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

IWRM Guidelines at River Basin Level

United Nations
Educational, Scientiﬁc andCultural Organization

International
Hydrological Programmeof UNESCO

A contribution to the United
Nations World Water Assessment
Programme

IWRM

GUIDELINESPART 1 Principles>>> PART 2-1 The Guidelines for IWRM Coordination

PART 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/

COVER IWRM FINAL VOL 2.1.indd 1<<<
Part 2-1 The Guidelines for IWRM Coordination

PART 2-2 The Guidelines for Flood ManagementatRiver Basin Level

PART 2-1
THE GUIDELINES FOR IWRM COORDINATION

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TABLE OF CONTENTS
1 FEATURES AND STRUCTURE OF‘THE GUIDELINES FOR IWRM COORDINATION’ .....3

1.1 Features .................................................................................3
1.2 Structure ...............................................................................3
2 SECTORAL PERSPECTIVES IN IWRM ........................5

2.1 Good-understanding of sectoral perspectives
and their relationships is key for IWRM ...............................5
2.2 Water users’ perspectives .................................................5
2.2.1 Agricultural sector .................................................................5
2.2.2 Domestic water supply sector ...........................................7
2.2.3 Industrial water sector.........................................................8
2.2.4 Hydropower sector ...............................................................92.2.5 Sewerage (Sanitation)/Drainage sector ....................... 10
2.3 Environmental sector’s perspective ............................. 11
2.4 Flood management sector’s perspectives ................... 12
2.5 Overall coordination perspectives ............................... 15
3 KEY FOR SUCCESS IN IMPLEMENTING IWRM ...16

3.1 Recognizing and identifying ............................................ 18
3.1.1 Recognition .......................................................................... 18
3.1.2 Identiﬁcation of problems and needs ........................... 20
3.1.3 Public awareness and accountability ............................ 21
3.1.4 Capacity building................................................................ 23
3.2 Conceptualizing ................................................................ 24
3.2.1 Assessment ......................................................................... 24
3.2.2 Conceptualization ............................................................ 25
3.2.3 Draft planning ................................................................... 28
3.3 Coordinating and detail planning .................................. 31
3.3.1 Building coordination mechanism ................................ 31
3.3.2 Coordination ...................................................................... 33
3.3.3 Preliminary agreement ................................................... 37
3.3.4 Finalizing the plan............................................................ 38
3.4 Implementing, monitoring and evaluating ................... 40
3.4.1 Implementation ................................................................ 40
3.4.2 Monitoring and evaluation............................................. 42
3.5 Policies/national strategies,
legislative framework, ﬁnancing ............................................ 44
3.5.1 Policies and national strategies ..................................... 44
3.5.2 Legislative framework ..................................................... 46
3.5.3 Financing ............................................................................ 47

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4 IWRM PROCESS ............................................................... 51

4.1 The ‘IWRM spiral’ conceptual model ........................... 51
4.1.1 The IWRM spiral .............................................................. 51
4.1.2 Stages of the IWRM spiral ............................................ 52
4.1.3 Recognizing the stage shift ............................................ 52
4.1.4 Where do you stand in the spiral? ............................... 52
4.2 Phases, steps and keys for successin the IWRM process ............................................................. 53
4.2.1 Phase 1: Recognizing and identifying .......................... 54
4.2.2 Phase 2: Conceptualizing ............................................... 55
4.2.3 Phase 3: Coordinating and detail planning ................ 56
4.2.4 Phase 4: Implementing, monitoringand evaluating .............................................................................. 57
4.2.5 Important aspects of IWRM:
Policies/national strategies, legislative
framework, ﬁnancing .................................................................. 58
5 GOOD EXAMPLES........................................................... 59

5.1 Brantas River (Indonesia) ............................................... 61
5.2 Büyük Menderes River (Turkey) ................................... 73
5.3 Davao River (Philippines) ............................................... 84
5.4 Lake Biwa (Japan) ............................................................. 91
5.5 Murray-Darling River (Australia) ................................ 101
5.6 Negro River (Argentina)............................................... 112
5.7 Sacramento - San Joaquin River(United States of America) ................................................. 121
5.8 Tama River (Japan) .......................................................... 131
5.9 Tone River (Japan) .......................................................... 138
5.10 Volta River (Benin, Burkina Faso,
Côte d’Ivoire, Ghana, Mali, and Togo) ............................... 149
5.11 Yoshino River (Japan) ................................................... 155
6 USEFUL TOOLS FOR IMPLEMENTING IWRM ... 169

6.1 Pentagram ........................................................................ 169
6.2 Visualization ..................................................................... 170
6.3 Cost allocation method ................................................ 172
6.4 Grasping the positioning ofstakeholders and their mutual relationships ................... 173

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1. Features and Structure of‘the Guidelines for IWRM Coordination’

1.1 FEATURES‘The Guidelines for IWRM Coordination’ is intended
for practitioners involved in IWRM coordination. It
can be used as introductory guidance for those tackling IWRM for the ﬁrst time, or as training material
for intermediary practitioners and trainers of IWRM.
For IWRM experts, it can be used as a reference
guide to tackle the various issues and problems they
face in their IWRM activities.
IWRM is a step-by-step process and takes time. By
responding to changing social, economic and environmental needs or impacts, one can gradually achieve
better and sustainable water resources management
as if moving up a spiral, through such means as progressively developing water resources in the basin,building a more integrated institutional framework,or improving environmental sustainability. This setof Guidelines illustrates the dynamic and evolving
process of IWRM in a river basin using a conceptual‘IWRM Spiral’ model as shown in Fig. 1.1.
One turn of the spiral is equal to typical implementation of an IWRM approach: the ‘IWRM Process’. One
moves up the spiral by implementing the IWRM process in the basin.
Further description of the ‘IWRM Spiral’ and ‘IWRM
Process’ is provided in Chapter 4 of these Guidelines,
which can be referred to as necessary.

Fig. 1.1 IWRM Spiral

1.2 STRUCTURE
The Guidelines consists of ﬁve parts: Chapter 2/Sectoral Perspectives, Chapter 3/Key for Success, Chapter 4/IWRM Process, Chapter 5/Good Examples andChapter 6/Useful Tools. These elements are linked byreference indices, which allow you to move from one
to another in the way most convenient to you.

Chapter 2/Sectoral Perspectives in
IWRM
This section illustrates the principles of actions andinterests of water-related sectors in water management and IWRM. Each sector values water andinteracts with water differently. This section provides
information on how individual water-related sectors

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1 – FEATURE AND STRUCTURE

tend to think and act, how these sectors typically relate
to water management and IWRM, and what they mightwant to convey to other sectors.

ing directions or the correct ‘key’ for enhancing water
resources management.

Chapter 3/Key for Success‘Good Examples’ includes best practice examples of
IWRM at the river basin level in the forms of 1) case stories illustrating actual IWRM efforts, and 2) ‘Extracted Key
for Success’ highlighting elements of success in enhancing
IWRM, based on interviews with local resource persons
conducted at the basin sites.

A ‘Key for Success’ is a key that can be used in practiceto help make IWRM succeed. It is a key to enable breakthroughs in challenging situations, opening the door tobetter IWRM. Many of them have already demonstrated
their worth in practice. Some are generic, i.e. apply toevery successful example of IWRM, others may apply
only to speciﬁc situations, and some may not be in place
as yet. It helps to ﬁnd the key appropriate for the given
circumstances of your basin IWRM process.

Chapter 4/IWRM Process‘IWRM Process’ describes a typical process for IWRM
implementation. It ﬁrst describes the conceptual modelof the ‘IWRM Spiral’, which is itself an evolving process.
This is then followed by a schematic description of the‘IWRM Process’ and its phases, which are linked to therelevant ‘Key for Success’.These help you to orient yourself through the process and serve as a map for ﬁnd-

Chapter 5/Good Examples

Chapter 6/Useful Tools‘Useful Tools’ provide useful ideas/information that canbe used in the application of keys for success.
The ﬁve elements below are linked in the document
as shown below in Fig. –1.2
IMPORTANT NOTE
You do not have to read the entire document. Thisset of Guidelines is designed to enable you to skip to
speciﬁc sections depending on your needs.

Fig. 1.2 Structure of the Guidelines
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2. Sectoral Perspectives in IWRM

This chapter illustrates some of the typical perspectivesof water-related sectors. The perspectives included
here are not complete; however, they cover much of
the information useful for IWRM coordination.
This chapter provides information on how individual
water-related sectors tend to think and act, how thesector relates to water management and IWRM, andwhat the sector wants to convey to other sectors andthe organization or persons responsible for coordinating IWRM efforts.
It is important to know the perspectives of othersectors when implementing IWRM. The same 1 m3
of water is valued differently depending on the sector
because each sector treats and uses water in different ways. Water is also valued differently dependingon when and where it can be obtained, and at what
quality.

2.1 GOOD-UNDERSTANDING OF
SECTORAL PERSPECTIVES AND
THEIR RELATIONSHIPS IS KEY FOR
IWRM
Implementation of IWRM means proposing a plan toindividual sectors – who tend to think of their own
beneﬁt as their ﬁrst priority – that is close to their idealplans, and obtain compromises by making proposals
that present advantages to them. It is also importantthat as many sectors as possible are satisﬁed with theplan before a consensus is reached.
For this, managers in charge of coordination should notforce his/her story on the sectors but should take a hor-izontal approach to obtain the perspectives of the coordinated sectors, so as to deepen their level of understanding.The coordinators must understand the goals of
the activities undertaken by the sectors or stakeholders,and how they relate to water resources and the basin inorder to appropriately implement IWRM. Furthermore,good understanding by the coordinators on the beneﬁts
of IWRM to the individual sectors will facilitate efﬁcient,appropriate and socially justiﬁable consensus-building.
Thus, it is important to establish a good understandingof ‘sectoral perspectives’ in implementing IWRM.

2.2 WATER USERS’ PERSPECTIVES
2.2.1 Agricultural Sector- Primary concern is food production.Water is just an
instrument.
1. Interests of the agricultural sector(Water for agricultural production)
Water, together with land, is only an instrument for
agricultural production. The production outputs arefood and ultimately revenues for the farmers. For
farmers, water is a means of ensuring their living on
their land.
(Sense of entitlement as a precedence user)
Agricultural sector has a history of investing andacquiring water before the concept of ‘water management’ even existed. Thus, there is a strong sense ofentitlement that they can use their water exclusively.
(From close water sources to far water sources)
Agricultural water supplies used to acquire water

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2 – SECTORAL PERSPECTIVES

from close-by water sources; however, sectors eventually began to search for other water sources further fromthe farmland, which led to water resources development
through dam-building.
In the monsoon regions of Asia, the amount of rainfall varies greatly during the wet season.Thus, in order to prepare
for sudden droughts, they utilize groundwater, reservoirs
or nearby rivers, and if they need more water they build
dams upstream of the river. In arid and semi-arid regions,
there is always a need for more water, but the searchalways begins with nearby water sources before seeking
further away as water demand increases.
Thus, nearby water sources are utilized in most developing
countries, but as development proceeds in the basin, larger
infrastructures such as wide-area water transfers become
necessary for obtaining adequate agricultural water.
(Agriculture as the fundamental industry of the country)
The agricultural sector contributes to national security
through food production. The agricultural managers of
the country and the region consider providing a stablesupply of food for the region’s most important objective. In developing countries, some consider that agriculture should be promoted in order to secure jobs
and revenues in rural regions and prevent population
concentration in urban cities. This cannot be realized
without securing the water necessary for agriculture.
The agricultural sector is also strongly inﬂuenced bynational policies.Thus, it must be kept in mind that local
coordination is sometimes not enough.
2. How other sectors may impact the agricultural
sector(Impacts by other water users)• There is the possibility that irrigation users may not beable to obtain sufﬁcient water if other water users draw
water upstream. If a structure, such as an intake weir, is
to be constructed by another water user upstream, thatuser will have physical advantages in drawing water, andthus the irrigation user will be opposed to such action.
(Impacts by ﬂood management)• When there is a risk of ﬂooding due to increase in riverdischarge, drainage from agricultural land may be regu-

lated, and prolonged inundation of the ﬁelds may cause
damage to the crops.The scale of anticipated damage isdependent on the duration of inundation, land use andtype of crops. Coordination of drainage operation rules
accounting for such factors will be necessary.
• When ﬂoodwater is temporarily stored in a reservoir
to lower the ﬂood discharge level, turbidity of water
may persist even after the ﬂood has subsided, depending on the nature of upstream sediment. If river water
is used as irrigation water immediately after a ﬂood
event it may impact water use.
(Impacts by the environmental sector)• The environmental sector demands that the agricultural sector minimize the impacts of agricultural production activity to the environment or requests alternate measures. For example, concrete channels for
irrigation are conventionally designed in ways that are
efﬁcient from the economic standpoint. However, theenvironmental sector demands channels using morenatural materials such as soil, rocks and wood. Considering environmental conservation may increase costs
or maintenance needs.
(Impacts by the hydropower sector)• Hydropower generation using dams discharges wateraccording to electricity demands. Thus, it may cause
large ﬂuctuations in river ﬂow downstream of the dam.
It can also impact the stable intake or water quality ofirrigation water.
3. Agricultural sector in relation to IWRM andthe advantages of IWRM
• If the agricultural sector wishes to conduct a large infrastructure development, there is the possibility of signiﬁcant cost reduction if the venture is jointly implemented
with other sectors. Furthermore, the agricultural sector
may gain forms of compensation if it reaches compromise with other sectors regarding the securing of water
resources.
• By compromising on making decisions as regards water
resources the agricultural sector may be able to receive
compensation in another form, with the possibility ofcovering potential losses. Thus, it is important to issue
proposals regarding agricultural production from acomprehensive standpoint.

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• By uniting speciﬁc organizations or individuals in the
agriculture sector, the sector can represent a signiﬁcant amount of water resources. It can, therefore,
facilitate the consensus-building process for IWRM
implementation and enhance the beneﬁts achievedby the entire agricultural sector.

2.2.2 Domestic Water Supply Sector- Requires water quality on top of water quantity
1. Interests of the domestic water supply sector(Sanitation and domestic water supply)
Domestic water supply provides clean water to people
in a stable manner and is highly public in its nature. Provision of safe drinking water may be normal in developed
countries or cities but it is still a fundamental demand
for sustaining the lives of people in developing counties and rural areas. Furthermore, water supply in theseareas will lead to improvements in the social environment, such as less time fetching water, etc.
Provision of water supply in cities was originally developed from the viewpoint of crisis management in orderto prevent water-related diseases. Supplied water may
be ‘drinkable’ or ‘not appropriate for drinking’. It is rarethat water is ‘drinkable’ but in order to meet the needsof improving the sanitary environment, the provision ofwater that is not necessarily drinkable can be sufﬁcient.
(No alternative for domestic water supply utility)
Current domestic water supply in cities does not provide
an opportunity for users to choose their service. People
have to use the available water supply in the area.There is
probably no region where multiple water supply utilities
compete (or a user can choose the water service).
Water pricing to collect initial investment and operationand maintenance costs depends on the area or utility;
however, the water source available is often limited andregional differences in water pricing are inevitable and oflittle interest to the water supply sector. However, thisissue is a primary concern for most water users.
(Privatization and water supply)
In the past there were movements to privatize water util-

ities to enhance proﬁts. However, such movements havebeen revised to balance the public aspect of water utilities
in meeting the social needs together with the businessaspect of operation effectiveness and cost reduction.
(Water treatment technology and water source/water
quality)
Before water treatment technology was developed toits current level, an important consideration for water
sources for domestic water use was not only ‘quantity’but ‘quality’. Thus, groundwater was often utilized. River
water was used if groundwater alone could not meetthe demand. Before treatment technology was developed to its current level, the sector sought better quality water upstream of rivers.This often induced conﬂicts
with existing water users downstream, but for the watersector it was important that good quality water was
obtained as a water source. Furthermore, conventional
water treatment by rapid ﬁltration cannot treat dissolved
substances.
In recent years - however - with advances in treatment
technologies, water quality is no longer a major issue. It
has now become possible to create drinking water fromtreated wastewater.
2. How other sectors may impact the domestic
water supply sector(Impacts by other water users)• There is the possibility that a domestic water supplier
may not be able to obtain sufﬁcient water if otherwater users draw water upstream. If a structure, suchas an intake weir, is to be constructed by another wateruser upstream, that user will have physical advantages
in drawing water, and thus the domestic water supplier
will be opposed to such action.
(Impacts by ﬂood management)• When ﬂoodwater is temporarily stored in a reservoir to lower the ﬂood discharge level, turbidityof water may persist even after the ﬂood has subsided, depending on the nature of upstream sediment. If river water is used for domestic water supply immediately after a ﬂood event it may impact
water use.

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2 – SECTORAL PERSPECTIVES[New technologies and domestic water supply]With the advancement of water treatment technologies such as membranes, the cost of water
treatment is decreasing. With advanced andaffordable technologies becoming newly available,
water supply systems in developing countries
now have the possibility of taking completely different approaches compared to developed countries where water resources have typically been
secured through the construction of storage in
upstream regions, etc.

(Impacts by the sewerage and drainage sector)• A domestic water supplier will be affected if a drainage channel is connected, or efﬂuent from wastewater treatment plant is discharged close to the intake
location.
• Discharge water is often contaminated, thus thedomestic water supplier sector would demand thatany such discharge facility for drainage or a wastewater treatment plant be situated downstream of theintake location.
• Treated wastewater could in some cases be recycled
and utilized for domestic water supply.
3. Domestic water supply sector in relation to
IWRM & advantages of IWRM
• When demands for water supply increase due to thedevelopment of a new city, population growth or achange in social situation, the domestic water supply
sector will have to locate new water sources, and be
faced with the need to implement IWRM.
• When introducing IWRM, conformity with plans byother municipalities or water use sectors can beensured by accounting for upstream and downstream,right and left banks, and coordination among municipalities or water utilities. Furthermore, infrastructuresuch as dams, intake weirs and treatment plants canbe jointly developed and a joint management framework can be established. These can present substantial advantages to the domestic water supply sector.
• If there is shortage of water due to population
growth or rapid urbanization, water transfers fromother uses, particularly the agriculture sector, canbecome an option, together with the development of
new water resources infrastructure such as dams.

2.2.3 Industrial Water Sector- Primary deciding factor is cost
1. Interests of the industrial water sector(Low-cost water and industrial water)
The primary concern of the industrial water sector
is how to obtain and provide low-cost water and discharge the wastewater in the least expensive way. Costis the primary deciding factor.
Compared to the domestic water supply sector, which
does not provide alternative option for users, the industrial water sector is much more sensitive to the demandfor cost-effectiveness. The industries themselves areinﬂuenced greatly by aspects other than water (logistics, employment, environment, etc.), thus, it is difﬁcult
to develop long-term demand projections compared todomestic water supply.
(Groundwater utilization and industrial water)Industrial water in earlier days was abstracted mostly
from groundwater. This is because groundwater was acheap and stable water source with high water quality.
Drawing water from rivers requires water use rights,
infrastructure development and water quality adjustment (treatment), thus, the use of river water for industrial use is discouraged if possible.
Excessive abstraction of groundwater in alluvial plains
may induce ground subsidence or groundwater salination, resulting in deterioration of groundwater quality.
Users of industrial water are mostly private entities, andthus such problems are likely to occur if there is noadequate regulation.
(Water quantity, water quality and industrial water)Industries that use large amounts of water such as steel,oil, chemical or paper industries select locations witheasy access to water. Industrial water, unlike domestic
water, demands varying levels of water quantity or quality depending on the usage. For example, advanced ITrelated companies purify water themselves and thus theindustrial water supplier may only need to provide raw
water.
Discharging used industrial water directly into the river
may cause severe contamination downstream. Industrial
water users understand this but generally consider it

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only necessary to meet the regulatory standards forindustrial water discharge.
2. How other sectors may impact the industrial
water sector(Impacts by other water users)• There is the possibility that an industrial water user/
supplier may not be able to obtain sufﬁcient water ifother water users draw water upstream. If a structure, such as an intake weir, is to be constructed byanother water user upstream, that user will havephysical advantages in drawing water, and thus theindustrial water user/supplier will be opposed tosuch action.
3. Industrial water sector in relation to IWRM
and the advantages of IWRM
• If the industrial water sector wishes to conduct alarge infrastructure development there could be apossibility of signiﬁcant cost reduction if it is jointly
implemented with other sectors.

2.2.4 Hydropower Sector- How to generate the maximum amount of energy
from water
1. Interests of the hydropower sector
Electricity is indispensable for the development of theregion and the country, and both the private sector andgovernments have promoted power-generation projects. Power development generally implemented over awide area has high added value. It contributes to industrial development and creates employment, and thus
often forms a primary focus for developing countries
as the foundation for regional industrial activities andpeople’s lives.
(Characteristics of electricity)• Electricity cannot be stored, thus facility capacity
generally exceeds demand peak.
• The same can be said for instant supply and demand,and lack of ﬂexibility in supply often leads to inefﬁcient operation.
• There is often no alternative service for power supply and thus the price of power has a public utility
cost.

• Infrastructure investment and cost collection plans
are long-term.
• It can be distributed over a wider area, compared towater (and is possible to transmit long-distance).
Generally, hydropower generation in its early stages
was used to provide power for local consumption, suchas factories. Although usually commencing in the formof private projects, it soon expanded to general implementation in combination with other electricity sources
to provide economic and efﬁcient electricity supply
nationwide. In many countries hydropower development began before irrigation water development.
Hydropower generation often has lower running costs
than thermal power generation, thus generating more
electricity through hydropower and less through thermal power is ideal. Hydropower generation does notconsume water as compared to other water-use sectors.
However, hydropower generation upstream of a riverharnesses the potential energy of water to its maximum
extent. The hydropower sector plans to exploit thispotential energy by utilizing as much water as possible
and building multiple power-generation facilities. Its priority is efﬁcient power generation; if that causes rivers
to run dry, that is considered an inevitable cost.
Hydropower generation using dams to generate power
depending on demand, and thus the discharged water
quantity ﬂuctuates. This also inﬂuences water temperature.Thus, consideration for other sectors and environment would be necessary. The hydropower sector may
take measures to reduce its inﬂuence downstream bycontrolling discharges, but the sector is not proactive inthis regard without the effect of investment.
Thus, the hydropower sector considers investment andthe efﬁciency of power generation among its priorities,
and river ﬂow and the environment are only consideredwhen required, through environmental assessments, etc.
2. How other sectors may impact the hydropower sector(Impacts by other water users)• If other water users increase their water intake
upstream of a hydropower plant, the water avail-

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2 – SECTORAL PERSPECTIVES[Hydropower planning and management][High priority on investment efﬁciency in hydropower project planning]
When a hydropower project is planned, investment efﬁciency (proﬁt) is the obvious factor indecision-making.
[Hydropower management]
Hydropower practitioners secure funding needed
for water through the collection of electricity
charges. Hydropower facilities are mechanical andcan manage discharge relatively precisely by measuring the electricity generated.

able for hydropower generation will be reduced.
This will also reduce the power generation capacity of the plant. Power generation is directly linked
to the revenue of the hydropower sector, thus thesector will oppose any newly permitted forms ofabstraction by new water users or otherwise may
seek compensation.
3. Hydropower sector in relation to IWRM
and the advantages of IWRM
• In developed countries where public awarenesson environmental conservation is high and there
is a high level of public participation, it is difﬁcult
to plan new hydropower projects without overall
coordination. If the hydropower sector actively participates in IWRM and facilitates consensus building
with relevant stakeholders with a special focus onenvironmental conservation, this will facilitate project planning and implementation, and will become
an advantage for the sector.

2.2.5 Sewerage (Sanitation)/
Drainage Sector- How to collect wastewater efﬁciently and whereto discharge it
1. Interests of the sewerage/drainage sector(Maintaining sanitary environment and crisis management)
Providing access to sanitation is as important as a safe

water supply in maintaining public hygiene and providing a sanitary environment. For example, the seweragesystem must account for stormwater, otherwise urban
areas can ﬂood due to lack of stormwater discharge
capacity and lead to backﬂow of sewage or wastewater, causing extremely unsanitary conditions. This
could cause the spreading of water-related diseases.
If wastewater is discharged upstream of a river due
to an underdeveloped sewerage system, the downstream river becomes inappropriate as a water
source for domestic water supply. In many regions of
the world, large cities are often situated downstreamof large rivers. Wastewater disposal upstream canbring about crisis situation in such cities.
For a city, the development of a sewerage systemin the upstream region of a river that ﬂows down
through a city is a crisis management issue.
(Recycling of wastewater)
Wastewater, if treated to an appropriate level, can beeffectively reused for water-use purposes. A sewerage system is thus very important in order to recycle
wastewater and to utilize it as a water resource.
(Urban drainage)
Drainage facilities in urban cities are sometimes notdeveloped fast enough and heavy rains can cause inundations in the lowlands of cities resulting in severe
damage to underground spaces. Garbage throwninto drainage channels often prevents drainage andintensiﬁes the damage caused by inundations.
(Public nature)
Sewerage and drainage systems are highly public innature.The efﬁcient collection of wastewater, treatedto the level requested by society, then discharged
downstream as quickly as possible are of paramountimportance.
2. How other sectors may impact the sewerage/drainage sector(Impacts by other water users)• National and regional managers in the sewerage ordrainage sector have to decide upon the discharge

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location by negotiating with other water-use sectors and the environmental sector. If the discharge
location is set immediately upstream of the waterintake location of a water-use sector, it can cause
a conﬂict. From the economic perspective, to beable to discharge at the closest location possible isideal, but from the water users’ perspectives it isnecessary to discharge downstream or in anotherriver. The bypassing of water using a wide-area
sewerage network also raises questions.
(Impacts by environmental sector)• Water quality is also an important issue for consideration. It is technically possible to treat wastewater to the appropriate level. This also presents
the advantage of reusing water for other purposes.
On the other hand, it costs more, as the treatment
level gets higher. The issue of who covers this costis of great interest to this sector.
(Impacts by ﬂood management)• Rapid drainage of stormwater into rivers may
cause an increase of river ﬂow and may intensify
ﬂood risks downstream. Flood managers will, thus,
demand coordinated implementation of drainage
operations and ﬂood control.
3. Sewerage and drainage sector in relation
to IWRM and the advantages of IWRM
• The drainage location and drainage water quality
are important aspects that need coordination andconsensus building with other sectors. Furthermore, participating in IWRM from the aspect of
securing water quantity will enhance interaction
with stakeholders. By improving drainage water
quality, one may be able to set a closer drainage
location. It can lead to overall economic beneﬁts,
ensuring adequate river ﬂow and recycling ofwastewater, etc.

2.3 ENVIRONMENTAL SECTOR’SPERSPECTIVE- Ensuring ecological diversity and social consensus
1. Interests of the environmental sector(Maintenance of sustainable environment)
The principal interest of environmental managers is
to ensure a sustainable environment over a long-term
perspective. They prevent excessive, shortsighted
development and call for the restoration of the natural environment. They demand and display requests
to other water-related sectors. If these demands aresocial demands the coordinator will have to determine if social consensus can be attained for suchdemands including its cost allocation.
(Maintaining the natural ecological state)
The environmental sector pursues the maintenanceof the environment in its natural ecological state,
striving for the preservation of forests or rivers
without human inﬂuence.
From their perspective, overextraction of wateror drainage from and to rivers causing insufﬁcient water for the environment, or dams or weirs
changing ﬂow-variability in rivers, are considered
to be problems.
(Environmental conservation in harmony withhuman activities)
In areas where communities developed slowly aroundirrigation agriculture, environmental ecology has
established within the interaction between nature andhuman activities. Such an environment is not without
human inﬂuence but a harmony or a balance exists
between human activities and nature. There are opinions that such environments with some level of humaninﬂuences should be conserved in their present state.
For example, shallow riparian waters, tributaries
and streams, or networks of irrigation channels
and the surrounding agricultural land can be considered as forms of ecological habitats for faunaand ﬂora.

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2 – SECTORAL PERSPECTIVES(Added value of the environment)
In recent years focus on the added value of theenvironment has increased through the concept of
ecosystem services. It is in the interest of the environmental sector to raise the overall value of theenvironment in a basin-wide manner, together with
eco-tourism and environmental education.
2. How other sectors may impact the environment
Environmental conservation is an important objective of
IWRM for developing a sustainable society. Environmental
perspectives should exist in every sector and should becoordinated within the water-related sectors in order torealize IWRM.
(Impacts by water-use sectors)• Abstraction of water from rivers impacts the environment downstream of the intake location. Excessive water abstraction, for example, for rice cultivation will prevent the river downstream from receiving
adequate amounts of water ﬂow, which may cause
drying up of the river or worsening of water quality,
leading to deterioration of the aquatic environment.
Discharge of wastewater or used water into rivers
will increase ﬂow quantity but may deteriorate riverwater quality.
• Over-abstraction of groundwater by water-use sectors will lead to ground subsidence, groundwatersalination or changes in groundwater quality.
• Structures placed in rivers for water-use purposes
may impact the environment, for example, by directly
disrupting the surrounding environment, preventing
ﬁsh passing, or reducing the river ﬂow downstream.
Construction of large-scale structures such as dams
or intake weirs, in particular, will alter the naturalenvironment signiﬁcantly. The environmental sector
demands that all water-use sectors minimize theirimpacts to the environment or implement alternate
measures. For example, installation of an intake weir
for water uses will prevent ﬁsh species from moving
upstream or downstream.The environmental sector
will demand the installation of ﬁsh ladders, or ensurethat the passage of ﬁsh is adequately secured.
• Overuse or improper use of pesticides and fertilizers

in agricultural practices may negatively impact water
quality or ecological habitats.
3.The environment in relation to IWRM and theadvantages of IWRM
• IWRM cannot exist without the introduction ofenvironmental perspectives, thus the implementation of IWRM is a deﬁnite advantage for the environmental sector. However, the economic perspective is also important in gaining the consensus of
relevant sectors, thus the importance of the environment has to prioritized in social demands.

2.4 FLOOD MANAGEMENTSECTOR’S PERSPECTIVES- Protecting the lives and properties of residents living in
the river basin
1. Interests of the ﬂood management sector(Minimizing ﬂood damage)The primary concern for ﬂood managers is to protect
people and their properties in the river basin fromﬂoods, and to minimize damage in a basin-wide manner. Promptly realizing the beneﬁts of ﬂood control
measures is the priority of ﬂood managers. In thisregard, ﬂood managers consider it necessary to collaborate closely with managers responsible for IWRM
in order to ensure complete coordination with othersectors and stakeholders as efﬁciently as possible.
2. How other sectors may impact ﬂood management(Impacts by water use sectors)• In withdrawing water from rivers, water-use sectors want their water-intake facilities and locations
to enable efﬁcient water diversion.
Water intake structures may block ﬂoodwater
ﬂow. Fewer and smaller structures are desired.
• When developing multi-purpose water storage facilities such as dams, water-use sectors want to secure
as much capacity as possible for water utilization.

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Due to the limitations of dam capacity, thismay interfere with ﬂood-control capacity andefﬁcient ﬂood control operations.
• During ﬂood events, the agricultural sector tries
to drain stormwater from their agricultural land as
early as possible in order to avoid prolonged ﬂooding of crops and resulting negative impacts to agricultural production.
The timing and quantity of drainage needs tobe controlled taking into account river waterlevels.
• When a structure that crosses a river channel (suchas a distribution line for domestic, industrial or agricultural water) is being planned or designed by awater-use sector, they would normally try to ﬁnd
a location, direction or structural design for theirstructure (bridge, siphon or tunnel) that can distribute water in the most economical way.
In order to prevent such structures fromblocking ﬂood ﬂow or negatively impacting ﬂood control facilities such as levees, thewater-use sector plan regarding the location/
direction of the structure needs to be changed
accounting for levels of impacts such as ﬂoodﬂow interference or impacts on ﬂood control
facilities, etc. It should also account for river
improvement/construction plans for levees,
facilities, water courses, etc.
(Impacts by the drainage and sewerage sector)• Drainage and sewerage sectors want their drainage facilities and locations to enable fast and efﬁcient stormwater drainage into rivers via urban
or sewer drainage systems in order to prevent
inland ﬂooding.
In areas where drainage facilities for inland
ﬂood control are extensively developed, but
the river channel does not have adequate
ﬂood control measures implemented, drainage
activities or construction of further drainage
facilities could cause the ﬂood discharge capacity of the river to be exceeded. Prohibiting or
restricting drainage operations/activities during ﬂood events should be discussed with ﬂood
managers. It is necessary to set drainage loca-

tions in a manner that minimizes ﬂood risk ofthe basin by accounting for areas that need to
be protected or are vulnerable to ﬂood risks.
(Impacts by the environmental sector)• The environmental sector is concerned about theenvironmental impacts of constructing or improving ﬂood control infrastructure.
There could be total opposition from theenvironmental sector, as well as requests
for revising plans, further implementation ofenvironmental impact reduction measures,or detailed investigations and reassessments
based on the ﬁndings of investigations, etc.
These could lead to delays in the realizationof beneﬁts from ﬂood control measures.
• The environmental sector considers it desirable
that habitats for fauna and ﬂora be maintained intheir natural condition. They consider that native
vegetation species including trees in river channels
should be conserved.
Tree growth in river channels can interferewith ﬂood discharge, or negatively impact ﬂood
control facilities such as levees and gates.
(Impacts by municipalities and developers)• Local municipalities may consider developing housing and industries in the basin with public conveniences and industry as their priorities.
Such developments will increase ﬂood risks
and could interfere with river improvement
projects.
• They may seek to make effective use of available landby promoting the development of natural and unused
land.
This will reduce the inﬁltration and water retention capacities of the basin areas, resulting inhigher basin runoff and higher risk of ﬂooding.
• Local municipalities and developers may wish to utilize
and develop land in the basin to optimize use of theland resources.
Increased usage of waterfront areas will increase
ﬂooding risks. It may also interfere with river

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2 – SECTORAL PERSPECTIVES

channel improvement. Development in the basin
reduces stormwater permeability and the storage
capacities of the basin. Flood runoff increases andheighten ﬂood risks in the area.
• Local municipalities and developers may wish to utilize
the waterfront area of rivers and lakes and promote theuse of facilities situated in such areas for recreational
purposes, such as sports facilities, parks, promenades,
etc.They may wish to promote greater uses of the river
and water recreational spaces.
More use of waterfront areas of river and lakes
during ﬂood events increases ﬂood risks in thearea. Locating facilities along the waterfront will
also increase ﬂood risks.
(Relevance to society as a whole)• Society recognizes the threats of ﬂoods and importance of ﬂood risk management when hit by a large
ﬂood disaster, but as time passes that awareness fades.
This is particularly prominent in areas where people
do not suffer directly from ﬂoods.
Flood managers are concerned by this and wantsociety to remain alert to potential ﬂood risks asthese can occur at any time.
(Impacts by other sectors)• Fisheries are dependent on the existing environmentof rivers. The ﬁshery sector will oppose destruction ofﬁsh habitats for ﬂood management. They will also wish
to be able to make use of their vessels and constructinfrastructure, such as ports, in locations efﬁcient for
their business.
Flood control measures that cause signiﬁcantriver and basin alteration may be restricted fromthe standpoint of ﬁsheries conservation. Fisheries infrastructure may interfere with ﬂood ﬂow or
ﬂood control facility construction. Furthermore,decreasing normal ﬂow will also interfere with
their navigation.
• When a structure that crosses a river channel (such as
roads,railways and lifeline infrastructure) is being planned
or designed by other sectors, they would normally try
to ﬁnd a location, direction or structural design for theirstructure that is most efﬁcient and economical.

In order to prevent such structures from blocking
ﬂood ﬂow or negatively impacting ﬂood control
facilities such as levees, coordination is necessary
with other sectors regarding the location/direction of the structure and levels of impacts such as
ﬂood-ﬂow interference or impacts on ﬂood control facilities, etc. It should also account for river
improvement/construction plans for levees, facilities, water course, etc.
• Navigation sectors or those who transport goods
and people using boats may try to construct docks
or mooring facilities in a convenient location andtry to moor on water for efﬁcient transport. They
may also dredge channels in order to ensure adequate navigable space and the preferred route fornavigation.
Such activities may interfere with ﬂood ﬂow.
The facility locations and their size have to beaccounted for and there must be coordination
with their representative in order to prevent
such impacts. Dredging may increase the discharge capacity of the channel but over-dredging
or dredging close to structures could cause river
ﬂow to scour river facilities and cause negative
impacts.
• People living in poverty may be living or cultivating on
the ﬂood plain of a river.
This increases ﬂood risks. Coordination with otherpolicy measures needs to be considered in orderto prevent proliferation of new settlements into
areas of ﬂood risk, and to facilitate the smooth
relocation of existing inhabitants.
3. Flood management in relation to IWRM andthe advantages of IWRM
• The management of ﬂood risks needs to be implemented through the involvement of various basin stakeholders, including development sectors, municipalities aswell as residents. Flood managers are generally found on
the coordination end of IWRM, with the relevant stakeholders and managers responsible for overall IWRM
coordination.

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• Flood risk management contributes to meeting overall IWRM objectives in the basin by preventing disastrous damage caused by ﬂoods, and hence enhancing
the social and economic welfare of the basin. Its existing framework for negotiating with basin stakeholders
can also be utilized for overall IWRM coordination,
allowing for efﬁcient stakeholder participation andcoordination.
• Flood control not only mitigates ﬂood disasters but
also provides beneﬁts for water-use sectors. Temporarily stored ﬂoodwater in facilities/reservoirs can beallocated for later water use. This can lead to costeffective multi-sector collaboration, where ﬂood managers as well as water-use sectors can all beneﬁt fromworking together.
• Firmly positioning ﬂood risk management as part of
IWRM objectives ensures enhancement of prevention
and preparedness capacities of the basin against future
ﬂood risks.
• Flood managers can also beneﬁt from the overall
IWRM arrangement in implementing ﬂood risk
management projects by utilizing the overall participatory/coordination framework. This facilitates
the gaining of consensus from relevant stakeholders and enables project objectives to be achieved inan efﬁcient manner.
• Floods may bring beneﬁts to the basin in termsof fertile soil suitable for cultivation or by supporting the ecological functions of ﬂoodplains or
wetlands.

2.5 OVERALL COORDINATIONPERSPECTIVES- Are stakeholders convinced? Is it socially justiﬁable?
The last part of this chapter describes how managers incharge of coordinating IWRM in the basin (such as in ariver basin organization) think and act.
IWRM is a process that (1) promotes coordinatedmanagement of water resources among all stakeholders, (2) integrates management of water and land
resources, and (3) facilitates information-sharing andparticipation among the people involved.

Managers coordinating the IWRM effort understand thenecessity for IWRM and seek to make progress. However, that requires a ﬁrm understanding of the interestsand concerns of other water-user sectors, environmental managers, and ﬂood managers.
The manager leading the coordination may not be awareof the history of water use or ﬂood control efforts in thebasin, or may set unrealistic goals from the beginning, orrush to reaching a consensus without sufﬁcient assessment or consultations. In these cases, individual sectors
will make their opposition and case known to the coordinator. It is important that such opinions are well understood by those leading the coordination process in orderto ensure that it proceeds smoothly and efﬁciently.
Coordinators can sometimes be inﬂuenced by the supporting organization or opinions of political decisionmakers, but unjust coordination will cause problems
later on. For example, if a stakeholder thinks that he/she
suffered from a disadvantage in coordination when developing an infrastructure, it will become extremely difﬁcult
to obtain his/her consensus when the infrastructure ages
and needs to be rehabilitated/improved.
It is also important that the coordinator is socially trusted,
and that the content of the IWRM coordination is justiﬁable to all relevant stakeholders and society. Thus,
ensuring transparency through proactive information dissemination is one of the coordinator’s mostimportant responsibilities.
Moreover, collaboration with sectors other than thoserelated to water could enhance IWRM coordination.
Land-use management is a good example. For example, land and water resources can be utilized more
efﬁciently by ensuring consistency in river improvement through urban or agricultural land-use planning,and developing roads or agricultural infrastructure
simultaneously. By establishing the possibility of coordination with sectors other than water sectors, thecoordinator will be able to gain the trust of otherwater users.

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3. Key for Success in Implementing IWRM

A ‘Key for Success’ is a key that can be used in practiceto help make IWRM succeed. It is a key to establishingbreakthroughs in potentially challenging situations or
to open the door to better IWRM. It provides tips
and clues for making progress in the IWRM process(see Fig. 3.1).
Many of the keys for success have been proven inpractice and are linked to Good Examples in Chapter 5. Some are generic, in other words, apply to every
successful example of IWRM; others may apply only
to speciﬁc situations, and some may not be in place
as yet. You do not have to apply them all. Work withthem to see how they can assist you to move ahead
with IWRM implementation in your basin.

Each ‘Key for Success’ is explained using the following
format.
• Key: The essence of the ‘Key for Success’ is indicated in bold in the box.
• Why: The reason why the ‘Key for Success’ isimportant or useful is indicated in the box.
• How: The ways of implementing the ‘Key for Success’ are indicated outside the box.
You will also ﬁnd links to Useful Tools and Good
Examples for easy reference.

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Fig. 3.1 IWRM Process
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3 – KEY FOR SUCCESS

3.1 RECOGNIZING AND
IDENTIFYING
The important part of this phase is to ‘recognize’
the need for IWRM and to grasp the overall pictureof existing issues in the basin. Things to note in thisphase are:
• Do you understand the needs and problems? Are
you in need of IWRM?
• Are you aware of past evaluation results and thecurrent situation?
• Are you thinking into the future?

Recognizing the need for IWRM through identiﬁcation of needs and problems in the basin becomes thecatalyst for improving water resources managementin the basin. It is important to proactively ‘recognize’
the needs, and your understanding of the situation
can be measured by how well you can make others understand. You can identify existing basin-wideissues by exploring the needs for improving existing
approaches or schemes based on existing or pastevaluation results, and by being alert to newly-arisen
problems and needs as a result of socio-economicand environmental changes.

3.1.1 Recognition
1.1.1

aKey
aWhy

Be aware of IWRM efforts in your river basin, region or country.
• In order to recognize the necessity for introducing or enhancing IWRM, you need to proactively ﬁndout the current status of IWRM activities in your basin, region or country. It helps to recognize theneed for an IWRM approach and where you stand in the IWRM process. Such information is also usefulin explaining to others and for expanding IWRM recognition.

aHow •First, understand the deﬁnition of IWRM and its
beneﬁts. Take a look at basins where an IWRM
approach has been implemented. See how thedeﬁnition of IWRM has actually been put into
practice and how they enjoy the beneﬁts. If the
IWRM approach wasn’t successfully implemented,
try to ﬁnd out what the problems or barriers
were.
o Search for river basins in your country or
region where river basin organizations exist.
See if they have implemented an IWRM
approach. Obtain their evaluation reports, etc.
o Even if an IWRM approach has not generally
been practised in your basin, study its current
status of water resources management.
o IWRM is an evolving and spiral process.
Knowing where you stand in that process isuseful. Refer to Chapter 4 for more information.

o It helps to be aware of national IWRM
efforts. It may be helpful to ﬁnd out if thenational government has already prepared
an integrated water resources management
and water efﬁciency plan, agreed upon in the
Johannesburg Plan of Implementation (JPOI)
at the World Summit on Sustainable Development in 2002. (http://www.un.org/esa/sustdev/
documents/WSSD_POI_PD/English/POIToc.
htm). The status of national efforts in IWRM
is reported by UN-Water in ‘Status Report on
Integrated Water Resources Management andWater Efﬁciency Plans at CSD 16, UN-Water,
2008’ (http://www.unwater.org/downloads/
UNW_Status_Report_IWRM.pdf).
Good Examples>> Extracted Key for Success from Davao River(1), ‘Integrating the fragmented sectors’, p.88

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1.1.2
Consider a signiﬁcant change in the basin as a chance to move IWRM forward, and recognize and understand such changes as early as possible.
• Changes in socio-economic and environmental demands of the river basin may trigger the need for
introducing an IWRM approach. Even in those basins where IWRM approaches have already been implemented, a new or improved IWRM approach may become necessary when socio-economic or environmental changes occur.You can consider such changes as an opportunity, and make society become awareof the need for changing existing approaches to water resources management. This can become a strong
driving force for moving IWRM forward.
• Recognizing such changes at an early stage will provide you with a better chance of choosing the option
with the maximum possible beneﬁt using the least resources.
•

It is important to recognize not only changes in the
direct and urgent needs of society, due to disasteror crisis situations, but also slow and gradual signsof change due to changing social values and needs
for water caused by economic development orchanges in the regional or global environment,such as climate change.
o Examples of changes in a river basin include:- Occurrence of major disasters (ﬂood,
drought).
- Severe water pollution and environmental
degradation.
- Increase of water demand by rapid population growth and economic development.
- Major national or regional events (such as the
Olympic Games).
- Change in national policy for water resourcesmanagement due to political shifts.
o Gradual changes (such as those caused byclimate change or changes in social values

and demands) are more difﬁcult to recognize.
It takes time to make society aware of suchchanges and establish a driving force to move
IWRM forward. Keeping the public updated
and spurring public opinion by actively disseminating information from the early stages
is indispensable.
Good Examples>> Extracted Key for Success from Lake Biwa (2),‘Formulation of comprehensive conservation
plan with the participation of all stakeholders
in the basin’, p.99>> Extracted Key for Success from Sacra,emt– San Joaquin River (1), ‘Achievement of efﬁcient IWRM for complex multiple-purpose
water uses’, p.126>> Extracted Key for Success from Yoshino
River (3), ‘Creating a mechanism for drought
conciliation’, p.165

1.1.3
Ensure broad and long-term perspectives when identifying changes occurring in the river
basin.
• A variety of changes occur at the river-basin level. Maintaining a narrow ﬁeld of vision may prevent you
from recognizing larger changes, and potentially lead you in a wrong direction. Mapping or visualization ofrelated data and understanding their relationships is useful to understand the real status of a basin. It also
forms good material for presentations or discussions with stakeholders. useful in explaining to others andexpanding IWRM recognition.

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3 – KEY FOR SUCCESS•

It is important to uncover the current situation in
the river basin by examining the results of monitoring and evaluation. It is necessary to look at theentire basin from a broad perspective and checkfor any new and emerging problems or issues. If
such problems exist, determine where the social
or environmental changes are occurring and what
are causing such changes.
o Typically required data for recognizing achange in the river basin are:- Natural factors: geology, weather, hydrology,

water quality, geomorphology, environment/
ecology, etc.
- Social factors: population and its dynamics,
standards of living, social customs, land use,water use, etc.
- Economic factors: working population, industrial activities, etc.
Useful Tools>> Visualization of the state of water use and‘high stress area’, p.170

3.1.2 Identiﬁcation of problems and needs
1.2.1
Identify potential priority areas (critical locations and key issues) for IWRM implementation in the basin.
• Important locations or key issues need to be addressed ﬁrst in order to achieve effective implementation of IWRM. Such priority areas can be identiﬁed through assessment of the current status of water
resources in the basin and their uses, and pressing issues in the basin such as water pollution, environmental degradation, natural disasters, etc.
•

•

•

•

Explore and identify issues and problems currently occurring in the basin as well as potential
future issues.
It is important ﬁrst to roughly estimate the available amount of water in the river basin and theextent of water use. If the basin’s water resources
are used extensively, it is desirable to study indetail the natural or original capacity of the basin.
Determining the water budget in the basin will be
useful in understanding the current status of thebasin’s water resources.
It is desirable to identify priority areas (criticallocations and key issues) before coordinating theinterests of sectors. An example of a critical location can be where there exists an overlap of interests due to a rapid increase in water demands
or severe pollution loads, or areas of ecologicalsigniﬁcance such as a place where protection ofendangered species is a critical concern.
It is helpful to have an understanding of the historical background of water usage in the basin,•

the rules and how they have changed in the past.
Look through documents and historical records
or communicate directly with local elders.
Hearing from local people helps understandtheir viewpoints, and the information obtained
becomes a persuasive tool for later coordinationand negotiation.
Efforts must also be made to address not only theapparent issues but also prospective needs andchallenges.

Good Examples>> Extracted Key for Success from Yoshino
River (1), ‘Formulating the water budget for
an integrated plan’, p.161>> Extracted Key for Success from Yoshino River(4), ‘Securing environmental ﬂow to improve
IWRM into the next stage’, p.167>> Extracted Key for Success from MurrayDarling Basin (3) , ‘Contingency measures tosecure critical water demands’, p.110

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1.2.2Make good use of existing information in the basin..
• Recognizing the need for improvement or restructuring in water resources management is how one
realizes the necessity of introducing an IWRM approach. It is important to maintain a broad view andbe aware of the history, trends and issues in the basin. Information such as the opinions of the local
elders, general public interest, and political discussions in local and national governments may provide
good ideas. If the IWRM process is well underway, utilization of monitoring and evaluation results is
effective for identifying areas for improvements.
•

When introducing an IWRM approach for theﬁrst time, there may not be sufﬁcient past monitoring or evaluation results available. However, it
is not necessary to conduct a new extensive andexhaustive survey to obtain new information as it
may delay the entire process. What is importantin this phase is to utilize the existing information,•

understand the changes occurring in the naturaland socioeconomic environment, and recognize
the necessity for an IWRM approach.
In cases where monitoring and evaluation of past
IWRM activities exist, it is possible to re-evaluate
past efforts based on the monitoring and evaluation results, and identify existing challenges.

3.1.3 Public awareness and accountability
1.3.1
Proactive disclosure of information is a fundamental activity in IWRM.
• Stakeholder participation is a crucial element in IWRM implementation. Information-sharing throughdisclosure is indispensable for facilitating coordination and negotiation among stakeholders reaching
agreement on a plan.
• Proactive disclosure of information ensurestransparency throughout the IWRM process.
• It is desirable to disclose information suchas data shared among stakeholders and therecords of discussion throughout the coordination process. It is also desirable to consider
the appropriate method for disclosing information in the respective basin, such as theestablishment of a website for information
dissemination through the internet, publication of periodical newsletters in the region,and information disclosure through administrative information network. Such frameworks for disclosing information become
useful especially during emergency situations.
• It is important that details on information/
data availability and how to access such information are shared.

• Disclose all relevant information, including that which is not necessarily convenient
for you and/or speciﬁc groups. Holding backinformation can cause problems later on.
Good Examples>> Extracted Key for Success from Negro River(3), ‘Share information broadly with the public’, p.120>> Extracted Key for Success from Yoshino
River (1), ‘Formulating the water budget for
an integrated plan’, p.161>> Extracted Key for Success from Tama River(2), ‘Ensuring complete accountability by disclosing all information’, p.137

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1.3.2
Facilitate awareness-raising through utilization of topics, materials and processes familiar
to the public, including those usually outside the water sector.
• Utilization of familiar topics, materials, and processes will establish better understanding and a senseof ownership among these groups, leading to immediate actions.
• It is important to make the public understand therelevance of water issues to their lives. Encouragethem to act with a sense of ownership.
o Local activities that help people to recognize
the importance of water issues in their daily
lives are effective. Community and volunteer
organizations can be informed through distribution of brochures or organization of local meetings. Participatory events such as river clean-up
activities or site visits are also effective.
o It is important to let stakeholders know that
there are various combinations of problems
and solutions, as the IWRM approach aims
to coordinate among stakeholders to agree
on a solution out of many alternatives. Various alternative options and their comparativeadvantages/disadvantages should be explained
to the public in an easy to understand manner. For example, the roles of a dam should be
explained together with changes in required
levee height, depending on the existence of adam, etc.

o The level of needs and sense of value forwater differ among sectors or even amongindividuals. For example, the agricultural sector has varying water needs depending on theseason, whereas the domestic and industrial
water supply sectors are primarily concernedwith a stable supply of good quality water.
Stakeholders tend to view water issues fromtheir own standpoint and are often not awareof the interests of others, thus it is importantto build awareness within individual sectors.
o Inviting representatives from other sectors
to sector events such as symposiums, andhaving them share and speak about theirviews and perspectives may be effective inpromoting understanding of various sector
perspectives.
Good Examples>> Extracted Key for Success from Murray-Darling Basin (2), ‘Enhancing public awareness’,
p.109

1.3.3
Introduce educational activities on water and IWRM, focusing particularly on women andchildren.
• It is particularly important to foster understanding on water issues among children to ensure futuresustainability. Also, raising awareness among women, who have the most opportunities to deal withwater in their daily lives, is effective. It can encourage equal participation of men and women, improve
the status of women, and promote education in families.
• Awareness among and participation of children andwomen is important for raising awareness among
the general public. Public education on water canbe included in the school curriculum or workshops
on water can be organized targeting women. The
awareness built through such programmes can thenextend to their families and spread throughout
communities through everyday activities. Examplesof awareness-raising activities include:o Making use of water and sanitation-focused
campaigns carried out by international organizations such as UNICEF.
o In areas where there are schools, incorporating
education on water and IWRM into school curriculums.
o Holding contests related to water activities
in the local basin as a part of the school education.

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o Taking advantage of various activities aimed
at improving the status of women in spreading and improving water awareness.
Good Examples>> Extracted Key for Success from MurrayDarin Basin (2), ‘Enhancing public awareness’,p.109>> Extracted Key for Success from Negro River(3), ‘Share information broadly with the public’, p.120>> Extracted Key for Success from Volta River(1), ‘Mobilizing stakeholders from the community, national and transboundary levels forshared waters management’, p.153>> Extracted Key for Success from Volta River(2), ‘Causing motivation for ecosystem conservation’, p.154

3.1.4 Capacity building
1.4.1
Develop the capacity of a leader who can recognize problems, ﬁnd necessary solutions, andimplement them.
• Coordination among many stakeholders requires a leadership role. Leading a coordination effort
requires a good understanding of the viewpoints of individual stakeholder groups while keeping sightof the overall picture. An important ability of such a leader is the skill to recognize problems and ﬁndnecessary solutions.
• IWRM coordination requires an appropriate understanding of the problems faced by each sector, andan extensive knowledge and understanding of thebasin. However, knowledge alone is not enough.
Ample experience, the ability to understand diverse
perspectives, and the willingness to learn and gain
wisdom backed by knowledge and experience areneeded as well.
o It is important to ﬁrst learn as much as possible from previous examples, by visiting andstudying basins that have experienced similar
situations. It is necessary to talk with people
from various sectors to understand the problems faced in the basin. Talking with people
with a wealth of experience leads to greater
knowledge and insight, turning those experiences into your own. This helps build quality
as a leader.
o Personnel exchanges between sectors to gain
deeper knowledge and know-how of sectors operating in the basin or exchanges withother river basin organizations can also be
effective ways of building capacity.

o Training programmes should be hands-on andpractical, enabling trainees to experience as
many life-based situations as possible. Onthe-job training can also prove useful.
o Actively participating in related meetings andtraining is desirable as it broadens specialist
knowledge.
o Make use of international capacity development initiatives for river basin organizations.
• Not only the capacities of the person leading thecoordination, but also the capacities of the representatives of individual sectors need to be developed. Ensuring adequate understanding and capacity among stakeholder representatives will enhancecoordination within their individual stakeholder
groups, and hence facilitate overall coordination.
Make use of opportunities for exchanging ideas
and opinions to promote better understanding on
IWRM among stakeholders.

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1.4.2
Integrate capacity building and incentives.
• IWRM coordination is a human intensive effort, and requires the capacities as well as motivations of
those involved. Capacity-building linked strongly with incentives is necessary.
• Incentives should be considered from a multi-faceted approach and not just in terms of proﬁt andbeneﬁt. They should also include a sense of fulﬁllment or the satisfaction of having demonstrated ahigher-level capacity/ability.

• It is important that involvement in IWRM activities is recognized as valuable work and that those
involved have a sense of satisfaction..

3.2 CONCEPTUALIZING

By viewing the structure of the problem from a
broader perspective, you will be able to ﬁnd clues
or a place to start to ﬁnd a solution. Furthermore,
you will have to consider the course of action andthe relevant stakeholders and their relationships inorder to tackle the problem. You can conceptualize
possible solutions by laying out various alternatives
that meet the basin-wide balance, as well as the balance between supply and demand, and the balanceamong stakeholders, etc. then narrow down the liston the basis of the given constraints.You will have toreject certain aspects of your ideal plan in order tomake implementation a reality.

The point of this phase is to understand the overall
structure of the problem and conceptualize future
actions. Things to note in this phase are:
• Is it in line with social demands?
• Is it well balanced?
• Do you understand the constraints and are you
exploring ‘what you can do?

3.2.1 Assessment
2.1.1

Be selective when collecting data by setting priorities based on the problems.
• When prioritizing data collection, it is necessary to consider the time, efforts and costs needed. Do notcollect data in an exhaustive way. First collect and examine the existing or easily available data.
• When the necessary data is not available, it may
be possible to deduce the required informationfrom other data. For example, river ﬂow can be
estimated from rainfall data. The possibility of utilizing the data to extrapolate other necessary data
should be thoroughly evaluated.

Good Examples>> Extracted Key for Success from Büyük Menderes River (1), ‘Estimation of water demand
and analysis of hydrology in the river basin for
project planning’, p.79>> Extracted Key for Success from Davao River(3), ‘Awareness of importance of technology
for water management’, p.90

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2.1.2
Always keep eyes, ears and mind focused on the real situation in the ﬁeld.
• Focusing only on text and numerical information prevents you from identifying potential issues and realneeds. Building ﬁeld knowledge through frequent site visits and always being conscious of the actualﬁeld situation improves one’s ability to validate data or analyse results.

• Direct information obtained on-site can provide agreat many insights into ways to solve problems.
For example, the condition of ageing or deteriorating facilities is easier to see rather than to determine from numerical data or photographs.

• In order to ensure the validity of information
obtained on-site, more than one person at a timeshould conduct site investigations, as individual
persons may interpret the same information differently.

2.1.3
Conducting interviews with relevant people/sectors can prove effective. Be aware that it isalready the beginning of coordination and be prepared.
• Conducting interviews as part of an assessment is quite effective for identifying problems and possible
solutions in the river basin. It is important to think and act noting that it is an initial contact with thestakeholder and coordination has already started at this point.

• When conducting interviews, it is important toobtain advance information about the person to beinterviewed, including their position, what sector
group he/she represents, their interests, etc.
• It is important to select an appropriate person tomeet, who can provide you with the information
you need. For example, if you need information

regarding operational issues of water resourcesmanagement in the river basin, meet with an ofﬁcer
working at ﬁeld level rather than a high-level ofﬁcial in the organization. It should be noted howeverthat directly contacting personnel at the ﬁeld level
may lead to distrust of the partner organization.

3.2.2 Conceptualization
2.2.1
It is important to harmonize related plans including those from outside the water sector.
• Harmonizing related plans can help prevent conﬂicts at a later stage. Other sectors would include
land use, regional development, disaster prevention, environmental conservation, forestry, agriculturaldevelopment, etc.

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3 – KEY FOR SUCCESS• In addition to water-related sectors such as watersupply for domestic or agricultural uses, protection of water quality and the aquatic environment,
and ﬂood management, other sectors not directly
involved – but often related – include health/sanitation, urban planning or private developers. It is
important to be aware of plans made by all related
sectors and share those plans among them. This
helps to avoid duplication, and also leads to planning among sectors for win-win situations.
• To understand other related plans, it is important
to be aware of the relevant background and inten-

tions. This information can be obtained directlyfrom the person involved in planning. Refer to ‘2.
Sectoral Perspectives in IWRM’ in this document
for information on sectoral perspectives in IWRM.
Understanding the intentions of the individuals incharge of their respective sectors can help facilitate coordination.
• Depending on the maturity of the plan and thestage of planning process, options for developing
multi-purpose infrastructure and ways of integrating their operation can be considered.

2.2.2
It is advisable to start considering mechanisms and courses of action for stakeholder participation during the conceptualization phase.
• The mechanisms and courses of action for progressively involving various stakeholders in the basinneed to be thoroughly considered, otherwise the later process of consensus building could involve
many revisions making it time-consuming. Moreover, the agreement reached may become ineffective or
may, in the worst case, be overturned.

• Mechanisms for participation may include setting
up a committee, public hearings, and workshops.
Appropriate forms of participation should be chosen based on local conditions and the relationships
among the stakeholders.
o Planning here does not only mean preparing plans for water-related projects, but also
includes planning for the establishment of acoordinating organization like a river basinorganization, or new rules, or planning forenvironmental conservation measures, etc.
o Involving all stakeholders fairly and equally
may not always be ideal. Gradually build better forms of participation over the courseof coordination in a step-by-step and locallyappropriate manner. For example, priority stakeholder groups most closely related
to the issue/problem can be identiﬁed at
the beginning, and the involvement of stakeholders can be progressively expanded fromtherein.
o It is desirable that the coordinator is at least
aware of the relationships among stakeholders. Complete knowledge is not necessary, but
familiarity with the existing relationships isuseful for future coordination. Neglecting this
aspect, means that future coordination may
take longer.

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Good Examples>> Extracted Key for Success from Davao River(1), ‘Integrating the fragmented sectors’, p.88>> Extracted Key for Success from Davao River(2), ‘Integrating the fragmented sub-basins’,
p.89>>Extracted Key for Success from Tama River(1) ‘Rules for coordination and consensusbuilding in developing the River Improvement
Plan’, p.136
Useful Tools>>Grasping the Positioning of Stakeholders andtheir Mutual Relationships, p.173

2.2.3
Identify key stakeholder groups, including those who are impacted or socially vulnerable,
and identify key persons within them.
• Knowing key stakeholder groups or individuals and getting them involved at an early stage will facilitate
the coordination process. Involvement of key persons who have inﬂuence over decisions within theirsectors/stakeholder groups is important for later consensus building.
• Identify at an early stage the key stakeholder groups
and key persons or individuals within them who
can provide useful input or facilitate coordination.
• It is best to focus on individuals. Identify relevant
stakeholders, and key persons or individuals who
can provide useful input.
o Begin by ﬁrst visiting each individual group.
Ask and obtain information about their circumstances and opinions through informalinterviews and meetings. Bear in mind thatplanning has already begun.
o When the appropriate representative ofa sector is not obvious, it may be useful to
begin by talking with elders or those who arefamiliar with the area and its history.
o Conﬂicts also often arise within a sector/
group. These may not be apparent at ﬁrst, butwill eventually become evident through discussions and gathered information. Graduallywinning support from allies within a sector/
group is a useful approach.
o Approaching impacted stakeholders can beparticularly difﬁcult; however, disregarding
their involvement can often lead to major
impediments later on. It may be difﬁcult toapproach them at the very beginning, but it
is necessary to identify key people early on
and work towards appropriate timing toencourage their participation.
Good Examples>>Extracted Key for Success from Büyük Menderes River (3), ‘Framework for stakeholder
participation in the new scheme’, p.82

2.2.4
Take into account the appropriate balance among water-related sectors in the whole basin.
• Water resources management plans should take into account the balance within the whole basin,
including long-term changes such as socio-economic changes. It is difﬁcult to achieve consensus on abiased plan and such plans can lead to future conﬂict.

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3 – KEY FOR SUCCESS• Achieving balance among water-related sectors
means allocating beneﬁt through water amongareas or among sectors for maintaining social fairness in the basin.
• In this case, ‘balanced’ does not mean that everything is fair and equal. An appropriate balanceamong water-using sectors and the environment,
and among upstream and downstream, must be
based on appropriate development standards(capacities against ﬂoods and droughts, etc) for theentire basin area, accounting for social, economic,
and environmental needs, and the demands andrequests of various sectors, and future forecasts.
• There is no prescribed method for determining theappropriate balance. Consider where you stand in
the IWRM spiral and identify priority issues andpossibilities for tradeoffs. Referring to other casesand seeing how they have determined their appropriate ‘balance’ for themselves may provide youwith some insights. Refer to Chapter 4 for a further
description of the IWRM spiral.
• Prepare future scenarios by combining various
options based on expected future sector needs,
costs, and timing of implementation. Simulatingsuch future scenarios could facilitate well-balancedplanning.

• Plans prepared by individual sectors must be consistent in order to realize a ‘well-balanced’ plan. Checkfor inconsistencies, discrepancies, or overlaps. It is agood idea to make information ‘visible’ by displaying
it through ﬁgures or graphs with quantitative indicators. Doing so makes it possible for stakeholders
to share a common understanding of the present
situation, and to facilitate consensus building.
• The appropriate balance at one time may become
inappropriate later as social changes or economic
developments progress. Be ready to revise theplan when necessary. It will be necessary to evaluate the plan even if it is already in the implementation stage.
• When conducting simulations with combinations ofvarious options and planning based on their results,
it is important to verify the gap between the simulated results and actual situations in the ﬁelds. Being
consistently aware of the actual ﬁeld situation will
help identify such gaps.
Good Examples>>Extracted Key for Success from Tone River (3),‘Improvement of water budget in the basin without
the construction of new facilities (such as dams)’,
p.147

3.2.3 Draft planning
2.3.1
Set priorities among problems to be solved, taking into account constraints such as timeand funds.
• IWRM typically addresses multiple issues in an integrated manner. Each issue will have different timeand ﬁnancial requirements. It is not necessary to address all issues and solve all problems at once. It is
important to set priorities and to deﬁne the extent of issues to be addressed at a particular stage basedon time and ﬁnancial constraints.
• Priorities based on time constraints are required
for the following reasons:o Limitations on both time and budget (orfunds to be secured): for example, the agricultural sector is in the midst of repayments foran irrigation project, and does not currently
have sufﬁcient means to fund a new project.

In such cases, the funds available for the current stage are limited until the repayment forpast projects is made.
o When time constraints limit scale/scope of construction of a proposed facility: for example, theconsensus building process among stakeholders
for constructing a multi-purpose dam is taking

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longer than expected, but lives and properties along the downstream region have to beprotected from ﬂood disasters as a matter ofurgency. In this case, a ﬂood-control dam may
be constructed instead of a multi-purpose dam.
o When coordination among stakeholders istaking a long time and agreement can only bereached among limited stakeholders within
the given time constraints: construction of a
new facility may become urgently necessary
due to extreme events or to accommodate
large events such as the Olympic Games.
• Setting a priority does not mean giving up on solving speciﬁc problems. These can be addressed in aphased manner.

• Priorities need to be determined through intensive
discussions among stakeholders. Prepare multiple
options (see Key 2.3.5) that are achievable at thisstage, taking into account the time and ﬁnancial
constraints of stakeholders, and determine which
problems need to be addressed at which level ofthe current stage.
Good Examples>>Extracted Key for Success from Brantas River(2), ‘The comprehensive plan must be positioned as a national priority and as a regional(river basin wide) priority’, p.70

2.3.2
Take into account future prospects with regard to social and environmental changes, suchas population growth, urbanization, and climate change.
• It is necessary not only to understand the current situation, but to recognize changes in socio-economic needs of the basin or external impacts such as climate change.The IWRM process from planningto implementation requires much time and effort. It is important therefore to prepare an IWRM planthat takes into account expected changes such as population growth, urbanization, and climate change,
if signs of such changes are already apparent and are expected to impact the basin in the future.

• Accounting for future prospects in a plan should
not delay addressing the existing priority problems,
as there are always time and ﬁnancial constraints.
Making an appropriate decision is important andcan be facilitated through an approach as below:
o Implement the project in multiple phases. The

ﬁrst phase should be designed in a way so thatit allows for future expansion or modiﬁcation. The second phase, and any later phases,
can be designed and implemented such thatit accounts for the changes observed in the
future.

2.3.3
Make effective use of conventional technologies and methods applied in the basin or region.
• Technologies and methods applied locally have advantages as the applicability and stability of thesetechnologies have been assured through the history of their local application, the materials used forsuch technologies are locally available, and sufﬁcient knowledge exists for appropriate maintenance.

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3 – KEY FOR SUCCESS• The appropriate level of technology for the region
or social/economic condition must be applied inorder to effectively implement IWRM.
• To this end, it is important to be aware of technologies used in both the basin and the region, and toshare this information among the relevant sectors.
o It is advisable to ﬁrst learn about existing
technologies in the region and to promoteexchange/sharing of information on andapplication of useful technologies for IWRM
implementation. It is also a good idea to learn
about technologies applied in other river basins
with similar characteristics.
o It is also possible to obtain information on
highly applicable technologies in the region
through international networks and databases.

2.3.4
Explore, adopt and customize new technologies so that they can be applied in the basin.
• IWRM activities in the basin can be enhanced through the adaptation of new technologies. New technologies can include technologies for collecting or analysing more accurate data, or for more precise
facility operation. Exploring, adapting and customizing new technologies, knowledge and creative ideas
in a way suited for the basin improves water resources management in the basin.
• Firstly, it is important to collect information on
new technologies and knowledge. The applicability of these technologies in the basin for IWRMrelated survey, design, construction and management should be examined, and if applicable, thetechnologies should be customized so that they
can be applied in the basin.
• When introducing new technologies to replace a
conventional method under current use, it is necessary to examine the beneﬁt and cost of applying
such technologies, including their future feasibility.
• When examining the application of new technolo-gies, it is necessary to take into account maintenance requirements. If facilities or devices introduced are made overseas, repairing or obtaining
spare parts may be costly or difﬁcult. In such cases,
the introduced facilities or devices may not be able
to fully function as originally expected.
Good Examples>>Extracted Key for Success from Davao River(3), ‘Awareness of importance of technology
for water management’, p.90

2.3.5
Prepare multiple options which may be ‘acceptable’ to stakeholders.
• The best option differs for each stakeholder. The important thing to consider when determining or
selecting options is whether the option would be ‘acceptable’ to stakeholders. Selecting multiple alternative options taking into account the constraints of stakeholders and their priorities for decision
making will facilitate the decision-making process in the future.
• Grasp the needs of stakeholders and prepare several alternative options acceptable to all stakeholders in terms of conceptualizing a plan. Obtaining feedback from stakeholders on the different
options, whether partial or whole, can enhance
understanding of stakeholder needs.
o All the options prepared should be efﬁ-

cient and effective from the perspective of
the basin, addressing priority issues with anappropriate balance. In the case of water
resources development, the options need toaccount for requirements in terms of water
quantity, water quality, supply stability (tosecure necessary quantity and quality when

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needed) and the level of infrastructure capacity development required. The time and ﬁnancial constraints of stakeholders must also be
considered. Refer to ‘2. Sectoral perspectives
in IWRM’ in these Guidelines to help you
understand different stakeholder perspectives
and what may be ‘acceptable’ to different sector groups. For example, the domestic watersupply sector may ﬁnd a plan that provides
them with good quality water appealing even
if it costs more and provides less water. On
the other hand, the agricultural sector may
ﬁnd a low-cost plan that provides an adequate

3.3 COORDINATING AND DETAILPLANNING
This phase ﬁnalizes the concepts formulated in Phase
2 into a detailed plan and coordinates with stakeholders towards reaching an agreement.
• Is transparency secured (satisfying to the reason)?
• Are stakeholders convinced (satisfying to theheart)?

amount of water for food production in linewith their production plan appealing.
o When presenting options to stakeholders,
inform them that the presented option is not
deﬁnitive so as to avoid unexpected reactions.
• When coordinating several alternative options
among stakeholders, coordination and negotiation
can be facilitated by visualizing the characteristicsof those options.
Useful Tools>>Pentagram, p.169• Is it socially fair (satisfying to the law)?
Coordination for reaching agreement on a draft
plan means revising the plan based on the opinionsof relevant stakeholders. A transparent process andpublic awareness are prerequisites for ensuring effective stakeholder participation. They also ensure thesocial fairness of the process. Striving to improve thesituation of all stakeholders will facilitate reaching anagreement.

3.3.1 Building coordination mechanism
3.1.1
Prepare a framework for stakeholder participation to build consensus among stakeholders.
• A framework for stakeholder participation is necessary in order to facilitate smooth coordinationand consensus building. Considerable time and resources may be required if such a framework does
not exist.
• Organizational structure for coordination can takemany forms, such as informal meetings for information-sharing, committees provided with a levelof authority, or specialized institutions. It is important to consider existing coordination processesor changing needs within the basin, and build stepby-step an appropriate process or organization torealize the overall objectives.

o Making use of existing organizations and processes with proven track records is an option.
However, it must be recognized that there arelimits to existing organizations and processes.
Depending on the goals, it may be necessary
to revise existing institutional arrangements.
o In situations with a wide variety of stakeholders, it may be advisable to employ a mecha-

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3 – KEY FOR SUCCESS

nism whereby a third party (organization orindividual) without a direct interest in the
project performs the role of coordinator.
Good Examples>> Extracted Key for Success from Büyük Menderes River (3), ‘Framework for stakeholder
participation in the new scheme’, p.82>> Extracted Key for Success from Sacramento– San Joaquin River (2), ‘Effectively coordinating and integrating water management of different levels of government’, p.127>> Extracted Key for Success from Lake Biwa (2),‘Formulation of comprehensive conservation

plan with the participation of all stakeholders
in the basin’, p.99>> Extracted Key for Success from Tama River(1), ‘Rules for coordination and consensusbuilding in developing the River Improvement
Plan’, p.136>> Extracted Key for Success from Volta Rover(1), ‘Mobilizing stakeholders from the community, national and transboundary levels forshared water management’, p.153>> Extracted Key for Success from Yoshino
River (2), ‘Practical coordination mechanism
by working group’, p.163

3.1.2
Ensure the timely involvement of all relevant stakeholders.
• Involving stakeholders too late in the process may make the agreed plan ineffective or may in theworst case overturn past agreements.
• It is necessary to ensure the participation of various
stakeholders in the basin and establish a mechanism
for stakeholder coordination. Stakeholder participation needs to be considered from an early stage. Refer
to Key 2.2.2 and Key 2.2.3 for further information.
• Involving stakeholders at an early stage is the key
to avoiding conﬂict and building consensus among
them. Involve them at a step earlier than you think
is appropriate.

• Even if unexpected stakeholders participate in thecoordination process, do not exclude them andlisten to their positions and opinions, and try tounderstand their level of interests. Their participation in the coordination process may be beneﬁcial.
Good Examples>> Extracted Key for Success from Murray-Darling Basin (1), ‘Community consultation andparticipation in decision-making’, p.108

3.1.3
Select a lead coordinator(s) (organization or individual) whom the maximum possible number of stakeholders participating in the process can accept.
• An appropriate organization or individual needs to be selected to lead the coordination process inorder to facilitate its smooth running.
• The organization or individual acting as coordinator must be someone who has credibility among all
participating stakeholders.
o The coordinator must be well versed in thecharacteristics of the basin and its stakeholders, understand their positions, and consider
what is fair from the basin perspective.

o The coordinator must possess the leadershipnecessary to ensure smooth coordination
among a large number of stakeholders.
o The coordinator must possess the necessary
qualities, even if the role is assumed by a basinorganization.

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Good Examples>>Extracted Key for Success from Büyük Menderes River (3), ‘Framework for stakeholder
participation in the new scheme’, p.82>>Extracted Key for Success from Davao River(1), ‘Integrating the fragmented sectors’, p.88>>Extracted Key for Success from Murray-Darling Basin (1), ‘Community consultation andparticipation in decision-making’, p.108>>Extracted Key for Success from Tone River(1), ‘Foundation of the coordination andimplementation body’, p.144

3.3.2 Coordination
3.2.1
Coordinate in such a way so that resulting changes will be favourable for and equitable among
stakeholders.
• Coordination and its resulting changes need to be convincing for and as equitable as possible among
stakeholders. Consensus will not be reached among stakeholders if the plan is biased towards speciﬁc stakeholder groups.
• Each stakeholder values water differently.The same
quantity of water has different values for individual
stakeholder/sectors because their requirements
for water, such as quality, place and timing, vary.
Such aspects of water can be utilized for exploring
multiple alternatives and to ﬁnd an agreeable solution for all stakeholders.
• In order to build consensus among stakeholders,
the level of satisfaction achieved needs to be as
equitable as possible. Thus, it is important to coordinate in such a way that the resulting changes arefavourable for and as equitable as possible among
stakeholders.
o Prepare several alternative proposals basedon the needs of stakeholders, their degree ofphysical and psychological satisfaction, social
backgrounds and future prospects. Whenchoosing the most appropriate solution, thecoordinator must be able to clearly explainthat the overall situation will improve.
o It is important to take into account the needs,
ﬁnancial responsibilities and appropriate timing of stakeholder groups. Only then can
the best solutions be chosen and agreed. It
is important to recognize, however, that thebest solution changes depending on the situation and timing.

o For example, when planning to install a waterintake facility in the upstream section of a riverfor new domestic and industrial uses, an option
for improving the situation for existing downstream users, for example, by ensuring stableintake downstream, should also be consideredas part of the plan.
o When stakeholders are in direct opposition
and a consensus cannot be reached, negotiate
steadily and tenaciously, and look for signs ofreconciliation.
• When coordination runs into extreme difﬁculties, the coordinator must patiently and continually negotiate with stakeholders in accordancewith the principles outlined above. Depending on
the situation, a step-by-step approach may work
best although this may be time and resourceconsuming.
o In principle, it is important to include all stakeholders in the coordination process. However,depending on the circumstances, it is sometimes useful to hold separate discussions withindividual stakeholders. Afterwards, all the
stakeholders can regroup and continue withdiscussions towards building consensus.
• In situations where certain sectors are advanced intheir activities while others are lagging in interest, it

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is possible to ﬁrst put those leading sectors at thecentre of discussions and gradually broaden debate
to include other sectors.
Good Examples>> Extracted Key for Success from Tone River(2), ‘Project planning, coordinating multiple
sectors, and conﬂict resolution’, p.145>> Extracted Key for Success from Tama River(1), ‘Rules for coordination and consensusbuilding in developing the River Improvement
Plan’, p.136

3.2.2
In the event that the coordination process shows no sign of reaching an agreement, return tothe previous process and revise the plan as necessary.
• If the coordination process faces extreme difﬁculty, it may be necessary to return to the previous
process and re-evaluate objectively, rather than forcing a consensus.

• All sectors act according to the values and normsof conduct based on their own goals and policies.
Often this leads, to a greater or lesser extent, toconﬂicts of interest between sectors.

• If resolution of conﬂict is difﬁcult, the pre-conditions
set for the draft plan may not be appropriate. Objectively identify problems and explore solutions andmeasures that will result in effective overall results.

3.2.3
Be aware of the infrastructure development plans of individual sectors and coordinate among
relevant sectors.
• Infrastructure development is typically conducted by individual sectors based on the social needs
and feasibility (costs, time) of the project. In order to develop infrastructure that is effective and
efﬁcient from the perspective of the whole river basin, it is desirable to consider from an early stage
the effective allocation and distribution of facilities, giving due consideration to the local area.
• To achieve this, it is ﬁrst necessary to understandand share sector plans. By knowing what infrastructure is needed by each sector, a possibility for developing multipurpose infrastructure can be identiﬁed.
Sectors could voluntarily coordinate among themselves if the beneﬁts are obvious.
o The development of mult-ipurpose infrastructure greatly improves cost effectiveness,therefore, it is desirable for coordinators toactively facilitate the coordination necessary
for their development.
o There are cases where it is possible to further improve the effectiveness of existing
infrastructure by operating them in an integrated and coordinated manner. It is desir-able for a coordinator to understand theroles and functions of infrastructures within
the basin and explore ways of improving their
efﬁciency of operation.
o Establishment of a ‘basin fund’ or a ‘basin
agreement’ whereby people in the beneﬁtreceiving area provide support to the riversource area may be effective in promoting
cooperation with regards to infrastructuredevelopment.
• When preparing alternative options consider theperspectives of other sectors by referring to ‘2.
Sectoral Perspectives in IWRM’ in these Guidelines. Knowledge of sectoral interests can facilitate
coordination.

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3.2.4
Consider ways, including policy interventions, to secure water supplies during extreme
events.
• Coordination among water users is particularly crucial in times when securing a stable water supply
is difﬁcult (i.e. drought, etc). It is advisable to be prepared for emergency situations, and to develop
cooperation frameworks or a contingency plan that allows an effective and ﬂexible response to crisis
situations.

• Available water resources may be limited duringa drought or water quality accident. Consider inadvance the framework for coordinating water
allocation among users during such emergency situations. It is advisable to take into account a mechanism for ﬂexible water use such as water trading,or measures for securing water during emergency
situations.
• Groundwater is less inﬂuenced by the impact ofclimate variability compared to surface water.
Integrated management of groundwater with surface water can reduce the impacts of variability insurface water ﬂow. There have been cases whererapid increase in groundwater abstraction during
droughts has caused ground subsidence, deterioration of groundwater quality and salination. Thus, itis necessary to examine in advance the potential
impacts of groundwater abstraction on groundwater quality and ground subsidence.
• Rainwater harvesting can reduce withdrawal of
surface water and groundwater. Rainwater can beused as a water source for domestic water supply
during emergency situations such as earthquakes.
• Recycled water can be utilized as water resources.
For example, highly treated wastewater can bedischarged to rivers as environmental ﬂow during normal times, and can be transferred forother purposes during drought time, reducing theimpact of droughts. It is important to clarify theareas where utilization of recycled water is effective, the quantity and quality of water needed, andthe rules to be applied for transferring recycledwater among uses.
Good Examples>> Extracted Key for Success from MurrayDarling Basin (3), ‘Contingency measures tosecure critical water demands’, p.110>> Extracted Key for Success from Yoshino River(3), ‘Creating a mechanism for drought conciliation’, p.165

3.2.5
Prepare a well-balanced plan by exploring a wide variety of options and combinations.
• Solving various problems with one single solution may not be efﬁcient. Solving a problem with astructural solution alone will require a large facility, which may not be cost effective. A combinationof various options including structural and non-structural measures is likely to make the plan more
efﬁcient, effective, and environmentally sustainable.

• Options to be considered include the following:o Structural measures: dams and reservoirs,channel improvement.
o Operational measures: improving facility
operation.

o Financial/economic instruments: subsidy, costallocation.
o Social/institutional measures: water-saving
campaign, coordination during drought, laws
and regulations.

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3 – KEY FOR SUCCESS• For example, in the case of ﬂood management,
options for consideration include not only structural measures such as the construction of a ﬂood
control dam and reinforcement of levees, butalso non-structural measures such as operational

improvement of existing dams during ﬂood
events or preparation and dissemination of ﬂood
hazard maps, and social/institutional measures
such as enhancing ﬂood warnings and evacuation
frameworks.

3.2.6
Acting as the representative for the environmental sector.
• According to the deﬁnition of IWRM, the sustainability of the indispensable eco-system must not
be impaired. It is important to recognize the environment as a stakeholder. If there is no deﬁnitive
sector representing environmental conservation, it is necessary for the coordinating organization toact as a spokesperson for environmental conservation activities during the coordination process.
• When developing infrastructure, the coordination
process must pay due consideration to impacts on
the natural environment and ecosystem.
o Organizations and sectors in the basin thatcan speak for the environment must participate in the planning process. If such organizations or sector do not exist, then the coordinator should take into account environmental
conservation when coordinating with othersectors.

o A coordinator must accumulate a good knowledge of the basin environment in order to be a
spokesperson for environmental conservation.
o Data collection for addressing problems inthe basin should also include available dataand information on the basin ecosystem.
Good Examples>> Extracted Key for Success from Volta River(2), ‘Causing motivation for ecosystem conservation’, p.154

3.2.7
Introduce water conservation incentives appropriate for local conditions.
• The introduction of incentives such as water charges, etc. can promote water-use efﬁciency andenhance sustainability and ﬂexibility of water use.
• When introducing an incentive system for the ﬁrst
time, it is not always effective to introduce thesame systems employed by other regions. There
are many such unsuccessful cases, thus, applicability
to the basin in question should be considered.
o Common incentives include the collectionof domestic and agricultural water charges.
However, introduction of such water charges
may not be easy due to social constraints orlack of physical systems required for their
management and collection. Introduce anappropriate incentive in a step-by-step manner. Draw upon successful case examples ofother regions and start with a pilot project.
o Due consideration must be given to social
situations and the economically vulnerable
when collecting water charges. An economic
incentive can be effective, but it has a signiﬁcant social inﬂuence. When introducing suchincentives it is necessary to consider diverse
perspectives as well as indirect impacts.
o Economic incentives include pricing, but also
indirect methods such as improvement ofwater productivity and labour-saving throughwater-saving irrigation.
o In cases where a water charge collection

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system is introduced, make sure that it leads
to effective water-conservation, for example,

by varying the unit charge depending on the
total volume of water used.

3.2.8
Consider introducing incentives to coordinate water use in the event of emergency situations such as drought.
• The IWRM approach is particularly important in the event of emergency situations such as drought,
when coordination among water uses is inevitable. Introduction of an incentive for limiting wateruses may facilitate building consensus among stakeholders.
• The IWRM approach becomes particularly usefulat times of emergency such as drought. It is advisable to introduce necessary policy interventions ormechanisms (such as establishment of a drought
fund, water trading, etc.) which allow ﬂexible water
use while ensuring consensus among water users.
• Incentives must be appropriate for the local situation, taking into consideration social and economic

situations, local history and culture, etc. They mustalso be applied in a fair and transparent manner toeveryone in the basin.
Good Examples>>Extracted Key for Success from Murray-Darling Basin (4), ‘Reducing the economic impactsof severe water shortages’, p.111

3.3.3 Preliminary agreement
3.3.1
Develop a plan that is appropriate and acceptable for all stakeholders at the time of theagreement.
• Depending on the situation one might have to ‘give up’ certain elements from the ‘ideal plan’. Even insuch cases, it is important that the resulting agreement leads to favourable changes for all stakeholders and that equitability is ensured as much as possible.
• It is important to aim to maximize beneﬁts in thebasin as a whole. However, it is extremely difﬁcult
to achieve ideal IWRM immediately.
o In the event that coordination encounters
difﬁculties, carefully consider the needs, cost
and timing, and if appropriate initiate andproceed with the agreement reached at thatpoint.
o It is difﬁcult to ﬁnd a solution that can completely satisfy all stakeholders. ‘Change ina favourable way’ should therefore include
monetary compensation.
o However, there are times when monetarycompensation is not a solution. A set of solutions must be selected with great care. At theminimum, avoid creating a one-sided victim.
• ‘Satisfying to reason, to the law, and to the heart’should be kept in mind when coordinating among
stakeholders.
• In order to ensure effective implementation of theagreed plan, it is necessary to clarify at the planningstage issues such as the division of roles in the planning, monitoring and reevaluation, and to include
these into the plan.
Good Examples>> Extracted Key for Success from Tama River(1), ‘Rules for coordination and consensusbuilding in developing the River Improvement
Plan’, p.136

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3.3.2
Secure social equity and transparency.
• A lack of social equity and transparency in a plan or in a planning process will raise dissatisfaction
among stakeholders even after the agreement, and will prevent the fulﬁllment of public accountability.
• Securing social equity requires not only an agreement among stakeholders but also that the resultof coordination during the planning or implementation phase is acceptable to the public and society as
a whole.

• Ensuring transparency and accountability is indispensable for avoiding skepticism regarding theplans or decision-making process and for smooth
implementation of the agreed plan.

3.3.4 Finalizing the plan
3.4.1
Determine the cost allocation acceptable to all stakeholders by ensuring that it is justiﬁable.
• Cost allocation is an issue one cannot avoid in realizing a multi-stakeholder plan. Even if the contentsof the plan have been agreed, the ﬁnal agreement has not been reached until all stakeholders accept
the allocation of cost by each stakeholder. For this, a transparent rule for cost allocation is necessary,
which should take into account the nature of the plan, such as the main targeted user, etc.

• There is no deﬁnitive solution for cost allocation:
it must be decided as appropriate for each case.
The basic rules for cost allocation and the actual
procedure for the computation of costs shouldbe agreed among stakeholders in order to ensuretransparency, social acceptance, etc.
• Coordination and negotiation on cost allocation
should consider the characteristics of the plan,such as who is the main target user, etc.
• In cases where the cost allocated for a stakeholder
group is borne by another entity, the entity responsible for the payment should be involved in the discussion and coordination for cost allocation. For
example, if a part of the cost will be covered bya grant from the government, an agency in charge
should be involved.
• If an entity or the government bears the cost thencollects fees from individual stakeholders, the government, etc should present the cost allocation
proposal to the stakeholders for their agreement
beforehand.
Good Examples>>Extracted Key for Success from Tone River(2), ‘Project planning, coordinating multiple
sectors, and conﬂict resolution’, p.145>>Extracted Key for Success from Tone River(3), ‘Improvement of water budget in thebasin without the construction of new facilities (such as dams)’, p.147
Useful Tools>> Cost Allocation Method, p.172

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3.4.2Develop infrastructure with an eye to long-term sustainability.
• If the infrastructure developed is not maintained properly it will not be able to sustain the intended
functions and the investment made will have been wasted. It is necessary to integrate the concept of‘time’ into infrastructure development, i.e. account for operation, maintenance and replacement for
long-term sustainability of the infrastructure.
• Ensure discussions among stakeholders take place
regarding the planning and designing phases of
the infrastructure to ensure the sustainable andappropriate maintenance of the infrastructure.
Take into account the necessary frameworks andhuman resources for everyday operation andinspection, fail-safe measures and procurement of
replacement parts.

o It is necessary to promote infrastructuredevelopment/maintenance by taking into
account the life cycle cost. Introduce appropriate asset management through such measures as rehabilitation of ageing infrastructure, etc.

3.4.3
Operate existing facilities in an integrated manner.
• If water resources management in the basin is at a mature stage with multiple structures and facilities
existing in the basin, operational efﬁciency of existing facilities can be improved through the integrated
operation of multiple facilities or re-distribution of their capacities in a basin-wide manner. This will
also allow response to future needs without the construction of new infrastructures.These possibilities
should be explored before additional investment in infrastructure is made.
• Even if existing facilities have been appropriately
maintained and are functioning at expected levels,changes in society and the natural environment
may demand that those facilities serve additional
or different roles or functions. It may be possible
to address such change without constructing new
facilities but by improving the operational efﬁciencies of existing facilities by operating several facilities in the basin in an integrated manner.
o Coordination among the relevant stakeholders of the existing facilities will be needed

to integrate the operation of existing facilities. This will also require coordination withwater users or other stakeholders in the area
if the ﬂow regime of the river is changed as aresult.
Good Examples>> Extracted Key for Success from Tone River(3), ‘Improvement of water budget in thebasin without the construction of new facilities (such as dams)’, p.147

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3.4 IMPLEMENTING, MONITORINGAND EVALUATING
This aim of this phase is to implement, develop, manage and operate the agreed scheme or framework(including infrastructure development or establishment of legislation or institutional framework). Things
to note in this phase are:
• Is the implementation programme executed
promptly?
• Is the system adapted and functioning?
• Are there any new problems with the new
approach/scheme?

Prompt execution of the implementation programmeand early realization of its impacts and effectivenessis important for the IWRM process. However, things
do not always turn out as planned. There are times
when the established approach or scheme does not
function in the way expected. Thus, monitoring is an
important aspect of an IWRM process. Furthermore,
it is necessary to retain a broad view and watch out
for new problems caused by social changes, etc.
It is also important to evaluate the impacts of issues
not addressed in the current plan and see if such
issues need further attention in the future. This leads
to the ‘recognizing and identifying’ phase in the nextstage of the IWRM spiral.

3.4.1 Implementation
4.1.1
Strive to realize the beneﬁt of the project early.
• In cases of infrastructure investment, efﬁcient ﬁnancing and early completion of the project is essential
in order to realize the beneﬁts of the project early and to ensure investment efﬁciency. Fiscal policy andﬁnancing should aim for early completion of the project which should take into account the nature of
the plan, such as the main targeted user, etc.
• Prioritize budget allocation based on the urgency
and cost-effectiveness of the projects (see Key
2.3.1).
o For example, dam construction requires
signiﬁcant funds in the few years before thecompletion of the project. It is important
to develop a budgetary plan that allows forintensive ﬁnancial allocation in those years.
o If multiple facilities, such as dams, weirs, channels or treatment plants, are to be constructed
to deliver new water services, ensure that theconstruction and ﬁnancing schedules allow

the facilities to be completed and commissioned in a consistent manner.
o It may be difﬁcult to make users pay for theconstruction of facilities prior to completionof the project or before users recognize thebeneﬁt of the project. It is advisable to prepare a system whereby the project executing
body makes an advance payment for construction of the facility and then receives redemption from users following project completion
through collection of fees.

4.1.2
Keep to the coordination scheme established for planning and share information among
stakeholders.
• Even if a plan is agreed upon by stakeholders, additional challenges may occur at the implementation
phase. Maintain the participatory scheme established during the planning stage. Continuous information sharing allows additional issues to be addressed in an appropriate and participatory manner.

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• The coordination scheme established for planningcan be used later on as a mechanism for coordination during droughts, etc.
o A permanent framework for information
sharing will facilitate understanding among
stakeholders on the status of water resources
and its uses, and facilitate coordination among
stakeholders. Organized regular annual meetings, etc are effective.

o Such schemes can also serve the function ofmutually monitoring stakeholders to ensurecompliance with the agreement made.
Good Examples>> Extracted Key for Success from Yoshino River(3), ‘Creating a mechanism for drought conciliation’, p.165

4.1.3
Ensure that information from construction/improvement of a facility is carried over into
management and operation.
• If operation and maintenance (O&M) of an infrastructure is to be carried out by an entity different
from that responsible for commissioning, the information regarding the construction of the infrastructure needs to be appropriately taken over by the entity responsible for O&M in order to avoid any
operational problems.
• The basic thoughts and the background to theplanning and design of the infrastructure, theoutcomes of numerous coordination processes
and agreements made with relevant parties, areimportant information for the appropriate management, and for the operation and maintenanceof the facility.This information needs to be appropriately taken over from the entity responsible
for commissioning by the entity responsible for

operation and maintenance.
• If the same entity constructs and manages a facility, information such as design speciﬁcations anddetailed information from the construction ispassed on to the management phase without any
omission. This ensures that appropriate measures
are implemented at times of malfunctions andreduces maintenance costs.

4.1.4
It is advisable to prepare an institutional framework to aggregate experience and knowledge
obtained through construction/improvement or operation/maintenance of infrastructure in
and out of the basin.
• Experience and knowledge gained through construction/improvement or operation/maintenance(O&M) of an infrastructure is very valuable for construction/improvement or O&M of other facilities. If
such experience and knowledge is not aggregated or shared it will eventually be lost, which will be anenormous social and economic loss.
• Needless to say, infrastructure construction/
improvement or operation/maintenance conductedin the basin must be appropriate for the basin’s situation.At the same time, the information used can also
be useful for infrastructure development in otherbasins. Alternatively, obtaining information regarding
infrastructure development or O&M of infrastruc-ture in other basins can usefully enhance infrastructure development or O&M in your own basin andimprove the quality of the services delivered. Thus,
it is advisable to prepare an institutional framework
to aggregate experience and knowledge obtained
through construction/improvement or operation/
maintenance of infrastructure in various basins.

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3.4.2 Monitoring and evaluation
4.2.1
Continuously collect necessary data and share among stakeholders.
• Data changes from day to day. Collecting important data continuously provides understanding ofchanges occurring in the basin as well as changes expected in the future. Such data and information areimportant not only to carry on current activities, but can also be used in assessment and evaluation toadvance the basin’s IWRM efforts in the future.
• Data sharing among stakeholders during coordination is critical because it builds common understanding among those involved. Inadequate sharing of information will prevent building common bases fordiscussion among stakeholders, and may lead to disruption of the consensus building process by e.g.
creating suspicion among stakeholders or loss of credibility.
• It is vital that individual stakeholders make decisions and act based on shared information, particularly
in cases of extreme events such as droughts and water quality hazards, in order to avoid truncatedinformation and ensure the integrity of the various activities.
• It is crucial to ﬁrst make clear the types of data collected by each sector and where the data can beaccessed. Discharge data during a drought or ﬂood
event is particularly important. A data-sharing platform using the internet or a database is convenient
but establishing such a mechanism may cost timeand money.
• The most important point is to make current data
publicly available and inform others as to where suchdata can be accessed.This can be done without building an elaborate mechanism for information sharing.
Data accessibility or usability can be enhanced by
improving ways of classifying or storing data (forexample, gathering data of the same type in one
place and arranging them in sequential order, etc).
Thus, many objectives can be achieved with existingmaterial.

• It needs to be stressed that recording and storing data over the long-term requires ﬁnancial andhuman resources to be instituted in a continuous
manner. Policy makers need to recognize the importance of continuous data collection. Furthermore,managers responsible for data management need tothoroughly consider the necessity and sustainabilityof continuous data collection, select the type of data
to be stored and utilized, and decide on the data
management strategy.
• A database is useful but not versatile. Developing a database requires thorough consideration ofwhether and how the system to be developed will
be utilized, maintained, and updated in a sustainable
manner into the future.

4.2.2
Continuously monitor and evaluate the effectiveness of IWRM activities (plans, projects,
infrastructure, legal framework, organizations, etc) in the basin.
• Continuous monitoring and evaluation improves IWRM approaches implemented in the river basin, as
well as the services delivered, enabling movement up to the next stage of the IWRM spiral (refer to
Chapter 4 for further description of the IWRM spiral).

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• Examine which activities in the river basin havebeen successful or should be continued throughongoing monitoring and evaluation of introduced
projects, plans, facilities, legislative framework or
related organizations.
• When evaluating projects, facilities or legal frameworks, take into account socio-economic beneﬁts,
environmental or socio-economic sustainability
and social fairness, bearing in mind the initial objectives and current status.
• In the event that projects, facilities, legal frameworks
or related organizations have been newly introduced, it is necessary at an early stage to evaluate
the adaptability of the new scheme and examine
whether the initially expected beneﬁts and functions have been fully realized. Based on the results,
make adjustments or revise as necessary. It should
be noted that certain activities or projects do notprovide apparent beneﬁts in the short term.
• Indices used for evaluation should reﬂect changing
social needs and priority issues in the basin. Indicesshould be appropriate for local characteristics andshould be easy to understand and measure.
• When monitoring, ensure that stakeholders are incompliance with the agreement. If not, ﬁnd out thereasons and the issues to be addressed.
• Evaluations should be conducted in an objective
and fair manner. The evaluation system should havethe agreement of all stakeholders.
Good Examples>> Extracted Key for Success from Brantas River(3), ‘Managing water resources and infrastructures in the basin’, p.71>> Extracted Key for Success from Büyük Menderes River (2), ‘Continuous project monitoring in order to improve next steps’, p.80>> Extracted Key for Success from Lake Biwa (2),‘Formulation of comprehensive conservation
plan with the participation of all stakeholders
in the basin’, p.99

4.2.3
Examine evaluation results and identify/analyse changes occurring in the basin from broad
and long-term perspectives at each turning point of the IWRM process.Translate this into adriving force to improve IWRM.
• IWRM is a dynamic process that evolves with changes occurring in the basin. At each turning pointof the IWRM process, it is important to conduct a review of the outcome, identify any gaps betweensocial demands and current IWRM, set the next priority issues and deﬁne the new direction for IWRM.
It is crucial for IWRM to be ﬁrmly placed within the social system and to continue evolving.
• It is highly important to review past efforts and discuss/identify future directions and priority issues
to push forward IWRM efforts in the basin. Suchreviews should take place at each turning point of
the IWRM process, for example, in the completionof a project or basin plan, etc.
• Changes in the state of the basin (changes in urbanization, population, land use, income group structure, economic status, environmental degradation,etc) or changes in social framework and recognition (legislative framework, awareness on environmental, energy or climate change issues, etc) should
be viewed from a panoramic perspective. Identify-

ing issues that are different or new from those initially envisioned will become useful when discussing and putting together a new IWRM strategy orconcept.
• It is important to ‘recognize’ changes occurring in
the basin or any signs of changes from evaluation
results. If any IWRM activities in the basin were identiﬁed as unsatisfactory in the evaluation, this could
be due to gaps between socio-economic and environmental demands and current IWRM activities.
Determine how important such changes are, and see
if they need to be addressed urgently. It is important
to translate information on changes occurring in the

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basin into a driving force (identifying priority issues
for the new IWRM plans, etc) in order to improve
IWRM efforts in the basin (refer to Key 1.1.2).
• It is also necessary to proactively disseminate andshare such re-evaluation results with stakeholders in the basin and society. This can enhance,
strengthen and propagate the driving force.

Good Examples>> Extracted Key for Success from Yoshino River(4), ‘Securing environmental ﬂow to improve
IWRM at the next stage’, p.167

3.5 POLICIES/NATIONAL STRATEGIES, LEGISLATIVE FRAMEWORK,FINANCING

ment. However, it takes enormous time and effort toestablish a new framework or amend existing ones.
It is important to always consider whether these arereally necessary in order to proceed with the IWRM
process. If it can be achieved through consensus
among stakeholders instead of laying out a national
level framework a lot of time will be saved.

The rest of this section includes keys for success,which are useful for readers concerned with policies/
national strategies, legislative frameworks and ﬁnancing, but are also important throughout the entire
IWRM process. Things to note in this phase are:
• Can you move ahead with just the consensus
built among stakeholders or do you need a formal
framework?
• Are you working bottom-up to inﬂuence nationalor higher level organizations?
• Do you have ﬁnancial sources in mind?
Policies/national strategies and legislative framework
are established at the national level except in the caseof special regional or local laws and regulations.These
have signiﬁcant impacts on water resources manage-

Furthermore, ﬁnancing is an important aspect of the
IWRM process. You must be aware of the budgetingschedule and undertake the necessary actions. If you
are expecting ﬁnancial assistance from donors you
must also be aware of their approval and proceduralschedules.

3.5.1 Policies and National Strategies
While the rest of the section includes keys for success useful for a reader concerned with national policy and legislation at the national level, they might also
be useful for practitioners at the ﬁeld level.

5.1.1
Advocate the importance of water resource management at the basin level and promote
coordination among all sectors to be addressed in policies and national strategies.
• The positioning of IWRM in national policies and strategies is of great interest to practitioners. At thesame time, however, there are often practitioners who cannot be directly involved in its realization.
• However, there are many ways that practitioners can contribute to addressing IWRM in national policies.
The major role of practitioners is to inform policy makers of the importance of IWRM, good practices andcritical factors to be addressed in its institutionalization,and to promote understanding and action by policy
makers.This also has advantages for policy makers as better understanding of the importance of IWRM
and success factors will greatly facilitate their work of addressing IWRM within policies. Furthermore,
continuous awareness-raising on IWRM among the general public brings practical and political advantages.
• It is not only in IWRM that regional or local success stories are taken up in national policies. Do notthink that national policy issues are not your business. Continue communicating with policy makers,
stakeholders and the general public, and raise IWRM awareness.

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(Actions to be taken by practitioners)• Document your experience and success stories of
IWRM and present them to networks and communities of specialists at various opportunities. These
are important activities for sharing information,
maintaining your motivation and building capacities.
• Discuss among practitioners the key points to making
IWRM policies and institutions function at the ﬁeld
level based on their activities at the basin level. Training and seminars are constructive in this regard.
• IWRM practitioners at senior levels have an important role in creating opportunities for dialogue
between policy makers and practitioners, in orderto turn the knowledge and experience gained bypractitioners into national level plans and international strategies.
• Practitioners who actually implement IWRM at
the basin level should recognize the signiﬁcance of
public voices being delivered to the national government through grassroots activities at regionaland basin levels. Raising awareness on water andthe importance of IWRM approaches should beconsidered a part of their responsibilities and its
enhancement should be explored.
• Recognize that a practitioner holds a responsibility
to implement a part of the national-level plan, toconvey his/her own message or opinion to decision
makers through an administrative channel, and topromote and back-up cross-sectoral cooperation
at the national level.
• Even if IWRM is not positioned in national policies
or strategies, IWRM practitioners should continue
promoting IWRM efforts in the basin.

(Actions to be taken at the national level or by policy
makers)• There are various water-related internationallyagreed strategies such as the MDGs (Millennium
Development Goals) and the development of
IWRM plans promised at the Johannesburg Summit.
Setting up a state level organization responsible for
implementation of international strategies can beeffective in this regard.
• Genuinely listen to the voices of practitioners andstakeholders and translate them into policy or
institutional frameworks.
• Securing appropriate human resources is important for implementing IWRM, not only for thecoordinator but also for the stakeholders being
coordinated. It is advisable to incorporate capacity
building of required human resources into national
policies and strategies.
Good Examples>> Extracted Key for Success from Brantas River(1), ‘Applying integrated river basin development and management concept’, p.69>> Extracted Key for Success from Lake Biwa (2),‘Formulation of comprehensive conservation
plan with the participation of all stakeholders
in the basin’, p.99>> Extracted Key for Success from Negro River(1), ‘National policy and needs are importantto promote an integrated approach’, p.118

5.1.2
In countries with an international river basin, act to encourage a mechanism for coordination with the countries sharing water, to be included in policies or national strategies.
• When a basin is shared with another country, conﬂicts over water may lead to national security concerns. On the other hand, water-sharing cooperation among such countries contributes to peace andstability in the basin.

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3 – KEY FOR SUCCESS• In international river basins, coordination among
countries can lead not only to securing stable water
resources but also to reducing national security
risks. This is also true for basins situated in a single
country, but shared by multiple jurisdictions.
• Improving or enhancing the IWRM framework in acountry will contribute to transboundary cooperation with other countries.
o It is also important to recognize that developing a consensus-building framework withina basin is the ﬁrst step towards basin cooperation.
o If establishing a new institutional framework

for basin cooperation, or a basin organization is
not realistic from the outset, it may be effective
to promote information sharing in a step-wisemanner through cooperative activities such asorganizing dialogues, rather than establishing ariver basin organization at the initial stage.
o There may be various potential kinds of framework for cooperation in the river basin, suchas cooperation between two countries oramong several. It may be practical and effective to establish a multi-country framework
at ﬁrst, and then use it as basis for cooperation between two countries.

3.5.2 Legislative framework
5.2.1
Advocate the importance of the basin as a basic unit for water resources management andpromote its existence in legislation.
• Individual sectors implementing measures in accordance solely with their own relevant laws can put torisk the sustainability of water management in the basin. Clearly stating in legislation the importance ofbasin-wide cooperation will facilitate smooth IWRM implementation.
• Water has many stakeholders, thus managing waterand implementing water-related projects requires
sector cooperation and coordination. Sectors insociety are generally managed under the jurisdictionof a sectoral administrative agency. It is possible toshare information and coordinate among sectors
without a legislative framework at the practice level,
but some activities can be limited due to sectoral
legislation. Positioning the importance of sectoral
coordination for efﬁcient water management within
the national legislative framework, and addressing in
it responsibilities with regard to cooperation andinformation sharing is a signiﬁcant step.
• A law cannot be created in a short space of time,
but it is important to recognize the usefulnessof positioning IWRM in legislation based on pastexperiences or examples of other basins and countries, and to undertake the necessary actions.
o Start by informing the person in the organization responsible for jurisdiction over legisla-tion of the importance of IWRM, proven byactual cases of IWRM implementation. It isalso important to point out whether existing legislation is sufﬁcient as regards IWRM.
The ﬁrst hurdle in institutionalizing IWRM
is overcome if he/she recognizes and understands the importance of IWRM.
• It is desirable that legislation clearly states theimportant elements of IWRM implementation in
the basin and the relevant sectors.
• Clearly deﬁning IWRM in legislation sends a clear
message to the international community thatthe country places a high priority on water and
IWRM.
Good Examples>> Extracted Key for Success from Brantas
River (4), ‘Coordinating among sectors andall stakeholders’, p.72

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5.2.2
It is advisable to deﬁne frameworks for coordination, consensus building and implementation/evaluation of IWRM-related plans in legislation.
• If important elements in the IWRM implementation process do not have sufﬁcient legal back-up, coordination of IWRM activities are often conducted based on related existing laws, and in some instances
within the discretionary power of the individual or organization in charge. These activities can often
facilitate IWRM. However, political/administrative conﬂicts or practical problems can occur in areas
where there are legal conﬂicts or missing responsibilities. It is desirable to build up the experience of
successful IWRM practices while on the other hand continuing the progressive effort to institutionalize
the IWRM coordination framework and processes.
• A law cannot be created in a short space of time,
but it is important to recognize the usefulnessof positioning IWRM in legislation based on pastexperiences or examples of other basins and countries, and to undertake the necessary actions.
o If there are no relevant laws or institutions,consider substituting them with a binding
document such as a declaration statement,
circular notice, etc in order to secure somelevel of binding force for IWRM implementation. It is also possible that IWRM processes
originating from grass-roots activities may
become institutionalized through a bottomup process.
o Accumulation of such binding documents or
past accomplishments can prepare the groundfor new laws and legislative frameworks. It
is useful to keep policy makers informed ofinternational declarations or actual regional
IWRM activities.

3.5.3 Financing

o Policy makers that understand IWRM and its
functioning in actual practice form a signiﬁcant ﬁrst step towards development of effective institutional frameworks.
o The person responsible for IWRM coordination should understand laws and the institutional frameworks of relevant sectors in orderto facilitate development of new frameworks
as well as to enhance IWRM activities.
Good Examples>> Extracted Key for Success from Lake Biwa (1),‘Legislative framework for conﬂict resolution
between upstream area – the Lake Biwa basin- and downstream area’, p.97>> Extracted Key for Success from Negro River(1), ‘National policy and needs are importantto promote an integrated approach’, p.118>> Extracted Key for Success from Tone River(1), ‘Foundation of the coordination andimplementation body’, p.144

5.3.1
Secure ﬁnancial resources for IWRM coordination in order to promote IWRM in the basin.
• The IWRM process requires coordination of numerous stakeholders in the basin and sets out a basic
direction for the overall effort in order to address intricate water issues. The success of such IWRM
coordination requires adequate ﬁnancial resources.
• Financial resources required for coordination are relatively small compared to those required for infrastructure development. However, lack of understanding by decision makers on the importance of IWRM
results in insufﬁcient funds, which then prevents the introduction of IWRM or delays in IWRM coordination and implementation. Continuation of conventional sector-led planning can lead to enormous losses
for the basin, society, and the environment

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3 – KEY FOR SUCCESS• Coordination efforts for consensus building, suchas assessments of water resources in the basin,various studies and simulations, coordination for
implementation/monitoring/evaluation, all requireﬁnancial resources.
o The coordination activities alone do not
produce proﬁt, and the effectiveness of theinvestment is not obvious at the time of coordination. This has led to inadequate recognition of the importance of investing in IWRM
implementation in many national and regional
policies.
o Implementation of IWRM delivers signiﬁcant advantages to the basin and society. For
example, constructing a multi-purpose dam
rather than a single-purpose dam can resultin massive cost reductions for the sectors
involved. The cost advantage is much greaterthan the costs required for coordination.
o IWRM practitioners need to inform policy
makers of these beneﬁts and promote theirunderstanding and awareness.
• Transparency is a key for coordination in IWRM
process. Funding from relevant sectors for coordi-

nation should be welcomed, but care must be taken
in preparing the funding scheme so that it does notlead to any bias in coordination or suspicion of bias
among stakeholders.
• Public ﬁnancing from national or regional administrations or cooperation from donors may be necessary in regions where river basin organizations
are yet to be established, or are at initial stagesof development, as basin organizations are often
ﬁnancially fragile.
• Other sources of funding can be explored at amore mature stage of coordination, such as costallocation among stakeholders or utilizing a part ofthe proﬁts generated by water resources development/management to establish a basin fund.
• In any case, it is crucial to establish a scheme whereby
ﬁnancial sources are secured not in a temporary but
in a sustainable manner.
Good Examples>> Extracted Key for Success from Negro River(2), ‘Securing permanent ﬁnance for coordination activities’, p.119

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Essence of a handbook for integrated water resources management in basins prepared by the collaborative work of
the International Network of Basin Organizations (INBO) and the Global Water Partnership (GWP).
This handbook is written primarily for basin managers and government ofﬁcials, and their partners. It provides practical guidance for improving the governance of freshwater resources, in particular through the effective applicationof the integrated water resources management (IWRM) approach in lake and river basins and aquifers. The following table details the key points noted in the Handbook to implement the IWRM approach.
ActionKey points
Establishing basin management • Political will, high-level commitment and water user dialogues are essential insystems
establishing basin management systems.
• Basin management is governed by national water policies and legislation, andinternational agreements.
• Basin organizations operate within a three-dimensional framework: the enabling
environment, institutional arrangements (roles and responsibilities), and management mechanisms.
Roles and types of basin• The mandate of basin organizations is to be the ‘leading voice’ on basin waterorganizations
management.
• Basin organizations have three main functions:
1. monitoring, investigating and coordinating;
2. planning and managing; and3. developing and regulating.
Finance• Basin management systems need adequate, reliable and sustained ﬁnancing.
• Financing supports three main functions:
1. stewardship of the resource;
2. developing and maintaining infrastructure; and3. operating the basin organization.
• There are three basic sources of revenues:
1. taxes;
2. tariffs (and other charges); and3. transfers.
Involving stakeholders

Strategic long-term planning• Ensure key stakeholders are represented in basin management.
• Distinguish between consultation, information, participation and empowerment.
• Carefully consider the balance between informing all and involving a few.
• Ensure administrative processes do not jeopardize real participation.
• Ensure participation is transparent.
• Boost ownership of basin action plans by establishing and maintaining community participation.
• Ensure ﬁnancing for involving stakeholders is adequate.
• Ensure communication between those managing local action plans, heads ofgovernment water agencies, and heads of basin organizations.
• Develop the capacity of disenfranchised groups so they can participate in planning and implementation at appropriate levels.
• Strategic planning involves setting long-term goals for water management in abasin.
• In developing the strategy, key areas to cover are issues, priorities, management
actions, costs and beneﬁts, and risk assessment.
• Strategic basin planning links basin-level actions to national development goals,
policies and planning processes.
• The strategic plan needs to be ﬂexible enough to adjust to new information andchanging circumstances as they emerge.

Table 3.1 Key Points from A Handbook for Integrated Water Resources Management (GWP/INBO)

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3 – KEY FOR SUCCESS

Basin action plans

Basin information systems andmonitoring

Communication

The basin action plan sets out the goals, objectives and actions to be taken in the
short term to implement the long-term strategy.
• The basin action plan details the resources needed to implement the plan andthe sources of ﬁnancing.
• The basin action plan spells out how actions will be coordinated.
• The basin action plan states how regulations will be enforced under current
legislation.
• The basin action plan speciﬁes cost-sharing arrangements.
• The basin action plan spells out how management outcomes will be reported to
stakeholders.
Make sure there is an interactive, accessible, affordable, appropriate and equitable basin information system.
• Collect and organize a comprehensive set of biophysical, social and economic
data and information on the basin.
• Make sure data and information relate to the basin management strategy andaction plan.
• Ensure stakeholders can access and use the data and information in ways thatsuit their needs.
• Use geographic information systems and other user-friendly means to present
the status of basin resources and monitor changes.
• Set up a basin-monitoring programme that coordinates information from state,federal, commercial, and non-government organizations.
• Good communication boosts ownership of basin management.
• Public awareness campaigns and education programmes encourage support forbasin management.

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4. IWRM Process

4.1 THE ‘IWRM SPIRAL’
CONCEPTUAL MODEL4.1.1 The IWRM spiralThe ‘IWRM spiral’ demonstrates how the dynamic
and evolving process of IWRM in a river basin progressively achieves better and more sustainable water
resources management.
The model provides the following advantages:• It helps users to understand both their current
situation and where to head next in the IWRM
process by integrating a timeframe.
• It enables users to seek better solutions that adapt
to changes.
• It facilitates reaching agreements and increasing
ownership at each ‘turn of the spiral.’• It provides a framework for looking ahead andplanning for the next ‘turn of the spiral’.

(2) conceptualizing the problem itself and locating possible solutions, (3) coordinating and planning
among stakeholders to reach an agreement, and (4)implementing/monitoring/evaluating the plan and its
outcome. This creates a new IWRM framework or
scheme in the basin, which also forms the beginningof the next stage of the spiral. One turn of the spiral
may take a long time. In the case of a large water
resources development project, such as the construction of a dam, it may take more than ten years
to complete one turn. Creating a new institution ororganization would also require several years.
Each of the good examples cited in Chapter 5 includes
a diagram illustrating their spiral IWRM progression.
This can provide ideas on how actual IWRM practices progress in a spiral manner.

IWRM at the river basin level seeks better water
resources management through such means as progressively developing water resources in the basin,building a more integrated institutional framework,
and improving environmental sustainability. This goal
must always be kept in mind wherever you are positioned in the IWRM spiral. However, it should be
noted that the process cannot proceed at once in ashort period of time; IWRM is an evolving, step-bystep process.
One turn of the spiral includes such phases as:(1) recognizing/identifying pressing issues or needs,

Fig 4.1 Spiral evolution of IWRM

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4 – IWRM PROCESS

4.1.2 Stages of the IWRM spiral
The IWRM spiral begins by recognizing the necessity
for IWRM. First, you need to possess an overall picture of the basin. Start with the information alreadyavailable. This will help you understand the issues andproblems existing in the basin, leading to recognition/
identiﬁcation of the need for introducing an IWRM
approach. You will then assess the current circumstances and conceptualize possible solutions. Preparea plan and ﬁnalize it through coordination with relevant stakeholders, then implement the plan to create
a new IWRM scheme or approach in the basin. This is
the ﬁrst stage of the spiral.
The stages to follow begin with recognizing either thenecessity for improving the current IWRM approach/framework or for a new IWRM system. Recognitionof needs may be triggered by the intensiﬁcation ofproblems left over from the previous stage, such as
rapid increase in demands, or by increasing concerns
over new issues, such as climate change.

4.1.3 Recognizing the stage shift
The stage changes when you recognize the needfor change. Moving up the spiral is a time-consuming process, and requires reaching agreements withstakeholders and building consensus. It is importantthat water resources managers recognize changes
or needs, and take early action while ensuring public
understanding and support.

Signiﬁcant changes in the basin, such as economic
development, changes in social values and demands,
and unexpected crisis situations can become theoccasion to realize the need for improving or revising water resources management. Such changes canbecome the driving force for better water resourcesmanagement, and should be considered as a chance toimprove IWRM in your basin.

4.1.4 Where do you stand in the spiral?
Where do you stand in this spiral? Where is yourbasin situated in the spiral? What phase are you in?
Are you in the phase for ‘recognizing’ changes or ‘conceptualizing’? How many stages have you already been
through in the IWRM spiral? Take a moment and think
about it. It is useful to approximately situate yourself
in the spiral when reading these Guidelines in order
to ﬁnd the information you need.
If you cannot ﬁnd a solution appropriate for you,change your position in the spiral. Looking at different
phases or steps in the IWRM process by ﬂipping backand forth through the Guidelines may help you.Thinking about your positioning allows you to check if you
have missed any steps in the past, as well as helping
you to visualize actions that may be necessary in the
future.

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4.2 PHASES, STEPS AND KEYS FOR
SUCCESS IN THE IWRM PROCESS

outside of the process ﬂow. Each phase is further
explained through the steps it involves.

In the Guidelines, an IWRM process at a given stage
is described in terms of four phases. The elementsof the process that are related to all phases, such aspolicies, legal frameworks and ﬁnancing, are indicated

The IWRM process and its respective steps are eachlinked to a relevant ‘Key for Success’ and ‘Good
Examples’ included in chapters 3 and 5 of these
Guidelines.

Fig. 4.2 IWRM process, the ‘Key for Success’ and ‘Good Examples’

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4 – IWRM PROCESS

4.2.1 Phase 1: Recognizing and identifying

Fig. 4.3 Phase 1: Recognizing and identifying
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4.2.2 Phase 2: Conceptualizing

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Fig. 4.4 Phase 2: Conceptualizing

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4 – IWRM PROCESS

4.2.3 Phase 3: Coordinating and detail planning

Fig. 4.5 Phase 3: Coordinating and detail planning
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4.2.4 Phase 4: Implementing, monitoring and evaluating

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Fig. 4.6 Phase 4: Implementing, monitoring and evaluating

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4 – IWRM PROCESS

4.2.5 Important aspects of IWRM: Policies/national strategies,
legislative framework, ﬁnancing

Fig. 4.7 Important aspects of IWRM: Policies/national strategies, legislative framework, ﬁnancing
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5. Good examples

This section includes good examples of IWRM at theriver basin level in the form of Case Stories illustrating actual IWRM efforts, and ‘Extracted Key for Success’ highlighting elements of success for enhancing
IWRM, based on interviews conducted at sites.

1) Case Story (explaining the process
pathway)
A Case Story lays out the facts in a sequential manner and illustrates the pathway towards the ‘Key for
Success’ (KFS). The Case Story includes links to the‘Extracted Key for Success’ so that one can understandhow the Key for Success ﬁts into the overall story.

Facts

Ref. to KFS

2. Management phases and institutional strengthening (top-down but bottom-up
enablement)…

Public education was seen as an important part of the process… Educational programmes were implemented to enhance public awareness and to help increase understanding of the people in the communities. A programme that has been particularly
successful is ‘Special Forever’, which was…

KFS-5.5.2 (2)Fig. 5.1 Format and Example of CaseIWRM Guidelines at River Basin Level – Part 2-1: The Guidelines for IWRM Coordination

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5 – GOOD EXAMPLES

2) Extracted Key for Success
The Extracted Key for Success illustrates why the ‘Key
for Success’ was implemented and what the thoughtprocess behind it was. In order to ensure the relevanceof keys for success to users, ‘the Key’ is explained in a
generalized manner together with conditions and limitations for its application. It also includes references to‘Useful Tools’ that may enhance its effectiveness.

[ Title ]Enhancing public awareness[ Situation ]Ensuring public awareness and support in implementing policychanges…
[ Problem ]It was important to ensure that people in the basin understoodthe importance of the changes being implemented to the basin’s
water resources management…
[ How the problem was overcome ]Type of problem to solve
Description of the situation
Problems encountered

Measures taken to overcome the
Public awareness was enhanced through an environmental education pro- problem
gramme implemented at primary schools…
[ The key ]Wisdom behind the measures
Interactive educational activities targeting primary school taken in a generalized terms
children facilitated greater awareness on environmental issues
in the basin, not only among children but also among theirfamilies.

[1.3.2]……
[ Conditions and limitations in applying the KFS ]Conditions and limitations, tools
The programme can be effectively implemented through an organization to enhance the application of thesuch as a teaching association…
KFS, etc
Fig. 5.2 Format and Example of Extracted Key for Success

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5.1 BRANTAS RIVER (INDONESIA)
5.1.1 Case Story (Brantas River)
Facts

Ref. to KFS

1.The challenges of Brantas River Basin development

As a major river basin in East Java, Brantas has become the main water source supporting an
area covering nine regencies and ﬁve municipalities with a total population of 15.5 million in 2004
(Fig. 5.1.1).
Originating from an active volcano, the potential threat of Mount Kelud erupting looms over
the area. In addition, unique topographic conditions arising from a winding clockwise watercourse
and the eruption of Mount Kelud has caused the riverbed to rise decreasing its ﬂood capacity inareas where ﬂoods frequently occurred. Vast fertile deltas offer ideal areas to plant food crops
especially rice.The area has become a major food producing region. Indonesia’s second largest city
is located downstream of the river and hence requires an important water supply for domestic
purposes.

The Brantas Basin has a large capacity to develop. Except for irrigation infrastructure in theearly 1960s, no major infrastructure has been embarked upon to regulate water and collect water
during the rainy season for use during the dry season. The eruption of Mount Kelud in 1951 had
the effect of raising the riverbed while decreasing its ﬂood capacity. Frequent ﬂoods caused regulardamage to the region, which in turn decreased rice productivity. Comprehensive developmentof the entire Brantas Basin should be prioritised together with community development, whichmust also be strengthened.
The development of the Brantas Basin began with a comprehensive multi-purpose projectbased on the concept ‘One River, One Plan’ and included multi-purpose dams and reservoirs
which, among other things, improved ﬂood control, irrigation, power generation, domestic andindustrial water supply. A special inter-provincial and cross-sectoral institution, the Brantas River
Basin Development Project (BRBDP), was set up in 1961to implement basin wide development
run by central government.

KFS5.1.2 (1)Priorities were selected within each of the different stages of development, which in turn willlead to the subsequent stages. Initially the overall development plan was conducted for the entire
basin and was known as the Brantas Plan (1958), which was later consolidated as the Master Plan
1 of the Brantas River Basin (1961). Flood control was the main priority of Master Plan 1 while
irrigation development became the main priority of Master Plan 2 (1973), with domestic andindustrial water supply the priority in Master Plan 3 (1985).
Growing industries as well as cities require a continuous and adequate supply of electricity
and water from within the area. Hydroelectric power could potentially provide a safe powersource for the region. At the same time, environment degradation caused by intensive humanactivities, especially in the upper catchment areas, has already commenced at an alarming rate.
Following the completion of facilities, conservation and effective water management became themain priority of Master Plan 4 (1998). A special institution, namely Jasa Tirta I Public Corporation
was set up in 1990 to conduct operation and maintenance (O&M) of completed water resources
infrastructures and water resources management in Brantas River Basin by implementing
beneﬁciaries pay principle for O&M cost recovery in order to gradually reduce the national
budget for water resources management in the basin. The Brantas River Basin Development Planﬁnally became committed to the principle ‘One River, One Plan, One Integrated Management’.

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5 – GOOD EXAMPLES

Facts

Ref. to KFS

2. Project prioritizing of staged Master Plan
When the Brantas River Basin Development began in 1958, the basin suffered fromﬂoods almost annually causing severe damage resulting in personal injury, crop damage andlosses to basin assets. This was due to the large amounts of volcanic debris and ash from
Mount Kelud in1951, which caused a gradation of the Brantas riverbed and thus reduced
the discharge capacity of the river.
Although ﬂood prevention was the main priority, severe food shortages were a national
problem and electric power was needed for regional development.The Master Plan therefore
had to be implemented in phases in parallel with other development projects.
Flood control was selected for Master Plan 1 (1961). Karangkates Dam and Kali Konto(Selorejo) Dam were considered the best projects as they mainly focused on ﬂood control
but also power generation and irrigation. Irrigation infrastructure rehabilitation in theLower Brantas Delta was selected as the second priority, Lengkong Dam and Porong Riverdevelopment for ﬂood mitigation was the third priority. Following construction of theSutami (Karangkates) Dam (1972) and the Kali Konto (Selorejo) Dam (1972), the frequency
of ﬂoods decreased drastically, which led to the next stages of priority development.

KFS5.1.2 (2)For Master Plan 2 (1973), ﬁve projects were selected. Lodoyo - Tulungagung Irrigation
Development together with Wlingi multipurpose Dam, Bening Dam, Lodoyo Dam, Mrican
Barrage, Menturus and Jatimlerek Rubber Dams became the main priority in Master Plan 2
because of their focus on the provision of irrigation water to support the national drive forself-sufﬁciency in food production. River development in the middle reach was the second
priority, while the third priority was the Pare - Nganjuk Irrigation Project.
For Master Plan 3 (1985) some projects were selected to fulﬁll the demand for raw
water for domestic and industrial purposes, particularly in Surabaya and surrounding area.
The projects were Wonorejo Dam and Pelayaran Canal.
As concern for ﬂood control grew, the design-ﬂood discharge was based on the following:
the importance of the river (main and tributary reaches), the ﬂood prevention levels ofother Indonesian rivers, and the scale of the damage potential.
•

The main stream of the Brantas River: 10-year ﬂooding is set as the design-ﬂood
discharge in Master Plan 1, and 50-year ﬂooding is set in Master Plan 2.

•

Tributaries: a 10~25 year ﬂood is set as the design-ﬂood discharge in Master Plan
1 in accordance with the ﬂood prevention level of other rivers in the country. The
design-ﬂood discharge of the Widas River will be set at 25-year ﬂooding.

•Identify the areas at risk of ﬂooding and the extent of that risk.

•

Develop a plan that accounts for balanced ﬂood management for the entire basin.

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FactsRef. to KFS

3. Integrated Water Resources Management by River Basin Organization (RBO)
Water resources management was previously carried out by provincial water
resources services. The task was originally to provide individual irrigation services tothe nine regencies and ﬁve municipalities. There was no previous major infrastructure
to control ﬂood and regulate water for the various uses within the basin.
As there was no major infrastructure, the area suffered from ﬂooding and inadequate
irrigation especially during the dry season. In addition, coordination was limited between
related agencies. This scheme presented a risk to water resources degradation that in
the long term will have an affect on the economic development of the basin. Moreover,wherever water degradation occurs, sustainable resources are at risk.
The central governments set up the Brantas River Basin Development Project(BRBDP) to carry out development studies and the construction of major infrastructure
within the basin. Following construction, their O&M activities encountered problems
in obtaining funds that were required to offset their limited budget. This resulted indegradation of the water resources infrastructures. In order to obtain O&M funding,the government established the Jasa Tirta 1 Public Corporation (PJT1) in 1990 throughGovernment Regulation No. 5/1990. Its major task is to manage water resources in theforty tributaries and rivers within the Brantas Basin as well as operate and maintainthe major infrastructures. They can allocate water for independent and professional
purposes. PJTI is managed by a board of directors and a supervisory board composedof central and provincial government representatives. PJTI has played an active rolein developing effective coordination of water resources management among all the
stakeholders.

KFS5.1.2 (3)The Water Resources Management (WRM) Committee was established by theEast Java Governors Degree No. 59 of 1994 as a coordinating body where all aspectsof water resources management (planning, implementation, supervision, control, andfunding) are decided. It includes allocating water among users in the basin and conﬂict
prevention (Table 5.1.1).
The BRBDP, which became the Public Utility Type River Basin Organization of Brantas
River Basin in 2007, the Provincial Water Resources Services (PWRS), and the PJT1
Corporation joined forces within the WRM Committee to collaborate, manage, monitor
and evaluate water resources management of Brantas River. In terms of O&M works andwater resources utilization, PJT1 is responsible for conducting preventive O&M works andwater resources utilization in forty rivers within the whole basin; the Public Utility TypeRiver Basin Organization of Brantas River Basin is responsible for conducting preventive
O&M works outside the forty rivers managed by PJT1 as well as rehabilitation works
in the whole basin; and the Basin Water Operation Unit under PWRS is responsible
for conducting O&M works of the irrigation system. Fig. 5.1.2 depicts the institutionalframework for Brantas River Basin Management. The Water Resources Management(WRM) committee coordinates with all basin-wide stakeholders (Fig. 5.1.2).

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Facts

Ref. to KFS

4. Stakeholder participation, Legal framework, Finance, Legislation
Following the construction period, completed infrastructures were operated/maintained by the Brantas River Basin Development Project (BRBDP) whose duty issolely to carry out construction. The irrigation sector has its own maintenance system(see section 3). As domestic/industrial water demand has greatly increased, water use
in Brantas River has become even more complex and multi-purpose; water allocation
among many sectors has become extremely important. As water use has become
multi-sector and basin-wide, there’s a greater risk of conﬂict. This situation has led tothe establishment of PJT1 as an independent professional institution applying reliable
and balanced public service norms in terms of water resources and water resources
corporatization principles. The coordination of water allocation/water fees among
sectors is therefore vital with all stakeholders demanding direction from strong (andindependent) institutions that can serve as mediators in conﬂicts of interest.
With political reform, the government system has shifted to a decentralized andautonomous system. Local government has the political power to position its mandate
to serve its own people. Regulatory reform was a necessity such that Law No. 11/1974
covering water resources was amended and has become Law No. 7/2004. However,water resources should still be managed on the basis of river territory. Cross boundary
district river basins will be managed by provincial government while cross boundary
provincial river basins and strategic river basin will be managed by central government.
Water resources management comprises conservation, utilization, and protection
from the destructive forces of water. Water resources development and management
should be based on Policy Directives that should be described in detail in the Master
Plan. The law should also provide regulation regarding the ‘beneﬁciaries pay’ principle,
the water management fee, and basic water rights. Only the public corporation cancommercially manage water resources in a river basin. The corporation can be set
up through government regulation and is authorized to collect revenue from public
stakeholders and other commercial users.

KFS5.1.2 (4)The Water Resources Council, as the water parliament, is composed equally of
government and non-government organizations including scientists. Public involvementin every step of water resources management is guaranteed, including class action.
The ﬂow chart of water allocation preparation in the Brantas River Basin can beseen in Fig 5.1.3.

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Fig. 5.1.1 Brantas River Basin

Fig. 5.1.2 Institutional Framework for Brantas Basin Management

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Fig. 5.1.3 Flow Chart of Water Allocation Preparation in the Brantas River Basin

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No.

Position in Membership

Description on Position/Agency

1.

a. Chairman (also as member)b. Vice Chairman I (also as
member)c. Vice Chairman II incl. member

2.

a. Secretary (also as member)b. Vice Secretary I
c. Vice Secretary II

3.

Members

Vice Governor of East Java Province (Economic andDevelopment Affairs)
Chairman of East Java Province Planning Board
Head of East Java Public Works Regional Ofﬁce
Head of East Java Provincial Irrigation Service
Head of Physical and Infrastructure Affairs of East Java
Planning Board
Head of River and Lake Section of East Java Provincial
Irrigation Service
a. Assistant II East Java Regional Secretaryb. Governor Assistant in East Javac. Head of East Java Regional Ofﬁce of Department ofIndustryd. Head of East Java Regional Ofﬁce of Department ofAgriculture
e. Head of East Java Regional Ofﬁce of Department ofForestryf. Head of East Java Food Crop Agricultural Service
g. Head of East Java Fishery Service
h. Head of East Java Industrial Service
i. Head of East Java Human Settlement Service
j. Head of East Java Tourism Service
k. Head of East Java Mining Service
l. President Director of Jasa Tirta I Public Corporation
m. Director of East Java Region of State Electric Power
Company
n. Head of Law Bureau of East Java Regional Secretariat
o. Head of Population & Environment Bureau of EastJava Regional Secretariat
p. Regional Coordinator of East Java Provincial Irrigation
Serviceq. Chairman of East Java Investment Coordinationr. Chairman of Indonesian Farmers Association of East
Java
s. Chairman of East Java Trade and Industry Chamber
t. Water Resources Expert of the Institute ofTechnology 10 November Surabaya
u. Water Resources Expert of the Brawijaya University
MalangTable 5.1.1 Membership Structure of East Java Water Resources Management Committee

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Fig. 5.1.4 IWRM spiral of Brantas River[Interviewer: Toshiyuki Yoshioka, Hiroyoshi Tanaka (Japan Water Agency)][Report: Dr. Ir. Mochammad Amron MSc. (Member of the steering committee),Toshiyuki Yoshioka, Hiroyoshi Tanaka (Japan Water Agency)]

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5.1.2 Extracted Key for Success(1) Extracted Key for Success from Brantas River

Reference to 5.1.1Case Story (Brantas River)[ Title ]Applying integrated river basin development and management concept.
[ Situation ]Unique topographic conditions arising from a winding clockwise watercourse and the eruption of
Mount Kelud has caused the riverbed to rise decreasing its ﬂood capacity in areas where ﬂoods frequently
occurred. Vast fertile deltas are major crop producing areas. The second largest city of Indonesia islocated downstream of the river and therefore requires adequate water and electricity supplies fordomestic and industrial purposes.
[ Problem ]The Brantas Basin has a large capacity to develop. Except for irrigation infrastructure in the early
1960s, there was no major infrastructure to regulate and collect water during the rainy season for use
during the dry season. Water usage has traditionally been managed by each provincial government.
The eruption of Mount Kelud in 1951 caused the riverbed to rise and decreased its ﬂood capacity.
Frequent ﬂoods caused considerable damage to the region and rice productivity remained low.The entire
Brantas Basin was expected to undertake comprehensive and basin wide development. Development
priorities should be deﬁned and at the same time community development should be strengthened.
[ How the problem was overcome]The development of the Brantas Basin began with the concept ‘One River, One Plan’ – a comprehensive
multi-purpose project that included multi-purpose dams and reservoirs with such beneﬁts as ﬂood
control, irrigation, power generation, and domestic and industrial water supply. An inter-provincial andcross-sectoral institution, the Brantas River Basin Development Project (BRBDP) was set up by central
government to implement basin-wide development.
Priorities were selected within each stage of development leading to the next stages of priority
development. The initial overall development plan was carried out for the entire basin and known as
the Brantas Plan (1958), which was later consolidated into the Master Plan 1 of the Brantas River Basin(1961). Flood control was its main priority. Irrigation development became the main priority of Master
Plan 2 (1973), water supply for domestic and industrial use became the main priority of Master Plan 3(1985), and integrated water resources management and conservation, to preserve and optimize theutilization of water resources became the main priority of Master Plan 4 (1998).
On completion of these facilities, the institution for integrated water resources management, theBrantas River Basin Development Plan, was ﬁnally committed to the principle ‘One River, One Plan, One
Integrated Management’.
[ The Key ]In the case of Brantas, in order to meet water demand for the various sectors andcontrol ﬂooding in the basin, the government set up a plan for the entire basin.The Brantas
River Basin Development Plan ﬁnally became committed to the principle ‘One River, One
Plan, One Integrated Management’. This was later consolidated by Law 11/1974. Water
resources management should be based on river territory.
>>> [5.1.1] Advocate the importance of water resource management at the basin leveland promote coordination among all sectors to be addressed in policies and national
strategies.
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5 – GOOD EXAMPLES(2) Extracted Key for Success from Brantas River

Reference to 5.1.1Case Story (Brantas River)[ Title ]The comprehensive plan must be positioned as a national priority and as a regional (river
basin wide) priority[ Situation ]When the Brantas River Basin Development began in 1958, the basin suffered from almost yearly
ﬂoods causing severe damage and resulting in personal injury, crop damage and losses in basin assets.
This was due to the fact that a large amount of volcanic debris and ash from Mount Kelud in 1951 had
caused a gradation of Brantas’ riverbed and had reduced the discharge capacity of the river.
[ Problem ]Although ﬂood prevention was the top priority, severe food shortages was also a national problem
while electric power was needed for regional development. It had to be implemented in a phasedmanner in parallel with other development projects.
[ How the problem was overcome]In Master Plan 1 (1961), project priorities were economically evaluated with ﬂood control selected
as the main focus. Karangkates Dam and Kali Konto (Selorejo) Dam were considered the best projects
as they focused on ﬂood control as well as power generation and irrigation. Irrigation infrastructure
rehabilitation in the Lower Brantas Delta was selected as the second priority, and the third priority
was Lengkong Dam and Porong River development for ﬂood mitigation. Following the constuction of
the Sutami (Karangkates) Dam (1972) and the Wlingi Dam (1978), the frequency of ﬂoods decreased
dramatically. This led to the next stages of priority development.
In Master Plan 2 (1973), project priorities were economically evaluated and as a result ﬁve projects
were selected. Lodoyo - Tulungagung Irrigation Development together with Wlingi multi-purpose dam
became the main priority in Master Plan 2 because of their focus on water resources for irrigation
development. River development in the middle reach was the second priority, and the third priority
was the Pare - Nganjuk Irrigation Project.
As concern for ﬂood control grew, the design-ﬂood discharge was based on the following:•
the importance of the river (main and tributary reaches);•
the ﬂood prevention levels of other Indonesian rivers; and•the scale of the damage potential.
[ The Key ]The initial development design was substantial and required a considerable budget. The
Brantas River Basin Development therefore carried out a step-by-step approach withthe main priority on solving the most crucial and pressing problems. Master Plan 1 wastargeted mainly on mitigating ﬂood problems within the area so as to protect the irrigation/
agricultural zones. The subsequent Master Plan concentrated on improving irrigation
facilities to promote regional food production. The plan later concentrated on improving
domestic, municipal and industrial water supply.
The most recent plan focuses on environmental/conservation and water security concerns.
>>> [2.3.1] Set priorities among the problems to be solved, taking into accountconstraints such as time and funds.
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(3) Extracted Key for Success from Brantas River

Reference to 5.1.1Case Story (Brantas River)[ Title ]Managing water resources and infrastructures in the basin[ Situation ]Water resources management was previously carried out by provincial water resources services.The task
was originally to provide individual irrigation services.The river ﬂows in nine regencies and ﬁve municipalities
yet there was no major infrastructure for ﬂood control and water regulation for the various uses within thebasin.
[ Problem ]Due to the lack of major infrastructure the area suffered from ﬂood and inadequate irrigation waterespecially during the dry season. In addition, there was limited coordination among the related agencies.
This scheme posed the risk of water resources degradation, which in the long term can affect the economic
development of the basin. Moreover, wherever water degradation occurs, sustainable resources are at risk.
[ How the problem was overcome ]The central government set up the Brantas River Basin Development Project (BRBDP) to carry out
development studies and the construction of major infrastructure within the basin. Following construction,
their O&M activities encountered problems in obtaining funds. This resulted in the degradation of the water
resources infrastructures. In order to obtain O&M funding, the government established Jasa Tirta 1 Public
Corporation (PJT1) in 1990 through Government Regulation No. 5/1990.
Its main task is to manage water resources in the forty tributaries and rivers within the Brantas Basinas well as to operate and maintain the major infrastructure in these rivers. They can allocate water for
independent and professional purposes. The corporation comprises a supervisory board of central andprovincial government representatives and is managed by a board of directors. The corporation has played
an active role in developing effective coordination among all stakeholders in managing the water resources
Since 1997 a Quality Management System, ISO 9001:2000, was consistently applied by PJT1 as a sign of its
commitment to achieve stakeholder satisfaction through continuous improvement of system. Moreover,
responsive actions by PJT1 based on stakeholder complaints have resulted in improved water resourcesmanagement. Due to this achievement, PJT1 has become the reference and benchmark for water resourcesmanagement both region and nationwide.
Furthermore, the Water Resources Management Committee was established by the East Java Governor’s
Degree No. 59 of 1994 as a coordinating body where all aspects of water resources management (planning,
implementation, supervision, control, and funding) is decided. It includes allocating water among users in thebasin and conﬂict prevention.
PJT1and the committee collaborate to manage the Brantas River water resources. An authoritative andqualiﬁed institution is vital in the operation, maintenance and management of water resources. A public
corporation supervised by a board composed by government is a possible institution to act as a strong RBO
while the WRM Committee coordinates all basin-wide stakeholders.
[ The Key ]In the case of Brantas river, when difﬁculties of O&M in basin water management occured, thegovernment decided to establish a special organization (PJT1) based on the river basin.
Today the WRM Committee together with PWRS and PJT1 plays the key role of monitoring andevaluation regarding the status of water resources management in the basin.
�>>> [4.2.2] Continuously monitor and evaluate the effectiveness of IWRM activities (plans,
projects, infrastructure, legal framework, organizations, etc) in the basin.
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5 – GOOD EXAMPLES(4) Extracted Key for Success from Brantas River

Reference to 5.1.1Case Story (Brantas River)[ Title ]Coordination among sectors and all stakeholders[ Situation ]Following the construction period, the completed infrastructures were operated/maintainedby the The Brantas River Basin Development Project (BRBDP) whose sole duty is to carryout the construction.
Each region’s irrigation sector had their own maintenance system (see section 3). As the demandfor domestic and industrial water greatly increased water use in the Brantas River became increasingly
complex and multi-purpose with water allocation among many sectors becoming extremely
important.
[ Problem ]As water use became increasingly multi-sectoral and basin-wide, there was a growing likelihoodof water conﬂict. The coordination of a water allocation/water fee among sectors requires strong
institutions that can serve as mediators in conﬂicts of interest.
[ How the problem was overcome ]The Water Resources Management Committee was established by the East Java Governor’s Degree
No. 59 of 1994 as a coordinating body where all aspects of water resources management (planning,
implementation, supervision, control, and funding) were decided including the allocation of wateramong users in the basin and conﬂict prevention.
The amended water law of 2004 included the Water Resources Council, the water parliament,
which comprises an equal number of government and non-government organizations including
scientists.
Public involvement in every step of water resources management is guaranteed, including classaction. Political and technical support is socially acceptable through public consultation and community
involvement.
[ The Key ]Law No. 11/1974 amended by Law No. 7/2004 clearly states that the basin is basic unit inwater resources management. A Water Resources Development and Management Master
Plan, which includes environmental conservation and water security based on the law, will
be elaborated and issued.
>>> [5.2.1] Advocate the importance of the basin as basic unit for water resourcesmanagement and promote its existence in legislation.
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5.2 BÜYÜK MENDERES RIVER (TURKEY)
5.2.1 Case Story (Büyük Menderes River)
Facts

Ref. to KFS

1.Tackling the increasing demand for irrigation water and other uses
The Büyük Menderes River Basin is located on the southwestern part of Turkey (Fig.
5.2.1). It comprises an area of 24,873 sq. kilometers and covers 3.2 per cent of Turkey’s
surface area. The length of the Büyük Menderes River is 584 km and it discharges into
the Aegean Sea.

Büyük Menderes River Basin

Fig. 5.2.1 Location of the Büyük Menderes River Basin in Turkey
The climate in the basin varies between the coast and inland. The coastal regions
have a Mediterranean climate whereas the inland region has a dominating continental
climate. The average annual precipitation in the basin is 635 mm with 999 mm in the
nearby coastal regions gradually decreasing to 350 mm upstream. Precipitation is highduring spring and winter but low in summer.
Forty per cent of the land is used for agriculture in the Büyük Menderes Basin and themain agricultural products are cotton, olives, ﬁg, vegetables, and citrus fruits. Agriculture
is more intensive in midstream and downstream, i.e. in the Aydın province. On the other
hand, the leather industry is active in the Usak province located upstream while thetextile industry, including dyeing, is active in the Denizli province at midstream.
Being one of the most important factors inﬂuencing the economic development ofa country, water is a natural yet limited resource. Turkey’s economy in the 1960s was
mainly dependant on agriculture. In the 1970s, Turkey was one of seven countries with
100 per cent self-sufﬁciency in food supply. In order to sustain its high self-sufﬁciency
rate, agricultural improvements and the optimum utilization of land and water resourceswere among the priorities of national policies. Moreover, increasing income levels andliving standards of the rural population, thanks to improved agriculture and irrigation,
has been another priority since the population began migrating from rural to urban
areas, i.e. to larger cities namely Istanbul, Ankara and Izmir. This signiﬁcant increase hascreated many challenges for national government and municipalities.

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Facts
Ref. to KFS
The climatic conditions in Turkey mean that the precipitation-ﬂow relationship israther complex. Precipitation changes seasonally and also from year to year.There exist
substantial differences in precipitation and thus natural ﬂow. They drop to minimum
levels in summer when there is maximum demand. Furthermore, droughts areexperienced frequently during which mean annual water supply decreases to one thirdof the annual average. Nevertheless, the irregular regime also creates ﬂood events which
are threatening and, in many cases, damaging to natural and economic life. Therefore,in view of providing sufﬁcient and regular water for irrigation and other purposes aswell as protection from extreme water events, construction of dams and reservoirs
that store water and regulate ﬂow was inevitable. However, this is not sufﬁcient as thelimited water supply is unable to meet the increasing demand. Therefore, in addition
to dam construction, water supply and demand balance in the river basins should bemaintained within an integrated management approach.
In line with the above-mentioned national policies and priorities and hydrologicalcharacteristics, land and water resources development in the Büyük Menderes Basin
was initiated by the General Directorate of State Hydraulic Works (DSI), the mainorganization responsible for development and management of water resources
in Turkey. For adequate planning and rational utilization and management of water
resources in the Büyük Menderes Basin, reliable hydrological data and information
was required. However, previously existing data was insufﬁcient. Therefore, the ﬁrst
task was to improve the hydrometric network in the basin. Feasibility studies were
subsequently carried out using the available information. Based on these studies, theAdıgüzel Dam, the Isïkli Lake and the Kemer Dam were designed for irrigation, hydropower and ﬂood control purposes.

KFS5.2.2 (1)The construction of the Adıgüzel Dam, which is the ﬁrst dam in the basin, wasstarted in 1976 and completed in 1989. To date, there are 18 dams under operation
supplying adequate irrigation water to farmlands in an equitable and timely manner.
Moreover, they manage ﬂood control, domestic water supply and energy generation.

Fig. 5.2.2 River Network in Büyük Menderes River Basin

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FactsRef. to KFS
2. Recognition of New Problems
Pollution
Irrigation has become more efﬁcient following completion of the dams in the basin.
A signiﬁcant part of the water resources have also been utilized by industry upstream,
particularly the leather and textile industry. However, this brought about water pollution,
which became an important issue in the 1990s. In order to address the pollution, the Büyük
Menderes Basin was divided into three sections in terms of pressures and impacts.
1. Upstream part of the Adigüzel dam: pollution is already noticeable and is attributed todomestic waste and the leather industry’s waste water discharges in Usak province.
2. Middle part of the river downstream of the Adıgüzel dam: the condition is worsening
due to domestic, industrial (leather and textile) and agricultural pollution as well as
waste water discharges from a thermal power plant situated in the vicinity of Denizli
province.
3. Downstream part of the river: environmental degradation is quite serious due todomestic, industrial (leather, textile and olive oil) and agricultural pollution.
In addition to the pressures mentioned above, water pollution during the summer season
worsens, especially at the downstream portion, because of low precipitation, reduced water
ﬂow, and increased pollutant concentration.
Bafa Lake Case
Bafa Lake is situated at the downstream portion of the Büyük Menderes Basin. The
lake is a natural alluvial embankment lake formed by the alluvium brought by the Büyük
Menderes River. Geological studies show that the lake site was previously a gulf in the
Aegean coast.The Bafa Lake is an important habitat for migratory ﬁshes and birds and was
attributed ‘National Park’ status in 1994.
Sedimentation caused by ﬂooding in the Büyük Menderes Basin led to decreases in thedepth of the lake, which adversely affected the ecosystem especially for ﬁsh. Floods werealso harmful for residential and agricultural areas by the lake. In 1985, the DSI constructeda dike on the left side of the riverbank to overcome these problems.
Furthermore, water resources development, upstream pollution, and droughts led to
the following problems in Bafa Lake:- Water levels in the river and lake decreased during dry periods such that the river andthe lake were disconnected.
- As a result of the decreased ﬂow, low circulation and pollution, DO (dissolved oxygen)
was low causing adverse effects on ecosystems.
- Due to a low water level in the river, salt water intrusion into the lake from the Aegean
Sea caused degradation to agricultural land.
In order to address these problems, environmental studies were carried out for ﬁshhabitats and water quality. Technical and feasibility studies were conducted based on
the results of the environmental studies, which suggested maintaining the water levelin the lake at +2 m above sea level to protect the ecosystem from salt water intrusion,as well as connecting the mountain between the lake and the river. To achieve this,construction of a rubber dam was planned by DSI.

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Facts
Ref. to KFS
The rubber dam, together with an intake structure and feeding canal, is especially
important for:- Maintaining the ﬁsh population and increasing the natural life level of the lake to theoriginal average level by raising it by 2 m above sea level.
- Preventing ﬂooding of the residential and agricultural areas at 3 m above sea levelaround the lake by automatically deﬂating the rubber dam.
- Preventing salt water intrusion and soil degradation along the river.
- Enabling a ﬂexible operation system for the lake-river-sea link.
The rubber dam was completed in 2003 (Fig. 5.2.3 and Fig. 5.2.4). A ﬁsh pass was
also constructed on the left bank.

Fig. 5.2.3 Rubber Dam Map

Bafa Lake
B. Menderes
Rubber dam

Fish Pass

Fig. 5.2.4 Rubber Dam

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FactsRef. to KFS

3. Approach for Integrated Water Resources Management
In the past decade, problems such as water scarcity, drought, and environmental
concerns have been shared by all the stakeholders in the basin. Every stakeholder has
attempted to solve the problems for which they’re responsible. For example:- Industries, especially leather factories, that were once scattered throughout the Usak
Province were relocated to the designated industrial zone where the constructionof a common waste water treatment facility had been completed.
- In the Denizli Province, an urban waste water treatment facility is in operation, andthe textile industry has established a common treatment facility.
- Existing irrigation systems have been replaced with modern irrigation systems toensure efﬁciency and thus save water.
- Non-governmental organizations have also initiated a number of projects.
Moreover, it became obvious that the general problems encountered in the basinshould be solved not through individual means but through more extensive basinbased measures, which can be achieved through an integrated approach, and which hasreceived wide acceptance in the past decade.
The ﬁrst project carried out in the basin with this new approach was the ‘Pilot
implementation of the European Union Water Framework Directive’. Following the
project, a new project entitled ‘Capacity Building Support to the Water Sector in Turkey’,
was begun in 2007 for the implementation of the EU Water Framework Directive. The
objectives of the pilot projects are as follows:- to stimulate the sustainable use of water based on the protection of available longterm water sources;- to decrease pollution;- to prevent further deterioration of the aquatic ecosystem as well as areas dependingon those ecosystems;- to enhance the aquatic environment, among other things, by decreasing discharges;- to raise awareness and stakeholder participation.
Within the scope of this project, active dialogue and information exchange havetaken place with all the stakeholders such as the Büyük Menderes Environmental
Protection Union, municipalities, irrigation unions, Chambers of Industry and Trade,and NGOs.
All the activities carried out in the basin were communicated to all the stakeholders,so as to better coordinate the work and create public awareness in the basin.

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Fig. 5.2.5 IWRM spiral of Büyük Menderes River[Interviewee: Mr.Yakup Darama, Mr. Saint Tahmiscioglu, Mr. Murat Hatipoglu,
Mr. Huseyin Gundogdu, Mr. Taner Kimence (DSI*1)][Interviewer: Tomomi Inoue, Koichi Takano (Japan Water Agency)][Report: Mr. Adnan Altay Altınörs (Member of the steering committee),
Mr. Toshihiro Sonoda (UNESCO), Mr. Tomomi Inoue (CTI International),
Mr. Koichi Takano (Japan Water Agency)]*1 DSI: The General Directorate of State Hydraulic Works, Turkey

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5.2.2 Extracted Key for Success(1) Extracted Key for Success from Büyük Menderes River
Reference to 5.2.1 Case Story (Büyük Menderes River)[ Title ]Estimation of water demand and analysis of hydrology in the river basin for project planning[ Situation ]Phase to make a planning for irrigation water and ﬂood prevention in a fruitful area
Turkey’s economy in the 1960s was mainly dependant on agriculture. In the 1970s, Turkey was oneof the seven countries with 100 per cent self-sufﬁciency in food supply. In order to sustain its high selfsufﬁciency rate, agricultural improvements and the optimum utilization of land and water resourceswere among the priorities of national policies. Moreover, increasing income levels and living standardsof the rural population, thanks to improved agriculture and irrigation, has been another priority since
the population began migrating from rural to urban areas, i.e. to larger cities namely Istanbul, Ankara andIzmir. This signiﬁcant increase has created many challenges for national government and municipalities.
Floods were also a big problem at midstream and downstream portions, which are extremely ﬂat. Heavy
rains ﬂooded most of the farmlands resulting in serious damage to agriculture. The multiple problems
encountered should be addressed during the planning phase.
[ Problem ]As available data was limited, improvement of the hydrometric network was required for
project planning
Insufﬁcient data in the 1950s meant that a feasibility study was not carried out. Precipitation was only
measured at a few points, and ﬂow rates were determined only at some main points of the river. Also,
studies of irrigable land were not completed.
[ How the problem was overcome ]Required minimum data were observed for water demand and hydrology
Firstly, master plan studies for the determination of land and water resources potential in the basin
was done in 1967. To start comprehensive feasibility studies in the region, the hydrometric network was
improved, and irrigable land was evaluated with surveys at the basin level. Water resource potential was
calculated by precipitation and ﬂow rate data. Irrigation water supply was then determined according to
the surveys. Flow rate at the dam site was calculated by using the old data as well as newly measured data
covering twenty years. In addition, geological investigations were carried out at the dam sites.
[ The Key ]As needed data was not available, necessary data was deduced from available data. Precipitation
data were collected only at city centres; validity to use them for mountainous parts, where
the climate is different, was carefully examined. Flow rate was calculated using existing data
at other points while carefully examining differences in climate conditions. In addition, data
modiﬁcation was conducted in consultation with experienced technicians.
>> [2.1.1] Be selective when collecting data by setting priorities based on the problems.
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5 – GOOD EXAMPLES[ Attachment Materials ]Fig. 5.2.6 River Network in Büyük Menderes River Basin(2) Extracted Key for Success from Büyük Menderes River
Reference to 5.2.1 Case Story (Büyük Menderes River)[ Title ]Continuous project monitoring in order to improve next steps[ Situation ]Phase to evaluate the effect downstream by the project upstream
Irrigation has become more efﬁcient following completion of the dams in the basin.A signiﬁcant amountof water resources were utilized by industry upstream, particularly the leather and textile industries, withthe result that water pollution became an important issue in the 1990s.
In addition to the pressures, water pollution during summer is more severe, especially downstream
where there is low precipitation, reduced water ﬂow and increased pollutant concentrations.
[ Problem ]Water resource development and pollution upstream as well as droughts led to problems
downstream
Bafa Lake is situated downstream of the Büyük Menderes Basin.The lake is a natural alluvial embankment
lake formed by the alluvium brought by Büyük Menderes River. It was previously a gulf in the Aegean
coast. The Bafa Lake is an important habitat for migratory ﬁshes and birds and was attributed ‘National
Park’ status in 1994.
In addition, water resource development and pollution upstream as well as droughts led to following
problems in Bafa Lake:- Water levels in the river and the lake decreased during dry periods such that the river and the lakewere disconnected.
- As a result of the decreased ﬂow, low circulation and pollution, DO was low causing adverse effects
on ecosystems.
- Due to a low water level in the river, salt water intrusion into the lake from the Aegean Sea caused
degradation of agricultural land.
[ How the problem was overcome ]An environmental investigation and action plan with planned countermeasures
In order to address these problems, environmental studies were carried out for ﬁsh habitats andwater quality. Technical and feasibility studies were conducted based on the results of the environmental
studies and it was suggested that the water level be maintained in the lake at +2 m above sea level toprotect the ecosystem. For this purpose, construction of a rubber dam was planned by DSI.

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[ The Key ]Continuous monitoring and evaluation of water resources development activities both
upstream and midstream of the river were conducted that take into account socio-economicand environmental effects, sustainability and fairness based on the initial goals and the current
status.The environmental study found that these activities had affected the ecosystem in Bafa
Lake. As a consequence, the rubber dam project was planned and this led to improving IWRM
and a step up to the next stage.
>> [4.2.2] Continuously monitor and evaluate on the effectiveness of IWRM activities(plans, projects, infrastructure, legal framework, organizations etc) in the basin.
[ Conditions and limitations in applying the KFS ]Monitoring and evaluation must be conducted throughout the basin within an holistic
approach
1. It is important to have an overview of the entire river basin in order to recognize problems as the
project may have an effect beyond the project area
[ Ideas for enhancing the applicability of the KFS ][ Attachment Materials ]Photo 5.2.1 Rubber dam

Fig. 5.2.7 Location of Bafa Lake and Rubber Dam

Fig. 5.2.8 Longitudinal crosscut of rubber dam (under normal conditions)

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5 – GOOD EXAMPLES(3) Extracted Key for Success from Büyük Menderes River
Reference to 5.2.1 Case Story (Büyük Menderes River)[ Title ]Framework for stakeholder participation in the new scheme[ Situation ]The project was implemented to solve individual problems in the basin
In order to overcome problems in the basin:- Industries, particularly the leather factories, which were once scattered throughout the Usak Province,
were relocated to the designated industrial zone where the construction of a common waste water
treatment facility for the industrial zone had been completed.
- In the Denizli Province, an urban waste water treatment facility is in operation, and the textile industry
has established a common treatment facility.
- Existing irrigation systems have been replaced with modern irrigation systems to ensure efﬁciency andthus save water.
- Non-governmental organizations have also initiated a number of projects.
[ Problem ]Necessity to solve the problems through an integrated approach
It became obvious that the general problems encountered in the basin should be solved not throughindividual means but through more extensive basin-based measures, which can be achieved through an
integrated approach, and which has received wide acceptance in the past decade.
[ How the problem was overcome ]A new consortium was established with transparency and disclosure, and a qualiﬁed person
was selected as chairperson
The ‘Capacity Building Support to the Water Sector in Turkey’ project began in 2007 for the
implementation of the EU Water Framework Directive.
Within the scope of this project, active dialogue and information exchange have taken place withall stakeholders such as the Büyük Menderes Environmental Protection Union, municipalities, irrigation
unions, Chambers of Industry and Trade, and NGOs.
All the activities carried out in the basin were communicated to all stakeholders, so as to better
coordinate the work and create public awareness in the basin. Furthermore, the governor of Usak
Province was appointed as chairperson of the Büyük Menderes Environmental Protection Union. He
contributed to the improvement of water quality by relocating the leather factories to an area equippedwith a water puriﬁcation plant.
[The Key ]An appropriate form of participation was chosen based on local conditions, and a consortium
was set up making full use of existing stakeholders groups. The most qualiﬁed, experienced
and credible person should be selected as the chairperson of the consortium. In this casethe governor of Usak Province was appointed who actively led water quality improvement
activities.
>> [2.2.3] Identify key stakeholder groups, including those who are impacted upon orsocially vulnerable, and identify key persons within them.
>[3.1.1] Prepare a framework for stakeholder participation in order to build consensus
among stakeholders.
>> [3.1.3] Select a lead coordinator(s) (organization or individual) whom the maximum
possible number of stakeholders participating in the process accept.
[ Conditions and limitations in applying the KFS ][ Ideas for enhancing the applicability of the KFS ]To continually hold meaningful stakeholder meetings
1. To make a rule to hold regular stakeholder meetings.
2. To share information of river basin in the meeting.

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[ Attachment Materials ]1. Objectives of the project, Capacity Building Support to the Water Sector in Turkey.
- to stimulate the sustainable use of water based on the protection of available long-term water sources;- to decrease pollution;- to prevent further deterioration of the aquatic ecosystem as well as areas depending on those ecosystems;- to enhance the aquatic environment, among other things, by decreasing discharges;- to raise awareness and stakeholder participation.

Photo. 5.2.2 Photos of the meeting (20th Sep 2008)

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5.3 DAVAO RIVER (PHILIPPINES)
5.3.1 Case Story (Davao River)to KFS
Ref. toRef.
KFS

Facts
1. Description of Davao River Basin
The land area of Davao City consists of eight major river basins all of which drain
into the Davao Gulf. It is for the reason that watershed management is one of thethrusts of the Environmental Plan of the City. To translate this thrust, in 2007 the City
Council approved the Watershed Management Code, ofﬁcially upholding an integrated
approach in managing the interactions among water, land, and life forms in the eightriver basins.
This fact sheet gives a brief proﬁle of the eight river basins emphasizing the
integrated approach which HELP (Hydrology for the Environment, Life and Policy)- Davao has identiﬁed as one key towards successful management of the city’s waterand environment. While sectoral initiatives are present in each river basin, signiﬁcantadvances have been made in parallel efforts toward converging those initiatives at thepolicy and governance level. The convergence took the form of adopting a common
watershed ordinance and an inclusive management council.
Davao City with a land area of 244,000 ha is the largest city in the Philippines(Fig. 5.3.1). It is located in southeastern Mindanao at 658’ to 734’N and 125 40’E. It
is bounded by Bukidnon province in the north, Davao Gulf in the east, Davao del Sur
in the south, and North Cotabato in the west. The city consists of 204 barangays, thesmallest administrative division in the Philippines.

Fig. 5.3.1 Davao City, Philippines, souce: CPDO-PCEEM
Geophysically, the city consists of eight river basins (Fig 5.3.2).The Davao and Talomo
Rivers are the major drainage systems. The Malagos River, a 235 ha declared protected
area, has its headwaters from the Davao River and is therefore not a separate river
basin.

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FactsRef. to KFS

Fig. 5.3.2 Location of the eight river basins of Davao City, source: CPDOThe Davao River ranks number one in almost all of key indicators such as land use,
population, and socio-economic activities while the Tuganay River ranks last. This has
implications in the sustainable uses of the various resources in the Davao River and thesound development of the Tuganay in the future.
2. 1st step
At the national level, the National Water Resources Board (NWRB) was establishedin 1974 to coordinate the use of water for the different purposes, but the lack of reliabledata on present water resources and water use, coupled with conﬂicting department
mandates, hampered the progress and the effectiveness of the NWRB. The absence ofan NWRB ﬁeld ofﬁce in the Davao City contributed to its weak coordination of wateruses in the river basins.
In the absence of national government actions, a number of local initiatives started
building awareness and capacities in the different river basins in Davao City. Major
efforts in the development of integrated water resource management (IWRM) had
been the focus in the Talomo-Lipadas Rivers; the source of major aquifers that provide
98 per cent of the Davao City Water District’s (DCWD) regulated drinking watersupply. But since DCWD only serves 56 per cent of the total population of the city,large populations across the river basins continue to be unregulated for water supply.
Being the largest river basin, the Davao River plays a key role in ensuring water formuch of the remaining 44 per cent of the population and is critical for other factors
including food production and other ecological services.
Under the circumstances, formal organizational initiatives were launched. The
Philippine-Canadian Environmental and Economic Management Project, funded by the
Canadian Government (now re-titled People Collaborating for Environmental andEconomic Management, or PCEEM), commenced in 1998 to help improve the conditionof the Talomo-Lipadas Rivers; and the multi-sectoral Davao River Conservation
Coordinating Committee (DRCCC) was formed in 1999 to help conserve the Davao
River.

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Facts
Ref. to KFS
3. 2nd step
In 2004, a group of stakeholders of the Talomo-Lipadas Rivers, where PCEEM wasformulated, and the Davao River, where DRCCC was formulated, advocated an integrated
plan for all the river systems of the city. Meanwhile, in 2003, the Catholic Relief Services(CRS), recognizing that the development of IWRM could play a vital role in poverty
alleviation in developing countries, sought to support local watershed initiatives.
In January 2004, a proposal for inclusion of the Davao River basin was submitted
jointly by CRS and DRCCC to the international HELP network of river basins under
UNESCO. Using the proﬁle of the Davao River as the point of description, Davao Rivers
which include the eight major river systems that make up the city, were classiﬁed as
Operational Basin in June 2004.

KFS5.3.2 (2)In early 2005 a series of CRS-led workshops formulized the HELP concepts to key
local actors, and consensus was reached to use the HELP Network as a driver for
integration of existing initiatives. The complexity of issues and the limited resources
available signiﬁed a daunting task in the development of integrated mannagement for
all eight river basins.
After some exploratory meetings, a Local Executive Order was issued creating
an interdisciplinary Ad-Hoc Committee to initiate the crafting of an integrated
watershed management framework and to pave the way for the formation of a citywide Watershed Management Council (WMC). To fast-track the legislation process,the draft of the framework was used to author the Watershed Management Code,which was subsequently signed into a City Ordinance in 2007. The city passed a
Watershed Management Ordinance, which provided for the creation of a WMC
that would materialize in October 2008. The council is now working towards its
institutionalization, which includes the formation of Barangay Watershed Management
Councils and a multi-sectoral monitoring team.

KFS5.3.2 (2)While there are eight river basins, their management is integrated under the newly
passed Watershed Management Ordinance.This means that the local government shalltake the lead in using an holistic approach in planning and conservation through theWatershed Management Council. The uniqueness of each watershed, on the other
hand, will be under the stewardship of the Barangay Watershed Councils, which shalluse speciﬁc strategies while adopting a common management framework and a set of
guiding principles.
Alongside legislative initiatives, the related sectors of civil society and environmentalgroups are working under its own agenda. Each has its own perspective and strategy
on how to achieve its set goals. Working in the context of limited resources, thesegroups have been creative and ingenuous in pursuing their goals. The challenge is how
to consolidate the strengths of each and harmonize efforts in order to reach greaterand longer-term goals. Recent environmental issues such as clean water and ﬂashﬂoods
have increased the awareness of these groups to work alongside each other and to
discuss solutions based on reliable information. Networking and collaboration havebecome a common strategy and the city government has taken on a very progressive
outlook on the critical contributions of various sectors and civil society in general.The
newly formed WMC is getting enthusiastic support towards integrated managementfrom its multi-sectoral membership.

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FactsRef. to KFS
4. Next Steps
The expertise and twinning program with the Murrrumbidgee‘HELP Demonstrational’
River Basin in Australia has expanded the network of technical cooperation and exposure
KFSof the city government and HELP-Davao with regards to watershed management. The
5.3.2 (3)scientiﬁc approach of HELP has reinforced the paradigm shift in local governance fromdecisions based on politics to decisions based on reliable information from various
stakeholders and scientiﬁc principles. Harnessing this technical cooperation will beadvantageous for the Watershed Management Council
As mentioned above, IWRM proceeds step by step as compared to a ‘spiral’ process.
This spiral approach is efﬁcient for the conceptualization to the implementation of
IWRM, particularly ahead of the establishment of the formal river basin organization.

Fig. 5.3.3 IWRM spiral of Davao River[Interviewee: Ms. Cristy G. Gallano, Dr. Ruth Gamboa, Mr. Arnolfo Cabling (HELP-Davao Network)][Interviewer: Mr. Masayuki Shiraishi, Mr. Akira Nishimura (Japan Water Agency)][Report: Dr. Ruth Gamboa, Ms. Cristy G. Gallano (HELP Davao Network), Mr. Declan Hearne(former HELP Davao Network), Mr. Akira Nishimura (Japan Water Agency)]

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5.3.2 Extracted Key for Success(1) Extracted Key for Success from Davao River
Reference to 5.3.1 Case Story (Davao River)[ Title ]Integrating the fragmented sectors[ Situation ]A number of local initiatives started building awareness and capacities in the different river
basins in the Davao City
Major efforts in the development of integrated water resource management (IWRM) had been thefocus in the Talomo-Lipadas Rivers, the source of major aquifers that provide 96 per cent of the Davao
City Water District’s (DCWD) regulated drinking water supply. However, as DCWD only serves 56
per cent of the total population of the city, large populations across the watersheds continue to be
unregulated for water supply. Being the largest river basin, the Davao River plays a key role in ensuring
water for much of the remaining 44 per cent of the population and is critical for other factors
including food production and other ecological services.
[ Problem ]The local initiatives were fragmented in the different river basin even though each group is
working on limited resources
Fragmented initiatives only created water quantity and quality problems. Contradictions andconﬂicts in rules and roles are inevitable as local initiatives evolved their policies and strategies inisolation.
[ How the problem was overcome ]The formal organizational initiatives in major river basins were launched
The ﬁrst formal organizational initiative was the Philippines-Canadian Environmental and Economic
Management Project (now re-titled People Collaborating for Environmental and Economic Management,or PCEEM). PCEEM commenced in 1998 to help improve the health of the Talomo-Lipadas Rivers bybuilding collaborative and integrated governance supported by continuous capacity enhancement.
Similarly the multi-sectoral Davao River Conservation Coordinating Committee (DRCCC) was formed
in 1999 through City Executive Order 29.The central role of the committee was to help conserve the
Davao River through the promotion of projects to rehabilitate and enhance the watershed.
[ The Key ]At the onset, only DRCCC members learned about the IWRM process.This process, and inparticular the importance of IWRM, was then brought to public attention.
>>> [1.1.1] Be aware of the IWRM efforts in your river basin, region or country.
The activities of DRCCC only concerns the Davao River basin level yet DRCCC is composedof related stakeholders such as governments (local and national), the business sector andcivil society including the church and academia.
>>> [2.2.2] It is advisable to start considering the mechanism and course of action forstakeholder participation during the conceptualization phase.
Local NGOs took on the coordination role, which resulted in an effective participation of
the different stakeholder groups. Catholic Relief and Services (CRS) and PCEEM worked as
partners in coordinating meetings and schedules, which resulted in a better appreciation ofwater and watershed issues.
>>> [3.1.3] Select a lead coordinator(s) (organization or individual) whom the maximum
possible number of stakeholders participating in the process can accept.
[ Conditions and limitations in applying the KFS ]A collaborative spirit that prevails among partners.
[ Ideas for enhancing the applicability of the KFS ]Volunteer – even though resources are limited, volunteerism and creative initiatives from privategroups and ordinary citizens at local level can promote IWRM.

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(2) Extracted Key for Success from Davao River Reference to 5.3.1 Case Story (Davao River)[ Title ]Integrating the fragmented sub-basins[ Situation ]The initial formal organizational initiatives were launched at the end of 1990s
The Philippines-Canadian Environmental and Economic Management Project (now People
Collaborating for Environmental and Economic Management, or PCEEM) commenced in 1998 to help
improve the health of the Talomo-Lipadas Rivers; and the multi-sectoral Davao River Conservation
Coordinating Committee (DRCCC) was formed in 1999 to help conserve the Davao River.
[ Problem ]The initial formal organizational initiatives were still conducted separately
The Davao City has eight major river basins all of which drain into the Davao Gulf. However,
PCEEM and DRCCC were respectively concerned only with the Talomo-Lipadas and Davao Rivers. In
2003, Catholic Relief Services (CRS), recognizing that the development of IWRM can play a vital rolein poverty alleviation in developing countries, sought to support local watershed initiatives. Meanwhile,
in 2004, a group of stakeholders of those river basins advocated an integrated plan for all the river
systems of the city.
[ How the problem was overcome ](1) A framework under the international HELP network was developed
In January 2004, a proposal for inclusion of the Davao River basin was submitted to the international
HELP network of river basins under UNESCO by CRS and DRCCC. Using the proﬁle of the Davao
River as the point of description, Davao Rivers, which include the eight major river systems that makeup the city, were classiﬁed as Operational Basin in June 2004. This HELP Network was an effective
driver for integration of various initiatives.
(2) A framework under the local government was developed
After some exploratory meetings, a Local Executive Order was issued creating an interdisciplinary
Ad-Hoc Committee to initiate the crafting of an integrated watershed management framework andto pave the way for the formation of a city-wide Watershed Management Council (WMC).
[ The Key ]It was noteworthy that the separate formal organizational initiatives were integrated underthe HELP Network. Likewise, the newly formed WMC led by the city government is getting
enthusiastic support towards integrated management from its multi-sectoral membership.
A proper participatory process should be promoted even if it may take longer (such ascountless hearings and consultations). Once a solution is reached, there is strong ownershipand accountability among those involved (stakeholders).
>>> [2.2.2] It is advisable to start considering the mechanism and course of action forstakeholder participation during the conceptualization phase.
[ Conditions and limitations in applying the KFS ]Involve the city government as main partner and extract strong responsibility and accountability
from them.
[ Ideas for enhancing the applicability of the KFS ]Appeal to citizens’ great awareness of environmental conservation and strong sense of ownershipof the local resources.

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5 – GOOD EXAMPLES(3) Extracted Key for Success from Davao River
Reference to 5.3.1 Case Story (Davao River)[ Title ]Awareness of importance of technology for water management[ Situation ]Scientiﬁc data were insufﬁcient for the Davao River Basins.
Scientiﬁc data had not been collected sufﬁciently in the Davao River basins.
[ Problem ]The local actors were making decisions without scientiﬁc information
Appropriate data had not been collected in the Davao River basins. Therefore the local actors
were making decisions without reliable information from the various stakeholders and scientiﬁcprinciples.
[ How the problem was overcome ](1)The local actors realized the importance of understanding hydrological processes through
HELP inclusion of the Davao River Basin
Membership in global initiatives of the UNESCO Water Sector paved the way for further technicalcapacity-building opportunities, although at the same time it pointed out the huge gap in the technicalcapacities of local actors.
(2) Gather data and take an integrated and collaborative approach
PCEEM commissioned some seven studies on the Talomo-Lipadas Rivers, among them was the
Terrain Analysis. CRS proﬁled Davao River while the Water District also conducted two studies ongroundwater. Likewise, the city government began the socio-economic proﬁling of each watershed.
Using this information, and taking into consideration the current initiatives of the different sectors,
a Local Executive Order, on the adoption of recommendations in the Terrain Analysis and later a
Watershed Management Ordinance, were passed.
(3) Use reliable information and scientiﬁc data to reach a fair decision
The city council took on the challenge of making tough decisions by listening to as many viewpoints
from stakeholders as possible, and matching them with available scientiﬁc information.
(4) Share resources
Civil society, business groups, and academia were quick to respond to scientiﬁc information andinitiated their own projects toward addressing speciﬁc issues.
[ The Key ]The collection of reliable and appropriate data and the making of rigorous analysis paved theway toward resolving water and environment issues.Without the hard and sound facts fromthe studies, and the use of science to explain events and trends and to project scenarios, itwould have been difﬁcult to reach a win-win solution from the various stakeholders.
>>> [2.1.1] Be selective when collecting data by setting priorities based on the
problems.
Using sound science, the HELP network has become a practical platform where competingstakeholders can debate possible solutions and build collaboration. It has also become adriver for good governance. The changes were repeatedly demonstrated through theattitudes and behavior of stakeholders.
>>> [2.3.4] Explore, adopt and customize new technologies so that they can be put tobest use in the basin.
[ Conditions and limitations in applying the KFS ]Existing groups/sectors working in the watersheds are ready to embrace a new paradigm suchas incorporating science and optimizing multi-sectoral participation when pursuing integrated
management.
[ Ideas for enhancing the applicability of the KFS ]Demonstrate the beneﬁts. Let the partners try out the new technologies for themselves and letthem identify the derived beneﬁts.

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5.4 LAKE BIWA (JAPAN)
5.4.1 Case Story (Lake Biwa)
to KFS
Facts
Ref. toRef.
KFS
1. Introduction – the Yodo river basin and the Lake Biwa
The length of Yodo river is 75.1 km and its catchment has an area of 8,240 sq. kilometers
covering six prefectures: Shiga, Kyoto, Mie, Nara, Osaka, and Hyogo.The deﬁning characteristicof the Yodo River system is that it holds Lake Biwa in its upstream, which is the largest
freshwater lake in Japan.
As it ﬂows out of the lake, the name of the river changes along the length of its travels:in the upper and middle reaches it is called the Seta River and the Uji River, respectively. The
river brings together major tributaries such as the Kizu River and the Katsura River near
the boundary of Kyoto Prefecture and Osaka Prefecture. It then travels southwest and ﬂows
into Osaka Bay.
2.The Lake Biwa basin
Lake Biwa has a catchment area of 3,848 sq. kilometers and covers 47 per cent of thetotal Yodo river system catchment area. Lake Biwa is situated in the centre of its catchment
area and has an area of 674 sq. kilometers; its catchment area is almost the same size as Shiga
Prefectural area. The capacity of the lake is 27.5 billion cubic meters.
There are about 500 rivers ﬂowing into the lake from the surrounding mountains. However,
only one river, the Seta River, ﬂows from the lake. Lake Biwa therefore plays an importantrole in stabilizing the water ﬂow of the entire Yodo River system.

Fig. 5.4.1 Map of the Yodo Riverand the Lake Biwa

Photo 5.4.1 Lake Biwa

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Facts
Ref. to KFS
3. Lake Biwa – an ancient lake
Lake Biwa was created some 4 million years ago and is one of the world’s oldest
lakes. Because of their long history, ancient lakes feature a great number of endemic
species that have evolved within the lake. Lake Biwa also possesses abundant biodiversity
offering habitats for more than 1,000 species, including at least ﬁfty endemic species
such as Biwa trout and Seta corbicula.
4. Conﬂicts among Lake Biwa and downstream residents
In the midstream and downstream of the Yodo River is situated Japan’s second largest
megapolis, the Keihanshin area that includes Kyoto, Osaka and Kobe. Lake Biwa supplies
water to a population of fourteen million. Lake Biwa is therefore vital to the area.
Conﬂicts have arisen because of ﬂood management and water use issues between
residents in the Lake Biwa basin and the downstream riparian residents. In the Lake
Biwa basin, residents needed to discharge water from the lake during ﬂoods and to
store water in the lake during droughts while the opposite occurs in the downstream
area; residents needed to store water in the lake during ﬂoods and to discharge waterfrom the lake during droughts.
5. Recognition of necessity of Lake Biwa Comprehensive Development
After World War II, the Japanese economy enjoyed soaring growth. Heavy andchemical industries were developed in the coastal Osaka Bay area, and Osaka andKobe (Hanshin) coastal industrial regions. These industries sought water fromgroundwater sources. Moreover, Osaka Prefecture, which is the central part of theregion, used groundwater as a main source for its waterworks system. Consequently,
land subsidence occurred caused by the excessive pumping of groundwater, which thenbecame a major problem in the region. Demand for domestic water also increased
as the population grew in the Hanshin region. So in addition to the industrial watersector, the domestic water use sector also sought new water sources from the Yodo
River and Lake Biwa. For that reason, the Lake Biwa Comprehensive Development(LBCD) was conceptualized.
Due to the long history of conﬂicts between upstream and downstream residents,
the formulation of a program negotiated among prefectural governments proved
difﬁcult such that coordination by national government was deemed necessary. In April
1956, the Lake Biwa Comprehensive Development Council was founded through thecollaboration of Kinki Regional Bureau of the Ministry of Construction (hereinafter‘MOC’, now reformed to Ministry of Land, Infrastructure, Transport and Tourism,
hereinafter ‘MLIT’) and the related prefectural governments.
Since 1960, various plans for LBCD have been proposed by the council, Shiga
Prefecture, Ministry of Agriculture, Fishery and Forestry (hereinafter ‘MAFF’), andMOC respectively, but they were not all agreed by the stakeholders. Shiga Prefecture,
whose jurisdiction covers almost the entire Lake Biwa catchment area, insisted that
the LBCD should not only beneﬁt the downstream area but also the upstream areafor its regional development. Shiga Prefecture also insisted on the need for speciﬁc
national legislation.

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In July 1968, a preliminary agreement was reached with the basic framework ofcomprehensive development that included both water resource development forthe downstream area and regional development for the upstream area. Lake Biwa
Comprehensive Development was ﬁnally able to proceed. Nevertheless, some issues
still remained in the detailed planning such as lower and upper lake water levels for
additional water use, i.e. the capacity of water between these water levels that can beused for new water use. The high water level for ﬂood management continued to be
discussed between the coordinator, MOC, and the Shiga Prefecture.
The coordination among relevant ministries bore fruit in 1972, when an agreement
between ministries and prefectures was formulated that included:
1. conﬁrmation of amount of water to be developed;
2. the upper and lower lake water level for water use, and;3. the operation procedure during abnormal drought.
Accordingly, the ‘Special Law for Lake Biwa Comprehensive Development’
was enacted in June 1972 and in December 1972, the Lake Biwa Comprehensive
Development Plan was formulated.
6.The Special Law for Lake Biwa Comprehensive Development and Lake Biwa
Comprehensive Development Plan
The key concept of LBCD was to realize both downstream and upstream needs at thesame time, i.e. water resources development of Lake Biwa to meet demand downstream,
and regional development and conservation of the lake for the upstream area.
The Special Law for LBCD provides the legal grounds for establishing the national
ten-year term plan implemented by Shiga prefectural and local governments, as well as
the Water Resources Development Public Corporation (now the Japan Water Agency),with support from related national ministries.

KFS5.4.2 (1)The law also provides the legal grounds for allocating special funds from national
government. It also stipulates the special cost-covering arrangement for upstream
Shiga prefectural and local governments for their projects by transferring funds fromdownstream prefectural and local governments. This legal system paved the way formany subsequent water resources development programs throughout Japan.
Major objectives of the Lake Biwa Comprehensive Development Plan include:
1. Conservation and restoration of the lake’s environment including water quality.
2. Flood control of the Lake Biwa and the Yodo River.
3. 40 m3/sec of new water resources development for downstream area and water
use programs for upstream area.
The program – implemented with support, understanding, cooperation andcollaboration of Shiga Prefecture, downstream prefectures and national government– required as many as 25 years of history. It started in 1972 and ended in 1996 with
two term extensions and modiﬁcation of the plan over the 25 years.

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Facts
Ref. to KFS
7. Recognition of Further Environmental Protection
The degree of limpidity of Lake Biwa was originally very high; it was once possible
to see more than 10 m below the water surface. However, in the latter half of the
1950s, increasing pollutants into the lake led to eutrophication. The ﬁrst problems ofinﬁltration arose in Kyoto city in 1959, followed by freshwater red tide ﬁrst occurringin 1977, and blue-green algae blooms in 1983.
The severe freshwater red tide in May 1977 had a signiﬁcant and lasting impact
on the residents of Shiga Prefecture. The red tide outbreak led residents to takeaction to prevent further eutrophication. An increasing number of citizens became
involved in environmental protection resulting in a prefecture-wide campaign to stop
the use of synthetic household detergents containing phosphorus; one of the major
causes of eutrophication. As a result of this movement, Shiga Prefecture enacted
the Eutrophication Prevention Ordinance in 1979 to prevent the eutrophication of
Lake Biwa by controlling inﬂows of nitrogen and phosphorus for the ﬁrst time in
the nation. The ordinance bans marketing, and the use of phosphorus-containing
synthetic detergent. It also comprises regulations on industrial wastewater together
with guidelines for reducing nitrogen and phosphorus from domestic and agricultural
wastewater.
The Lake Biwa Comprehensive Development Plan has had a considerable effect on
ﬂood management and water use. It has also contributed, to a considerable extent, inmaintaining a sustainable environment as a result of water quality conservation projects
including the construction and improvement of sewage treatment plants, livestock waste
treatment facilities, agricultural community drainage facilities, and waste treatment plants.
Despite these efforts, problems still persist such as the slow increase of COD (chemical
oxygen demand) level, while phosphorus and nitrogen levels have much improved. In
addition, the ratio of pollution load by point source, i.e. discharge from industry andhousehold, has decreased. On the other hand, the ratio by discharge from a non point
source, i.e. agricultural land and rainwater ﬂush from road and land, has increased. In
addition, a change of the lake shore land use caused a loss of natural lake shore including
the reed belt, and an invasion of non-native ﬁsh species caused the decline of theindigenous ﬁsh habitat.
To meet the need for environment protection and to resolve the problems of Lake
Biwa, the Shiga Basic Environment Ordinance, aimed at securing a healthy and high quality
environment, was enacted in March 1996. In this ordinance, the basic environmental
principles and policies, the role and duty of enterprises, the prefectural administration,and people, are stipulated so as to promote the integrity of the environment.
8. Lake Biwa Comprehensive Conservation Plan
In response to these efforts by prefectural government and residents in the Shiga
prefecture, the ministries and agencies concerned, the National Land Agency (nowincorporated into MLIT), the MOC, the Environmental Agency (now the Ministryof Environment), the Ministry of Health and Welfare (now the Ministry of Health,Labour and Welfare), and MAFF decided to evaluate the outcome of the Lake Biwa
Comprehensive Development. They also decided, using this evaluation as its base, todevelop a comprehensive lake conservation plan, as a model plan encompassing Lake
Biwa and its peripheral regions, was developed by coordinating and integrating various
initiatives taken by respective ministries/agencies. As a consequence, the governmental
bodies concerned jointly established a committee comprising specialists from a wide

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spectrum of academic ﬁelds. In the two years from ﬁscal year 1997 to ﬁscal year 1998,
the committee conducted a comprehensive survey to study and discuss the diverse
aspects such as the improvement of water quality and soil recharge capacity, alongwith the preservation of the natural environment and landscape. The survey outcome
was compiled in a report entitled ‘Survey for Preparing Lake Biwa Comprehensive
Conservation Plan’.
According to the survey outcome, Shiga Prefecture set up the Lake Biwa
Comprehensive Conservation Plan (Mother Lake 21) in 2000, which is Japan’s mostcomprehensive lake management program. The plan places emphasis on protecting
water for ecosystem, as compared to Lake Biwa Comprehensive Development, and it
consists of programs in three areas:

KFS5.4.2 (2)1. maintaining water quality;
2. improving the recharge capacity of the soil; and,3. preserving the natural environment and landscapes.
Extensive programmes are promoted in these areas. It sets long-term targets of 50
years, below which are 10-year plans,
Another feature of the plan is that it promotes participation of all the stakeholders
to conservation actions in the Lake Biwa catchment area while governments continue
to proceed with the conservation programs. It also promotes the establishment of a
sub-basin level association in each major lake inﬂow river basin area.
Based on Mother Lake 21, various programs are being implemented including cuttingedge ecosystem programs such as Reed Preservation Ordinance to protect the reedbelt along the lake shores; the Environmental-Friendly Agriculture Promotion Ordinance,
which promotes reduction of chemical synthetic pesticides and fertilizers; the Fish’s
Cradle Project, which restores watercourses between the lake and rice paddy ﬁelds forﬁsh spawning; and the restoration project of reclaimed land for agriculture back to lake.
9. Present and Future of the Lake Biwa
Most of the residents in Shiga Prefecture – more than 1.4 million people – live inthe Lake Biwa basin. Nevertheless, the Lake Biwa is distinctively unique in keeping,to certain extent, its environment in good condition. Furthermore, it is a blessing to
the nation that the water resources, supporting fourteen million people living in the
Keihanshin region, are a source of aquatic and tourism wealth. It is therefore necessary
to keep these resources sustainable.
References
ILEC. 2005. Managing Lakes and their Basins for Sustainable Use: A Report for LakeManagers and Stakeholders, International Environment Committee Foundation
Lake Biwa Comprehensive Preservation Liaison Coordination Council and Lake Biwa
Comprehensive Preservation Promotion Council, 2003. Lake Biwa Comprehensive
Preservation Initiatives – Seeking Harmonious Coexistence with the Lake’s Ecosystem– http://www.mlit.go.jp/crd/daisei/biwako_hozen/pamphlet/pamphlet_en.pdf
Shiga Prefectural Government: Environment of Shiga
http://www.pref.shiga.jp/multilingual/english/environment/
Shiga Prefectural Government: Mother Lake 21 Plan
http://www.pref.shiga.jp/biwako/koai/mother21-e/index.html

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Fig. 5.4.2 IWRM spiral of Lake Biwa
[Interviewee: Mr. Masaki Hirowaki, Mr. Shinsuke Nishikawa, Mr. Kazutaka Sakiya(Shiga Prefectural Government, Japan)][Interviewee: Mr.Yasuhiro Ochii, Mr. Koichi Takano (Japan Water Agency)][Report: Mr. Masaki Hirowaki, Mr. Shinsuke Nishikawa, Mr. Kazutaka Sakiya(Shiga Prefectural Government, Japan), Mr.Yasuhiro Ochii, Mr. Koichi Takano(Japan Water Agency)]

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5.4.2 Extracted Key for Success (Lake Biwa)(1) Extracted Key for Success from Lake Biwa

Reference to 5.4.1 Case Story (Lake Biwa)[ Title ]Legislative framework for conﬂict resolution between upstream area – the Lake Biwa basin– and downstream area
[ Situation ]New source for water is sought due to overuse of groundwater, urbanization and industrialization
After World War II, the Japanese economy enjoyed soaring growth. Heavy and chemical industries weredeveloped in the coastal Osaka Bay area, Osaka and Kobe (Hanshin) coastal industrial region.These industries
sought water from groundwater sources. Moreover, Osaka Prefecture, which is a central part of the region,used groundwater as a main source for its waterworks. Consequently, land subsidence occurred caused byexcessive pumping of groundwater, which later became a major problem in the region.
Demand for domestic water also increased as the population grew in the Hanshin region. So in addition to
the industrial water sector, the domestic water use sector also sought new water sources from the Yodo Riverand Lake Biwa. For that reason, LBCD was conceptualized.
[ Problem ]Due to the long history of conﬂicts between upstream and downstream residents,the formulationof a program negotiated by prefectural governments proved difﬁcult.
Conﬂicts arose because of ﬂood management and water use issues between residents in Lake Biwa
basin and the downstream riparian residents.
In April 1956, the Lake Biwa Comprehensive Development Council was founded through thecollaboration of Kinki Regional Bureau of the Ministry of Construction and related downstream andupstream prefectural governments. In July 1968, a preliminary agreement was reached with basic
framework of comprehensive development that included both water resource development for thedownstream area and regional development for the upstream area. Shiga Prefecture, whose jurisdiction
covers almost the entire Lake Biwa catchment area, insisted that LBCD should not only beneﬁt thedownstream area but also the upstream area for its regional development. Shiga Prefecture also insistedon the need for speciﬁc national legislation.
[ How the problem was overcome ]Framework for cost allocation stipulated in the Special Law for Lake Biwa Comprehensive
Development sought to resolve conﬂicts between the upstream and downstream areas.
The ‘Special Law for Lake Biwa Comprehensive Development’ was enacted in June 1972. The law
provides legal grounds for establishing the national ten-year term plan. The law also provides legal
grounds for allocating special funds from the national government. The rates of national government’s
subsidies were set higher than that stipulated in other related laws. It also stipulates a special costcovering arrangement for upstream Shiga prefectural and local governments for their projects, such as
for the construction of sewerage systems, by transferring funds from downstream prefectural and local
governments. These integrated efforts thus changed the situation and brought coordination forward.
[ The Key ]The ‘Special Law for Lake Biwa Comprehensive Development’ stipulates the IWRM
implementation process,including measures that strengthen beneﬁts and ensures the framework
for cost allocation. Having sufﬁcient legal back-up, the coordination activities of IWRM wascarried out and resolved the conﬂicts between the upstream and downstream areas. It could
also prevent practical problems from arising, reduce the time required for coordination, andrealize early beneﬁt of the program.
>>> [5.2.2] It is advisable to deﬁne frameworks for coordination, consensus building andimplementation/evaluation of IWRM related plans in legislation.
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5 – GOOD EXAMPLES[ Attachment Materials ]Fig. 5.4.3 Systems of Lake Biwa Comprehensive Development Program• Special funds from national government
The national government endowed special funds (by raising the ratio of national government’s
subsidy to prefectural and local governments) to many projects implemented as part of the Lake
Biwa Comprehensive Development Plan.
• Funds transfer by downstream prefectural and local governments
The prefectural and local governments downstream, beneﬁciaries of the lake development projects, shared the expenses of the regional development projects in the areas of lake conservation,
ﬂood control, and water use programs implemented by Shiga Prefectural and local governments
in Shiga Prefecture. The share of the funds transferred from downstream governments to Shiga
governments was determined among downstream governments in accordance with the water
volume to be supplied by the newly developed lake water resources (40 m3 per second in total).
The amount of funds transferred by the downstream governments totalled approximately 60.2
billion yen. In addition, Osaka and Hyogo prefectures loaned Shiga Prefecture funds totalling 5 billion yen.
• Lake Biwa Management FundTo ﬁnance the cost of maintenance of the facilities constructed by Lake Biwa Comprehensive
Development and other maintenance costs of Lake Biwa, Shiga Prefecture established the Lake
Biwa Management Fund with approximately 10 billion yen in ﬁscal year 1996, when the Lake Biwa
Comprehensive Development Plan ended.
Fig. 5.4.4 Special Financial Measures in ‘The Special Law for Lake Biwa Comprehensive Development’

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(2) Extracted Key for Success from Lake Biwa

Reference to 5.4.1 Case Story (Lake Biwa)[ Title ]Formulation of comprehensive conservation plan with the participation of all stakeholders
in the basin[ Situation ]Water quality in Lake Biwa had been deteriorating
Previously, the degree of limpidity of the Lake Biwa was originally very high; it was once possible
to see more than 10 m below the water surface. However, in the latter half of the 1950s, increasing
pollutants into the lake led to eutrophication. The ﬁrst problems of inﬁltration arose in Kyoto city in
1959, followed by freshwater red tide ﬁrst occurring in 1977, and blue-green algae blooms in 1983.
[ Problem ]Deterioration of water quality in Lake Biwa was caused by all the activities in the Lake Biwa
basin
The causes of the deterioration include the increase of domestic waste water, and livestock waste
and drainage from farmland. As the area was vast and many people were affected, basin-wide and allhands efforts were necessary to improve water quality.
[ How the problem was overcome ]Bottom-up approach, by which citizens’ movement triggered actions of prefecture and ﬁnallyresulted in the actions of national government, led to the establishment of a participatory
and comprehensive conservation plan.
The red tide outbreak in May 1977 led residents to take action to prevent further eutrophication.
An increasing number of citizens became involved in environmental protection resulting in a prefecturewide campaign to stop the use of synthetic household detergents containing phosphorus, one of the
major causes of eutrophication.
As a result of this movement, Shiga Prefecture enacted the Eutrophication Prevention Ordinancein 1979 to prevent the eutrophication of Lake Biwa by controlling inﬂows of nitrogen and phosphorus
for the ﬁrst time in the nation. The ordinance bans marketing and the use of phosphorus-containing
synthetic detergent. It also comprises regulations on industrial wastewater together with guidelines
for reducing nitrogen and phosphorus from domestic and agricultural wastewater. Furthermore, tomeet the need for environment protection and to resolve the problems of Lake Biwa, the Shiga Basic
Environment Ordinance, aimed at securing a healthy and high quality environment, was enacted in
March 1996.
Meanwhile, the Lake Biwa Comprehensive Development Plan contributed, to a considerable
extent, in maintaining a sustainable environment as a result of water quality conservation projects
such as the construction of sewage systems.
In response to these efforts of prefectural government and residents in the Shiga prefecture,comprehensive surveys were conducted by the ministries and agencies concerned. According to thesurvey outcome, Shiga Prefecture set up the Lake Biwa Comprehensive Conservation Plan (MotherLake 21) in which all stakeholders in the basin – residents, enterprises, water use associations,municipalities, prefectures and national government – were prompted to participate in conservation
actions such as advocating farmers to introduce environmentally-friendly agriculture, and advisingresidents to reduce pollutants in domestic wastewater. Participation is encouraged within theinstitutional system at each lake-inﬂow river basin level based on the plan. The plan also stipulated
that it be reviewed and modiﬁed every ten years.

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5 – GOOD EXAMPLES[ The Key ]Residents in the basin recognized the problem of water quality in Lake Biwa as their own
problem, and they started citizens’ campaigns. This movement not only had an effect on
prefectural government and the establishment of ordinances but it forced the prefecture
to approach national government for further action. Mother Lake 21, which was established
as a consequence of such activities, encouraged the participation of all stakeholders in thebasin, and stipulated that it should be reviewed and modiﬁed periodically.
>>> [1.1.2] Consider a signiﬁcant change in the basin as a chance to move IWRM
forward, and recognize and understand such changes as early as possible.
>>> [3.1.1] Prepare a framework for stakeholder participation to build consensus
among stakeholders.
>>> [4.2.2] Continuously monitor and evaluate the effectiveness of the IWRM activities(plans, projects, infrastructure, legal framework, organizations, etc) in the basin.
>>> [5.1.1] Advocate the importance of water resource management at the basin
level and promote coordination among all sectors to be addressed in policies andnational strategies.
[ Conditions and limitations in applying the KFS ][ Ideas for enhancing the applicability of the KFS ]Fig. 5.4.5 Objectives and road map of Mother Lake 21

Fig. 5.4.6 Structure of stakeholders’ participation)

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5.5 MURRAY-DARLING RIVER (AUSTRALIA)
5.5.1 Case Story (Murray-Darling Basin)
Facts

Ref. to KFS

1. Background/problem/issues
The Murray-Darling Basin (MDB) is the sixth largest river basin in the world
covering 1,073,000 sq. kilometers. It supports a population of approximately two
million, in addition to another million who are externally dependent. The majorityof the land is arid or semi-arid, with evaporation (mean of 1,200 mm/year) generally
exceeding rainfall (mean of 450 mm/year). Flow is highly variable with annual runoff
ranging from 2,500 to 40,000 GL, averaging 24,000 GL, of which about 11,250 GL/
year is diverted mainly for irrigation. There has been no substantial ﬂows to the sea
for a number of years. The difference between inﬂows and diversions is lost throughevaporation and seepage. Much of the basin is also characterized by a very low
gradient with a decrease in elevation of only 200 m over 1,000 km. Consequently, thebasin has little capacity to ﬂush itself of salts and sediments, making the system more
vulnerable to water quality issues.

Fig. 5.5.1 Murray-Darling River Basin
The basin produces approximately 40 per cent of the nation’s agricultural income. As well
as being a major source of Australia’s irrigation water, the basin is also the major source
for stock and domestic water supply in South Australia. Approximately two thirds of thebasin’s ﬂow (90–95 per cent) is primarily diverted for irrigation. This water diversion has
generated many economic and social beneﬁts, however this on top of widespread native
vegetation clearing has led to a drastic decline in the ecological health of the basin’s rivers
and wetlands. A number of catchments and aquifers in the MDB suffer from over-use of
their water resources.

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Facts
Ref. to KFS
Until recently, in Australia the states have been responsible for the management ofwater resources. This has been a fundamental challenge for the MDB as it comprises
parts of ﬁve separate jurisdictions. With the new institutional arrangements for
managing the MDB, created by the Commonwealth government’s Water Act 2007/8
and a referral of powers by the states, this has now changed. The new organization,
which has replaced the Murray-Darling Basin Commission, is the Murray-Darling Basin
Authority.
Previously, the institutional and regulatory fragmentation made it difﬁcult toeffectively address the basin’s key natural resource management problems. The key
challenges for the MDB include over-allocation of water resources, increasing conﬂict
between competing water users in the face of climate variability, and restoring theenvironmental condition of the system.
2. Management phases and institutional strengthening (top-down but bottomup enablement)
The management of the MDB has evolved through time following a spiral ofmanagement whereby the river basin organization matures in response to new economic,
social, political, and environmental pressures. The ﬁrst phase of the MDB’s spiral ofmanagement begun over a century ago due to conﬂicts over the use of the River Murraywaters between the states of New South Wales, Victoria and South Australia. Each of
the states wanted to secure its rights for using the water for their own citizens. At thetime, New South Wales (NSW) and Victoria wanted to develop the river for irrigation,
whereas South Australia wanted the river developed for navigation.The Commonwealthgovernment previously had no rights in managing the water resources of the basin.
The ﬁrst River Murray Waters Agreement, which set out the water entitlement ofeach state, was signed by the Federal, NSW, Victoria and South Australia governments
in 1915. The agreement also gave provision for the regulation of the river through theconstruction of a number of weirs, storages and locks. A number of amendments weremade to the agreement in parallel to changes in community values and the economy.
For much of the twentieth century, the management of the basin focused on water
quantity. It wasn’t until the 1982 amendment that the River Murray Commission’s role
was extended to deal with water quality issues.
Problems of environmental degradation escalated and it was eventually recognizedthat such issues extended across state boundaries and thus cooperation between
states was needed. The federal and relevant state governments negotiated the MurrayDarling Basin Agreement in the mid-1980s, which aimed to coordinate and promote
effective planning and management of the basin. The River Murray Water Agreement
was replaced by the Murray-Darling Basin Agreement in 1992, which was ratiﬁed in
1993 by all contracting governments giving it full legal status. The 1992 agreement
aimed to ‘promote and co-ordinate effective planning and management for the equitable,
efﬁcient and sustainable use of the water, land and other environmental resources ofthe Murray-Darling Basin through the creation of water sharing arrangements andwater management process’.
The resulting partnership between the Commonwealth, New South Wales,Victoria,
South Australia and Queensland governments has provided for an integration ofpolicies and programs across the basin. Three institutions were established to support
the implementation of the agreement:

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FactsRef. to KFS• The Murray-Darling Basin Ministerial Council – the decision-making body.
• The Murray-Darling Basin Commission – the executive and advisory arm of theCouncil.
KFS• The Community Advisory Committee – who provide the Council with advice from
5.5.2 (1)a community standpoint.
These have now been replaced by similar bodies under the Commonwealth Water
Act 2007/8 with the key difference that the Commonwealth or national government
now plays a much more dominant role. With the exception of a few key issues therole of the states is now advisory. However, even though the Commonwealth controls
high-level policy under the new arrangements the states are still responsible for
implementation.
The Natural Resources Management Strategy is a framework for achieving the aimof the MDB Agreement (now the Water Act 2007/8). The strategy recognizes that acommunity-government partnership is necessary for achieving sustainable resource
management in the basin and empowers the community to tackle local issues in acoordinated and integrated manner.The government currently supports community-led
planning and the implementation of on-ground works with more than 1000 Landcare
Groups in the basin.
Public education was seen as an important part of the process. It was needed
to ensure that people in communities in the Murray-Darling Basin understood thesigniﬁcance of environmental conservation in terms of river basin management as wellas the importance of the changes put into practice in the basin’s water resourcesmanagement. Educational programs were implemented to enhance public awarenessand to help increase understanding of the people in the communities. A particularly
successful programme is ‘Special Forever’, which was implemented jointly by MurrayDarling Basin Commission and the Primary English Teaching Association in the early
1990s and still continues today.

KFS
5.5.2 (2)Between 1993 and 1995, an audit of water use in the MDB was carried out, whichfound that a continuing increase in water diversions threatened the ecological integrityof the river system and its ability to support the region’s economic and social resources.
Subsequent to these ﬁndings, an upper limit on future surface water diversions, referred
to as the Cap, was implemented in 1996. The Cap restricts further increase in water
diversions associated with 1993/1994 levels of development. Under the Cap, newdevelopments were possible as long as the water is acquired through water purchasesfrom existing developments or improved water efﬁciency. Under the Water Act 2007/8
a more comprehensive cap will be introduced (see below).
In 1994, the Council of Australian Governments (COAG), which consists of thePrime Minister, State Premiers, Chief Ministers and the President of the Australian
Local Government Association, agreed on a national reform of the water industry.
Sustainable reform was to be achieved through establishing water allocations andentitlements that were separate from land tenure, water trading, securing water
property rights, allocating water for ecosystems, institutional reform, community
consultation, education and research. The 2004 National Water Initiative is theblueprint for Australia’s water reform and aims to develop national regulatory
standards and improve the economic efﬁciency and environmental sustainability of
the water industry. COAG allocated AUS$500 million to purchase water for the

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Facts
Ref. to KFS
environment in the MDB. COAG also signed the agreement to expand interstatewater trading in permanent water entitlement.Water trading within states has beenpossible since the late 1980s, and a pilot interstate water-trading project allowing
limited interstate trade of permanent water entitlements has been implemented
since 1998. Water trading allows the trade of long-term (permanent entitlements)and short-term (seasonal allocations) water rights between licensed users, which
improves water efﬁciency by transferring water to its highest value use.
The water resources problems of the MDB have been further exacerbated by the
recent widespread drought of southern and eastern Australia. From 2001 to 2007, the
MDB recorded its equal driest six-year period (BOM, 2007), including 2006, which had
the lowest rainfall levels recorded since 1900. Extremely low inﬂows were threatening
the security of the urban water supply in the River Murray. In order to address this criticalsituation, the contingency planning process was established to ensure that the criticalhuman needs are ﬁrst met regardless of the established sharing arrangement between
the jurisdictions (with any additional usage to be repaid later when more normal rainfall
conditions return.) Water trading played a critical role under this special arrangement by
allowing economically effective use of limited water resources and reducing the economic
impact of the drought by 50 per cent.

KFS
5.5.2 (3)KFS
5.5.2 (4)This latest drought spurred concern over critical water shortages in the region andprompted the Prime Minister to announce AUS $10 billion National Plan for Water
Security (NPWS) in early 2007. This was effectively a plan for a new governancearrangement for the MDB, such that the Commonwealth government will take over the
management from the competing state governments.The NPWS also includes improving
water efﬁciency through modernization of irrigation infrastructure, a new sustainable Capon surface and groundwater use, addressing water over-allocation, and the establishmentof the Murray Darling Basin Authority (MDBA) to act as an independent body to develop
and implement the new Basin Plan.Agreement was ﬁnally reached by all the states for the
Commonwealth take over in March 2008. The Environmental Water Scientiﬁc Advisory
Committee, consisting of a panel of scientiﬁc experts, was appointed in November 2008
to help ensure that the best possible outcomes for MDB rivers and wetlands are achieved
from the use of water purchased.
A spiral of management is clearly demonstrated in the progression of the
management system of the MDB. The management of the basin was initially statebased, focusing on consumption and navigation issues (Craik and Cleaver, 2008). The
declining ecological health of the system along with the increasing awareness of theinterconnectedness of environmental problems led to the management system gradually
evolving to an integrated, basin-wide natural resources management system.
3. How did the MDBC and now the MDBA facilitate IWRM?
• Basin-wide natural resource management policies, e.g. Basin Salinity Management Strategy, Native Fish Strategy, Algal Management Strategy, Floodplain
Wetlands Management Strategy, Human Dimension Strategy.
• Facilitate stakeholder engagement through the CAC and Landcare.
• Bottom up, consensus-based policy development.
• Top-down governmental and institutional mechanisms.
• Long-term planning – ‘Environmental Watering Plan’, ‘Environmental Management Plans’.
• Adaptive management framework – Assess-Plan-Implement-Monitor-Evaluate cycle.

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FactsRef. to KFS

Fig. 5.5.2 Management Framework
4. Performance and accountability
The Sustainable Rivers Audit (SRA) is a comprehensive monitoring program
launched by the MDBC to assess the ecological health of the Basin’s 23 river valleys
and regions using quantitative data gathered by the state agencies. The SRA collects
data on environmental indicators (‘Themes’) – Hydrology, Fish and Macroinvertebrates– using standardized protocols for both sampling and analysis throughout the MDB.
The condition ratings of the themes are combined to assess ecosystem health, which isthen related to a benchmark ‘reference condition’.The ﬁrst SRA report was completed
in 2008 and prior to this there were no basin-wide assessments of river condition for
the MDB. SRA reports will be released every three years, providing information about
trends in river health and helping to develop and monitor management strategies.
The new MDBA is moving towards having an Integrated Basin Reporting
framework, so that the environmental, social and economic outcomes of thevarious programs managed previously by the MDBC can be considered jointly,
rather than in isolation, as it had been done up until recently. The reporting
process can play a key role in adaptive management; it enables review of plansand programs through documentation of monitored results, and an evaluation ofprogress towards meeting set targets. Currently, this type of reporting is carriedout annually but unevenly by the Catchment Management Authorities (CMAs) toaccount for their activities and achievements. The MDB is composed of 17 CMAs.
5. Challenges• Cross-jurisdictional policy and legal arrangements.
• Policy coherence and coordination amongst catchment management authorities,
and with state and federal departments.
• Public involvement in policy and planning frameworks.
• More research and training in developing water plans and capacity building amongst
water planners.
• Reducing scientiﬁc uncertainty and increasing transparency of the process fordetermining environmental allocations and ecological objectives.
• Institutional capacity (ﬁnancial, human, intellectual) of catchment-based institutions(Hussey and Dovers, 2007).

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Facts

Ref. to KFS

References

Craik, W. and Cleaver, J. (2008) Institutions and incentives for promoting better policies
and outcomes: challenges of achieving environmental outcomes that require coordination across multiple jurisdictions. Murray-Darling Basin Commission. MDBC Publication
No: 45/08.
http://www.mdbc.gov.au/__data/page/15/
Institutions_and_incentives_for_promoting_better_policies_and_outcomes.pdf
Hussey, K. and Dovers, S. (2007) Managing Water for Australia: the Social and Institutional
Challenges. CSIRO Publishing,Victoria.
Murray Darling Basin Commission website: www.mdbc.gov.au
Murray Darling Basin Commission Annual Report:
http://www.mdbc.gov.au/subs/annual_reports/ar0405/5_corporate_governance.htm
National Library of Australia Interview with Bruce Campbell, Aug 18, 2008
National Water Commission Australian Water Markets Report 2007-2008
Connell, D. (2007) Water Politics in the Murray-Darling Basin.

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Fig. 5.5.3 IWRM spiral of Murray-Daring River[Interviewee: Mr. Daniel Connell, Mr. Peter Crabbe, Ms. Rebecca Nelson(Murray Darling Basin Authority)][Interviewer: Ms. Junko Sagara (CTI Engineering)][Report: Prof. Anthony. Jakeman (Member of the Steering Committee),Ms. Serena Chen (Australian National University), Ms. Junko Sagara (CTI Engineering)]

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5.5.2 Extracted Key for Success(1) Extracted Key for Success from Murray-Darling Basin Reference to 5.5.1 Case Story (Murray-Darling Basin)[ Title ]Community consultation and participation in decision-making[ Situation ]Promoting and coordinating planning and management within the basin
Problems of environmental degradation escalated in the basin, and it had become apparent that such issues
extended across state boundaries and thus cooperation between states was needed. Institutional framework
for basin management cooperation among states had to be reformed to address the environmental problems
requiring coordinated and effective planning and management of the basin.
[ Problem ]Equitable, efﬁcient and sustainable use of the water, land and other resources needed to beensured across the basin
In addressing the water needs of each states as well as the environmental degradation issue, which
extends across state boundaries, cooperation between states needed to be strengthened.
[ How the problem was overcome ]Community consultation and participation was ensured in decision-making through major
community engagement components established within the overall institutional framework
The Community Advisory Committee (now re-titled the Basin Community Committee under the Water
Act 2007/8) has been a major community engagement component in the Murray-Darling Basin.
In 1992 the River Murray Water Agreement was agreed by the relevant states to promote and coordinate
effective planning and management for equitable, efﬁcient and sustainable use of the water, land and otherenvironmental resources of the basin through the creation of water-sharing arrangements and water
management process. The Murray-Darling Basin Ministerial Council, the Murray-Darling Basin Commission(MDBC) and the Community Advisory Committee (CAC) were established to support the governance of theAgreement.
The CAC was appointed to advise the Ministerial Council on natural management issues in the basin froma community perspective, including indigenous issues. The CAC facilitates stakeholder engagement programs
as well as providing two-way communication between the basin community and the MDBC and Ministerial
Council. The CAC disseminates information to the community of decisions made by the Ministerial Council
to help increase understanding, and thus ownership and adoption of the decisions.
The CAC (now BCC) is led by community leaders who have high credibility among the community
members.
[ The Key ]In order to ensure equitable, efﬁcient management, and the sustainable use of water resources,
transparency and accountability as well as adequate community consultation and participation,
are important factors in a decision-making process. By deﬁning community consultation and theparticipation process within the overall institutional framework, the community was empowered
and the ownership and adoption of the decisions made by the Ministerial Council was enhanced.
>>> [3.1.2] Ensure involvement of all relevant stakeholders.
CAC was led by community leaders who had high credibility among the community. They are
individuals who are well versed with the issues in the basin and are capable of working withpeople from all backgrounds; from the local farmers to scientists to politicians. The efforts ofsuch charismatic individuals greatly contributed to the water reform in Murray-Darling Basin.
>>> [3.1.3] Select lead coordinator(s) (organization or individual) whom the maximum
possible stakeholders participating in the process can accept.
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Reference to 5.5.1 Case Story (Murray-Darling Basin)[ Title ]Enhancing public awareness[ Situation ]Ensuring public awareness and support in implementing policy changes
Problems of environmental degradation escalated and it had become apparent that such issues
extended across state boundaries and thus cooperation between states was needed. The institutionalframework for basin management cooperation among states had to be reformed in order to address theenvironmental problems, which required support from the public.
[ Problem ]It was vital that people in the basin understood the importance of the changes implemented in
the basin’s water resources management
It was vital that communities in the Murray-Darling Basin understood the signiﬁcance of environmental
conservation in river basin management, and the importance of the changes implemented. Education wasseen as particularly important.
[ How the problem was overcome ]Public awareness was enhanced through an environmental education program implemented
in primary schools
Special Forever is an environmental communications project jointly initiated by the Murray-Darling
Basin Commission and the Primary English Teaching Association in 1993. Every year, approximately
20,000 primary school students across the basin participate in Special Forever learning about the uniqueenvironments that make up their local area and the Murray-Darling basin as a whole as well as theseverity of the problems it faces. By targeting primary school students, it created greater discussion on
the basin in families as parents worked together with the children on the projects.
Currently the public in the Murray Darling Basin has a high level of awareness and is generally supportiveof the policies implemented in the basin for enhancing its sustainability. It has also led to raising the proﬁleof the Murray-Darling Basin. Although it was intended that the project should run for only two years, itcreated such enthusiasm amongst schools, students and communities within the Murray-Darling Basinthat it successfully continues to this day.
[ The Key ]Through interactive educational activities targeting primary school children, greater awarenesson the environmental issues in the basin, not only among children but also their families, wasachieved.
What and how the children learn inﬂuences the ways in which they interact with their local
environment throughout their lives. It also leads to greater awareness and engagement on
the part of their families and communities on river basin issues. It is important to makeenvironmental education locally relevant.
>>> [1.3.2] Facilitate awareness-raising through the utilization of topics, materials andprocesses familiar to the public including those who are usually outside of the watersector.
>>> [1.3.3] Introduce educational activities on water and IWRM, focusing particularly on
women and children.
[ Conditions and limitations in applying the KFS ]The program can be effectively implemented through an organization such as a teaching association.
An essential feature of the success of Special Forever is the use of a national professional organizationsuch as the Primary English Teaching Association. This has ensured an extremely high level of quality
assurance and adherence to current national best practice in teaching.
[ Ideas for enhancing the applicability of the KFS ]Make local water and environmental issues as key components of primary education.
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5 – GOOD EXAMPLES(3) Extracted Key for Success from Murray-Darling Basin
Reference to 5.5.1 Case Story (Murray-Darling Basin)[ Title ]Contingency measures to secure critical water demands[ Situation ]Addressing crisis water shortage situation due to severe drought
From 2001 to 2007, the MDB recorded its equal driest six-year period (BOM, 2007), including 2006,
which had the lowest rainfall levels recorded since 1900. Extended dry periods together with a highpressure on the system due to high irrigation water demand and high temperature was causing severe
water shortages in the basin.
[ Problem ]With the severe water shortage condition, the provisions under the existing water-sharing
agreement among states could not ensure provision of water for critical urban needs
The Murray-Darling Basin system had never experienced such pressure on the system.The commission
predicted that if the low inﬂow continued there was a high chance that the reserves would become
empty and that some of the critical urban water requirement in South Australia wouldn’t be met. The
existing water allocation needed to be reviewed.
[ How the problem was overcome ]A contingency water allocation arrangement was agreed by the relevant states with thefundamental principle that critical human needs will be provided regardless of jurisdiction
Building upon the existing water allocation agreement, a special water-sharing arrangement was agreed
upon by the relevant states as a contingency measure. The fundamental principle agreed was that criticalhuman needs will be provided regardless of jurisdiction. An equal amount of water was allocated for allstates with a small entitlement for the environment, recognizing that the environment will also be under
severe stress under such circumstances. The agreement was reached on a promise that any losses orgains in the distribution resulted from this special arrangement will be accounted for once more water
becomes available in the basin. Such an arrangement was possible because of the existing framework forcooperation among the states and that in general they have come together in a spirit of cooperation.
[ The Key ]The fundamental principle identiﬁed that critical human needs were the ﬁrst priority andevery effort was to be made to provide water regardless of jurisdiction. Coordination among
stakeholders through a political process is crucial especially at a time of crisis. One cannot
predict and prepare for all possible extreme events in the future; however, it is desirable to have
ﬂexibility for securing critical water needs in times of extreme events such as droughts, as well
as a coordination framework among the stakeholders that allows for such an arrangement.The
negative impacts due to such extreme events have to be endured by all the stakeholders in thebasin. Therefore the arrangement must be socially justiﬁable and equitable in nature, and thetransparency in the process needs to be ensured.
>>> [1.2.1] Identify potential priority areas (critical locations and key issues) for IWRM
implementation in the basin.
>>> [3.2.4] Consider ways, including policy interventions, to secure water supply at
extreme events.
[ Conditions and limitations in applying the KFS ]A good working relationship and a spirit of coordination exists among stakeholders through a politicalplatform for transboundary water. Addressing a crisis situation in a cooperative manner requires a goodworking relationship and a spirit of coordination among stakeholders. Political commitment is crucial tomaking such arrangements work.
[ Ideas for enhancing the applicability of the KFS ]True public participation of water user groups.

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(4) Extracted Key for Success from Murray-Darling Basin
Reference to 5.5.1 Case Story (Murray-Darling Basin)[ Title ]Reducing the economic impacts of severe water shortages[ Situation ]Addressing crisis water shortage situation due to severe drought
From 2001 to 2007, the MDB recorded its equal driest six-year period (BOM, 2007), including 2006,
which had the lowest rainfall levels recorded since 1900. Extended dry periods together with a highpressure on the system due to high irrigation water demand and high temperature was causing severe
water shortages in the basin.
[ Problem ]The economic impacts due to prolonged droughts needed to be minimized
The basin produces approximately 40 per cent of the nation’s agricultural income, and is a major
source of irrigation water as well as for stock and the domestic water supply. Due to the severe andprolonged drought period, the basin’s economic activities were being impacted. It was ensured that water
was allocated for critical needs and that the beneﬁts of limited water be maximized.
[ How the problem was overcome ]Water trading played a fundamental role in meeting critical and high value water uses
The government introduced a national water initiative in 2004 and prime water security plan in 2007
to buy back water entitlement in order to increase water security for water users including for theenvironment, in addition to introducing water saving technologies.
Water trading allows the trade of long-term (permanent entitlements) and short-term (seasonal
allocations) water rights between licensed users, which improves water efﬁciency by transferring water
to its highest value use. Water trading within states had been possible since the late 1980s. Interstatewater trading was ﬁrst implemented as a pilot project in the 1998, and full implementation was agreed
in 2004.
Trading activity increased as a consequence of the drought, especially during the summer months,
the highest demand season. In the 2007–8 ﬁscal year, about 30 per cent of water used was traded, and
it is estimated that economic impacts of droughts was reduced by 50 per cent. Governments in recent
years have also sought to increase environmental water ﬂows in the basin by purchasing water accessentitlements from willing sellers, which has been heightening water demand and mobilizing the watermarket. The total value of the transactions in the 2007–8 ﬁscal year was estimated to be approximately
AUS $1.68 billion across the country, and much of that took place in the Murray-Darling Basin.
[ The Key ]Water trading provided incentives among the users to conserve water as well as to use it for
more economically valuable activities, mitigating the severe economic impacts of droughts.
>>> [3.2.8] Consider introducing incentives for coordinating water uses in case of
emergency situations such as drought.
[ Conditions and limitations in applying the KFS ]An information management system and infrastructure that allow management of water
trading and actual water transfers.
[ Ideas for enhancing the applicability of the KFS ]Policy controls to ensure water is traded in an environmentally sustainable manner. The
effectiveness of water trading may be enhanced by introducing water banks, whereby bidders canbuy and sell water on-line. An on-line water bank provides an opportunity for transparent and open
water trading among users.

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5.6 NEGRO RIVER (ARGENTINA)
5.6.1 Case Story (Negro River)
Facts
Ref. to KFS
1. Main challenges in the middle of twentieth Century
The Negro River Basin is located in northern Patagonia, Argentina, and has an area of
116,000 sq. kilometers. It encompasses the territory of the Neuquén province and a partof the Río Negro and Buenos Aires provinces (AIC, 1997, 1998a). The upper basin on theeastern slopes of the Andes has dense forests, with heavy rainfall and snowfall, close to 3,000
mm/year. The middle and lower basins extends to the Patagonian steppe in the east. The
shrubby vegetation and pastures belong to a rainfall regime not greater than 200 mm/ year.

Fig. 5.6.1 Negro River Basin
The Negro River runs through arid tablelands in a valley of varying width. It has areduced slope and numerous secondary branches that are in spate with high waters. The
mean annual discharge is 930m3/s. The Limay and Neuquén rivers are its main tributaries
with basin areas of 56,000 and 30,000 sq. kilometers and mean annual discharges of 650
and 280m3/s, respectively.
The Neuquén gets ﬂooded from both rain and snow. The ﬁrst ﬂood occurs in winter,mainly in May–August when 80 to 90 per cent of the yearly precipitation occurs. Much ofit accumulates as snow in the upper basin (AIC, 1997). The rain in the middle and lower
zones produces the winter ﬂood.The second more moderate ﬂood generally occurs at theend of spring (November–December), mainly from snowmelt.
A hydrological regime of mixed rain and snowfall origin also characterizes the upper
reaches of the Limay River and its main tributary, the Collón-Curá.This is further attenuatedby the presence of natural lakes located at the headwaters of almost all their important
tributaries (AIC, 1997). The winter ﬂood is from rainfall while the late spring ﬂood is fromsnowmelt.
The main challenges in water resources management in the middle of twentieth century
were ﬂood control and the increase in demand for power generation for development(Pochat, 2001).
Flood control: Fear of the Limay and Neuquén ﬂoods grew with the increasing paceof development of the Negro valley (AIC, 1998b). Peak discharges greater than 5,000 m3/s
caused by simultaneous ﬂoods in both rivers occurred in the Negro in 1899, 1915, 1932,
1937, 1940, 1945 and 1958.

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Hydroelectric production: Since 1967, the development of electricity generation
has been carried out by a national state-owned company, Hidronor S.A. In order tomeet with the demands since the end of the 1960s, many dams were constructed mainly
for ﬂood control and hydropower generation.Currently, the total installed capacity ofhydropower generation is 4,460 Mw, and the mean annual energy generation is 13,652
Gwh, equivalent to about 50 per cent of the country’s hydroelectric energy production
and about 20 per cent of Argentina’s interconnected system generation. The estimatedhydroelectric potential is about 33,000 Gwh/year (Pochat, 2001).

Fig. 5.6.2 Dams in the Negro River BasinControlling ﬂoods on the Neuquén River is a dam built in 1915 called Ingeniero
Rodolfo E. Ballester. A canal with a projected capacity of 2,000 m3/s discharges theﬂood waters to a natural depression, the Pellegrini lake, which has an area of 100 sq.
kilometers.
Towards the end of the 1960s, it was decided to construct the El Chocón-Cerros
Colorados hydraulic development complex, mainly to control ﬂoods. The complex
comprises three different water works on the Neuquén River: the Portezuelo GrandeDam, the Loma de la Lata control structure and the Planicie Banderita power plant(479 Mw). A compensating dam, El Chañar, constructed afterwards, gives greater
independence to the operation of the power plant.
On the Limay, El Chocón was the ﬁrst water work constructed to control ﬂood.
At maximum normal operating level its reservoir can store 20,000 hm3. From May
to August, the level is kept 3.5 m lower, leaving a volume of 2,800 hm3 available toaccommodate probable ﬂoods. It also has a powerhouse with an installed capacity of
1,200 Mw.
The Arroyito Dam, built in order to regulate the El Chocón discharges, plays no rolein ﬂood control. Its power plant has an installed capacity of 120 Mw.
The Alicurá Dam, further upstream on the Limay River, has a powerhouse with an
installed capacity of 1000 Mw. Piedra del Águila and Pichi Picún Leufú dams downstream of
Alicurá, have power plants with installed capacities of 1,400 and 261 Mw, respectively.

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Facts

Ref. to KFS

2. Recognition of new needs and problems
Following development in the basin, other needs for water resources were raised suchas irrigation and water supply for urban and industrial use. The development of urban areas
caused the partial deterioration of water quality. Furthermore, the environmental situationin and along the river was altered due to the construction and operation of the dams.
In terms of environmental deterioration, this basin is far better than other zones inArgentina (AIC, 1997). However, the disposal of untreated domestic waste is causing partial
deterioration of water quality. The fragility of some mountainous areas and the torrential
character of runoff contribute to high soil erosion, a phenomenon aggravated in large
areas by excessive sheep grazing. The ﬂood control works have substantially modiﬁed thenatural hydrological regime and have brought about alterations in the environment. The
disappearance of important ﬂoods has suppressed the self-cleaning effect in the river beds.
The exploitation of the Neuquénian hydrocarbon basin, widely extended in the region,
is a permanent threat to vegetal and animal species as well as surface and groundwater
sources. Excess salinity in the agricultural drainages is altering the water resource quality.
Uncontrolled utilization of agrochemicals and pesticides, and inadequately treated industrial
wastes, are others sources of water pollution.
The size of the dams and reservoirs constructed in the area, as well as the major
increase in population living downstream, has made dam safety a primary concern of thecommunity. For many years the Federal Government, through Hidronor S.A., was in chargeof the design, construction and operation of these developments. The existence of large
dams raised another fear: a dam break could cause a ﬂood far greater than any historicalﬂood, and greater than the probable maximum ﬂood. The design of a dam should study thepossible catastrophic situations and include action plans for emergencies (ORSEP, 1998).
3. Approach for integrated management and the impact of the national policy for
privatization
In order to deal with those new challenges in terms of water resources management,
the Negro river basin riparian provinces, Neuquén, Río Negro and Buenos Aires, together
with the national government, decided in 1985 to establish an institution. A treaty creating
the Autoridad Interjurisdiccional de las Cuencas de los Ríos Limay, Neuquén y Negro (AIC)(Interjurisdictional Authority of the Limay, Neuquén and Negro River Basins) was signed
on 16 November 1985. The treaty was ratiﬁed by laws of the three provinces in 1986 anda National Law in 1990.
Although AIC commenced activities in 1991, its importance was reinforced in 1993
during the time of the privatization of the hydroelectric works in the basin and the farreaching changes in the regulation of the electric system at national level (AIC, 1998a).
The provinces participated in working out the guidelines on subjects related to water
management schemes and aspects of environmental management for the preparation of
the hydroelectric concession contracts. Following special agreements with the Secretary ofEnergy of the national government, the AIC was deﬁned as the Authority of Application as
regards concession contracts in matters dealing with water management and environmental
protection.
Also in 1993, and on the basis of an agreement between the Federal Government and theProvincial Governments of Río Negro, Neuquén, and Buenos Aires, the Organismo Regionalde Seguridad de Presas Comahue (ORSEP Comahue) (Dam Safety Regional Bureau Comahue)
was created by National Executive Decree. This institution, the ﬁrst of its kind in Argentina,
is responsible for the technical regulatory functions and the supervision of the structuralsafety of the dams and reservoirs in the region (ORSEP, 1998). In 1999 it became a Regional
Directorate within the national Organismo Regulador de Seguridad de Presas (ORSEP) (Dam
Safety Regulating Bureau).

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1) AIC: Basin authority
AIC was formally constituted on 20 March 1991, with a Governing Council consistingof the Minister of the Interior and the governors of Buenos Aires, Neuquén and Río
Negro.The decisions of the Governing Council are executed by an Executive Committee
comprising one representative from each signing party of the treaty.
AIC has the following functions:a) Carries out studies and research that evaluate the resource and respects the principle of rational use, and allows an efﬁcient and adequate distribution that satisﬁes
the needs of regional development.
b) Establishes a program of use and distribution of water resources.
c) Controls the fulﬁllment by the signatory parts of the regime.
d) Studies and analyzes the works, their behavior and the effects of implemented developments.
e) Decides on the hydropower works to be installed in the basin.
f) Carries out studies on the ecosystems of the basin.
g) Carries out research and surveys, executes projects and purchase, builds, operates
and maintains installations to detect and/or control the pollution of the basin water
resources. Proposes to the signing states the adoption of regulations and actions
aimed to prevent, void and correct polluting processes.
h) Resolves on granting of concessions and permissions for navigation.
i) Establishes technical regulations for determination of the bank line, separating public
and private properties of the basin watercourses.
j) Carries out research in order to propose measures to preserve the river banks.
k) Centralizes the existing and future information related to the resource – meteorological, hydrographic, hydrometric, hydrogeologic, or any other necessary data.
l) Stores and provides the information required by the provincial, inter-provincial andnational bodies.
m) Administers the funds related to the Authority.
n) Proposes taxes and other revenue raising measures to the parties.
Initial funding for AIC’s activities was raised from compulsory contributions from theconcessionaires of the hydroelectric power plants. The amount was spent on systematizing
and defense works in several reaches of the rivers. The contracts also stipulate anotherpermanent contribution, proportional to the value of the total energy generated.

KFS5.6.2 (2)AIC has been playing an important role in facilitating integrated water management.
Although so far it has been working mainly within the intergovernmental sector, it
is now fostering a greater participation of other stakeholders of the basin, such asusers organizations, non-governmental organizations, universities, and so on throughrepresentatives from the three provincial governments.
2) ORSEP: Organization in charge of dam safety
ORSEP Comahue was organized into different sectors: three technical areas thatcomprise administration and accounting, legal advice, and internal auditing. It also has
advisers on geology, hydromechanics, and social communication. The technical team is
made up of twelve permanent qualiﬁed professionals with more than ten years experienceon dam engineering. Consulting services are eventually contracted for speciﬁc issues.
Functioning expenses are ﬁnanced with contributions from the National Treasure as well
as taxes on hydroelectric generation, as stated in the concession contracts.

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Facts
•
•
•
•
•
•
•

Ref. to KFS

The main responsibilities and activities of ORSEP can be summarized as follows:
Supervision of concessionaires’ monitoring work.
Supervision and approval of projects and performance of remedial measures.
Appointment of independent consultants for periodic dam inspections and precisedeﬁnition of their scope.
Management of a database with all monitoring records.
Preservation of technical documents.
Supervision on implementing and updating an Emergency Action Plan.
Promotion of a constant communication program to inform people about dam safetyissues (ORSEP, 1998).

Under the contracts of concession, the operating companies are obliged to takeall necessary steps to maintain the physical integrity, the proper functioning, and thesafety of the hydroelectric complex, costs which are borne by the concessionaires.
The corresponding concessionaires or the Federal Government – depending on eachparticular case – bear the cost of remedial works, as follows:a) Works that originate from problems on dam performance, dam operation or lack ofmaintenance are borne by the concessionaires.
b) Works that originate from changes or updating of design during the ﬁrst ten yearsof the concession are borne by the Federal Government. Five percent of the annual
cost is transferred to the concessionaire who, after thirty years, is expected to bear
the total cost.
ORSEP always veriﬁes and approves all the projects and works carried out. The entity
is entitled to require technical inspections of any of the works by independent consultants.
These inspections should be afforded by the concessionaires (ORSEP, 1998).
The Comahue Regional Directorate of ORSEP has developed a wide-ranging public
relations programme addressed to all the communities in the region, which goes beyond
its speciﬁc remit to maintain a high level of safety in the dams and reservoirs. This
program involves, inter alia, the holding of public meetings, brieﬁngs for the press andfor educationalists, and the maintenance of permanent contacts with the media and theworld of public relations. At the same time, it takes part in meetings of Civil Defense
organizations and university seminars, and it is present at every kind of formal gathering
where these topics are raised.

KFS5.6.2 (2)KFS5.6.2 (3)Photo. 5.6.1 ORSEP public relations programme
The new system, which involves a state regulatory entity and private concessions, has
shown a signiﬁcant improvement in dam safety supervision, implementation of remedial
work, and emergency action plans.

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FactsRef. to KFS

References
This Case Study has been prepared on the basis of these valuable publications:
AIC (Autoridad Interjurisdiccional de las Cuencas de los Ríos Limay, Neuquén yNegro), 1997. La cuenca de los ríos Limay, Neuquén y Negro, AIC, Cipolletti.
– 1998a. Trianuario. Primera edición. Período 1993/96, AIC, Cipolletti.
– 2001. “El control de las crecidas – Sistema de Emergencias Hídricas y Mitigacióndel Riesgo”, AIC, Cipolletti.
– 1998b. Secretaría Técnico-Institucional, El control de las crecidas. Sistema deemergencias hídricas y mitigación del riesgo, AIC, Cipolletti.
ORSEP, 1998, Dam safety in the Comahue Region of Argentina, F.L.Giuliani
and C.A.Yema, Organismo Regional de Seguridad de Presas del Comahue-ORSEPComahue.
ORSEP booklet, “Aprendiendo a convivir con las presas”, http://www.orsep.gov.ar/archivos-pdf/convivir-presas.pdf
ORSEP, 2008, “Gestión 2003-2007, ORSEP-Organismo Regulador de Seguridad de
Presas”, http://www.orsep.gov.ar/archivos-pdf/libro-institucional.pdf
Pochat,V., 2001. River basin management in Argentina:An analysis of the Negro basin,
in “Integrated River Basin Management. The Latin American Experience”, A.K.Biswas
and C.Tortajada editors, Oxford University Press, New Delhi.

Fig. 5.6.3 IWRM spiral of Negro River[Interviewees: Mr. Ing. José Luis Valicenti, Mr. Ing. Aníbal Ginés Asensio, Mr. Jorge
A. P. Fouga (AIC*1), Mr. Ing. Carlos Alberto Rocca, Mr. Ing. Oscar Elpidio Navarro,
Mr. Ing. Felipe Ricardo Budén (HISSA*2), Mr. Ing. Gustavo L. Franke (ORSEP*3),
Mr. Ing. Néstor Srebernic, Mr. Ing. Fabián Restelli (HEC*4)][Interview & Report:Víctor Pochat, Member of the Steering Committee,
Mr. Masato Toyama, CTI Engineering]*1 AIC: Autoridad Interjurisdiccional de las Cuencas de los Ríos Limay, Neuquén y Negro*2 HISSA: Hidoronor Ingeniería y Servicios S.A.
*3 ORSEP: Organismo Regulador de Seguridad de Presas*4 HEC: Hidroeléctrica El Chocón S.A.

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5.6.2 Extracted Key for Success(1) Extracted Key for Success from Negro River

Reference to 5.6.1 Case Story (Negro River)[ Title ]National policy and needs are important to promote an integrated approach[ Situation ]New problems after basin development
In order to meet the socio-economic demands and needs for development in the basin since theend of the 1960s many dams were constructed for ﬂood control and hydropower generation. Following
the development in the basin, additional needs for water resources were raised such as irrigation andwater supply for urban and industrial use. The development of urban areas caused partial deteriorationof water quality. Furthermore, the environmental situation in and along the river was altered due to theconstruction and operation of dams.
[ Problem ]Institutional changes with establishment of a basin authority
In order to deal with the new challenges faced by water resources management, the Negro river basin
riparian provinces, Neuquén, Río Negro and Buenos Aires, felt the necessity for a strong coordinatedauthority and thus decided in 1985 to establish an institution together with national government. A
treaty creating the Autoridad Interjurisdiccional de las Cuencas de los Ríos Limay, Neuquén y Negro (AIC)(Interjurisdictional Authority of the Limay, Neuquén and Negro River Basins) was signed in 1985.
Although the AIC commenced activities in 1991, its importance was reinforced in 1993 during the timeof privatization of the hydroelectric works in the basin and the far-reaching changes in the regulation of
the electric system at the national level.
[How the problem was overcome ]Reinforcement of the basin authority according to national needs
The provinces participated in working out the guidelines on subjects related to water management
schemes and aspects of environmental management for the preparation of the hydroelectric concession
contracts. Following special agreements with the Secretary of Energy of the national government, AIC
was deﬁned as the Authority of Application of the concession contracts in matters dealing with water
management and environmental protection.
Initial funding for AIC’s activities was raised from compulsory contributions from the concessionairesof the hydroelectric power plants. The amount was spent on both systematizing and defense works
in several reaches of the rivers. The contracts also stipulate an additional permanent contribution,
proportional to the value of the total energy generated.
[ The Key ]The AIC, the basin authority, was established according to the pressing needs/intention of
governments at national and provincial levels. It plays a role at the coordination level.
>> [5.1.1] Advocate the importance of water resource management at the basin leveland promote coordination among all sectors to be addressed in policies and national
strategies.
>> [5.2.2] It is advisable to deﬁne in the legislative framework: a coordination mechanism,
consensus building, and implementation/evaluation of IWRM related plans.
[ Conditions and limitations in applying the KFS ]Change of national policy or government intentions, including those at provincial level, is a good
opportunity to start or push forward an IWRM approach.
[ Ideas for enhancing the applicability of the KFS ]Although AIC has been working mainly within the intergovernmental sector, it is now fostering
greater participation of other stakeholders in the basin such as users organizations, non-governmentalorganizations, and universities through representatives from the three provincial governments.

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(2) Extracted Key for Success from Negro River

Reference to 5.6.1 Case Story (Negro River)[ Title ]Securing permanent ﬁnance for coordination activities[ Situation ]Establishment of new institutions after the privatization of the hydropower scheme
In order to deal with the new challenges faced by water resources management, the Negro river basin
riparian provinces, Neuquén, Río Negro and Buenos Aires, decided to establish an institution in 1985
together with the national government. A treaty creating the Autoridad Interjurisdiccional de las Cuencas
de los Ríos Limay, Neuquén y Negro (AIC) (Interjurisdictional Authority of the Limay, Neuquén and Negro
River Basins) was signed in 1985. Although the AIC commenced activities in 1991, its importance wasreinforced in 1993 during the time of the privatization of the hydroelectric works in the basin and the
far-reaching changes in the regulation of the electric system at the national level.
Conversely, on the basis of an agreement between the Federal Government and the Provincial
Governments of Río Negro, Neuquén, and Buenos Aires, the Organismo Regional de Seguridad de Presas
Comahue (ORSEP Comahue) (Dam Safety Regional Bureau Comahue) was created by National Executive
Decree. This new institution, the ﬁrst of its kind in Argentina, is responsible for technical regulatory
functions as well as the supervision of the structural safety of the dams and reservoirs in the region andis therefore the body responsible for enforcing compliance within the structural norms and standards,
as determined by the concessionary contracts drawn up by the Federal Government and privateinternational consortia.
[ Problem ]Affordable funding at the initial stage
It is difﬁcult to secure funding to start coordinating functions at the initial stage of the IWRM approach.
[How the problem was overcome ]Governmental support and compulsory contributions
Initial funding for AIC’s activities was raised from compulsory contributions from the concessionairesof the hydroelectric power plants. The amount of contribution corresponds to 0.5 per cent of power
generation and is spent on both systematizing and defense works in several reaches of the rivers. The
contracts also stipulate an additional permanent contribution, proportional to the value of the totalenergy generated.
As for dam safety, either the corresponding concessionaires or the Federal Government – dependingon each particular case – bears the cost of remedial works as follows:a) Works that originate from problems on dam performance, dam operation or lack of maintenance areborne by the concessionaires.
b) Works that originate from changes or updating of design during the ﬁrst ten years of the concession
are borne by the Federal Government. Five percent of the annual cost is transferred to the concessionaire who, after thirty years, is expected to bear the total cost.
[ The Key ]Permanent support by the public is the key to securing the funds needed for coordination. It is
desirable for governments to contribute funds towards coordination particularly at the initialstage.
>> [5.3.1] Secure ﬁnancial resources for IWRM coordination in order to promote IWRM
in the basin.
[ Conditions and limitations in applying the KFS ]Setting up of an institutional mechanism for funding including compulsory contributions. At
the initial stage, the main users, or the richest sectors, have a role in contributing considerable
ﬁnancial support.
[ Ideas for enhancing the applicability of the KFS ]Beyond the implementation phase, there are several possible ﬁnancing options such as sharing part ofthe cost among stakeholders or by establishing a fund. Either way, securing sustainable funds is crucial to
the success of IWRM.
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5 – GOOD EXAMPLES(3) Extracted Key for Success from Negro River

Reference to 5.6.1 Case Story (Negro River)[ Title ]Share information broadly with the public[ Situation ]Operation and maintenance of dams and dam safety as a matter of concern
A series of signiﬁcant hydropower schemes including large dams has been constructed since the endof the 1960s.The dams have played an important role in the development of both the area and the wholecountry.The dimensions of these dams and reservoirs upstream have made dam safety an important issue
in the community. For the past 25 years the Federal Government, through its state-owned corporation,
Hidronor S.A., was in charge of the design, construction and operation of the hydraulic developments in
the region, including dam safety issues.
[ Problem ]Privatization and division of the operation of hydropower schemes
As a result of the modernizing reforms and the re-structuring of national assets carried out by the Federal
Government, the operation of the Comahue region’s hydropower schemes was privatized in 1993.
[How the problem was overcome ]Establishment of a special agency for dam safety and the promotion of information sharing
On the basis of an agreement between the Federal Government and the Provincial Governments of
Río Negro, Neuquén and Buenos Aires, the Organismo Regional de Seguridad de Presas Comahue (ORSEPComahue) (Dam Safety Regional Bureau Comahue) was created by National Executive Decree.This new
institution, the ﬁrst of its kind in Argentina, is responsible for technical regulatory functions as well as thesupervision of the structural safety of the dams and reservoirs in the region and is therefore the body
responsible for enforcing compliance within the structural norms and standards, as determined by theconcessionary contracts drawn up by the Federal Government and private international consortia.
The establishment by the state of a speciﬁc organization dealing with the supervision of dam safety andregulation of the large hydropower complex of the Comahue region has been an important institutional
development in Argentina. The new system comprising a State regulatory entity and private concessions
has resulted in signiﬁcant improvements in terms of dam safety supervision, implementation of remedial
work, and emergency action plans.
In addition to regulation and supervision, ORSEP pays special attention to communicating dam safety
conditions to the public through both information dissemination and the promotion of educational activities
such as the production of several booklets and ﬁeld studies for school students. Experience has shown that
this policy has had a positive effect as opposed to the lack of information that existed in the past.
[ The Key ]A speciﬁc agency responsible for dam safety has been gathering and disseminating information
on dam safety and the risk of dam break to the public through a website, booklets for students,
signage in towns indicating evacuation procedures in case of a dam break, and so forth.
>> [1.3.1] Proactively disclose information is a fundamental activity in IWRM.
>> [1.3.3] Introduce educational activities on water and IWRM, focusing particularly on
women and children.
[ Conditions and limitations in applying the KFS ]Promoting information and educational activities to facilitate public awareness needs funding at a
certain level.
[ Ideas for enhancing the applicability of the KFS ]Prepare a funding mechanism to secure continuity and sustainability.

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5.7 SACRAMENTO - SAN JOAQUIN RIVER (UNITED STATES OF AMERICA)
5.7.1 Case Story (Sacramento - San Joaquin River)
Facts

Ref. to KFS

1. Introduction – California Water Projects: Central Valley Project (CVP) and State
Water Project (SWP)
There is a growing dilemma faced by California’s water supply and demand: precipitation
and runoff are high in Northern California and the eastern side of California (Fig. 5.7.1) while
the demand centres are in the semi-arid part of Southern California comprising Los Angeles
and the San Diego Area as well as the San Francisco Bay Area (Fig. 5.7.2).The issue is therefore
how to supply water from Northern California to the demand area in Southern California,
and more importantly, how can the water be used more efﬁciently in order to relieve theecological stresses of Northern California’s Delta area.

Fig. 5.7.1 California’s Water Supply

Fig. 5.7.2 California’s Water Demand(Courtesy of District of Water Resources, State of California)

The conventional way of dealing with this dilemma was to construct a series of dams andcanals to convey water from north to south California.These projects were built over a 50-year
period and funded by a combination of local, state, and federal agencies (Fig. 5.7.3).
The earliest projects were built by local entities. The city of San Francisco built the Hetch
Hetchy Aqueduct in 1923, which included the O’Shaughnessy Dam.The Hetch Hetchy Valley was
ﬂooded in order to supply water from eastern Sierra Nevada to San Francisco. Other early projects
include the Los Angeles Aqueduct built by Los Angeles in 1913; and the Colorado Aqueduct,
which commenced deliveries from the Colorado River and was built by the Metropolitan Water
District of Southern California in 1941. The purpose of these projects was to supply water tourban areas, and for irrigation.
In the 1920s, California undertook a study and determined that additional water projects wereneeded to speciﬁcally convey water to the Northern Sacramento Valley and Northern San Joaquin
Valley.The projects were designed to provide additional irrigation water for an expanding farming
community.The state intended to build these projects and sell bonds in the early 1930s. However,
due to the severe economic depression of the 1930s, the projects could not be ﬁnanced. The
Federal Government therefore stepped in and took over construction as part of the ‘New Deal’economic public works program. This project was called the Central Valley Project (CVP) andwas operated by the U.S. Bureau of Reclamation.This water was heavily subsidized by the Federal
Government so that farmers could obtain water at a fairly low price, which lead to inefﬁciencies
in its use.This project was completed between the late 1940s and early 1950s.
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Facts
Ref. to KFS
After completion of CVP, water demand still continued to increase due to rapid
population growth following World War II. In 1957, the ﬁrst California Water Plan
revealed the need for additional water projects to move water from Northern
California to Southern California. In 1960, voters approved a US$1.76 billion bondto establish the State Water Project (SWP). Though the initial facilities, including theOroville Dam and the California Aqueduct, were completed in 1973, the expansion of
SWP facilities continues and about US$10 billion has been spent to construct, operate
and maintain the project and repay the bonds.
The main purpose of SWP is to supply water for mostly urban and industrial uses.
The project diverts and stores surplus water during wet periods and distributes it toareas of need in Northern California, the San Francisco Bay Area, the San Joaquin Valley,
the Central Coast, and Southern California. In addition, other project beneﬁts include
ﬂood control, power generation, recreation, ﬁsh and wildlife enhancement, and water
quality improvement in the Sacramento – San Joaquin Delta.

Fig. 5.7.3 California Water Project(Courtesy of District of Water Resources, State of California)

2.The Sacramento - San Joaquin Delta
The Sacramento – San Joaquin Delta (hereinafter ‘the Delta’) is located at the
conﬂuence of Sacramento and San Joaquin rivers (Fig.5.7.4). It has an area of about
738,000 acres (about 3,000 sq. kilometers), of which 520,000 acres is used for
agriculture. Forty-seven per cent of state runoff passes through the Delta and about
65 per cent of runoff, which ﬂows into the Delta, is conveyed to Central and Southern
California. Water released at upstream reservoirs is pumped from the south Delta(The Harvey O. Banks Delta Pumping Plant and the Tracy Pumping Plant) into the
California Aqueduct and CVP canals. Hence the Delta is the hub of state and federalwater projects. These projects supply water for 23 million Californians, and provide
irrigation water to 6 million of acres agricultural land.

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FactsRef. to KFS

The Delta is an estuarine marsh and brackish-water region. There is a network ofchannels and sloughs that intersect the land in the Delta, which are ‘islands’. It is also known
as an important ﬁsh habitat. A combination of both fresh and salt water as well as the ﬂat
topology of the Delta creates a unique estuarine habitat. Examples of the several ﬁsh species
that live in the Delta are Chinook salmon and Delta smelt. Many species are in decline andare protected by state and federal laws for endangered species.

Fig. 5.7.4 The Delta (Sacramento - San Joaquin Delta)(Courtesy of District of Water Resources, State of California)

Furthermore, the Delta area occasionally suffers from ﬂooding, as a result the islands
are surrounded by 1,100 thousand miles (1,800 km) of levees in order to protect theagricultural lands (Fig.5.7.5). Recently, the risk of ﬂooding has grown due to a combinationof land subsidence, sea level rise, and levee instability. In addition, seismic issues appear to
be one of the main concerns because of the likelihood of a major earthquake within thenext thirty years. It is anticipated that sea level rise will continue to be a signiﬁcant factor
because of climate change.

Fig.5.7.5 Aerial photo of the Delta

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Facts
The issues in the Delta are complex and affect different aspects of water management
such as urban water use, ﬂood control, and aquatic environmental needs. Due to these
conditions, the operation of both CVP and SWP is clearly difﬁcult and the fact thatthe management of these projects is separated – CVP is operated by the U.S. Bureau
of Reclamation while SWP is operated by the Department of Water Resources, Stateof California – makes it difﬁcult to coordinate operations. However, one positive
development arose in 1995 when the operations of both projects were housed in thesame building thereby facilitating the daily decision process and information exchange.
The projects’ daily operation could therefore be linked.
3. CALFED and Delta Vision
California suffered severe drought from 1987 to 1994. Water availability decreased
to such an extent that some agricultural users received no water deliveries from
SWP. At that time, conﬂicts over the Endangered Species Act and Delta water quality
between the state and the federal government appeared resulting in confusion in water
use and environment protection strategies during this critical drought period. Lessons
learned from this confusion led to the establishment of CALFED, a consortium offederal and state government, and a CALFED Record of Decision (ROD) was signed in
2000. In the ROD, the agreed key objectives in the implementation of the Bay – Delta
Program were:

Ref. to KFS

KFS5.7.2 (1)KFS5.7.2 (2)1) Water Supply Reliability,
2) Ecosystem Restoration.
3) Water Quality.
4) Levee System Integrity.
Furthermore, the state government organized a task force to develop a durable
vision for the sustainable management of the Delta (the Delta Vision). Its goal is to
manage the Delta over the long-term in order to restore and maintain identiﬁed
functions and values that are deemed important to the environmental quality of the
Delta and the economic and social well-being of the people in the state. In December
2008, a Strategic Implementation Plan was also developed.

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Fig.5.7.6 IWRM spiral of Sacramento – San Joaquin River[Interviewee: Mr. Stephan Kashiwada, Mr. Kamyar Guivetchi, Mr. Paul Marshall,
Mr. Michel Miller, Ms. Tracie Billington, Mr. Meritt Rice (DWR*1), Mr. Michael Deering,
Mr. Tomas Evans (HEC*2), Mr. Francis Piccola, Ms. Alicia Kirchner,
Mr. Miki Fujitsubo (SPK*3)][Interviewer:Mr.Yasuhiro Ochii, Mr. Koichi Takano (Japan Water Agency)][Report: Dr. Eugene Z. Stakhiv (Co-chair of the steering committee), Mr. Yasuhiro Ochii,
Mr. Koichi Takano (Japan Water Agency)]*1 DWR: Department of Water Resources, State of California*2 HEC: Hydrologic Engineering Center, US Army Corps of Engineers*3 SPK:Sacramento District, US Army Corps of Engineers

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5 – GOOD EXAMPLES

5.7.2 Extracted Key for Success(1) Extracted Key for Success from Sacramento - San Joaquin River

Reference to 5.7.1 Case Story (Sacramento - San Joaquin River)[ Title ]Achievement of efﬁcient IWRM for complex multiple-purpose water uses
[ Situation ]The drought of 1987–94 required and catalyzed fundamental changes in California’s water
management
Despite repeated attempts by the California legislature to address the increasing competition for wateramong the urban, agricultural and ecological interests, the problems were not resolved until a severe drought
forced greater cooperation among those interests to more effectively manage this limited resource.
Various legislative initiatives in the late 1950s clariﬁed water allocation and priorities for users, as well
as secured water rights and ﬁnancing from the CVP. The vast infrastructure that was built up in California
provided the ﬂexibility and reliability for various water users and a growing population. The progressive
development of the water resources base in California reached a limit, and the drought of 1987–94 brought
in a new era of IWRM resulting in greater cooperation and more efﬁcient demand management in terms ofwater conservation, increased pricing of subsidized water, more effective contingency drought management,
and more integrated operation of the water infrastructure.
[ Problem ]As projects were operated and managed by different bodies, linkages to project operation was
ineffective
CVP and SWP were implemented by different agencies: the U.S. Bureau of Reclamation for CVP, and theDepartment of Water Resources, State of California for SWP. Water is pumped at the southern Delta into
canals by both projects and issues such as environmental protection in the Delta reached crisis point suchthat coordinated and careful operation was needed.
[ How the problem was overcome ]In 1995, the operation room of both projects was housed in the same building thereby
facilitating the daily decision process and information exchange. The projects’ daily operation
could therefore be linked
By having the operations room of both projects in the same building, operations could be simultaneously
linked. The formulation of the daily decision process achieved information sharing among the different
agencies (Fig.5.7.7).
[ The Key ]Progressive water development, i.e. the expression of supply and availability for various users
must be linked with coordinated management for greater reliability and delivery of services,and more efﬁcient water conservation. The drought of 1987–94 created the conditions underwhich the basic principles of IWRM could be instituted.
>> [1.1.2] Consider a signiﬁcant change in the basin as a chance to move IWRM forward,
and recognize and understand such changes as early as possible.
[ Conditions and limitations in applying the KFS ]Anticipate and capitalize on instituting major reforms precipitated by major hydrometeorological episodes(droughts, ﬂoods, major infrastructure investments). Changes in water management are an evolutionary
process applied at various levels of government and based on an accumulation of numerous ideas, whichhave been tested and peer-reviewed.The basic point is that basin development and management plans must
be prepared in advance; they must be sorted in terms of priorities based on cost-effectiveness, and must bepolitically negotiated and prepared for any eventuality.

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[ Ideas for enhancing the applicability of the KFS ]Major catastrophic changes such as massive urban ﬂooding, levee breaks, and failure of existing institutions
to cope with those catastrophes offer a new platform for introducing the best of the tested ideas, regulatory
reforms, legislative initiatives and technologies and, most importantly, to build the necessary political coalitions
to implement those changes. However, these ideas and options for reform must be compiled, discussed anddebated in advance of and in expectation of a more intense drought or larger ﬂood of record.
[ Attachment Materials ]Fig. 5.7.7 Daily Decision Process(Source: Courtesy of Department of Water Resources, State of California)

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5 – GOOD EXAMPLES(2) Extracted Key for Success from Sacramento - San Joaquin River
Reference to 5.7.1 Case Story (Sacramento - San Joaquin River)[ Title ]Effectively coordinating and integrating water management of different levels of government[ Situation ]Conﬂicts among users appeared explicitly due to severe drought
California suffered severe drought from 1987 to 1994. Water supply greatly decreased such that
agricultural water use was severely constrained.At that time, conﬂicts over the Endangered Species Act andDelta water quality between the state and the federal government occured and resulted in confusion aboutpriorities in water use and environmental protection strategies.
By the 1980s, a vast and complex water management infrastructure was built up in California consistingof levees, aqueducts, canals, reservoirs and pipelines that provided the water supply for the rapidly growing
large urban centres in Southern California, and fed the growing agricultural sector in the Central Valley of
California. Agricultural irrigation demands accounted for 85 per cent of the total water use in California.
The extended drought of 1987–94 severely stressed their complex system and forced the various levelsof government and management agencies to cooperate and coordinate the operation and management of
their respective projects. CALFED was created as the coordination entity, which brought in a new era ofcooperation and integrated water management.
[ Problem ]Although there were several epochs of comprehensive water development plans (CVP, SWP),
there was no effective comprehensive water management plan that kept up with the growing
demands and conﬂicts among users
The progressive transfer of water from Northern California severely stressed the hydroecology ofCalifornia’s rivers and the Sacramento – San Joaquin Delta area.Although there were many legislative efforts
to reform the fragmented system of federal, state and local water management institutions, it was not until
the severe drought of 1987–94 that a degree of cooperation was forced in order to resolve the conﬂicts
among users during periods of scarcity, and to improve water management at all levels of state and federal
regulatory agencies.
[ How the problem was overcome ]Formulation of a management framework and operational plan was based on an equitableconsideration of multiple goals that preceded longer-term coordination
As a result of lessons learned from these conﬂicts, a consortium of the federal and the state government
CALFED was established and a CALFED Record of Decision (ROD) was signed that instituted thesepriorities and institutional relationships.
In the ROD, the agreed key objectives in the implementation of the Bay – Delta Program were:
1) Ensure Water Supply Reliability.
2) Provide for Ecosystem Restoration.
3) Protect Water Quality.
4) Ensure Levee System Integrity.
Furthermore, the State Government organized a task force to develop a durable vision for the sustainable
management of the Delta (the Delta Vision). Its goal is to manage the Delta over the long-term in order torestore and maintain identiﬁed functions and values that are deemed to be important to the environmental
quality of the Delta and the economic and social well-being of the people in the state. In December 2008,
a Strategic Implementation Plan was also developed. These plans were developed with considerable public
input to further improve integrated water management.
[ The Key ]CALFED was organized on the basis of an existing, physically integrated water delivery
infrastructure, whose management and operation was not well-coordinated.The drought forced
the different agencies and regulatory bodies to work together more effectively and efﬁciently

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in order to manage and conserve those resources, to improve the delivery of services, and to
improve reliability and safety of the infrastructure.
>> [3.1.1] Prepare a framework for stakeholder participation in order to build consensus
among stakeholders.
[ Conditions and limitations in applying the KFS ]All developed and most developing nations have existing institutions that manage some aspect of water
resources – mostly in a fragmented decision-making structure. IWRM requires a much higher degreeof coordination among those agencies, as well as an agreement as to common goals and priorities for
management. These agencies, at all levels of government, must cooperate more effectively so as to achieve
greater efﬁciency in managing resources, especially during crisis periods of ﬂoods and droughts, and failures ofexisting infrastructure.The existing institutional infrastructure is the logical and most effective starting point
for implementing IWRM, and catastrophes are events that should catalyze a higher degree of integration
among the existing agencies.
[ Ideas for enhancing the applicability of the KFS ]The ‘subsidiarity principle’ suggests that a higher degree of coordination can be catalyzed at the level
where management, i.e. the delivery of services, is most effective, as in the case of California’s state
government, which brought state, local and federal agencies to both the CALFED process and to devisethe ‘Delta Vision’. Moreover, IWRM can be organized at the national/federal level through an organized,
hierarchical framework which begins with a statement of national water policy, followed by a national water
management planning effort that coordinates the activities of the principal actors in various water use
sectors (energy, agriculture, environment, urban uses, industry, etc.).
[ Attachment Materials ]Delta Vision’s 12 Integrated and Linked Recommendations
1. Delta ecosystem and a reliable water supply for California are the primary, co-equal goals forsustainable management of the Delta.
2. The California Delta is a unique and valued area, warranting recognition and special legal statusfrom the State of California.
3. The Delta ecosystem must function as an integral part of a healthy estuary.
4. California’s water supply is limited and must be managed with signiﬁcantly more efﬁciency to beadequate for its future population, growing economy and vital environment.
5. The foundation for policy making on California water resources must be the longstanding
constitutional principles of ‘reasonable use’ and ‘public trust;’ these principles are particularly
important and applicable to the Delta.
6. The goals of conservation, efﬁciency and sustainable use must drive California water policies.
7. A revitalized Delta ecosystem will require reduced diversions, or changes in patterns and timing of
those diversions, upstream, within the Delta and exported from the Delta at critical times.
8. New facilities for conveyance and storage, and better linkage between the two, are needed tobetter manage California’s water resources the estuary and exports.
9. Major investments in the California Delta and the statewide water management system must be
consistent, and integrate speciﬁc policies in this vision. In particular, these strategic investments
must strengthen selected levees, improve ﬂoodplain management, and improve water circulationand quality.
10. The current boundaries and governance system of the Delta must be changed. It is essential to havean independent body with authority to achieve the co-equal goals of ecosystem revitalization andadequate water supply for California while also recognizing the importance of the Delta as a uniqye
and valued area. This body must have secure funding and the ability to approve spending, planningand water export levels.
11. Discouraging inappropriate urbanization of the Delta is critical both to preserve the Delta’s uniquecharacter and to ensure adequate public safety.
12. Institutions and policies for the Delta should be designed for resiliency and adaptation.
Fig. 5.7.8 Delta Vision’s Recommendations

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Near -Term Actions to Protect the Delta
1. State government should immediately begin acquiring title or easements to ﬂoodplains, establish
ﬂood bypasses where feasible and discourage residential building in ﬂood-prone areas. Land that
could provide ﬂood protection is currently being threatened by urban development.
2. The Governor should immediately issue an Executive Order that provides guidance consistent
with this vision on inappropriate land development in the Delta.
3. State government should promptly set appropriate standards for all levee improvements to protect
heavily populated areas and key parts of the water delivery system and other infrastructure. The
state of California should also use available bond funds to address strategic levee and ﬂoodplain
improvements.
4. State government should embark upon a comprehensive series of emergency management andpreparation actions within a few months; California cannot wait for a ﬂood before planning a
response.
5. State government should promptly incorporate expected sea level increases into decision-making
and improve knowledge of constructing more secure and affordable levees.
6. High priority ecosystem revitalization projects should be pursued aggressively by the responsible
agencies and departments, upon direction by the Governor.
7. Improvements in the current water conveyance and groundwater surface water storage systems
should be pursued as rapidly as possible by the responsible agencies and departments, upon
direction by the Governor.
Fig. 5.7.9 Near-Term Actions to Protect the Delta

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5.8 TAMA RIVER (JAPAN)
5.8.1 Case Story (Tama River)
Facts

Ref. to KFS

1. Characteristics of the Tama Basin
The Tama River ﬂows from its source in Mount Kasatori in Yamanashi Prefecture
down to Tokyo Bay at the river mouth at Haneda. Its total length is 138 km with theriver basin area spanning 1,240 sq. kilometers.The Tama River, which has about 20 million
visitors annually, has several major features in the areas of ﬂood control, water usage,and environmental preservation. In terms of ﬂood control, as shown by the Komae Floodof 1974, the Tama River is set at a relatively steep slope compared with other rivers in
the capital region (Fig. 5.8.1), making it especially susceptible to ﬂooding. In terms ofriver use, it faces issues such as water intake in the upstream areas and the inﬂow oftreated sewage water in the midstream areas. In terms of environmental preservation,authorities implemented the Tama River Environment Management Plan in 1980, the ﬁrst
of its kind in Japan, based on direct dialogue with local residents.
These kinds of efforts to manage the Tama River, through the collaboration of residents
and local government agencies, are considered to be the most progressive in Japan.

Fig. 5.8.1 Tama River
2. River management and environmental conservation through dialogue withresidents
The Tama river basin was rapidly urbanized from the 1960s. The use of riparianzones by communities as well as environmental conservation soon became major
issues. At the beginning of the 1970s, while Tama River’s riparian zones were being
progressively developed and utilized, civil societies became concerned of the decreasingareas of natural land, and civil movements started to appear opposing the developmentof ecologically diverse riparian zones into sports areas. Furthermore, public activities toprotect the river also began to appear.
This context led to the development of the Tama River Environmental Management
Plan in 1980, which was a result of direct dialogue between the administrative agency
and the residents of the basin, and discussed the state of Tama River’s riparian zones asa precious open space in an urban setting. The plan is based on 3 principles:1) provide a place for interaction between the Tama River and its residents;
2) maintain the Tama River’s unique characteristics; and,3) utilize the Tama River’s unique characteristics.

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It provided provisions for the conservation of the natural environment andthe sustainable utilization of Tama River, as shown below. They clearly stated theircommitment to ecological conservation some twenty years before biodiversity
was internationally recognized.
• Five zones were identiﬁed: a human development zone, a facility utilization zone, anenvironmental improvement zone, an environmental utilization zone, and an environmental conservation zone.
• Eight functional spaces were attributed: an evacuation space, a local facility recreational space, a wide-area facility recreational space, a sports/health management
space, a natural recreational space, an educational space, an information space, andan ecological maintenance space.
In 1986, the Minister for Construction, the governor of Tokyo Metropolitan
Government,the governor of Kanagawa prefecture,and heads of related municipalities
assembled for the Tama River Summit and announced a Tama River Summit
Declaration, which called for “passing on the Tama River to the next generation
where everyone can get acquainted with water and greens”. They recognized thatthe environment was an issue that concerned and spanned generations two years
ahead of the Earth Summit in Rio de Janeiro, where ‘sustainable development’ wasﬁrst recognized internationally.
In response to this declaration, the Ministry of Construction, the Tokyo
Metropolitan Government, Kanagawa Prefecture,Yamanashi Prefecture, and related
municipalities in the basin established the Tama River Basin Council in 1987 in orderto promote measures to improve the Tama River environment and to enhance
the interaction of people with water and the environment. They also establishedthe Tama River Week whereby residents and the administrative agencies together
implemented awareness-raising measures.
Furthermore, in 1998, residents, academic experts, basin municipalities, rivermanagers, and other concerned stakeholders established a Tama River Basin
Roundtable in order to promote continuous exchange of information andopinions on Tama River improvement and the basin environment so as to build acollaborative framework with a deeper relationship of trust, and to facilitate looseknit consensus-building towards a ‘good river/good city’ management approach.
The Tama River was transformed into a place where everyone who enjoys theriver can participate in various activities such as children who began to play in thewater again. As a result, the number of people using the river had increased from 6
million to 20 million in one year.
Volunteering activities by civil societies and NGOs are also very active in theTama River. Not only do organizations with same values work under an alliancebut also organizations with different objectives, such as organizations targeting
environmental conservation, social welfare and sports, collaborate with one
another in their activities. There are at least 200 existing organizations, and there
are also organizations that provide networks for various civil groups to exchange
information.

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Fig. 5.8.2 Change in number of people using Tama River(river section under ministry’s direct control)

3.The Fundamental Spirit of Direct Dialogue‘3 principles, 7 rules’ were laid out as the fundamental spirit for dialogue between
the residents and the administrative agencies. As it was supposed that consensus would
not be achieved from the outset, all parties agreed on the importance of discussing theissues on an equal footing while aiming for consensus. The word ‘loose-knit consensus’
was borne from the civil groups.

KFS5.8.2 (1)3 principles
1) Speak freely.
2) Discuss thoroughly.
3) Build consensus.
7 rules
1) Opinions of participants do not represent the ofﬁcial opinion of their organizations.
2) Do not target speciﬁc individual or organization.
3) Discuss under the spirit of fair play.
4) Respect demonstrative data during discussion.
5) Identify the problems and aim towards agreement.
6) Any problems under dispute will be treated from an objective standpoint.
7) When preparing a programme, distinguish them into long-term and short-term
programs, and try to make realistic recommendations.
The typical planning process, led by administrative agencies, tended to be regarded as‘persuading’ residents instead of ‘explaining’ to residents, and it was for this reason thatconﬂicts occurred in some situations. On the other hand, the approach implemented
in the case of the Tama River provided information to civil groups and residents before
the administrators had made up their mind. This enabled civil groups and residents
to discuss any issues, or what they saw as problems, using their networks, and thisencouraged them to communicate their opinions. This made it possible to exchange
opinions while respecting the position and opinions of others, which also led to thebuild-up of trust.

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4. Consensus-building process in the development of the River Improvement Plan
In 2001, the Tama River Improvement Plan – a plan for river improvement for the next
twenty to thirty years – was developed through collaboration with various stakeholders
including residents, municipalities, academic experts and so forth. The key points andinnovations utilized for the consensus-building process are shown below:

KFS5.8.2 (1)(1) Grass roots discussion
Discussions in rooms tend to fall into idealism, which can often lead to conﬂicts. It was
attempted, as much as possible, to bring the discussion to the actual sites. A paper was
prepared summarizing the discussion points. It ensured that the discussion stayed on thesubject and led to a conclusion. The discussion paper even included a zero option of ‘donothing’. It presented every possible option while revealing the option selected by theadministrators, as well as the reason behind its selection.The discussion was taken further
such that the administrators’ logic was questioned, and deemed whether the conclusion
derived from that logic was appropriate.
(2) Joint secretariat with civil groups
The round table was jointly organized by administrators and civil groups with all topics
discussed thoroughly.
(3) Proactive participation of municipalities and civil groups
The issue of the river environment raises fundamental conﬂicts of interest between
municipalities, regional communities and civil groups. In the case of Tama River, this problem
was addressed by organizing ‘River Inspection Tours’ led by the municipalities. Municipalities,
PTA and naturalist civil groups walked together along the river and listened attentively tothe different opinions being expressed.The communication promoted in the activities led tobetter understanding among the residents and civil groups. It also demonstrated that people
value the river environment differently and that one’s point of view alone cannot solve all the
problems. Civil groups also proactively immersed themselves in ‘civil actions’ in which they
organized workshops and prepared proposals for the river improvement plan.
(4) Consensus-building for the plan is a step-by-step process
The draft plan was presented in a phased manner, as follows: preliminary draft plansummary
preliminary draft planﬁrst draft plan
draft plan. The ﬁrst phaseof the preliminary draft plan summary included the presentation of thorough discussions
and several drafts. Consensus at this point was crucial to ensure that the process moved
forward. The topics of discussion were made available on the Internet so that the generalpublic were regularly informed.The various opinions received were also presented with an
explanation of whether the opinions were reﬂected in the draft plan.The entire discussion
process was made available to the public to ensure transparency.

Fig.5.8.3 River Inspection Tour

KFS5.8.2 (2)Fig.5.8.4 Civil Actions

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Fig.5.8.5 IWRM Spiral of the Tama River basin[Interviewee:Yutaka Hosomi, Director of Disaster Prevention and Relief Division, Ministry of Land,
Infrastructure, Transport and Tourism, former Director of KEIHIN Work Ofﬁce, MLIT] Retrospective viewon planning of river infrastructure development project for Tama River system (KASEN (River), 2001.6)[Interviewer: Toshio Okazumi, Director for International Water Management Coordination,
River Bureau, MLIT]

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8.2 Extracted Key for Success(1) Extracted Key for Success from Tama River

Reference to 5.8.1 Case Story (Tama River)[ Title ]Rules for coordination and consensus-building in developing the River Improvement Plan
[Situation]
The Tama River, which has about 20 million visitors annually, has several major features in the areas of ﬂood
control, water usage, and environmental preservation.
The Tama River is susceptible to ﬂooding due to its relatively steep slope compared with other rivers in thecapital region. In terms of river use, upstream water intake and discharge of treated sewage water are issues in the
midstream region. In terms of environmental preservation, authorities implemented the Tama River Environment
Management Plan in 1980 based on direct dialogue with local residents, the ﬁrst of its kind in Japan..
[Problem]Tama river basin was rapidly urbanized from the 1960s. The use of riparian zones by communities andenvironmental conservation became major issues
At the beginning of the 1970s, while Tama River’s riparian zones were being progressively developed andutilized, civil societies became concerned of the decreasing areas of natural land, and civil movements started toappear opposing the development of ecologically diverse riparian zones into sports areas. Furthermore, public
activities to protect the river also began to spring up.There was a need for river improvements in collaboration
with the residents.The major challenge was how to collaborate with the numerous civil groups in preparing theriver improvement plan, and how to achieve consensus.
[ How the problem was overcome ]The ‘3 principles, 7 rules’ were laid out as the fundamental spirit for dialogue between residents and theadministrative agencies.
• 3 principles:1) Speak freely.
2) Discuss thoroughly.
3) Build consensus.
• 7 rules:
1) Opinions of participants do not represent the ofﬁcial opinion of organizations they represent.
2) Do not target speciﬁc individual or organization.
3) Discuss under the spirit of fair play.
4) Respect demonstrative data during discussion.
5) Identify the problems and aim towards agreement.
6) Any problems under dispute will be treated from an objective standpoint.
7) When preparing a programme, distinguish them into long-term and short-term programs and try to
make realistic recommendations.
A plan for river improvement in the next twenty to thirty years was developed through collaboration withthe various stakeholders including residents, municipalities, academic experts, and other concerned stakeholders
through a process described below:• Grass roots discussion: took place as much as possible at the actual sites. The options even included a zero
option of ‘do nothing’: It presented the option selected by the administrators and the reason behind its
selection.
• Joint secretariat with civil groups: meetings were jointly chaired in a round table manner.
• Proactive participation of municipalities and civil groups: the opinions of the residents were collected through‘River Inspection Tours’. Civil groups organized workshops and prepared their proposals.
• Consensus-building for the plan is a step-by-step process: a draft plan was presented several times in a phasedmanner.
[The Key ]A place for direct dialogue with residents/civil groups was agreed, and principles and rules were
established and shared with the residents/civil groups for negotiation.The residents/civil groups andthe administrative agencies worked together in preparing the river improvement plan.

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>>
>>
>>
>>

[2.2.2] It is desirable to start considering the mechanism and course of action forstakeholder participation from the conceptualization phase.
[3.1.1] Prepare a framework for stakeholder participation in order to build consensus
among stakeholders.
[3.2.1] Coordinate in such a way that the resulting changes will be favorable for andequitable among stakeholders.
[3.3.1] Develop a plan that is appropriate and acceptable for all stakeholders at the timeof the agreement.

[ Conditions and limitations in applying the KFS ]Instead of leaving it to the administrators, stakeholders gradually gain a sense of cooperation andparticipation for river management.
[ Ideas for enhancing the applicability of the KFS ]‘Loose-knit consensus-building’: as it is supposed that consensus would not be achieved from the outset,
discuss on an equal footing and aim for consensus through discussion. Do not try to agree on every detail
but try to agree on the basic principles. This facilitates and deepens the discussion and will eventually lead tobuilding consensus.
(2) Extracted Key for Success from Tama River

Reference to 5.8.1 Case Story (Tama River)[ Title ]Ensuring complete accountability by disclosing all information[Situation]
The basin residents had a high level of interest for the environmental conservation of Tama River.There areover 2,000 existing civil groups, and possibly many more in the basin
There are a variety of organizations with diverse values. They focus on various areas such as naturalenvironment, social welfare or sports.
[Problem]
The typical planning process is led by administrators without consultation with residents/civilgroups. Such a process appears to be ‘persuading’ residents rather than ‘explaining’ to them. It
can become a source of conﬂict.
[ How the problem was overcome ]• The draft plan was presented to residents/civil groups in a phased manner before endorsementby the administrator. Thorough discussion was ensured, especially in the initial ‘preliminary
draft plan summary’ phase.
• The topics of the discussion were made available on the Internet so that the general public were regularly informed.The various opinions received were also presented with an explanation of whether theopinions were reﬂected in the draft plan as well as its justiﬁcation. The entire discussion process wasmade available to the public to ensure transparency.
• This gave the residents/civil groups an opportunity to discuss any issues as to the problems they saw,
and this encouraged them to communicate their opinions.This made it possible to exchange opinions
while respecting the position and opinions of others, which also led to the build-up of trust.
[The Key ]All information related to the consensus-building process was disclosed on the Internet fromthe initial planning stage, and opinions were collected in order to reach consensus.
>> [1.3.1] Proactively disclose information, as it is a fundamental activity in IWRM.
[ Conditions and limitations in applying the KFS ]In the case of the Tama River, there was a high level of interest in the water uses among the residents, andnumerous civil groups were actively involved with the river.
[ Ideas for enhancing the applicability of the KFS ]Information disclosure that allows one to see the entire decision-making process.
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5.9 TONE RIVER (JAPAN)
5.9.1 Case Story (Tone River)
Facts
Ref. to KFS
1. ‘Water Stress’ in National Capital Region (Tokyo and its suburbs) during higheconomic growth period
Since 1958 Tokyo has suffered from a chronic restriction of the water supply. This isespecially acute during the summer months when water tank trucks are busy transportingand supplying water to local residents. Although the construction of Ogochi Dam wascompleted in the Tama river in 1957, supplying water at 150 per cent of the planned amountof water to Tokyo, the supply simply could not keep up with the demand. Moreover, as in
the case of industrial water, land subsidence occurred caused by the excessive pumping ofgroundwater. Losses and damages spilled over to all the Tokyo urban districts and werespreading wider and affecting more people.
Meanwhile, the Sumida River travelling through the urban districts was responsible forthe nauseating odors from the waste water coming from households and factories (at thistime ﬁsh no longer inhabited the river). The Sumida River and its surrounding environment
had deteriorated to such an extent that Tokyo City was forced to improve the environment
not least because they were hosting the Tokyo Olympic Games (in 1964).
Furthermore, in the Tone River, river bed degradation had accelerated such that thewater level in the river had sunk even lower. It was therefore unreasonable to draw waterfrom the river. This was further compounded by recurrent droughts and the situation only
worsened. Under such urgent circumstances in the Great Tokyo Metropolitan area, theTokyo metropolitan government sought a new water source in the Tone river basin for bothurban water and water for river puriﬁcation purposes. Meanwhile in the Saitama Prefecture,a need to unify intake facilities had become a concern in the prefectural government.
2. Pipeline route (Dekishima Plan)
In 1958 a plan (Fig.5.9.1) was announced whereby the water produced in upstream dams
would be taken upstream of the river area, with the water being conveyed via a pipeline tothe existing puriﬁcation plant. The reasons outlined were as follows:
1. Pipeline (tunnel) would be advantageous as it required less land.
2. Good water quality can be maintained by drawing water from the upstream river.
3. Water quality would be least affected by conveying water via pipeline.

Fig. 5.9.1 Dekishima Plan

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3. The Water Resources Development Promotion Law and The Water Resources
Public Corporation Law
In order to develop water resources for the entire river basin, the government
decided to establish an implementation body on the basis that an integrated plan forboth ﬂood control and water use had be ensured. According to this policy, the Ministry ofConstruction, the Ministry of International Trade and Industry, the Ministry of Agriculture,
Forestry and Fisheries, and the Ministry of Health and Welfare requested a budget in
the 1961 ﬁscal year so that they could begin to develop water resources from theirown standpoints. The Ministry of Finance however insisted that the plans be uniﬁed,
if they wished their request to be granted. Despite this situation, the ministries werestill separated into two groups: the Ministry of Construction, and a union of the otherministries, which was in charge of the water use sectors.
In April 1961, an order was made by the Prime Minister to unify the ideas and an Economic
Planning Agency led the coordination task among ministries.As there was a strict time limitation– there were only three years left before the Tokyo Olympic Games – the agency had noother option but to submit the bill to the Diet immediately. As a consequence, an agreement
was reached and in November 1961 the Water Resources Development Promotion Law and
the Water Resources Development Public Corporation Law came into effect.

KFS5.9.2(1)In April 1962 the Water Resources Bureau was set up within the Economic Planning
Agency and, in May of the same year, the Water Resources Development Public
Corporation was founded.
4. Utilization of existing canal route (Improving the Minumadai Canal Plan)
In June 1961 a plan (Fig. 5.9.2) was announced whereby an intake uniﬁcation barrage
would be constructed near the existing intake gate of the irrigation canal (Minumadai Canal)
so as to stabilize the intake of water, while agricultural and urban water would be conveyedusing the existing canals. In this plan, a new puriﬁcation plant was to be constructed in thenorthern part of Itabashi, Tokyo, from which urban water was conveyed. The reasons given
to support the plan were as follows:
1. Taking water from the upstream river on a large scale for the urban water supply will
create predominance over vested water rights of downstream farmers and would therefore disregard vested rights.
2. Uniﬁcation of water intake facilities and water intake would enable the integration andrationalization of water use.
3. As water can be supplied to areas traversed by the canal, Saitama Prefecture would also
beneﬁt.
4. As most of the construction works will be so-called ‘open works’, it was possible toshorten the construction time.
5. By proceeding with the construction of the connecting canal between the existing canaland the new water puriﬁcation plant, water could be sluiced in an emergency, which
would help to temporarily supply water to Tokyo where people suffered from chronic
water shortages.
6. This plan would connect two water supply systems in Tokyo, which are geographicallyseparated by its water source – The Tama river basin and the Edo river basin. With thisplan, water can be shared between the two water supply systems.This plan was thus able
to ensure a ﬂexible water supply.

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Fig. 5.9.2 Improving the Minumadai Canal Plan
5. Utilization of the Ara River route (Middle Course)
In 1962 the Tone River system was designated for the ﬁrst time as a river system on
the basis of the Water Resources Development Promotion Law. The Water Resources
Development Public Corporation started to conduct a survey, which they summarized withthe following issues:
1. It is necessary to shorten the construction time so that the Tokyo Olympic Games
would be held in autumn (in 1964) without fail.
2. Coordination is required with mid and downstream stakeholders to obtain water rights
for drawing water from the Tone River.
3. When constructing the connected canal, it is necessary to gain approval from Saitama
prefectural government.
4. Certain measures for the future need to be addressed as water demand is likely togreatly increase in the future.
For those reasons, the Water Resources Development Public Corporation devised aplan (Fig. 5.9.3) entitled ‘Utilization of the Ara River’. It included the uniﬁcation of intake
facilities (barrage construction) and the construction of a 14 km long canal connecting theTone River and the Ara River. At the endpoint of the canal, water is discharged into the Ara
River and conveyed along the river until it is taken up again from Akigase to Tokyo.

KFS5.9.2(2)In March 1963 the Tone connected canal construction project was included in the Water
Resources Development Basic Plan of the Tone River System as a result of long and patient
coordination with the water users as well as the many liaison meetings among ministries
initiated by coordinators. Issues such as water operations, cost allocation, and ownershiprights were discussed together with the water users, and amendments to the original draft
repeatedly incorporated. As a result of these efforts, a detailed plan was formulated andthe implementation plan was conﬁrmed. Moreover, as Saitama prefectural government
recognized the implementation of the plan as a humanitarian issue, and the water users
clariﬁed their position to the Saitama government, they eventually reached an agreement.
From 1964, an emergency water sluice was temporarily set-up and in April 1968, it was
ﬁnally terminated.

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Fig. 5.9.3 Utilize the Ara River Plan

Photo 5.9.1 Tone Canal (Tone Barrage)

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6. After Completion of the Tone Canal (Turning to the Next Spiral)
The Tone canal project played an important role not only in terms of the stableintake of water, thanks to the construction of the intake uniﬁcation barrage, but also interms of the water supply to Tokyo from the Tone River.
Minumadai Canal originally had a water intake facility near the existing Tone diversion
barrage but changed its watercourse from the old intake facility to the intake uniﬁcation
barrage (Tone diversion barrage). As a sediment basin was constructed between thebarrage and the canal, sediment was not taken from the river, which accelerated thedegradation of the canal-bed. Meanwhile, urbanization spread around the Minumadai
canal irrigation area from the late 1950s such that 150 to 300 hectares of cultivatedland was converted into urban areas as well as a total of 1,884 hectares over a periodof ten years from 1960 to 1969.
7. Increasing demand for urban water and the utilization of agricultural water
through modernization of facilities
In 1970, the Ministry of Agriculture, Fishery and Forestry (MAFF) began an investigation
into the utilization of agricultural water. The rapidly urbanized areas were targeted withthe purpose to identify the amount of water possible to convert from agricultural
water use to urban water use. In 1974, as the demand for urban water increased, Saitama
prefecture started unofﬁcial discussions with MAFF regarding the project and in 1976,
the Tokyo metropolitan government also showed concern for the project.

KFS5.9.2 (3)As the coordination process continued among stakeholders, the ‘Saitama intake
uniﬁcation project stage 2’ was set up in 1979 (‘stage 2’ does not include intake
uniﬁcation but it does include the modernization of canal facilities).
8. Agreement to cost allocation
As this project was jointly planned between the agricultural water sector and theurban water sectors, discussions about cost allocation began in 1979. In May 1979
MAFF showed the basic principle for cost allocation: the cost allocation of both theagricultural water use and urban water use sectors ranged across all sections including
one for agricultural use only (except the section for urban water use only). This is dueto the fact that urban water supply can only be achieved by modernizing all sectionsof the canal. This principle was accepted by sectors of both agricultural water use andurban water use. Thus, agreement of the project was reached in September 1979 andconstruction was completed in 1995.

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Fig. 5.9.4 IWRM spiral of Tone River[Interviewee: Hiroshi Ugata (former Tokyo Prefecture Ofﬁcial), Shigemaro Nishina(former Saitama Prefecture Ofﬁcial), Tetsuya Ishii (former director of Tone Canal
Control Center, WARDEC*1)][Interviewer: Toshiyuki Yoshioka,Yasuhiro Ochii, Hideaki Yamamoto, Takeshi
Miyashita, Koichi Takano and Akira Nishimura (Japan Water Agency)][Report: Shinsuke Ota (Co-chair of the steering committee), Toshiyuki Yoshioka,
Yasuhiro Ochii, Hideaki Yamamoto, Takeshi Miyashita, Hiroyoshi Tanaka, Koichi Takano
and Akira Nishimura (Japan Water Agency)]*1 WARDEC: Water Resources Development Public Corporation(now Japan Water Agency)

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5.9.2 Extracted Key for Success(1) Extracted Key for Success from Tone River

Reference to 5.9.1 Case Story (Tone River)[ Title ]Foundation of the coordination and implementation body
[ Situation ]It was necessary to unify two ideas for establishing public corporation
Water demand increased due to rapid economic growth, which was exacerbated by severe drought in Tokyo.
In addition, the water shortage problem needed to be resolved in time for the Tokyo Olympic Games. In order todevelop water resources for the entire river basin, the government decided to take urgent action by developing an
integrated basin-wide water resources development project through coordination among ministries in charge ofeach sector – the ministries were separated into two groups: the Ministry of Construction focused on establishing
the Water Resources Development Public Corporation, and a union of the other ministries focused on establishing
the Canal Project Public Corporation. It was therefore necessary to combine these ideas into one.
[ Problem ]Coordination didn’t proceed due to the uncooperative attitude of sectors
Though it was clear that the efﬁciency level would be raised by unifying these plans, each ministry insisted that
their vested rights would be violated, thus they were uncooperative during the planning process.
[ How the problem was overcome ]Time limitation and stating clear coordination methods among ministries achieved progress
In April 1961, under the jurisdiction of the Prime Minister, the Economic Planning Agency (EPA) started tocoordinate among ministries, with only three years left to the Tokyo Olympic Games. As the deadline approached,
the agency had no other option but to submit the bill to the Diet immediately. In the process, the EPA proposed
the following:
1) EPA will preside water resources policy, the implementation of each project will be negotiated by related ministries responsible for their sector with the ministries enjoying equal status.
2) Coordination will be practiced by the Water Resources Bureau within EPA, which is composed of ofﬁcials seconded from related ministries.
3) The implementation body, the Water the Resources Development Public Corporation (WARDEC), will be governed by EPA and its obligation will be carried out by the seconded personnels from the related ministries.
As a consequence, in November 1961, the Water Resources Development Promotion Law and the Water
Resources Development Public Corporation Law came into effect. In April 1962 the Water Resources Bureau
was set up within EPA and in May of the same year, the Water Resources Development Public Corporation was
founded.
[ The Key ]The EPA, under the jurisdiction of the Prime Minister, stipulated the implementation of faircoordination, which led to the foundation of the IWRM coordination body and implementation
body. Furthermore, the Water Resources Bureau within EPA, the coordination body, and the Water
Resources Development Public Corporation, the implementation body, became a multi-disciplinaryorganization composed of ofﬁcials seconded from related ministries. Although they pushed theiropinions as representatives of their own ministries at ﬁrst, they quickly realized the mutual beneﬁts
to be gained from compromise through coordination, and they became united and promoted project
coordination. Moreover, they occasionally persuaded their own ministries of the advantages.
>> [3.1.3] Select a lead coordinator(s) (organization or individual) whom the maximum possible
number of stakeholders participating in the process can accept.
>> [5.2.2] It is advisable to deﬁne frameworks for coordination, consensus building andimplementation/evaluation of IWRM-related plans in legislation.
[ Conditions and limitations in applying the KFS ]It was achieved because of the severe time limitations imposed by the major national and/or regional events(such as the Olympic Games in this case).
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(2) Extracted Key for Success from Tone River

Reference to 5.9.1 Case Story (Tone River)[ Title ]Project planning, coordinating multiple sectors, and conﬂict resolution[ Situation ]Coordination among sectors was needed because of the time limitation
The Tokyo Metropolitan Government intended to convey raw water directly to a puriﬁcation plant fromboth upstream of the river and a dam reservoir; the initial plan (Dekishima Plan) was proposed by the Ministryof Construction. Conversely, as there were no advantages for agricultural water users in the initial plan, acounter-proposal was planned by the Ministry of Agriculture, Fishery and Forestry.
[ Problem ]Both respective ministries insisted on their countermeasures from their own standpoint raisingobjections to the adverse side’s countermeasures, and no compromise seemed possible
The Tokyo Metropolitan Government insisted on their minimum requirements: to meet the time limitationand to convey water to the existing puriﬁcation plant. It rejected the countermeasures because they didn’t
meet with their requirements. Meanwhile, the agricultural sector insisted that the water supply networks
would be needed to connect with each other and that their plan would help.The situation led to a deadlock.
[ How the problem was overcome ]The middle course proposed by the implementation body was acceptable to each sector
The Water Resources Development Public Corporation indicated a middle course called ‘Utilization of the
Ara River’. It included the uniﬁcation of intake facilities (construction of a barrage) and the construction of a
14 km long canal, which would connect the Tone River and the Ara River.At the endpoint of the canal, water isdischarged to the Ara River and conveyed along the river until it is taken up again from Akigase to Tokyo.
Though this plan was not an ideal plan for either sector, it could be favorable to all the sectors; the Tokyo
Metropolitan government could take water in the upper stream of the Ara River rather than at the point
proposed in the counter proposal. Also, water quality in the urban river could be achieved. The stabilizationof intake of agricultural water was also accomplished by constructing the barrage in the Tone River.Therefore,a preliminary agreement was reached, however Saitama prefecture (representing the agricultural sector) had
difﬁculty in paying the cost and this stalled the agreement. For this reason the Tokyo Metropolitan Government
proposed a cost allocation plan to the agricultural sector such that the Tokyo Metropolitan Government
would pay the same amount as if it implemented the project itself, which was accepted by the agricultural
water sector. This allowed the project to go ahead not least because of the urgency of the situation and thepressure felt by the Tokyo Metropolitan Government.
[ The Key ]As the plan covered the minimum requirements and was acceptable to both the Tokyo
Metropolitan Government and the agricultural sector, the resulting changes for both sectors
were considered favorable.
>> [3.2.1] Coordinate in such a way so that resulting changes will be favourable for andequitable among stakeholders.
Accepting that the Tokyo Metropolitan Government deemed the project to be of high priority,
it proposed a cost allocation method to the agricultural sector in which the Tokyo Metropolitan
Government offered to pay more than the usual cost allocation methods would have applied.
>> [3.4.1] Determine the cost allocation acceptable to all stakeholders by ensuring that it isjustiﬁable.
[ Conditions and limitations in applying the KFS ]In case the situation comes to a deadlock.
1. All the stakeholders recognize the deadlock situation.
2. The proposed alternative is realistic and considerably improves the present situation for each stakeholder.
3. Share of the cost is kept within reasonable limits for all stakeholders.

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5 – GOOD EXAMPLES[ Ideas for enhancing the applicability of the KFS ]By visualizing the degree of satisfaction of all the sectors for each alternative plan, each stakeholder
recognizes his position and accepts the proposal.
Make use of the Pentagram[ Attachment Materials ]Fig. 5.9.5 Visualization of Evaluation results – Pentagram

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(3) Extracted Key for Success from Tone River

Reference to 5.9.1 Case Story (Tone River)[ Title ]Improvement of water budget in the basin without the construction of new facilities (such asdams)[ Situation ]A phase of transferring water entitlement to urban water sector from the agricultural sector
Minumadai Canal originally had a water intake facility near the existing Tone diversion barrage but changed
its watercourse from the old intake facility to the intake uniﬁcation barrage (Tone diversion barrage). As asediment basin was constructed between the barrage and the canal, sediment was not taken from the river,which accelerated the degradation of the canal bed.
Meanwhile, urbanization spread around the Minumadai canal irrigation area from the late 1950s such that
150 to 300 hectares of cultivated land was converted into urban areas as well as a total of 1,884 hectares overa period of ten years from 1960 to 1969.
[ Problem ]Water users’ association insisted no water could be transferred to urban water use without
incentives
Water users’ association insisted that no water rights could be transferred to urban water users becauseof the necessity to supply water to paddy ﬁelds. The embankment was made from earth and farmers needed
to maintain a certain level of water in the canals, which they drew from the canals. They also had to consider
seepage losses. Although modernization of the canals was supposed to resolve the problems, the agricultural
sector were not given any incentives to justify paying the costs.
[ How the problem was overcome ]Transfer of water rights was achieved by modernizing the irrigation canals and incentives wereawarded to the agricultural sectors
Modernization of the irrigation system by lining the canals and equipping check gates made it possible totransfer the water rights from the agricultural sector to the urban water sector. Coordination between the
agricultural sector and urban water users was achieved through agreement on the basic principle for costallocation; the cost of modernizing the entire irrigation system was partly allocated to the urban water users.This
was because transferring water rights can only be accomplished if the entire irrigation system was modernized
and if efﬁciency in agricultural water use was achieved.
This balanced the demand and supply in the basin without the need to implement a new water resources
development infrastructure.Transferring water rights contributed to water management efﬁciency in the basin.
[ The Key ]Recognition of the demand change in the basin, as agricultural water use decreased and urban water
use increased.Transferring water rights not by constructing new facilities but by improving existing
facilities was the best solution to ensure the appropriate balance in water resources managementin the basin reﬂecting the change in demand>> [2.2.4] Take into account the appropriate balance among water related sectors in the basin.
>> [3.4.3] Operate existing facilities in an integrated manner.
The rule for cost allocation was decided by stakeholders by taking into account the plan’scharacteristics despite the fact that the agricultural sector didn’t feel the necessity for canalmodernization.
>> [3.4.1] Determine the cost allocation acceptable to all stakeholders by ensuring it isjustiﬁable.
[ Conditions and limitations in applying the KFS ]A sector hoping to realize a plan should understand the demand dynamics.
1. Potential needs should be grasped.
2. Proposal should be realistic.
3. Share of the cost is kept within reasonable limits for all stakeholders.
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Fig. 5.9.6 Re-allocation of water by canal improvement

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5.10 VOLTA RIVER (BENIN, BURKINA FASO, CÔTE D’IVOIRE, GHANA,
MALI, AND TOGO)
5.10.1 Case Story (Volta River)Facts
1. Introduction

Ref. to KFS

The Volta River Basin, which covers an estimated area of 400,000 sq. kilometers of
the sub-humid to arid West-African savannah zone, is shared by six countries, namely:
Benin, Burkina Faso, Ghana, Mali, Côte d’Ivoire, and Togo.The climate of the basin ranges
from arid in the far north of Burkina Faso (mean precipitation <500 mm/yr), to semiarid in the middle part of Burkina Faso (~700 mm/yr) to sub-humid in southern Ghana(up to 1500 mm/y).

Fig. 5.10.1 Map of Volta Basin showing political boundaries
The International Union for Conservation of Nature (IUCN) has since 2004 been
implementing the ‘Volta Water Governance Project’ commonly known by its Frenchacronym PAGEV (Projet d’Amélioration de la Gouvernance de l’Eau dans le Bassin de la Volta)
aimed at addressing some of the water management challenges in the basin. PAGEV
is focusing more speciﬁcally on Burkina Faso and Ghana where 85 per cent of thebasin surface area is located. The implementing agencies are: IUCN-PACO, Directorate
General of Water Resources (DGRE) of Burkina Faso and Water Resources Commission(WRC) of Ghana. The project is funded by the Swedish International Development
Cooperation Agency (Sida) and The Netherlands Directorate General for International
Development Cooperation (DGIS), and beneﬁts from substantial in-kind contributions
from the governments of Ghana and Burkina as well as from the West Africa Water
Partnership of the Global Water Partnership (GWP/WA).The ﬁrst phase of the project(PAGEV-1) ofﬁcially ended in September 2007, and the promising results realized
motivated additional funding from Sida to enable IUCN to consolidate and extend theseachievements in a 15-month transition period (October 2007 to December 2008) prior
to a possible second phase.
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Facts
Ref. to KFS
2. Issues of Volta Basin
The Volta River is a key socio-political resource linking people of varying culturesand backgrounds, and presenting opportunities for cooperation as well as many
livelihood opportunities for the rapid development of the riparian countries of thebasin. Like other shared basins in Africa, the Volta is confronted by a number of water
management challenges including:• rapid population growth;• soil and land degradation;• extreme climate variability;• risks of conﬂicts resulting from diverging upstream-downstream interests; and• lack of mechanisms for public participation in decision making.
Erratic climate variability and poor soil quality have forced the local communities
to follow unsustainable development paths including farming on the river banks andsetting of bushﬁres and deforestation, which have altered the key eco-hydrologicalprocesses of the river damaging its ecosystems and the services they provide.
3. Strategic approach of PAGEV
The IUCN/PAGEV strategies have focused on combining the long-term beneﬁts
of ecosystem conservation with immediate impacts on meeting the livelihood needsof marginalized communities, and are based on three key components, namely: thecompilation of knowledge and decision-support information to support planning anddecision making; community based IWRM actions to promote local participationin transboundary waters management; and improving institutional and legislative
instruments to promote transboundary cooperation. IUCN/PAGEV facilitated theestablishment of multi-stakeholder platforms at various levels in Burkina Faso andGhana to win support for ecosystem restoration, including: the creation of village
committees where communities worked together on riverbanks protection, and theestablishment of national and local transboundary forums to resolve water use conﬂicts
at the local level.
4. Key outputs from the project implementation
24 km of river banks reforested
By the end of 2007, 175 farmers cultivating on the river banks in seven pilot villages
in Burkina Faso and Ghana were motivated to reforest a 16 km stretch of the riverbanks by growing trees for fuel and fruits. In August 2008 some plants lost to ﬂooding
in 2007 were replaced, and 77 new farmers joined the project to reforest an additional
8 km of the river banks with mixed species of plants, including Nauclea latifolia, Leucaena
leucocephala, Parkinsonia, Acacia, and grafted mangoes.

KFS
5.10.2 (2)Fig.5.10.2 3D view from IKONOS imagery

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FactsRef. to KFS
Livelihood needs of communities incorporated into the river banks protection
activities
IUCN/PAGEV made conscious efforts to integrate livelihood issues into the communityKFS
based actions to support income-generation especially by women. Some of the notable supports
5.10.2 (2)include the following:• A small dam at Sakom in the Bawku West District of Ghana, which had breached since 1998,
was rehabilitated to ensure that water is available in the ﬂoodplain for dry season vegetable
farming and rice cultivation. Over 1,100 people (comprising 592 females) from Sakom now
have access to water for farming and watering of cattle.
• IUCN/PAGEV provided ﬁve communities (four in Burkina and two in Ghana) with hand-dug
wells, some of which have been ﬁtted with hand-pumps to make access easier when thewater level drops because of extreme dry conditions, and with the assistance of national
Water and Sanitation programmes one borehole each has been constructed in two othercommunities. These interventions have brought relief to those communities particularly
women who spend time looking for water for domestic chores during the dry season.Thesecan bring about a reduction in waterborne diseases and improvements in the health statusof the people, especially children.
• Most people in the communities along the river are small-scale farmers who depend on seasonal crops like millet and maize. IUCN/PAGEV is encouraging them to complement theirincome with high-value crops (mangoes and guava) to help boost households income in thelong-term. Fast growing trees (acacias) have also been planted to provide protection to theriver banks while at the same time providing fuel wood and a higher household income.
• During the long dry season, there is a tendency for some farmers to ‘eat’ into their foodreserves leaving nothing for planting in the following season. Some of those are being supported with vegetable seedlings to plant during the dry season. They are also being supported with water pumps to increase cropping areas during the dry season for vegetable
farming while at the same time planting the buffer strips with improved varieties of fruit
tress. At Sampéma in Burkina Faso for example, a 16-member women’s group was supported with seedlings to cultivate 0.06 ha on the river banks after the devastating ﬂoodof September 2007. The group reported to have harvested onions worth 631,000 FCFA
(nearly 962 Euros) by end of April 2008, which enabled each woman to contribute about of
37,000 FCFA (56 Euros) to the group’s savings account.

Fig.5.10.3 A dry season vegetable farm
Gender perspectives integrated in community actions
The social construction of most of the areas of intervention is often biased against womenby depriving them entitlement to land, while their voices are not heard in decision-making
affecting the future of their communities. Conscious efforts were made by the project topromote gender equity in the otherwise conservative communities by ensuring that atleast 20 to 25 per cent of the beneﬁciaries of the project are women, and 10 to 20 per centof women are executive members within various committees. The provision of potablewater to the communities have also relieved the women and children from walking long
distances in search of water.

KFS
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Facts

Ref. to KFS

In addition, alternative livelihood options are being explored with women as major
beneﬁciaries.Twenty women and four men beneﬁted from a small ruminants/ livestock rearing
pilot initiated by NGOs with technical support of the ofﬁcers from Livestock/Veterinary
Services. Each beneﬁciary received a pair of sheep or goat parent stock in April 2008 for rearing,
the proceeds of which would be paid into the group accounts to beneﬁt other members of theriver banks protection committee in subsequent years.
Transboundary cooperation enhanced
PAGEV is promoting effective participation of local communities in transboundary water
governance through the platforms established for the operations of the stakeholders’forums. The river banks protection committee of each of the eight communities has
nominated three representatives as the ofﬁcial spokespersons at the respective national
forums. The national forums are providing platforms for the local communities to share
their concerns with the heads of local authorities. A joint local transboundary committee
has also evolved from the two national forums to coordinate joint activities across borders,solve any local level water use problems and disputes, and strengthen cooperation between
the two countries.The local transboundary forum has developed and adopted statutes andconventions to guide their operations.
5. Key lessons• PAGEV implementation has helped to mobilize partnership with ministries, and decentralized local government agencies, NGOs and civil society. The joint activities have reinforced
the cooperation and exchange of information between institutions in both countries, thus
creating an enabling environment for transboundary water resources management.
• Through education and public awareness, the local communities learn of the potential
beneﬁts to be derived from creating buffer zones on the banks of the Volta River andintroduction of ‘economic’ trees, PAGEV has managed to convince the communities
to give up part of the lands along the river banks on which they used to farm for theconservation of the river banks.
• Communities are willing to participate in water and other natural resources conservationinterventions when the outcomes of participation are clearly and directly linked to theimprovement of their livelihoods. Conscious efforts must be made to integrate livelihood
needs of communities into IWRM by including income-generation, safe water supply, andhygiene education in the water resources management interventions.
• Strengthening of technical level cooperation could lead to an improvement in informationsharing (e.g. ﬂood warning from operators of Bagré Dam) and provided the impetus tobuilding trust.

KFS
5.10.2 (1)KFS
5.10.2 (2)6. Possible Future Directions• Presently, transboundary coordination of management of the Volta River Basin has evolved,
and all six riparian states in the Volta Basin have signed protocols to form the Volta Basin
Authority (VBA). IUCN/PAGEV will strengthen collaboration with VBA and other new initiatives (UNEP/GEF-Volta and Volta-Hycos projects) to ensure the replication of PAGEV
experiences in other riparian states of the basin.
• The linking of poverty alleviation to water and soil conservation has already inﬂuenced theoperations of agricultural programmes in the basin. The creation of buffer zones initiatedunder PAGEV is being replicated by the Regional Directorates of Agriculture and other community based projects from the regions straddling the border between Burkina Faso andGhana as part of support to communities to improve small-scale irrigation for food security.
National ownership of the PAGEV interventions is thus assured with greater involvement ofthese technical structures.
[Report: Kwame Odame-Ababio (IUCN-PACO, Ouagadougou, Burkina Faso)]

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5.10.2 Extracted Key for Success(1) Extracted Key for Success from Volta River

Reference to 5.10.1 Case Story (Volta River)[ Title ]Mobilizing stakeholders from the community, national and transboundary levels for sharedwaters management[ Situation ]TheVolta River is a key socio-political resource linking people of varying cultures and backgrounds,presenting opportunities for cooperation as well as many livelihood opportunities for the rapid
development of the riparian countries of the basin.
The International Union for Conservation of Nature (IUCN) has since 2004 been implementing the‘Volta Water Governance Project’ (PAGEV) aimed at addressing some of the water management challenges
in the basin. PAGEV is focusing more speciﬁcally on Burkina Faso and Ghana where 85 per cent of thebasin surface area is located. The implementing agencies are IUCN-PACO, Directorate General of Water
Resources (DGRE) of Burkina Faso, and Water Resources Commission (WRC) of Ghana. The projectis funded by the Swedish International Development Cooperation Agency (Sida) and The Netherlands
Directorate General for International Development Cooperation (DGIS), and beneﬁts from substantial
in-kind contributions from the governments of Ghana and Burkina as well as from the West Africa Water
Partnership of the Global Water Partnership (GWP/WA).
[ Problem ]There were risks of conﬂicts resulting from diverging upstream-downstream interests, and lackof mechanisms for public participation in decision-making.
[ How the problem was overcome/addressed ]• Multi-stakeholder platforms were established at various levels, including village committees where
communities worked together on river banks protection, and national and local transboundary forums
to resolve water use conﬂicts at the local level.
• Joint activities were enforced for corporation and exchange of information between institutions ofeach country.
• Conscious efforts were made to integrate livelihood issues into the community-based actions to support income generation especially for women.
• Cooperation was formalized through MOUs or collaborative agreements at all levels[ The key ]Established multi-stakeholder in which representatives of local communities were nominated by
the spokesman at the national forums. Gender perspectives were also integrated in community
actions by setting a concrete number of women as executive members and beneﬁciaries of the
project.
>> [3.1.1] Prepare a framework for stakeholder participation to build consensus among
stakeholders[ Conditions and limitations in applying the KFS ]• Human and institutional capacities exist to implement the programmes.
• Building trust among communities so that they co-exist peacefully (preventing ethnic conﬂict).
• Climate remains stable (non-occurrence of extreme climate change and variability, drought andﬂoods).
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5 – GOOD EXAMPLES(2) Extracted Key for Success from Volta River

Reference to 5.10.1 Case Story (Volta River)[ Title ]Causing motivation for ecosystem conservation[ Situation ]For many years the basin remained one of the few transboundary river basins in Africa without
formal legal and institutional arrangements to manage disputes, and spearhead prudent and sustainableutilisation of the water resources in the basin. Limited consultation and coordination between Burkina
Faso and Ghana (the two main riparian countries) combined with uncoordinated policies and development
initiatives were serious threats to the sustainable management of the Volta River Basin.
From mid-2004, IUCN initiated the three-year ‘Project for Improving Water Governance in the
Volta Basin’ (commonly referred to as PAGEV) in response to the need for transboundary coordinationand cooperation regarding the management of the water resources of the Volta Basin. PAGEV is part of
the worldwide Water and Nature Initiative (WANI) that seeks to demonstrate how to mainstream theecosystem approach into river basin planning and management. The project is developed and executed
jointly by IUCN/BRAO and GWP/WA and involves two countries in the Volta Basin, Burkina Faso andGhana who together share nearly 85 per cent of the basin area.
[ Problem ]The basin is shared by six countries that share rapid population growth, soil and land degradation, andextreme climate variability. They forged unsustainable development paths such as farming on the riverbanks, setting of bushﬁres, and deforestation.
[ How the problem was overcome/addressed ]• There was a focus on combining the long-term beneﬁts of ecosystem conservation with immediate
impacts on meeting the livelihood needs of marginalized communities such as income-generation,water supply and hygiene education in the water resources management.
• Through education and public awareness, local communities learned of the potential beneﬁts to be
derived from creating buffer zones on the banks of the Volta River, and with the introduction of ‘economic’ trees, PAGEV has convinced the communities to give up part of the lands along the river banks
which they used for farming for the conservation of the river banks.
• Targeted skills training was conducted such as soil fertility improvement, trees management, and theconstruction of improved local stoves.
[ The key ]Conscious efforts must be made to integrate livelihood needs of communities into IWRM by
including income generation, safe water supply and hygiene education in the water resourcesmanagement interventions.
>> [3.2.6] Acting as the representative of the environmental sector.
Promote hygiene education in water resources management interventions and women’s
participation in local communities, together with reducing water collecting chores for womenand children by providing small facilities for safe water supplies.
>> [1.3.3] Introduce educational activities on water and IWRM, focusing particularly on
women and children.
[ Conditions and limitations in applying the KFS ]Limited/poor commitment to protect plants, monitor and enforce regulatory measures.
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5.11 YOSHINO RIVER (JAPAN)
5.11.1 Case Story (Yoshino River)
Facts
Ref. to KFS
1. Introduction
In 1945, after World War II, Japan lost 25 per cent of its social capital and there was anurgent need for counter measures to beat inﬂation and combat the low unemployment
rate. There was also a serious need to secure food, to rehabilitate land, and to secure
electricity.The situation was the same in Shikoku region (Fig. 5.11.1). In September, it was
hit by a massive typhoon and in December of the following year a severe earthquake
struck. Japan therefore desperately sought a solution to recover from both WWII and thenatural catastrophes. Flood control was required for land rehabilitation, and agriculturaland domestic water was needed for food production and urbanization. Hydropower
generation was also needed to avoid the risk of electricity shortages. The Yoshino River
Comprehensive Development was called upon in order to resolve these problems, andbecause the river is one of the largest in Shikoku.
The Ministry of Construction (MOC, now reformed to Ministry of Land,
Infrastructure, Transport and Tourism, MLIT) surveyed the river for the purposeof ﬂood control, as did the Ministry of Agriculture, Fishery and Forestry (MAFF)
for agricultural water; prefectures in Shikoku for domestic supply; the Ministryof International Trade and Industry (MITI, now reformed to Ministry of Economy,
Trade and Industry) for industrial water; and electricity companies for hydropower
generation. However, they tended to formulate plans to suit their own needs. The
four prefectures in Shikoku (Fig. 5.11.2), namely Kagawa, Tokushima, Ehime and Kochi,
also conducted surveys of the river and formulated their own individual plans.

Fig. 5.11.1 Map of Shikoku

Fig. 5.11.2 Prefectures in Shikoku

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Ref. to KFS
2. Initial Plan
In 1950, the Initial Plan (Fig. 5.11.3) was released to the public by the Economic
Stabilization Agency (now re-titled the Economic Planning Agency, also linked to the
Cabinet Ofﬁce). This plan is based on work carried out by the electricity companies,
which took into consideration the plans of other sectors. This was meaningful because
Sameura Dam was to be integrated into the plan and the plan was, with the wisdomof hindsight, the prototype of the Yoshino River Comprehensive Development Project(YCDP). However, all the dams set in the plan were mainly designated for hydropower
generation, and water use, including agricultural and urban water was as a consequence
relegated to second after hydropower generation. In this plan, the reliability of water use
was dependent on the hydropower-generating scheme. This plan was therefore rejectedby the water use sectors.

Fig. 5.11.3 Initial Plan
3.The Second Plan
In 1951, the Economic Stabilization Agency released the Second Plan of YCDP (Fig.
5.11.4). It is a trial plan from the point of view of technical feasibility. In the plan, Sameura
Dam was set up as a multi-purpose dam whose purpose included ﬂood control, urban andagricultural water distribution, and hydropower generation. It also included the constructionof several dams and diversion pipelines for hydropower generation. The diverted water
was destined for use as agricultural and urban water following electricity generation.

Fig. 5.11.4 The Second Plan

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FactsRef. to KFS

Ehime and Kagawa prefecture agreed with the plan because they needed to divert water fromthe Yoshino River, but Tokushima prefecture, which is located downstream of Yoshino River andseemingly affected by the diversion, was against the plan. Kochi prefecture was neither 100 per
cent against the plan nor necessarily behind the plan. As the prefectures were still suffering fromsevere ﬁnancial crises, there was still a long way to go to reach concensus.
4.Agreement to the basic data of hydrologic balance
In 1958, the Shikoku regional bureau of MOC organized a workshop so as to agree with thebasic data of hydrologic balance in the basin as a whole. In the workshop, all the data observed
by each sector as well as the correlation between data, were analyzed. As a consequence, in
1959, the ‘basic ﬂow data for YCDP’ was agreed by all the stakeholders and released to the
public. Thus the basic data, as a means of conﬂict resolution, was established.

KFS5.11.2 (1)KFS5.11.2 (2)5. Shikoku Comprehensive Development Council
In 1960, the Shikoku Regional Development Promotion Law was enacted and the council,
based on the law the Shikoku Comprehensive Development Council was founded. The council
was composed of members of Parliament, central government representatives. prefectural
governors, and academic experts.The council shared the basic vision of ‘co-operative competition’,
which convinced four prefectures to cooperate towards comprehensive development and at thesame time jointly compete with other developing regions in order to move forward. Therefore,
from the point of view of promoting comprehensive resources in the region including water
resources development especially the Yoshino River, the plan was discussed within this framework.
This enhanced the discussion among the prefectures and opened up the possibility of reaching
concensus for YCDP.
The working group was to be set up at the ﬁrst meeting. It was composed of prefecture
members, regional bureaus, and electricity generation companies. Its purpose was to examine andshare the basic data for the plan, to clearly deﬁne the plan, and to build consensus among members.
Discussion in this working group proceeded in parallel with discussion in the council and thisenhanced the coordination.
Coordination for cost allocation also proceeded. The reimbursement scheme, in which the
project implementation unit, in this case the Water Resources Development Public Corporation(WARDEC, and now reformed to Japan Water Agency (JWA)), pays the initial (construction) costin advance by using revenue bonds, while the water supplier pays afterwards (after the supplier
receives the payments by water users), was adopted by the YCDP, and in order to reduce the initialcost burden for each prefecture. Furthermore, the new method of cost allocation, such as the
Separable Cost Remaining Beneﬁt (SCRB) Method, was also adopted.
As a consequence of this strict coordination, in 1966 the YCDP reached an agreement and in1975 the construction of Sameura Dam, Ikeda Dam, and Kagawa canal was completed.

Fig. 5.11.5 The Final Plan
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Facts

Ref. to KFS

Photo 5.11.1 Sameura Dam

6. After Completion of YCDPThe Yoshino River Comprehensive Development Project was completed in 1975, andmoved on to the next stage of operation and management of the facility. Coordination intime of extraordinary droughts did not appear successful due to the long and confusedcoordination process in the agreement. At Dozan river basin, which is a sub-basin of the
Yoshino River, the Shingu Dam and diversion pipeline were also completed as one of thecomponents of YCDP. At the same time, the route of the maintenance ﬂow to Yoshino
River, which had traditionally been supplied from the Dozan river basin, was changed
from Sameura Dam and therefore no maintenance ﬂow was secured downstream of
Shingu Dam (see Fig. 5.11.6).

Fig. 5.11.6 Arrangement of facilities in 1975

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FactsRef. to KFS

7. Conciliation Council for Water Use in the Yoshino RiverAs the speciﬁcations of facilities in the YCDP was decided in terms of economic
efﬁciency, there is a limit to its potential and it cannot cover all unexpected climate
conditions. Hence, even before the completion of YCDP, it was recognized among
stakeholders that there was a lack of knowledge among the users and that water was aﬁnite resource requiring counter measures against extraordinary drought.
In March 1975, before the completion of YCDP, the ‘Conciliation Council for Water
Use in the Yoshino River’ was set-up by the regional bureaus of central government,
prefectures, electricity generation companies, and other stakeholders. In the council,
efﬁcient water use in each sector was discussed. Sharing information and opinions among
stakeholders were also included as important principles.

KFS5.11.2(3)By virtue of creating a mechanism for discussion among stakeholders, a relationshipbuilt on trust among stakeholders was created. This had a positive inﬂuence on drought
conciliation. In concrete terms, an agreement on the water use scheme to be applied
during droughts was smoothly implemented in advance of the drought.
8. Completion of Tomisato Dam and supply of ﬂow for the environment
At Dozan river basin, which is a sub-basin of the Yoshino river, Shingu Dam anddiversion pipeline were also completed as one of the components of YCDP. At the sametime, maintenance ﬂow supplied from Dozan river basin to Yoshino river was changed
in order to have the water transferred from Sameura Dam, therefore maintenance ﬂow
was not secured downstream of the Shingu Dam. Riparian residents downstream of
Shingu Dam required maintenance ﬂow supply after completion of YCDP.
Tomisato Dam was completed in 2001, since then a certain amount of the environment
ﬂow was discharged from Shingu Dam. This was carried out because the hydropower
generation company provided a quantity of water to riparian residents as ﬂow for
the environment. However, the maintenance ﬂow was not yet secured so the riparian
residents still suffered a shortage of the required quantity of water.

KFS5.11.2(4)Fig. 5.11.7 Arrangement of facilities after completion of Tomisato Dam

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Fig. 5.11.8 IWRM spiral of Yoshino River[Interviewee: Tomonobu Abe, Toshiyuki Hayash (Yoshino river bureau, JWA)][Interviewer: Toshiyuki Yoshioka,Yasuhiro Ochii, Makoto Nagasawa, Koichi Takano(Japan Water Agency)][Report: Shinsuke Ota (Co-chair of the steering committee), Toshiyuki Yoshioka,
Yasuhiro Ochii, Makoto Nagasawa, Tomonobu Abe, Toshiyuki Hayashi,
and Koichi Takano (Japan Water Agency)]

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5.11.2 Extracted Key for Success(1) Extracted Key for Success from Yoshino River

Reference to 5.11.1 Case Story (Yoshino River)[ Title ]Formulating the water budget for an integrated plan
[ Situation ]Though each sector proposed a plan that considered their own interests, coordination for a
multi-purpose and basin-wide plan stalled
In the Yoshino river basin there were at ﬁrst plans to construct hydropower generation dams. Other
sectors began formulating plans afterward for their own purposes. Prefectures in Shikoku were also
formulating plans and although ideas for the Yoshino River Comprehensive Development were proposed,
the parties persisted with their opinion and an agreement was not reached.
[ Problem ]Each sector had determined its basic data for the plan, which was based on their respective
data
Each sector had respectively implemented water ﬂow observation though the method differeddepending on the various purposes, i.e. observation of daily average ﬂow for the purpose of constructinghydropower generation dam, and that of hourly ﬂow data for ﬂood control. Therefore, plans based on
their own data were not understood by other sectors.
[ How the problems were overcome ]Each sector recognized that discussion would fail without ﬁrst sharing common data sets
In 1958, Shikoku Regional Bureau of Ministry of Construction was separated from Chugoku-Shikoku
Regional Bureau. It proposed that all sectors collect data and conduct analysis and extrapolation of thedata in order to balance water budgets in the basin.
Recognizing that their plans wouldn’t be understood by other sectors if the data used wereinconsistent, all the sectors accepted to work together towards data uniﬁcation. As a result, the ‘basic
ﬂow data for YCDP’ was released to the public. During this process, coordination for comprehensive
development wasn’t carried out but this co-work was meaningful in that it represented the beginningsof coordination.
[ The Key ]The proposal by Shikoku Regional Bureau of Ministry of Construction to work out common data
sets and to recognize the importance of all stakeholders ensured that all parties participated in
the process, which paved the way for further coordination in YCDP.
>>[1.2.1] Identify potential priority areas (critical locations and key issues) for IWRM
implementation in the basin.
>>[1.3.1] Proactively disclose information as it is a fundamental activity in IWRM.
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5 – GOOD EXAMPLES[ Attachment Materials ]Fig. 5.11.9 Collected data of discharge observation points for an understandingof the hydrological balance

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(2) Extracted Key for Success from Yoshino River

Reference to 5.11.1 Case Story (Yoshino River)[ Title ]Practical coordination mechanism by working group[ Situation ]All sectors were preparing to coordinate with each other to formulate the river basin
management plan
Whole regions in Shikoku were still under developed and each prefecture on Shikoku Island wasformulating the basin management plan based only on their own concerns and initially did not attempt
to coordinate with the others. The river basin management plan should be formulated in a cooperative
manner for mutual economic prosperity by utilizing resources in the entire region.
[ Problem ]Coordination didn’t proceed due to the uncooperative attitude of sectors
The initial plan of 1950 was released to the public by central government. This is based on the plan
made by electricity companies that took into consideration other sectors’ plans. All the dams proposedin the plan were principally planned for hydropower generation and water use, including agricultural andurban water, consequently came second. As a result, this plan was not agreed by the water use sectors
and was considered a missed opportunity. In 1955, a second plan was released. It was a trial plan from theviewpoint of technical feasibility so an agreement was not reached.
[ How the problems were overcome ]Credibility was produced by working out the plan with all stakeholders.
In 1960, Shikoku Regional Development Promotion Law was enacted based on the law and the council
called ‘Shikoku Comprehensive Development Council’ was founded. From the viewpoint of promoting
comprehensive resources development in the region, water resources development plan - especially for
the Yoshino river - was discussed in this framework with social fairness.
The working group was set up for drafting. It was composed of members of prefectures, regional
bureaus and electricity generation companies. The purpose was to examine and share the basic data
for the plan, to work out the plan and through building consensus among members. Co-work by themembers, who actually represented their organization, facilitated substantial coordination.
[ The Key ]As a framework for discussion, a council, together with the third party, created a top-downsystem based on the law. At the same time, and in order to shape the discussion, a working
group composed of representatives of users organizations was set up. Coordination within theworking group, which was a bottom-up activity, led to an agreement being reached.
>> [3.1.1] Prepare a framework for stakeholder participation in order to build consensus
among stakeholders.
[ Conditions and limitations in applying the KFS ]Establishing a working group as well as consensual agreement on the basic data is a necessity[ Ideas for enhancing the applicability of the KFS ]IWRM Guidelines at River Basin Level – Part 2-1: The Guidelines for IWRM Coordination

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5 – GOOD EXAMPLES[ Attachment Materials ]Fig. 5.11.10 Shikoku Comprehensive Development Council

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(3) Extracted Key for Success from Yoshino River

Reference to 5.11.1 Case Story (Yoshino River)[ Title ]Creating a mechanism for drought conciliation[ Situation ]The river comprehensive development project was ﬁnally completed after a long heated debate
among the regions
The Yoshino River Comprehensive Development Project was completed in 1975. Consequently, thenext stage of operating and managing the facility was reached.
[ Problem ]Coordination in time of extraordinary drought was inefﬁcient due to the protracted andconfused coordination process outlined in the agreement
As the speciﬁcations of facilities in the YCDP was decided in terms of economic efﬁciency, there isa limit to its potential and it cannot cover all unexpected climate conditions. Hence, even before thecompletion of YCDP, it was recognized among stakeholders that there was a lack of knowledge among theusers and that water was a ﬁnite resource requiring counter measures against extraordinary drought.
[ How the problems were overcome ]Credibility was raised by creating a mechanism that allowed stakeholders to discuss water use
while ensuring accountability
In March 1975, before completion of the YCDP, the ‘Conciliation Council for Water Use in the Yoshino
River’ was set-up based on the necessity to prepare stakeholders for unexpected droughts. In the council,
water and its effective use by each sector was discussed regularly. Sharing information and opinions among
stakeholders raised credibility and resulted in coordinated drought conciliation. In times of drought,
the council meets more frequently and coordinated and appropriate drought conciliation measures are
introduced as the drought situation worsens.
[ The Key ]Stakeholders recognized the importance of maintaining good relationships particularly as theregion had suffered severe water shortages.The YCDP coordination process led to the creationof the council and well-organized drought conciliation>> [1.1.2] Consider a signiﬁcant change in the basin as a chance to move IWRM forward,
and recognize and understand such changes as early as possible.
>> [3.2.4] Consider ways, including policy interventions, to secure water supply during
extreme events.
>> [4.1.2] Keep the coordination scheme for planning and share information among
stakeholders.
[ Conditions and limitations in applying the KFS ]All the sectors recognize the characteristics of the area, which calls for tremendous effort if
they fail to coordinate during severe droughts[ Ideas for enhancing the applicability of the KFS ]Drought conciliation rule should be discussed before the onset of drought
1. Agreement to drought conciliation rule in advance.

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5 – GOOD EXAMPLES[ Attachment Materials ]Fig. 5.11.11 Conciliation Council for Water Use in the Yoshino River

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(4) Extracted Key for Success from Yoshino River

Reference to 5.11.1 Case Story (Yoshino River)[ Title ]Securing ﬂow for the environment so as to improve IWRM in the next stage[ Situation ]The maximum level of water was diverted according to the river comprehensive development
project
At Dozan river basin, which is a sub-basin of the Yoshino River, Shingu Dam and diversion pipeline
were completed as components of YCDP. At the same time, the route of maintenance ﬂow to Yoshino
River, which had traditionally been supplied from the Dozan river basin, was changed from Sameura Dam
and therefore no maintenance ﬂow was secured downstream of Shingu Dam.
[ Problem ]Riparian residents in downstream felt dissatisfaction with the project
Since no maintenance ﬂow was secured downstream of Shingu Dam, riparian residents downstream
were unable to obtain the required maintenance ﬂow after completion of YCDP.
[ How the problems were overcome ]Discretion was given to downstream riparian residents by supplying them with ﬂow for theenvironment as a result of a project compromise
Through coordination of the Tomisato Dam, the hydropower generation company offered a certain
amount of water to riparian residents as ﬂow for the environment, which was agreed by the stakeholders.
Tomisato Dam was completed in 2001 and from that time onwards an agreed amount of ﬂow for theenvironment has been discharged from Shingu Dam.
[ The Key ]The management body of the YCDP recognized that counter measures were needed by society
for environmental conservation. It also reviewed the ‘abandoned’ measures in the YCDP in
keeping with the changing times. By deciding to supply water for the environment based on thisrecognition,YCDP improved coordination in the construction of the next facility, the TomisatoDam>> [1.2.1] Identify potential priority areas (critical locations and key issues) for IWRM
implementation in the basin.
>> [4.2.3] Examine evaluation results and identify/analyze changes occurring in the basinthrough broad and long-term perspectives at each turning point of the IWRM process.
Translate it into a driving force to improve IWRM into the next stage.
[ Conditions and limitations in applying the KFS ]Project compromise by the project implementation body was necessary for mediation
1. To reach an agreement with the stakeholders, who were dissatisﬁed with the former agreement, theproject implementation body needed to concede beneﬁts to the stakeholder even if they lose out on
their considerable advantages.
2. The compromise should be acceptable to the project implementation body.
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Attachment Materials ]Fig. 5.11.12 Arrangement of facilities in 1975 (after completion of YCDP)

Fig. 5.11.13 Arrangement of facilities after completion of the Tomisato Dam

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6. Useful Tools for implementing IWRM

Useful Tools provide useful ideas/information for explaining or understanding complex issues that one might faceduring IWRM implementation. Good utilization of thesetools will allow for the effective and efﬁcient implementation of IWRM.

6.1 PENTAGRAM
The pentagram is a useful tool for comparing alternativeplans.The ﬁve axes represent the indices to be comparedand the evaluation results are plotted on the axis. The
plotted points are then connected to create a pentagram.
If there are six indices then it will become a hexagram.
You can set the number of indices as appropriate foryour needs. The better balanced and larger the createddiagram, the better the proposed plan.
A pentagram can be created as follows:
1. Create a regular polygonal shape with n vertices.
2. Connect each of the vertices with the centre pointof the polygon (referred to as axes hereafter).
3. Label each axis with an evaluation index.
4. Plot on the axes the evaluation results for eachindex. The vertex point is the perfect score while

the worst score is located in the centre of thepolygon.
5. Connect the plotted points on the axes by straightlines and create a polygon with n vertices.
6. Complete the pentagram by colouring the inside of
the polygon.
7. Create a pentagram for each of the plans.
The selection of evaluation indices and the scale on theaxis are important in creating and using a pentagram.The
evaluation indices should be able to represent the extent
to which the problems can be solved by implementing
the proposed plan. They also represent the levels of
stakeholder satisfaction. However, the interests of one
stakeholder/sector do not have to be represented byonly one index. An issue of large inﬂuence or a stakeholder related to multiple issues may be represented bymultiple indices. This can be adjusted as appropriate to
the situation.
One thing should not be forgotten; the scale set foreach of the indices must be comparable or must possess the same level of importance. Otherwise the pentagrams cannot be compared from the ‘well-balanced’
standpoint.

Fig. 6.1 Pentagram

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6.2 VISUALIZATION
6.2.1 Water-use status and ‘highstress areas’
When the water resources and the water-use status
in the basin are to be assessed under Phase 1: ‘Recognizing & identifying’, visualization of basin situation canbe useful in determining high-stress areas or important locations to be addressed in allocation and coordination of water resources.
Fig. 6.2 Visualization of State of Water Use

Fig. 6.3 Visualization of ‘High Stress Area’

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6.2.2. Sectors’ budget conditions
One of the important conditions for sectors to consider when participating in a project is their ﬁnancial
condition. If the managers in charge of coordinatingan IWRM project are aware of the ﬁnancial conditions of the sectors involved when preparing the
project implementation plan, this can greatly facilitate
the coordination process.

Fig.6.4 shows the annual budget situation of a particular sector.This sector is already participating in Project A and Project B, the costs of which have alreadybeen deﬁned up to Year (3). When the coordinatorproposes Project C it would be in the interest of thesectors to know when the project begins or when
the payment of project costs will begin. It is easy tosee from Fig 6.4 that the sector is very unlikely tohave the capacity to make payments in Year (1), but
this will be more likely from Year (2).

Fig. 6.4 Visualization of Sectors’ Budget Situation

6.2.3. Planning framework
In water resources development, a master plan isgenerally developed before individual projects areplanned and implemented. It is useful to visualize
such planning frameworks and ﬂows in order tobetter understand the overall frame and structureof water resources development.

Decision by the council
Yoshino River comprehensive
Development Plan

Prefectures

Regional Bureau ofCentral Government(MLIT, MAFF, METI)Electrical Companies

Fig. 6.5 Visualization of Framework of Planning
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6.3 COST ALLOCATION METHOD
When a multi-purpose infrastructure development
is jointly implemented, the cost allocation among
sectors must be agreed upon. Generally sectors are
divided into the groups that have the same purpose,and a cost is allocated to each of the purposes. If a
sector has multiple purposes that sector is includedin each of the relevant purpose groups.
There are various methods for allocating costs forindividual purposes, such as total amounts of water
allocated, and the separable cost remaining beneﬁt
method, which considers the level of commitment foreach purpose. In Japan, the separable cost remaining
beneﬁt method is used with additional improvements.
The separable cost remaining beneﬁt method considers the minimum cost to be covered by the purposegroups and the remaining costs separately. The minimum cost to be covered by a purpose group is determined by the additional cost induced by adding that
purpose to the project purposes (separable costs).
The remaining cost (non-separable cost) is allocatedamong the purpose groups in the following manner:

If the project is an advance investment for a purposegroup the interest rates during the period of time,
where the facility is being unused, must be deductedfrom the cost allocation. If the levels of priority in participating in the project by purpose groups differ, thisalso has to be accounted for through methods such aspriority payment. The priority payment method allocates costs by purpose groups with a higher priority
covering their provisionally estimated costs and the
purpose group with the least priority covering theremaining cost.
The separable costs remaining beneﬁt method or
the priority payment method are generally employed
to allocate costs among multiple purpose groups.
There are also examples where the priority payment
method is used to allocate costs among sectors withthe same purpose but with varying levels of priority. It
is important that cost allocation is agreed upon by all
relevant sectors.

• Determine for each purpose group the cost of
implementing the project individually (provisionally estimated cost) and the justiﬁable investment
amount, and select the lesser of the two.
• Deduct the separable cost from the cost above foreach purpose group.
• Allocate the remaining cost among purpose groups
in proportion to the amount determined above.

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6.4 GRASPING THE POSITIONING
OF STAKEHOLDERS AND THEIRMUTUAL RELATIONSHIPS

egies for stakeholder involvement effectively andefﬁciently. Such efﬁciency is improved further if a
key person is identiﬁed and involved.

Understanding the positioning and relationships ofand among stakeholders is useful in laying out strat-

Fig. 6.6 Grasping Positioning of Stakeholders and their Mutual Relationships

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