............. . . . . . .

United Nations
Educational, Scientiﬁc andCultural Organization

International
Hydrological Programmeof UNESCO

A contribution to the United
Nations World Water Assessment
Programme

IWRM

GUIDELINES>>> PART 1 Principles

<<<

at

River Basin Level

PART 2-1 The Guidelines for IWRM Coordination

PART 1PART 2-2 The Guidelines for Flood Management

PRINCIPLESPART 2-3 Invitation to IWRM for Irrigation Practitioners

This set of Guidelines is a ‘Living Document’.
If you have implemented IWRM in your basin, and if you have found a ‘Key for Success’please provide feedback so that your work can be included in future updates.
As IWRM is an evolving process, these guidelines also have to evolve.
UNESCO IHP Secretariat URL http://www.unesco.org/water/

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FOREWORD

by Mr Koïchiro Matsuura,
Director-General of UNESCO

Water is fundamental for sustainable development. It affects inter alia sanitation, health, poverty
alleviation, disaster reduction, and ecosystem conservation, and cuts across all eight Millennium
Development Goals, in particular MDG 7 and its target to reduce, by half, the proportion of the 2.6
billion people without access to safe drinking water and basic sanitation by 2015. In addition, the evergrowing vulnerability that is induced by global and local changes such as population changes, climatechanges and variability, socio-economic issues and environmental degradation, can result in increasing both the frequency and severity of extreme events, including droughts and ﬂoods.
Integrated Water Resources Management (IWRM) can play a key role in addressing these needs
and challenges. However, progress towards implementing IWRM has so far varied widely
depending on the area, capacity, political will, and understanding of IWRM concepts and theirimplementation.
Implementing IWRM at the river basin level is an essential element to managing water resources
more sustainably, leading to long-term social, economic and environmental beneﬁts. Because
water is managed locally, a river basin approach provides a practical framework, deﬁned bygeographical and hydrological characteristics, which facilitates implementation of IWRM byinvolving downstream and upstream basin wide issues as well as incorporating environmental
and socio-economic aspects.
To this end, UNESCOʼs International Hydrological Programme (IHP), following the issuance of its
2007–2008 review report titled ʻIWRM Implementation in Basins, Sub-basins and Aquifers: Stateof the Art Reviewʼ realized the need for an instruction manual that synthesizes practical methodologies for IWRM at the river basin level. These Guidelines are a follow up to the review, and are also acontribution towards the World Water Assessment Programme (WWAP), which is currently launching the third United Nations World Water Development Report (WWDR–3). They are meant to bea living document – users are therefore invited to use these materials interactively with the projectteam, and contribute to its improvement with suggestions on methodology as well as by introducing
new case studies.
I sincerely hope that these Guidelines will assist water practitioners in ﬁnding better and more efﬁcientsolutions to day-to-day problems, as well as play a catalytic role in promoting holistic integrated actions
amongst all water practitioners, ultimately leading to more sustainable societies.
I would like to acknowledge, with thanks, the support of Steering Committee members and partnerorganizations in the production of these Guidelines. My special thanks go to the Government of Japanfor its dedicated support throughout the implementation of the project.

Koïchiro Matsuura

ii IWRM Guidelines at River Basin Level – Part 1: Principles

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MESSAGE TO THE USERS
What is integrated water resources management(IWRM)? It is a step-by-step process of managing
water resources in a harmonious and environmentally sustainable way by gradually uniting stakeholders and involving them in planning and decisionmaking processes, while accounting for evolvingsocial demands due to such changes as population
growth, rising demand for environmental conservation, changes in perspectives of the cultural and economic value of water, and climate change. It is an
open-ended process that evolves in a spiral mannerover time as one moves towards more coordinatedwater resources management.
Why is IWRM needed? Water is a limited resourcethat is essential for economic growth and environmental and social well-being. Because it affects everyone,
managing this precious resource requires balancing
the interests of the many different user groups andindividuals. Without that balance many conﬂicts canoccur. Promoting coordinated water resources management in a basin that is open to all stakeholders
will not only resolve such conﬂicts but will also bringenormous beneﬁts to society, the basin, and to individual stakeholders.
The principles and concepts of IWRM havebeen widely recognized, but the implementationof IWRM is not satisfactorily progressing in manybasins. This is, perhaps, because the practitioners
responsible for water resources management at thebasin level encounter difficulties in understanding where and how to begin, or the advantages ofapplying IWRM with respect to their actual situation may not be apparent enough. On the other
hand, policy makersʼ dedicated approaches for setting up enabling environments and political frameworks that strongly support sound and sustainable
water resources management are necessary prerequisites for IWRM to function effectively. Therefore,
it is desired that practitioners and decision makers
absorb the ideas and needs of IWRM, and understand the effectiveness of applying these within abasin-wide approach. UNESCO realised that there
was a need for a mechanism to translate the IWRM
principles into practical applications. These Guidelines for IWRM at River Basin Level are intended to
be used for that purpose, as a tool to fill that ʻgapʼ.

To get started with IWRM, you need to identify thefull spectrum of stakeholders involved in river basin
management issues. It is important to have a goodunderstanding of how other stakeholders relate towater, and how they are related to you through water.
As a practitioner involved in IWRM in your basin,
you will probably face difﬁculties and challenges.
Conﬂicts of interest and opinions among stakeholders
may make coordination extremely difﬁcult. In order toovercome such situations, you need a set of ʼkeysʼ toadvance IWRM in your basin. Knowing which kindsof ʼkeysʼ have been used in other basins will allow you
to create a ʼkeyʼ suitable for your situation.
These Guidelines provide you with the necessary
information to help you implement IWRM under yourown circumstances. They consist of the fundamental
concepts of IWRM as well as perspectives of various
stakeholders with regard to water issues, keys for success for overcoming problems, and good examples
where such keys for success were applied. IWRM
cannot be accomplished in isolation. Think of IWRM
as a user-friendly and cooperative approach that is
an alternative to the previous activities of individual
water using sectors acting in their own interests, withvery little interaction with one another. The Guidelines invite each sector to fruitful participation andcooperation in IWRM, with a practical road map so
as to contribute to achieving both private and public
beneﬁts in a sustainable manner.
IWRM is a process that evolves continuously overtime – principles change, as do technologies and procedures. You cannot do everything at once. Set goals
that are achievable within the given timeframe, andstart with what you have. Enhance your IWRM expertise by revisiting your experience in the light of thekeys for success presented in these Guidelines. Convey your knowledge and wisdom to other practitioners
as well as to younger generations. If you face challenging situations in the frontline of the IWRM implementation, refer to these Guidelines once again, andﬁnd your own Key for Success.
Co-Chairs of the Steering Committee
IWRM Guidelines at River Basin Level
Eugene Z. Stakhiv
Shinsuke Ota

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ACKNOWLEDGEMENTS

The Guidelines have been written as a contribution to the World Water Assessment Programme (WWAP), presently launching thethird United Nations World Water Development Report (WWDR–3). Many individuals
and organizations from around the world havecontributed to the Guidelines. We would liketo thank in particular the Japanese Ministryof Land, Infrastructure, Transport and Tourism,
and the Japan Water Agency for their substantial contributions to the project.The Guidelines
are a work in progress, and will be up-dated
continuously so as to increase and retain its
utility for all users.
UNESCO acknowledges that GWP/INBO isalso producing an IWRM handbook focused on
basins. UNESCO and GWP/INBO have been
actively coordinating their efforts so that the
Guidelines and the GWP/INBO handbook
complement each other. The Handbook highlights the creation of an ‘enabling’ institutionalframework that promotes key IWRM principles
through policy guidance, legislation and a wellfunctioning regulatory framework.These Guidelines, on the other hand, describe an approach
to introducing IWRM at the river basin levelthat begins with implementing currently available measures in the context of existing institutions and resources, and as capacity grows,
evolving towards a fully integrated approach
towards the provision of multi-sectoral water
services.

Members for the preparation of the Guidelines
Steering Committee Members of the Guidelines
Project
Co-chairs
Eugene Z. Stakhiv (International Center for Integrated
Water Resources Management, ICIWaRM)
Shinsuke Ota (Japan Water Agency, JWA)
Members
Adnan Altay Altinörs (Deputy Directorate General for
Energy, Water and Environment; Ministry of Foreign
Affairs, Turkey)
András Szöllösi-Nagy (UNESCO)
Kenzo Hiroki (Ministry of Land, Infrastructure, Transport
and Tourism, MLIT, Japan)
Kuniyoshi Takeuchi (International Centre for Water
Hazard and Risk Management, ICHARM)
Mochammad Amron (Network of Asian River Basin
Organizations, NARBO)
Reza Ardakanian (UN – Water Decade Programme on
Capacity Development; UNW-DPC)
Shahbaz Khan (UNESCO-IHP)
Shelley McMillan (World Bank, WB)
Tony Jakeman (Integrated Catchment Assessment andManagement Centre, iCAM, The Australian National
University, Australia)
Victor Pochat (Universidad Nacional del Litoral,
Argentine)
Wouter Lincklaen Arriens (Asian Development Bank,
ADB)
External Contributors
Reviewer, William Cosgrove
Reviewer, Richard F. Connor
Editor, David McDonald
Editor, Cathy Lee
Designer, typography and layout, Eric Loddé
Secretariat
Toshihiro Sonoda (UNESCO)
Natsumi Okamine (UNESCO)
Mao Takeuchi (UNESCO)The Guidelines can be downloaded from the UNESCO
website (http://www.unesco.org/water/)iv IWRM Guidelines at River Basin Level – Part 1: Principles

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STRUCTURE OF THE GUIDELINESThe Guidelines consist of two parts.
Part 1 deals with the Overarching Principles of IWRM at River Basin Level.
Part 2 deals with practical examples intended for use by practitioners of IWRM.

Part 1 provides basic principles of IWRM mainly targeting policy-makers, and explains the
beneﬁts of IWRM at river basin level and the need to promote it at the policy level. It also
proposes a spiral model of IWRM, which illustrates the evolving and dynamic nature of the
IWRM process.
Part 2 consists of three sub-parts:• Part 2-1 The Guidelines for IWRM Coordination• Part 2-2 The Guidelines for Flood Management• Part 2-3 Invitation to IWRM for Irrigation Practitioners
Part 2-1 and Part 2-2 are compiled from the point of view of comprehensive coordination of
IWRM at the basin level. Part 2-3 is prepared from the perspective of irrigation practitioners
as representatives of water users. This document invites them to actively participate in IWRM.
Hence, the document is entitled ‘Invitation to IWRM’.
Two main features of the Guidelines are the Sector Perspectives and the ‘Key for Success’.
Sector Perspectives provide insights on what individual sectors are typically thinking. What is
described in this section may not be complete, but the important thing is to know how othersectors perceive water management and how they are related to IWRM.
The core of Part 2 is the keys for success, which can be used in practice to help IWRM succeed
at the basin level. Some of the keys for success are extracted from good examples of IWRM
implementation in several different river basins worldwide.

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MESSAGE TO THE USERSTABLE OF CONTENTS

Foreword .............................................................. ii
Message to the Users ......................................... iii
Acknowledgements ............................................ iv
Structure of the Guidelines ................................ v

3.5. Addressing urbanization andland-use change ................................................. 123.6. Recognizing the evolving roleof agriculture ..................................................... 12

1. Introduction ................................1

4. The Implementation
Process ......................................... 13

1.1 Background ....................................................1
1.2. Status of IWRM Implementation ................2

4.1. Embarking on IWRM in a basin ................ 13
4.2. Important conditions ................................ 14

2. Benefits of Integrated
Water Resources Management
at the River Basin Level ..................... 4

4.3. River basin organizations .......................... 17

2.1. The river basin as an appropriate
unit for integrated management ....................... 4
2.2. Interactions between the river
basin approach and different
administrative levels ........................................... 6
2.3. All sectors benefit from IWRM
at the river basin level ....................................... 7

5. Enhancing Performanceand Accountability ...................... 19

3. IWRM as an Evolutionary
Process at the River Basin Level .... 8
3.1. The spiral model for conceptualizing
the evolutionary IWRM process ....................... 8
3.2. Reassessment of basin hydrology ............ 10
3.3. Adapting management plansto changes ......................................................... 11
3.4. Climate change as an uncertain
driver ................................................................. 114.4. Transboundary issues ................................ 18

5.1. Reporting .................................................... 19
5.2. Knowledge networks ................................ 19
5.3. Performance indicatorsand benchmarking ............................................. 19
5.4. Adaptive management basedon assessment results ...................................... 20

6. Organization of Part 2 ............ 21
6.1. Features ...................................................... 21
6.2. Contents ..................................................... 21
Bibliography ....................................................... 23vi IWRM Guidelines at River Basin Level – Part 1: Principles

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1. Introduction
KEY MESSAGES
Water is important for sustainable development (1.1)
IWRM at the river basin level is a process that leads to water security and helps mitigate
water-related risks (1.1)

1.1 BACKGROUND
Water is important for development
Sound management of water resources isfundamental for sustainable development.
Good water cycle management is vital for
growth, social and economic development,poverty reduction and equity – all of which
are essential to the achievement of the Millennium Development Goals.

The emerging concept of IWRM
Integrated Water Resources Management(IWRM) emerged around the 1980s in
response to increasing pressures on water
resources from competition amongst
various users for a limited resource, therecognition of ecosystem requirements,
pollution and the risk of declining water
availability due to climate change. A central

goal of IWRM at the river basin level is toachieve water security(1) for all purposes,
as well as manage risks while responding to,
and mitigating, disasters. The path towards
water security requires resolving tradeoffs to maintain a proper balance between
meeting various sectors’ needs, and establishing adaptable governance mechanisms
to cope with evolving environmental, economical and social circumstances. IWRM
strives for effective and reliable delivery ofwater services by coordinating and balancing the various water-using sectors – thisis an important part of sustainable water
management. As water is mainly managed
locally, the river basin approach is recognized as a comprehensive process for managing water resources in a more sustainable
manner. However, well-developed, welltested, scientiﬁcally robust, socially accept-

1. Further deﬁnitions of ‘water security’:(1) ‘water security’ is the reliable availability of an acceptable quantityand quality of water for production, livelihoods and health, coupled withan acceptable level of risk to society of unpredictable water-related
impacts.’ (Mexico City, 2006. Water for Growth and Development. A
Theme Document of the 4th World Water Forum,World Bank).

(2) Water security is the capacity to provide sufﬁcient and sustainable quantity and quality of water for all types of water services
and protect society and the environment from water-related disasters. (Tunis, 28 January , 2008,-African Ministers’ Council on Water(AMCOW) and the African Development Bank (AfDB).

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INTRODUCTION

able and economically viable approaches toimplement IWRM at the river basin levelare still not widely available.

The relationship between Integrated
Water Resource Management (IWRM)
and Integrated River Basin Management
The term ‘Integrated River Basin Management’, as used in these Guidelines, is referred
to in the context of implementing IWRM forthe provision of water services at the river
basin level. IWRM is deﬁned by the Global
Water Partnership (GWP) as ‘a process
which promotes the coordinated development and the management of water, land andrelated resources, in order to maximize theresultant economic and social welfare in an
equitable manner without compromising thesustainability of vital ecosystems’. It is a holistic
approach that seeks to integrate the management of the physical environment within thatof the broader socio-economic and politicalframework. The river basin approach seeks
to focus on implementing IWRM principles
on the basis of better coordination amongst
operating and water management entities
within a river basin, with a focus on allocating
and delivering reliable water-dependent services in an equitable manner.

Purpose of these Guidelines
The purpose of developing these Guidelines
is to facilitate the practical implementationof IWRM at the river basin level, relying on
available resources – by making the existing
system work more effectively. These Guidelines will also help raise international awareness of IWRM.

1.2 STATUS OF IWRM
IMPLEMENTATION
History of IWRM
An early example of an integrated approach
took place in the 1930s in the United Statesof America (USA), with the development ofcomprehensive watershed plans for natural
resource usage (e.g.Tennessee Valley Authority). Since then, the UN and other international organizations have developed different
forms of integration under the IWRM concept, which has evolved over the decades.
IWRM has remained an important concept
for water management since the Agenda 21
process of the United Nations Conference
on Environment and Development (UNCED)
in Rio de Janeiro in 1992. Its proﬁle has beenraised through more recent global pronouncements such as the World Summit on
Sustainable Development (WSSD) in 2002,
where the target to ‘develop integrated
water resources management (IWRM) andwater efﬁciency plans by 2005, throughactions at all levels’ was agreed through theJohannesburg Plan of Implementation (JPOI)
with support to developing countries.

Status of IWRM implementation
Experience in various countries has shownthat IWRM is an essential prerequisite for
effectively coordinating water development
strategies across diverse sectors, politicaljurisdictions and geographical regions withina river basin. However, progress towards
implementing IWRM in developed and developing countries has varied widely. According
to a recent UN-Water Status Report (2), lackof progress is characteristically associated
2. Status Report on Integrated Water Resources Management
and Water Efﬁciency Plans (CSD16), UN-Water 2008.

2

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with the need to improve public awarenessamongst the hierarchy of political jurisdictions and overlapping management institutions. In developing countries, progress canbe hindered by additional obstacles related to
the region, such as technical capacity, political will and understanding of IWRM concepts
and implementation. The Status Report also
revealed the existence of diverse interpretations among countries of IWRM planning andmanagement processes and their frameworks.
These differences may even exist within one
country or between different stretches or
sub-basins of the same river.

Global enhancement of IWRM at theriver basin level
UNESCO’s International Hydrological Programme (UNESCO-IHP) declared in its latest programme report that there is a needfor an instruction manual that synthesizes
practical methodologies for Integrated River
Basin Management to help implement IWRM.
The application of IWRM principles at theriver basin, watershed, lake basin or aquifer
scales of management is also increasingly
accepted worldwide as the way to overcome

the considerable challenges in implementing
IWRM. Although an ‘enabling’ institutional
infrastructure is a desirable prerequisite for
implementing IWRM, it is not enough for thepractical execution of effective water management – that is, for the efﬁcient and reliable delivery of water-dependent services
such as hydropower, municipal and industrial
water supply and irrigated agriculture, oreven environmental ﬂows and ﬂood damage
reduction. It is at the river basin scale thatcooperation schemes, wide-ranging efforts
such as coordination, collaboration and joint
action are currently implemented. In somecases, cooperation has resulted in the establishment of standing institutional structures
through which governments can interact
regularly. However, institutional arrangements to facilitate a fully implemented IWRM
approach at a basin level have not emerged,
primarily because the concept is complex
and requires a very high level of commitment and follow-through. Tools for IWRM
need to be documented in the context ofthe existing and emerging human capacity
in basins, taking into consideration whether
river basin organizations are involved in theformal coordination processes.

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BENEFITS OF IWRM

2. Beneﬁts of Integrated Water
Resources Management at theRiver Basin Level
KEY MESSAGESThe river basin is an appropriate unit for integrated management (2.1)
IWRM can effectively deliver a triple bottom line of economic efﬁciency, social equity andenvironmental sustainability that are essential for sustainable development (2.1)
Applying IWRM enables appropriate inclusion of water-related disaster management andalleviation of environmental impacts (2.1)
The importance of water should be recognized at the highest level of decision-making aswell as at the basin level (2.2)
Each sector beneﬁts by participating in IWRM (2.3)
IWRM is the foundation for progressing adaptation to climate change (2.1)

2.1 THE RIVER BASIN AS
AN APPROPRIATE UNIT FOR
INTEGRATED MANAGEMENT

A basin-level perspective enables integrationof downstream and upstream issues, quantityand quality, surface water and groundwater,
and land use and water resources in a practical manner.

Water is recognized as essential for social,economic and environmental development.
Management within a basin unit enables theintegration of all-important environmental and socio-economic issues into evolving management plans and complementary

regulatory decisions. A basin-level perspective, deﬁned by geographical and hydrologicalcharacteristics, facilitates the practical integration of downstream and upstream as wellas basin-wide issues, and the incorporationof quantity and quality aspects of the basin’s
available surface and groundwater resources.
Cumulative land-uses in a river basin, suchas urban development, agriculture and forest conservation, can have profound impacts
on water resources in the basin and viceversa. A basin-level perspective allows water
managers to address the linkages between
water resources management and the management of land and other related resources

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effectively. Sustainable development should
reﬂect national development objectives andplans, as well as those of local governmental
units and management agencies. IWRM provides the institutional and intellectual infrastructure that allows the numerous competing goals and objectives to be coordinatedand administered in a coherent and uniform
manner.

Beneﬁts for adaptation to climatechangeA basin level perspective also becomesincreasingly important in addressing global
and local change issues, particularly as climate change impacts are realized throughthe response of the hydrological cycle, interms of quality and quantity with direct
impacts on the basin. Such changes may
include increases in the number and severityof ﬂoods and droughts over current seasonalpatterns. Climate change is the supply-side
driver, which ultimately determines how
much water is available, when and where –and ultimately how much we can use. It canlower environmental ﬂows in rivers, affecting water availability, quality and other water
functions such as sanitation, hydropower andnavigation. Climate change may not always
be perceived as the fundamental water challenge in every region, but it may exacerbate
existing management challenges. In order toreasonably mitigate these anticipated climate
impacts, it is even more essential to coordinate a variety of existing water management practices in a basin across all relevant
sectors, and optimize operation of water
infrastructure consistent with sustainable
development goals and availability of water.
Accordingly, IWRM at the river basin levelis the foundation upon which the implementation of adaptation strategies, based on asequence of climate change projections, andimpact assessments can be realized.

Integrated management of water
resources, disasters and environmental
issuesThe management of water-related disasters
such as ﬂoods and droughts, including properrisk management, should not be considered
in isolation, and should comprise an essential part of IWRM. Managing the extremes in
the hydrologic cycle comprises the essenceof water resources management, as these
events can have severe social and economic
consequences on development. Improved
management of extremes can produce highrates of return in terms of GDP (Gross
Domestic Product), maintaining economic
growth and social cohesion.
Proper management of water resources
offers increased ﬂexibility in facilitating andsupporting natural ecological functions andhuman activities by improving the resilienceand robustness of those systems under avariety of stresses, including climate change.
The seasonal and annual variability in quality and quantity of water that supports thesediverse functions can be estimated throughmonitoring, analysis and assessment, thereafter incorporated into planning and operations. For example, operating rules for dams
controlling storage facilities for ﬂood control, municipal water supply and hydropower
can be periodically modiﬁed to maximize
their utility, while at the same time ensuring environmental ﬂows.Thus, IWRM appliedat the river basin level enables appropriate
inclusion of water-related disaster and risk
management as well as alleviating potential
environmental impacts.

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BENEFITS OF IWRM

2.2 INTERACTIONS BETWEEN
THE RIVER BASIN APPROACH
AND DIFFERENT ADMINISTRATIVE LEVELS
Multiple objective water management
Food security, gender, health, environment,
industry and many other objectives areclosely related to sound water resourcesmanagement. Water managers, especiallythose in developing nations, constantly face
the question of how these challenges ofproviding for diverse and competing needs,in the face of increasing scarcity and climate
variability, can be successfully addressedin a socially acceptable and economicallyefﬁcient manner, within the resource constraints of their respective systems. Consultation with stakeholders on their needs
and objectives is a necessary and continuous process. Maintaining this ongoing public
consultative process is a fundamental aspectof the evolution of the IWRM process as
proposed in these Guidelines. The public
participation process reinforces the acceptability of IWRM as the foundation approach
to water management that can create ownership and resolution of issues among all
stakeholders.

Need for awareness at the highest
levelsCurrently, not all nations devote the requisite attention to ‘governance’ of waterrelated issues at national levels and link
their national strategies to planning andmanagement of water resources at a basin
scale. Therefore, the importance of water
resources for development and management at a basin level should be recognizedat the highest national, regional and local
levels. Where the river basin has one ormore international borders, providing
acceptable trade-offs among competing
management objectives from a neutral
viewpoint becomes an increasingly timeconsuming challenge.

Responsibilities and roles of different
administrative levels and functions
Ideally, the implementation of water
resources management and basin level planning should be linked to national strategies
and policies that explicitly link the various
levels of governmental and private sector
decision-making. Basin level water resourcesmanagement should coincide with a national‘vision’ and principles for sustainable development, but also reﬂect basin-speciﬁc issues
in its management plans and implementation, involving basin-wide stakeholders in an
appropriate manner.
A key aspect of IWRM requires that thenational government(s) create an enabling
environment, including a legal framework,
to facilitate a multi-sectoral coordinatedbasin-level approach. Thus, there will need
to be linkages and coordination amongst
the national, regional, local and basin levels.
The responsibilities of the different levels of administration and relevant stakeholders and their relationships and roles
within the river basin management need
to be clearly deﬁned. A well-drawn relationship diagram provides a foundation to
maximize each party’s potential role, generate a synergistic effect, enable a ﬂexible
approach and improve efﬁciency in every
aspect of water resource management. The
principle of ‘subsidiarity’, however, requiresthat the implementation of projects andoperation of water functions need to be
the responsibility of the appropriate institution or organization in the basin, which

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is empowered to manage the tasks and has
the authority to inﬂuence policy, keeping in
mind that the basin is the appropriate frameof reference for water resources management. In fact, few nations have establishedan ‘ideal’ vertical IWRM hierarchy where
national policies and management strategies are fully developed and coordinatedfor all aspects of water management at
all levels of government. The principles of
IWRM can be implemented at virtually any
entry point in the vertical water management hierarchy, consistent with the principles of ‘subsidiarity’. These Guidelines
fundamentally advocate that the ideal of aperfect IWRM system does not exist – itis difﬁcult to implement – yet needs to be
initiated with whatever resources are available and whatever institutional framework
exists. Sound water management improves
imperfect policies and makes them work
better to deliver vital services.

2.3 ALL SECTORS BENEFITFROM IWRM AT THE RIVER
BASIN LEVEL
Why participate in an IWRM process?
Awareness of IWRM is partly the result of
the realization that, until the 1990s – andstill today in some countries – infrequentinteraction between individual sectoral
activities, such as agricultural irrigation,
ﬂood control, hydropower, etc., resulted
in sectors having little effective coordination. Another failing of such a fragmented
approach was the insufﬁcient focus onnational sustainable development as well
as IWRM. The ﬁrst step on the path tointegration requires that each sector hasaccess to all the compiled basin data,
updated information, as well as the ability of avoiding unexpected risks caused
by uncoordinated internal and/or external
sector activities. Moreover, the processes
inherent in achieving basin sustainability
need to be undertaken through a series ofurgent actions, coupled with ﬂexible measures and mutual coordination, along withstakeholder participation.

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IWRM IS AN EVOLUTIONARY PROCESS

3. IWRM is an Evolutionary Process
at the River Basin Level

KEY MESSAGESIWRM is an iterative, evolutionary and adaptive process, conceptualized as a ‘spiral’,which permits immediate action, builds understanding, develops local capacity and creates ownership (3.1)
Reassessment of basin hydrology improves understanding of a changing water cycle(3.2)
Drivers of change at the basin level should be recognized and prioritized for adaptation(3.3)
Reassessment for adaptation to changes can be an opportunity to consider and address
special drivers such as climate, land-use changes and the agricultural footprint in the
evolving IWRM process (3.4 to 3.6)

3.1 THE SPIRAL MODEL FOR
CONCEPTUALIZING THE EVOLUTIONARY IWRM PROCESSThe conceptual spiral model of IWRM
planning
The evolutionary, adaptive implementationof the IWRM process presented in these
Guidelines is illustrated by a ‘spiral model’.
In this model, water resources development
in a basin, along with management principles and objectives, evolves over time, as
new demands and needs emerge, and innovative solutions are added at each stage. A

river basin continuously adapts to thosedemands as part of an orderly IWRM process.This is facilitated by agreements among
basin stakeholders on the necessary tradeoffs at each turn of the evolutionary water
management spiral. The ‘spiral model’ (SeeFig. 3.1) is a convenient graphical conceptualization of the iterative, evolutionary adaptive management process, adjusting to newneeds, circumstances and societal goals. The
spiral evolutionary model reﬂects progressive positive changes in historical water
resources development and management
and offers the following advantages:

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• It allows IWRM actions to be started at any
point of the evolutionary process.
• It builds capacity over time.
• It promotes cooperation and integration.
• It promotes the pursuit of better solutions
that adapt to changing circumstances andvalues.
• It facilitates consensus building and stakeholder ownership at each ‘turn of the spiral’.
• It illustrates IWRM as an incremental, stepby-step process, and therefore provides apractical framework for looking ahead andplanning for successive ‘turns of the spiral’.

IWRM at the river basin level seeks improvements in existing and conventional approaches
to water resources management leading
towards the ultimate goal of sustainable development. There are certain evolutionary development processes that are characteristic ofevery river basin – moving from a focus on
economic development to community safety
and environmental protection, and to reliable
delivery of services and integrated resource
management. Every major ﬂood, drought or
failure of an infrastructure system designed toprovide a certain level of safety and reliabilityof services, serves as an opportunity to introduce new policies, programmes, projects andtechnologies that are more compatible with
IWRM for sustainable development. This may
be in the form of introducing a new watershedmanagement unit; an equitable water allocation agreement that includes provisions forenvironmental ﬂows; or a drought contingency
management process.
In fact there are two inter-twined spirals– almost equivalent to a ‘double helix’: one
representing the historical evolution of water
resources development in a basin, and theother reﬂecting the speciﬁc point in the spiral in which new planning processes are insti-

tuted to represent updated IWRM principles.
The planning process, also linked to the ‘spiral’,requires several stages over time to achieve
one full circle of the IWRM planning andimplementation system. This spiral planning
process begins with ‘Recognizing/Identifying’pressing issues or needs, then ‘Conceptualizing’ the problem itself and formulating possible
solutions, ‘Coordination and Planning’ among
stakeholders in order to reach an agreement,and ‘Implementing/Monitoring/Evaluating’ theplan and its outcomes. The iterative process
then begins again with ‘Recognizing/Identifying’at the next stage of evolution, incorporating
ever-changing ideas, values and technologies,
thereby responding to new needs.
Every basin has a similar evolutionary spiral,
some, like those of the Nile,Tigris and Euphrates, stretch back over thousands of years.
Water resources development and management is among civilization’s oldest publiclymanaged enterprises, and in many instances
served as the ‘governance’ model aroundFig. 3.1 IWRM Spiral and Process

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IWRM IS AN EVOLUTIONARY PROCESS

which other public service activities wereconducted. Delivery of reliable water supply
to irrigated agriculture was a priority serviceof ancient civilizations. It is only over the past
thirty years that the principles of water management have been adapted to respond toincreased societal awareness about the environment, and cultural (e.g. the role of womenin water management) and socio-economicchanges, in other words, the fundament ofsustainable development. IWRM is the management framework by which those goals
associated with sustainable development canbe attained.

Stages of IWRM spiral planningThe ﬁrst stage of the ‘spiral’ begins with
‘Recognizing/Identifying’ a need to adopt
IWRM. At this stage it is important to grasp
the overall picture of the basin and startwith already compiled information. The second stage would commence as a result ofreviewing the current IWRM system or realizing demand for completely new IWRM.
Advanced stages tend to require more complex or broader coordination in accordancewith the growing concerns of stakeholders,socio-economic needs and priorities.

Moving up the spiral
Shifts upwards on the spiral represent periods when a need for renewal or revision of
IWRM has been ‘identiﬁed’. Water managers
should therefore remain alert to the evolving
IWRM need to respond to changes in a basin.
Changes in a basin may include economic
growth, changing social values and demand,and unexpected crises, all of which would
act as catalysts highlighting the necessity ofdeveloping or revising water resources management. Such changes should be considered
as a driving force for better water resourcesmanagement and a valuable opportunity toenhance IWRM. Consensus building is timeconsuming but is facilitated by making an earlystart on the requisite actions. Information on
similar cases in diverse areas may help foreseenecessary changes and demands on IWRM.

Where does a basin stand on the spiral?
An important aspect of the spiral planningmodel is understanding where the basin issituated on the spiral. What phase are theactors in? Are they in the phase of ‘recognizing’ changes or ‘conceptualizing’? How
many stages have already been accomplishedin the IWRM spiral? It is recommended thatwater managers analyse the situation of theirbasin to establish approximately its current
position in the spiral before undertaking any
action. Part 2 of these Guidelines is designed
to cover most stages, phases and steps by
providing examples from a number of basins.
Any basin management can therefore restart
its own IWRM by orienting itself to the nearest position in the ‘spiral’, which then has
direct links to useful advice for the next step.
If there seem not to be similar conditions
or appropriate solutions, it is recommended
that users refer back to earlier sections of
the Guidelines.

3.2 REASSESSMENT OF BASIN
HYDROLOGY
Adapting management plans designed torespond to changes at river basin level
requires a sound understanding of the present hydrological cycle, and the range of humanactivities affected by and affecting the hydrological cycle, and the cultures dependent
on the resources of the basin. The internalhydrology of a basin can be reassessed forwater quantity, quality, and reliability, socialchange, water demand and the state of theecosystems, and the relation between the

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responses to external drivers. Reassessment
also involves reviewing current capacity to
mitigate or adapt to changes including climate change. Review of the potential capacity of a basin can include a review of historical data and information as well as traditional
knowledge. All local stakeholders should be
involved in the process. This reassessment
provides an opportunity to address otherissues that should be involved in the entire
process of IWRM.

3.3 ADAPTING MANAGEMENT
PLANS TO CHANGES
Drivers of change
Water resource systems are directly and indirectly affected by the interaction of numerous human related drivers of economic,
social, and demographic functions such as:• Governance (institution, legal framework,
decentralization).
• Demography (population growth, gender,
migration, urbanization).
• Land use (agriculture, urbanization, deforestation, pavement).
• Economy (industrialization, globalization,
food and fuel crises).
• Social conditions (education, culture, poverty).
• Technology (water use technologies, information technology, energy transformation
technology).
• Climate change and variability.
Water managers should understand how different drivers of change affect the hydrology
and the related water demands and functions to the inhabitants in the basin. Prioritizing adaptation responses to those changes
is a key component of the IWRM process at
the river basin level.

3.4 CLIMATE CHANGE AS
AN UNCERTAIN DRIVER
Evidence of changes in the hydrological cycle
is becoming increasingly apparent, and with
progressing climate change the hydrologicalcycle is expected to intensify over the coming decades, according to computer model
predictions. However, while there is more
conﬁdence in predicting changes in mean
temperature and precipitation, the hydrologic extremes – that is, ﬂoods and droughts,
are highly uncertain. Thus, it is important toconsider appropriate adaptation measures toensure sustainable water security for social,economic and environmental needs. However, new measures to mitigate and adapt
to the impacts of climate change cannot be
identiﬁed without ﬁrst assessing the vulnerability of existing water management andwater functions. Climate change is expected
to impact the quantity and quality of water
resources, but will also have an impact onwater use. Thus, water management and efﬁciency of use must be improved in responseto new risks created by the impacts of climatechange. Setting up a viable IWRM framework
is both necessary for current water management and as a platform for adapting to climate change.
There is a need to improve understanding
on how climate change affects the hydrological cycle and the availability of water
resources. Utilization of recent modelingand information technologies are essential
in this respect. Improvement of observationand measurement networks will be essential in many river basins. In decision-making, integrated appraisals of adaptation andmitigation options across multiple waterdependent sectors are central. Cooperation
should be promoted in the development ofeffective early-warning systems for waterrelated disaster prevention and mitigation

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IWRM IS AN EVOLUTIONARY PROCESS

to reduce the negative impacts of climatechange on economic development, foodsecurity and poverty eradication efforts. It isequally essential to raise awareness of public concerns about water use and availability,with clear relevance of climate change andother external forces, reminding them of thenecessity and limitations of water resourcefor human existence in accessible ways suchas through media, education and participatory processes.

3.5 ADDRESSING URBANIZATION AND LAND-USE CHANGE
Inappropriate land management practices developed over the years are now
adversely affecting the land, water and ecological resources of many basins. Some river
basins have been dramatically modiﬁed due
to human disturbances such as agriculture,grazing, deforestation and urbanization.
These disturbances affect the amount andquality of water in river basins around theworld.The development plan for a river basinmust also account for expected changes in
the future in terms of basin activities andtheir respective water requirements, anddevise ways to militate against the adverse
impacts of such changes.

Quantifying water response to land-use
changes
It will become vital to account for accelerated urbanization and changes in land use
as the population increases (due to changes
in demographics and social and economic
activities within the basin) and their impact
on the river basin management. They will
result in changes in runoff patterns, water
use patterns and water quality. Excessive
urbanization and population growth will also
constrain options for water management,such as limiting land available for water controlling facilities. Such changes can increase
ﬂood risks, reduce freshwater ecosystems,
reduce river ﬂow, deplete springs, and aggravate water quality or ground subsidence due
to over-abstraction. Disaster management
requires coordination of housing and urban
policy with the water sector.

3.6 RECOGNIZING THE
EVOLVING ROLE OF
AGRICULTURE
Agriculture is often the dominant water user
in many basins. It has assumed an increasingly multi-disciplinary dimension, associatedas it is with increasing demands for improved
water quality and quantity, rising productivity and demand for food and biofuels driven
by population growth, urbanization, and theenergy crisis. Agriculture poses a continuing
and growing threat of increased environmental pollution. Footprint concepts such as thatof ‘Virtual Water’ by Anthony Allan can help
describe how agricultural water management
issues are linked to water ﬂows, ecosystemservices, economics and politics, to meet theneeds of present and future populations.

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4.The Implementation Process

KEY MESSAGES
Embark on IWRM whether the institutional processes are well-developed or not (4.1)
Recognize water is managed by many agencies, organizations and individuals (4.2)
Access to actors outside the water box is essential to move political will, sectoral support and public pressure for IWRM implementation (4.2)
Upgrading new technologies is vital for effective performance (4.2)
Water resources development coordinated among various sectors and users is facilitated by preparation of a master plan that reﬂects the individual sector plans and offers
the most effective and efﬁcient utilization of the resource (4.2)
Although not essential to begin the IWRM process, river basin organizations do provide
a good institutional mechanism for moving forward (4.3)
The application of IWRM by basin organizations varies according to each river basin’s
speciﬁc conditions and requirements (4.3)

4.1. EMBARKING ON IWRM IN
A BASIN

A country’s need for water resource management varies according to its characteristics – its geography, climate, size, population,
political and cultural systems, level of development, and the nature of its water resource
problems. Within a country or a river basin,
different areas have diverse water problems
and challenges. Each country and river basinmust chart its own vision and plans basedon its unique situation. A fully integrated
approach to managing water in a basin may

not be immediately possible. However, thisdoes not prevent embarking on IWRM at
the basin level whether the process is welldeveloped or not.
Various water-related sectors or users
should be considered in a well coordinatedmanner, highlighting the interactions among
them, their activities and associated infrastructure. Constructing infrastructure thatcan meet the demands of multiple sectors
while ensuring water for irrigation and ecosystem functioning as well as preventing

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IMPLEMENTATION PROCESS

negative impacts of ﬂoods can be given as
examples of an integrated approach. Basin
activities, such as development or land use,that may impact water resources and thehydrological characteristics in the basin mustalso be considered, while taking into accountthe social and cultural implications of theriver for the population residing in the basin.
Part of an IWRM approach is to characterize
the present situation and use this and otherinformation to anticipate future changes.

4.2. IMPORTANT CONDITIONS
The conditions listed below are important,but are not a set of necessary prerequisites for implementing IWRM. IWRM aims
to create sustainable water security within
the present constraints and through improving conditions incrementally in each basin.
Water managers should seek and recognize
which conditions are essential to effective
management, which cannot be readily instituted, and which can be developed wholly or
partially over time to progressively move up
the spiral.
• Political will and commitment.
• Basin management plan and clear vision.
• Participation and coordination mechanisms, fostering information sharing andexchange.
• Capacity development.
• Well-deﬁned ﬂexible and enforceable legal
frameworks and regulation.
• Water allocation plans.
• Adequate investment, ﬁnancial stability
and sustainable cost recovery.
• Good knowledge of natural resources
present in the basin.
• Comprehensive monitoring and evaluation.

a. Political will and commitment
Political will at all levels can help to unite all
stakeholders and move the process forward.
It is needed especially if the resulting plan or
arrangement would create or require changes
in legal and institutional structures, or if controversies and conﬂicts among stakeholders
exist. Generally a high level of political commitment exists to varying degrees outside of
the water sector, but water managers should
understand that decision makers at theselevels drive comprehensive water management over time. Political will is a potential
engine of public awareness. However, there
is a feedback process, as strong political willis also often motivated by public pressure toaddress high-proﬁle issues. Water managers
should focus on promoting correct understanding of the importance of water and thenecessity for IWRM when dealing with the
public, press, governments and politicians.

b. Basin management plan and clear
visionIWRM at the river basin level is generally along-term process working towards a basin
development plan as illustrated in the ‘spiral model’. A clear vision should specify thearea as well as the level of safety to ensure
concrete project execution. The services,
expected beneﬁts and effects of each project
should be clearly presented as a consequenceof satisﬁed participants’ agreements and theappropriate balance of related sectors. Periodic reviews of progress are important toconsider changes in national objectives andother plans managed by sectors not directly
related to water issues.

c. Participation and coordination mechanisms, fostering information-sharing
and exchange
Identify and involve stakeholders:
Sustainable basin management, from plan-

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ning to implementation and operations,requires well-coordinated mechanisms andframeworks for participation of different
stakeholders, sectors and levels of administration. Stakeholder involvement can bedeﬁned appropriately for local conditions
and improved gradually, for example by setting up a committee, public hearings andworkshops in the spiral process of applying
IWRM at the river basin level. Stakeholder’sparticipation and its improvement requires
assistance from various people representing
different sectors. Those who are most likely
to be affected should be involved when moving up the spiral to the next step. The identiﬁcation of key stakeholders can be facilitatedthrough interviews and meetings.
Self-sustaining system:
Sustained relationships among stakeholders assure successful IWRM. Initial sharing ofgeneral basin-wide data and information, andfurther sharing of more speciﬁc information
regarding proposed projects, programmes andpolicies, will assist basin partners to more readily develop trust and respect for one another.
Local communities have a wealth of historicalhydrological knowledge and information. Thus,
relevant stakeholders can collaborate in the
sharing of reliable information, mutual satisfaction of their needs, and to promote collaborative efforts to resolve basin issues.

d. Capacity development
Water resource management requires aminimal level of capacity at all levels, including that of decentralized local governments.
Functional community-level capacity builds
resilience to hazards, and facilitates the useof knowledge and technologies, innovationand education, thereby creating a cultureof safety and resilience at all levels. Local
capacity development and training priorities
should be expressed as a regional agenda,

to enable many partners to buy in along the
research-to-development continuum, and toform collaborations where consortia, alliances, networks, and individual organizations
may all ﬁnd their place to both fund andbeneﬁt from it. Regional training priorities
are best expressed in terms of problems ofwater functions that need to be addressed
locally but regional synergies are possible.
Development of a community’s ability tofunction in participatory processes is also an
important part of capacity development. Consensus-building should be based on dialogue
amongst stakeholders. Participants who may
be adversely impacted and/or socially marginalized may be stimulated to participate
within a consensus-building strategy. Jargon
free terminology should be used to facilitate
comprehension by important stakeholders
outside the water sector. Thus, each stakeholder group would have a comprehensive
vision of basin issues.

e. Well-deﬁned ﬂexible and enforceable
legal and regulatory frameworks
To apply IWRM, it is necessary to assemble
and review the full range of existing laws
and regulations that apply to water-related
activities and determine how existing legislation adapts or can be better adapted toaccommodate sustainability and integration
with regard to water resources management. The development of legal and regulatory frameworks provides the best method
for proactively addressing potential issues
in implementing projects over time. Water
legislation can clarify the entitlement andresponsibilities of stakeholders and ensuresustainable use of the resource by presenting a balanced approach between resource
development for socio-economic purposes,
and the protection of water quality, ecosystems and other public welfare beneﬁts. In the

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early stages this can be adequately achieved
through water resources agencies, but withgood coordination and linkages to other relevant agencies, including those at the national
level. Ideally, one agency should be responsible for facilitating this process. This mostoften requires a paradigm shift in mindset,
behaviour, and organizational design: from‘development, implementation, control andcoordination of the process’ towards facilitation of the IWRM process. This is achievedby persuading the organizations and agencies
involved in the basin to contribute to IWRM
objectives and by convincing decision-makers– in terms they understand – of the validityof their approach so as to gain recognition
and the necessary resources.

f. Water allocation plans
Water is a shared resource among various
sectors – including water supply and sanitation, irrigation, industrial sectors, and hydropower generation – that relate individually to
speciﬁc economic, social or environmental
activities and that depend in whole or in parton water to fulﬁll their needs and roles.Water
resources development coordinated among
the various sectors and users is facilitated by
the preparation of a master plan reﬂecting
individual sector plans, and offering the mosteffective and efﬁcient utilization of a basin’s
resource. Water rights should be ﬂexible interms of allocation to accommodate changes.

g. Adequate investment, ﬁnancial stability and sustainable cost recovery
Coordination for IWRM implementationneeds to be ﬁnancially sustainable. Aside fromthe development and planning functions, adequate funding is required to improve managerial capacity and support research for technicaland best practice advancement and for raisingpublic awareness of water resources management issues through media and education.

Various combinations of government grants,
public resources, user charges and taxes,
donor funds, and a basin environmental trust
fund can be considered as funding options.
Many international ﬁnancing institutions andother major donors have roles to play inencouraging and advocating greater transparency and public participation in regional
planning and decision-making on developments, and in commitments to inform thepublic of their potential impacts.
Cost recovery:
Sustainable cost recovery should be promoted. It is essential to make the most ofavailable resources, choose the most appropriate projects and carry them out at thelowest possible cost. Funds can be raised
through tariffs, transfers, central government
support, or in the case of the less wealthy
countries, through external aid.
Management and development:
Many developing countries have struggled tobalance management and development of theresource. Long-term management should beconsidered when conceiving and implementing development of the resources and infrastructure in accordance with those factors
relating to ﬁnance and stability.

h. Good knowledge of the natural
resources in the basin
Adequate knowledge and information on
the water resources inventory and humanresources of the basin is desirable. In manybasins, however, it may be necessary toembark on developing a water resourcesmanagement plan with incomplete dataand information. Maintaining and accruing
sound knowledge of the natural resourcesin the basin is strongly supported by scientiﬁc knowledge and views. Further scientiﬁcstudies, audits and investigations can be tar-

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geted at key areas for greatest improvement
in resource management. Water resource
managers should therefore include scientists
among their resources and strengthen linkages with them throughout their activities.

i. Comprehensive monitoring and evaluation
Monitoring and evaluation are essential for
ensuring that the current management ofwater resources is properly implemented
and to identify the needs for adjusting management strategies. Effective monitoring
requires accessible data, analytical tools andadequate information. Regular evaluation isnecessary. The basic factors which can used
to assess basin sustainability include:• The health or condition of the natural
resources of the basin.
• Changes in the basin.
• The negative phenomena that are occurring or likely to occur and in which partsof the basin.
• The key parameters to respond to global/
local changes.
• Indicators to link the assessment ﬁndings
to the goals.
• Financial operations.
• Economic beneﬁts.
• Internal indicators such as accountability,
consultation on the costs of data collection, and budget limitations.
• Such assessment should not only bedone internally but in an open and transparent manner, with the ﬁndings widely
publicized.
Keep water managers updated on the latest technology. Local and central water
managers should be updated on the useof current and emerging technologies andmodels such as:• Satellite monitoring systems being developed internationally, which aim to provide
information for adaptation and mitigation
for climate change, reducing damage fromdisasters caused by nature and humanbeings, and improving water resource
management through better understanding of the water cycle.
• Improvements in rainfall prediction methods connected with run-off models andinformation technologies. These would
be useful in reducing disaster damage inbasins affected by frequent ﬂooding.
• The evolving role of communication technologies such as mobile phones, which canbe powerful tools for transmitting data.
• Remote control of water storage anddelivery systems in the basin. This canenable optimized water supplies in basins
affected by water scarcity.
• Developments in scientiﬁc models to augment and interpret data in data sparseenvironments.

4.3. RIVER BASINORGANIZATIONS
Role of a basin organization
Although their existence is not essential to
begin the IWRM process at the river basin
level, river basin organizations provide agood institutional mechanism to facilitate
implementation. A major role of basin organizations is basin-wide planning to cater for
all users needs for water resources and toprovide protection from water-related hazards. Their role involves wide public andstakeholder participation in decision-making, group involvement and empowerment at
all levels. Attention should be paid to gender and minority issues, effective demandand bulk water management, agreements oncommitments within a basin relating to the

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quantity, quality, and efﬁciency of resource
management and mechanisms for monitoring those agreements, and adequate humanand ﬁnancial resources. Basin organizations
are successful when they are structured toprovide partnership and consultation processes among the members, involving highlevel decision-makers and expertise in all
aspects of integrated natural resource planning, implementation and management.
Forms of basin organization
The application of IWRM by basin organizations varies according to each river basin’s
speciﬁc conditions and requirements. Manyriver basins have set up coordinating bodies
to facilitate river basin management. Thesemay take the form of informal committees
or authorities with important mandates andauthorization. Decentralization and participation of the private sector has opened the way,in some countries, for the adoption of institutional mechanisms based on the concept
of integrated management of river basins,through the transfer of responsibilities forthe management of the resources from theministries of the central government to local
governments, to autonomous public corporations or to the private sector.

4.4. TRANSBOUNDARY ISSUES
Potential conﬂicting interests in transboundary water situations can be overcome throughmutual trust and understanding, appropriate legal and institutional frameworks, joint
approaches to planning and management, andsharing of the ecological and socio-economic
beneﬁts, and related costs. Any basin corporation may face a wide array of challenges
depending on its unique situation. The establishment of transboundary cooperation is acomplex, long process and requires patience.
Approaching transboundary issues may
require ﬂexibility in national policies. Nevertheless, the overall water management process
at the basin level does not greatly differ. Moreoptions, including multi-purpose uses andjoint projects, appear when issues and relations between riparian countries and related
sectors are treated together. Approachingtransboundary issues may require changes
in national policies and legislation. Top-downbasin-wide approaches based on constructive ambiguity principles are often essential tofoster trust and trigger action for cooperation due to the political nature of allocationof transboundary water resources.

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5. Enhancing performance andaccountability

KEY MESSAGES
Water managers have a responsibility to inform the public and other stakeholders andconduct self-assessments (5.1)
Enhancing performance and accountability through regular assessments using performance indicators and benchmarking, reporting and knowledge networks are keys tomoving up the spiral to better integrated water resources management (5.1, 5.2, 5.3)
Performance benchmarking systems and peer review programmes provide pragmatic
perspectives for assessment and improvement of basin management performance (5.3).

5.1. REPORTING
Basin organizations have the responsibility toreport on the status of planning and management, basin inventory and any changes in thebasin’s water resources to local governments,
private sectors, NGOs and other stakeholders. A framework for regular self-assessment
should be established. An annual ‘state of thebasin’ report may support the IWRM process and promote public accountability.

5.2. KNOWLEDGE NETWORKS
Exchange of information, good practices andadvice among river basins over regional orinternational networks will mutually beneﬁt river basin organizations. The numberof indicators can be gradually increased as
more data, information and research become

available. Well-coordinated mechanisms forinteractive generation of information andindicators should be set up globally. Development banks and international organizations
can contribute by establishing knowledge
network mechanisms leading to standardized reporting at the river basin level.

5.3. PERFORMANCE INDICATORS AND BENCHMARKINGThe establishment of evaluation indicators provides a useful tool for assessing theresources and health of a river basin, monitoring developments, implementation andresults as well as identifying challenges. Indicators should also be able to measure stakeholder satisfaction with the management ofwater resources, and provide a valuable basis
from which to assess progress and carry out

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ENHANCING PERFORMANCE

Fig. 5.1 Assessment tool – Pentagram

analysis of the situation.These indicators must
be developed with clear objectives for the natural resource attributes, from the initial stagesof management planning, areas of productivity
and resource utilization. Performance benchmarking systems and peer review programmes
promoted by organizations such as NARBO(Network of Asian River Basin Organizations)can provide useful pragmatic perspectives forassessment and improvement of basin management performance.

Pentagram as an assessment tool
Graphical tools such as a pentagram (SeeFig. 5.1) can provide an objective comparison of alternative plans. Relative indices tobe compared are placed at the end of theaxis and the evaluation results are plottedon the axis. The points are then connected
to create a pentagram. If there are six indicesit will become a hexagram. A better balanced
diagram spanning all axes can provide visualindication of a better plan.

5.4. ADAPTIVE MANAGEMENTBASED ON ASSESSMENTRESULTSA pentagram can be used to illustrate a setof decision variables such the ‘triple-bottom line’, which assesses economic, socialand environmental success as indicators ofsustainable development. This enables stakeholders to compare the potential success ofproposed plans.
Monitoring and evaluation results can help
detect changes and improvements. This canhelp plan actions to enable basin management to move to the next level of the IWRM
spiral. Adaptation to enhance performanceand accountability is the key to moving up
the spiral towards better-integrated water
resources management. This is facilitatedthrough regular assessment using benchmarking, performance indicators, reporting,and knowledge networks.

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6. Organization of Part 2

6.1 FEATURES
Part 2 of the Guidelines is intended for practitioners involved in IWRM coordination andimplementation. It can be used as introductory guidance for those who are tackling
IWRM for the ﬁrst time, or as training material for intermediary practitioners and trainers of IWRM. For IWRM experts, it can beused as a reference guide for tackling various
issues and problems they face in their IWRM
activities.
The modular approach ensures that users do
not have to read the entire document. These
Guidelines are designed in such way thatusers can consult only the relevant areas tosuit their individual needs. This allows users
to easily navigate through the Guidelines andto move to the section that is most relevant
for them.

6.2 CONTENTS
Part 2-1 is titled ‘The Guidelines for IWRM
Coordination’ and consists of 5 parts,
1) Sectoral Perspectives, 2) Key for Success,3) IWRM Process, 4) Good Examples, and
5) Useful Tools.
The ﬁve elements below are linked in the
document as shown in Fig. 6.1.
These elements are linked by reference indices, which allow the user to jump from one
section to another in the way most convenient to them. These sections are described
below:

Chapter 2/Sectoral Perspectives in
IWRM
This section illustrates the principles of theactions and interests of water-related sectors in water management and IWRM. Eachsector values water and interacts with water
differently. This section provides information
on how individual water-related sectors tend
to think and act, how these sectors typicallyrelate to water management and IWRM,
and what they would want to convey to theother sectors.

Chapter 3/Key for SuccessA ‘Key for Success’ is a key that can be used

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IMPLEMENTATION PROCESS

to help make IWRM succeed in practice.
It is a key to establishing breakthroughs inchallenging situations that might arise, or to
opening the door to better IWRM. Many of
the keys have been proven in practice. Someare generic, i.e. they apply to all successful
examples of IWRM, others may apply only to
speciﬁc situations, while some may not be inplace as yet. It helps to ﬁnd the key appropriate for the given circumstances in the IWRM
process in the basin.

Chapter 5/Good Examples

Chapter 4/IWRM Process‘Useful Tools’ provides useful ideas/information that can be used in the application ofkeys for success.

The ‘IWRM Process’ describes a typical process of IWRM implementation. It ﬁrst details
the conceptual model of the ‘IWRM Spiral’,introduced in this part as an evolving process.
This is then followed by a schematic description of the ‘IWRM Process’ and its phases,
each linked to a ‘Key for Success’. It helps
you to orient yourself through the process
and serves as a map for ﬁnding directions or
locating the ‘key’ to enhance water resourcesmanagement.

‘Good Examples’ includes best practice
examples of IWRM at the river basin levelin the form of: 1) case stories illustrating
actual IWRM efforts, and 2) ‘Extracted Key
for Success’ highlighting elements of successinstrumental in enhancing IWRM, based oninterviews with local resource persons conducted at the sites.

Chapter 6/Useful Tools

Part 2-2, titled ‘The Guidelines for Flood Management’ has the same structure as Part 2-1,
while Part 2-3, titled ‘Invitation to IWRM for
Irrigation Practitioners’ consists of three separate parts: 1) Sectoral Perspectives, 2) Key
for Success, and 3) IWRM Process.

Fig. 6.1 Structure of Part2-1’The Guidelines for IWRM Coordination’
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Manuscript of this set of Guidelines was drafted by;
UNESCO; Shahbaz Khan, Toshihiro Sonoda, Natsumi Okamine
MLIT; Kenzo Hiroki, Toshio Okazumi, Kunihiro Moriyasu, Tomoyuki Okada
JWA; Shinsuke Ota, Toshiyuki Yoshioka,Yasuhiro Ochii, Kouichi Takano
CTI Engineering; Masato Toyama, Naoki Fujiwara, Ken Yoneyama, Junko Sagara

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