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Conselho Nacional de Desenvolvimento CientÃfico e TecnolÃgico / The understanding of processes such as the generation of surface runoff, sediment yield and their relations with the rainfall regime is the basis for the planning and effective management of soil and water resources in a watershed. In this context, the present study aims to identify the main processes that influence the generation of surface runoff and sediment yield in small watersheds, and determine parameters for empirical sedimentological models, as well as the Sediment Delivery Ratio (SDR) for the tropical, semi-arid region of Brazil. The study area is the Iguatu Experimental Basin (IEB), which comprises a watershed of 16.74 km2, three small nested watersheds (from 1 to 3 ha) and three erosion plots of 20 m2. One of the watersheds had been under regenerating Caatinga for 35 years, another subjected to a management, which involved thinning the Caatinga, and the last faced deforestation followed by burning and the cultivation of grass. The period of study was six years (2009 to 2014). Collections to quantify surface runoff and sediment yield were taken for each erosive rainfall event in an accumulated period of 24 hours. Surface runoff in the watersheds was quantified using Parshall flumes, and sediment yield was measured with towers and trenches to collect suspended sediment and bedload. On the watershed scale, runoff was measured by means of a spillway, and sediment yield by a turbidimeter. Cluster analysis was used to determine rainfall regimes and groups of similar rainfall-runoff events. With data from the erosion plots and watersheds, the C factors and coefficients of the Modified Universal Soil Loss Equation (MUSLE) were calibrated and validated. From data measured in the basin, sediment delivery ratios were determined. The occurrence of dry spells and the formation of cracks in the soil were important factors in controlling the generation of runoff and consequently sediment yield. The dry spells made it possible for the soil to dry out, with the formation of cracks, which acted as pathways for preferential flow, generating higher initial abstraction during the start of the rainy season. Changes in ground cover had little influence on accumulated flow, demonstrating that the soil characteristics and conditions as moisture and the presence of cracks, best explain the generation of runoff on expansive soils. The greatest runoff losses in all the watersheds under study were for Rainfall Regime II, characterized by higher depth, intensity and occurrence of the rainfall. For the ground covers under study, values for the C factors and the fit of the coefficients "a" and "b" of MUSLE, proved to be appropriate and recommended according to the statistical indices employed. Values for sediment delivery ratio for individual rainfall events ranged from 0.08 to 1.67%, with an average of 0.68%. In the basin, extreme events may cause high disaggregation of soil particles, but without sufficient transporting energy for dragging the sediment, generating low SDR. / O entendimento de processos como geraÃÃo do escoamento superficial, produÃÃo de sedimentos e suas relaÃÃes com o regime pluviomÃtrico à a base para o planejamento e a gestÃo eficaz dos recursos solo e Ãgua em uma bacia hidrogrÃfica. Nesse contexto, o presente estudo tem como objetivos identificar os principais processos que influenciam a geraÃÃo do escoamento superficial e a produÃÃo de sedimento em pequenas bacias hidrogrÃficas, e calibrar parÃmetros de modelos sedimentolÃgicos empÃricos, bem como a razÃo de aporte de sedimentos (SDR) para a regiÃo semiÃrida tropical do Brasil. A Ãrea de estudo à a Bacia Experimental de Iguatu (BEI), composta de uma bacia de 16,74 km2, trÃs pequenas microbacias aninhadas (de 1 a 3 ha) e trÃs parcelas de erosÃo de 20 m2. Uma das microbacias foi mantida com Caatinga em regeneraÃÃo hà 35 anos, outra submetida ao manejo de raleamento da Caatinga e na Ãltima foi realizado o desmatamento seguido de queimada e cultivo de capim. O perÃodo de estudo foi de seis anos (2009 a 2014). As coletas para quantificaÃÃo do escoamento superficial e da produÃÃo de sedimentos foram realizadas a cada evento de chuva erosiva, no acumulado de 24 horas. O escoamento superficial nas microbacias foi quantificado atravÃs de calhas Parshall e as produÃÃes de sedimentos foram mensuradas atravÃs de torres e fossos coletores de sedimentos em suspensÃo e arraste. Na bacia de 16,74 km2, o escoamento superficial foi mensurado por meio de um vertedor e a produÃÃo de sedimentos atravÃs de um turbidÃmetro. AnÃlises de agrupamento foram utilizadas para determinaÃÃo de regimes de chuvas e grupos de eventos similares de chuva-deflÃvio. Com dados das parcelas de erosÃo e das microbacias foram calibrados e validados os fatores C e os coeficientes da EquaÃÃo Universal de Perdas de Solo Modificada (MUSLE). A partir dos dados medidos na bacia foram determinadas as razÃes de aporte de sedimentos. A ocorrÃncia de veranicos e a formaÃÃo de fendas no solo foram determinantes no controle da geraÃÃo de escoamento e consequentemente da produÃÃo de sedimentos. A ocorrÃncia de veranicos possibilitou o secamento do solo com a formaÃÃo de fendas, que agem como caminhos preferenciais para o fluxo de Ãgua, gerando elevadas abstraÃÃes inicias durante o inÃcio da estaÃÃo chuvosa. As mudanÃas da cobertura vegetal apresentaram pouca influÃncia sobre o escoamento acumulado, indicando que as caracterÃsticas e condiÃÃes do solo, como umidade e presenÃa de fendas, explicam melhor a geraÃÃo de escoamento em solos expansivos. Maiores perdas por escoamento em todas as microbacias estudadas foram para chuvas do Regime II caracterizado por maiores alturas pluviomÃtricas, intensidades e ocorrÃncias. Quanto aos valores dos fatores C e dos coeficientes de ajuste âaâ e âbâ da MUSLE, para as coberturas estudadas, mostraram-se apropriados e recomendados de acordo com os Ãndices estatÃsticos empregados. Os valores da razÃo de aporte de sedimentos para eventos pluviomÃtricos individuais variaram de 0,08 a 1,67%, com mÃdia de 0,68%. Na bacia, eventos extremos podem causar elevada desagregaÃÃo de partÃculas de solo, mas podem nÃo dispor de energia de transporte suficiente para arrastÃ-las, gerando baixo SDR.

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Die Dissertation erforscht die Unsicherheit, Sensitivität und Grenzen großskaliger Erosionsmodelle. Die Modellierung basiert auf der allgemeinen Bodenabtragsgleichung (ABAG), Sedimenteintragsverhältnissen (SDR) und europäischen Daten. Für mehrere Regionen Europas wird die Bedeutung der Unsicherheit topographischer Modellparameter, ABAG-Faktoren und kritischer Schwebstofffrachten für die Anwendbarkeit empirischer Modelle zur Beschreibung von Sedimentfrachten und SDR von Flusseinzugsgebieten untersucht. Der Vergleich alternativer Modellparameter sowie Kalibrierungs- und Validierungsdaten zeigt, dass schon grundlegende Modellentscheidungen mit großen Unsicherheiten behaftet sind. Zur Vermeidung falscher Modellvorhersagen sind kalibrierte Modelle genau zu dokumentieren. Auch wenn die geschickte Wahl nicht-topographischer Algorithmen die Modellgüte regionaler Anwendungen verbessern kann, so gibt es nicht die generell beste Lösung. Die Ergebnisse zeigen auch, dass SDR-Modelle stets mit Sedimentfrachten und SDR kalibriert und evaluiert werden sollten. Mit diesem Ansatz werden eine neue europäische Bodenabtragskarte und ein verbessertes SDR-Modell für Einzugsgebiete nördlich der Alpen und in Südosteuropa abgeleitet. In anderen Regionen Europas ist das SDR-Modell bedingt nutzbar. Die Studien zur jährlichen Variabilität der Bodenerosion zeigen, dass jahreszeitlich gewichtete Niederschlagsdaten geeigneter als ungewichtete sind. Trotz zufriedenstellender Modellergebnisse überwinden weder sorgfältige Algorithmenwahl noch Modellverbesserungen die Grenzen europaweiter SDR-Modelle. Diese bestehen aus der Diskrepanz zwischen modellierten Bodenabtrags- und maßgeblich zur beobachteten bzw. kritischen Sedimentfracht beitragenden Prozessen sowie der außergewöhnlich hohen Sedimentmobilisierung durch Hochwässer. Die Integration von nicht von der ABAG beschriebenen Prozessen und von Starkregentagen sowie die Disaggregation kritischer Frachten sollte daher weiter erforscht werden. / This dissertation thesis addresses the uncertainty, sensitivity and limitations of large-scale erosion models. The modelling framework consists of the universal soil loss equation (USLE), sediment delivery ratios (SDR) and European data. For several European regions, the relevance of the uncertainty in topographic model parameters, USLE factors and critical yields of suspended solids for the applicability of empirical models to predict sediment yields and SDR of river catchments is systematically evaluated. The comparison of alternative model parameters as well as calibration and validation data shows that even basic modelling decisions are associated with great uncertainties. Consequently, calibrated models have to be well-documented to avoid misapplication. Although careful choices of non-topographic algorithms can also be helpful to improve the model quality in regional applications, there is no definitive universal solution. The results also show that SDR models should always be calibrated and evaluated against sediment yields and SDR. With this approach, a new European soil loss map and an improved SDR model for river catchments north of the Alps and in Southeast Europe are derived. For other parts of Europe, the SDR model is of limited use. The studies on the annual variability of soil erosion reveal that seasonally weighted rainfall data is more appropriate than unweighted data. Despite satisfactory model results, neither the careful algorithm choice nor model improvements overcome the limitations of pan-European SDR models. These limitations are related to the mismatch of modelled soil loss processes and the relevant processes contributing to the observed or critical sediment load as well as the extraordinary sediment mobilisation during floods. Therefore, further research on integrating non-USLE processes and heavy-rainfall data as well as on disaggregating critical yields is needed.