Problem Definition and Scoping in Watersheds

This chapter explains about understanding the importance of problem definition, the importance of watershed assessment and the meaning and process of problem scoping.

1. Integrated River Basin Management EiT -M, School of Civil Engineerin g, IEC Ap r il , 202 5

2. 3. Problem Definition and Scoping in Watersheds Contents Introduction Watershed assessment Scoping the watershed problem Problem analysis

3. Objective At the end of the chapter, students will be able to: Understand the importance of problem definition, Describe the importance of watershed assessment, Understand the meaning and process of problem scoping.

4. Introduction Issues and problems in a watershed Issues are generally seen as more broad or general concerns, while problems are specific and more urgent issues that need to be addressed. For example, an issue could be climate change , which is a big concern that affects the whole world. On the other hand, a problem could be air pollution in a specific city, which needs immediate action to improve air quality for the people living there. Issues and problems in a watershed context are site-specific, complex, often interlinked and may be related to ecological , socio-economic , technical and institutional issues . Awareness of issues and problems in a watershed may come from agency representatives, interested professionals such as consulting engineers or planners, the g overnment's regulatory directives . However such awareness will quite often come from the community itself , whose members are directly affected by the conditions and changes of natural resources prevailing in a given watershed.

5. Introduction Problems affecting watershed resources Development and the creation of impervious surfaces , degrade water quality if proper treatment is not provided. Human activity can degrade existing habitat and contribute to the loss of wildlife habitat quantity and quality affecting the overall ecological integrity of the resources within watershed. Pollution caused by humans is the biggest threat to our watersheds. Erosion of soil and sediment transport have a detrimental effect on the quality of water, the quality of habitat, detention time within basins, and capacity of storm water conveyances within watersheds. Forest fire Earthquakes

6. Introduction Effects of watershed degradation Watershed problems results in the degradation of watersheds with resultant impact as follows: Less production from agriculture, forests, grass lands etc., Erosion increases and decreases biomass production, Rapid siltation of reservoirs, lakes and river beds. Less storage of water and lowering of water table. Increased flooding resulting in loss to human life, property, roads and agricultural crops Poverty as a result of less food production, Loss of habitat for important flora and fauna.

7. Watershed assessment A watershed assessment is a process for analyzing a watershed's current condition and the likely causes of these conditions , which lead to a better understanding of watershed processes and conditions and the reason why the watershed is in that condition. In a watershed context, assessments can serve the purpose of: Determining the nature and extent of use impairments in the watershed Identifying the causes of use impairments Identifying potentials to enhance sustainable resources uses Watershed assessments can be broad or focused , depending on their purpose and the context in which they are carried out during the planning process. A broad baseline inventory , including reconnaissance and baseline surveys , assesses the conditions of all processes and features in a watershed, and is usually carried out before or parallel to the problem analysis and scoping.

8. Watershed assessment A broad baseline inventory provides a broad and representative overview of the watershed’s condition and the existing problems within the watershed. They especially provide a basis to decide which problems or issues are in most urgent need of being addressed during the problem analysis. Focused in-depth inventories render an intense assessment of specific issues, which have been identified during the problem analysis and scoping . Focused in-depth inventories provide information to understand the cause-and-effect relationships of problems and interactions of watershed elements, as well as for the later development of realistic objectives in the planning process. They may also generate data with which predictive models for evaluating the impacts of development options can be created.

9. Watershed assessment The following steps are basic processes for conducting watershed assessment, planning and evaluation Organize a multi-disciplinary assessment team Define the purpose and develop a plan for the assessment, including a realistic schedule, budget, definition of necessary data and the identification of sources Collect data and information Analyze the data Report data or integrate it into decision-making

10. Watershed assessment Step 1: Organize the assessment team Goal of the assessment team Develop a plan for the assessment Identify consultants to help carry out work Who should be on the assessment team : Any stakeholder with an interest in the watershed Concerned citizens Representatives from local/regional government Business, development community

11. Watershed assessment Importance of the assessment team Those that develop the plan will have an interest in implementing it. Two types of actions typically result from an assessment: Restoration goals and activities Changes in land use and business practices Land use decisions are made by local/regional government and land owners Without their cooperation and engagement , unlikely any relevant recommendations in management plan will be implemented.

12. Watershed assessment Step 2: Define the purpose and develop a plan for the assessment The first formal phase of a watershed assessment consists of: Clearly identifying the issues of concern, Identifying the purpose of the assessment , Developing a conceptual diagram of the key components of the watershed , and Developing a plan for carrying out the assessment. Step 3: Collect data and information Determine the kind of data you need to collect Identify sources and collect existing watershed data and information Identify sources and collect existing spatial data about the watershed Develop a system for archiving and managing your data Identify data gaps and collect new data, when needed

13. Watershed assessment Step 4: Analyze the data Summarize and explore the data Perform/decide if statistical analyses are needed or possible with the data available Compare your data to standards , historical, and/or reference conditions Step 5: Report data or integrate it into decision-making What does the data mean? How can it be used to guide the development of a management plan? Data integration usually involves some type of risk analysis: Key concept: those factors that pose the greatest risk are likely targets for future actions Limiting factors analysis Watershed risk assessment

14. Scoping the watershed problem Scoping is a stakeholder consultation and negotiation process that establishes broad agreed priorities and targets , and gives the subsequent detailed planning process. Once issues and problems are identified following participatory approach and analyzed thoroughly, Scoping can prioritize the key issues and problems that need to be addressed most urgently, and Objectives can be defined that reflect a vision of what the future conditions within the watershed should look like, Appropriate strategies can be defined to successfully address these issues and problems. The first step in watershed planning is to define the scope of the watershed management plan. A watershed management plan must have: A clearly defined geographic area within which the management plan will be implemented. Clearly defined environmental impairments so that management efforts can be effectively targeted.

15. Scoping the watershed problem Scoping addresses the following fundamental issues: The setting of priorities must take place through appropriate consultation and negotiation processes that involve all important stakeholders. Any setting of standards or design of interventions have transaction costs. The scoping process Two important components of the  scoping process are: Focusing (what?) : identification of issues and problems that have an overriding importance in the watershed and which should therefore be considered in depth as intervention areas, during the subsequent detailed planning process. Boundary setting (where? when?) :  limitation of the plan to a specific geographical area and also to a particular time period .

16. Scoping the watershed problem The output of the scoping process In a watershed context, the outputs of successful scoping are: A clear prioritization of existing problems (use impairments) to be solved and anticipated problems to be avoided. Targets for maintenance and /or restoration of watershed functions, formulated as broad targets for the restoration of currently impaired uses of water resources, or broad targets to prevent future impairment of those uses, both specified in terms of content, location and timing. Broad strategic directions for the management of related resources, Focus, contents, methodologies and organization to be applied during the subsequent more detailed planning exercise, Consensus among stakeholders.

17. Problem analysis Problem analysis is process of identifying, assessing and understanding the key issues, challenges and problems that affect a watershed. It involves a deep dive into the root causes of these problems and their impacts on the environment, communities and ecosystems within the watershed. The process of problem analysis can be split into  three separate steps , namely: Problem identification Problem structuring Stakeholder analysis

18. Problem analysis Problem identification Problem identification involves the compilation of an overview of basic, existing issues and problems that characterize a given situation. In the process of establishing watershed management guidelines , one will need to consider the issues and problems both on-site and off-site affecting the beneficial economic, social, and ecological uses of water resources as well as their interaction with related resources such as land . Use impairment describes a given situation where a beneficial use is constrained by the inadequate quality or quantity of water. The approach of identifying issues and problems means stating them in terms of impairments of beneficial uses of water resources, paying specific attention to the timing and spatial extent of those impairments. In order to begin identifying use impairments , one needs an overview of the beneficial uses that are relevant in the watershed. Fig. 1: Identification of use impairments The use is constrained in cases A and C The use is not constrained in cases B, D and E.

19. Problem analysis Problem structuring Problem structuring is a simple technique for breaking down complex, ‘messy’ questions into manageable subsets of issues. Why is problem structuring useful? The benefits , if the process is carried out to its full potential , are: Comprehensive identification of issues within a specified problem, clarity about inter-relationships between those issues, Identification of dominant issues (i.e., those which should receive most focus, as a resolution would render other issues irrelevant, or easier to manage), A plan for analysis or issue resolution , Consensus on relative priority of issues , and A structure for communication of both the issue, and the resolution .

20. Problem analysis How do you structure a problem? The basic steps are as follows: Define the problem you are working on, in the form of a question. Brainstorm all the possible questions relating to the problem. Look for themes among the questions. Look carefully at the relationships between questions within a theme. Then look for ‘ killer questions’ Put your effort into resolving those killer questions. Now you are at a cross roads and the next step depends on the objective of the exercise.

21. Problem analysis Problem tree approach The problem tree approach is a very common tool used in problem structuring . The implementation of a problem tree analysis requires an individual to complete the following process: Identify the major existing problems/ issues based on available information (e.g. by brainstorming) Select one focal problem for the analysis Develop the problem tree beginning with the most substantial and direct causes of the focal problem. Fig. 2: Problem tree

22. Problem analysis Stakeholder analysis A basic premise behind stakeholder analysis is that different groups have different concerns, capacities and interests, and that these need to be explicitly understood and recognized in the process of problem identification, objective setting and strategy selection. The main steps involved in stakeholder analysis are to: Identify the general development problem or opportunity being addressed/considered Identify all those groups who have a significant interest Investigate their respective roles, different interests, relative power and capacity to participate (strengths and weaknesses) Identify the extent of cooperation or conflict in the relationships between stakeholders Interpret the findings of the analysis and incorporate relevant information into project design and into intervention measures to help ensure that: (a) resources are appropriately targeted to meet distributional/equity objectives and the needs of priority groups; (b) management and coordination arrangements are appropriate to promote stakeholder ownership and participation; and (c) conflicts of stakeholder interest are recognized and explicitly addressed in the design.

23. Problem analysis Stakeholder analysis There are a variety of tools  that can be used to support stakeholder analysis, which can be divided into the following two broad categories: Tools to analyze the stakeholder landscape , such as the stakeholder analysis matrix and Venn diagrams Tools to analyze the situation of individual stakeholders , such as the SWOT analysis and spider diagrams. In using any of these tools, the quality of information obtained will be significantly influenced by the process of information gathering. In this regard, the effective use of participatory planning and facilitation tools can help ensure that the views and perspectives of different stakeholder groups are adequately represented and understood. On the following slides, four stakeholder analysis tools are introduced. The examples used to illustrate results of the application of these tools are based on the issue of river water pollution and its impact on income and health.

24. Problem analysis Stakeholder analysis matrix Examines the subject of how different stakeholders are affected by issues such as different problems or opportunities. Stakeholder and basic characteristics Interests and manner in which they are affected by the problem(s) Capacity and motivation to bring about change Possible actions to address stakeholder interests Fishing families: c.20,000 families, low income earners, small scale family businesses, organized into informal cooperatives, women actively involved in fish processing and marketing Maintain and improve their means of livelihood Pollution is affecting volume and quality of catch Family health is suffering, particularly that of children and mothers Keen interest in pollution control measures Limited political influence given weak organizational structure Support capacity to organize and lobby Implement industry pollution control measures Identify/develop alternative income sources for women and men Households: c.150,000 households discharge waste and wastewater into river, also source some drinking water and eat fish from the river Aware of industrial pollution and impact on water quality Want to dispose of own waste away from the household Want access to clean water Limited understanding of the health impact of their own waste/waste water disposal Potential to lobby government bodies more effectively Appear willing to pay for improved waste management services Raise awareness of households as to the implications of their own waste disposal practices Work with communities and local government on addressing water and sanitation issues Table 1: Example of a Stakeholder Analysis Matrix Format

25. Problem analysis Fig. 3: Venn Diagram Venn diagrams In the diagram, we see that there are three groups or sets called ‘A’ ,’B’, and ‘C’. These three sets could represent any given collection of people. For example, in a watershed say set A represents all the people that say water scarcity is the main problem. Set B represents all the people that say erosion is the main problem and set C represent all the people that says pollution is the main problem. Then the region marked as AB represents all the people who say both water scarcity and erosion are main problems in the watershed. The region marked BC represents all the people who say both erosion and pollution are main problems. Similarly, the region AC represents all the people who say water scarcity and pollution are the main problems. The region ABC is known as the intersection of the sets. The people in this region belong to all the groups Are created to analyze and illustrate the nature of relationships between key stakeholder groups. Are commonly used as a participatory planning tool with target groups, to help them profile their concept of such relationships. Used to analyze and highlight potential conflicts between different stakeholder groups.

26. Problem analysis SWOT Analysis SWOT analysis is used to analyze the internal strengths and weaknesses of a group of stakeholders or organization and the external opportunities and threats that it faces. It can be used either as a tool for general analysis, or to look at how a stakeholder might address a specific problem or challenge. The quality of information derived from using this tool depends on who is involved and how the process is managed. SWOT is undertaken in three main stages , namely: Ideas are generated about the internal strengths and weaknesses of a group or organization as well as the external opportunities and threats it encounters. The situation is analyzed by looking for ways in which the group/organization's strengths can be built on to overcome identified weaknesses, and opportunities can be taken to minimize threats. A strategy for making improvements is formulated (and then subsequently developed using a number of additional analytical planning tools).

27. Problem analysis SWOT Analysis Strengths Weaknesses Grassroots based and quite a broad membership Focused on the specific concerns of a relatively homogenous group Men and women are both represented Provide a basic small scale credit facility Limited lobbying capacity and environmental management skills Lack of formal constitutions and unclear legal status Weak linkages with other organizations Internal disagreements on limiting fishing effort in response to declining fish stocks Opportunities Threats Growing public/political concern over health impacts of uncontrolled waste disposal New government legislation in preparation on environmental protection – largely focused on making polluters pay The river is potentially rich in resources for local consumption and sale Political influence of industrial lobby groups who are opposed to tighter environmental protection laws (namely waste disposal) New environmental protection legislation may impact on access to traditional fishing grounds and the fishing methods that can be employed Table 2: Example of a SWOT Matrix

28. Problem analysis Spider diagrams Can be used to help analyze and provide a visual summary of institutional capacity . Fig. 4: A nalysis of the capacity of an environmental protection agency Relevant information can be collected by: Inspection of administrative records and management reports , Interviews with staff and clients, Observation of ‘ on the ground ’ operations/activities. Figure 4 indicates that: The agency has relatively strong technical and financial management skills/capacity , and that its policy and planning systems are satisfactory . However, the agency has some critical shortcomings in terms of transparency and accountability, its relationship with other agencies and with its clients. Critical constraints of this agency’s capacity to address the poor quality of the river water are related more to organizational culture and management priorities than to either technical skills or basic management competencies.