Beruflich Dokumente
Kultur Dokumente
P. Tuppad, K. R. Douglas‐Mankin,
T. Lee, R. Srinivasan, J. G. Arnold
ABSTRACT. This article introduces a special collection of 16 research articles on new developments and applications of the
Soil and Water Assessment Tool (SWAT) to address various environmental issues at a range of geographic and temporal scales.
Highlights include addition of a subdaily erosion and sediment transport algorithm, a biozone module, and a new algorithm
for shallow water table depth. Model applications include climate change impact assessments, model adaptation to regional
environmental conditions, watershed‐scale soil erosion assessments, and linkages to other models. A summary of reported
model performance indicates that 85% of daily flow calibration statistics reported in this collection were satisfactory or
better, with very good performance in four of the 20 calibration results and in three of the 19 validation results. Details of
reported model parameters for calibration of flow and water quality constituents are provided for other SWAT modelers. This
collection builds upon a previous ASABE 2010 SWAT Special Collection, demonstrating continued developments to enhance
SWAT's capabilities and highlighting SWAT's continued expansion in international applications, especially in Asia.
Keywords. Hydrologic modeling, Hydrology, SWAT, Water quality, Watershed.
T
he Soil and Water Assessment Tool (SWAT), devel‐ This article introduces and summarizes 16 research ar‐
oped by the USDA Agricultural Research Service ticles, many of which were originally presented at the 2010
(USDA‐ARS) (Arnold et al., 1998), is a watershed‐ International SWAT Conference in Ilsan, Korea. This collec‐
scale model that simulates hydrology, water quali‐ tion includes new SWAT developments, integration with oth‐
ty, and watershed management. It has been continuously er models to enhance the joint capabilities, and other
updated (currently SWAT version 2009 with ArcGIS3.x in‐ interesting SWAT model applications. Modeling research
terface is available) in response to advancing technology, im‐ from three continents is represented, with an emphasis on wa‐
proving its capabilities for application around the world. tershed applications from Asia (nine studies) in addition to
SWAT has been widely used for hydrological assessments at Africa (two studies) and North America (five studies).
various spatial and temporal scales in the U.S. and European The objectives of this article are to categorize, review, and
countries, as well as in Asia and Africa. In some studies, the introduce the research presented in this SWAT special collec‐
model has been used to simulate entire countries (Schuol and tion and to summarize and synthesize the model performance
Abbaspour, 2006; Faramarzi et al., 2009) or even entire conti‐ statistics and parameters reported in these articles. Thus, this
nents (Schuol et al., 2008). article is meant to be a succinct guide to complement the
SWAT model summaries by Gassman et al. (2007) and
Douglas‐Mankin et al. (2010).
Special Collection (Douglas‐Mankin et al., 2010) expanded refine the HRU distribution. The typical size of an HRU in
upon this review, summarizing additional research on SWAT SWAT ranges from about 50 to 500 ha. Hydrological process
developments and applications. simulation is divided into two phases: (1) the upland phase,
SWAT is a distributed parameter, deterministic, continu‐ in which the model calculates upland flow and loadings of
ous watershed model that operates on a daily time step. It sub‐ sediment, nutrients, bacteria, and pesticides from each HRU,
divides the watershed into a number of subwatersheds based and then combines area‐weighted HRU‐level loadings to the
on topography and user‐defined threshold drainage area subwatershed level; and (2) the channel/floodplain phase, in
(minimum area required to begin a stream) or predefined sub‐ which the model routes the upland loadings from each sub‐
watershed and reach delineation supplied by the user. Each watershed through the channel/stream network.
subwatershed is further divided into hydrologic response
units (HRUs), which are unique combinations of soil, land SWAT MODEL PERFORMANCE SUMMARY
use, slope, and land management. The HRU is the smallest Modeling studies typically require calibration and/or val‐
landscape component of SWAT used for simulating hydro‐ idation to evaluate model performance. Table 1 summarizes
logic processes. The size of an HRU depends on the resolu‐ the reported model performance statistics used in this collec‐
tion of inputs, including digital elevation model, soils, land tion: coefficient of determination (R2), Nash‐Sutcliffe model
use, and slopes, and user‐defined thresholds that define and efficiency (NSE), and percent bias (PBIAS). These statistics
Table 1c. Summary of reported SWAT sediment calibration and validation statistics.[a]
Drainage Warm‐up
Area Period Time Time PBIAS
Reference Model Watershed (km2) (years) Period Scale C/V R2 NSE (%)
Betrie et al. SWAT2005 Upper Blue Nile at Diem 176,000 1 1980‐1986 D C ‐‐ 0.72 ‐‐
(2011) (Ethiopia‐Sudan) 1990‐1996 D V 0.66
Jeong et al. SWAT2005 Riesel Y2 (Texas) 53.4 ‐‐ 2001 D C 0.37 0.49 2%
(2011b) Subdaily 2002 D V 0.23 0.21 ‐59%
Jeong et al. SWAT2005 Riesel Y2 (Texas) 53.4 ‐‐ 2001 D C ‐‐ 0.75 ‐‐
(2011b) Daily 2002 D V 0.29
Kim et al. SWAT2005 Chungju Dam (Korea) 6,648 2 2007‐2009 W C ‐‐ ‐‐ ‐16
(2011a)
Park et al. SWAT2000 Chungju Dam (Korea) 6,642 22 1998‐2000 D C ‐‐ ‐‐ ‐‐
(2011b) YW1 1,602 D C 0.79
YW2 2,261 D C 0.69
Chungju Dam (Korea) 6,642 22 2001‐2003 D V ‐‐ ‐‐ ‐‐
YW1 1,602 D V 0.95
YW2 2,261 D V 0.53
[a] D = daily, W = weekly, M = monthly, C = calibration, V = validation, R2 = coefficient of determination, NSE = Nash‐Sutcliffe efficiency, and PBIAS
= percent bias. Values for empty cells were not specified in the reference article.
provide insight regarding model performance in simulating produce optimal calibration for each parameter vary substan‐
streamflow, water table depth, sediment load, and N and P tially among the studies and watersheds. Interpretation of
loads across a wide spectrum of watershed conditions and add model results is aided by detailed reporting of the model para‐
substantially to the previous compilations of model results by meterization and calibration procedures, as found in many of
Gassman et al. (2007) and Douglas‐Mankin et al. (2010). the studies in this collection. However, gaps in reported
Table 2 summarizes the combined results of more than methods and results were evident in many cases. As indicated
100model runs or applications calibrated and/or validated by Douglas‐Mankin et al. (2010) and re‐emphasized here:
for daily streamflow from this collection and from Gassman “Improved reporting of calibration and validation procedures
et al. (2007) and Douglas‐Mankin et al. (2010). Adopting the and results, perhaps guided by a set of standard reporting
thresholds of NSE > 0.50 for satisfactory and NSE > 0.75 for guidelines, is essential for adequate interpretation of each
very good model performance for monthly flow (Moriasi et study and comparison among studies in the future. This in‐
al., 2007) and recognizing that monthly model performance creased information would also form the basis for assigning
statistics are generally better than daily statistics, 85% of the typical parameters and ranges for use in either manual or au‐
reported daily flow calibration statistics in this collection tomatic calibration and uncertainty processes.” In addition,
were reported to be satisfactory or better. Very good perfor‐ considering the uncertainty in measured calibration/valida‐
mance for daily flow was achieved in four of the 20 calibra‐ tion data will enhance evaluation of model results (Harmel et
tion results and in three of the 19 validation results. al., 2010).
Combined with data from Gassman et al. (2007) and
Douglas‐Mankin et al. (2010), 72% of 127 calibration results MODEL DEVELOPMENTS
and 55% of 105 validation results were rated as satisfactory Subdaily Erosion and Sediment Transport: In continua‐
or better, and 20% of calibration results and 11% of validation tion of recently developed subhourly flow models (Jeong et
results were rated as very good. al., 2011a), modified physically based erosion models were
Many studies also reported the parameters used to achieve incorporated into SWAT for simulating stormwater best man‐
the stated calibration statistics for streamflow (table 3). The agement practices (e.g., detention basins, wet ponds, sedi‐
model parameters used in calibration and the values found to mentation ponds, and retention irrigation systems) for small
Table 1e. Summary of reported SWAT phosphorus (total P) calibration and validation statistics.[a]
Drainage Warm‐up
Area Period Time Time PBIAS
Reference Model Watershed (km2) (years) Period Scale C/V R2 NSE (%)
Kim et al. SWAT2005 Hangang‐A (Korea) 6,648 2 2007‐2009 W C ‐‐ ‐‐ ‐22
(2011a)
Park et al. SWAT2000 Chungju Dam (Korea) 6,642 22 1998‐2000 M C ‐‐ ‐‐ ‐‐
(2011b) YW1 1,602 M C 0.82
YW2 2,261 M C 0.35
Chungju Dam (Korea) 6,642 22 2001‐2003 M V ‐‐ ‐‐ ‐‐
YW1 1,602 M V 0.88
YW2 2,261 M V 0.88
[a] D = daily, W = weekly, M = monthly, C = calibration, V = validation, R2 = coefficient of determination, NSE = Nash‐Sutcliffe efficiency, and PBIAS
= percent bias. Values for empty cells were not specified in the reference article.
Table 2. Frequency analysis of SWAT daily hydrologic calibration and validation statistics.[a]
Gassman et al. (2007) and
SWAT 2011 Collection Douglas‐Mankin et al. (2010) Combined
Calibration Validation Calibration Validation Calibration Validation
R2 NSE R2 NSE R2 NSE R2 NSE R2 NSE R2 NSE
n 15 20 15 19 47 107 44 86 62 127 59 105
0.90‐1.00 0 2 0 0 9 5 3 1 9 7 3 1
0.80‐0.89 1 2 0 2 7 7 6 6 8 9 6 8
0.70‐0.79 5 5 3 2 10 25 9 9 15 30 12 11
0.60‐0.69 8 4 2 4 8 19 12 19 16 23 14 23
0.50‐0.59 1 4 1 2 4 18 11 13 5 22 12 15
0.40‐0.49 0 2 2 0 4 8 2 11 4 10 4 11
0.30‐0.39 0 1 2 1 0 5 1 8 0 6 3 9
0.20‐0.29 0 0 5 1 3 5 0 4 3 5 5 5
0.10‐0.19 0 0 0 1 1 4 0 1 1 4 0 2
0.00‐0.09 0 0 0 1 1 2 0 1 1 2 0 2
<0.00 0 0 0 5 0 9 0 13 0 9 0 18
[a] R2 = coefficient of determination, NSE = Nash‐Sutcliffe efficiency, and n = number of models analyzed.
urban watersheds. The Modified Universal Soil Loss Equa‐ tanks, which are common onsite wastewater treatment sys‐
tion (MUSLE) was replaced by new algorithms based on the tems in rural and suburban areas. This added feature in SWAT
European Soil Erosion Model to calculate splash erosion and facilitates simulation of septic systems, including conven‐
ANSWERS to calculate overland flow erosion (Jeong et al., tional, advanced, and failing types, at the HRU level (Jeong
2011b). In this study, the sediment transport model was also et al., 2011c). In the SWAT biozone algorithm adapted from
modified to compute in‐stream sediment routing. In testing Siegrist et al. (2005), septic tank effluent directly drains to
on small watersheds in Riesel, Texas, Jeong et al. (2011b) subsurface soil layers, affecting soil moisture content and
found that the new algorithms were able to adequately repre‐ percolation, which is a function of soil hydraulic conductiv‐
sent timing, peak, and duration of sediment transport events ity. The algorithm attempts to simulate the complex biologi‐
in addition to improved simulation of sediment yields. cal process due to the solids, organics, and nutrients in the
Septic Systems: A new biozone module was incorporated incoming effluent and eventual accumulation of solids and
into SWAT, expanding its applicability to simulate septic plaque, causing clogging and hydraulic failure of the system.
Groundwater: A new algorithm for shallow water table were applied into a calibrated SWAT model to assess impacts
depth was incorporated into SWAT, in which the water table of climate change in the watersheds.
depth was estimated as a function of drainage volume and Joh et al. (2011) estimated the impacts on soil moisture
water table factor (wtf). Currently, wtf is an HRU‐level cal‐ and evapotranspiration in a small forested watershed in
ibration parameter in SWAT, but a further study by Moriasi northwestern Korea due to increases in temperature and pre‐
et al. (2011) attempted to revise the algorithm wherein wtf is cipitation in the years 2040 and 2080 based on A1B and B1
automatically computed within the model as a function of scenarios. They concluded that evapotranspiration would in‐
soil physical properties. This eliminates the laborious exer‐ crease while streamflow and soil moisture would decrease.
cise of determining the optimum wtf for each HRU through Park et al. (2011a) incorporated future land use change in the
the calibration process, especially for large and heteroge‐ Chungju Dam watershed in northeastern Korea with future
neous watersheds. Moriasi et al. (2011) tested this revised al‐ climate and found a gradual increase of streamflow and
gorithm within SWAT for water table depth in three groundwater recharge in 2020, 2050, and 2080 compared to
observation wells in the Muscatatuck River basin in southeast the baseline in 2000. Also in the Chungju Dam watershed,
Indiana, resulting in daily NSE of 0.66 (calibration) and 0.58 Park et al. (2011b) investigated the impacts of climate change
(validation), PBIAS of 4% (calibration) and 10% (valida‐ on water quantity and quality from 1977 to 2100 and found
tion), and RMSE of 49 m (calibration) and 0.5 m (validation). an increase in total N and total P, although some decreases in
Further, the model performance with automatic wtf computa‐ nutrient losses were noticed in a couple of months due to the
tion was not significantly different from the performance ob‐ changes in runoff. Lakshmanan et al. (2011) estimated the
tained when wtf was calibrated externally. This latest change in hydrology and rice production due to climate
development in SWAT's groundwater routine provided criti‐ change from 1971 to 2100 in the Bhavani basin in south‐
cal information on shallow water table depth that is especial‐ central India. Their finding was that temperature increase by
ly valuable for irrigation and drainage water management, up to 2°C would increase rice production, but an increase of
both in terms of quantity and quality. greater than 2°C would decrease rice production. On the oth‐
er hand, the increase in rainfall did not lead to noticeable im‐
CLIMATE CHANGE ASSESSMENTS pacts in the study area.
Assessing impacts of future climate change on hydrology
and water quality is a major issue that has been addressed us‐ REGIONAL ADAPTATION
ing SWAT as well as other hydrological models. Improved The SWAT model has been adapted to represent local en‐
understanding of future impacts helps toward establishment vironmental conditions. For instance, the QUAL2E in‐
of watershed management plans and provides a guideline for stream model in SWAT was modified to consider oxygen
effectively dealing with climate changes. The General Cir‐ demand for nitrification and algal respiration, which im‐
culation Model (GCM) MIROC3.2‐hires (Model for Interdis‐ proved the accuracy of BOD5 simulation, a target water‐
ciplinary Research on Climate) was used for simulating quality parameter in the Korean total maximum daily load
future weather conditions and downscaled with bias correc‐ (TMDL) program (Kim and Shin, 2011). This modification
tion and local adaptation in studies by Joh et al. (2011) and was deemed necessary to simulate intermittent streamflows
Park et al. (2011a, 2011b). RegCM3 (Regional Climate Mod‐ and the effects of hydraulic structures that enhance the stream
el) using EH5OM GCM data was used by Lakshmanan et al. re‐aeration process but also promote algae proliferation due
(2011). Climate change scenarios such as A1B, B1, or both, to the reduced flow upstream of the structure. In addition, the
set by the Intergovernmental Panel on Climate Change QUAL2E model in SWAT was found to be more appropriate
(IPCC), were selected to simulate various levels of future for continuous streamflow conditions rather than intermittent
greenhouse gas emissions. The estimated future climates flows, typical of many streams in Korea. The modified