mechanism for upward transport of heat in
the tropics.
TOPIC 3.
EVAPORATION AND
TRANSPIRATION
EVAPORATION
DEFINED EVAPORATION
➔ Changes of water from liquid to gas or
gas to liquid greatly affect the heating
and cooling of the atmosphere.
➔ Evaporation is the phase change of water
from a liquid to a gas. Evaporating water
removes heat from the environment and is
therefore a COOLING process in the
atmosphere. The coolness you feel on
your skin after stepping out of a shower or
swimming pool is an example of the heat
loss resulting from evaporation.
➔ Evaporation adds moisture to the
atmosphere. If enough moisture is added
to the atmosphere by evaporation, dew,
fog, clouds, and precipitation can form.
WATER VAPOR
➔ Water vapor constitutes 0-4% of the total
volume of the atmosphere, yet it is the
most important determinant of weather
and climate. Figure A illustrates some
processes that are critical to weather and
climate in the tropics.
➔ Water vapor condenses to form
precipitation, an essential resource for life.
➔ Water vapor is an active absorber and
emitter of infrared radiation, thereby
affecting heating and cooling of the
atmosphere and surface.
➔ Latent heat release when vapor
condenses or freezes is an important
energy source for atmospheric motion and
convective weather systems.
➔ Vertical transport of water vapor, through
cumulus convection, is the most important
➔ The amount of water vapor influences the
rate of surface evaporation and
transpiration.
MEASURING WATER VAPOR
CONTENT
➔ Meteorologists describe the amount of
water vapor in the atmosphere in terms of
the vapor pressure, specific humidity,
mixing ratio, relative humidity, and
saturation.
➔ Atmospheric moisture content is
measured directly, using instruments such
as hygrometers and psychrometers, or
estimated from satellite microwave sensor
measurements.
DEFINING WATER VAPOR CONTENT
➔ VAPOR PRESSURE - The partial
pressure of air that is exerted by water
vapor (hPa or mb).
➔ SPECIFIC HUMIDITY - Mass of water
vapor divided by the mass of air (g kg-1).
➔ MIXING RATIO - Mass of water vapor
divided by the mass of dry air (g kg-1).
➔ DEW POINT TEMPERATURE - The
temperature to which air must be cooled
(at constant pressure and vapor content)
for saturation to occur. The frost point
temperature is similar except for saturation
relative to ice (°C/°F/K).
➔ RELATIVE HUMIDITY (RH) - Ratio of
specific humidity to saturation specific
humidity. The amount of water vapor
compared with the amount required for
saturation (at a particular temperature and
pressure).
➔ SATURATION OR EQUILIBRIUM -
Condition of the atmosphere when the
evaporation rate is equal to the
condensation rate. When air is saturated,
the amount of water vapor is the maximum
that can exist at a particular temperature
and pressure.
SOURCES OF WATER VAPOR
➔ Evaporation and Evapotranspiration.
➔ Evaporation from the ocean is the primary
means by which water and energy are
transported from the surface to the
atmosphere.
➔ While evaporation over land is less than
that over the ocean, its distribution plays a
vital role in the initiation and evolution of
convective weather systems.
1
WHERE WOULD YOU EXPECT EVAPORATION
RATES TO BE HIGH?
➔ OVER WARM OCEAN CURRENTS
➔ WHERE WIND SPEEDS ARE HIGHER
ET RATES FOR AMPLY-WATERED PLANTS
UPWELLING
➔ upwelling brings cooler and denser water
to the ocean surface. One of the primary
places for upwelling in the tropics is along
the equator.
➔ upwelling also occurs along coasts where
surface water is moved offshore in
response to currents that flow along the
coast, as illustrated for the southern
hemisphere.
EVAPOTRANSPIRATION
➔ The contribution of water vapor from
evaporation and transpiration combined is
known as evapotranspiration (et) and
represents an important part of the water
cycle.
ARE DETERMINED BY?
➔ Incoming radiation - ET rates increase
as incoming radiation increases.
➔ Temperature - ET rates increase as
temperature rises until an optimum
temperature is reached.
➔ Soil moisture availability - When soil
moisture is lacking, plants transpire less,
and can even wilt when the soil is very dry.
➔ Relative humidity - ET increases with the
relative humidity gradient.
➔ Wind - Increased wind speed results in a
higher ET rate in unstressed plants.
➔ Type of plant - Transpiration rates vary
among plants. For example, plants in arid
regions conserve water by transpiring
less.
EVAPOTRANSPIRATION
➔ Potential evapotranspiration is a measure
of the maximum possible water loss from
an area under a specified set of weather
conditions.
➔ Maximum annual potential
evapotranspiration occurs where
temperatures are highest in regions such
as the Sahara Desert.
➔ Evaporation pans and lysimeters are two
common methods used to measure the
potential evapotranspiration, which often
greatly exceeds the actual ET.
TOPIC 4. RUNOFF
PROCESSES
RUNOFF
DEFINED RUNOFF
➔ Runoff is often defined as the portion of
rainfall, snowmelt, and/or irrigation water
that runs over the soil surface toward the
stream rather than infiltrating into the soil.
It is sometimes called surface runoff.
➔ For some purposes however, the definition
of runoff also includes water which makes
its way relatively quickly to the stream
channel just below the surface. This is
sometimes called interflow or
subsurface stormflow, and together with
2
 surface runoff makes up the volume of
water that hydrologists generally refer
to as runoff.
Environmental conditions that affect these three
processes are broadly broken down into two
major categories: natural influences and human
activity influences. Natural processes can have
a variety of influences, but human activity
typically results in less water entering the soil
profile and thus more runoff at the ground
surface.
FLOOD PREDICTION
➔ The main reason for studying the runoff
process is to get an estimate of the
amount of water that makes its way
quickly to the stream channel. Runoff is
the most important component of flood
prediction and can consist of either
rainwater or water from melting ice and
snow. Watershed conditions will impact
the proportion of rain or snow that
becomes runoff. Once we know the
amount of water expected to become
runoff, other tools such as the unit
hydrograph can assist us with estimating
the resulting discharge in the stream.
SOIL WATER PROCESSES
➔ There are three physical processes for the
movement of soil water: entry,
transmission, and storage.
◆ Entry, also known as infiltration,
occurs at the water-ground surface
boundary.
◆ Transmission is the vertical and
horizontal percolation that can
occur throughout the entire depth of
the soil layer.
◆ Storage can occur throughout the
soil profile and is manifested as
increased soil moisture.
➔ Environmental conditions that affect these
three processes are broadly broken down
into two major categories: natural
influences and human activity influences.
Natural processes can have a variety of
influences, but human activity typically
results in less water entering the soil
profile and thus more runoff at the ground
surface.
GENERAL RUNOFF TERMS
➔ There are a number of terms commonly
used to describe runoff processes.
➔ Basin, drainage basin, or watershed,
are all terms used to describe the area
3
 contributing to the runoff. The runoff in a
basin generally begins at the drainage
divide that marks the perimeter of the
basin. All runoff within a basin drains to a
single point at the outlet of that basin.
➔ Baseflow is the long-term supply of water
that keeps at least some water in the
stream even during extended dry periods.
Baseflow comes from water that
percolated down into deep storage.
➔ Infiltration is the downward movement of
water through the soil surface. While it is
often used interchangeably with
percolation, percolation actually refers
to movement of water within soil, and
infiltration specifically refers just to the
process of water entering a soil surface.
➔ Surface runoff is the movement of water
across the soil surface toward the stream
channel.
➔ Interflow is the relatively rapid movement
of water below the soil surface toward the
stream channel, typically within 72 hours
of when water infiltrates the surface. This
process is more likely in areas with deep
soil.
➔ Runoff, sometimes called quick response
runoff, can refer to surface runoff only, but
sometimes it is the combination of surface
runoff plus interflow. Thus, it typically
represents the movement of water to the
stream channel that is not part of
baseflow.
INFILTRATION TERMS
➔ Infiltration rate is the amount of water
able to enter the soil in a specified time
period. It is expressed as depth per time;
for example, 10 millimeters per hour.
➔ Infiltration capacity is the upper limit of
infiltration rate. It includes surface
infiltration and percolation and is
expressed in depth per time; for example,
15 millimeters per hour.
◆ If precipitation rate is less than or
equal to infiltration capacity, no
surface runoff occurs.
◆ If precipitation rate is greater than
infiltration capacity, surface runoff
occurs.
➔ Surface runoff equals rainfall or snowmelt
rate minus infiltration capacity.
➔ For example, if our rainfall rate increases
to 25 millimeters per hour but the
infiltration capacity remains at 15
millimeters per hour, then the rainfall rate
is 10 millimeters per hour greater than the
infiltration capacity. The 10 millimeters per
hour that does not infiltrate becomes
surface runoff.
PATHS TO RUNOFF
➔ To describe the paths that water can take
to the basin outlet.
➔ To look at details about surface runoff,
interflow, and pre-event water. We will also
consider influences of climate, geography,
and antecedent moisture.
SURFACE RUNOFF
➔ There are two types of surface runoff that
occur during rainfall or snowmelt.
◆ Infiltration excess overland flow
occurs with soil that is not
saturated. In fact the soil can be
quite dry, but soil properties or land
cover do not allow for infiltration to
keep up with high rainfall or
snowmelt rates.
◆ Saturation excess overland flow
occurs when the soil becomes
saturated and there is no longer any
space for water to infiltrate. This
can occur even with soil that would
typically allow for large amounts of
infiltration in sub-saturated
conditions.
INFILTRATION EXCESS FLOW
➔ Infiltration excess occurs when the rate of
rainfall or snowmelt is greater than the
infiltration capacity. The water that cannot
infiltrate becomes surface runoff.
4
➔ For example,
◆ if the infiltration capacity is 15
millimeters per hour
◆ rainfall rate is 25 millimeters per
hour
◆ then the rainfall rate exceeds the
infiltration capacity by 10 millimeters
per hour.
◆ That 10 millimeters per hour
infiltrates excess overland flow,
even if the underlying soil is dry.
➔ Infiltration excess is most commonly
observed with short-duration intense
rainfall. It also occurs most often in areas
with high clay content or where the
surface has been altered by soil
compaction, urbanization, or fire.
➔ Infiltration of excess overland flow is
sometimes called Hortonian flow.
SATURATION EXCESS FLOW
➔ Saturation excess occurs when the soil
layers have become saturated and no
further water can infiltrate.
➔ It is most common with long-duration,
gentle-to-moderate rainfall, or with the
latter of successive precipitation and or
snowmelt events.
➔ For example, consider a storm that
produces a steady rainfall rate of 10
millimeters per hour for four hours. After
three hours of infiltration the soil becomes
saturated. In the fourth hour, the 10 mm/hr
rainfall rate cannot infiltrate the saturated
soil and becomes saturation excess
overland flow.
➔ Saturation excess overland flow can occur
anywhere the soil is wet. It is most
common in humid climates with gently
sloped or flat basins.
INTERFLOW
➔ Interflow, also known as subsurface
stormflow, is relatively rapid flow toward
the stream channel that occurs below the
surface.
➔ It occurs more rapidly than baseflow, but
typically more slowly than surface runoff.
In some cases, interflow may be as
important as surface runoff for forecasting
rapid rises in the stream channel. In fact,
in regions with high infiltration rates and
steep terrain, interflow may be the
dominant process by which streams react
quickly to rainfall or snowmelt.
➔ This process is most likely to occur in
humid, deep-soil areas. However,
significant interflow contribution may occur
in thin-soiled regions when there is an
impermeable layer such as bedrock
beneath the more permeable surface soil
layer.
TRANSMISSIVITY FEEDBACK
➔ One runoff process that contributes to
interflow is transmissivity feedback. This
occurs when a network of macropores is
activated following rapid infiltration.
➔ Macropores and natural pipes are void
spaces in the soil that provide preferential
pathways for water to move downslope.
Decayed plant roots, burrowing insects
and animals, and chemical reactions
between water and soil minerals are a few
ways that macropores form.
➔ Macropore networks are more likely in
deep-soiled areas with considerable
organic materials. Thus, humid climates
are more likely to have substantial
interflow through macropore networks.
SOIL-BEDROCK INTERFACE
5

➔ The presence of a soil-bedrock interface
enhances interflow. The soil-bedrock
interface typically occurs in steep terrain
where the soil layer is considerably more
permeable than the underlying bedrock.
Rainwater or snowmelt infiltrates rapidly to
the bedrock interface and then moves
rapidly downslope along the interface.
➔ Sometimes a feature called a fragipan
exists. A fragipan layer has low
permeability, like rock or clay, and may
also serve to focus the lateral subsurface
flow. Fragipan features can exist at
relatively shallow depths and play an
important role in enhancing both interflow
and even surface runoff after the soil
layers above the fragipan are saturated.
GROUNDWATER RIDGING
➔ Groundwater ridging is yet another
mechanism that contributes to runoff.
➔ Groundwater ridging is a process that
occurs in sloped drainage basins where
the water table is much closer to the
surface near the stream channel than it is
further away from the stream.
➔ Rainwater or snowmelt reaches the
groundwater level near the stream
channel more quickly than it does further
up the hill away from the stream. The
water table begins to rise near the stream
channel more quickly than it does further
away, creating a groundwater ridge close
to the stream. The gradient between the
groundwater ridge and the stream channel
results in more rapid interflow to the
stream.
➔ In some cases the groundwater ridge can
reach the soil surface and contribute to
surface runoff through saturation excess
overland flow.
PRE-EVENT WATER
➔ Some of the interflow that quickly finds its
way to the stream is not necessarily from
the current rainfall. In these cases there is
considerable water already in the soil
layers that gets displaced as new water
infiltrates. The water that appears in the
stream immediately following a rainfall or
rapid snowmelt period may be from
previous precipitation events, or pre-event
water. In humid climates, studies have
shown that pre-event water is often the
greatest contributor to rapid rises in
stream level.
BASIN PROPERTIES
➔ The physical properties of a drainage
basin and its streams influence the
amount and the timing of the runoff. These
properties may come from natural and
human factors.
WHAT IS GEOMOPHOLOGY?
➔ Geomorphology is the study of the
earth’s surface features, or landforms, and
the processes that form them. An
understanding of the geomorphology of a
basin helps with anticipating runoff
characteristics.
CONTRIBUTING AREA
6

➔ The size of the contributing area of the
rainfall in a basin has a direct influence on
the total volume of runoff that drains from
that basin.
➔ It probably comes as no surprise that
when rain falls in a uniform manner over a
larger basin and a smaller basin, the
larger basin produces more runoff volume.
All things being equal, a drainage area
that is twice as large can generate twice
as much runoff volume as its smaller
counterpart.
➔ Of course many storms will cover only part
of a basin. So for most situations, the
runoff volume will be determined by the
contributing area—that part of the basin
covered by a storm—not the total size of a
basin.
BASIN SIZE
➔ Likewise, consider two similarly shaped
basins, with one larger than the other.
Runoff traveling from most upstream point
of the larger basin will travel a longer path,
and therefore take longer to reach the
basin outlet than runoff traveling from the
farthest point in the smaller basin. In
addition, a single thunderstorm will likely
only impact a portion of the large basin at
any given time, but it may envelope the
entire small basin.
BASIN SHAPE
➔ Basin shape also has an influence on
magnitude and timing of the peak flow at
the basin outlet.
➔
➔ Consider two basins of equal area where
one is long and narrow, and the other is
more round. Then consider runoff traveling
from the farthest point in each basin to
their respective outlets. The runoff in the
more round basin will arrive more quickly
at the basin outlet.
➔ In addition, water from multiple locations in
this basin is more likely to arrive at the
outlet at the same time, resulting in a
greater peak flow. By contrast, in a longer,
narrower basin, water from multiple
locations is less likely to arrive at the same
time.
STREAMS MEANDERS
7

➔ Meanders in the stream channel add to
the distance that water must travel from
upstream to downstream.
➔ Consider a basin with meandering stream
channels. If all of the meanders were
straightened out, the distance that the
water travels through the streams would
decrease. This reduces the time it takes
water to travel to the basin outlet. It also
decreases the time over which water may
infiltrate the ground through the bottom of
the stream channel.
➔ Meanders increase the travel time of
runoff through the basin and may reduce
the overall runoff volume.
BASIN SLOPE
➔ The slope of a basin affects the amount
and the timing of runoff.
➔ As the slope of the land increases several
factors come into play. The first is that
water contact to the surface is no longer
perpendicular. With the land sloping,
gravity no longer pulls the water directly
into the ground, so more water is likely to
become surface runoff.
➔ Another factor is the movement of water
across the land surface. As the ground
becomes increasingly steep, water will
move faster and will have less time in
contact with the ground surface, reducing
the time during which it could infiltrate.
➔ Also important is the amount of sediment
carried by flowing water. Erosion occurs
when water removes sediment from the
ground surface. Although it is dependent
on soil type and ground cover, erosion
generally increases with increasing slope.
With higher amounts of sediment in the
water, the surface pores in the soil which
the water might otherwise enter, can
become plugged, reducing infiltration.
➔ In general, the steeper the hill slope and
the steeper the drainage channels, the
quicker the flow response and the
higher the peak discharges.
ROUGHNESS
➔ “Roughness” of a stream channel
increases due to the presence of rocks,
vegetation, and debris. Channelizing a
stream by doing such things as removing
vegetation and lining the stream bed with
concrete will reduce the roughness. The
roughness factor has a direct impact on
how quickly the water will move in the
channel and how high the peak stage will
be. Manning’s equation is often used in
hydrology to account for the roughness
factor.
➔ The greater the roughness…
◆ the more turbulent the flow.
◆ the slower runoff and streamflow
velocities.
◆ allows more time for infiltration,
◆ also results in a broader flood wave
with lower peak discharges than in
rapid runoff situations.
➔ Conversely, reducing channel roughness
results in faster streamflow velocities and
greater peak flows.
STREAM DENSITY
➔ Stream density is the length of all
channels within the basin divided by the
area of the basin. Stream density is one of
the most important characteristics for
evaluating potential runoff.
8

◆ A drainage basin with a large
number of tributaries has a higher
stream density than a basin with
very few tributary streams. Higher
stream density allows the
landscape to drain more efficiently
following a storm event. More
efficient drainage means that water
moves into streams and creeks
faster, causing peak storm flows to
be larger and to occur sooner.
◆ A basin with a lower stream
density usually indicates a deep,
well-developed soil. In this case,
water is more likely to infiltrate into
the soil rather than become surface
runoff and enter into the channel
network.
URBANIZATION
➔ Urbanization typically results in alterations
to the natural ground surfaces and stream
channels of a basin. Surface
permeability, basin size, stream
density, roughness, and channel length
and slope can all be affected in a way
that results in greater magnitude and
speed of runoff.
➔ In urban areas the greater coverage of
pavement, buildings, and compacted soils
prevents infiltration of rainfall and
snowmelt compared to the natural ground
surface. This can greatly increase the
magnitude of runoff.
➔ Urban features such as road
embankments and berms can act to
break down natural basins into smaller
sub-basins. Smaller drainages react much
more quickly to localized rainfall than
larger basins.
➔ Road grids, ditches, and storm sewer
systems act as a network of tributaries
and effectively increase stream density.
Higher stream density results in more
rapid runoff to the stream channels.
➔ Compared to a natural stream bed, road
surfaces, culverts, and storm sewers
have smooth surfaces. This decrease in
surface roughness allows runoff to move
much more quickly to the main stream
channels than it would in a more natural
setting.
➔ Streams in urban areas often have
vegetation removed and are sometimes
lined with concrete in a process called
“channelization.” This also decreases
roughness and causes water velocity to
increase.
➔ Sometimes as part of channelization
urban streams are straightened by having
meanders removed.
◆ This decreases the distance that
water travels from the top to the
bottom of the drainage basin. It also
effectively increases the slope
because the stream now
experiences the same elevation
drop but in a shorter distance.
◆ Decreasing the distance traveled
and increasing slope will cause a
more rapid flood response from the
runoff.
➔ Overall, an urban environment will result in
faster runoff with more runoff reaching the
streams than in a rural setting.
SOIL PROPERTIES
➔ The soil characteristics in a basin have
very strong influences on the character of
the runoff. Not only must one consider the
texture of soil, but also other important
characteristics including surface cover,
depth to impermeable layers, and
alterations to the soil by either human
activity or natural occurrences.
SOIL FORMATION PROCESSES
➔ Soil formation is the result of many natural
processes. Soils typically develop such
that the top layers show the greatest
impact of vegetation and weathering (the
O and A horizons) while the bottom layers
9
 (the C horizon) have the least influence
from plants and weathering.
➔ Climate is the most influential factor in soil
formation as it directly affects the
weathering of source material and is
critical for biological activity.
➔ Other natural influences of soil formation
include vegetation type and patterns, the
local geology, biological activity, mineral
reactions, and watershed topography.
These will affect how much rainfall or
snowmelt will enter the soil and how it will
move or get stored within the soil.An
accurate estimate of runoff from rain and
snowmelt is one of the most important
elements of the flood forecast process.
SOIL TEXTURE CLASSIFICATION
➔ Soil texture is classified according to
particle size. Clay has the smallest particle
and pore space size, followed by silt, and
then by sand with the largest size
particles. Soil texture is very important for
anticipating the potential infiltration,
movement, and storage of soil water.
➔ The USDA soil triangle is a reference tool
that allows you to classify the soil based
on the composition of its textures. (2) For
example, if you take a sample of soil and
determine that it is roughly 40% silt, 40%
sand, and 20% clay, then we can see that
the soil classification is “Loam.”
SOIL TEXTURE CLASSIFICATION
➔ Soil may be composed of one or more
types of soil textures. When soil contains
a large percentage of sand, infiltration
and drainage of water occurs more quickly
because of the larger pore space. Such
soil can absorb relatively high rates of
rainfall or snowmelt.
➔ Soils with a relatively high percentage of
clay will have smaller pore space and
correspondingly lower infiltration rates.
Therefore, soils dominated by clay are
less capable of absorbing high rainfall
rates.
➔ Silt has a particle size between sand and
clay. Soils with a high percentage of silt
will have higher infiltration and drainage
rates than clay, but not as high as sand.
➔ Consequently, clay soils may result in
greater surface runoff than sandy or silty
soil during intense rainfall or rapid
snowmelt. Sandy soil will generally
produce the least surface runoff.
➔ Soil texture information can assist with
anticipating potential water storage and
runoff. Keep in mind, of course, that it is
still important to consider specifics of the
situation such as soil moisture content and
the rate of rainfall or snowmelt.
10

➔ For example, if the soil is saturated as
shown here, surface runoff will occur
regardless of the soil texture.
➔ Although it may seem counter-intuitive, the
small pore spaces of clay add up to more
total void space than the fewer number of
large pore spaces in sand. Consequently,
in light rain or slow snowmelt, clay may be
able to hold more water than sand.
➔ However, water drains from clay soil more
slowly than from sandy soils. So in
successive rain events, clay soils may
remain saturated between storms and
therefore produce more runoff in the later
rain events.
SOIL PROFILE
➔ The soil profile provides information about
the depth to bedrock as well as
discontinuities in soil characteristics.
Discontinuities include, among other
things, vertical changes in soil properties
and permeability.
➔ In the U.S. the depth to bedrock can vary
widely. There are large areas with a soil
depth of at least 200 centimeters, in parts
of the Mississippi River valley, the Great
Plains, and southeastern coastal areas.
By contrast, soil depth in other areas is
less than 25 centimeters. Mountainous
and arid regions are more likely to have
areas with shallow soil depth.
➔ In general, areas with deep soil depth will
have greater capacity to absorb and store
water. These areas will likely have more
interflow as well. By contrast, shallow soil
areas typically saturate faster and produce
more runoffs given the same soil and
rainfall conditions.
➔ Another important characteristic of the soil
profile is whether there are impermeable
or low-permeable layers within the profile
(also known as a fragipan). For
example, consider a low-permeable layer
of clay and rock beneath a surface layer of
sandy soil. Rainfall or snowmelt in this
area may rapidly infiltrate into the top sand
layer, but only very slowly percolate
through the more impermeable layer in the
profile. This can result in both enhanced
runoff and interflow in this area.
➔ In some areas, mineral reactions result in
relatively impermeable layers of calcium
carbonate deposits known as caliche.
➔ Finally, biologic and chemical activity in
the soil can leave macropores. Recall that
these natural pipes and void spaces
enhance both the speed and the volume
of water that can move vertically and
horizontally through the soil profile.
SURFACE PROPERTIES
➔ Soil surface properties can be the most
important influence on runoff in some
areas. If water is unable to infiltrate the
soil surface, the characteristics of the soil
profile below become unimportant.
Impermeable surface materials, soil
compaction, deforestation, and fire are
factors that affect infiltration into the
soil profile.
11

➔ Covering ground surfaces with
impermeable materials such as concrete
and asphalt means less water can
infiltrate. In addition, as soil becomes
more compacted, the infiltration,
percolation, and soil moisture storage all
decrease. In general, human activity
results in less infiltration, less storage, and
greater surface runoff.
➔ Deforestation can have an impact on
infiltration and runoff. Without plant
matter on the surface, water will move
more quickly. This means water will have
less time to infiltrate the soil. In addition,
runoff from deforested areas is likely to
contain more sediment. The sediment load
can take up space in the stream channel
that would otherwise be available for
increased flow. Thus, deforested areas are
more likely to result in enhanced runoff
with large sediment loading into the
stream channels.
➔ Fires are a type of deforestation that
can have more severe consequences on
subsequent runoff. In addition to the
typical deforestation problems, fires can
alter the soil surface and make it
temporarily hydrophobic, that is, unable to
absorb water. This is especially noted in
pine forest areas because the oils and
resins from the trees vaporize and get
infused into the soil. This creates a
hydrophobic layer at or near the surface.
The severity of runoff and sediment
loading can often be seen by the scour on
the tree trunks and the alluvial deposits
left after the floodwater passes.
MODELING
CONCEPTS
➔ Various models from simple to complex
have been developed for analyzing and
predicting factors involved in runoff. The
choice of a specific model depends on the
type of information required and how the
results are to be applied.
➔ The number and types of assumptions
within a model, the kinds of data needed,
and the level of complexity are important
factors when deciding which model to use.
SIMPLE METHOD
➔ At a very basic level, a simple rainfall
runoff model could just compute the
amount of rain running off a hard surface.
An example would be if we looked at a
paved parking lot covered with concrete or
asphalt. Since no bare ground areas are
present, infiltration would not take place.
The amount of runoff from the parking lot
would be about equal to the amount of
rain that fell. Or, stated another way, the
input would simply be rainfall and the
output would be the runoff.
RATIONAL METHOD
➔ One of the simplest hydrologic situations
to model is the peak runoff from a small
area (less than 200 acres or 81 hectares).
The Rational method estimates only the
peak flow using rainfall intensity, area, and
a land use factor. Note that using this
method, there is no timing associated with
the peak flow.
The equation is:
➔ Peak Runoff, Q p = CIA (English units)
➔ Peak Runoff, Q p = CIA/360 (metric units)
➔ C is the land-use runoff coefficient that
has no units associated with it, In English
units, I is the average rainfall intensity in
inches per hour, and A is the area in
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 acres. The peak runoff is in cubic feet per into account a complex array of natural
second and human-influenced factors.
➔ If metric units are used, C doesn’t change. ➔ In this model we see the input and
I is the rainfall intensity in millimeters per movement of water through an idealized
hour. A is the area in hectares. And a hydrologic system.
conversion factor of 1/360 is needed to
calculate the peak runoff in cubic meter. LUMPED MODELING
➔ The value of C is found by using a table ➔ The most basic approach for more
listing land use types. complex modeling of runoff from a basin is
➔ The Rational method is used for called the “lumped” method. This type of
computing peak runoff from small areas hydrologic model views a particular
such as parking lots, crop lands, or public drainage area as a single unit and uses
parks. It is primarily used in small basins basin-averaged hydrologic and
where the coverage of impermeable meteorological inputs. The output from a
surfaces is important. lumped model is usually a hydrograph at
➔ This method provides no robust means of the basin
accounting for infiltrations per second. outlet.
➔ In the past,
lumped
modeling
methods
were
required due
to data
collection
methods
and
software
limitations. Lumped models are still
useful for producing flood guidance.
They require less data input and less
computational power than more modern
methods. However, as new geo-spatial
technologies become available, lumped
models are being replaced by methods
using more detailed spatial information to
examine the basin on a finer scale.
COMPLEX MODELS
➔ While simple hydrologic models are limited
by assumptions and calculations, more SEMI-DISTRIBUTED MODELING
complex models allow us to better ➔ Semi-distributed modeling is a variation
approximate different parts of the of the lumped method and is sometimes
hydrologic cycle. We can see from this referred to as a “pseudo-distributed”
diagram that a hydrologic model may take approach. Using this approach, a basin is
broken down into smaller sub-basins.
Runoff amounts
from methods
such as unit
hydrograph are
used to estimate
streamflow from
each of these
sub-basins.
These runoff
volumes are
then routed
downstream to
estimate the

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 streamflow output for the larger basin at TYPES OF MODELS
the outlet. ➔ The term “hydrological model” can have
various definitions depending on how a
DISTRIBUTED MODELING natural system is examined and the
➔ A truly distributed modeling approach is complexity involved. Sometimes a
one that represents processes in a particular modeling approach may have
gridded manner and also provides for more than one name, which can cause
detailed predictions at the grid-cell confusion.
level. GENERAL DEFINITION
➔ With this type of approach, each cell has ◆ Model - A scaled reproduction of a
parameters allowing for its own streamflow system, a mental
estimates. The flow at any grid point can conceptualization, an empirical
be estimated mathematically. relationship, or a series of
mathematical and statistical
equations representing a system.
Models are imperfect
representations, but are valuable
tools with which to study a variety
of conditions and predict answers
that would be impractical to obtain
by measuring or observing the
actual system.
VARIOUS SPECIFIC DEFINITIONS
◆ Analog model - A model based on
similarities between the system
under study and another system or
process.
◆ Analytical model - A model that
➔ One drawback to distributed modeling is uses classic methods such as
the additional input data required for each calculus or algebra to solve a
cell. If these data are not available, they series of equations.
must somehow be estimated, introducing ◆ Conceptual model - A simplified
an uncertainty factor. representation of the system being
examined.
DISTRIBUTED MODELING ISSUES ◆ Continuous model - A model that
➔ Distributed modeling methods allow uses continuous simulation, as
modeling of smaller and smaller basins. opposed to a single-event model.
They also allow computation of more ◆ Deterministic model - A model that
realistic runoff within produces the same output for a
a basin. Flash flood given input without consideration
forecasts, for for risk or uncertainty.
example, have ◆ Empirical model - A model
improved with the represented by simplified
implementation of processes based on observation,
distributed models. measurements, or practical
➔ Distributed models experience rather than solely on
do however require principles or theory. A lumped
more complex and model is an example.
more high-resolution ◆ Explicit model - A numerical
data, introducing model that uses parameter values
more uncertainty. or unknown variables at the
➔ Distributed hydrologic models are beginning of a time step in the
becoming more spatially complex as computational algorithms.
technologies such as Doppler radar, ◆ Implicit model - A numerical
Global Positioning System (GPS), and model that uses parameter values
Geographic Information Systems (GIS) or unknown variables at the end of
are used to create geo-referenced, a time step in the computational
gridded datasets. algorithms.

14
 ◆ Mass balance model - A model
based on the conservation of mass
and focuses on balancing inputs
and outputs from the model area.
Also known as a zero-dimensional
model.
◆ Numerical model - A model that
uses a numerical method to solve
a series of equations, as opposed
to an analytical model. The results
from numerical models are often
approximations, while analytic
models produce exact solutions.
◆ One-dimensional model - A
model that includes only one space
dimension.
◆ Pseudo-deterministic model - A
semi-distributed model.
◆ Stochastic mathematical model -
A model that includes statistical
elements and produces a set of
outputs for a given set of inputs.
The output represents a set of
expected values.
◆ Two-dimensional model - A
model that includes two space
dimensions, usually horizontal and
vertical averaging.
NWSRFS
NWSRFS COMPONENTS
➔ The calibration system of the NWSRFS
contains historic streamflow data which
are used to establish model parameters.
Once such parameters are found, they
become the basis for real-time operational
model input.
➔ The operational forecast system takes
model parameters that are updated for
current conditions and combines this
information with real-time river data as
input to the hydrologic model. Model
output is used for short-term forecasts and
then used to update parameters for future
simulations.
➔ The interactive forecast system allows the
hydrologist to adjust and prepare products
and forecasts.
➔ The ensemble streamflow prediction
component is used to prepare long-term
river forecasts based on historic weather
and climatic conditions. In this case, a
probabilistic value is added to the
forecast.
NWSRFS SUBCOMPONENTS
➔ The operational forecast system within the
NWSRFS is composed of six
subcomponents. There is a rain and snow
operations component, a snow model, a
hydrologic model (such as the
Sacramento Soil Moisture Accounting
Model), a unit hydrograph operations
component, an adjustment component to
match simulated streamflow with observed
values, and a routing operations
component.
➔ Observed data are critical for the
Rain-Snow Operation, Snow Model, and
Adjustment Technique sections of the
operational forecast system.
THE SACSMA MODEL
➔ The Sacramento Soil Moisture
Accounting model called SACSMA, is a
spatially lumped continuous accounting
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 model. This is one of the hydrologic
models used in NWSRFS.
➔ The term spatially-lumped means that the
model views a particular drainage area as
a single unit and uses mean basin
precipitation, evaporation, temperature,
basin topography, and soil characteristics
as inputs. Outputs include direct runoff,
surface runoff, baseflow, interflow, and
evapotranspiration.
➔ Continuous means that the model
variables that account for soil moisture are
updated on a day-to-day basis. This
allows for creation of an ongoing model
condition of soil moisture.
➔ The SACSMA model is ideally suited for
the simulation of large drainage
basins—greater than 1,000 square
kilometers. Because the model simulates
storm runoff as well as baseflow, it is also
useful for water supply estimates.
➔ Additional inputs to this model include the
location of important features such as
reservoirs, lakes, and river junctions. An
accurate estimate of runoff from rain and
snowmelt is one of the most important
elements of the flood forecast process.
SACSMA COMPONENTS
➔ The SACSMA model divides each basin
into a surface boundary and two vertical
zones to represent soil moisture. The
upper zone is for short-term storage, while
the lower zone is for most of the soil
moisture and for longer-term groundwater
storage.
➔ Rainfall that falls on the impermeable
surfaces becomes direct runoff.
Precipitation may infiltrate into the soil
matrix as modeled in the permeable
component of the model.
➔ The soil moisture in each zone can exist
either as tension water, which is held
within the soil matrix by capillary forces or
gravity water, which drains freely from the
soil matrix.
➔ Tension water is an important concept in
the SACSMA model. When the tension
water requirements are satisfied, the
upper zone is saturated. Any additional
water is now gravity water. Gravity water is
subject to removal by evapotranspiration,
percolation, interflow, or surface runoff.
Tension water can only be removed by
evapotranspiration. Baseflow accounts for
the rest of the soil water in the model.
➔ Each model component contributes to the
overall hydrograph. The faster responding
parts, such as direct runoff, can be seen
as those layers on top of
slower-responding components, such as
surface runoff, interflow, and baseflow.
Together, all of the components combine
and influence the shape of a calculated
hydrograph.
➔ This approach provides flexibility when
calibrating or adjusting the computed
hydrograph to match the observed data.
Each component can be examined
separately and adjusted to match the
observed hydrograph.
API MODEL
➔ An accurate estimate of runoff from rain
and snowmelt is one of the most important
elements of the flood forecast process.
➔ The Antecedent Precipitation Index
(API) offers another useful model for
producing flood forecasts on a
storm-by-storm basis. The API model is a
16
 statistical method to estimate the
amount of surface runoff that will occur
from a basin from a given rainstorm.
The index is based on physical
characteristics of the basin, time of year,
storm duration, and rainfall amount.
➔ Procedures based on the API have been
successfully used for many years by River
Forecast Centers (RFCs) of NOAA’s
National Weather Service. However, as of
Spring of 2006, only one RFC uses the
API model operationally.

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