Unite 1 Basic Principle of watershed management

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

nature
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.
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 biodiversit

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.
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.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.
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.
1.2. Aims and principles of Watershed management,
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. 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.
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.
1.3. The elements of successful watershed management frameworks
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
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. 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
1.4. The benefits of the watershed management approach
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
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
1. 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
2. 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. ?
Unit 2 Watersheds Geomorphology
2.1. Identify boundary of the watershed (Delineation)
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. 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.
2.2. Identify Stream/channel networks and orders
First- through third-order streams are usually called headwater streams. Streams
classified as fourth- through sixth-order are considered medium streams. A stream
that is seventh-order or larger constitutes a river. When diagramming stream order,
scientists begin by identifying the first-order streams in a watershed.
2.4. Calculate drainage density, drainage texture, form factor, elongation ratio,
circularity ration of the watershed and other watershed characteristics
The morphological Characteristics of watershed may Broadly be classified as:
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.
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.
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.

2.5. Mapping slope, Elevation and soil of the watershed

1. Check the slope of the landscape by locating two adjacent contour lines and
determining their respective elevations. The slope is calculated as the changed in
elevation divided by the distance. A depressed area (valley, ravine) is represented y a
series of contour lines "pointing" towards the highest elevation. A higher area (ridge,
hill) is represented by a series of contour lines "pointing" towards the lowest
elevation.

2. Determine the direction of drainage in the area of the waterbody by drawing arrows
perpendicular to a series of contour lines that decrease in elevation. Runoff seeks the
path of least resistance as it travels down a slope. The "path" is the shortest distance
between contours.
3. Mark the breakpoints surrounding the waterbody. The "break points" are the
highest elevations where half of the runoff would drain towards one body of water,
and the other half would drain towards another body of water.
4.Connect the break points with a line following the highest elevations in the area.
The completed line represents the boundary of the watershed.

Unite 3 Watershed hydrology

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. 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.The glaze is
formed when rain or drizzle comes in contact with the cold ground at around 0
degrees celsius. The water drops freeze to form an ice coating. 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.
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.

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.

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.

Nature of the liquid: Rate of evaporation depends upon the type of liquid; for
example, petrol evaporates faster than water.
7. Vapour pressure: If pressure is applied on the surface of a liquid, evaporation is
hindered; consider, for example, the case of a pressure cooker.

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.

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

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
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.

Evapotranspiration (ET). In hydrologic cycle about 10% water or moisture is added

to the atmosphere by transpiration process. 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.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.

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

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

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.
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
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

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

Unit 4 watershed survey and planning

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.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.

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.

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.
WATERSHED PROBLEMS, OBJECTIVES AND PRIORITIES

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.
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;

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.

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.

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.

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.

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.

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. 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.

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.

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.

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?

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.

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.

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
Manpower constraints
Constraints relating to mobility and equipment
Constraints relating to technical information
Constraints in farmers' participation
Policy constraints and others

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

Technological alternatives and research
Alternative budgetary sources
Incentives and education
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.

PLAN FORMULATION, RECOMMENDATIONS, AND MONITORING AND

EVALUATION
Plan or project formulation
Determining management goals
Determining priorities and sequences

Preliminary or interim reporting

Determining the contents of final report

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 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.

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.