendations for drastic change. A mild
and slow change at the beginning, followed with continuing extension efforts is often
the best path to pursue.

Traditional practices

Traditional practices have their roots in culture and society. Slash and burn shifting
cultivation, for example, has been widely practised in many parts of the developing
world. Unless the farmers are provided with alternatives, i.e. lands, farm inputs and
technical know-how, this practice will not easily be changed just by passing a law.
The subject needs a profound study before alternatives are suggested.

Other traditional practices such as uncontrolled grazing, use of fire to clear fields, and
up-and-down tillage may have their reasons. Any substitution or improvement should
stem from study or research and must be acceptable and beneficial both to those who
apply it and to the environment.

Religious influences

Religious beliefs may affect the behaviour and daily life of the local people in rural
watersheds. Churches or temples in many countries exert great influence upon local
communities. The best policy may lie in close collaboration with religious
organizations. In Thailand, for instance, many educational campaigns and
development activities are being done through Buddhist temples.

Cultural activities

Besides economic activities, the information of the people's cultural activities should
also be collected and analysed. Sports, music, movies, reading, gambling or other
leisure activities may have implications for the planned watershed effort. Sometimes,
a watershed or rural development project needs to provide a recreation centre or
sports events to pursue better public relations and communication, especially for
youth.

Urban and rural relationships

For watersheds in developing countries, urban and rural relationships are usually
equivalent to downstream and upstream relationships. Because of the wide cultural
gaps, these relationships often present difficulties. For example, youth in rural areas
are willing to take almost any job in towns or cities, whereas urban youth, even when
unemployed, seldom can be attracted by farm work. However, the physical
relationship between upstream and downstream areas of a watershed cannot be
separated. Information and consideration should be given to methods for establishing
closer links between the populations of the two areas.

Attitudes toward group action

Many upland watersheds suffer labour shortages on a permanent or seasonal basis.

Group action has the following advantages:

- many watershed management activities, such as gully control, streambank

protection, reforestation and community pasture improvement, etc., can be better
carried out by group actions;

- on private farms, group action facilitates mutual drainage systems, better terracing
work, especially for broad-based terraces on gently slopes, and farm roads where farm
boundaries can be used as sites to serve two or more farms;

- with group action in a sub-watershed, planning, design, implementation and

supervision of activities can be much easier, more concentrated, timesaving and
effective.

However, the attitudes toward group action may differ from one place to another.
During survey, this subject should be carefully studied.

Analysis and reporting

Organization for effective implementation
After studying various institutional settings and their problems, suggestions should be
made as to which organizations should be involved in implementation and how the
work can be carred out effectively:

- not all the agencies which participate in the planning of a multi-disciplinary

watershed project should be designated as implementing agencies. Only those with
major responsibilities should co-sponsor the project. Others may remain as
cooperating agencies;

- institutional strengthening should be spelled out for the major responsible

organization(s);

- coordination mechanisms should be stipulated in details;

- an evaluation body should be established and should include the steering committee
or the liaison unit mentioned previously, and representatives of the local communities.

Suggestions on reasonable course of action

The report of this section should also include suggestions on a reasonable course of
action after studying and analysing various cultural aspects mentioned previously.
These may include the following subjects:

- a long-term strategy to overcome cultural difficulties;

- a pilot or a test area to obtain local reactions;

- a gradually expanded project;

- an intensive education program.

4.7. PLANNING APPROACHES AND BASICS

Planning in general

Survey and planning is a continuous process. Data collected from surveys are for
planning purposes while planning can not proceed without sufficient supply of survey
data. Therefore, to separate survey and planning is impractical. Especially in
developing countries watershed surveys are not carried out for academic study.
Rather, they are for management purposes. Fig. 4 at the end of Chapter 3 shows
survey and planning as a series of continuous activities. A dotted line dividing
"survey and data analysis" and "planning, monitoring and follow-up" is only for the
convenience of discussion. While survey approaches and techniques have been dealt
with in the previous chapters, this chapter will discuse planning approaches and basics
using various survey results. Economic assessment, alternative considerations, plan
formulation, monitoring and evaluation will be explained in the following chapters.

Planning approaches

Planning, by definition, is to "devise detailed methods for doing, arranging and

making something". For different things different approaches should be adopted. For
instance, planning an engineering structure such as a bridge is very different from
planning a watershed complex. Some useful approaches employed in watershed
planning are explained as follows:

Bottom-up approach

Many watershed projects have failed because farmers and local communities were not
involved in the planning process. Watersheds in developing countries are heavily
populated by farmers. Therefore, any watershed plan will not be successfully carried
out without their support or participation. Several ways can be employed to involve
farmers in the planning process. For instance, existing farmers' organizations can be
included in the survey and planning body. Local watershed committees can be
organized for planning and implementation purposes. Conducting individual farm
planning or group farm planning with the farmers will obtain details on how farmers
will use, develop and protect their farms. Involving villagers and communities for
planning community forests, pasture, roads, and other infrastructural needs are also
scopes of the bottom-up approach. During such planning processes government policy
and farmers' needs can be fully discussed. For watershed plans to be useful and
workable, they should be well understood and accepted at grass-root level.

Iterative approach

Planning is an iterative approach. Before a final plan is prepared, many studies,

assessments, alternative considerations and revisions will have to be made. Generally,
a preliminary or interim report should be made by gathering the results and reports of
each team (see examples given in Fig. 3). After receiving comments from all the
related sources, a review and revision period begins. The process may need to be
repeated several times to find the best results.

Flexible approach
A final watershed plan is not like a blueprint of a bridge. A watershed plan should be
considered as a starting point and should be kept under constant monitoring and
adjustment. There are many reasons. First, project life may cover 10 years or so and
many unpredictable things, caused by nature or man made, may happen during the
period. New problems need new policies and techniques to cope with them. Second,
watershed management is a complex task dealing with social, economical, cultural,
legal, institutional, and physical problems of a watershed. Difficulties may arise
during implementation and many times the original strategies and goals need to be
revised. Therefore, learning by doing is a very important process hence any such plan
should be kept flexible.

Flexibility means leaving rooms for future adjustment, modification, or revision.

Consequently, a monitoring and evaluation process should be built into the plan for
this purpose. This also means that the planned targets should be progressive, i.e.
smaller at the very beginning and gradually expanding with the added experience.

Land use and conservation needs planning

For many watersheds in developing countries, planning for proper land use and soil
conservation needs is a most important task. Land use planning is the process of
evaluating land and use patterns, together with other physical, social and economic
considerations for selecting or suggesting the best alternative uses. Land use planning
can be carried out at many levels. For our purpose, two levels may be sufficient. One
is to plan the watershed as a whole including all kinds of land and ownership. The
other is planning at farm or community level. Since planning conservation needs
should be based on present land use and land capability or suitability data, the results
of these surveys should be taken into consideration as the basic data.

Planning at watershed level

At the watershed level, the major concern of watershed managers or planners is
whether the land is properly used. Over-use of land usually causes soil erosion and
land degradation while under-use may cause waste and social problems in many
developing countries. Therefore, the sites, areas, degrees of misuse together with
ownerships should first be found out. As illustrated in Fig. 6 and in Example 7, such
information can be obtained by superimposing the present land use map and the land
capability map. Whatever the capability criteria are, the main principle is that land
should be used according to the capability. Any use beyond its capability should be
prohibited or discouraged. Use below its capability, though allowable from a
conservation viewpoint, is an economical loss subject to further adjustment.

Experience shows both over-use and under-use may exist in the same watersheds in
developing countries. These phenomena may need to be corrected. After a land use
adjustment map (see Example 7) and its statistics are produced, planning should be
initiated by stratifying land ownership, degrees of improper use, and adjustment
priorities. The general procedures are explained as follows:

- Seriously over-used lands should receive first priority of adjustment or protection.

On private lands, further individual farm planning with the farmers should be carried
out to study a mutual strategy to alleviate the problem. If new policy and/or incentives
are needed, suggestions should be made in the plan. On public lands, this problem
should be brought to the agency concerned for devising practical solutions. These
may include resettlement or reallocation on under-used lands in the same watershed.

- Over-used lands should be adjusted or protected accordingly. After planned with

individual land users, a time table should be worked out. - Under-used lands can be
planned in two ways. If they are publicly owned, these lands can be used for settling
those farmers who are now over-using their lands. Under-used private lands should be
planned for better use according to farmer's interests and existing policies.

- Lands which are used within or according to the capability can usually be divided
into two sub-categories. One category still requires soil conservation treatments and
another does not. For instance, existing paddies, terraced lands and forest do not need
any treatment. But many slopes classified as cultivable lands and under improper
cultivation will still need major conservation treatments in order to minimize erosion
hazards.

Another major consideration for the planners is what types of land use or crops are
best suited for the watershed. This may be based on land suitability and involve
studies of present crop patterns, farming systems, government policy, agro-climatic
conditions, marketing, agro-industry, and investment opportunities, etc. Any existing
or proposed plans for crop development, crop zoning, agro-industry, forest or pasture
development by either public or private sector in the watershed should be well
analyzed and considered in the plan. A land suitability map and related information
(see 7.1) may provide a sound base for such work.
Planning at the farm and community levels
Government may introduce and induce proper land use and cropping systems, but it is
the farmer who makes the final decision. Therefore, planning at the farm and
community levels are necessary. Farm planning is a joint venture between
government and farmers to draw up plans on how their farms are properly used and
protected. Government technicians, equipped with knowledge of land use and soil
conservation and guided by policy, give advice to individual farmer while the final
decisions of the plan should be made by farmer according to his or her interest,
resources and ability. The plan thus obtained will be much more realistic than the top-
down type of plan. A farm plan usually shows each parcel in the farm its physical
feature (soils, slope, capability), use conditions (present and proposed), major
conservation treatment (existing, proposed), time schedule for development and
protection together with costs and benefits, etc. To draw such a plan for individual
farms needs considerable time. The watershed managers or planners should be aware
of the numbers of farmers in the watershed and the time needed for such planning. If
they feel that time and resources do not allow for such planning at the project
planning stage, alternatives should be sought. The alternative may include the
following:

- Group planning, through farmers' groups and organizations.

- Classifying all the farms in a watershed into several models. Carefully plan for each
model and using the results for estimating land use figures, cropping trends and soil
conservation needs of the whole watershed.

-- Using the information obtained from the watershed level (explained in the previous
section) make a preliminary plan leaving room for future refining at the
implementation stage. In all cases, information on individual farms is needed in the
implementing stage. Planners should therefore make it clear when these individual
farm plans or group plans Twill be required. Likewise, plans for the use and
conservation of community lands in a watershed are needed. These may include
community pastures, village forest, and recreation areas. The community concerned
and the land users should be involved in planning future use of these lands including
improvement, development and conservation needs.

Planning for watershed protection and rehabilitation

In addition to conservation of cultivated lands, specific plans are usually required for
protection and rehabilitation of various kinds of lands in a watershed. While actual
needs are depending on watershed conditions, the following planning work may
normally be required:

- Forest protection and rehabilitation. For forest protection, planning work may
include provisions for fire lookout towers, firebreaks, fire suppression crews and
equipment, warning systems, education meetings, and forest patrol needs, etc. The
need for protection forest in upstream areas and agroforestry for cultivated slopes
require careful planning. For watershed rehabilitation, a reforestation plan including
goals, schedule, species, techniques, nurseries, and roads, etc. is usually required.

- Pasture improvement and protection. Such a plan is usually needed for public
pastures and range lands including the work of reseeding, fencing, rotational grazing,
control of the number of animals, supply of water and sheds, etc.

- Gully control, stream protection and landslide rehabilitation. These may include
using both vegetative and structural means. Check dams, submerged dams, spur dikes,
riprapping, diversions, channel clearing or reshaping, reseeding, establishing stream
buffer strips are some of the rehabilitation work needed.

- Road erosion control. This is a very important work in watersheds of developing

countries. The plan should aim at the protection of existing roads: their surfaces,
ditches and cut and fill slopes including rehabilitation of land slips and road
foundations. The required work may consist of hydroseeding, retaining walls, wattling
and staking, cross drains and culverts and their proper maintenance.

- Other protection and rehabilitation work. Such as mining control, mined area
rehabilitation, pollution control, stabilization of housing sites on slopes as required.

Planning for rural and integrated watershed development

In many watershed projects, several components of rural development are normally
required. Depending again on the actual needs of a watershed, the development plans
may include the following:

- Irrigation and water harvesting. Even in the humid tropics, there exists a pronounced
dry season for several months. No crops can be grown during that period. Minor
irrigation and water harvesting for the provision of supplementary water at the
beginning of the dry season will help farmers to grow one more crop, thereby
increasing their income. In some watersheds, domestic water has to be supplied or
supplemented by water collection devices. The planning work generally consists of
studying rainfall and crop patterns, analyzing water requirements, identifying source
areas, proposing water delivery, storage and distribution systems.

- Road development and improvement. This kind of work is always needed although
the road authorities should bear chief responsibility for it. Joint planning by road
authorities and watershed people is necessary. Planning for new roads should include
carefully consideration of their necessity, sites and future maintenance needs.
Otherwise, improperly built and maintained roads may create more erosion hazards.
Planning for road improvement should include all roads and trails in a watershed. The
latter are usually neglected but they are used by farmers daily. Drainage, road
regrading, surfacing, slope stabilization and better maintenance are some of the
improvements to be carefully planned.

- Housing and building construction. Housing includes building new houses and
improvement of existing ones. The former is usually associated with settlement or
land allocation schemes and normally have set standards for planning and designing.
However, watershed planners should help to select safe sites for housing and to
review housing standards from both practical and economical points of view. Housing
improvement may be needed extensively in many watersheds. Kitchens, toilets, and
roofs may be the priority items for improvement. Other construction calling for
planning are markets, schools, and clinics. As with housing, there may be competent
authorities in charge of their respective development. Watershed planners and
managers, however, need to assist with proper siting and site stabilization.

- Other development plans. Other development plans may be required such as

establishing small power plant, cottage industry, agro-industry, etc. In each case
competent authorities or experts should be consulted.

4.8. ECONOMIC AND OTHER ASSESSMENTS

Aspects of assessment
The major aspect of assessment work is economic assessment or appraisal. However,
many other assessments should also be taken independently or in conjunction with the
economic assessment. Consequently, assessments may cover seven aspects as
follows:
- Technical aspects, including technical criteria, practicality, farmer's acceptability,
technological effectiveness, etc.

- Managerial aspects, including institutional capability, coordination, extension

services, training, etc.

- Economic aspects, including determination of investment justification for the

project, identification of alternatives, and examination of project contribution to
national and local economy, etc.

- Financial aspects, including examination of cash flows, returns to farmers and

individuals, incentives, repayment schedules, etc.

- Commercial aspects, including marketing channels, supplies of material,

arrangement of procurement, etc.

- Social aspects, including income distribution, employment opportunities, women

and youth involvement, etc.

- Environment aspects, including soil stabilization, ecology, resources conservation,

etc. Not all the assessments apply equally to a project. Economic and financial
assessments can be carried out together since they use similar input and output data.
During economic assessment, detailed technical criteria and relationships together
with managerial capabilities will have to be examined. Commercial assessment may
little be needed if only subsistence type of agriculture is involved in a proposed
project. For integrated and rural development type of watershed projects, social aspect
of assessments should be much emphasized. Many of the impacts of a watershed
project are also environmental and normally need to be analysed and assessed.

Objectives of economic assessment

The main objectives of economic and financial assessments (or appraisals) are to
provide answers to the questions asked by decision-makers such as follows: (FAO.
1987):

- Are economic benefits greater than costs?

- What is the budget impact likely to be for the agencies and for private entitles
involved?

- Will the project increase economic stability of the affected region? Will it have
balance of payments impacts?
- Will the project be attractive to the various private entities (e.g. upstream
inhabitants) who will have to put resources into the project to make it work?

Since economic and financial assessments are important and necessary to every
watershed project, watershed managers and planners who are not economists by
training should understand the assessment techniques and procedures, and thereby
provide the necessary inputs to such activities. On the other hand, economists who
assess watershed projects should also understand the unique characteristics of
watershed work for better coordination hence better results.

Economic characteristics of watershed projects

Long term work and inter-generation benefits

Watershed work usually needs long-term and persistent efforts to obtain planned
results. For instance, land use adjustments, soil conservation, or reforestation requires
long-term investment, management, and maintenance. Yet the full benefits may only
be realized after one generation or more. These characteristics make project planning
and economic assessment difficult. One is that benefits predicted may not be realized
in the long run due to rapid changes of socio-economic conditions of a country. For
instance, the benefits or establishing fuelwood forests may be greatly reduced when
the rural people change stoves. Another is the use of discount techniques to value
future benefits. For example, using a 9% discount rate, , a $ 1 000 benefit 20 years
from now is only worth $ 178.4 today, and for 30 years only $ 75.4. The long term
nature of watershed projects always puts these benefits unfavourably when compared
with other projects in economic terms, unless economists and planners get together to
identify fully their benefits to justify such projects.

Multiple use and multiproducts

Watershed projects usually relate to multiple use of watershed resources e.g. soils,
water, forest, grass, fishery, mineral, etc. Use of one kind of resources may affect
others. Increasing benefits of one type may impair or damage others. For instance,
timber harvesting may increase erosion and sediments and impair fishery and
recreation values of a watershed. On the other hand, the products of a watershed
project can be many: food crops, fruits, fodder and livestock, fuelwood, timber,
animals, and fresh water fish. Each of them is a specialized field. For effective
assessment, not only the production function, demands, price structures of each
product need to be understood, but also the relationships and conflicts of resources
use should be fully comprehended. Taking into consideration one aspect and
forgetting the others, or counting only benefits and neglecting its negative impacts are
not uncommon and can be misleading the decision-makers.

Externalities

A watershed project generates a host of effects which are not accounted for in the
analysis of financial or economic impacts because they occur outside the market and
do not directly affect the project cash flow. These are commonly referred to as
"indirect", "non-market", "spillover" effects or "externalities". These effects should be
included in the analysis of watershed management projects, because they affect the
whole economic and environmental system, although not the cash flow of the project
in question.

In many cases externalities are difficult to identify and quantify. Many of them cannot
be meaningfully valued. However, when important, an attempt should be made to
describe them at least in qualitative terms, if quantification and valuation are not
possible. An important point to remember is that when a positive externality has been
identified, it is also necessary to search carefully for any corresponding negative
externalities.

There is not one way to proceed in the identification, quantifaction and valuation of
externalities. A great deal of experience is needed as is a good knowledge of the
complex interactions between watershed management activities and their effects
outside the project. Some externalities can be accounted for in the economic analysis
of projects through shadow pricing inputs and outputs.

Spatial distribution of costs and benefits

Somewhat related to but not equal to externalities is the spatial distribution of costs
and benefits of a watershed project. For instance, the effects of soil erosion alone may
cover three areas (Sfeir-Younis, 1983):

- Intra-farm effects, e.g. loss in fertility, decrease in area cropped, decrease in

cultivation intensity, reduction of soil depths and crop production.

- Inter-farm effects in a watershed, e.g. silting low lands or wetlands, sedimentation or

eroding of upstreams, increase or decrease of runoff, decrease of groundwater
supplies.
- Inter-area or downstream effects, e.g. sedimentation of river systems outside the
watershed, siltation of reservoirs, clogging of irrigation canals, and increasing the
probability of flooding.

Difficulties in quantification and valuation

Because of lack of basic data in many developing countries, quantification of benefits

may constitute primary difficulties to any economic assessment. It is not enough, for
instance, to say that the project will reduce flood damage. A series of data need to be
collected such as flood frequency and magnitude, areas affected, heights and time of
inundation in relation to crop and property damages, and the flood reduction effects of
the proposed project. Without these, valuation of benefits is not possible.

As mentioned before, not all the benefits derived from a watershed project can be
satisfactorily quantified and valued. Reducing losses of human life, improvement of
living conditions, or increasing aesthetic beauty, etc. can hardly be put in terms of
dollars and cents. Many attempts have been made (Hufschmidt _et al., 1983) to put
values to these benefits. However a universal application of their methods remains to
be developed. In many cases, a qualitative description of these benefits may satisfy
the decision-makers.

Functions and limits of economic assessment

Watershed managers and planners need to understand the functions and the limits of
economic (and financial) assessment and what an economist can do to help in project
planning.

The main functions of economic (and financial) assessment are as follows:

- To analyse the project worth in the context of national economy using cost and
benefit analysis techniques.

- To determine whether the project is feasible and attractive to investors e.g. farmers,
government agencies, banks and others.

- To examine risk factors of a proposed project using sensitivity tests and to see
whether the project will stand for changes, physically or economically.

- To assist project design and to present various alternatives to the decision-makers on

scale, technology, timing of a proposed project.
On the other hand, watershed managers and planners should realize that although
economic assessment is a useful tool to project planning it does have its limits. The
major ones are as follows:

- As mentioned earlier, not all the watershed benefits can be quantified and valued.
This makes cost and benefit analysis difficult. Sometimes qualitative descriptions are
allowed.

- Economic assessment is a tool. It is as good as the data put in. Lacking basic data in
many developing countries such as erosion and sedimentation rates, erosion and
productivity relationships, and flood damage records may affect greatly the
assessment results.

- Finally, economic assessment is only one of the many needed assessments of a

watershed project though it is an important one.

Major techniques in economic assessment

Watershed managers and planners who are not economists by training need to
comprehend the major techniques used in economic assessment for the sake of better
communication, understanding and coordination.

With and without project approach

Comparing the impact of "with" and "without" project is a normal technique to
determine a project's worth. Their difference is the net additional benefit arising from
the proposed project. However, this is not the difference between "before" and "after"
the project because the "without" case is not static. For instance, erosion and land
degradation will be going on over time without soil conservation measures ("without"
project). Fig. 10 shows the with and without project conditions.

Discount

Project costs and benefits can only be compared at the same point of time. One
hundred dollars 20 years from now does not represent the same value as one hundred
dollars today. Therefore, the main objective of discounting is to bring the future
values, benefits or costs, to the present values for comparison using an appropriate
discounting rate.

Cost and benefit analysis for project worth

Cost and benefit analysis is an important technique to systematically compare the
streams of costs and benefits in order to determine economic efficiency of a project or
project worth. There are basically three measures using the same input data and
assumption, as follows:

1) Net present value or net present worth (NPV or NPW)

This measure is used to determine the present value of net benefits of a project i.e. the
difference between the present value of the stream of benefits and the present value of
all the costs. A project (or certain component of a project) may only be accepted if
this difference is zero or positive (B - C 2 0). To compare several alternatives, the
analysis results can be ranked for decision making.

2) Benefit and cost ratio (B/C ratio)

This measure is to determine a ratio using present value of all the benefits in the
numerator and the present value of the costs in the denominator. A project is
considered to be economically sound or acceptable when the calculated value is larger
than or at least equal to 1 (B/C > 1). The results can also be shown as a ranking of
alternatives.

3) Internal rate of return (IRR)

This is the discount rate, which, when applied to the stream of benefits and costs,
produces an equal present value of both or a net present value of zero (A discount rate
when B = C, or B - C = 0). This particular rate is called IRR and represents the
average earning power of the project's investment to be compared with other
investments.

Each measure has its pros and cons. NPW shows the magnitude of the net benefit of a
project but indicates nothing about returns per unit. B/C ratio and IRR, on the other
hand, give no indication of the magnitude of net benefit. Since they use the same set
of data and a microcomputer can now help the analysis, economists may use all three
measures with little effort to obtain a complete picture.

Cost effectiveness analysis (CEA)

When benefits have problems to be quantified or valued, or the work must be done by
whatever the reason, cost effectiveness analysis can be used. The objective is to find
out least cost to achieve the given goal (FAO, 1987). Or, costs are estimated in
association with various levels of physical benefits and the results are presented to the
decision-maker to decide which level of cost is justified (Shaner, 1979). Fig. 11
illustrates the principle of cost effectiveness analysis.

Sensitivity Analysis

It is a test of the impacts due to changes in cost, benefit, discount rate or others on the
net present value or profitability of a project. Because of the many uncertainties in
estimating future benefits and costs, this analysis will find those elements and their
relative magnitudes of change that will affect net benefit of a project. Once identified,
planners can then change the design of the project, build contingencies, or adjust the
decision criteria (FAO, 1987).

Financial analysis

A project benefiting the nation as a whole may not be beneficial or feasible to the
individuals who will invest in it, whether the individual is a farmer, businessman,
private or public agencies. An apparent example is erosion control work which may
sometimes benefit society more than the farmers in the upstream watershed who need
to invest heavily in soil conservation work. As mentioned previously, financial
analysis uses almost the same basic data as the economic analysis to study
additionally cash flows, financial returns to the private entities, etc. in order to know
whether the project is attractive.

Economic assessment procedures

An introduction
Planners or watershed managers should first realize that economic assessment or
appraisal usually goes through a progressive and iterative procedure. Economists
should be involved in the early stage of the survey and planning process for the
purpose of initiating design, establishing technical relationships, recommending data
needs, and analysing preliminary results. As the planning work proceeds, rough
assessment and estimation of costs and benefits will have to be carried out many
times, back and forth, to consider among alternatives. After the preliminary results put
into the project's interim report, more work still needs to be done for revision or
refinement as government authorities or funding agencies state their requirements.

Major Procedures
The major procedures involved in the economic (and financial) assessment are briefly
explained here. Details can be seen from the Guidelines for Economic Appraisal of
Watershed Management Projects (FAO, 1987) and the Public Management of
Forestry Projects (OECD, 1986).

1) Developing technical relationships and quantifying physical inputs and outputs.

The work includes defining and quantifying "without" project situation such as
erosion and sediment rates over time; estimating "with" project impacts; and
developing tables which show inputs and outputs for one or more alternatives.

2) Determining values and developing value flow tables. The procedure includes
assigning monetary values; valuing watershed management inputs such as labour,
equipment, material; valuing watershed

project benefits such as crop increases, dredging costs avoided, and flood losses
reduced; and developing an overall value flow tables.

3) Measuring project worth. Using the techniques described in Section 9.4 to calculate
and compare cost and benefit of each alternative.

4) Sensitivity Test. It is essential to test the sensitivity of the chosen measure(s) of

project worth in terms of alternative values for many key factors, e.g. the discount
rate, benefit value estimates, cost assumptions, etc. The results can be used for project
revision or refining.

Assistance required for economic assessment

In the process of economic assessment, watershed managers and their team
technicians need to work closely with economist(s). Not many economists have
sufficient knowledge about the techniques of watershed management and soil
conservation, and most of them will need technical inputs during the assessment of a
project.

Assistance in establishing technical relationships

This is probably the first important step toward a sound assessment. The watershed
technicians should try their best to provide technical information such as erosion
figures on various land use types, sedimentation rates, effectiveness of various
conservation measures in erosion reduction and crop production, and so forth. Such
data should best be based on local experiment results and surveys. In developing
countries where research and basic data are lacking, professional judgement, or
information from similar ecological regions may be used. Realistic estimation should
also be given concerning the watershed situation if no project were to be carried out
over time. Likewise estimations of the expected results of the project should be
realistic. Exaggeration or insufficiency will mislead the assessment.

Assistance in identifying costs

Costs of various watershed rehabilitation or protection practices are relatively easy to

identify. Labour, equipment, raw material and land (purchasing or renting) can be
accurately determined by experienced technicians and provided to the economist.
However, the economist, after investigating the market price, may for certain reasons
use different set of values such as opportunity cost and shadow price to reflect the real
situation. The technicians should make every efforts to understand the underlying
reasons for such assumptions. Indirect cost may not be easy to identify. Assessment of
watershed project impacts should also look into indirect cost and negative impacts to
show the real picture. For instance, in some countries, gravel reduction in downstream
areas may cause high construction cost in the cities due to material stopped by check
dams in the upstream watershed. Such cost should be included in the assessment
calculations.

Assistance in the identification of benefits

Insufficient identification of benefits has been one of the major reasons why
watershed projects receive low priorities among other development projects. On the
other hand, it is often difficult to identify, quantify, and value watershed project
benefits when indirect and intangible benefits are involved. Although much of the
work will be done by the economist, watershed managers and technicians should
understand some of the techniques used in quantification and valuation. Once
understood, they can assist economist better to identify benefits. The following
techniques are used quite often in the benefit valuation:

1) Increase value of production: Including crops, animals, timber, fruits, fish, etc. for
greater physical production, quality improvement, better timing or better prices, etc.

2) Avoidance of losses: Such as dredging costs avoided, water treatment cost avoided,
flood losses avoided, transportation losses avoided, and water use losses avoided, etc.
A simple example of the latter is shown in Example 24.
3) Cost savings: Such as lower transportation cost due to new roads or better roads,
less maintenance cost of hydro-power plants, and saving replacement cost of dams
and equipment, etc.

4) Increase value of land and properties: Due to both improvement of environment

and increase of productivity.

Three important things should be kept in mind in identifying and valuing watershed
project benefits. First is to avoid double counting. Second, the negative impacts of a
project may easily be neglected by enthusiastic technicians. A fair economic
assessment should be based on all impacts. Last but not least important is that not all
the benefits can be put into dollars and cents. As mentioned previously, such benefits
should also be clearly described in qualitative terms and included in the final
assessment.

Other assessments

In the process of economic assessment, many other aspects will have to be included or
implemented such as technical aspects, managerial aspects, financial and commercial
aspects, or social aspects, etc. Depending upon project needs and manpower
availability, these assessments can also be done independently.

Experience shows that since many watersheds in developing countries are inhabited
by small farmers, the social aspects of a project usually merits an in-depth and
separate assessment. Emphasis could be placed on many facets of social concerns
such as who will be really benefited from the project? Will the small farmers and rural
poor be better off? What are the employment opportunities for women and youth?
And how many upstream inhabitants take part in the decision making on watershed
resources use?

Environmental impact is also a growing concern. Fortunately, watershed management

and soil conservation projects are usually good for the environment. However, when
rural infrastructures are included in a project such as road building, settlement and
housing, water diversion, etc., their environmental impacts need to be assessed.
Sometimes, environmental assessments are also required on extensive reforestation
proposal in a municipal watershed, large scale forest conversion and crop
development, and drastic land use changes in a watershed.

4.9.CONSTRAINTS, ALTERNATIVES AND STRATEGIES

Identification of constraints
The main purpose of identifying constraints is to consider alternative courses of work,
counter measures, and proper strategies for better management.

Budgetary constraints

In many developing countries, budgetary constraints are often very serious. The
common phenomenon is an absolute insufficiency of funds. Another kind of
constraint is the uncertainty of forthcoming funds even when the budget has been
approved. It is not unusual that field workers start work, sign agreements, promise
subsidies to farmers in order to complete a seasonal task, yet they have to wait
embarrassingly to get the needed funds. It is also not uncommon that funds allocated
for watershed work are diverted for unrelated fields. These constraints can be both
discouraging and damaging. Planners, therefore, should identify them with other
problems during the planning stage and make every effort to ensure necessary
budgeting and proper flow and use of funds.

Manpower constraints
This is probably the most important constraint of all. A lack of funds can be solved by
getting loans or grants from aid agencies or banks but work has to be done by people,
especially people in the field. Without properly trained technical staff, any project
will fail. To identify the needs of technical staff, the following factors must be
considered:

- Numbers, levels, basic qualifications and sources of staff.

- Training needs including type of training and time schedule.

- Incentive needs for field staff especially for those stationed in remote areas.

Watershed work is often labour intensive e.g. afforestation, terracing, gully control,
etc. Although there may be idle hands in the uplands, they are often difficult to find at
the needed time. Temporary migration to do a seasonal job such as cutting sugarcane,
picking coffee beans or working at factories may cause labour shortages in upland
watershed areas. Identifying such constraints will help to design implementation
schedules and the establishment of realistic goals for the project.

Constraints relating to mobility and equipment

In developing countries it is not unusual to see that many of the best trained
technicians are kept in the office and do little field work due to lack of vehicles, per
diem, or necessary equipment. This is a genuine waste of time and precious human
resources. Watershed work is a field-oriented task. There is no substitute for field
work regardless of how well the plan is prepared.

The lack of vehicles in many countries has greatly hampered work progress in the
field. It is very difficult to transport instruments such as surveying levels and rods by
bus or by other means of public transport. Besides, many upland watershed may have
no public transport. Unless the proposed project can provide sufficient vehicles,
ensure that most of them are stationed in the field, and can make provisions for proper
use and maintenance, this will be always a serious constraint.

In addition to vehicles, the proposed project should provide for sufficient per diem
and travel expenses. If equipment, vehicles and instruments are to be imported from
abroad, advance planning is necessary often, a project is delayed simply because
vehicles and equipment have not yet arrived.

Constraints relating to technical information

Watershed management is a relatively new field in most developing countries. Few
universities or colleges offer formal training in this subject, and research is also in its
early stages. Therefore, technical information is always lacking.

If there are books or publications available, they are often written in foreign languages
and contain information related to a different set of environmental conditions. For
instance, watershed experiment results have been largely obtained from temperate
zones whereas most developing countries are situated in the tropics and subtropics.
Transfer of technology is a serious constraint and should be considered early in the
planning stage.

Constraints in farmers' participation

As emphasized before, farmers' participation is a key to success in most of the
watershed projects in developing countries where uplands are heavily populated with
small farmers. From a government point of view, there may be no reason to believe
that farmers will not participate in a project if there are sufficient resources to help
them. However, this may be over optimistic. The farmers themselves usually face
many constraints which hamper them from participating in such a project, for
example:
- They may not sufficiently comprehend the objectives of watershed management.
They may feel that the government is asking them to protect the watershed for the
benefit of others (downstream people).

- Traditional practices, for example, shifting or slash and burn cultivation, may not
easily be changed over a short period.

- A conservative attitude may tend to resist any innovative or drastic measures.

- Shortages of labour and capital may restrict them to participate in any improvement
task.

- Their economic status may not allow them to take any risks.

- They may be more interested in getting quick returns from their lands than in
conserving soils for future use.

Whatever the constraints, the planners should identify them clearly with the help of
socio-economic surveys, rapid rural appraisal, etc. Solutions or strategies should be
sought and necessary arrangements be made to alleviate these problems.

Policy constraints and others

Serious policy constraints on land use and management should be brought to the
attention of the government. For instance, lack of policy on encouragement or
incentives for proper land use will result in difficulties in the land use adjustment
previously described. Conflicting policy on use and management of various resources
in a watershed may make implementation of watershed plans difficult. This with other
institutional constraints should be well identified.

Management alternatives
Management alternatives should be studied and prepared during the planning stage in
order to:

- Provide alternative courses of action.

- Keep plans flexible to cope with unforeseeable changes.

- Give government an unbiased look at the problems and their solutions

The best time to consider alternatives is when the field survey data are being gathered
and analysed and the preliminary or interim report is being written.

Alternative work, costs and effects

Whether there are any better alternatives than the proposed work in terms of cost and
effect is always a challenge to planners. Such alternatives may include a different
approach, different kinds of work, changes of time schedule, location, etc. If time
permits, these alternatives should be evaluated systematically. The objective is to see
whether or not a proposed change will yield increased benefits which are greater than
increased costs, or the same benefits with reduced costs. For instance, for land
protection and erosion control on steep slopes, allowing voluntary vegetation to grow
may be the alternative to reforestation in the humid tropics. The latter will usually
cost more and, if unsuccessful, will cause more erosion.

Technological alternatives and research

Research which identifies ways in which better results or lower costs can be achieved
may support the adoption of technical alternatives. For instance, in soil conservation
work, hillside ditches, a series of narrow and discontinuous benches, have been
effective in erosion control (reducing erosion about 80 percent), requiring only one-
fifth of the investment compared to bench terraces (which reduce erosion 90 to 95
percent). Unless farmers contemplate irrigation and mechanization which necessitate
bench terraces, hillside ditches can be a valid technical alternative in protecting
cultivated slopes.

Alternative budgetary sources

As discussed earlier, budgetary constraints are one of the major obstacles of adequate
planning and successful implementation of watershed projects in developing
countries. Most governments are interested more in rapid increases in production,
earning foreign exchanges, and developing industry and cities than in protection of
upland watersheds. Some alternative budgetary solutions that link watershed work
with other development efforts are suggested below:

- A small percentage of funds from major construction or development projects in the

watershed such as reservoirs, mountain highways, forest roads, mining, and housing
development, can be allocated for protection purpose, especially for those activities
which cause instability of watershed slopes.

- A portion of the earning from export crops such as coffee, banana, tea, pineapple,
citrus, etc., which are grown on the slopes of upland watersheds and which need soil
conservation treatment can be earmarked for protection purposes.
- Small fees can be added to the utility bills of dwellers in cities or towns which
benefit from upstream watershed protection. The money can be directly distributed as
incentives to the upland farmers who adopt prescribed conservation measures or used
for watershed protection activities.

- Watershed or conservation districts may be established in some developing countries

and fees and grants can be collected for watershed protection and improvement.

All the above-mentioned alternative sources need government policy or legislative

support. However, because they are linked to other important development efforts,
governments may be more likely to grant support in this manner than budgets
exclusively for watershed protection.

Incentives and education

Whether or not farmers should be given material incentives (in addition to technical
assistance) to adopt watershed conservation measures is a question which should
receive much attention. On the one hand, people realize that upland farmers are
usually poor and should not bear the full cost of erosion control which will accrue
benefits to others, e.g. reducing sedimentation and flood damages downstream. On the
other hand, poor developing countries often cannot afford large expenses in the form
of subsidies. Furthermore, farmers may develop a dependence on government
handouts. Proper education may be more effective in the long run.

There is no easy answer to this dilemma. In general, some incentives are needed until
farmers are convinced of the real benefits of such work (e.g. increased production and
income). The length of time before these incentives can be reduced or eliminated will
depend on extension efforts and farmers' income conditions.

There are many alternatives regarding the types of incentive and how they can be
offered:

- Cash subsidies are relatively easy to handle and can be distributed during and after
the completion of the prescribed work. Further decisions, however, should still be
made on appropriate rates for each type of work; too much or too little will affect the
outcome. Another important decision must be made on whether subsidies should be
given for maintenance work and if so, for how long?

- Sometimes, to avoid misuse of cash, food, fertilizers and tools can be given.
Payment in kind instead of cash, however, creates problems of purchasing, storage,
transportation, and farmers' preference. It, therefore, adds burdens to the
administration as well as to field officers unless such service is already available (i.e.
under FAO World Food Programme).

- The government may directly hire crews to do some of the work of a more technical
nature as incentives, e.g. waterways and gully structures on private farms. The
potential problem is that when the local farmer does not participate in the work from
the beginning he or she may assume that the government will be permanently
responsible and therefore pay no attention to their maintenance.

- Exemption of tax on property and income can also be used as incentives. Adoption
of this method requires an in-depth study in collaboration with the land and tax
authorities to determine the proper criteria and period.

- Supervised credit or low interest loans with a reasonable grace period can also be
used as incentive or as additional help to farmers. The effectiveness of these however,
depends on the willingness of the farmers to incur debts, their capabilities to repay
and whether they are qualified for the credit or loans.

- Other direct or indirect incentives including marketing and transportation

arrangements, price support, and improvement of community amenities can also be
considered.

Even if incentives are given, extension or education efforts cannot be allowed to idle.
Short-term incentives may be used to boost farmers' enthusiasm and their
participation in the beginning, but the success of any watershed project depends on
the farmers' real understanding and their continuing support.

Project vs. programme

One important consideration facing any planner is whether the watershed needs a
project to be carried out in a definitive time frame or needs a continuous permanent
programme. If, for the time being, a project is preferable, what kind of follow-up plan
is needed? In many developing countries, watershed projects are supported by
international funds over a period of several years. All too often, however, efforts are
discontinued at the end of the project term and a new project with different funding is
started somewhere else. This kind of "artificial injection" without continuity may
cause negative effect. Discontinuity will not only damage government credibility and
farmers' trust but also cause non-maintenance of roads, plantations, structures, etc.,
which, once failed, may induce more damage than before. Therefore, it is the
managers' or planners' responsibility to explain and convince the authorities the need
for a long-term approach to watershed management. If a foreign-aid project is
proposed for the initial stage, they should also plan government follow-up activities
and include the required long-term commitment in the proposed plan.

Strategies
Each country has its own problems and own conditions. Therefore, the following
strategies are only for general reference.

Strategies for strengthening field implementation

Field implementation in developing countries is often hampered by many constraints.

Strategies for strengthening field implementation which should be considered during
the planning stages include:

- Establishment of sufficient field offices at strategic locations for accommodating

staff working in the field. Necessary amenities should be provided so that the staff
will not suffer when they are dispatched to the field.

- Provision of incentives such as special allowances (or hardship allowance),

fellowships and better career opportunities should be made to field staff in order to
encourage on-going work.

- Special achievement allowances are offered by many countries. The allowance is

either given annually according to areas treated in conservation extension or extra per
diem is paid according to the progress of work done in the field.

- Vehicles and equipment should be provided as needed. Field work should receive
priority in allocation of vehicles and any abusive use should be prohibited.

- Coordination among various agencies should be ensured by better liaison and

division of labour. Any conflicts or duplication of duties should be addressed and
corrected in the shortest possible time.

- Budget funds and supporting services from head offices should be streamlined to
back up the field operations.

- A field inspection, evaluation, and reporting system should be established at

headquarters or regional offices to supervise and control the progress of work.

Strategies for transfer of technology

Transfer of technology is usually needed in watershed projects including information
and experience from foreign countries, from other regions of the same country, as
well as from technicians to the farmers.

For information collection, transfer and monitoring, a proper unit or post should be
established to perform the following duties:

- Directly collect information and data from selected foreign institutions and translate
or outline the ones having immediate interest.

- Liaise between national institutions on exchanges of information and data on

watershed management.

- Systematically establish a data base for the use of technicians and farmers.

Foreign experts can be hired if needed and if there are resources to employ them.
Fellowship abroad should also be considered. After returning, their final reports
should be distributed and discussed among staff concerned. Seminars, workshops and
training courses should be scheduled as part of the proposed watershed project.
Through these activities, international experts, local specialists and returned fellows
can share their knowledge and experience with others.

In order to transfer information and experience to farmers, result or process

demonstrations on both public and private lands should be emphasized. Unless
farmers can read, extension pamphlets may not have much use in upland watersheds.
Practical training of farmers' leaders or contact farmers including visiting tours is very
helpful because farmers usually trust neighbours more than outsiders.

Strategies for financial control

It is not unusual that a project or programme stops short of completion because of
over-spending or because the original budget is insufficient to cover increased costs.

Although outside factors such as inflation, devaluation, or increases in minimum

wages are difficult to control, the planners should prepare strategies to deal with these
situations, should they occur. Some strategies are:

- Include an inflation factor in the cost estimates.

- Set up contingency funds in the project for unforeseeable future expenses.

- Exercise strict control of expenditures.

- Order or purchase equipment, vehicles, or material promptly as soon as the funds are
approved.

- Endeavour to reduce costs through improved work efficiency and other means.

- Try alternative technology through research or field experiments to achieve the same
or better results at less expenses.

Strategies for ensuring farmers' participation

Farmers' participation in protecting and developing watershed lands is a key to
success.

Many strategies should be considered in order to ensure farmers' participation on a

continuing basis. The following strategies are provided as examples:

- At the beginning of the project, small demonstration plots should be established in

sufficient numbers on private as well as public lands to show the real benefits of the
planned improvements, e.g. conservation farming.

- An intensive education and extension campaign should follow, using the results of
the demonstration plots and experience of the farmers who participated in the
demonstrations.

- If needed, a financial incentive programme (subsidies and/or credits) should be

ready to help those farmers who are ready to participate in the proposed scheme.

- A technical assistance programme should also be available to whoever wants to join

the watershed project. This is particularly important. Once interest is generated among
the farmers there must be a programme to help them to plan and start the work;
otherwise their enthusiasm will soon fade.

- A special effort should be made to organize interested farmers into neighbourhood

self-help groups. The leader of each group can be designated as the contact farmer. He
will receive intensive training and, if possible, partial wages from the project and will
act as a bridge between the government and the local communities. He will also share
his training with the others, and thus supplement the usually insufficient agents and
over-worked extension service.

- A regular follow-up and inspection system should be established to help the farmers
in maintenance, cropping and marketing activities, etc.
Strategies for proper maintenance
Maintenance is an extremely important part of watershed work but it is often
neglected, with a resultant decrease in efficiency and increase in damage and waste.
Strategies for proper maintenance should be carefully considered when the project is
formulated.

On public lands and for public work such as reforestation, roads and check dams,
budget provisions should be made for routine maintenance by government hired
labourers. For watershed conservation work on private lands, a small incentive or a
portion of the subsidies should be given for maintenance until the structures are
stabilized or until plantations are established. An annual competition with small
awards is another way to encourage farmers to continue proper maintenance. A sound
inspection system should be established to oversee the maintenance activities.

Experience in some countries has shown that farmers, for the sake of cash subsidies,
undertook ambitious soil conservation or tree planting work which they could not
maintain. To avoid this kind of mishap, cautions should be taken as suggested below:

- For planners, a realistic target for protecting and treating farmers' lands according to
their capabilities will be more fruitful than an ambitious one.

- For field officers, proper maintenance inspection should be considered as one of

their major responsibilities.

- For farmers, treating or planting more lands than they can maintain should be
realized as a waste of energy and time.

As mentioned earlier, for cultivable land after conservation treatment, follow-up or

parallel services such as cropping, credit and/or marketing arrangements are
extremely important. If the land remains unused or idle, for whatever the reason, the
conservation structures or any improvement measures will usually not be maintained.

4.10. PLAN FORMULATION, RECOMMENDATIONS, AND MONITORING

AND EVALUATION

Plan or project formulation

Determining management goals
After various surveys, analyses and alternative plans and considerations, realistic
goals for the proposed plan or project should be determined. These goals are usually
set against possible resources, institutional capabilities, government intentions and
local needs. The goals should be progressive and allow for future adjustments.

Determining priorities and sequences

Not all watershed work can be started at the same time. There must be a logical
sequence for implementation. As mentioned previously, priority sub-watersheds
should be selected according to their locations, degree of disturbance, accessibility,
management readiness and feasibility.

Priorities must be set not only for sub-watersheds but also for work. For instance,
should the community road be built at year one or at year three? Should the farm
ponds planned for the area be constructed before or after the road is built? And if
after, how will the erosion and sediment from the new road affect those ponds?

For the integrated development of a watershed, the setting of priorities is a complex

task. Should the project concentrate first on improving farm productivity or on
development of infrastructure? Should a processing plant be established first or
should it be built only after sufficient raw material has been produced? What are the
priority needs of the local people? And what are priorities of the government?

A clear determination of priorities and sequences of work at the planning stage will
benefit not only future implementation but also budget allocation. An orderly supply
of funds is only possible with good and careful planning.

Preliminary or interim reporting

At approximately the mid-point of project planning, a concise preliminary or interim
report should be prepared and presented to the government or other authorities for
policy guidance, comments, and feedback. The interim report often contains a general
assessment, alternatives and intended targets against possible investment and the time
horizon.

This kind of preliminary report may omit many technical details but should emphasize
important issues in addition to presenting the basic findings. The main aspects to be
highlighted are:

- Explain long-term and short-term targets and their respective investment

requirements for government consideration. If, initially, an international agency will
support a short-term project, the government should be asked to continue the
programme afterwards or make a long-term commitment. In the case of a purely
government programme, the report will alert the government to the magnitude and
time of investment required and enable it to make necessary preparations or
commitment.

- Interpret existing government policy and, if necessary, propose new policy or its
revisions to facilitate future implementation.

- Show the result of economic assessment.

- Obtain general approval of the planning methodology from the government.

Detailed financing plans

After the government and funding agencies have agreed on the new project in
principle, financing is the final important facet the planners must confront. Without
sufficient and proper financing, an economically sound project may never be started.

There are at least three parts of financing that should be well considered and planned.
The first part is the direct investment from the government including funds for
administration, training, fellowships, purchasing, materials, labour, transportation, etc.
Although it is straightforward, it still needs proper and detailed budgeting.

The second part is the money used for production, usually in the form of loans to
either private or public enterprise (e.g. agro-industry). Planning of this part is much
more complicated. Cash flows, interest rates, returns and repayment schedules, etc.
should be well planned.

For watershed projects, detailed financial plans are also needed for small farmers. For
instance, the kind and size of credit, mortgage requirements, grace periods, repayment
abilities and schedules, and subsidy needs, should all be studied thoroughly.

Determining the contents of final report

The contents of the final report should be determined as early as possible and not at
the last minute. For a large and complex project, the best time to set the contents for
the final report is after the interim report has been presented and preliminary
approvals from all the authorities are obtained. For a smaller or simpler project, the
contents can be determined earlier, immediately after the collection and analysis of
data.
The contents of a final report will vary according to management objectives and
actual needs. It is difficult to suggest a universal format. The following is a broad list
of contents for general reference:

- Summary and recommendations.

- Descriptions of watershed conditions (biophysical).

- Analysis of major watershed problems (biophysical, socio-economic, institutional,

etc.).

- Watershed management needs (including goals, alternatives, strategies, and effects,

etc.).

- Economic and other assessments (including benefit, cost analysis and others).

- Work programmes (including targets, work schedules, budgeting, financial

arrangements and monitoring and evaluation needs).

- Detailed recommendations.

- Appendices (including methodology, techniques, maps, photos, detailed figures,

etc.).

Preparing the final report

The preparation of a final report is the last step of the whole task. To avoid delay in its
production, once the contents are determined it is necessary to make concrete and
detailed decisions concerning:

- The approximate length of each chapter or section.

- The person or organization responsible for preparing each chapter. - A deadline for
draft submission and discussion.

- Nomination of a chief editor and specification of his or her duties. - A final deadline
for report submission.

The scale of the various maps and the size of drawings and pictures also need to be
decided upon in order to avoid unnecessary delay. The chief editor should keep in
close contact with all the persons who are involved in preparation of the report. Any
doubts regarding the format or contents of the report should be resolved without
delay.

Recommendations on implementation
In addition to budget and financial matters, recommendations on how the proposed
project can be effectively implemented are important parts of the plan. The following
items are often included in the recommendations.

Responsibilities and operation mechanisms

The responsibilities of each organization which will be involved in implementation of
the watershed project should be clearly defined. In addition, a field operation
mechanism should be established to streamline the implementation. Following are
some suggestions for reference:

- Liaison meetings should be held periodically at the field level and should be
attended by representatives of all participating agencies. Ideally, the chief agency for
planning or the liaison officer will act as chairman of the meeting. Thus a close link
between planning and implementation will be established.

- Each organization should delegate responsibility to its field office or representative

in order to permit smooth operations and work efficiency. Only important policy
matters should be brought up to respective headquarters for decision-making.

- A joint supporting unit of administration and accounting can be set up in the field or
attached to some field office nearby in order to speed up procedures of local purchase,
disbursement, and field arrangements.

- In some cases, it may be appropriate to establish an autonomous body or a

temporary project office by pooling all personnel and resources in order to streamline
the operation.

Staff and training needs

Staff and training needs should be well identified during the study of institutional
capabilities.

Since this will affect project implementation, recommendations should be made

carefully. For example, unrealistic demands of staff increase will not be accepted by
most governments, and bad timing for fellowships abroad could hamper project
implementation. A network analysis of training needs including proper timing can be
a plus for efficient implementation.

Farmers' training

Recommendations on farmers' training should include number of farmers or leaders to

be trained, training subjects, timing and costs. Extension and education programmes
for farmers in general should also be included. Demonstration plots to be established
on public or private lands should be planned and their costs estimated.

Research needs
Research needs are usually included in the recommendations. For practical purposes,
emphasis is normally laid on applied research for solving immediate problems and
needs, leaving long-term basic research to regular research institutions.

Such applied research may include the following broad categories:

- Better resources management alternatives.

- Cost effective watershed conservation measures including new techniques

introduced from outside.

- Practical monitoring and evaluation methodologies.

Pre-implementation work

Recommendations should be made on pre-implementation or pre-project work.

Specific recommendations should include:

- Organizing or recruiting project personnel.

- Pre-project training of key staff using the existing budget.

- Initiation of extension activities with regular resources.

- Collecting further information for implementation.

- Preparation for equipment and vehicles procurement.

- Sub-contract preparation, if necessary.

- Other administrative arrangements.

This pre-implementation work is absolutely necessary if project implementation is to

begin according to the schedule.

Work schedule and its control

Finally, a work schedule should be included as part of the recommendations. It can be

expressed as a bar chart, a flow chart or a network analysis. The important thing is to
consider progress logistics and to streamline project operations. All major activities
should be scheduled in a sequence that avoids congestion and bottlenecks.
Each component (forestry, soil conservation, extension, infrastructure, etc.) will also
draw up its own sub-schedule based on the master plan or schedule.

It is not enough to just set schedules. Means for controlling progress must also be
developed. Recommendations should also be made on how:

- to ensure manpower supplies, e.g. technical staff, foreign experts, or short-term

consultants in planned sequences;

- to obtain equipment, vehicles, or sub-contracts, etc. according to the work schedule;

- to establish channels to get high-level support on policy, finance, and administration;

- to build a system to oversee field work including inspection and ' reporting; and

- to set up an overall mechanism for monitoring and periodic evaluation of work

quality and progress;

Monitoring, evaluation and follow-up

Monitoring and evaluation systems
A monitoring and evaluation system should be built into the project in order to permit
periodic appraisal of the project's performance, physical outputs, benefits,
expenditures and impacts. Unfortunately, in the past, most watershed projects have
been inadequately monitored and evaluated, and results were often poorly
documented and disseminated. Many of the difficulties were due to lack of
methodology and to the time and mechanisms needed for such activities. The
Mechanisms needed by this kind of project may include the following:

- A data base and monitoring unit should be established within the project to collect,
collate and analyse data for the use of evaluations. This can be done by using
microcomputers (see Appendix 3).

- An independent evaluation body to undertake periodic appraisal work. Its members

may be drawn from national planning agencies, universities, research institutes,
interest groups and local communities, etc., in addition to project staff.

- A chapter in the project's annual and final reports on monitoring and evaluation
results. Achievements should be clearly set out and compared to the original goals.

Independent evaluations should be carried on even after the project is completed.

Because of the long-term effects of watershed work, these evaluations though
difficult, are often useful. Depending upon the availability of data and resources, the
whole or part of the watershed project should be evaluated periodically. The lack of
information on long-term results is a major concern to many planners, government
authorities and funding agencies.

Monitoring and evaluation methodology

The final plan or project proposal should include proper methodology on monitoring
and evaluation. Although such work depends on watershed management objectives,
the general methodology may include the following major indicators of a project:

For erosion and sediment reduction:

- Set a hydro-meteorological network to collect and monitor rainfall, streamflow,

sediment and pollution data for long-term analysis and comparison.

- Make reservoir, pond or check dam profile surveys to obtain data on sedimentation
rates and volumes.

- Establish small plots on major soils and cropping systems with and without
conservation measures to monitor and evaluate differences in soil erosion and runoff.

For changes in land use and vegetative cover:

- Obtain aerial photographs or satellite remote sensing data and make studies on
periodic changes (every 5 to 10 years).

- Conduct sampling surveys for special purposes or for needed information.

For flood prevention benefits:

- Establish rainfall and stream gauging stations as mentioned above.

- After major storms and floods, survey damages to compare with predictions and past
events.

For farm improvement benefits:

- Keep some farm records from selected farms for monitoring purpose.

- Make periodic farm management surveys for comparison with the baseline survey
data.

- Conduct specially designed surveys on farm production and income.

For other socio-economic benefits:

- Repeat the baseline socio-economic surveys every 5 to 10 years to compare the
results.

- Make special surveys, if needed.

As mentioned previously, the unit which is responsible for establishing the data base
and for routine monitoring should assist in the various phases of evaluation work. A
personal or microcomputer will help to facilitate data storage, analysis and
comparison (see Appendix 3).

Follow-up
Watershed planning cannot be considered complete if the project document ends up in
a filing cabinet or on a bookshelf. Whoever is responsible for planning should follow
it up, to see that the project is properly financed, either by the government or by
international agencies, and approved for action.

Finally, watershed managers and planners should realize that planning is a continuous
effort. In many countries, original planners are also required to be involved in project
implementation, monitoring and evaluation. Experience thus gained can be used for
the planning of similar projects in the future.