This thesis develops and validates a comprehensive methodology for measuring sustainability of a large river basin by using a tailored indicator set. The concept of river sustainability concerns not only the ecological condition of the river course, but also socioeconomic activities in the river basin. River sustainability is defined from five perspectives: sufficient resource, resilience to water-related risks, access to water supply and other services, productive use of water, and fairness between different users and generations. The Process Analysis Method (PAM) is employed as the guideline for developing sustainability assessment framework. As a participatory approach, PAM engages stakeholders to identify emerging issues and impacts on sustainability. Through a systematic process, a tailored indicator set is selected and categorized under three domains, namely, environmental performance, social wellbeing, and economic development. Two case studies have been undertaken, examining the underlying sustainability of the Lower Yellow River basin (LYR) and Upper Ganges River basin (UGR). Extensive fieldwork was carried out in China and India, in order to conduct stakeholder interviews and to collect multivariate data. 18 indicators are selected for LYR and 12 for UGR. The LYR assessment is conducted over the period from 1950 to 2010, whilst UGR features a 10-year period from 2001 to 2010. By processing raw hydrological data and socio-economic statistics, a normalized score is calculated for each indicator in a given year, the value ranging between 0 and 1, where 0 represents poor performance and 1 refers to a fully sustainable status. The results show that, although social wellbeing and economic status for LYR have progressively improved since 1950, environmental quality declined in the latter half of 20th century, with the lowest point in 1997 when extreme drought occurred. The Yellow River Conservancy Commission (YRCC), the government authority responsible for the LYR, implemented measures to improve the river health by multifunctional infrastructure projects and water allocation regulation. This effort proved to be effective as the general sustainability performance subsequently improved. The UGR study also identifies the trade-off between environmental capital and socioeconomic capital. With vast expansion of hydropower projects and new settlement in flood-prone areas, communities along the UGR are increasingly vulnerable to extreme events. However, the Ganges river basin authority lacks the capacity for integrated planning which would enable projects like flood defence schemes to be undertaken in a proper framework. It is likely that the environmental performance of the UGR will continue to decline, particularly with increasing uncertainty in climate, as the UGR basin management is not improving resilience sufficiently. By performing this comparative analysis, it has been shown that integrated river basin management should incorporate institutional capacity, stakeholder engagement, resilience and transparency. This research also contributes to underpinning policies for Integrated River Basin Management (IRBM). The assessment provides policy-makers and river managers with a holistic view of the river basin; the framework can be used to track progress towards sustainable development and identify priorities for multi-criteria decision-making.

京都大学 / 0048 / 新制・課程博士 / 博士(工学) / 甲第22426号 / 工博第4687号 / 新制||工||1732(附属図書館) / 京都大学大学院工学研究科都市環境工学専攻 / (主査)教授 清水 芳久, 教授 田中 宏明, 教授 藤井 滋穂 / 学位規則第4条第1項該当 / Doctor of Philosophy (Engineering) / Kyoto University / DFAM

Magister Legum - LLM / Water scarcity is a worldwide threat. Fresh water resources are vital to human existence and survival. The challenge faced relates to the way these water resources are being distributed and managed. As an answer to this challenge, humans responded with what is commonly known as water transfers. A water transfer refers to the importation of water where water supply is low. Water transfers are, however, not a new concept as it dates back to the ancient Mesopotamians. Today, due to the global population having drastically increased, water transfers, or inter-basin transfers (IBTs) are increasingly being used as a means to minimize current water shortages.

Die Dissertation befasst sich mit der integrierten Bewirtschaftungsplanung von Flusseinzugsgebieten. Die europäische Wasserrahmenrichtlinie (WRRL, 2000/60/EG) und die europäische Hochwasserrichtlinie (HWRL, 2007/60/EG) setzen dafür neue Maßstäbe, indem beide die Mitgliedsstaaten zur Aufstellung einzugsgebietsbezogener Planungsinstrumente verpflichten. In der Arbeit werden eingangs die wesentlichen Prozesse, theoretischen Modelle und Ansatzpunkte für ein integriertes Management von Flusseinzugsgebieten vorgestellt. Die Anforderungen an Bewirtschaftungspläne und Maßnahmenprogramme der WRRL werden den Vorgaben für die Erstellung der Hochwasserrisikomanagementpläne und ihren planerischen Grundlagen gemäß HWRL gegenübergestellt. Potenzielle Synergien und Konflikte zwischen den Zielen und Maßnahmen werden identifiziert. Der Vergleich der Planungsschritte und -methoden zeigt, dass Abstimmungsbedarf zwischen den Planungsinstrumenten des Flussgebiets- und Hochwasserrisikomanagements für sämtliche Planungsschritte besteht, von der Systemanalyse bis zur Maßnahmenumsetzung. Darauf aufbauend wird ein Konzept für eine integrierte Bewirtschaftungsplanung entwickelt. Das Konzept besteht aus einzelnen fachlich-methodischen Planungsmodulen für jeden Planungsschritt. Sie können im Zusammenhang oder für sich genommen zur Abstimmung zwischen den Plänen des Flussgebiets- und Hochwasserrisikomanagements dienen. Abschließend werden die fachlichen und organisatorischinstitutionellen Potenziale des Konzepts diskutiert und weitergehender Forschungsbedarf aufgezeigt. / The thesis addresses the integrated planning of river basins. For this, the European Water Framework Directive (WFD, 2000/60/EC) and the Floods Directive (FD, 2007/60/EC) are setting new benchmarks by committing its member states to set up river basin-wide management plans. At the beginning of the thesis, the most important processes, theoretical models and options of intervention for integrated river basin management are introduced. The requirements for the river basin management plans and the programmes of measures of the WFD will be contrasted with the specifications for the flood risk management plans according to the FD and their fundamental planning documents. Potential synergies and conflicts between the objectives and measures are identified. The comparison of the planning steps and methods show that all planning steps, from the systems analysis to the implementation of measures, require a coordination of the planning instruments of river basin management and flood risk management. Based on these findings, a concept of integrated river basin management planning is developed. The concept is composed of planning modules for each planning step. For the reconciliation between the plans of river basin management and flood risk management, those planning modules can be used in combination or separately. Finally, the technical and institutional potentials of the concept are discussed. Need for further research is identified.

Die Dissertation befasst sich mit der integrierten Bewirtschaftungsplanung von Flusseinzugsgebieten. Die europäische Wasserrahmenrichtlinie (WRRL, 2000/60/EG) und die europäische Hochwasserrichtlinie (HWRL, 2007/60/EG) setzen dafür neue Maßstäbe, indem beide die Mitgliedsstaaten zur Aufstellung einzugsgebietsbezogener Planungsinstrumente verpflichten. In der Arbeit werden eingangs die wesentlichen Prozesse, theoretischen Modelle und Ansatzpunkte für ein integriertes Management von Flusseinzugsgebieten vorgestellt. Die Anforderungen an Bewirtschaftungspläne und Maßnahmenprogramme der WRRL werden den Vorgaben für die Erstellung der Hochwasserrisikomanagementpläne und ihren planerischen Grundlagen gemäß HWRL gegenübergestellt. Potenzielle Synergien und Konflikte zwischen den Zielen und Maßnahmen werden identifiziert. Der Vergleich der Planungsschritte und -methoden zeigt, dass Abstimmungsbedarf zwischen den Planungsinstrumenten des Flussgebiets- und Hochwasserrisikomanagements für sämtliche Planungsschritte besteht, von der Systemanalyse bis zur Maßnahmenumsetzung. Darauf aufbauend wird ein Konzept für eine integrierte Bewirtschaftungsplanung entwickelt. Das Konzept besteht aus einzelnen fachlich-methodischen Planungsmodulen für jeden Planungsschritt. Sie können im Zusammenhang oder für sich genommen zur Abstimmung zwischen den Plänen des Flussgebiets- und Hochwasserrisikomanagements dienen. Abschließend werden die fachlichen und organisatorischinstitutionellen Potenziale des Konzepts diskutiert und weitergehender Forschungsbedarf aufgezeigt. / The thesis addresses the integrated planning of river basins. For this, the European Water Framework Directive (WFD, 2000/60/EC) and the Floods Directive (FD, 2007/60/EC) are setting new benchmarks by committing its member states to set up river basin-wide management plans. At the beginning of the thesis, the most important processes, theoretical models and options of intervention for integrated river basin management are introduced. The requirements for the river basin management plans and the programmes of measures of the WFD will be contrasted with the specifications for the flood risk management plans according to the FD and their fundamental planning documents. Potential synergies and conflicts between the objectives and measures are identified. The comparison of the planning steps and methods show that all planning steps, from the systems analysis to the implementation of measures, require a coordination of the planning instruments of river basin management and flood risk management. Based on these findings, a concept of integrated river basin management planning is developed. The concept is composed of planning modules for each planning step. For the reconciliation between the plans of river basin management and flood risk management, those planning modules can be used in combination or separately. Finally, the technical and institutional potentials of the concept are discussed. Need for further research is identified.