Basin Water Allocation Planning

144 Pages·2013·5.31 MB·English

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Asian Development Bank UNESCO
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GIWP
(General Institute of Water WWF International
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Part of a series on strategic water management
Printed on recycled paper
Basin Water
Allocation
Planning
Principles, Procedures and Approaches
for Basin Allocation Planning
Robert Speed,
Li Yuanyuan,
Tom Le Quesne,
Guy Pegram and
Zhou Zhiwei
About the authors environmental policy issues in China and India. Tom has published a number
of reviews of water management and environmental issues, including work on
Robert Speed is director of Okeanos Pty Ltd, a consultancy company specializing
water allocation, environmental flows and climate change. Tom holds a Masters
in water resources policy and strategy. Robert has 15 years experience in
and PhD in economics.
environmental and water policy and management, with an expertise in water
resources planning, the implementation of environmental flows, and river health Guy Pegram is the managing director of Pegasys Strategy and Development
assessment. Robert has qualifications in science and environmental law. He has based in Cape Town, South Africa, with 25 years professional experience in
worked professionally in Australia, China, India, Ecuador, Switzerland, Sri Lanka, the water sector.  He is a professionally registered civil engineer with a PhD in
and Laos. water resources planning from Cornell University and an MBA from University
of Cape Town.  He has worked extensively on strategic, institutional, financial
Li Yuanyuan is Vice-President, Professor, and Senior Engineer of the General
and organisational aspects related to the water sector within SADC, Africa
Institute of Water Resources and Hydropower Planning and Design at the
and globally.  In particular he has been actively involved with water resources
Chinese Ministry of Water Resources. He studied hydrology and water resources
institutional and policy reform processes in various African countries, and has
in Chengdu University of Science and Technology. His research fields include
been extensively involved in strategic basin planning, institutional and legal
water resources mechanisms, the interaction between human activities and
processes for both national and transboundary river basins.
water resources, water resources system analysis and planning, water ecology and
environment protection. He has led at the national-level many water resources Zhou Zhiwei is Division Deputy Chief of the General Institute of Water Resources
surveys, the development of water resources strategies, comprehensive water and Hydropower Planning and Design at the Ministry of Water Resources. He is
resources planning activities, policy formulation, and management activities, as a senior engineer with a master degree in hydrology and water resources from
well as international programmes. He is widely published on water-related topics. Tsinghua University. His main fields of work include water resources analysis,
water resources planning, water resources allocation, water resources policy and
Tom Le Quesne is a Senior Policy Advisor at WWF-UK. Tom works on water policy
management. He is also involved in many international cooperation programmes.
and sustainability issues across the WWF Network, including work in Asia, Africa,
Latin America and Europe. This has included a particular focus on water and
Citation Health and Environmental Flow in China Project. WWF and GIWP would like to
extend their thanks to HSBC, AusAID and ADB for their support for this project.
R. Speed, Li Y., T. Le Quesne, G. Pegram and Z. Zhiwei (2013) Basin Water Allocation
Planning. Principles, procedures and approaches for basin allocation planning,
Disclaimer
UNESCO, Paris.
The opinions expressed in this book are those of the authors and do not necessarily
Acknowledgements reflect the views and policies of WWF, GIWP, UNESCO and the Asian Development
Bank (ADB) or its Board of Governors or the governments they represent.
This book has been drafted as part of an extended dialogue that took place
between 2009 and 2012, between a team of international experts led by the World WWF, GIWP, UNESCO and ADB do not guarantee the accuracy of the data included
Wide Fund for Nature (WWF) and a Chinese policy team led by the General Institute in this publication and accept no responsibility for any consequence of their use.
of Water Resources and Hydropower Planning and Design (GIWP), Ministry of Water
Resources, People’s Republic of China. By making any designation of or reference to a particular territory or geographic
area, or by using the term ‘country’ in this document, WWF, GIWP, UNESCO and
The international team included Guy Pegram (Pegasys Strategy and Development, ADB do not intend to make any judgements as to the legal or other status of any
South Africa), Gabriel Azevedo (Odebrecht, Brazil), Gerry Galloway (University territory or area.
of Maryland, United States), Paul Sayers (Sayers and Partners, United Kingdom),
Robert Speed (Okeanos Pty Ltd, Australia), Daniel Gunaratnam (United States), WWF, GIWP, UNESCO and ADB encourage printing or copying of information for
Doug Kenney (University of Colorado, United States), Tom Le Quesne (WWF, United personal or non-commercial use with proper acknowledgment of WWF, GIWP,
Kingdom) and Ma Chaode (WWF, China). The team from GIWP has been led by UNESCO and ADB. Users are restricted from reselling, redistributing or creating
Professor Li Yuanyuan (GIWP), and has included Shen Fuxin (GIWP), Li Jianqiang derivative works for commercial purposes without the express, written consent
(GIWP), Zhou Zhiwei (GIWP), Huang Huojian (GIWP), Wen Kang (Nanjing Hydraulics of WWF, GIWP, UNESCO and ADB.
Research Institute), Wen Lei (McGill University), Chen Yiwei (GIWP) and Guan Yuhui
The ‘People’s Republic of China (PRC)’ is recognized as the official country
(GIWP).
name under ADB publication standards and guidelines. For the remainder of
In addition to the lead authors and team members described above, this book has this document, though, the name “China” will be taken to represent the terms
benefited from contributions by Gavin Quibell, Pegasys Strategy and Development, ‘People’s Republic of China (PRC)’ as per UNESCO publication guidelines.
South Africa (Chapters 1 and 4), Barbara Schreiner, Pegasys Strategy and
ISBN 978-92-3-001158-1
Development, South Africa (Chapter 4), Jim Binney, MainStream Pty Ltd, Australia
(Chapters 7 and 11) and Jane Catford, Melbourne University, Australia (Chapter
10). Reviews of Chapter 10 were provided by Scott Spencer (Australia) and Angela Copyright
Arthington (Griffith University, Australia). An anonymous reviewer provided valuable © Asian Development Bank, GIWP, UNESCO, and WWF-UK, 2013
comments on an earlier draft. All rights reserved.
The following people have contributed to the layout, figures and final editorial of
the book: Karis McLaughlin, Alicia Doherty (WWF-UK), Ian Denison, Shahbaz Khan,
Alain Michel Tchadie, Martin Wickenden, Aurelia Mazoyer (UNESCO) and Susan
Curran (copy editor).
Principal funding for the project has been provided by HSBC through the HSBC
Climate Partnership. Additional funding support for publication has been provided
by the Asian Development Bank (ADB). Writing of Chapter 10 on environmental
flow assessment, and publication costs, were supported by funding from the
Australian Agency for International Development, AusAID, as part of the River
2
EXECUTIVE SUMMARY
As water scarcity has increased globally, water allocation plans ▶▶ A better balance between rights to take water and
and agreements have taken on increasing significance in protection of the environment: in recognition of the
resolving international, regional and local conflicts over access natural limits of river systems and the need to protect
to water. While objectives and approaches have evolved over natural infrastructure. This has included both improved
time, ultimately water resources allocation has fundamentally assessments of environmental water requirements (see
remained the process of determining how much water is below) and more detailed assessments of water demands
available for human use and how that water should be shared for human use, including appropriate levels of efficiency.
between competing regions and users. This book considers
▶▶ Sophisticated, risk-based environmental flow
modern approaches to dealing with these issues at the basin
assessments: in recognition of the importance of the
scale, particularly through the allocation of water amongst
flow regime for maintaining freshwater ecosystems and
administrative regions.
the services and functions that rivers provide to human
A number of related challenges that developed towards communities.
the end of the twentieth century have led to a significant
▶▶ A better understanding of the value of water and the
evolution in basin allocation planning. These challenges have
demands of water users: in recognition of the central –
included:
and often limiting – role that water plays in the economy
▶▶ growth in water abstractions and the diverse range of water users and their differing
▶▶ basin ‘closure’ and the lack of availability of more sites for needs.
water infrastructure
▶▶ Greater flexibility in the way water is allocated: in
▶▶ growth and change in the economy, leading to a wider recognition of the significant uncertainty associated with
variety of water users with different water demands changes in climate, economies and demographics, and
▶▶ the decline of freshwater ecosystems and the loss of river the need for water allocation systems to respond to these
system functions changes.
▶▶ in recent times, climate change.
In response to these and other challenges, modern basin
allocation planning now focuses more on optimizing the Water allocation process
use of existing supplies through significant economic, social
and environmental analyses and the assessment of trade-
The allocation process typically culminates in the granting
offs between competing users. This is coupled with a shift
of water entitlements to individual abstractors. The process
away from the traditional emphasis on the construction of
can involve allocating water at a variety of administrative and
new infrastructure to meet rising demand, and instead to the
geographic levels, including at a national, basin, sub-basin or
adoption of demand management measures.
regional level.
Modern approaches to basin water allocation are consequently
This book focuses on the allocation of water at the basin scale,
often founded on complex rules for dealing with variability,
typically through a water allocation plan that establishes
and for balancing the environmental, social, political and
regional water shares, granted to subcatchments or regional
economic implications of different water allocation scenarios.
governments, and with a particular focus on basin allocation
Rather than a simple set of fixed rules, modern allocation plans
within a single country. However, basin-level allocation still
may include or be based on scenarios projecting how water
needs to consider:
use may respond to climate change, shifting economies,
water pricing incentives, and options to share the benefits of ▶▶ national-level water allocation planning, which can
water use rather than on sharing the water itself. These new determine how water will be shared amongst basins
approaches are typified by: (for instance, through interbasin transfers) or between
provinces
3
▶▶ regional or sub-basin plans, which may be required, and as sediment transport, groundwater recharge, waste
which give effect to basin-level allocation decisions assimilation and estuarine functioning.
▶▶ individual water users within a basin, which can affect the ▶▶ Development priorities: allocating water in a way
levels of reliability of supply that are required that supports and promotes economic and social
development. This can include supporting strategic
▶▶ other water-related plans, such as those related to flood
priorities and protecting existing dependencies.
management, hydropower development and water
resources protection, which may link closely to water ▶▶ Balancing supply and demand: water allocation
allocation decisions. plans need to balance water supplies with demands,
particularly to manage the natural variability of water
Water allocation planning involves consideration of the total
availability, and to avoid frequent or unexpected water
water resources available within a basin. This can include surface
shortfalls.
and groundwater supplies, as well as water from interbasin
transfers. The amount of water available for allocation will be a ▶▶ Promoting the efficient use of water: allocating water
function of this total volume, less: in a way that promotes the most efficient use of available
water.
▶▶ water that cannot in practice be used (for example,
water that cannot be stored or used and passes during
uncontrolled flooding)
▶▶ water retained in the river system to meet ecological needs Sharing water amongst
(i.e. environmental flows).
competing users
The relationship between these elements for a surface water
system is shown in Figure 1. Internationally, approaches to deciding on how water
resources will be shared between different administrative
Establishing a water allocation plan now commonly involves
regions have included approaches based on:
a detailed situation assessment to identify water availability,
existing water use and expected future demand, and water ▶▶ proportionate division, for example based on the physical
requirements for environmental purposes. This information is characteristics of the basin (size, runoff and other factors
used to develop different allocation scenarios, which can be in each region), or based on population living in or
assessed based on their social, economic and environmental dependent on the basin’s water resources
consequences. An example of this process is shown in Figure 2.
▶▶ existing use, for example based on historic use, levels of
dependency, or current efficiency and productivity
The particular approach adopted should be tailored to suit the
situation. Notably, the nature of technical assessment that is ▶▶ future use, for example based on growth projections or to
appropriate can differ greatly depending on the level of water align with development planning.
development and water stress in a basin.
It is common for some of the allocable water to be granted
or reserved for priority purposes, prior to water being shared
between different regional interests. Water may be set aside
Objectives of allocation to satisfy environmental requirements, for domestic purposes,
or for national or strategic priorities, such as for power supply.
Such interests may be given priority both at the time of
Basin water allocation planning is typically undertaken to
granting (long-term) water entitlements and during the annual
achieve a series of overarching policy objectives. In many
allocation process.
jurisdictions, these now include:
▶▶ Equity: allocating water in a way that is fair and equitable
amongst different regions and user groups. This can
include equity between different administrative regions
and between upstream and downstream areas.
▶▶ Environmental protection: allocating water in a way
that recognizes the needs of freshwater-dependent
ecosystems and protects key freshwater services such
4
Figure 1: Relationship between total surface water resources, utilizable water and allocable water
Water able to be allocated
“Utilizable “Allocable water”
water”
Note: position of
“Total surface this line will vary
infrastructure
water resources”
development
Water to meet ecological needs
(“environmental flows”)
Note: this requirement will be
Uncontrolled part met by uncontrolled flooding
flooding
Losses
(evaporation, seepage)
Figure 2: Water allocation planning process
Water resource Environmental Water use Principles
availability flow assessment and demand for sharing
• Identify available resources • Identify key • Identify existing • Determine
• Identify demand environmental water use and priorities and
Situation assessment management assets efficiency principles for
infrastructure • Identify required • Identify future sharing water
development options flow demand
Review requirements
options and priorities
Assess and
• Identify different supply and allocation options consider
Scenario development • Modelling (or other) to develop scenario water balance variability/
uncertainly
Assess implications of Economic/
Environmental Social equity
different scenarios development
Decision and approval Decision on preferred options
Infrastructure plans Water allocation plans Water efficiency
Final plans and implementation • Development • National and basin plans plans
plans • Regional and sector
• Operation plans plans
5
Defining water entitlements recognize the differing capacities of water users to adjust to
changes in the volume of water that is available to them, as
well as the different social and economic consequences from
The key operative provisions of a water allocation plan or
changes (especially reductions) to water supply.
agreement are those that define the entitlements of different
regions and water users. There are various ways these
Figure 3: Adjusting water entitlements to deal with seasonal
entitlements can be specified. The most suitable approach will
variability
depend on factors including the local hydrology, the nature
and extent of water infrastructure, capacity for monitoring and
implementation, and the objectives for sharing water under
different seasonal conditions. Approaches to defining water
entitlements have included:
Low value/
▶▶▶▶▶▶ mrismtccrneeheoatqgeiaapmontusaas iorpinwm ardnoee nliaauelt n lianl smna b csnacgm eo otbu unugefsas adsucuttlelh rhip aotareviapsrorc ona lwntimlnieiussaotdmmoten eni eesnrft d o ah–at rvhl lyavlcaa i oconltdao ln uibmnuvvmldeepearr ipyetitsn iei oinb ora–ng en lsp is,mtau ah a –srinettev i sdodcaou ul,v aunclebhahm raare a aebsyagpe edsedptoa r o rrfavo ofco anwotlciu toahthmtnheeeseesrr, Normal year: 100% of entitlements available aHpaInngeidgrrneuihucns uavtnllrat iyaluauglre er/iculture RRReeeddduuuccceeeddd bbbyyy 311500%%% y year: 80% of entitlements available
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100% entitlement maintained
▶▶ cross-boundary flow requirements – specified as a production
minimum daily, monthly or annual volume of water Domestic
100% entitlement maintained
supplies
passing from one region into another
▶▶ percentage of available flow – water shares defined
based on shares of what is physically available in the river
at a given time
▶▶ sharing of tributaries – where there are multiple shared
tributaries, water may be allocated based on entitlement
Dealing with uncertainty
to the water in different tributaries
▶▶ ‘no further development’ approach – water shares
defined based on infrastructure, entitlements and sharing Current and future changes associated with socio-economic
rules in place at a particular point in time, with no changes development and climate are characterized by high levels of
permitted that would increase total water abstractions. uncertainty. Uncertainty can relate to changes in average water
availability, greater climatic variability, and limited information
on the nature and impact of possible changes.
Dealing with variability These and other factors are contributing to profound
uncertainty about the future. Generally, planning in the
context of an uncertain future should:
Dealing with variability in interannual and seasonal availability
of water is one of the defining challenges of water allocation ▶▶ ensure that decisions do not foreclose future options
planning. The most suitable approach will depend on how
▶▶ allow responses to unforeseen events, including events
water entitlements have been defined in the first instance.
that lie outside the historic record
Often some form of annual allocation process is required to
▶▶ establish monitoring systems to observe change.
convert long-term entitlements to a defined volume of water,
based on the prevailing seasonal conditions. This process may Water allocation plans and regional water shares need to be
recognize the relative priority of different water users, and can sufficiently robust to be able to cope with multiple future
thus ensure that, particularly where less than the full water scenarios, including changes in water availability, water use
entitlement is available, different regions and user groups efficiency and water demands. Approaches can include:
are affected in different ways (see Figure 3). Such approaches
6
▶▶ adopting a precautionary approach to allocating water, 9. Allocation plans need to incorporate flexibility in
including being conservative in assessing available water recognition of uncertainty over the medium to long term
and allocating it between regions and users in respect of changing climate and economic and social
▶▶ incorporating mechanisms for annual sharing that circumstances.
recognize that the nature of variability may itself change 10. A clear process is required for converting regional water
over time shares into local and individual water entitlements, and for
▶▶ ensuring contingencies exist for changes in circumstances, clearly defining annual allocations.
such as through contingency allocations
▶▶ establishing mechanisms to allow for water to be
reallocated
▶▶ ensuring environmental flows are protected under a range
of scenarios.
Golden rules of allocation
planning
Based on international experience, this report identifies ten
‘golden rules’ of basin water allocation planning. They are:
1. In basins where water is becoming stressed, it is important
to link allocation planning to broader social, environmental
and economic development planning. Where interbasin
transfers are proposed, allocation planning also needs to
link to plans related to that development.
2. Successful basin allocation processes depend on the
existence of adequate institutional capacity.
3. The degree of complexity in an allocation plan should
reflect the complexity and challenges in the basin.
4. Considerable care is required in defining the amount
of water available for allocation. Once water has been
(over) allocated, it is economically, financially, socially and
politically difficult to reduce allocations.
5. Environmental water needs provide a foundation on which
basin allocation planning should be built.
6. The water needs of certain priority purposes should be
met before water is allocated among other users. This can
include social, environmental and strategic priorities.
7. In stressed basins, water efficiency assessments and
objectives should be developed within or alongside the
allocation plan. In water-scarce situations, allocations
should be based on an understanding of the relative
efficiency of different water users.
8. Allocation plans need to have a clear and equitable
approach for addressing variability between years and
seasons.
7

CONTENTS
Executive summary 3
Figures and tables 8
Glossary 14
Introduction 16
Part A PRINCIPLES AND FRAMEWORK FOR ALLOCATION 19
Chapter 1 Role, history and evolution of water allocation 20
1.1 Role of water allocation 20
1.2 A brief history of water allocation 20
Historical origins 20
Early basin-level allocation plans 22
Water rights and individual water abstractions 22
Modern basin allocation planning 23
Trends in water allocation 24
1.3 Emerging challenges and live issues 25
1.4 The development of water allocation in selected basins 26
Colorado River 26
Indus River (Pakistan) 27
Yellow River 28
Lerma-Chapala River basin 30
Inkomati River basin 30
Murray-Darling River basin 31
Chapter 2 Modern approaches to basin water allocation 33
2.1 Drivers of changing approaches to basin water allocation 33
2.2 Characteristics of modern basin allocation planning 34
1. A focus on trade-offs between users rather than engineering development 34
2. A better understanding of the value of water and the requirements of water users 34
3. Sophisticated, risk-based environmental flow assessment 35
4. Greater flexibility as needs and objectives change 35
5. Increased focus on demand management and efficiency and productivity of water use 36
6. More complex basin water allocation agreements and plans 36
2.3 Ten golden rules of basin water allocation 37
Chapter 3 Framework for water allocation 39
3.1 Definitions and concepts in allocating water 39
3.2 Multilevel approaches to allocation 41
3.3 National water allocation planning 43
3.4 Basin water allocation planning 45
3.5 Subcatchment and regional water allocation plans 47
3.6 Water allocation over different timescales 48
3.7 Alignment with other basin planning activities 49
9