Chapter One

1. Introduction

Course Objectives:

 Introduce the general processes of water resources planning and

Management.
 Summarize how water resources could be utilized.
 Describe how to plan a water resources project.
 Acquaint with some optimization techniques in water resources
project planning.
 Discuss international and national water rights and laws.
 Have a thorough look on water resources potential and water
resources development potentials of Ethiopia.

Course Goal:

 To help students gain a basic knowledge and understanding of a

water resource project planning and Management.

This lecture note describes the general process of and somehow detailed
methodologies employed in planning projects involving water resources.
A project consists of constructed facilities and other measures that control,
utilize, or limit the use of water. Planning activities include the identification,
formulation and analysis of projects. Planning activities are also included in
subsequent phases of project implementation, including design, construction
and operation. Engineers, but not all other professionals in the water resources
field, distinguish between planning and design, applying the latter term to the
preparation of detailed engineering studies, drawings, and specifications for
structures, equipment and other components of a project. Water resources
planning methods are based on scientific, legal, ethical, critical concepts. It has
been only about 50 years that modern water resources planning has evolved
over, even though water resources projects have been constructed for

1
thousands of years. Until recently, a water resource planning was carried out
almost entirely by engineers. Economists and natural resources planners have
been represented extensively in the literature for many years.

1.1 Purpose of Water Resources Planning & Management

Water resources planning techniques are used to determine what measures

should be employed to meet water needs, take advantage of opportunities for
water resources Management, and preserve and enhance natural water
resources and related land resources.

Water resources are developed or managed for the following purposes and
functions:

 Irrigation
 Domestic (household), municipal (public), thermal-power plant cooling,
industrial and etc. Water supply
 Hydroelectric power generation
 Flood control and damage preservation
 Low flow augmentation (increment), Water quality management,
including waste water treatment and disposal
 Navigation
 Recreation
 Commercial fishing and aquatic farming
 Drainage, sedimentation control, land stabilization, erosion control and
other measures for management of watersheds
 Other multipurpose uses

In addition to the foregoing purposes and functions, for which economic

benefits can usually be estimated, the growing ―environmental movement‖ has
encouraged policies to plan and manage for the preservation and enhancement
of:
 Natural water and related land areas, including aesthetic values
 Archeological, historical, biological, and geological resources

2
  Ecological systems
 Water, land, and air quality

Planning, development and management of water resources may also be used to

further general welfare (benefits), including:

 Regional economic development

 Income distribution
 Health and safety
 Educational and cultural opportunities
 Emergency preparedness
 Other measures to improve the ―quality of life‖

1.2 General definition in Water Resources Planning

The goals of water resources planning may be advanced by the use of

constructed facilities (structural measures), or by management and legal
techniques that do not require constructed facilities. The latter are
nonstructural measures and may include rules to limit or control water and
land use (e.g. flood warning systems, restrictive zoning on flood plains) which
complement or substitute for constructed facilities. A project may consist of one
or more structural or nonstructural measures. The compliance (fulfillment) of
a structural or nonstructural measure, or a system of measures, depends not
only on technical effectiveness but also on acceptability from other standpoints,
such as economic, financial, environmental, social, legal and institutional
impacts.

Whereas the term purpose, objective and goal have similar meanings in
ordinary usage, they are different in water resources planning. Traditionally a
purpose has referred to a category of water needs and problems (e.g., municipal
and industrial water supply, flood control), while objective/goal implies a
broader value. Some water resource planners believe it is useful to consider a
goal as a general societal aim such as the ―improvement of the quality of life‖
and to express an objective in more specific (monetary or other) terms such as

3
―maximization of net benefit.‖ Policies are related to the goals and objectives
and to the various constraints which restrict development and management
within specific bounds.

The methodologies of water resources planning may be categorized as

principles, standards, and procedures. Principles provide the broad policy
framework for planning activities and include the conceptual basis for planning.
Standards provide for uniformity and consistency in comparing, measuring
and judging beneficial and adverse effects of alternative plans. Procedures
provide more detailed methods for carrying out the various levels of planning
activities, including the measurement of beneficial and adverse effects, and the
comparison of alternative plans for action. Principles, standards and
procedures are all subject to change over time. The principles, being most
fundamental, are expected to evolve relatively slowly, while the standards and
procedures are expected to change more readily with the development of data
and techniques. The term guidelines may be applied when the standards and
procedures are not fully binding on the planner.

1.3 Generalized Processes of WRPD

The following phases are usually involved in the planning and Management of a
major water resources project.

 Establishment of goals and objectives-broad policies; legal and other

constraints
 Problem identification and analysis-collection of data; projection of
demand/supply relationships; use of water and land; opportunities for
development and management
 Solution identification and impact assessment-structural solutions;
nonstructural (management) solutions; preliminary assessment of
impacts
 Formulation of alternatives and analysis-criteria and procedures for
comparison of alternatives; formulation of alternative systems of
structural and nonstructural measures; detailed assessment of impacts

4
  Recommendations including priorities and schedules for
implementation
 Decisions
 Implementation-organizations for action, if required
 Operation and management

The modern water resources planning organization should carry out its work
with the participation of those who would be affected by the organization‘s
projects (beneficially or adversely), all government agencies having jurisdiction,
public interest groups, and other interested organizations and individuals. Such
participation should be both formal (e.g., hearings, interagency committees,
license and permit applications), and informal (e.g., brochures, response to
inquiries). Information from these entities and their reactions to proposals will
often sharpen the goals and objectives assist in identifying and analyzing
problems and solutions, provide guidance in the formulation and analysis of
alternatives, and indicate the acceptability and preference of possible
recommendations.

In proceeding from the initial to the final phase of the planning and
development process, the work in one phase can suggest changes in one or
more of the other phases. This effect can be referred to as feedback, and the
linkages may be in both forward and backward directions. Even when the water
resource system is implemented, it should be updated from time to time during
the operation and management phase.

The methods of water resources planning range from fairly simple techniques
employing substantial professional judgment to sophisticated mathematical
optimization approaches. The selection of methods for a planning effort depends
on the type of project; the formal requirement of the planning organization; the
available personnel, money, and equipment for investigations; and the
capabilities and preferences of the planning staff.

5
1.4 Tasks for WRD Project

An outline of tasks for planning an urban flood control project will provide a
perspective of the complexity of a typical water resources project and an
indication of the different professional specialists evolved. Some of the activities
in the following list overlap (e.g environmental studies will begin before the
structures are finally selected).

 Management coordination
 Analysis of basic data-maps, aerial photos, stream flow, etc.
 Determination of needs for flood control
-delineation of area affected by flood
-determination of flood plain characteristics
-forecast of future activities in affected area
-estimates of existing and future flood damages
 Consideration of alternative ways of meeting needs
-upstream reservoir
-local protective works for urban area
-nonstructural measures
 Studies for reservoir
-selection of site selection of capacity
-selection of type of dam and spillway
-layout of structures
-analysis of foundations of structures
-development of construction plan
-cost estimates of structures
-layout and cost estimates of access roads, bridges, communication
facilities, construction camps, etc
-identification and estimation of requirements for lands, relocations,
easements, etc
-consideration of reservoir for multi purpose use with pertinent analyses
of layouts, capacities, costs, etc
 Studies for local protective works-levees, walls, river shaping and paving,
interior pumping stations

6
  Studies of nonstructural measures-land use controls, flood warning
systems, flood proofing, etc.
 Formulation of optimal combination of structural and nonstructural
components for flood control project
 Economic analyses
 Financial analyses
 Assessment of environmental impacts-ecological, archeological,
historical, geological, air and water quality, land sedimentation and
erosion, etc.
 Sociological impact assessment
 Public information and participation programs
 Report preparation

The planning activities shown by the list above constitutes the work needed to
prepare a feasibility report. The level of engineering detail for such a report is
higher than for a preliminary report, but lower than for the design of a project.

1.5 Professional Specialists in WRD

The list of tasks for the above example of flood control project shows that at
least the following skills would have to be represented:

 Engineers-civil, structural, hydraulic, hydrologic, geotechnical,

construction, cost estimating, mechanical, electrical, surveying and
mapping, drafting
 Urban/regional land planning specialists
 Architects
 Economic and financial specialists
 Environmental specialists-biological science of various types, forestry,
archeological, historical, geological water and air quality, soils
 Sociologists
 Real estate and relocation specialists
 Public information specialists
 Report production specialists

7
If the project has multi-purpose development opportunities, additional
specialists may be needed to study them, Irrigation planning, for example,
would involve soil and crop agronomists and other farm specialists, agricultural
economists, and irrigation engineers. If sophisticated systems analyses are
employed, computer specialists may be needed.

1.6 Availability of Water on Earth

On a global basis, at any given moment, the distribution of water over the earth
is shown by the percentages in Figure 1.1. The percentage of ground water and
surface water do not indicate their overall availabilities. Much of the ground
water is located far from points of need, or at depths and in aquifer materials
that make retrieval impossible or uneconomic. Much surface water is flowing
water that replenishes the volume of a stream typically on the average of 30
times per year.

Ocean (96.5%) Fresh water (3.5%)

Polar ice caps and Rivers, lakes,

glaciers (70%) groundwater (30%)

Surface water (1.2%) Ground water (98.8%)

Figure 1.1 Distribution of water on earth (Source: UNESCO-1978)

Although there is enough water worldwide for everyone, its distribution is quite
variable. Population intensities and water availabilities are not often
compatible. People live in water-deficient areas because of attractive climate or
cultural reasons, or because relocation is impractical due to political, societal,
or economical constraints. Areas that are deficient in precipitation for
agriculture have often excellent soils and are thus good candidates for
irrigation. Some of the best economic developments lie in the flood plains of

8
streams, but they must be protected to survive and grow. The water resource
planner is thus challenged to overcome the problems of too little or too much
water, to develop the best logistics and facilities to meet water needs, and to
take advantage of other opportunities for development, preservation, and
enhancement.

Table 1.1 shows estimates for the average annual water balances of the world. A
major uncertainty in such estimates comes from the difficulty of estimating
precipitation on and evaporation from the ocean due to lack of observed data.
Also as discussed by Biswas (1979), such a global picture does not give a
correct impression of the tremendous variability of water with regard to both
space and time.

Table 1.1 Average Annual water balance of the world

Volume (thousands of cubic kilometers)

Regions
Precipitation Evaporation Runoff
Africa 20.7 17.3 3.4
Asia 30.7 18.5 12.2
Australia 7.1 4.7 2.4
Europe 6.6 3.8 2.8
North America 15.6 9.7 5.9
Latin America 28.0 16.9 11.1
Antarctica 2.4 0.4 2.0
Total, land areas 111.0 71.0 40.0
Oceans 385.0 425.0 -40.0
Total, world 496.0 496.0 0.0

In the case of rural urban water supply, the WHO (1976) carried out a survey
on the extent of water supply and sewerage at the end of 1975, to which 67
developing countries responded. In urban communities, some 130 million
people (25%) had no access to potable water by house connections or
standpipes. In rural areas, almost 1000 million people (80%) did not have

9
reasonable access to safe water. Considering both rural and urban populations
together, only 35% (638 000 000) were adequately served. These are averages.
There are several countries where 91 to 100 % of the urban population was
served while in other countries less than 5% of the rural population was served.
Biswas (1979) found large variations and enormous insufficiencies of water for
other major sectoral uses: agriculture, industry, and hydroelectric. Biswas also
identified a number of places where there have been severe social and
environmental impacts of water development, where conflicts have occurred
between federal and local jurisdictions, and between neighboring states, and
where problems have involved international waters. He concluded that the
problem of water availability in the future is basically that of rational
management.

10
 Chapter Two
2. Utilization of Water Resources
2.1 Water resources for Consumptive and non-consumptive uses

The distinction between consumptive and non-consumptive use of water is a

critical aspect of effective water management. Consumptive use of water means
that no water is returned to the water source from which it was withdrawn;
the water is consumed and is not available for use by other water users
downstream. Non-consumptive water use means that, after use, the water is
returned to the source for use by others downstream. The importance of the
distinction between the two types of water use is their effect on downstream
water users. Non-consumptive water use returns the water to the stream for
renewed use by other water users downstream. Consumptive use means the
water is not be returned to the stream, reducing the water available to
downstream water users.
These classifications of water are important when assessing the quantity of
water allocated. Water used consumptively diminishes the source and is not
available for other uses; whereas non-consumptive water use does not diminish
the source or impair future water use.
Consumptive versus Non-Consumptive Use of Water
1. Definition of Consumptive Use
a. Consumptive use:- That part of water withdrawn that is evaporated,
transpired by plants, incorporated into products or crops, consumed by
humans or livestock, or otherwise removed from the immediate water
environment also referred to as water consumed.

b. Consumptive use is defined as water withdrawn that is not directly

returned to its original source. Under this definition, surface water
withdrawals are considered consumptive if the water is not directly
returned to the source so that it is available for immediate further use.

c. Definitions Applied to All Water Uses:

11
 Possibly, it is erroneous to define certain water uses as ―consumptive‖
and others as ―non-consumptive.‖ All uses are partially consumptive and
partially non-consumptive. The following examples are illustrative.

2. Examples of Consumptive Use Patterns

a. Consider a small municipality under a municipal withdrawal permit that

withdraws 1,750,000 lit/day for water supply from the Awash River. It
distributes those 1,750,000 liters to businesses and industry, homes and
apartments, etc. and the water is used in many different ways. Some of it is
used for household use (bathing, cooking, toilets, etc.), some of it is used in
manufacturing process, and, after use some of it is discharged into the city
sewers as waste. The city waste treatment facility collects this waste (from the
businesses and industry, the homes and apartments, etc.), treats the waste and
puts the treated wastewater back into the Awash. For this example, 1,400,000
liter of wastewater is discharged. Thus, the municipality‘s use is 20 %
consumptive (350,000 lit/day) and 80 % non-consumptive.

b. Consider a farmer in the Lower Abay River Basin who withdraws 700,000
lit/day for irrigation from an Aquifer. He applies the water to his crop and
140,000 lit/day is not used by the crop production (evaporation, transpiration
and other biological functions of plant growth) but soaks into the ground. Over
several days, maybe weeks, the water travels downward into the Aquifer that
lies 1 meter below the surface. In this case, the farmer‘s use of the water is 80
% consumptive (560,000 lit/day) and 20 % non-consumptive.

3. The Effect of Consumptive Use

Withdrawal and use of water can result in the water being consumed in the
process (like being absorbed into the body by a human, animal or plant). When
water use is consumptive, the water is not returned to the water source and is
no longer available for use by anyone downstream.

12
On the other hand, when water use is non-consumptive, water is returned to
the water source and is available for use by other water users downstream. The
water user may be another person, an industry or business, a fish or another
part of the natural environment. Consider the following simple scenarios. A
Water User can be a municipality, an industry, a farmer or a part of the natural
environment like wetland re-nourishment or providing fish habitat. Consider
these admittedly simplistic examples.

a. If Water User #1 makes non-consumptive use of the water and returns all the
water he has withdrawn, User #2 has used of all the water withdrawn by User
#1. If User #2 again makes non-consumptive use, User #3 downstream can
again make use of all the water. An infinite number of such non-consumptive
users can make use of the water.

b. If User #1 consumes 20 % of the water withdrawn (as happens for the

average municipality), User #2 has use of 80 % of the water withdrawn by User
#1. If User 2 consumes 20 % of the water and returns the rest to the water
source, User #3 has 64 % of the water withdrawn by User #1. Continuing this
logic, a User #10 far downstream will still have used of about 16 % of the water
withdrawn by User #1.

c. Is User #1 consumes 50 % of the water withdrawn and returns 50 % to the

water source, User #2 downstream will have use of 50 % of the water withdrawn
by User #1. After User #2 consumed 50 %, User #3 downstream will have use of
only 25 % of what User #1 withdrew. User #10 far downstream will have use if
less than 1.0 % of what User #1 withdrew.

d. If User #1 consumes 100 % of the water, everyone downstream is deprived of

use of that water.
Consumptive Use of Surface and Groundwater
Consumptive water use causes diminishment of the source at the point of
appropriation. Definition: Diminishment is defined as to make smaller or less in
quantity, quality, and rate of flow, or availability.

13
By-pass reach defined. A water use may be consumptive to a specific reach of a
stream when water is diverted, used, and returned to the same source at a
point downstream not in close proximity to the point of diversion. The stream
reaches between the point of withdrawal and point of discharge is the by-pass
reach.

Non-consumptive Water Use, Surface Water

Surface water use is non-consumptive when there is no diversion from the
water source or diminishment of the source. Additionally, when water is
diverted and returned immediately to the source at the point of diversion
following its use in the same quantity as diverted and meets water quality
standards for the source, the water use is classified as non-consumptive.

Examples of this classification include the following:

a. Water use in hydroelectric projects when the water is not diverted away
from the natural confines of the river or stream channel. These hydroelectric
projects are commonly called run-off-river projects.
b. Water use in some beautification ponds and fish hatcheries when the
outflow is returned to the point of diversion, i.e., there is no bypass reach in the
system. The continuous use of water by such a facility does not result in
diminishment of the source; inflow is equal to outflow.

These facilities normally require water to fill or charge the system once a year.
The water used to fill or hydraulically charge such a system is consumptive and
does cause a diminishment of the source. Water use to fill these facilities will be
allowed, subject to in stream flows and existing rights, when water is available.

Non-consumptive Water Use, Groundwater

Groundwater use is non-consumptive when there is no diminishment of the
source. In order not to diminish the source, the withdrawn water is injected or
infiltrated immediately back to the aquifer. The water must be returned in the

14
same quantity and quality (excluding temperature change) at a point in close
proximity to the withdrawal wells. An example of this use is a heat pump.

Conclusions about Consumptive & Non-Consumptive use.

a. The non-consumptive use of water allows multiple uses of the water by
others downstream. This water may be used by humans (like municipalities, or
industry), by recreational enthusiasts (like fishing or boating) or by the
environment. Non-consumptive use of water will not cause harm (neglecting
changes in quality) to water users downstream.

b. The consumptive use of water means the water is lost to the system. Users
downstream either have to rely on other sources of water (like tributaries
downstream) to make up the shortage or use less water. It is the removal of
water from the system that may cause harm to the downstream water users.

2.2 Single- and Multi- Purpose Water uses

Water resources development requires conception, planning, design,
construction and operation of various facilities for economical utilization of
water by adequate and effective planning.

Planning is the orderly consideration of various aspects and processes of water

resources engineering from original statement of purpose to final decision on
the course of action.
The water resources development has a playing field just like a sports man has
a field for his sports. Thus water scientists have to be prepared for complexity
and conflict resolutions. The technical complexity arises as a result of the fact
that the engineers duty is dependent on a governmental meetings, public
hearings, appeals to regulators, and lawsuits most of them who are lack of
technical skills.

The complexities, conflicts associated with water resources development was

summed up together as summarized by JOHN F. Kennedy of USA.
“Any one who solves the problems of water deserves not one Noble prize,
but two one for science and other far peace”

15
Water resources development projects are usually classified based on the
service they provide as: Single-purpose and multi-purpose

A single-purpose approach serves only one basic purpose therefore this type
of water development and management do not reflect the realities of poor
people‘s water use. People use domestic water supplies for activities such as
irrigating backyard gardens, providing for livestock, fishing, processing crops
and running small-scale enterprises. In areas without adequate domestic water
supply, they use irrigation water to meet household needs, such as drinking
and bathing, as well as to support a range of income generating activities in
addition to crop production.

A more integrated, multiple-purpose approach can maximize the healthy

benefits and productive potential of available water supplies–leading to
increased incomes, improved health and reduced workloads for women and
children. Systems that provide to multiple-uses are also more likely to be
sustainable, because users benefit more from them and are more willing and
better able to pay for them.

Policy-makers, planners, and project designers need to enable and support a

multiple-purpose approach by developing the necessary policies, capacities,
and institutions. Incorporating provision for multiple uses into plans for
meeting the Millennium Development Goals (MDG), Poverty Reduction
Strategy Papers (PRSP), and Integrated Water Resources Management
(IWRM) and water efficiency plans and strategies is a start.

Taking an integrated, multiple-purpose approach to water development and

management is an opportunity to advance progress on five of the eight
Millennium Development Goals (MDG‘s):

Goal 1: to eradicate extreme poverty and hunger;

Goal 2: to achieve universal primary education;
Goal 3: to promote gender equality and empower women;
Goal 4: to reduce child mortality, and

16
 Goal 5: to ensure environmental sustainability.

Yet, policy-makers, donor organizations and government agencies are missing

this valuable opportunity for improving the lives of poor and marginalized
groups at very little additional cost.

The current single-use perspective, which dominates thinking on water

development and service provision, has led to domestic water-supply schemes
that forbid the use of water for production or that supply too little water for any
but the most basic domestic needs, and to irrigation schemes that ignore the
need for domestic or household level production activities. By failing to address
people‘s real needs, this top-down, technocratic approach dis-empowers them
and leaves them responsible for systems that only partially meet their
requirements.

When communities design their own water systems, they invariably plan for
multiple uses. And, when single use, public supply schemes are provided, they
are almost always used for multiple purposes. However, because these uses are
unplanned and only rarely acknowledged, they often lead to health risks for
water users, water shortages at the tail ends of supply systems, damage to
infrastructure, and conflicts between users.
Countries taking a strategic look at extending and improving water services for
poor rural and semi-urban communities, should capitalize on the opportunity
to reduce poverty, increase gender equity, and improve health by taking a
multiple-purpose approach. South Africa, for example, has acknowledged the
importance of multiple-use water services to lifting people out of poverty in its
2003 Water Services Strategic Framework. It pledges that: ―Water and
sanitation programmes will be designed to support sustainable livelihoods and
local economic development. The provision of water supply and sanitation
services has significant potential to alleviate poverty through the creation of
jobs, use of local resources, improvement of nutrition and health, development
of skills, and provision of a long-term livelihood for many households.‖

17
What is a multi-purpose approach?
In essence, a multi-purpose approach serves two or more purpose and involves
(1) Assessing the range of water needs in collaboration with end users,
(2) Examining the water sources available from rainwater to wastewater to
piped systems,
(3) Matching water supplies to needs based on the quantity, quality and
reliability required for various purposes.
Three crucial aspects of a multiple-use approach that are neglected in
traditional approaches to water supply are: participation of local
communities, identification of all water needs, and consideration of the
different water sources available. While this may require more time and effort
than rolling out a blanket program, the end result is more economically
efficient, social equitable and environmentally sustainable.

Ways of accommodating multiple uses of water

Irrigation systems can be adapted by
• Releasing water for household uses and bathing
• Building or reviving community domestic-supply reservoirs
• Building steps in canal banks for laundry and bathing
• Adding pipes, canals and taps to bring water into houses
• Promoting low-cost, point-of-use treatment for drinking water
• Sinking shallow wells to tap cleaner ‗seepage‘ water
• Adding access and crossing points to canals for cattle
• Maintaining flows to preserve fish populations
• Building fish-friendly structures in sluices and canals.
Domestic water supply systems can be adapted by
• Increasing water discharge to allow productive activities
• Providing water without interruptions
• Adding cattle troughs to supply points
• Adding storage tanks
• Adding micro-irrigation systems
• Using different water sources depending on quality needs
• Promoting reuse of household ―grey‖ (waste) water

18
 Use of other water sources can be maximized by
• Working with the private sector to promote the use of affordable
pumps and drip irrigation kits (also applies to domestic systems)
• Promoting community/rooftop rainwater harvesting
• Enlarging ponds and wells
• Developing gravity-flow systems to pipe in stream-water
• Promoting credit and access to other inputs to enable people to
make use of productive water supplies (applies to all)

Benefits of a multiple-purpose approach

Reducing poverty and improving livelihoods
Cases of people adding value by using water in ways which weren‘t originally
planned for have been documented around the world. For example, a study in
South Africa found that the productive use of domestic water accounts for
around 17 % of the average household income in villages with very limited
domestic water provision, but 31 % in similar villages with adequate domestic
supplies. In some semi-arid areas, a reliable water supply that fulfills domestic
needs and the needs of livestock, kitchen gardens, and small scale enterprises
has been found to be a precondition for poverty alleviation. Other development
efforts are then able to build on this.

Fighting hunger and surviving droughts

Providing water to support activities such as backyard-gardening, fishing and
livestock-feeding, which are not normally considered in domestic or irrigation
water supply schemes, not only increases incomes, it reduces vulnerability.
These activities provide food security, especially during lean times. For example,
during the recent droughts in Zimbabwe, small productive water points
proved to be crucial, allowing small-scale food production when the major
crops failed. In addition, in eastern Ethiopia and the Sahel, reliable,
multiple-purpose water supplies improve the productivity of livestock and
reduce mortality throughout the year. There are, for instance, some 1500
multi-purpose small reservoirs in Burkina Faso and around 30,000

19
government-funded household-level water-harvesting ponds in Ethiopia’s
Tigray region alone.

Improving health
Making more water available for cooking, bathing, sanitation and drinking
reduces the incidence of water-borne diseases and lessen child mortality. While
this can also be said of single-use, domestic water supply schemes, multiple
use approaches have the added value of also providing water for more food and
more income, which improves nutrition and allows people to take extra
preventive health measures and pay for health services.
A multiple use approach also addresses the health risks involved in unplanned
and unacknowledged uses of irrigation water and allows people greater benefits
from this source of water in areas that are as yet un-served by domestic
schemes.
While the quality of drinking water is an important health issue, research
shows that simply having water available in sufficient quantities for drinking
and hygiene is equally important. In fact, providing better access to larger
quantities of water through multiple-use approaches may improve health more
effectively than costly and often ineffective measures to ensure that high quality
water supply. This is especially true if there is a combined approach with the
use of household treatment technologies and hygiene education.
Improving gender equity
Improved water availability also promotes gender equity, as poor women are
primarily responsible for fetching water; women in Africa alone spend
around 40 billion hours per year on this activity. A study in Gujarat (India)
revealed that rural women put the time saved by improved water supply into
other productive activities. In this way, each woman could earn between US$16
and US$115 per year. Multiple-use approaches to water supply are deliberately
gender-sensitive, taking into account women‘s water needs for cooking, food
processing, cleaning, and other domestic tasks; which are often otherwise
considered secondary to the need for drinking water.
In addition, for women who are landless or who cannot go far from their houses
for cultural or security reasons, multiple-use facilities near to dwellings can

20
provide valuable income-earning and food-security opportunities. A variety of
options, besides piped domestic water, can be used. Examples include rooftop
water-harvesting structures, new or enlarged family wells, and household run-
off storage tanks, which allow wastewater from washing and bathing, for
example, to be used productively.

Increasing system sustainability

To be sustainable, water-supply systems need to continue to deliver the
required amounts of water well into the future. This means on-going investment
and maintenance. If a system fulfils all people‘s needs, and if they have a strong
stake in it, they will be more willing to pay for its establishment and upkeep.
Evidences from around the world has shown that allowing for the productive
use of water in domestic schemes makes people more willing to engage in
maintenance. And, importantly, people are better able to pay if they can earn
more income from their increased access to water. What is more, the extra
capital costs involved in providing for multiple uses are a very modest
proportion of the overall investments in single-use schemes.

Involving communities in the design of systems, and taking a long-term view-

both integral parts of a multiple-use approach, means that systems are better
able to adapt to changing needs, again increasing sustainability. And, because
they are specifically designed to fulfill local requirements, multiple-use systems
suffer less damage to infrastructure, as a result of illegal connections or cattle
trampling down canal banks, for example.

2.3 Compatibility of Different Uses of Water

If the requirements of water for different uses are compatible with one another,
effective use of the water will be made. If we take irrigation, navigation, and
water supply all impose water demands. Therefore, a project combining these
functions must provide a clear and separate allocation of storage space to each
of these potential functional uses.

21
Hydropower development is not a consumptive use of water. Any water
released for the other purposes may be used for power. At a base load plant,
the water requirement may be revised for other purposes requiring uniform
flow. At a peaking plant, a regulating pond can be provided to smooth out the
fluctuation of power releases. However, it is usually necessary to allocate a
certain amount of storage for power use, since the seasonal variation in power
demand may not coincide with the demand for other uses.

Flood mitigation, with its requirement for empty storage space, is the least
compatible of all uses. Permanent flood storage is usually allocated at the top
of the normal pool or above the spillway crest. In evaluating the benefits of
storage for flood mitigation, only that storage in excess of the natural channel
storage in the reach occupied by a reservoir should be considered.
The storage for flood mitigation or control can be obtained by: Permanent
allocation or Seasonal allocation.

Sanitary precautions for industrial and municipal use may sometimes

preclude use of the reservoir for recreational purposes. Sanitary requirements
are compatible with other uses as these can be easily combined with the release
of water for other uses.

2.4 Water Supply and Demand Assessment

In water supply and demand assessment forecasts, population and water needs
are necessary ingredients. They are important for determining the location and
types of projects that are required, for establishing the functional
characteristics and scale of project components and estimating their cost, and
projecting the benefits expected after the projects are placed in operation.
Estimates of population and water needs can be based on an interpretation of
data on historical trends. If such data are unavailable or inadequate, water
requirements must be estimated by other approaches, such as adapting typical
unit demands that have been compiled by various authorities.

22
Data for demographic studies
Demography is the science of population. It refers to the number of persons and
their arrangement in space; structure (e.g., sex and age groups); the growth or
decline of population (total or one of its units); components of change in terms
of births, deaths, and migrations; and economic characteristics such as
economic activity, employment status, occupation, industry, and income.

There are large variations of population density throughout the world. The
following factors affect population distribution.
 Climate (temperature, precipitation)
 Landforms (topography, including altitude and slope, swamps, marshes,
and deserts)
 Soils
 Energy sources and mineral raw materials
 Space relationships (accessibility as affected by distance from seacoast,
natural harbors, navigable rivers and fall lines, the heads of river
navigation)
 Cultural factors
Historical (late discovery of settlement)
Political (boundaries, including buffer zones and controls and
migration and trade; government policies)
Types of economic activities
Technology (state of the arts; type of farming; highway, rail, water,
and air transportation facilities)
Social organization
 Demographic factors (variation in natural increase; variations in net
migration)
 Economic characteristics (employed and unemployed economically active
population; homemakers, students, income recipients, and other none-
economically active population; income)


Shryock et al. 1976

United Nations, 1973

23
Water Resource Needs
Categories of water demand include public water uses (domestic, commercial,
industrial and public), rural (domestic, livestock), irrigation and self-supplied
industrial (cooling and processing, thermo-electric and hydroelectric power).
Water demands vary continuously and are expressed for annual, monthly,
daily, hourly, or other time periods.

Withdrawal uses are from diversion of water from ground water or surface
water sources. Non-withdrawal uses are on-site uses such as navigation,
water-based recreation, and waste water disposal by dilution. Water is also
needed for natural vegetation and wildlife.

Consumptive use is the portion of the water withdrawn that is no longer

available for further use because of evaporation, transpiration, incorporation
into manufactured products and crops, or use by human beings and livestock.

Trends in population, water withdrawals, and water consumed vary different in

different countries. If we take, for example, USA the average daily per capita
total water withdrawn was over 7200 liters in 1975 compared with about 5000
liters in 1950. The per capita daily withdrawals for public water supplies
increased to 520 liters in 1975 from 270 liters in 1950. When only the 175
million persons served by public supplies are considered, the value for 1975
was 650 liters per capita per day.

There is generally increasing demand for water throughout the world. In

many developing regions, much of the demand is unsatisfied because of
inadequate water supplies. Per capita uses in one country vary markedly from
one region to another and differ from those in other countries. Technological
developments may affect both water demand and water supply in the future, as
shown in the table below.
Differences in demand for public water supply are attributed to both natural
and economic factors. More water is used in warm, arid regions than in
humid areas due to more lawn watering, bathing, and air conditioning. Water

24
may be run continuously to prevent freezing of pipes extremely cold weather. Of
various climatic influences, precipitation appears to have the greatest effect on
per capita residential demand primarily since it affects the lawn watering
required. The living standards of the population also affect the demand, which
is greater for high income residential districts.

Water is needed for commercial purposes such as: apartments, motels,

hotels, office buildings, shopping centers, and miscellaneous commercial
activities, which are generally called commercial water demand. Industrial
water demand includes the demand for beer, coke, leather (tanned), paper,
steel, woolen, etc. industries. Most of the water used in industry if for cooling
and the amount used can be reduced with extensive recirculation.
Water is also needed for energy, like hydropower. This is essentially a non-
consumptive use and the water is generally available after power production for
other uses. Water demand for irrigation should also be taken into consideration
and the water supplied by an irrigation project must be greater than the
consumptive use less effective precipitation. The total water requirement for
irrigation consists of the water needed by the crops plus the losses in delivery
and application of the water; the later may typically range from 25 % for a canal
system to nothing for spray irrigation. Soil, climate and other physical factors
affect the total water requirement.

Values of water demand such as those given by authorities as standards should

be used only when historical data on water use in the project area or
comparable locations are not available. When information on historical demand
is available it should be taken into account for studies of the water supply
needs (water demand projections).

Water Conservation and other non-structural alternatives:

Adverse impacts of water resources development (e.g., environmental, social,
legal) can often be prevented or mitigated by reducing the scale of the project to
fit smaller needs or by substituting management techniques and other non-
structural alternatives. Project cost will generally also be reduced by this

25
approach. The following are various methods that can be used for different
types of water resource purposes:

Municipal and industrial water supply-reduce the level and/or alter the pattern
of demand by metering, leak detection, and changes in repair rate structures,
regulations on use such as plumbing codes, education programs, and drought
contingency planning. Modify the management of existing water development
and supply by recycling, reuse, and pressure reduction. Increase upstream
watershed management and the conjunctive use of ground ad surface waters.

Irrigation water supply – Reduce the level and/or alter the time pattern of use
through irrigation scheduling, modified water rate structures, leak detection
and repair, recycling, and reuse. Modify the management of existing water
development and supplies by tailway recovery and phreatophyte  controls.

Recreation and Fish and Wildlife – Enhance the management of existing sites
and manage capacity by distributing the users of the existing sites.

Hydroelectric Power - Reduce the level and/or time pattern of demand by time
of day pricing, utility loans for insulation, appliance efficiency standards,
educational programs, interregional power transfers, and increased
transmission efficiency.

Navigation – make lockage changes to reduce congestion, improve the

scheduling of lock arrivals, and use switch boats for locking through tows.

Flood Hazard Reduction – Reduce the susceptibility to flood damage by land

use regulations, development and relocation policies, and disaster
preparedness, flood proofing, flood forecasting and early warning systems,
flood plain information, flood plain acquisition, and flood plain easements.
Reduce the adverse burden of flooding by flood insurance and flood emergency


A deep-rooted plant that obtains water from a permanent ground supply or from the water table
A class of desert plant with very long tap roots which develop to reach the phreatic zone.

26
relief programs. Protect natural storage areas such as wetlands for site
detention of flood water and use human-made areas such as building roofs and
parking lots.

27
 Chapter Three
3. Planning Water Resource Projects
Water resources comprise all forms of water including Blue water, water in the
rivers, lakes, seas and shallow aquifers, which has received an attention from
water resources planners. These water resources need planning prior to
development:
It includes all the work associated with design of the project except its details.
There is no substitute for experience and good engineering judgment in the
selection of the method of approach to project planning. Project planning also
requires evaluation of alternatives.

3.1. Stages in Planning a Water Resources Project

This section assumes that the general location and purpose of the prospective
project have already been determined by an earlier screening process or Other
Means of designation. The following describes a typical five-stage sequence of
reports, documents, and actions for the project, including the preliminary (or
reconnaissance) report, the feasibility report, the contract documents, and
activities during construction and operation.

3.1.1. First Stage: Preliminary (or Reconnaissance) Survey

This consists of office studies, field studies, and the preparation of a report. The
report prepared as a result of these studies should answer the following
questions:

 Is it likely a feasible project?

 What are approximate estimates of capacity and cost?
 What additional studies are needed to confirm feasibility?

The investigation begins with office studies, using available information

contained in previous reports, Maps and data. Much of this is available from
federal, state, and local governmental agencies. Utilities, private firms,

28
newspapers, libraries, and other source should also be contacted. Basic
materials, include maps and photographs (topographic maps, land surveys,
county and city tax maps, transportation maps, aerial photographs),
geologic and soil surveys data, climate data, stream flow and ground
water records, quality and sediment measurements, information on
ecological and environmental condition, and data and forecasts pertinent to
the specific purpose of the project (e.g., projection of water supply
requirements, or electric power demands, characteristics of existing water
supply, or electric generation and transmission systems etc.).

Office studies may be adequate to make initial determinations of the general

arrangement of the project components, the capacity of the services it can
provide, and its cost better estimates can be made by supplementing office
studies by field reconnaissance surveys. This work is needed to confirm the
estimates made in office studies, to suggest changes in them, and to obtain
detailed information concerning such matters as needed relocation in cases
where the available maps are not recent. Topographic surveys, stream
measurement, and geological and soils investigations may be needed for
gathering information for preliminary planning, but these should be kept to a
minimum, consistent with the nature of the preliminary report. The personnel
involved in this work are normally engineers and geologists, but it may also
include personnel environmentalists and other specialists.

3.1.2. Second Stage: Feasibility Study

If the project sponsor determines that additional studies are necessary based on
the preliminary report and other consideration, a feasibility report will be
prepared. The report should contain enough information to permit a decision on
whether or not to implement the project. This implies technical studies more
detailed than those required for the preliminary report, financial and
economic analyses, and a plan for project implementation. The feasibility
report should include the following:
 Descriptions and analyses of the data

29
  Confirmation of construction feasibility based on additional field and
laboratory investigations, studies of project arrangement and individual
project features, and analysis of construction methods (sources of
construction materials, access to the project site, diversion of water
during construction, etc)
 Final recommendation for arrangement of project works, preliminary
plants and other analyses to determine the principal quantities of
construction, a reliable cost estimate, and discussions of the design
criteria
 Construction schedule showing the timing and costs of project features
 Economic analyses of the project
 Financial analyses projecting the year-by-year costs, revenues, and
subsidies for the project
 Plants for financing construction ,and for managing the construction and
operation of the project
 Institutional and legal requirements
 Assessments of the environmental and social impacts of construction
and operation ,and other impact studies if required

Depending on the extent of detailed drawing and of analyses needed to confirm

construction feasibility and make reliable estimates of project cost, the work in
this phase consists of designs in addition to planning studies.

3.1.3. Third Stage: Final Design and Preparation of Contract

Documents
Contract documents include plans, drawings and specifications which are
sufficiently detailed to obtain tenders (bids) from qualified construction and
equipment contractors. The plans (drawings) and specifications are based on
additional studies of the details of project works, the logistics of construction,
other aspects related to temporary and permanent facilities, and permanent
facilities, and the performance of contractors. The contract documents also
contain additional information on the responsibilities of the project and the
contractor. Various forms to complete by the contractor provide information on

30
the contractor‘s legal status and financial capabilities, set forth the quantities
and prices for construction and for equipment, and elaborate on the
construction methods proposed by the contractor.

The sponsor and engineers review the tenders made by contractors. A major
factor is the prices offered by a contractor. But other factors considered may
include the reputation and previous experience of the contractor, the specific
working methods proposed to carry out the construction or manufacture of
equipment and in the case of the latter, and the operating efficiency of the
equipment to be provided.
Contractors‘ tenders are usually ranked after weighting the factors, in order to
determine which tenders are in the sponsor‘s best interest, and awards are
made accordingly.

3.1.4. Fourth stage: Construction

Additional detailed drawings needed during construction are prepared by the

sponsor‘s engineers and by the contractors subject to the sponsor‘s approval.
Payments to the contractors are usually made based on measurements of work
in progress or completed, in accordance with the terms of the contract
documents. Usually, a percentage of each payment is withheld by the sponsor
and released only when the work is entirely completed and accepted,
supervision of construction by the sponsor‘s engineers often includes field
layout of major works, approval of contractors‘ choices of working procedures
and materials, interpretation of the plans and specifications, approval of the
contractors‘ drawings needed to supplement the engineers‘ drawings, inspection
of construction activities and of finished work to ensure conformance with
plans and specifications, measurement of quantities of construction, and
certifications required as a basis for payments to the contractors.

3.1.5. Fifth stage: Operation

The sponsor may employ outside engineers and other consultants to assist in
operation for a limited period, train operators, prepare manuals for operation
and maintenance, and monitor the performance of the various features

31
(structural, hydrologic, hydraulic, etc.). Studies of operating rules may continue
as experience develops.

3.2. Water Resources Project Formulation and Evaluation

3.2.1. Introduction-Future projections: (3rd day class)

All the water resources development projects are usually planned to meet not
only the life of the project. For this purpose the projection of future needs is
required to be made from the data collected. The projections should not be
made as simple extrapolations of the past growth rate. Social, economic and
technological development of the region may cause significant changes in
trends and therefore the future growth rate may be quite different from the past
growth rate. Every effort should be made to anticipate the future changes and
judiciously use the available data evaluating the future needs of the water.
Projections should include the study of future population growth, land use,
water requirements for various uses, likely change in patterns etc. Projections
should be done with great care, taking into consideration all the factors that
may affect the future requirements. If the projections are on the lower side, the
project will not serve the required purpose. On the other hand, if the projections
are unrealistically high, the project will be over designed and it would lead to
excessive investments. The aim therefore should be to evaluate the future
demands based on realistic projections.
The development process for water resources project compromises of
formulation, construction and operation of a project. It is a dynamic process,
comprising of the following steps.

3.2.2. Project Formulation:

Actual formulation of the project is commenced after the basic data have been
collected and the projections have been made. The project formulation requires
a lot of imagination and skill and can be done only by an experienced planner.
A list of various alternatives is made and all these alternatives are properly
evaluated. The process of project formulation is as follows.

32
1. Problem Identification and statement of the problem: This includes the
determination of need for the project on the context of use/ control of water,
market, demand for the product and political incentive. The planner must have
a clear statement of the problem about the project, before he starts the
planning. The objectives of a project depend upon the availability of funds.

2. Solution identification: This consists of data collection inventory of all

resources analysis of data and developing solutions. The data so collected
should be highly reliable for the realistic planning of a water resources project.
Apart from hydrological and topographic data of site, data pertaining to other
fields such as geological, economic and social data are required.

3. Projection for planning: The water resources projects are not planned for
present needs only, but they are also planned to cater the future needs.
Hence projections of future needs compatible to the population growth should
be made. However, unrealistic water use for future needs may lead over design
and excessive investments.

4. Definition of alternatives & evaluation of alternatives: This consists of

formulation of alternative systems of structural and nonstructural measurers in
the light of constraints on the resources. The alternatives which have some
restraints and boundary conditions are evaluated first.
Boundary conditions: some of the boundary conditions which restrict the
project are as follows.
 There may be physical limitations due to which one or more aspects of
water resources developments can be examined, for example no
navigation is possible on torrential streams.
 Certain problems may be localized for example flood control of a
particular city
 There may be limitations on the available water
 Maximum land areas required for various purposes may be limited
 There may be existing rules or policy decisions which reserve certain
areas for specific purposes such as parks and protection

33
  Possible sites for surface water storage and underground water storage
may be limited
 There may be legal constraints which may reserve certain areas or
prohibit certain constraints

3.2.3. Project Evaluation

The main steps of the evaluation process are as follows.
*To quantify and elaborate
 The scope and extent of the system
 The structural and non structural components of the system
 Constraints Topography, hydrology, structural, financial, institutional
etc.
 Target demands for various purposes i.e. for irrigation, hydropower,
domestic water supply, recreation etc. Flood management aspects etc.
*To analyze:
 Evaluation of alternative plans that have been identified at earlier
stages,
 Economic analysis
 Assessment of environmental impact of alternative plans

Pre-feasibility study is considered to be over when potential alternative plans

have been selected. In many countries public hearings is held at this stage to
explain the plan, and elicit public views and comments.

The project evaluation is carried out to select the alternative which is

economically most suitable of the various alternatives listed in the
proceeding step of project formulation. If the best alternative meets the laid
economic criteria, such as the minimum expected benefit cost-ratio, it may be
adopted for construction. The best alternative may consists of a unit or a
combination of units which are economically most efficient. After the
alternatives have been listed, the planner should data which would aid in the
selection of the best alternative. For the economic evaluation, data on benefits
and costs are collected. Each alternative should be specified in detail so that

34
costs can be accurately estimated. The methods used for estimating both cost
and benefits should be consistent so that the resulting costs and the benefits
for the various alternatives are truly comparable.
For selecting the most efficient unit, the first step is to find out whether the
individual units are physically and economically independent or not then
environmental impact evaluation follows.

A) Physical unit evaluation: Physically independent unit is a unit which

has no other unit either upstream or downstream of the unit under
consideration which would affect the inflow to the unit or which would be
affected by the outflow from the unit. Moreover for a unit to be physical
independent there should not be any other unit in the region which contributes
to the same objectives. For example if there is a reservoir on a different stream
but also provides flood control for a down stream control point of the unit in
question, it would also affect the unit and therefore the unit will not be
physically independent.

B) Economical Unit evaluation: Economically independent unit is a unit in

which there is no economic inter-connection with any other unit. For example if
there is a power plant on the river in the region ,there is no physical inter-
connection as far as the stream flow is concerned but because it serves the
same grid, it would affect the unit under consideration and therefore the unit
will not economically independent.
For the units which are physically and economically independent it is relatively
easier to find out the best alternative .For the inter-dependent units, the
problem becomes more complex. The following discussion is limited to the
physically and economic ally independent units. These units may be either
single purpose units or multipurpose units as discussed below.

Evaluation of a single purpose unit: For independent, single purpose unit, the
evaluation is relatively easy. The unit is evaluated in terms of benefit-cost ratio
as well as rate of returns. The economic analysis is done to determine the
maximum benefit cost-ratio or to determine the maximum net benefits. The rate

35
of investment is determined from excessive of benefits over costs that will
accrue over the period of project.

Evaluation of multipurpose units: For a multipurpose independent unit the

evaluation is more difficult. It requires the preparation of a net–benefit surfaced
instead of a curve if the unit serves two purposes. Moreover if there are more
than two purposes it would require a multidimensional space. The figure shows
the typical net benefit –surface for a project serving two purposes which can be
used to determine the optimum combination.

If number of purposes is more than two, a large number of net surfaces would
be required, because a number of combinations of the various purposes will
have to be considered. However even in that case, generally two major purposes
will govern and the optimum combination can be found by keeping the other
purposes at a constant level. Each combination of two primary purposes should
be evaluated to determine the optimum benefit
The financial analysis to compare project alternatives may be performed in
several ways as follows.
1. Determination of net benefits, which is equal to the economic benefits minus
economic costs.
2. Determination of benefit cost ratio
3. Determination of rate of return on investment which is equal to (annual
benefits-annual costs) /(investment cost)
4.Determination of the internal rate of return ,which is the rate of discount
applied to annual costs and benefits so that the present worth of all costs equal
the present worth of all benefits.
Out of these benefit cost ratio is the most common indicator adopted in
economic analysis
The financial analysis can be graphically presented in the form of three
alternative curves

C) Environmental impact evaluation: A water resources development

project may have a number of effects on environment and ecological balance. It

36
 should be judged for its undesirable impacts and ecological balance. It should
be judged for its undesirable impacts on the stream and the adjacent areas.
Out of these selected alternatives the project which has minimum detrimental
effects on environment should be performed for consideration.
Some of the common environmental effects are as follows.
1. Because of accumulation of sediments in the reservoir the water
released from the reservoir is relatively silt free. It causes the degradation
of the channel down stream of the reservoir.
2. There is loss of some valuable geological, historical, archaeological or
scenic sites due to submergence caused by a reservoir.
3. There is usually damage to the fish and wild life.
4. There may be changes in ecology of an area due to extinction of some
species of flora and fauna.
5. There is damage to vegetation on the river bank due to changes of flow
patterns.
6. Due to construction of large dams, there is usually change in natural
landscape of the region.
7. There may be change in the water quality as a result of drainage from
irrigation project.
8. There are number of rehabilitation problems for the people affected by
the submerged areas.

3.3. Common Pitfalls in Water resources planning

There are a number of pitfalls in the planning of water resources development
projects which may nullify otherwise excellent effort made in project evaluation and
analysis. Some of the common pitfalls are as follows. The planner should be
extremely careful to avoid these pitfalls.

1. Blind adherence to existing practices: Several standards and practices have

been developed by different agencies based on traditional and administrative
experience. These standards should not be blindly followed, because they may not
always be applicable to a particular project. For example a spillway is usually

37
constructed of concrete for a flood recurrence interval of 50 years. Change in the
material or the recurrence interval may be considered.

2. Incomplete preliminary report: Because there are a large number of possible

alternative projects, it is common practice to prepare a preliminary report for each
project. If the project is not suitable, it is dropped without incurring further
expenditure. If it is suitable, more through studies are made. As the preliminary
report is an important is an important document on the basis of which a project is
accepted or rejected. it should be complete and not based on approximation and
short cum procedures. For a complete report the study of hydrology and water use
should be conducted in detail because inadequate study may lead to serious error.
The maps should be accurate and not rough. Of course this will increase the cost of
the preliminary studies, but overall loss may not be much because it would reduce
the cost of the final design of the selected project to some extent.

3. Too early construction: A project should be constructed only when it is needed.

If it is constructed too early, it would be wastage of funds which might have been
utilized for other works. The argument that the cost of the project would increase if
postponed is not fully justified because the funds are not usually limited and the
available funds are utilized elsewhere during the extended period. Moreover, the
benefits would also increase at the later stage and would at least partially offset the
increase cost. In some cases, stage-construction may be done in stages so that the
reservoir size would increase with growing needs. However the land to be submerged
should be acquired considering the full height of the dam to avoid future problems.
Moreover, the outlets etc in the dam should be proposed considering the ultimate
requirements.

4. Wrong justification of a flood-control reservoir: It would be wrong to build

flood-control reservoir on the basis of the anticipated future growth of the area to be
protected. The flood-control reservoir should be constructed only when it is justified
considering the existing value of the area to be protected

38
5. A prior decisions: A prior decisions should be avoided in water resources
development projects. A prior decisions regarding certain features of a project are
sometimes made before conducting an economic analysis and are not checked
subsequently whether they would be economically viable or not.

6. Failure to consider all alternatives: Probably the most common pitfall in

project planning is the failure to consider all possible alternatives. Generally non-
engineering alternatives such as flood plain zoning in a flood-control project are over
locked by engineers. Sometimes even simple engineering alternatives also omitted,
especially when those alternatives depart from the traditional solutions.

7. Not considering true prices: The sale price of water is generally subsidized and
fixed low. It therefore does not reflect the actual value of water. While calculating the
benefits from a water resources development projects the true sale price of water
should not be used in the economic analysis.

8. Incorrect use of next best alternatives: Sometimes the cost of the next best
alternative is taken as a measure of estimating benefits and for justification of a
project. By unrealistic selection of the next best alternatives project, the benefits can
be made to look quite large. For example, for developing a municipal water supply
project for a town near sea, the cost of desalted sea water is taken for the
comparison. It is not a realistic comparison because the consumers would not be
willing to pay the high cost of desalted water even if this was the only alternative.
The realistic alternative project which would be acceptable as a basis for estimating
benefits is the one which would have been constructed by tapping other water
resources if the project under study was dropped.

39
40
 Chapter 4

Concepts of Water Resources System Analysis

The concept of systems analysis is indeed very wide, but in this section, we
shall confine our discussion in to a typical water resources system.

4.1 Definition and Types of Systems

The basic concept of a system is that it relates two or more things. Out of the
several definitions of a system, the simplest one states that it is a scheme that
connects one or more inputs and generates one or more outputs. A
comprehensive definition of a system is given by Dooge (1973) as “any
structure, device, scheme, or procedure, real or abstract, that interrelates
in a given time reference, an input, cause, or stimulus, of matter, energy,
or information, and an output, effect or response, of information, energy
or matter.” The input and output referred to in mechanics is synonymous with
cause and effect in physics and philosophy, and stimulus and response in
biological sciences. Typical examples of a system are a university with its
various departments, a central government with its regional governments, a
river basin with all its tributaries, and so on.

4.1.1 Types of systems

Some commonly understood types of systems are discussed below.

1. Mindless and multi-minded Systems

Physical processes such as rainfall-runoff is called mindless system where as
systems such as social system are called multi-minded system.

2. Simple and Complex Systems

A simple system is one in which there is a direct relation between the input and
the output of the system. A complex system is a combination of several
subsystems each of which is a simple system. Therefore, a complex system may
be subdivided into a number of simple systems. Each subsystem has a distinct
relation between input and output. For example, a river basin system is a

41
complex system comprising several subsystems, each corresponding to a
tributary.

3. Linear and Non Linear Systems

A 1inear system is one in which the output is a constant ratio of the input. In
a linear system the output due to a combination of inputs is equal to the sum of
the outputs from each of the inputs individually, i.e. the principle of
superposition is valid. For example, a system (watershed) in which the input x
(rainfall) and the output y (runoff) are related by y = mx, in which m is a
constant, is a linear system. The unit hydrograph in hydrology is a linear
system (as the hydrograph ordinate of the direct runoff hydrograph is
proportional to the rainfall excess), On the other hand, a system in which the
input x and the output y are related by the linear equation y = mx + c, in which
m and c are constants, is not a linear system (why?). A nonlinear system is one
in which the input-output relation is such that the principle of superposition is
not valid. In reality, a watershed is a nonlinear system, as the runoff from the
watershed due a storm is a nonlinear function of the (storm) rainfall over its
area.

4. Time Variant and Invariant Systems

In a time invariant system, the input-output relationship does not depend on
the time of application of the input, i.e. the output is the same for the same
input at all times. The unit hydrograph in hydrology is a linear time invariant
system.

5. Continuous, Discrete and Quantized Systems

In a continuous system, the changes in the system take place continuously.
E.g. weather; whereas in a discrete system, the state of the system changes at
discrete intervals of time. A variable, input or an output, is said to be quantized
when it changes only at certain discrete intervals of time and holds a constant
value between intervals e.g. rainfall records.

42
6. Lumped Parameter and Distributed Parameter Systems
A lumped parameter is one whose variation in space is either nonexistent or
ignored (e.g. average rainfall over a watershed). A parameter is said to be a
distributed one if its variation in one or more spatial dimensions is taken into
account. The parameters of the system, the input or the output may be lumped.
A lumped parameter system is governed by ordinary differential equations
(with time as an independent variable), whereas a distributed parameter system
is governed by partial differential equations (with spatial coordinates as
independent variables). For example, a homogeneous isotropic aquifer is
analyzed as a lumped parameter system. Instead, if the spatial variation of the
transmissivity in modelling a water table aquifer is to be taken into account, the
aquifer has to be modelled as a distributed parameter system.

7. Deterministic and Probabilistic Systems

In a deterministic system, if the input remains the same, the output remains
the same, i.e. the same input will always produce the same output. The
input itself may be deterministic or stochastic. In a probabilistic system, the
input-output relationship is probabilistic rather than deterministic. The output
corresponding to a given input will have a probability associated with it.

8. Stable Systems
A stable system is one in which the output is bounded if the input is bounded.
Virtually all systems in hydrology and water resources are stable systems.

4.2 System Approach and System analysis

4.2.1 Systems approach

The input-output relationship of a system is controlled by the nature,
parameters of the system and the physical laws governing the system. In
many of the systems in practice, the nature and the principal laws are very
complex, and systems‘ modelling in such cases uses simplifying assumptions
and transformation functions, which convert the input to the corresponding
output, ignoring the mechanics of the physical processes involved in the

43
transformation. This requires conceptualization of the system and its
configuration to be able to construct a mathematical model of it in which the
input-output relationships are established through operating the system in a
defined fashion. The specification of the system operation is what we refer to as
the operating policy.

4.2.2 Systems analysis

Systems analysis may be said to be a formalization of the operation of the total
system with all of its subsystems together. Systems analysis is usually
understood as a set of mathematical planning and design techniques,
which includes some formal optimization procedure. When scarce resources
must be used effectively, systems analysis techniques stand particularly
promising (for example, in optimal crop water allocation to several competing
crops, under conditions of limited water supply). It must be clearly understood
that systems analysis is not merely an exercise in mathematical modelling but
spans much farther into processes such as design and decision. The techniques
may use both descriptive as well as prescriptive models. The descriptive models
deal with the way the system works, whereas the prescriptive ones are aimed at
deciding how the system should be operated to best achieve the specified
objectives.

Basic Problems in Systems Analysis

Basically there are two types of problems: analysis and synthesis. The first one
is essentially a problem of prediction or a direct problem, whereas the second is
a problem of identification or an inverse problem. In a prediction problem, we
are required to determine the output knowing the input and the system
operation. In an inverse problem, we are required to find the system
(parameters), given the input and the output. In synthesis, we devise a model
(system) that will convert a known input to its corresponding known output.
Here, we have to keep in mind the nature of the system and its solution.

Example Problems
Prediction: In surface water hydrology, the problem is to predict the storm
runoff (output), knowing the rainfall excess (input) and the unit hydrograph

44
(system). In ground water hydrology, the problem to determine the response
(output) of a given aquifer (system), for given rainfall and irrigation application
(input). In a reservoir (system) the problem is to determine irrigation allocations
(output) for given inflow and storage (input), based on known or given operating
policy.

Identification: In surface water hydrology, the problem is to derive the unit

hydrograph (system) given precipitation (input) and runoff data (output) for the
concurrent period. It is assumed that all the complexities of the watershed
including the geometry and physical processes in the runoff conversion are
described by the unit hydrograph. In ground water hydrology, the problem is to
determine the aquifer parameters (system), given the aquifer response (output)
for known rainfall and irrigation application (input).
In a reservoir system, the problem is to determine the reservoir release policy
(system operation) for a specified objective (output) for given inflows a (input).

Synthesis: The problem of synthesis is even more complex than the inverse
problem mentioned earlier. Here no record of input and output are available. An
example is the derivation of Snyder‘s synthetic unit hydrograph using
watershed characteristics to convert known values of rainfall excess to runoff.

4.2.3 Techniques of Water Resources Systems Analysis

The basic techniques used in water resources systems analysis are
optimization and simulation. Whereas optimization techniques are meant to
give global optimum solutions, simulation is a trial and error approach leading
to the identification of the best solution possible. The simulation technique
cannot guarantee global optimum solution; however, solutions, which are
very close to the optimum, can be arrived at using simulation and sensitivity
analysis.
Optimization models are embodied in the general theory of mathematical
programming. They are characterized by a mathematical statement of the
objective function, and a formal search procedure to determine the values of

45
decision variables, for optimizing the objective function. The principal
optimization techniques are:

1. Linear Programming
The objective function and the constraints are all linear. It is probably the
single-most applied optimization technique all over the world. In integer
programming, which is a variant of linear programming, the decision variables
take on integer values. In mixed integer programming, only some of the
variables are integers.

2. Nonlinear Programming
The objective function and/or (any of) the constraints involve nonlinear terms.
General solution procedures do not exist. Special purpose solutions, such as
quadratic programming, are available for limited applications. However, linear
programming may still be used in some engineering applications, if a nonlinear
function can be either transformed to a linear function, or approximated by
piece-wise linear segments.

3. Dynamic Programming
Offers a solution procedure for linear or nonlinear problems, in which
multistage decision-making is involved. The choice of technique for a given
problem depends on the configuration of the system being analyzed, the nature
of the objective function and the constraints, the availability and reliability of
data, and the depth of detail needed in the investigation. Linear programming
(LP) and dynamic programming (DP) are the most common mathematical
programming models used in water resources systems analysis. Simulation, by
itself, or in combination with LP, DP, or both LP and DP is used to analyze
complex water resources systems.

4.3 Systems Techniques in Water Resources

In most engineering problems, decisions need to be made to optimize (i.e.
minimize or maximize) an appropriate physical or economic measure, For
example, we may want to design a reservoir at a site with known inflows for

46
meeting known water demands, such that the reservoir capacity is minimum,
or we may be interested in locating wells in a region such that the aquifer draw-
down is minimum for a given pumping pattern. Most engineering decision
making problems may be posed as optimization problems. In general, an
optimization problem consists of:
(a) An objective function, which is a mathematical function of decision
variables, that needs to be optimized, and
(b) A set of constraints that represents some physical (or other) conditions to
be met.
The decision variables are the variables for which decisions are required such
that the objective function is optimized subject to the constraints. In the first
example mentioned, the reservoir capacity is one of the decision variables and
the reservoir mass balance defines one set of constraints. In the second
example, the locations in terms of coordinates of the wells are the decision
variables, and again, the mass balance forms a set of constraints.
A general optimization problem may be expressed mathematically as

Maximize f(X)
Subjected to
gj(X)≤O , j=l,2....m
Where, X is a vector of decision variables, X = [x1, x2 ... xn.]

In this general problem there are n decision variables (viz. x1, x2, x3…xj,) and
m constraints. The complexity of the problem varies depending on the nature of
the function f(X), the constraint functions gj(X) and the number of variables and
constraints.

Simulation is a technique by which we imitate the behavior of a system.

Typically, we use simulation to answer ‗what if‘ type of questions. As against
optimization, where we are typically looking for the ‗best possible‘ solution, in
simulation we simply look at the behavior of the system for given sets of inputs.
Simulation is a very powerful technique in analyzing most complex water
resource systems in detail for performance evaluation, while optimization
models yield results helpful in planning and management of large

47
systems. In some situations, optimization models cannot be even applied due
to computational limitations. In many situations, however, decision-makers
would be interested in examining a number of scenarios rather than just
looking at one single solution that is optimal. Typical examples where
simulation is used in water resources include:
(a) Analysis of river basin development alternatives,
(b) Multi-reservoir operation problems,
(c) Generating trade-offs of water allocations among various uses such as
hydropower, irrigation, industrial and municipal use, etc., and
(d) Conjunctive use of surface and ground water resources,

It may be noted that by repeatedly simulating the system with various sets of
inputs it is possible to obtain near-optimal solutions.

4.3.1 Optimization using calculus

Some basic concepts and rules of optimization of a function of a single variable
and a function of multiple variables are presented in this section.

A) Function of a Single Variable

Let f(x) be a function of a single variable x, defined in the range a<x<b (fig 4.1)

Fig. 4.1 function of a Single Variable

Local Maximum:
The function f(x) is said to have a local maximum at x1 and x4, where it has a
value higher than that at any other value of x in the neighborhood of x1 and x4.
The function is a local maximum at x1, if
f(x1 - Δx1) < f(x1) > f(x1 + Δx1)

48
Local Minimum
The function f(x) is said to have a local minimum at x2 and x5, where it has a
value lower than that at any other value of x in the neighborhood of x2 and x5.
The function is a local minimum at x2, if
f(x2 - Δx2) > f(x2) <f(x2 + Δx2)

Saddle Point
The function has a saddle point at x, where the value of the function is lower on
one side of x3 and higher on the other, compared to the value at x3. The slope
of the function at x3 is zero.
f(x3 - Δx3) <fx3 <f(x3 + Δx3); slope of f(x) at x = x3 is zero.

Global Maximum
The function f(x) is a global maximum at x4 in the range a <x < b, where the
value of the function is higher than that at any other value of x in the defined
range.

Global Minimum
The function f(x) is a global is minimum at x2 in the range a <x < b, where the
value of the function is lower than that at any other value of x in the defined
range.

Convexity
A function is said to be strictly convex, if a straight line connecting any two
points on the function lies completely above the function. Consider the
function f(x) in Fig. 4.2.

Fig. 4.2 Convex function

49
f(x) is said to be convex if the line AB is completely above the function (curve
AB). Note that the value of x for any point n between A and B can be expressed
as ax1 + (1 - a) x2, for some value of a, such that 0 ≤ a≤1. Therefore,

f(x) is said to be strictly convex if,

f[ax1+(l - a)x2]< af(x1) + (l - a)f(x2); where 0 ≤ a≤ 1

1. If the inequality sign < is replaced by ≤ sign, then f(x) is said to be convex,
but not strictly convex.
2. If the inequality sign < is replaced by = sign, f(x) is a straight line and
satisfies the condition for convexity mentioned in 1 above. Therefore, a straight
line is a convex function.

3. If a function is strictly convex its slope increases continuously, or

d2 f/d2x> 0. For a convex function, however, d2 f/d2x≥0.

Concavity
A function is said to be strictly concave if a straight line connecting any two
points on the function lies completely below the function. Consider the
function(x), in Fig. 4.3.

Fig. 4.3 Concave function

A function f(x) is strictly concave, if the line AB connecting any two points A and
B on the function is completely below the function. (Curve AB).

50
f[ax1 + (1 - a)x2] > af(x1) + (1 - a)f(x,)

1. If the inequality > is replaced by ≥, then f(x) is said to be concave, but not
strictly concave.
2. If the inequality > is replaced by = sign, then f(x) is a straight line still
satisfying the condition for concavity. Therefore a straight line is a concave
function.
3. If a function is strictly concave, its slope decreases continuously, or d 2f
/d2x<0. For a concave function, however d2f /d2x<0.

It may be noted that a straight line is both convex and concave, and is
neither strictly convex nor strictly concave.
A local minimum of a convex function is also its global minimum.
A local maximum of a concave function is also its global maximum.
The sum of (strictly) convex functions is (strictly) convex.
The sum of (strictly) concave functions is (strictly) concave.
If f(x) is a convex function, —f(x) is a concave function.
If f(x) is a concave function, —f(x) is a convex function.
In general, if f(x) is a convex function, and a is a constant, af(x) is convex, if a> 0
and af(x) is concave if a<0

B) Optimization of a Function of a Single Variable

The point at which a function will have a maximum or minimum is called
a stationary point. A stationary point is a value of the independent variable at
which the slope of the function is zero.
x=x0 is a stationary point if df/dx|xo = 0. This is a necessary condition for f(x)
to be a maximum or minimum at x0.
Sufficient condition is examined as follows:
1. If d2f/dx2>0 for all x, f(x) is convex and the stationary point is a global
minimum.

51
2. If d2f/dx2<0 for all x, f(x) is concave and the stationary point is a global
maximum.
3. If d2f/dx2=0, we should investigate further.
In case of 3, find the first nonzero higher order derivative. Let this be the
derivative of nth order.
Thus, at the stationary point, x =xo

dnf/dxn<,=,>0

1. If n is even, xo is a local minimum or a local maximum.

If dnf/dxn |xo> 0, xo is a local minimum
If dnf/dxn |xo< 0, xo is a local maximum
2. If n is odd, xo is a saddle point.

C) Function of Multiple Variables

Let f(X) be a function of n variables represented by the vector X = (x1, x2, x n).
Before coming to the criteria for convexity and concavity of a function of
multiple variables, we should know the Hessian matrix (or H-matrix, as it
is sometimes referred to) of the function. The Hessian matrix,
H [f(X)], of the function, f(X), is defined as

The convexity and concavity of a function of multiple variables is

determined by an examination of the Eigen values of its Hessian matrix.
The Eigen values of H [f(X)] are given by the roots of the characteristic equation,

|λI – H [f(X)]| = 0

52
Where: I is an identity matrix, and λ is the vector of Eigen values. The
function f(X) is said to be positive definite if all its Eigen values are positive, i.e.
all the values of λ should be positive. Similarly, the function f(X) is said to be
negative definite if all its Eigen values are negative, i.e. all the values of λ should
be negative.

Convexity and Concavity:

If all Eigen values of the Hessian matrix are positive, the function is
strictly convex.
If all the Eigen values of the Hessian matrix are negative, the function is
strictly concave.
If some Eigen values are positive and some negative, or if some are zero, then
the function is neither strictly convex nor strictly concave.

D) Optimization of a Function of Multiple Variables

Unconstrained Optimization
Let f(X) be a function of multiple variables, X = (x1, x2, x3,...,x n).
A necessary condition for a stationary point X = Xo is that each first partial
derivative of f(X) should equal zero.

Whether the function is a minimum or maximum at X = X1 depends on the

nature of the Eigen values of its Hessian matrix evaluated at X0.

1. If all Eigen values are positive at X0, X0 is a local minimum. If all Eigen
values are positive for all possible values of X, then X0 is a global minimum.
2. If all Eigen values are negative at X0, X0 is a local maximum. If all Eigen
values are negative for all possible values of X, then X0 is a global maximum.
3. If some Eigen values are positive and some negative or some are zero, then
X0 is neither a local minimum nor a local maximum.

53
Example 4.1: Examine the following functions for convexity, concavity and
then determine their values at the extreme points.
1. f(X)= x12+x22-4x1-2x2+5
Solution:
First determine the Hessian Matrix.
df/dx1= 2x1 - 4 =0→x1=2
df/dx2 = 2x2 - 2 =0→x2=1
Check f(x) 2, 1= 22+12-8-2+5=0
d2f/dx12 = 2, d2f/dx1dx2= 0 , d2f/dx2dx1= 0, d2f/dx22= 2

Therefore, H f(x) =

Eigen values of H are obtained by

The Eigen values areλ1= 2, λ2 = 2.

As both the Eigen values are positive, the function is a convex function
(strictly convex). Also, as the Eigen values do not depend on the value of x 1 or
x2, the function is strictly convex.
The stationary points are given by solving

Therefore the function f(X) has a global minimum at X = (2, 1).

Example 4.2: Examine the following functions for convexity, concavity and
then determine their values at the extreme points.

54
Solution:

The Eigen values are λ1= -2, λ2 = -2.

Both Eigen values of H Matrix are negative and are independent of the value of
x1 and x2. Therefore f(X) is a strictly concave function.

That is X = (-2, 0) and is a global maximum.

The function f(X) has a global maximum at X = (-2, 0) equal to -4.

Example 4.3: Examine the following functions for convexity, concavity and
then determine their values at the extreme points.

Eigen values are given by the equation

Therefore λ1 =6x1 and λ2 = 6x2

55
That is, if both x1 and x2 are positive, then both Eigen values are positive, and
f(X) is convex; or if both x1 and x2 are negative, then both Eigen values are
negative, and f(X) is concave.

Stationary points:

Therefore,
(i) f(X) has a local minimum at (x1, x2) = (1, 2), equal to1 3+ 23-3 (1) - 12(2) + 20
=
2. f min(x) = 2 at X (1, 2).
(ii) f(X) has a local maximum at (x1, x2) = (-1, -2) equal to (-l)3 + (-2)3-3 (-1)
-12 (-2) + 20 = 38. fmax(X) = 38 at X = (-1, -2). At the points (1, -2) and (-1, 2),
the function is neither convex nor concave. They are saddle points.

Constrained Optimization
We shall discuss in this section the conditions under which a function of
multiple variables will have a local maximum or a local minimum, and those
under which its local optimum also happens to be its global optimum. Let us
first consider a function with equality constraints.

1. Function f(X) of n-Variables with a Single Equality Constraint

Maximize or Minimize f(X)
Subject to g(X) = 0
Note that f(X) and g(X) may or may not be linear.
We shall write down the Lagrangean of the function f(X) denoted by Lf(X, λ), and
apply the Lagrangean multiplier method.
Lf(X) =f(X) —λ g(X), where λ is a Lagrangean multiplier.
When g (K) = 0, optimizing Lf(X) is the same as optimizing f(X). The original
problem of constrained optimization is now transformed into an unconstrained

56
optimization problem (through the introduction of an additional variable, the
Lagrangean multiplier).

If more than one equality constraint is present in the problem,

Maximize or Minimize f(X)
Subject to gp(X) = 0, p = 1, 2…n, the Lagrangean function of f(X) in this case is
Lf(X, λ) =f(X) — λ 1 g1(X) — λ 2 g2(X) — ..., gm(X)
Where: λ = (λ 1, λ 2... λ m)
A necessary condition for the function to have a maximum or minimum is
that the first partial derivatives of the function L should be equal to zero,

The (n + m) simultaneous equations are solved to get a solution, (X0, λ0). Let
the second partial derivatives be denoted by

The sufficiency condition is specified below.

Consider the determinant D, denoted as |D|, given by

This is a polynomial in p of order (n - m) where n is the number of variables and

m is the number of equality constraints. If each root of p in the equation |D| =
0 is negative, the solution X0 is a local maximum. If each root is positive, then
X0 is a local minimum. If some roots are positive and some negative, X0 is
neither a local maximum nor a local minimum. Also, if all the roots are negative

57
and independent of X, then X0 is the global maximum. If all the roots are
positive and independent of X, then X0 is the global minimum.
Example 4.4:

These equations yield x1 = x2= 2, λ=-4

Now we shall determine if this is a maximum.

Or 2μ +4 = 0 giving μ = -2.
As the only root is negative, the stationary point x= (2, 2) is a local
maximum of f(X) and fmax(X) = -8.

2. Function f(X) with Inequality Constraints

An inequality constraint can be converted to an equality constraint by
introducing an additional variable on the left-hand side of the constraint.
Thus a constraint g(X) <= 0 is converted as g(X) + s2= 0, where s2 is a
nonnegative variable (being square of s). Similarly, a constraint g (X) >= 0 is
converted as g(X) - s2= 0.

58
The solution is found by the Lagrangean multiplier method, as indicated,
treating s as an additional variable in each inequality constraint.
When the Larangean of f(X) is formed with either type of constraint, equating
the partial derivative with respect to (w.r.t.) s gives,
λ.s = 0, meaning either λ = 0 or s = 0.

1. If λ > 0, s = 0. This means that the corresponding constraint is an equality

constraint (binding constraint or active constraint).
2. If s2 > 0, λ = 0. This means that the corresponding constraint is inactive or
redundant.

Kuhn-Tucker Conditions
The conditions mentioned above lead to the statement of Kuhn-Tucker
conditions. These conditions are necessary for a function f(X) to be a local
maximum or a local minimum. The conditions for a maximization problem are
given below.
Maximize f(X)
Subject to gj(X) ≤ 0, j= 1...m.
The conditions are as follows:

In addition if f(X) is concave, and the constraints form a convex set, these
conditions are sufficient for a global maximum.
General Problem
The necessary and sufficient conditions for optimization of a function of
multiple variables subject to a set of constraints are discussed below.
A general problem may be one of maximization or minimization with equality
constraints, and inequality constraints of both >= and <= type.
Consider the problem

59
Introduce variables s into the inequality constraints to make them equality
constraints or equations. Let S denote the vector with elements sj.
The Lagrangean is

Where, λ is the Lagrangean multiplier associated with constraint i.

Necessary Conditions for a Maximum or Minimum The first partial

derivatives of L(X, S, λ) with respect to each variable in X, S and λ should be
equal to zero. The solution for a stationary point (X0, S0, λ0) is obtained by
solving these simultaneous equations. This is a necessary condition. Sufficiency
is checked by the following conditions.

Sufficiency Conditions for a Maximum

f(X) should be a concave function.
gi (X) should be concave; λi>= 0, i= 1, 2…. j
gi(X) should be linear; λi<=0, i=j+1…k
gi(x) is linear, λi unrestricted, i = k + 1… m.
Similarly
Sufficiency Conditions for a Minimum
f(X) should be a convex function.
gi(X) should be a convex function; λi>= 0, i = 1… j.
gi(X) should be a concave; λi<= 0, i = j + 1… k.
gi(X) should be Linear; λi unrestricted, i = k + 1… m.

Note: For a maximum or a minimum, the feasible space or the solution space
should be a convex region. A constraint set g,(X) <= 0 defines a convex region, if
gi(X) is a convex function for all i. Similarly, a region defined by a constraint set
gi(X) >= 0 is a convex region, if gi(X) is a concave function for all i.

60
It is practically better to stick to one set of criteria, i.e. either for maximization
or minimization. We shall follow the criteria for maximization in the following
examples while testing the sufficiency criterion. For this purpose, we shall
convert the given problem to the following form:
Maximize f(X)
Subjected to gi(X) ≤ 0
We shall reiterate here that a linear function is both convex and concave.

Example 4.5:

Λ1= 2; λ2 = 2, both being positive.

Thus f(X) is a convex function (strictly convex). Therefore the function
—f(X) is concave and can be maximized. First convert the problem to a form
Maximize f(X)
Subject to g(X) ≤0
The original problem is rewritten as:

61
(i) Assuming λ2=O, sl =O; x1=8/5, x2=6/5 and λ1= 4/5>0, s22=3/5>0
Here the conditions for a maximum are satisfied. No violations.
(ii) Assume λ1 = 0 and λ2 = 0.
Then the simultaneous equations give
x1= x2 = 2; s12= -2 (not possible)
s22 = -l (not possible).
This is not a solution to the problem.
Similarly,
(iii) Assume. λ1 = 0 and s2 = 0.
The equations to be solved are:

62
Note: In a clear case like this, when f(X) is strictly convex or -f(X) is strictly
concave and the solution set is convex (i.e. the constraint set is a convex region
being bounded by linear functions), there is a unique solution.
That is, only a particular combination of λ and s yields the optimum solution.
Thus, in a given trial in a problem such as Example 4.5, with two constraints:
If λ1 and λ 2 are assumed to be zero, then s12 and s22 should both be positive,
If λ1 and s2 are assumed to be zero, then λ 2 and s12 should both be positive,
If λ2 and s1 are assumed to be zero, then λ1 and s22 should both be positive,
If s1 and s2 are assumed to be zero, then λ1 and λ 2 should both be positive.
The first trial, which satisfies these conditions, will be the optimal solution to
the problem, and the computations can stop there.

(Here)

63
4.3.2 Linear programming
Liner programming may be classified as the most popular optimization
technique used ever in water resources systems planning. Its popularity is
partly because of the readily available software packages for problem solution,
apart from its ability to screen large-scale water resources systems in
identifying potential smaller systems for detailed modelling and analysis.
Systems analysts find this tool extremely useful as a screening model for very
large systems, and as a planning model to determine the design and operating
parameters for a detailed operational study of a given system.

A. Graphical Method:
Linear programming (LP) is a scheme of solving an optimization problem in
which both the objective function and the constraints are linear functions of
decision variables. There are several ways of expressing a linear programming
formulation, which lend themselves to solutions, with appropriate modifications
to the original problem.
We shall illustrate here maximization problem in LP in its classical form first,
and discuss variations later in the section.

Where, z is the objective function, x1, x2…xn are decision variables,

c1, c2….cn are coefficients of x1, x2….xn, respectively, in the objective function,
a11…a1n, a21…a2n… am1…amn are coefficients in the constraints,
b1, b2 …..bn are non-negative right hand side values.

64
Each of the constraints can be converted to an equation by adding a slack
variable to the left hand side. The coefficient of this slack variable in the
objective function will be zero.

Standard Form (Equality Constraints)

There are many standard forms in which an LP problem is expressed, and we
shall follow the standard form with equality constraints, as given here,
throughout the section

Where the variables xn+1, xn+2, ...,xn+m are called slack variables. The
objective function is written including the slack variables with
coefficients cn+1, cn+2 …cn+m=0

In this standard form, we have a total of n + m variables (n decision

variables + m slack variables) and a constraint set of only m equations.
These equations can be solved uniquely for any set of n variables if the
remaining n variables are set to zero.
For example, in the simplex method (an iterative method, discussed later
in the section), the starting solution is chosen to be the one in which the
decision variables x1, x2… xn, are assumed zero, so that the slack
variable in each equality constraint equals the right hand side of the
equation, i.e. xn+1 = b1, xn+2 = b2, ..., Xn+m = bm, in the starting
solution in the simplex method. Obviously, the objective function value
for this starting solution is z = 0. Iterations are performed in the simplex

65
method on this starting solution for better values of the objective
function till optimality is reached.

Before discussing the simplex method, the graphical method to a LP

problem in two variables is illustrated in the following example to gain
some insight into the method. It may be noted that if the problem has
more than two decision variables, the graphical method in two
dimensions illustrated below cannot be used.

Example 4.6
Two crops are grown on a land of 200 ha. The cost of raising crop 1 is 3
unit/ha, while for crop 2 it is 1 unit/ha. The benefit from crop 1 is 5 unit/ha
and from crop 2, it is 2 unit/ha. A total of 300 units of money is available for
raising both crops. What should be the cropping plan (how much area for crop
1 and how much for crop 2) in order to maximize the total net benefits?
Solution:
The net benefit of raising crop 1 = 5 - 3 = 2 unit/ha
The net benefit of raising crop 2 = 2 - 1 = 1 unit/ha
Let x1 be the area of crop 1 in hectares and x2 be that of crop 2, and z, the‘ total
net benefit.
Then the net benefit of raising both crops is 2x 1 + x2. However, there are two
constraints. One limits the total cost of raising the two crops to 300, and the
other limits the total area of the two crops to 200 ha. These two are the
resource constraints. Thus the complete formulation of the problem is:

Equation (2.1) is the objective function and Eqs (2.2) are the constraints. The
non-negative constraints for x1 and x2 indicate that neither x1 nor x2 can
physically be negative (area cannot be negative).

66
First, the feasibility region for the constraint set should be mapped. To do this,
plot the lines 3x1 + x2 =300 and x1 + x2 = 200, along with x1= 0 and x2 = 0 as
in Fig. 2.4. The region bounded by the non-negativity constraints is the first
quadrant in which x1≥0 and x2 ≥0. The region bounded by the constraint 3x1 +
2x2 ≤300 is the region OCD (it is easily seen that since the origin x1 = 0, x2 = 0
satisfies this constraint, the region to the left of the line CD in which the origin
lies is the feasible region for this constraint). Similarly, the region OAB is the
feasible region for the constraint X1 + X2 ≤ 200.

67
68
B. Simplex Method

69
Terminology:

70
71
72
73
74
75
76
77
78
79
80
 Chapter 5

WATER LAWS
5.1 Water sharing rights
In areas where water is inadequate to meet the needs of the users, water is
considered as an essential commodity. So as a system of laws has been
developed to specify the rights of the owners of the land to avoid conflicts.
Water laws focus on the economic aspects of water management. The two major
laws are:
1. Riparian rights:
Basic concepts and clauses;
a. The owner of the land adjacent to a river (riparian land) is entitled to receive
the full natural flow of the river without changing its quality and quantity.
b. The riparian owner is protected against the diversion of water from the
upstream side of his or her property.
c. No upstream owner may lessen or increase the natural flow of a river to
create disadvantage to the downstream owner.

2. Appropriate rights:
Basic concepts and clauses;
a. The right of the earliest appropriator is superior to any other claim.
b. Appropriation is possible if the water is available in excess of the earliest
claims.
c. The claimants of the earliest priority are entitled to their full share and the
owners of latter priority may not have the share.
d. An appropriator may store water in reservoir for using during the period of
shortage; but the amount of shortage should be limited by the terms of shortage
appropriation.
e. Waste water discharge, discharge from flood mitigation and hydroelectric
storage reservoirs should be properly appropriated.
Water neither knows nor respects compartmentalized political boundaries;

81
IRBM IN THE BLUE NILE RIVER BASIN
• Unchanged Status quo:
 The 1959 Agreement defined a status quo set in absolute quantities (66%
to Egypt, 22% to Sudan, 12% to evaporation and seepage).
• Mutually exclusive Doctrines:
 ―Acquired/Historical rights‖ or ―Appropriate rights‘‘ vs ―Riparian Rights;‖
 Egypt has mostly stressed the triple doctrines of primary need, prior use,
and acquired rights;
 The riparian doctrine: ―the owner of land bordering a water body acquires
certain rights to use the water.‖

82
 • Lack of confidence between upstream & downstream countries:
 Historical legacy (war, rebellious activities, Cold war issues), hence failed
to reconcile their narrow national sentiment and broader regional
cooperation;
• Lack of Basin-wide legal and institutional framework for utilizing
and managing the river:
 to date, no comprehensive agreement except pro- Cairo colonial
and post-colonial agreements;
 This has sustained fear and suspicion of one another and the
intention to maximize one's own benefit.
Water has the potential to act as irritant or unifying factor for the co-
basin states;

5.2 Concept of IRBM and Basin Master Plan

 Integrated river basin management (IRBM) is a process which
promotes the coordinated development and management of
water, land and related resources…;
 As a coordinating framework for integrating sectoral needs,
water and water-related policy, resource allocation, and
management…;
 As a participatory planning and implementation process…

Basin Master Plan: Generally master plan includes facilities that are
required to be built as described below.

Access
Provide public access and facilities for water-oriented recreation and
recognize the need for maintenance of river training works.

• Conservation
Support efforts and programs designed to conserve water, land, and soil
resources and riverine and estuarine systems.

83
• Education
Promote human, environmental, and economic well-being through
education and information programs that foster an understanding of the
complex water-related issues throughout the river basins and bay.

• Flood Protection
Support efforts to reduce damages caused by flooding.

• New Reservoirs
Identifying new reservoirs in the Master Plan that may be implemented
as needed for water supplies, Hydropower, Irrigation etc...

• Reuse
Highly treated wastewater should be reused for beneficial purposes.

• Wastewater Treatment Plants

Wastewater treatment plants should be expanded and upgraded as
needed. Whenever feasible, regional wastewater treatment should be
implemented.

• Water Management Policy

Support water management policies that balance the values of both the
Trinity River and Trinity Bay and promote the most efficient use of water
resources for all beneficial purposes.

• Water Quality
Continue to maintain and improve the water quality of the River.

Water can serve as both source of conflict and cooperation among the
riparian countries;

84
The world‘s fresh water resources are under increasing pressure due
to:
 Growth in population;
 Increased economic activity ;
 Improved standards of living
 Overuse of this resources
 Limited nature of the fresh water resources etc…

Demand for IRBM planning and management;

 A holistic, systemic approach, relying on IRBM must replace the
fragmentation in managing water (World Commission on Water,
2000);
 Assumption: cooperative management of shared watercourses can
optimize regional benefits, mitigate water-related disasters, and
minimize tensions as well as help maintain shared ecosystems and
improve water productivity in agriculture;
 But the achievement of co-operative solutions to the provisions of a
common property resource remains the main challenge.

The principle of Hydro-unity: By virtue of its physical unity, a river

basin should be developed as a single, indivisible whole, irrespective
of political divisions (Lowi, 1993);

The Dublin Principles:

 ecological principle;
 institutional principle;
 Women play a central role in the provision, management and
safeguarding of water; and
 Instrumental principle.

85
The Principles of the UN Convention (1997):
 Cooperation among riparian states (Article 8); and
 Protection and preservation of international rivers and associated
ecosystems (Articles 5, 8, 20, and 21).

The Indus Waters Treaty:

 signed in 1960 between India and Pakistan;
 Signed by two enemies, and lasted through two Indo-
Pakistani wars to the nuclear era in the Indian subcontinent.
 The two countries established the permanent Indus
Commission with the task of handling hydraulic data,
including the monitoring of flow discharges.

The Mekong River Commission:

 signed by the lower basin countries in 1995 led to the evolution of
the Mekong Committee (that existed since1957) into the Mekong
River Commission (MRC);
 seeks to promote sustainable development in the utilization,
management and conservation of the water and related resources
of the Mekong river basin;
 Provides a framework for all developmental work related to the
Mekong River with an emphasis on the protection of the
environment and the ecological balance.

Conclusions
 A holistic, systemic approach, relying on integrated river basin
management must replace the fragmentation in managing water;
 Water resources integration can be considered under the natural
and human system integration based on the existing principles.

86
 WATER RESOURCES UTILIZATION IN ETHIOPIA

____________________________________________________________________

NEGARIT GAZETA
OF THE TRANSITIONAL GOVERNMENT OF ETHIOPIA

___________________________________________________________________________

PROCLAMATION NO. 92/1994

A PROCLAMATION TO PROVIDE FOR THE

UTILIZATION OF WATER RESOURCES

WHEREAS the Country is endowed with abundant water resources

suitable for various uses;

WHEREAS, it is necessary to issue law to ensure that such resources are

allocated in an equitable manner and utilized properly;

NOW, THEREFORE, in accordance with Article 9(d) of the Transitional

Period Charter, it is hereby proclaimed as follows:-

1. Short Title
This proclamation may be cited as the "Water Resources Utilization
proclamation No. 92/1994."

2. Definitions
In this proclamation, unless the context requires otherwise:

1. "water resources" means any surface or groundwater but excludes

mineral water and geothermal deposits as defined in the Mining
Proclamation No. 52/1994."

2. "Regional water resources" means any water resource existing

within a region, and includes tributaries of water that flows across
or lies between more than one National/Regional Self-Government;

3. "trans-boundary River" means a river which crosses the Ethiopian

boundary and flows into another country;

4. "Water works" means construction works executed for the purpose

of water resources development and includes other related works;

87
 5. "Fishery resources development" means development activities
relating to fishery resources and other faunas;

6. "Appropriate Authority" means the Ministry as regards trans-

boundary Rivers and water that flows across or lies between more
than one National/Regional Self-Government, and the Natural
Resources Development and Environmental Protection Bureau as
regards regional water resources;

7. "Ministry" means the Ministry of Natural Resources Development

and Environmental Protection;

8. "Peasant" includes persons whose traditional occupation is animal

rearing;

9. "Person" means a natural or juridical person.

3. Water Uses Requiring Permits

1. A permit issued by the Appropriate Authority shall be required to
use water resources for the following purposes:

a) Irrigated agriculture;
b) Commercial animal raring;
c) Commercial fishery resources development;
d) Industry and aero-industry;
e) Mining;
f) Municipal and urban water supply;
g) Hydro-electric power generation;
h) Recreation and tourism;
i) Water transport;
j) Any use requiring construction of water works.

2. Notwithstanding the provisions of sub-Article (1) of this Article, no

permit shall be required for use of water by peasants,
artisanal miners, traditional fishermen and persons rendering
traditional water transport services.

4. Application for a permit

1. An application to be submitted to the Appropriate Authority for a
water use permit shall contain the following information:

88
 a) Name and address of the applicant;
b) The intended use of the water resources;
c) Location of the water resources and the intended place of
use;
d) The intended method and manner of use of the water
resources;
e) The volume of water required monthly and annually;
f) Where appropriate, investment certificate and other
information required by the Appropriate Authority.

2. Where reasonably required by the Appropriate Authority, maps,

plans and designs shall be submitted together with the application
mentioned in sub-Article (1) of this Article.

5. Issuance of Permit
1. The Appropriate Authority shall issue the requested permit within
60 days, where it is satisfied that the intended use of the water:

a) Is not detrimental to the interests of other water users but

without prejudice to the provisions of Article 7(3) of this
Proclamation; and

b) Does not entail harmful effects on or pollution of the water

resources and the environment.

2. Where the Appropriate Authority rejects the application, it shall

notify the applicant, in writing, within the time limit specified in
sub-Article (1) of this Article, stating the reason thereof.

6. Duration and Renewal of Permit

1. The Appropriate Authority shall, at the time of issuing a permit,
determine the duration of the permit taking into account the nature
of the project.
2. The holder of a permit may apply for renewal of the permit six
months prior to its expiry date.
3. The Appropriate Authority shall renew the permit for such period as
it may determine, where it finds that the holder has fulfilled his
obligation under the permit and the conditions laid down under
Article 5(1) of this proclamation.

89
 4. Where an application or renewal of permit is rejected, the
Appropriate Authority shall notify, in writing, the permit holder in
the manner prescribed under Article 5(c) of this proclamation.

7. Amendment and transfer of Permit

1. The permit holder may apply for the amendment of the permit in
order to decrease or increase the volume of water permitted or to
use the water for other purposes.

2. Upon receipt of an application under sub-Article (1) of this Article,

the Appropriate Authority shall decide on the application on the
basis of the provisions of Article 5(1) of this proclamation.

3. The Appropriate Authority may, on its own initiative, amend a water

use permit where a re-adjustment of allocation of water becomes
necessary due to changes in environmental conditions, increase in
the demand for water uses or due to any other satisfactory ground;
provide, however, that the permit holder shall be compensated for
damages resulting from the amendment except where the
amendment is caused by changes in environmental conditions.

4. A water use permit may be transferred to another person upon the

approval of the appropriate authority.

8. Suspension and Revocation of Permit

The Appropriate Authority may suspend or revoke water use permit on any
one of the following grounds:
1. Failure to observe obligations arising from the permit;

2. Wasteful use of water or misuse in any other manner;

3. Failure to comply with directives issued for the protection of public

health, the environment and water quality control;

4. Failure to commence utilizing the allocated water for four months

without good cause;

5. Submission of false or misleading information relating to the permit;

90
 6. Transfer of the permit to another person without the permission of
the Appropriate Authority;

7. Voluntary surrender of the permit by the holder.

9. Obligations of Permit Holders

Any permit holder has the obligation:
1. To use the water only for the authorized purpose;
2. To pay water charges on time;
3. To take due care, in accordance with the relevant directives, so that
the water works constructed by him cause no harm to persons or
property;
4. To take the necessary care, in accordance with the relevant
directives, so that effluent discharged or flowing from the project
cause no harm to persons or property or pollution to the
environment.

5. To submit on time information required by the Appropriate

Authority;

6. To observe laws, regulations and directives relating to water

resources.

10. Permit Fees and Water Charges

1. Fees for water permits and permit renewals shall be paid in
accordance with directives to be issued by the appropriate authority.

2. Water charges shall be paid by any permit holder in accordance with

directives to be issued by the appropriate authority.

3. Water charges shall be paid annually effective from the date of

issuance of the permit.

11. Responsibilities of the Appropriate Authority

The Appropriate Authority shall:
1. Take the necessary cautionary measures during issuance of permits
to avoid excessive allocation or depletion of a water resource;

2. Ensure that water resources are utilized in sustainable and most

beneficial manner.

91
 3. Take necessary measures so that the issuance of water use permit
to investors does not adversely affect the interest of peasants in any
manner whatsoever;

4. Establish and maintain water register to record measures taken

affecting water use permits;

5. Assign supervisors to ensure that permit holders utilize the water in

conformity with the condition of the permit.

12. Servitude
1. A permit holder may, with the approval of the Appropriate Authority,
construct water works on land under the possession of another
person for the purpose of abstracting the required water from its
source;

2. The possessor of the land encumbered pursuant to sub-Article (1) of

this Article, is entitled to adequate compensation from the permit
holder.

3. The provision of sub-Article (1) of this Article shall not apply to land
under peasant holding unless the peasants themselves have given
their consent and provided that the construction of the water work
does not in any way entail eviction of the peasants.

13. Settlement of Disputes

1. The Appropriate Authority shall hear and adjudicate disputes
arising between permit holders or between a permit holder and
other person concerning rights and obligations emanating from the
permit.
2. An appeal may be lodged to the competent court within thirty (30)
days against the decision of the Appropriate Authority rendered
under sub-Article (1) of this Article.

14. Utilization of trans-boundary Rivers

1. Utilization of trans-boundary Rivers shall be administered in
accordance with the provisions of this Proclamation and
international treaties to which Ethiopia is a party.

92
 2. The Appropriate Authority shall consult with the concerned
Central Government organs before issuing water use permits
relating to trans-boundary Rivers.

15. Utilization of Tributary Rivers

Utilization of tributaries of trans-boundary Rivers or tributaries of water
resources that flow across or lie between more than one National/Regional
Self-Government shall be administered in accordance with this
Proclamation and in line with specific directives to be issued by the Council
of Ministers.

16. Delegation of Power

The Ministry may, as it deems it necessary, delegate some of its powers and
duties to National/Regional Natural Resources Development and
Environmental Protection Bureaus.

17. Transitory Provisions

1. Any person who is already utilizing water resources for any of the
purposes specified in Article 3 of this proclamation shall apply to the
Appropriate Authority for a permit within three (3) months from the
coming into force of this proclamation.
2. A water user who fails to apply within the time limit set in sub-
Article (1) of this Article, may, subject to payment of 50% of the
permit fee as a penalty, submit his application within the next three
months.
3. Upon receipt of an application under sub-Article (1) or (2) of this
Article, the Appropriate Authority shall issue the required permit,
provided that the manner of the utilization of the water resource
does not clearly violate the provisions of this Proclamation.

18. Penalty
Any person violating the provisions of this proclamation shall be
punishable in accordance with the penal Code.

19. Inapplicable laws

93
 No Law, regulations, directives or practices which are inconsistent with the
provisions of this proclamation shall have force or effect with rspect to
matters provided for in this Proclamation.

20. Effective Date

This proclamation shall enter into force on the date of its publication in the
Negarit Gazeta.

Done at Addis Ababa, this 21st day of March, 1994

MELES ZENAWI
PRESIDENT OF THE TRANSITIONAL
GOVERNMENT OF ETHIOPIA

5.3 concepts of EIA

Definition:

Environmental Impact Assessment (EIA) is a project specific tool

used to identify and assess the actual and potential environmental
implications of a project before the project commences.

5.3.1 Introduction:

Environmental Impact Assessment (EIA) is a tool for assisting

environmental management and for contributing to Sustainable
Development. The purpose of EIA is to identify potential environmental
impacts from proposals, such as projects and programs, and to propose
means to avoid or reduce the significant impacts.
EIA was developed formally in the 1970s and has been incorporated in
the procedures of governments and major development organizations
worldwide. As a result it is important that people who may have any role
in the design or planning of projects, or may be associated with deciding
about their suitability, should be aware of EIA and how it operates in
their local area.

94
5.3.2 Main Features:

Often required by law; policies; administrative orders; or

regulations, EIA systematically identifies, predicts and assesses
the actual and potential environmental consequences of a project,
before the project is approved. The EIA process ensures
proponents take responsibility for minimizing the environmental
impacts of their proposed project. Decision makers and other
stakeholders use information generated from the EIA process to
identify environmental management options and to decide if and
how the proposed project will proceed. A key feature of EIA is
public participation.

Used in many countries, the aim of EIA is to reduce the

environmental impact of a project at the earliest possible stage
during the project cycle, that is, during the planning stage. Whilst
EIA processes differ between countries and projects, there are
several common components:

 Screening - is an EIA required; what level of detail is

required.
 Scoping - what are the issues and impacts of the
project; who are the stakeholders; what is the current
state of the environment.
 Identification of alternatives - what alternatives exist?
 Impact analysis - what are the environmental, social
and other related impacts of the project.
 Mitigation and impact management - how will the
impacts be mitigated, reduced or managed.
 Evaluation of significance - are the impacts acceptable.
 Preparation of an Environmental Impact Statement
(EIS) or report - documentation of the proposal,

95
 impacts, impact mitigation and management options,
level of significance and concerns.
 Review of EIS - EIS is open for public comment for a
sufficient period of time.
 Decision-making - public comments considered and a
decision made whether to accept the proposal as is,
modify the proposal or reject the proposal outright.
 Monitoring and review - develop an implementation
plan; begin monitoring and review of the project.

Some countries are attempting to take EIA by further integrating it

into planning mechanisms and expanding its scope to cover
sustainable development and cumulative effects.

EIA has suffered much criticism over the years including criticism about:
poor public consultation practices; poorly written reports; costly,
inefficient and time consuming practices; limited scope; information
understated or omitted from reports; EIA treated as a separate process
and not integrated into the project cycle; lack of monitoring and review of
terms set out in reports; and inconsistent application. The result is a
lack of confidence in the EIA process by both decision makers and the
general public.

5.3.3 Organizational Proponent

EIA began in 1970 with the introduction of the US National

Environment Policy Act (NEPA).

Case Studies and Examples

1. Copenhagen Airport: An EIA was undertaken for the

extension of Copenhagen Airport in the late 1990s. Before the EIA
began, the public was invited to put forward ideas and proposals

96
for the project. These suggestions were included in the EIA and
stimulated public debate. The EIA generated several reports: an
environmental report, a regional plan directive, a local plan and
an environmental approval. The environmental report included
mapping; registration; analyses; forecasts; and assessments of
noise, air quality, soil and groundwater, wastewater, surface
water, waste, resources, architecture, landscape, flora, fauna and
socio-economic impacts of the proposal. The regional plan
directive established general guidelines for the use of land around
the airport. The local plan defined provisions for the use of the
area, size and location of buildings, traffic, un-built areas, etc. The
environmental approval set terms and conditions and defined
preventive requirements.

2. Antarctica: The Madrid Protocol provides for environmental

protection of Antarctica and all requires activities within
Antarctica to undertake an EIA and receive approval before
commencing. The level of coverage and detail of the EIA depends
on which category the activity falls within. All EIA‘s must follow
set principles. The Australian Antarctica Division is the EIA
consent authority for any activity within the Australian Antarctica
Territory, or any Australian activity anywhere in Antarctica. In
addition to following the Madrid Protocol, Australian activities
must also follow Australian EIA and Environmental Protection
legislation.

Target Sectors / Stakeholders

Key stakeholders are the organization proposing the project;

government agencies; communities, residents, business, etc that
are potentially or actually affected by the proposal; non-

97
government organizations; environment consultants; and decision
makers.

Scale of Operation

EIA is applicable to any project.

98
 Chapter 6
WATER RESOURCE BASINS OF ETHIOPIA

6.1 Introduction

Ethiopia is situated in the Horn of Africa. In the West the country is

bordered by Sudan, In the North by Eritrea, in the South with
Kenya and in the east with Somalia & Djibouti.

The country is located between 3o and 15o North latitudes and 30o
and 48o East longitudes. It has a total area of 1.13 million square
kilometer.

The topography is so varied that elevations range from 125 m below

sea level in the Afar Dallol depression to a number of peaks in
excess of 4000 m, of which the highest is Ras Dashen with 4620
m.a.s.l.

The country consists of nine national regional governments and two

administrative councils (Addis Ababa and Diredawa Administration
councils).

Due to its great geographical diversity, the country comprises hot and
cold places as well as the Great Rift Valley that separate the western
and northern high lands from southeastern and eastern highlands.

Rainfall varies both in amount and distribution from a few

showers in the low lands to thousands of mm per year in the
highlands. The temperature variations are also significant in the
country with highest mean maximum temperature of about 40 oC
in the low lands and around 0 oC or lower observed mainly during
night in the high land areas.

99
Ethiopia, with its different geological formations and climatic
conditions, is endowed with considerable water resources and wetland
ecosystems, including twelve river basins, about 14 major lakes, and
some man made reservoirs. About 123 billion cubic meters of
water runs off annually from the above sources. Most of them are
trans-boundary Rivers. The country is also known for its groundwater
resource, but the potential has not been assessed in detail. The
preliminary estimated amount of yearly groundwater recharge of the
country is about 28,000 Mm3. Recent studies indicated that the
potential is much greater than this amount. Most of the developed
groundwater resources are mainly used for domestic and industrial
water supply. So far, only 20.4% of the Ethiopian landmass has been
mapped at 1:250,000, 36.8% at one million scale and the whole country
at two million scale (Ethiopian Geological Survey).

6.2 SURFACE WATER RESOURCES POTENTIAL OF ETHIOPIA

Almost all of the River Basins radiate from the central ridges that
separate the Rift Valley from the highlands of Ethiopia to all
directions out of the country. Basins drained by rivers originating from
the mountains west of the Rift Valley flow West into Sudan, and those
originating from the Eastern highland flow east into the Republic of
Somalia. Rivers draining the Rift Valley Basins System originates from
the adjoining highlands and flow North and South of the uplift in the
Center of the Ethiopian Rift Valley North of Lake Ziway. That is why this
country is called ―the water tower of east Africa.”

There is very big variation in the size of the Basins that is mainly the
function of the geological formation. The Wabishebelle River Basin is
the largest basin in Ethiopian with an area of 202, 220 km2 followed by
the Abbay River Basin covering an area of 199812 km2. The smallest

100
basin is the Aysha Basin with an area of 2223 km2 followed by the
Mereb that has an area with in Ethiopia of 5900 km2.

Table 6.1 : Important Physical Characteristics of the Ethiopian River Basins

R.No. Basin Name type Source Location Area(km Direction of Terminal
2) Flow

1 Wabishebelle R Bale Highland 4 0 45'N-9 0 45'N 38 0 202220 East Indian Ocean

45'E-45 0 45'E

2 Abbay R West, 7 o 45 ' N-12 o 45 ' N; 34 199912 West ( Nile ) Mediterranean Sea
Southwest HL o 05 ' E-39 o 05 ' E

3 Genale Dawa R Bale Highland 3 0 30'N-7 0 20'N 37 0 172259 East Indian Ocean
05'E-43 0 20'E

4 Awash R Central 8 0 30'N-12 0 00'N 38 0 110000 North-east Terminal Lakes

Highland 05'E-43 0 25'E (Internal)

5 Tekeze R North Wollo 11 0 40'N-15 0 12'N 36 0 82350 West ( Nile ) Mediterranean Sea
Highland 30'E-39 0 50'E

6 Denakil D North Wollo 12 o 0'N- 15 0 0' N 39 0 64380 NF Internal

Highland 0' E- 42 0 0'E.

7 Ogaden D No flow 5 0 30'N - 9 0 44' N 42 0 77120 NF Internal

41'E-45 0 00' E

8 Omo-Ghibe R Central, 4 0 30'N - 9 0 30'N 35 0 79000 South Rudolph Lake

Western HL 0'E - 38 0 0'E Internal)

9 Baro-Akobo R Western 5 0 31'N-10 0 54'N 33 0 75912 West ( Nile ) Mediterranean Sea

Highland 0'E-36 0 17' E

10 Rift Valley L Arsi and 4 0 20'N-8 0 30'N 36 0 52000 South Chew Bahir
Lakes Central HL 30'E-39 0 30'E

11 Mereb R Adigirat HL 14 0 03'N-14 0 52'N 37 0 5900 West ( Nile ) Swamp in Sudan

51'E-39 0 27'E

12 Aysha D No flow 10 0 00'N-11 0 00'N 42 0 2223 NF Internal

00'E-43 0 00'E

Source: Respective Basin Master Plan Studies

HL-Highland D-Dry R-River L- Lake NF-No flow

6.2.1 TOPOGRAPHY AND ALTITUDINAL GRADIENT

Ethiopia is often fabled as the country of high mountains, flat plateaus

frequently cut by deep gorges and wide valleys in the highland and
plains in the lowlands. The highlands with very rough terrain are

101
impenetrable making accessibility as well as other development efforts a
complex endeavor.

The Geophysical setting of the country is generally characterized

by highland in the center circumscribed by the lowlands. High
raising mountains with flat top and steep sides are common features of
the Ethiopian Highland. The lowlands are flat with frequent incision by
ravines and gullies. The transition from highland to lowlands is very
abrupt with sharp falls and cataracts.

Except the Ogaden and Aysha Basins which are totally located in the
lowlands, the other basins of Ethiopia exhibit a large altitudinal gradient
the highest being in the Denakil Basin.

Table 6.2: Important topographical characteristics of Ethiopian River Basins

R.No. Basin Name Source Highest point Lowest Point

Locality Altitude Locality Altitude Locality Altitude
(masl) (masl) (masl)

1 Wabishebelle Mt Bale 4000 Galama & Ahmar 4000 Somali Border 200

2 Abbay Sekela, West 2000 Mt Choke 4100 Sudan Border 500

Gojam

3 Genale Dawa Mt. Bale 4300 Mt. Batu 4307 Somali Border 180

4 Awash Ginchi 3000 - - Terminal 250

Lakes

5 Tekeze Lalibela 3500 Ras Dejen 4620 Sudanese 550

Border

6 Denakil - - Abune Yoseph 4170 Kobar Sink 160

7 Ogaden - - Divide-line with 1900 Somali Border 400

Awash

8 Omo-Ghibe Ambo 2800 Mt. Guge 4200 Rudolph Lake 350

9 Baro-Akobo Illubabor 3000 - 3900 Sudan Border 395

10 Rift Valley - - Arsi Mt. 4193 Chew Bahir 300

Lakes

11 Mereb Zalanbessa 2500 - 3242 Eritrean 900

Border

12 Aysha - - - 1200 Djibouti Bord 400

102
Table 6.3: Major river basins, catchments areas and annual discharges
No. Basins Catchments area Annual Discharge

% (km2) % (Billion m3) %

1 Abay 199,812 17.56 54.4 43.05

2 Awash 112,700 9.9 4.9 3.76

3 Baro-Akobo 74,102 6.51 23.23 19.31

4 Genele-Dawa 171,050 15.03 6.1 4.81

5 Tekeze 90,000 7.9 8.2 6.24

6 Wabi-shebele 200,214 17.59 3.16 2.59

7 Omo-Ghibe 78,200 6.87 16.6 14.7

8 Mereb 5,900 0.52 0.72 0.21

9 Rift valley Lakes 52,740 4.63 5.64 4.62

10 Danakil 74,0002 6.5 0.86 0.7

11 Ogaden 77,100 6.77 0.0 0.0

12 Aisha 2,200 0.19 0.0 0.0

Total 1,138,020 100 123.81 100

The most populous basin in Ethiopia is the Abbay Basin. The Abbay
Basin is the most important Basin in Ethiopia by most criteria as it
contributes about 45% of the countries surface water resources, 25
% of the population, 20 % of the landmass, 40 % of the nations
agricultural product and most of the hydropower and irrigation
potential of the country. Population density is highest in Rift Valley
Lakes Basin indicating the immense pressure on the resource base. The
basin with the lowest population size and density is the Aysha Dry Basin
(ADB) mainly due to its remoteness, inaccessibility, harsh environmental
condition, low resource potential and shortage of socio-economic
infrastructures and services. Despite the huge productive force in the
basins (Age group 15-64), the high rate of illiteracy could be an obstacle
to their development.

Administratively, most basins drain more than one Regional States.

Awash Basin drains seven Regional States and / or City Councils where
as the Oromia Regional State is drains seven different basins. Three of

103
the basins; Ogaden, Aysha and Mereb fall with in one Regional State,
Somali and Tigray respectively and the Gambella Regional State falls
within one basin i.e the Baro-Akobo River Basin. The discrepancy
between the basin boundary which is considered as an appropriate unit
for planning and management of water resources and the
administrative boundary, within which most decisions of development
are made, will be one of the challenges forthcoming with the progress of
basin based water resources management approach under
implementation.

Table 6.4: Important Socio-economic features of the Ethiopian Basin

R.No. Basin Name Population Urbanization Other Social Administration
Indicators

'000 '000 GR Density % Productive Illiteracy Regions Woreda

1995 2010 % p/km 2 Force %

1 Wabishebelle 5880 9489 3.9 29 7 49.7 80 O,SN,H,S 76

2 Abbay 14231 22000 2.6 72 7.9 na 74 O,A,BG 162

3 Genale Dawa 5100 5100 31.9 9.8 46.7 81.5 O,SN,S 43

4 Awash 11000 14000 2.9 100 10 na na O, SN, A, Af, S, 80

DD, AA

5 Tekeze 4720 7550 3.7 57.3 10 51.7 84.4 T, A 54

6 Denakil 2068 na 3.9 na na na na A, Af, T na

7 Ogaden 1464 na 3.9 na na na na S na

8 Omo-Ghibe 6500 10000 2.9 81.5 7.5-11.7 43.6 na Or, SN 81

9 Baro-Akobo 2211 3077 2.2 26.7 8.3 49.6 na O,BG,SN,Gm 72

10 Rift Valley 7964 12407 3 153 7.3 na 79 Or, SN 60

Lakes

11 Mereb 437.5 671.8 2.84 74 5.54 51.4 82 T 11

12 Aysha 56.6 na 3.9 26 na na na S 1

Source- Respective Basin Master Plan Studies

A-Amhara AA.Addis Ababa Af-Afar, BG-Benshangul Gumz, DD-Dire Dawa,
G- Gambella, H-Harari, O-Oromia, S-Somalia, SN-Southern Nations and
Nationalities and Peoples, T-Tigray.

104
6.3 BASINS POTENTIAL FOR FUTURE WATER RESOURCE DEVELOPMENT

Table 6.5: Simple Parameters Indicating the Potential of the Basin

R.No. Basin Name Water Resources Irrigation Hydropower

Specific yield Per-Capital Potential ' Per Firm Per capital

(l/s/km2 ) availability m3 000ha capital Energy KWH/person
/person ha. GWH

1 Wabishebelle 0.53 578 209.3 0.04 7457 1268

2 Abbay 8.63 3823 1800 0.13 55000 3865

3 Genale Dawa 1.10 1176 1070 0.21 9270 1818

4 Awash 1.41 445 206 0.02 5589 508

5 Tekeze 3.16 1737 186.9 0.04 8384 1776

6 Denakil 0.42 416 0.00 - -

7 Ogaden 0.00 0 0.00 - -

8 Omo-Ghibe 6.66 2554 90.4 0.01 26026 4004

9 Baro-Akobo 9.70 10507 631 0.29 19826 8967

10 Rift Valley 131 12240

Lakes 3.44 708 0.02 1537

11 Mereb 3.87 1646 5 0.01 - -

12 Aysha 0.00 0 0 0.00 - -

Source: Derived from Respective Basin Master Plan Studies

By virtue of its high potential and less inhabitants, the Baro-Akobo

basin has the highest value in most of these indicators. The efficiency of
the basin to generate run-off is also the highest when compared to other
basins. On the other side of the picture come the Aysha, Denakil, Mereb
and Ogaden Basins with fewer prospects for future development of their
water resources.

The Ministry of water Resources prepared water resources management

policy of Ethiopia. The over all goal of the policy is to enable and
promote all national efforts towards the efficient, equitable and optimum
utilization of the available water resources of Ethiopia for significant
socioeconomic development on sustainable basis.

105
The detail objectives of the water resources management policy
are:

 Development of the water resources of the country for economic

and social benefits of the people, on equitable and sustainable
basis.
 Allocation and apportionment of water based on a comprehensive
and integrated plans and optimum allocation principles that
incorporate efficiency of use, equity of access and sustainability of
the resources.
 Managing and combating drought as well as other associated
slow on-set disasters through efficient allocation, redistribution,
transfer, storage and efficient use of water resources.
 Combating and regulating floods through sustainable mitigation,
prevention, rehabilitation and other practical measures.
 Conserving, protecting and enhancing water resources and the
overall aquatic environment on sustainable basis.

Strategy for water resources protection

Create appropriate mechanisms to protect the water resources of the

country from pollution and depletion so as to maintain sustainable
development and utilization of water resources

Establish standards and classification for various uses of water in

terms of quality and quantity for different scenarios including limit and
ranges for desirable and permissible level

Establish procedures and mechanisms for all action that are

detrimental to water resources including waste discharge, source
development and catchments management.

106