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570 BEST MANAGEMENT PRACTICES FOR WATER RESOURCES

could include allowing current owners and users to sell T.L. Anderson and P.J. Hill (Eds.). Rowman & Littlefield
their water for nonagricultural uses. Publishers, Lanham, MD, pp. 12–18.
During the next few decades, it is unlikely that many 12. For a review of the dynamics of domestic and international
governments will permit the following scenario for inter- water markets, see Water Marketing—The Next Generation.
national water markets to develop. Both national and local T.L. Anderson and P.J. Hill (Eds.). 2000. The Political
governments give full private property rights to agricul- Economy of Water Pricing Reforms Ariel Dinar (Ed.). 2000,
ture and/or urban ‘‘owners.’’ With full rights, these owners and Water Bank at http://www.WaterBank.com.
could then sell their water to whomever they wanted.
Willing higher and highest bidding buyers and consumers
would include rural and urban residents, transnational BEST MANAGEMENT PRACTICES FOR WATER
corporations, environmental groups, and even water spec- RESOURCES
ulators (12). Once governments and nongovernments have
experimented with internal hydrosolidarity and learned MOHAMMAD N. ALMASRI
the lessons from the multiple forms of water-market- An-Najah National University
oriented institutions such as water banks and water Nablus, Palestine
vouchers, governments and nongovernments may well
transfer this knowledge to the realm of external hydrosol- JAGATH J. KALUARACHCHI
idarity. Utah State University
Finally, when we interpret ‘‘international water Logan, Utah
markets’’ and we more precisely speak in terms of water-
market-oriented institutions, our language and logic must
accurately reflect the multiple roles that governments INTRODUCTION
play in the creation and evolution of international
water markets. Best management practices (BMPs) for water resources
are affordable, practical, and effective methods for
eliminating or reducing the movement of pollutants from
BIBLIOGRAPHY
the ground surface to groundwater or surface waterbodies.
1. Dellapenna, J.W. (2000). The importance of getting names Such pollutants include nutrients and pesticides, among
right: the myth of markets for water. William and Mary others, that may have adverse effects on human health.
Environ Law Policy Law Rev. 25(Winter): 317–378. In addition, BMPs can be viewed as methods to ensure a
2. Kemper, K.E. (1999). Jose Yarley de Brito Goncalves, and sustainable and safe yield of water resources through
Francisco William Brito Bezerra, Water allocation and optimal conjunctive management of these resources.
trading in the Cariri region—Ceara, Brazil. In: Institutional The main premise in developing BMPs is to achieve a
Frameworks in Successful Water Markets: Brazil, Spain, balance between the goal of protecting water resource
and Colorado, USA. M. Marino and K.E. Kemper (Eds.). quality, for instance, and the economic and social
World Bank Technical Paper 427, February, Washington, ramifications of adopting these BMPs. Before adopting
DC, pp. 1–9.
BMPs for a specific site, it is essential to understand
3. Gleick, P.H. (2000). The World’s Water, 2000–2001: The the BMPs thoroughly and to ensure their technical
Biennial Report on Freshwater Resources. Island Press,
feasibility through research, experience, field pilot studies,
Covelo, CA, p. 96.
and surveys. In addition to technical feasibility, BMPs
4. International Desalination Association. Accessed at http:
should be economically well founded through cost-
//www.ida.bm on August 24, (2001).
effectiveness analysis and acceptable via adopting and
5. Landry, C.J. (2001). The role of geographic information
maintaining them. BMPs may consist of single practices
systems in water rights management. In: The Technology
of Property Rights. L.A. Terry and P.J. Hill (Eds.). Rowman or combinations of them based on the problem at
& Littlefield Publishers, Lanham, MD, p. 23. hand and the social and economic ramifications. BMPs
6. Stockholm International Water Institute. The Final Overall for groundwater resources are important because they
Conclusions: The 10th Stockholm Water Symposium. August preserve and protect groundwater quality and quantity.
14–17, 2000, p. 1. Accessed at http://www.siwi.org/sws2000 Preservation of groundwater resources minimizes public
/eng/sws2000conclusions.html on September 24, 2001. health problems and maintains the social and economic
7. Maria, R.S. and Ariel, D. (1999). Water Challenge and values of groundwater. For instance, the cost of mitigating
Institutional Response: A Cross-Country Perspective. World polluted groundwater can be extremely high and by
Bank Policy Research Working Paper 2045, January, adopting effective BMPs, such mitigation costs can be
Washington, DC, p. 36. reduced dramatically.
8. Saleth and Dinar, p. 37. This document focuses on BMPs to protect and preserve
9. The Water Page. Accessed at http://www. thewaterpage.com/ groundwater resources from nitrate contamination.
ppp new main.htm on October 22, 2001.
10. Stockholm International Water Institute. The Final Overall
Conclusions: The 10th Stockholm Water Symposium. August NITRATE CONTAMINATION OF GROUNDWATER
14–17, 2000, p. 3. Accessed at http://www.siwi.org/sws2000
/eng/sws2000conclusions.html on September 24, 2001. Groundwater is the primary source of drinking water in
11. Yandle, B. (2001). Legal foundations for evolving property many parts of the world and the sole supply of potable
rights technologies. In: The Technology of Property Rights. water in many rural communities (1). There is increasing
 BEST MANAGEMENT PRACTICES FOR WATER RESOURCES 571

awareness that groundwater is vulnerable to contamina- BMPs developed to protect groundwater quality are
tion from domestic, industrial, and agricultural wastes (2). improvements in agricultural practices and land use
Sources of groundwater contamination are widespread and patterns (17). Improving agricultural practices focuses
include accidental spills, landfills, storage tanks, pipelines, on tillage practices, crop rotation, rational fertilizer and
agricultural activities, and many other sources. Of these manure applications, vegetation cover, and irrigation
sources, agriculture activities produce nonpoint source management (18). For instance, on-ground application
pollution in small to large watersheds especially due to of manure should be in accordance with agronomic
nitrogen in fertilizers and various carcinogenic substances requirements and the nitrogen mass in the soil (19). Land
found in pesticides. Due to its high mobility, nitrate is use changes include reevaluation of land use distribution
the primary nitrogen species lost from soils by leach- and changes in the land use in areas that are vulnerable to
ing (3). Groundwater contamination by nitrate has been contamination. However, this option may not be feasible
confirmed throughout the United States (4,5) and world- in many instances due to competing stakeholder concerns
wide (6). Elevated nitrate concentration in drinking water arising from economic constraints and these constraints
can cause methemoglobinemia in infants and stomach may, sometimes, override environmental concerns. BMPs
cancer in adults (7–9). Therefore, the U.S. Environmental imply conflicting objectives. On the one hand, the main
Protection Agency (U.S. EPA) has established a maximum aim of a BMP is to reduce nitrate concentrations in
contaminant level (MCL) of 10 mg/L NO3 -N (10). Nitrate groundwater below the MCL. On the other hand, a
may indicate the presence of bacteria, viruses, and proto- protection alternative should consider the minimization
zoa in groundwater if the source of nitrate is animal waste of economic losses incurred from implementing the
or effluent from septic tanks. Likewise, nitrate contamina- protection alternatives. Therefore, a multicriteria decision
tion of surface water has health and environmental effects. analysis might be developed to determine the most viable
Transport of nitrate to surface water occurs mainly via BMP that accounts for the different decision criteria.
discharge of groundwater during baseflow conditions (11). Fertilizer and manure applications are required to
Hence, prevention of groundwater contamination protects replace crop land nutrients that have been consumed by
surface water quality as well. previous plant growth. They are essential for economical
Agricultural activities are probably the most signif- yields. However, excess fertilizer and manure use and
icant anthropogenic source of nitrate contamination in poor application methods can lead to nitrate pollution
groundwater. Nitrogen is a vital nutrient for plant growth. of groundwater and surface waterbodies. Therefore, it is
Nevertheless, when nitrogen-rich fertilizer application important to match nitrogen applications to crop uptake
exceeds the plant demand and the denitrification capac- to minimize nitrate leaching. This is the core of the
ity of the soil, nitrogen can leach to groundwater usually BMPs that address the problem of nitrate contamination
in the form of nitrate (12). Many studies have shown of groundwater resources.
high correlation between agricultural land use and nitrate Effective BMPs limit movement by minimizing the
concentration in groundwater (6,13,14). Agricultural prac- quantity of nutrients available for leaching below the
tices result in nonpoint source pollution of groundwater root zone. This is achieved by developing an inclusive
and the effects of these practices accumulate over time (7). nutrient management plan that uses field studies, soil and
Nonpoint sources of nitrogen from agricultural practices groundwater models, uses only the types and amounts of
include fertilizer, dairy farms, manure application, and nutrients necessary to produce the crop, applies nutrients
leguminous crops (15). Point sources of nitrogen such as at the proper times and by proper methods, implements
septic tanks and dairy lagoons contribute to nitrate pollu- additional farming practices to reduce nutrient losses,
tion of groundwater. and follows proper procedures for fertilizer storage and
handling. In the following, the main BMPs pertaining to
fertilizer and manure applications for reducing nitrate
BMPs TO MINIMIZE NITRATE CONTAMINATION OF occurrences in the groundwater are summarized based on
GROUNDWATER the work provided by Waskom (20), the EPA (21), Almasri
(22), and Almasri and Kaluarachchi (23), among other
Identification of areas with heavy nitrogen loadings from studies listed in the references.
point and nonpoint sources is important for land use
planners and environmental regulators. Once such high- Application Rates and Fertilizer Types
risk areas have been identified, BMPs can be implemented One component of a comprehensive nutrient management
to minimize the risk of nitrate leaching to groundwater. plan is determining proper fertilizer application rates (24).
The knowledge of the spatial distribution of nitrogen The objective is to limit fertilizer application to an amount
loading can identify the areas where groundwater needs sufficient to achieve a realistic crop yield. Allowing for
to be protected. This assessment is of great importance other nitrogen sources in the soil is also part of the concept.
in designating areas that can benefit from pollution Previous legume crops, irrigation water, manure, and soil
prevention and monitoring programs. In large areas such organic matter all contribute nitrogen to the soil. Along
as large watersheds or basins, proper understanding of with soil samples and fertilizer credits from other sources,
on-ground nitrogen loading from different sources and nitrogen fertilizer recommendations are based on yield
corresponding transformations in the soil are needed goals established by crop producers. Yield expectations are
before areas can be designated for future protective established for each crop and field based on soil properties,
measures (16). available moisture, yield history, and management level.
572 BEST MANAGEMENT PRACTICES FOR WATER RESOURCES

Applying the appropriate form of nitrogen fertilizer can of manure lead to nitrogen buildup in the soil that
reduce leaching. eventually leads to groundwater pollution. Prior to
Nitrate forms of nitrogen fertilizer are readily available application, manure should be analyzed to determine
to crops but are subject to leaching losses. Nitrate fertilizer its nutrient content. The application of increasing
use should be limited when the leaching potential is quantities of manure to the same land area may
moderate to high. In these situations, ammonium nitrogen result in groundwater quality problems and adverse
fertilizers should be used because they are not subject environmental consequences. If it turns out that the land
to immediate leaching. However, ammonium nitrogen base is insufficient for manure application, then BMPs
transforms rapidly into nitrate via the nitrification should be introduced. In the following subsections, BMPs
process, especially when soils are warm and moist. More pertaining to dairy manure such as reducing herd size,
slowly available nitrogen fertilizers should be used in composting/exporting manure, or implementing feeding
these conditions. Nitrification inhibitors can also delay strategies to reduce nutrient content in the excrement are
the conversion of ammonium to nitrate under certain summarized (25).
conditions (23).
Dairy Herd Size Reduction. Manure production and
Fertilizer Application Timing
loading are functions of dairy herd size, so downsizing
Nitrogen fertilizer applications should be timed in periods the dairy herd is apparently the most straightforward
of maximum crop uptake. Fertilizer applied in the and effectual BMP that minimizes manure loading (25).
fall causes groundwater quality degradation. Partial Nonetheless, such an option has serious economic
application of fertilizer in the spring, followed by small ramifications that may prohibit the adoption of this
additional applications as needed, can improve nitrogen alternative.
uptake and reduce leaching risk.
Manure Composting/Exporting. Manure exporting is a
Fertilizer Application Methods
viable alternative because it does not involve herd
Fertilizer application equipment should be checked at size reduction. For manure to be exported, it should
least once a year and should be properly calibrated to be composted. Composting is a biological process that
ensure that the recommended amount of fertilizer is converts organic manure to a more stable material such
applied. Fertilizer placement in the root zone can greatly as humus. Composting is the aerobic decomposition of
enhance plant nutrient uptake and minimize leaching organic matter by certain microorganisms such as bacteria
losses. Subsurface applied or incorporated fertilizer should that consume oxygen and use nutrients such as carbon,
be used instead of surface broadcast fertilizer. An efficient nitrogen, phosphorus, and potassium as they feed on
application method for fertilizer is to place dry fertilizer the organic waste. They produce heat, carbon dioxide,
into the ground in bands closer to the seed, so that and water vapor. Heat destroys pathogens and weed
it can be recovered by the crop very efficiently. To seeds. The resulting composted manure is humus-like
reduce losses through surface runoff and volatilization, organic material, fine-textured, low in moisture, and
all fertilizers should be mechanically incorporated into has a nonoffensive earthy odor. Because of the carbon
the soil. Fertilizer application to frozen ground should be dioxide and water vapor that escape during the process,
avoided and limited on slopes and areas with high runoff the resulting compost can be approximately half the
or overland flow. volume and weight of the original material. Efficient
composting requires maintaining proper temperatures
Irrigation Water Management
and oxygen levels in the composting material (26).
Irrigation water should be managed to maximize efficiency Warm temperatures help microorganisms to grow best.
and minimize runoff or leaching. Irrigated crop production Elevated temperatures are needed to destroy pathogens
has the greatest potential for source water contamination and weed seeds. Bulking materials can be mixed with
because of the large amount of water applied and the manure to provide structural support when manure
movement of nutrients via irrigation flux. Nitrate can solids are too wet to maintain air spaces within
leach into groundwater when excess water is applied the composting pile. Composting is best accomplished
to fields. Irrigation systems, such as sprinklers, low- by placing the manure in windrows. The windrows
energy precision applications, surges, and drips, allow can be turned and mixed periodically to maintain
producers to apply water uniformly and with great oxygen levels for proper composting. The windrows
efficiency. Efficiency can also be improved by using delivery may be 3 to 6 feet high and 10 to 20 feet wide,
systems such as lined ditches and gated pipe, as well depending mostly on the type of machinery used in
as reuse systems such as field drainage recovery ponds turning them. The width of the windrow must allow
that efficiently capture sediment and nutrients. Gravity- air movement into the manure to introduce oxygen.
controlled irrigation or furrow runs should be shortened Composting reduces spreading costs, facilitates land
to prevent overwatering at the top of the furrow before the application, eliminates manure odors, and promotes
lower end is adequately watered. manure transporting and marketing. Composted manure
can be used mainly on lawns and gardens to keep and
Manure Application Reduction add organic matter in the soil. Organic matter provides
Manure is an excellent source of plant nutrients, good aeration porosity, holds more water, and releases
especially nitrogen. Nevertheless, excessive applications important nutrients.
 BEST MANAGEMENT PRACTICES FOR WATER RESOURCES 573

Improve Dairy Cow Diets. The future challenge for quality and farm profitability. R.F. Follet, D.R. Keeney, and
dairy producers and nutritionists will be to formulate R.M. Cruse (Eds.). Soil Science Society of America, Madison,
rations properly for high milk production levels while WI, pp. 85–124.
simultaneously minimizing the environmental impact 13. Ator, S.W. and Ferrari, M.J. (1997). Nitrate and selected
of excessive nitrogen content in the excrement. A pesticides in ground water of the Mid-Atlantic Region. United
properly formulated ration that precisely meets the States Geological Survey. Water-Resources Investigation
cow’s requirements for milk production, maintenance, Report 97–4139.
and growth minimizes excessive nitrogen in the manure. 14. Harter, T., Davis, H., Mathews, M., and Meyer, R. (2002).
Many dairy producers overfeed crude protein to support Shallow groundwater quality on dairy farms with irrigated
high levels of milk production. However, this results in forage crops. J. Contam. Hydrol. 55: 287–315.
excessively high nitrogen in the excrement. The protein 15. Cox, S.E., and Kahle, S.C. (1999). Hydrogeology, ground-
that is not used for milk production or maintenance and water quality, and sources of nitrate in lowland glacial
growth is excreted as urea or organic-N. This practice aquifer of Whatcom County, Washington, and British
has an adverse effect on the environment. Feeding Columbia, Canada. USGS Water Resources Investigation
strategies can be adopted to minimize manure nitrogen Report 98–4195, Tacoma, Washington.
content while maintaining the same milk production 16. Schilling, K.E. and Wolter, C.F. (2001). Contribution of base
levels. Van Horn (27) showed that when cows are flow to nonpoint source pollution loads in an agricultural
precisely fed to meet the National Research Council watershed. Ground Water 39(1): 49–58.
recommendations (28), the nitrogen content in manure 17. Latinopoulos, P. (2000). Nitrate contamination of groundwa-
dropped by 14%. ter: Modeling as a tool for risk assessment, management and
control. In: Groundwater Pollution Control. K.L. Katsifarakis
(Ed.). WIT Press, Southampton, United Kingdom, pp. 7–
BIBLIOGRAPHY 48.
18. Goss, M.J. and Goorahoo, D. (1995). Nitrate contamination
1. Solley, W.B., Pierce, R.R., and Perlman, H.A. (1993). Esti- of groundwater: Measurement and prediction. Fert. Res. 42:
mated use of water in the United States in 1990. U.S. 331–338.
Geological Survey Circular 1081. 19. Livingston, M.L. and Cory, D.C. (1998). Agricultural nitrate
2. Almasri, M.N. and Kaluarachchi, J.J. (2004). Assessment and contamination of ground water: An evaluation of environ-
management of long-term nitrate pollution of ground water in mental policy. J. Am. Water Resour. Assoc. 34(6): 1311–
agriculture-dominated watersheds. J. Hydrol. 295: 225–245. 1317.
doi:10.1016/j.jhydrol.2004.03.013. 20. Waskom, R.M, (1994). Best Management Practices for Nitro-
3. Tesoriero, A., Liecscher, H., and Cox, S. (2000). Mechanism gen Fertilization. Colorado State University Cooperative
and rate of denitrification in an agricultural watershed: Extension, (XCM-172).
Electron and mass balance along ground water flow paths.
21. U.S. Environmental Protection Agency. (2001). Source water
Water Resour. Res. 36(6): 1545–1559.
protection practices bulletin: Managing agricultural fertilizer
4. Spalding, R.F. and Exner, M.E. (1993). Occurrence of nitrate application to prevent contamination of drinking water. Office
in groundwater—a review. J. Environ. Qual. 22: 392– of Water, 4606, EPA 916-F-01-028, Washington, DC.
402.
22. Almasri, M.N. (2003). Optimal management of nitrate
5. Nolan, B.T. (2001). Relating nitrogen sources and aquifer
contamination of ground water. Ph.D. Dissertation, Utah
susceptibility to nitrate in shallow ground waters of the
State University, Logan, UT.
United States. Ground Water 39(2): 290–299.
23. Almasri, M.N. and Kaluarachchi, J.J. (2004). Implications
6. Hudak, P.F. (2000). Regional trends in nitrate content of
of on-ground nitrogen loading and soil transformations on
Texas groundwater. J. Hydrol. 228: 37–47.
ground water quality management. J. Am. Water Resour.
7. Addiscott, T.M., Whitmore, A.P., and Powlson, D.S. (1991). Assoc. 40(1): 165–186.
Farming, fertilizers and the nitrate problem. CAB Interna-
tional, Wallingford, United Kingdom. 24. Yadav, S.N. and Wall, D.B. (1998). Benefit-cost analysis of
best management practices implemented to control nitrate
8. Lee, Y.W. (1992). Risk assessment and risk management
contamination of groundwater. Water Resour. Res. 34(3):
for nitrate-contaminated groundwater supplies. Unpub-
497–504.
lished Ph.D. Dissertation. University of Nebraska, Lincoln,
NE. 25. Davis, J., Koenig, R., and Flynn, R. (1999). Manure best
management practices: A practical guide for dairies in
9. Wolfe, A.H. and Patz, J.A. (2002). Reactive nitrogen and
human health: Acute and long-term implications. Ambio Colorado, Utah, and New Mexico. Utah State University
31(2): 120–125. Extension, AG-WM-04.
10. U.S. Environmental Protection Agency. (1995). Drinking 26. Pace, M.G., Miller, B.E., and Farrell-Poe, K.L. (1995). The
water regulations and health advisories. Office of Water, composting process. Utah State University Extension, AG-
Washington, DC. WM 01.
11. Bachman L.J., Krantz, D.E., and Böhlke. J, (2002). Hydro- 27. Van Horn, H.H. (1992). Recycling manure nutrients to avoid
geologic framework, ground-water, geochemistry, and assess- environmental pollution. In: Large Dairy Herd Management.
ment of N yield from base flow in two agricultural watersheds, H.H. Van Horn and C.J. Wilcox (Eds.). American Dairy
Kent County, Maryland. U. S. Environmental Protection Science Association, Champaign, IL, pp. 640–654.
Agency, EPA/600/R-02/008. 28. National Research Council. (1989). Nutrient Requirements of
12. Meisinger, J.J. and Randall, G.W. (1991). Estimating N bud- Dairy Cattle, 6th Revised Edn. National Academic Sciences,
gets for soil-crop systems. In: Managing N for groundwater Washington, DC.
574 INTEGRATED WATER RESOURCES MANAGEMENT (IWRM)

INTEGRATED WATER RESOURCES proper management of land and water resources is

MANAGEMENT (IWRM) therefore essential.
Variation of precipitation over time and space leads
MUKAND SINGH BABEL to the classical problem of too much or too little water.
Asian Institute of Technology The variations in water flow and groundwater recharge,
Pathumthani, Thailand whether of climatic origin or due to land mismanagement,
can add to drought and floods, which can have catastrophic
effects in terms of large-scale loss of human life and
TODAY’S WATER PROBLEMS damage to economic, social, and environmental systems.
Managing the variability of water in time and space and
Population and economic growth has led to rising demand the associated risks are other challenges.
for water for human consumption, food production, indus-
trial uses, and other development activities, and opportu- CONCEPTS OF IWRM
nities for increasing the supply are becoming prohibitively
expensive. The growing concern for maintaining natu-
Compared to traditional approaches to water resources
ral ecosystems is exerting further pressure on water
problems, integrated water resources management
resources. The threatening environmental problems orig-
(IWRM) takes a broader holistic view and examines a
inating from unsustainable use of water resources are
more complete range of solutions. It looks outside the
of great concern. Pollution of water is connected with
narrow water sector for policies and activities to achieve
human activities. Proliferation of development activities sustainable water resources development. It also consid-
and modern living styles has also contributed to the wors- ers how different actions affect and can reinforce each
ening of water quality. Adverse conditions such as social other. IWRM has attracted particular attention since
inequity, economic marginalization, and lack of poverty the International Conferences on Water and Environ-
alleviation programs in many countries also force peo- mental in Dublin in 1992. IWRM can be defined as
ple living in extreme poverty to overexploit soil and follows:
forestry resources, which often results in negative impacts ‘‘IWRM is a process which promotes the coordi-
on water resources. Deteriorating water quality caused nated development and management of water, land and
by pollution makes safe use difficult for downstream related resources in order to maximize the resultant
users and threatens human health and the functioning economic and social welfare in an equitable manner
of aquatic ecosystems. without compromising the sustainability of vital ecosys-
In most countries, water policies have been largely tems’’ (2).
dominated by a supply-oriented and compartmentalized IWRM principles place its overriding importance
sector mentality. Top-down approaches have prevailed over economic, social, and natural facets. It draws
in development and management of water resources its inspiration from the Dublin principles, culminating
without participation by stakeholders in decision making. from the International Conference on Water and the
In these traditional approaches, the important distinction Environment in Dublin, 1992. These are the four Dublin
between managing water as a commonly owned natural principles:
resource and providing services for water users has not
been fully recognized, leading to a confusion of roles
• Freshwater is a finite and vulnerable resource,
and responsibilities of different organizations dealing
essential to sustain life, development and the
with water. Thus, inefficient governance and increased
environment.
competition for finite water resources are the root cause of
water problems. • Water development and management should be
Balancing and compromising the need for water by based on a participatory approach, involving users,
people, different economic sectors, and nature is the planners, and policy makers at all levels.
main challenge faced by the water sector. About 1 • Water has an economic value in all its competing uses
billion people in the world are without access to safe and should be recognized as an economic good.
drinking water, and about 3 billion people do not have • Women must play a central part in the provision,
access to adequate sanitation. Securing water for people management and safeguarding of water.
is a prime concern in many countries. According to
the UN medium projections, the population on earth In the traditional approach, the planning and operation
in 2025 will reach about 7.8 billion, a 38% increase of water systems is usually fragmented, causing a lack of
over present levels. Providing water to meet the needs coordination, wastage of resources, and conflict among
of food and fiber for the world population in years stakeholders. Water issues are also generally neglected
ahead is another main challenge. Even with improved when decisions are made about crop patterns, trade and
irrigation management and water productivity, it is energy policies, and urban design and planning, all of
estimated that 17% more water will be required for which are critical determinants of water demand. For the
this population (1). Ecosystems are sources of various sustainable use of water resources, there is a need to
benefits to society such as providing timber, fuel, wildlife create institutions and frameworks that can transcend
habitats, aquatic resources, etc. Ecosystem security these traditional boundaries and involve a variety of users
through maintenance of the natural environment and and stakeholders. IWRM promotes a holistic view and
 INTEGRATED WATER RESOURCES MANAGEMENT (IWRM) 575

looks at the entire hydrologic cycle and the interaction economic value of water is highlighted through greater
of water with other natural and socioeconomic systems. stress on demand management rather than supply-
IWRM focuses on integration, participation, consultation, side management, a recognition (and estimation, where
gender awareness, and consensus. possible) of the economic value of water in different uses,
Integration among different stakeholders and different acceptance of the notion of opportunity cost (what is lost
domains of water resources is one of the highlights of to other uses from taking it for a particular purpose),
IWRM. At its most fundamental level, IWRM is as con- and attention to cost recovery, though with concern for
cerned with the management of water demand as with its affordability and securing access for the poor.
supply. Thus, integration can be considered in two basic Water conservation is another critical aspect of
categories—the natural system and the human system. IWRM. Freshwater ecosystems face enormous threats,
The natural system puts critical importance on resource directly and indirectly, from human activities. Conserving
availability and quality; the human system fundamentally freshwater systems is essential for the future survival
determines the resource use, waste production, and pollu- of all living species on the earth. Water conservation
tion of the resource. Integration of the natural system and management call for the protection, improvement,
implies a concern with upstream–downstream water- and use of water according to principles that will assure
related interests, integration of land and water manage-
their highest economic and social benefits. Maintaining the
ment, integration of freshwater management and coastal
delicate and sustainable balance of demand and supply of
zone management, a unified management of surface water
water is a critical element of any sound water strategy.
and groundwater, a shift to management at a river basin
To fulfill desirable social, economic, and natural con-
level, integration of quantity and quality, and matching
ditions, IWRM places its overriding criteria on economic
water management with other sectoral policies with a col-
efficiency in water use, equity and access for all, and
lateral impact (trade, housing, energy, agriculture, etc.).
Human system integration involves mainstreaming of sustainability of vital ecosystems. The increasing scarcity
water resources, cross-sectoral integration in national pol- of water as well as financial resources, under increasing
icy development, analyzing macroeconomic effects of water pressure from the excessive demands upon it, demands
development on overall economic development, influencing that water be used with maximum possible efficiency. The
economic sector decisions, and integrating all stakeholders ‘‘social equity and access for all’’ criteria recognize the
in the planning and decision-making process. basic human right to access to water of adequate quantity
As one of the principles of the IWRM, the concept and quality. The third criterion (ecological sustainability)
of water as an economic good introduces a wholly new is about ensuring that the present use of the resource
model to water resources management. Therefore, it does not undermine ecological stability and that future
differs from the traditional approach in that it invariably generations are not adversely affected.
associates economic aspects of water with water resources Three basic elements highlight the IWRM framework:
management issues. It distinguishes between the value the enabling environment, the institutional roles, and the
of water and its pricing. The concept of the value of management instruments, as shown in Fig. 1.
water is used in assisting allocation processes; the pricing The enabling environment refers to the general frame-
concept is used as part of the cost recovery issue. The work of national policies, legislation, and regulations. The

Ecological sustainability

Enabling
environment

ts In
en Policies st
um itu
r Legislation tio
st na
t in Level lr
Fora and
en mechanisms of action ol
es
em Allocation
ag for participation Management
an Regulations International boundaries
M
Economic tools cooperation Capacity building
... ... ...

Economic efficiency Social equity

Figure 1. General framework for IWRM (2).

576 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS

institutional framework defines the roles and responsi- The pharaoh of Egypt gave Joseph the authority to
bilities of government agencies at different levels and plan and implement the world’s first recorded national
other stakeholders. The management instruments include drought strategy. One can ask if improvements in society’s
water resources assessment, communication and informa- planning capability over the past several millenniums
tion systems, allocation, economic tools, technology, and have increased our ability to deal with droughts in
so on. other than catastrophic terms. Certainly, droughts will
In spite of considerable advantages in IWRM, its continue to be a randomly occurring climatic phenomenon.
implementation requires a much greater commitment Have we built on any past successes pertaining to the
from all stakeholders. There are many challenges, which planning for droughts and managing water resources
have to be overcome for successful implementation. The during droughts; have we learned from past actions or
short-term costs and disadvantages may seem more inactions; or are we doomed to repeat our mistakes? The
apparent than tangible benefits in the pursuit of longer evidence indicates that society tends to be unwilling to
term advantages. Integration is difficult to implement at plan for droughts.
first and may not guarantee equity for all; simply involving To better understand why society is still reacting to
a wider range of stakeholders in decision making may not droughts rather than planning for their eventuality, the
automatically ensure fair treatment for them. activities of various levels of government in planning
for droughts must be examined. Until very recently,
BIBLIOGRAPHY the policies of most State governments for dealing with
drought have been to ‘‘wait ’til it rains’’ and in the
1. Seckler, D., Amarasinghe, U., Molden, D., de Silva, R., and meantime provide some form of emergency assistance
Barker, R. (1998). World Water Demand and Supply, 1990 to to localities and hope a catastrophe can be avoided.
2025: Scenarios and Issues, Research Report 19. International Many States also, as a matter of implicit policy, place
Water Management Institute, Colombo, Sri Lanka. primary responsibility for drought action with the Federal
2. GWP. (2000). Integrated Water Resource Management, TAC Government and local governments who, throughout
Background Paper No. 4. Global Water Partnership Technical the Nation’s history, have been the primary levels of
Advisory Committee, Stockholm, Sweden. government involved when droughts occur. The policies of
both the Federal Government and the local governments
also have been to provide emergency relief and to try to
MANAGEMENT OF WATER RESOURCES FOR reduce water demand to match the available supply. This
DROUGHT CONDITIONS∗ governmental approach, however, has not reduced the
economic losses or the level of inconvenience and suffering
WILLIAM R. WALKER of the Nation’s citizens. With each succeeding drought, the
Virginia Water Resources
cycle repeats itself. As a result, the following questions
Research Center
arise: Do the States have a responsibility for planning for
droughts? If the States do have such a responsibility, what
MARGARET S. HREZO
type of planning should take place? Is there a possibility
Radford University
Virginia
that drought-related activities of the Federal Government
and the local governments are likely to change in the
CAROL J. HALEY future, and if so, how and why?
Virginia Water Resources
In strictly climatic terms, a drought can be defined as
Research Center an interval of time, generally months or years in duration,
during which the actual moisture supply at a given place
consistently is less than the climatically expected or
INTRODUCTION climatically appropriate moisture supply (2, p. 3). Drought
generally is defined as being meteorological, hydrological,
Droughts have been a part of our environment since the or agricultural. However, the ultimate consequences of
beginning of recorded history, and humanity’s survival droughts have to be placed in the context of the effects on
may be testimony only to its capacity to endure this the social and economic activities of a given region (Evan
climatic phenomenon. According to Yevjevich and others C. Vlachos, Colorado State University, written commun.,
(1, p. 41), one of the earliest records of efforts to plan January 1988). Thus, the climatic attributes of drought
for droughts is found in the biblical story of Joseph. also need to be defined in social and economic terms
because it is in these contexts that water management
becomes important (Evan C. Vlachos, Colorado State
This article is a US Government work and, as such, is in the University, written commun., January 1988). Yevjevich
public domain in the United States of America. and others (1, p. 32) have suggested that we think in
∗
This article is reproduced in its entirety from Walker, W.R.,
terms of ‘‘sociological drought,’’ which is defined as the
Hrezo, M.S., and Haley, C.J. (1991). Management of water
resources for drought conditions. In: National Water Summary meteorological and hydrological conditions under which
1988-89—Hydrologic Events and Floods and Droughts. Paulson, less water is available than is anticipated and relied on
R.W., Chase, E.B., Roberts, R.S., and Moody, D.W., (Compilers). for the normal level of social and economic activity of
U.S. Geological Survey Water-Supply Paper 2375, pp. 147–156. the region.
 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS 577

Due in part to our agrarian heritage and because water water and groundwater among competing users. Local
deficiencies can develop rather quickly in the root zone, governments, however, do not covet the existing authority
most droughts are thought of as agricultural droughts. for reducing water demands. Even in times of impending
This characterization can be confusing, however, because crisis, there is a great reluctance to impose water-
an agricultural drought can occur in the midst of a conservation measures, if there is any hope that rain
hydrological wet period. The distribution of precipitation will fall in time to save officials from having to do so.
during a year can be such that there is a shortage of Decision makers are not popular when they must halt or
moisture (drought) during a critical growing period for a reduce industrial activity, curtail domestic use, or prohibit
variety of crops, yet the total precipitation for the year ‘‘nonessential’’ services. As a result, timely action rarely
can be greater than the historical yearly average. In is achieved (Evan C. Vlachos, Colorado State University,
this discussion of institutional and management aspects, written commun., January 1988).
droughts are considered as moisture shortages that The local approach to the management of water
seriously affect the established economy and the quality resources during droughts is not responsive to other
of life of a region. drought-induced issues such as minimum instream flows
The following analysis of the roles of government in because these issues are not within the purview of
planning for droughts begins with an examination of the local government. Yet water for wildlife, increased
traditional activities of government during a drought. If contamination due to low flows, and decreased navigation
the traditional approach by government seems less than and hydroelectric-power generation are issues equally
desirable, then the obstacles to greater involvement need as important as the ones being addressed by local
to be identified and evaluated to determine if they can be government. Water shortages cause low streamflows that
removed or circumvented. The suggestions by King and have an adverse effect on fish and wildlife habitat. If there
others (3) in their ‘‘Model Water Use Act’’ for managing are no limits as to how much flows can decrease or for
water resources during droughts are examined in some how long (the longer the period of low flow, the greater the
detail to determine if they provide a minimum approach stress), the recovery time for a habitat can be extremely
for States to consider in developing a plan for managing long, or a habitat can be lost permanently. Low flows
water resources for drought conditions. To better assess can increase salt-water intrusion, increase health hazards
the status of State involvement, the drought programs and because of increased concentration of toxic substances and
drought-related actions of the 48 conterminous States are pathogens, decrease hydroelectric-power generation, and
reviewed in terms of the minimum criteria recommended curtail recreational opportunities. Decreased precipitation
by King and others (3). Lastly, the expanded role that also increases the potential for brush and forest fires and
the Federal Government might have in planning for and wind erosion of topsoil.
mitigating the effects of droughts pursuant to existing With a few exceptions, the response of government
Federal water-quality legislation is considered. at any level to the shortages caused by decreased
precipitation has been to react rather than to adopt a
proactive approach to minimize the effect of droughts.
TRADITIONAL GOVERNMENT APPROACH TO
Drought planning at the local level in many areas appears
DROUGHTS
to be given a low priority because of the randomness of
droughts, the limited resources for planning, the limited
Droughts have two components—climatic (decrease in
jurisdiction (local government might not be able to control
precipitation) and demand (use of water). In responding to
streamflow levels), and the programs of the Federal
droughts, governments tend to concentrate most of their
Government to provide disaster relief in time of crisis.
activity on reducing the demand for water, although they
As a result, local governments are encouraged to accept
might have limited options for controlling the climatic
an implicit policy of doing only what can be done after a
component. Cloud seeding, for example, might make
crisis has occurred.
increasing the snowpack possible and, in some instances,
A notable exception to inaction at the local level to
obtaining a limited summer rainfall. Because climatic
plan for drought conditions occurred in the Washington,
control, however, generally is less reliable, most measures
DC, area. The leadership role in this case was taken by
focus on management, reallocation, and distribution of
the Interstate Commission on the Potomac River Basin
existing water sources and on establishing priorities
(ICPRB), but the implementation of the water resources
accordingly for different uses (4, p. 41).
plan was by local government. The plan finally adopted
saved between $200 million and $1 billion compared to
LOCAL GOVERNMENT longer scale structural solutions previously proposed (5,
p. 106). Implementation of the plan was through eight
Traditionally, managing water resources during droughts separate but interlocking contracts executed in 1982 (5,
has been based on immediate reactions to a current crisis. p. 106).
The focus of most action is to reduce the daily demand
for water, and local governments usually are responsible
for reducing water demand within their jurisdictions. STATE GOVERNMENT
Broader issues that impinge on their programs to reduce
water demands are not within their purview; for example, With the exception of eight States—Arkansas, California,
local governments are not permitted to allocate surface Connecticut, Delaware, Florida, Minnesota, New Jersey,
578 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS

and South Carolina—the activities of the State govern- • Need for legislation to more clearly define agency
ments in managing water resources during droughts roles and activities.
have been minimal. Most State governments have not • Need for standby legislation to permit more timely
passed legislation providing for additional drought plan- response to drought-related problems.
ning beyond slight modifications in their water laws.
Governors, on occasion, will declare counties or desig-
nated areas as disaster areas in order to make individuals In 1988, in response to another severe drought, Congress
eligible for Federal relief. passed the Disaster Assistance Act of 1988 (Public Law
100–387). This legislation is less comprehensive than
the 1977 legislation in that its primary purposes are to
FEDERAL GOVERNMENT protect farm income in an efficient and equitable manner,
protect the economic health of rural communities affected
The Federal Government generally has limited its activ- by the drought, and help assure a continued adequate
ities to providing direct relief to drought victims and to supply of food for American consumers. Little in this
farmers in general. For example, the Federal response to legislation reflects the major recommendations of the
the 1976-77 drought, which affected about two-thirds of the Comptroller General of the United States (6) regarding
country, was to enact the Emergency Drought Act of 1977 the development of a national plan for providing future
(Public Law 95-18), the Community Emergency Relief Act assistance in a more timely, consistent, and equitable
of 1977 (Public Law 95-31), and certain provisions of the manner. Although the Secretary of the U.S. Department
Supplemental Appropriations Act of 1977 (Public Law 95- of Agriculture is authorized to make grants and provide
26) to bolster existing emergency-assistance programs. As other assistance to combat water shortages, the Disaster
the result of these laws, 40 Federal programs, adminis- Assistance Act of 1988 is primarily an agricultural-relief
tered by 16 agencies, offered drought relief in the form act. Thus, to date, the Federal Government has limited
of loans, grants, indemnity payments, and other forms its involvement in droughts to the provision of water-
of assistance to State and local governments, households, resources information, technical assistance, and financial
farms, and private businesses (6, p. 1–2). The overriding relief to mitigate the costs incurred once a drought
objective was to reduce impending damage by imple- has occurred.
menting short-term actions to augment existing water
supplies. Other Federal programs available to drought
victims were designed to provide assistance after dam- OBSTACLES TO EFFECTIVE PLANNING FOR DROUGHTS
age had occurred (6, p. 2). Typical of these were the
disaster loan programs of the Farmers Home Admin- Although governments can plan effectively for droughts,
istration. Four Federal agencies—the Departments of fundamental problems that deter action need to be
Agriculture, Commerce, and Interior and the Small Busi- examined and understood before drought planning
ness Administration—were responsible for implementing can become a reality. Five obstacles to planning for
emergency drought programs at a cost of $5 billion, which droughts—specificity, randomness, drought phenomenon,
included an additional $1 billion for short-term emergency cost of droughts, and political considerations—are dis-
actions to augment existing water supplies (6, p. 11). The cussed here.
Comptroller General of the United States (6, p. 11) con-
cluded that:
SPECIFICITY
• Some drought programs were enacted or imple-
mented too late to have much effect in augmenting Planning for and management of hazardous events
water supplies. presuppose that those events are well defined and
• Inadequate standards for determining the worthiness discernible to all. The planning necessary to reduce
of projects meant that many projects were funded the effects of most natural hazards is difficult because
that had little, if any, effect in mitigating the effects the intensity and frequency of the events are unknown,
of the drought. although there is never any question as to their eventual
occurrence. Although no technical expertise is required to
• Drought victims were treated in an inconsistent,
determine when floods, volcanic eruptions, or earthquakes
inequitable, and confusing manner.
have been experienced, considerable uncertainty exists as
• Inadequate coordination among the agencies resulted to when droughts start and end. A drought is almost a
in inefficient and inequitable distribution of funds. ‘‘non-event’’ (Evan C. Vlachos, Colorado State University,
written commun., January 1988). Any discussion about
The report (6, p. 21) also recommended that a national planning for drought conditions and management of water
plan be developed for providing assistance in a more resources, therefore, requires some definition as to what
timely, consistent, and equitable manner. Issues to be constitutes a drought. This lack of specificity can be a
considered in the development of such a plan are: major contributing factor, although unstated, as to why
the planning for droughts and the managing of water
• Identification of respective roles of agencies involved resources during droughts have received less attention
to avoid overlap and duplication of activities. than they deserve.
 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS 579

RANDOMNESS to conserve groundwater or plan for a water shortage, he

or she needs to be aware that the water he or she does not
Droughts, when placed in historical perspective, have not pump will probably be pumped by others.
received much attention from governments at any level Because droughts affect larger geographic areas than
until severe water shortages occur. What most inhibits those occupied by single communities, the ability of an
the planning for water shortages associated with droughts individual community to respond effectively is affected
is their random nature. It is this inherent variability by the actions of similar communities in the drought
that makes ‘‘reacting’’ to a water-shortage crisis and area. The position of each community in this larger
instituting relief efforts when the shortages occur appear arena can be analogous to that of the individual in the
to be more rational than does ‘‘planning’’ for droughts. community. Individual actions by each community can
People tend to overlook that droughts are a normal part be counterproductive to the policy best for the region as
of the climatic regime and that they will recur. Droughts a whole. For one community, the solution may be the
remain a certainty; only their frequency and severity are building of a reservoir on a stream that is the water source
unknown. Thus, it makes good sense to plan to reduce for other communities downstream. As each community
both the costs that result from droughts and the associated opts to resolve its water needs without regard to its
personal hardships. neighbors, the stream can become an inadequate water
source for all. The development of a regional water supply
for all communities might be the best solution, but this
DROUGHT PHENOMENON
will require the consensus of all the communities.
Another obstacle to planning for droughts is inherent in
the drought phenomenon. Although droughts do affect COST OF DROUGHTS
individuals, in reality droughts are a community problem
having characteristics of Hardin’s famous ‘‘Tragedy of the The lack of information about the cost of droughts is
Commons’’ (1, p. 34). The self-interest of each individual another reason why only marginal interest exists in
using communal property is to maximize it for immediate planning for droughts, especially at the State level.
gain. The net result can well be the destruction or The magnitude of drought costs is assumed to be less
deterioration of the communal property. In Hardin’s than that of other natural hazards because the losses
example, the overgrazing and destruction of the common associated with other natural hazards are more evident
pastures occurred because each person sought to graze and generally are incurred during short periods of time.
all the animals possible. The sum of the actions by each In contrast, drought losses generally are distributed over
individual was not ‘‘best’’ for the sum of the individuals. longer time periods. When the true costs of drought are
This phenomenon makes the best policy infeasible unless known, drought losses can dwarf the losses from other
the individuals reach a consensus themselves or are natural hazards. For example, Australia determined that,
compelled to do so by a government. for the period 1945–1975, the costs of droughts were four
Droughts produce the same type of situation. For times the costs of other natural hazards (8, p. 226). In
individuals experiencing a drought, options to deal addition, all the costs associated with droughts are not
effectively with water shortages are limited. Collective clearly defined. The social effects of droughts and the
action by all the individuals provides the best solution. associated costs, how the effects propagate throughout
The use of groundwater during times of drought in society, and who is ultimately affected need to be better
many Eastern States provides a comparable situation understood. Human suffering is less likely to be factored
to the one described by Hardin in the case of common into the cost assessment even though these costs are real
pastures. The common law in many Eastern States and can continue for years, long after other costs have
deals with groundwater as a common resource that is been absorbed. The aggregated indirect costs probably are
appropriated under the Rule of Capture (7, p. 115). far greater than the direct costs, but because of their
What you capture is what you get, and those having diffused nature they are difficult to identify and quantify
the deepest wells and the largest pumps get the most and, thus, generally go unrecognized (1, p. 32). These
water. Given these circumstances, the solution for an indirect costs, which are disbursed among large groups
individual during drought conditions might be to drill a and throughout large geographic areas, nevertheless
well. If all individuals act in the same manner, a variety constitute a major proportion of the total costs resulting
of consequences can occur to the detriment of each. A from droughts (1, p. 32). Again, the random nature of
shallow aquifer eventually can be depleted, the individuals droughts, coupled with the rapid decrease of public
can be competitors for water and cause larger and larger interest in droughts after normal precipitation resumes
cones of depression as deeper wells and larger pumps are and the limited resources available for planning, make
utilized, or the increased pumping can cause saltwater the determination of in-direct costs associated with the
intrusion, which will destroy the quality of the water in droughts less urgent. As long as these indirect, diffused
the aquifer for all. The best solution for all parties might costs remain undisclosed, decision makers will have
be an agreement between the individual well owners, or incomplete knowledge of the costs of drought. If the past is
restriction by the local government, to curtail the time and any guide, the total costs of droughts probably never will
rate of pumping. Under these circumstances, an individual be reliably assessed.
who pumps water from a common aquifer cannot plan The length of a drought also has a significant effect
effectively for droughts. If an individual well owner seeks on the total costs; long droughts are more costly than
580 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS

shorter droughts. A sustained drought, such as the one level of government that will permit the attainment of
in the 1930s, can have economic and social costs that are management’s objectives (1, p. 34). The State, in most
never quantified. During the 1930s drought, for example, situations, represents the unit of government that has
agriculture was abandoned in some sections of the Nation; the authority to allocate water, to set policy objectives
this abandonment, in turn, caused dislocation of people that are concerned with water-use efficiency and equity,
and severe impairment of the economic substructure that to consider interboundary issues and externalities asso-
supported agriculture. The 1930s drought had an effect ciated with matters such as minimum instream flows,
on a whole generation of Americans, wherever they lived and to coordinate the activities of local governments
and however they made their living (4, p. 34). Even if the in meeting water-supply needs during times of severe
value of human life is ignored, the total economic losses water shortages.
from droughts can be staggering. The responsibility for managing water resources during
droughts, once assumed by the State, needs to be vested
in such a manner as to require timely action and not be
POLITICAL CONSIDERATIONS vulnerable to legal challenges by groups who do not favor
an approach taken by the State. Although expanding the
Lastly, political considerations affect action that might Governor’s powers to deal with disasters by including
lessen the effects of droughts through better planning droughts might be expeditious, the action taken by most
and management. The randomness of droughts induces States generally is to group management activities with
the public to believe that little can be done to reduce the authority primarily designed to respond to disasters
the costs of droughts before they occur. In addition, after they have occurred rather than to undertake
the public’s memory of past tragedies usually is short, planning activities to reduce the cost of droughts in
and political attention shifts quickly to new political advance of their occurrence. Colorado, Delaware, New
problems. The public, lacking an analysis of the total Jersey, and North Carolina are examples of States
costs associated with a drought, has the illusion that that have used executive power to develop statutory
droughts are affordable, although inconvenient. Thus, guidelines that define droughts and delineate interaction
decision makers lack the public support needed to take among State agencies responsible for water resources (10,
aggressive action in planning for droughts and managing p. 162–163).
water resources during droughts. This is not strictly an
American phenomenon, as witnessed by the inaction of
the British Parliament during the mid-1970s when the PLANNING TOOLS
country experienced its worst drought in 500 years (9,
p. 51). Early in the drought, efforts were made to have The authors of the ‘‘Model Water Use Act’’ (3, 1958) devel-
Parliament enact legislation to extend the responsibilities oped five planning tools—identification of drought indi-
of the river authorities to mitigate the effects of the cators, designation of government authority, notification
drought. Before responding, Parliament waited until of the public, curtailment of water use and maintenance
there was widespread public awareness of the need for of revenues, and monitoring of water-user compliance—to
the legislation; thus, the damage factor was increased cope with planning for water shortages associated with
substantially compared to what it would have been had droughts. These tools addressed the following fundamen-
Parliament acted earlier. tal questions:
In contrast to a lack of public support, special-interest
groups at the State level might oppose activities that • How does a State know when there is a drought?
are essential for an effective water-management plan • If there is a drought, who is in charge?
applicable to droughts. For example, farm groups in • How is the public informed?
Virginia strongly oppose any Federal, State, or regional • How are current allocations and uses of water to
water-management plan because they believe there should be modified?
be no regulation of water apart from the Riparian Doctrine • How is compliance assured?
(Mark Tubbs, Virginia Farm Bureau, commun., 1981).
Water management, of necessity, must be at the core of The answers or responses to these fundamental questions
any program to mediate the effects of water shortages need not be identical for each State having a functioning
that occur during droughts, but political factors can water-management plan applicable to droughts. Each
substantially dampen the interest in managing water State, however, needs to address each question in terms
resources even during droughts. of its own circumstances. Failure to address each of the
questions will detract seriously from the effectiveness of a
FRAMEWORK FOR STATE ACTION water-management plan. Each of these planning tools is
now examined in detail.
The ‘‘Tragedy of the Commons’’ phenomenon, which char-
acterizes the problems associated with any management IDENTIFICATION OF DROUGHT INDICATORS
plan to mitigate the costs associated with droughts,
illustrates that, in the absence of agreement among Because of the difficulty of deciding when droughts start
all the parties affected by the drought, the manage- and end, specific drought indicators must be used to
ment responsibility needs to be at the lowest possible decide when to implement a water-management plan.
 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS 581

When such indicators have been identified, water users when a city’s only source of water is a reservoir,
can formulate contingency plans and make decisions on the water-management plan can be activated if reser-
future economic investments (11, p. 47). The drought voir storage, expressed as a percentage of normal
indicators must be precise and susceptible to little, if seasonal capacity, decreases below a specified per-
any, subjective decision making. The latter makes the centage. The phasing criteria used by Manchester,
indicators vulnerable to court action by those who oppose Connecticut, are an example (Table 1): a drought
advanced planning. watch goes into effect when reservoir storage is at
A variety of drought indicators can be used, including 70 percent of normal seasonal capacity, and stage I
the Palmer Index (a drought-severity index), in stream of the water-management plan becomes operational
flows, historical data on the present and anticipated when reservoir storage is 57 percent of normal sea-
needs for water, the degree of subsidence or saltwater sonal capacity.
intrusion, the potential for irreversible adverse effects A sliding scale for drought indicators also can be
on fish and wildlife, and reservoir or groundwater shown graphically in terms of the storage in a reservoir,
conditions relative to the number of days of water supply as shown by the operation curves for three reservoirs
remaining (11, p. 47). Usually it is desirable to select in New York that also are part of the Delaware River
a number of drought indicators to reflect the seasonal basin (Fig. 1). When the actual reservoir level drops below
relation of supply versus demand. The Delaware River the drought-warning zone or drought zone, schedule of
Basin Commission (11, p. 51) relies on five drought reduced diversions from the basin to the various localities
indicators—precipitation, groundwater levels, reservoir takes effect. The Pennsylvania Drought Contingency Plan
storage, streamflow, and the Palmer Index. Ranges of for the Delaware River Basin is based on these criteria.
values for each of these indicators are assigned to one Where groundwater is one of the main sources of water
of four drought stages—normal, drought watch, drought supply, drought indicators based on groundwater levels
warning, and drought emergency (11, p. 51). To activate can be used; the Alameda County Water District in
any one of the drought stages, three of the five drought California has such a plan (12, p. 38).
indicators must indicate a given drought stage (12, p. 34). Most water-management plans have correlated suc-
The drought indicators should not be so complex as cessive stages of a drought strategy to certain deficit-
to cause uncertainty about whether some stage of the reduction goals (12, p. 39). Fewer than three stages in a
water-management plan should be activated; for example, plan can result in marked differences in the actions to
if precipitation and reservoir storage are two drought be implemented between the first and the second stages.
indicators, the decision to activate the plan will be unclear More than five stages in a plan, however, can cause fre-
if the precipitation is less than normal while reservoir quent transitions between stages, which can decrease the
storage is normal. effectiveness of the plan. An example of a workable plan is
When there is only one source of water supply, the Seattle Water Department five-stage plan for reducing
one drought indicator may be sufficient; for example, water use (Table 1). Agencies having water-management

Figure 1. Operation curves for three

New York City reservoirs (Can-
nonville, Pepacton, and Neversink) in
the Delaware River Basin (from Ref.
13, p. 31).
 Table 1. Drought-Contingency-Plan Phasing Criteria Used By Two Cities in the United States
MANCHESTER, CONNECTICUT
(South System)

Drought Stage Drought Stage Initiating Conditions Demand-Reduction Objective

Drought watch Reservoir water levels at 70 percent of normal seasonal Informational only, raise public awareness
capacity.
Stage 1 Reservoir water levels at 57 percent of normal seasonal Cut back withdrawals from reservoirs by 5 percent or
capacity. reduce total system use by 3.8 percent.
Stage 2 Reservoir water levels at 40 percent of normal seasonal Cut back withdrawals from reservoirs by 30 percent or
capacity. reduce total system use by 20 percent.
Stage 3 Reservoir water levels at 0 percent of normal seasonal Eliminate withdrawals from reservoirs and reduce total
capacity system use by 70 percent.

Source: Data from Reference 12, pp. 33, 35, and 36.

SEATTLE, WASHINGTON, WATER DEPARTMENT

(Deficit reduction objective is based on demand levels in a l-in-50-year
drought, which are expected to be above normal averages due to warm, dry conditions)

Summer-Shortage Response Plan

Demand-Reduction Amount,
in Million Gallons Per Day

Stage 1 Minor shortage Total system storage is not filled to capacity as of June 1. Water-system management 3.0
potential Streamflow and snowmelt forecasts indicate that inflows Customer 0.0
will be inadequate to fill storage facilities before the Total 3.0
beginning of the peak-use season.
Stage 2 Moderate Total system storage is predicted to fall below the level Water-system management 3.0
shortage potential required to meet expected demands during a 1-in-50-year Customer 4.7
drought. System inflows continue to be low. Weather Total 7.7
forecasts predict a continuing trend of warmer, drier than
normal conditions.
Stage 3 Serious shortage Total system storage drops below the level required to meet Water-system management 5.0
expected demands during a 1-in-50-year drought. System Customer 15.0
inflows continue to be low. Weather forecasts predict a Total 20.0
continuing trend of warmer, drier than normal conditions.
Stage 4 Severe shortage Conditions described for stage 3 occur near the end of the Water-system management 5.0
peak-use season. Customer 16.1
Total 21.1
Stage 5 Critical Customer demands and system pressure requirements Not applicable.
emergency cannot be met.

Fall-Shortage Response Plan

Demand-Reduction Amount,
in Million Gallons Per Day

Stage 1 Minor shortage Total system-storage levels are dropping due to the increased Water-system management 3.0
potential use associated with a warm, dry summer. Weather Customer 0.0
forecasts predict a continuing trend of warmer, drier than Total 3.0
normal conditions.
Stage 2 Moderate Total system storage is expected to fall below the level Water-system management 5.0
shortage potential required to meet expected demands during a 1-in-50-year Customer 2.4
drought. Total 7.4
Stage 3 Serious shortage System inflows continue to be low. Water-system management 5.0
Customer 6.2
Total .11.2
Stage 4 Severe shortage Weather forecasts predict a continuing trend of warmer, drier Water-system management 5.0
than normal conditions. Customer 19.6
Total 24.6
Stage 5 Critical Customer demands and system pressure requirements Water-system management 5.0
emergency cannot be met. Customer 52.4
Total 57.4

582
 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS 583

plans have determined that fall droughts have a lesser account, water suppliers need to either increase water
probability of occurrence, but if they do occur, they are rates or impose a drought surcharge (12, p. 49). The use
likely to develop more quickly and be more severe. of a drought surcharge has several advantages compared
to a simple increase in water rates. For example, the
drought surcharge is easier to administer, and the amount
DESIGNATION OF GOVERNMENT AUTHORITY
of revenue to be generated is more predictable. This
surcharge probably is more acceptable to the customer
The designation of a governmental unit or agency having
because it is a one-time charge that is understandable
specific drought-planning authority in advance of a
and allays the fear that a water-rate increase to make
drought is one of the critical aspects of providing for
up revenues lost during droughts will continue when the
managing water supplies during droughts (10, p. 162). For
drought is over.
a water-management plan to be effective, the designated
agency needs to have authority to declare that a drought
exists and to alter water-use patterns. The location of a MONITORING OF WATER-USER COMPLIANCE
unit or agency that has this authority within the State’s
administrative structure will vary. Statutory authority Experience has indicated that reductions in water use
needs to be detailed and specific. If discretionary authority greater than 20–25 percent cannot be obtained with a
is given, well-defined guidelines for its use need to request for voluntary conservation (12, p. 29). There does
be given. Failure to adequately delineate the limits not seem to be general agreement as to whether manda-
wherein action needs to be taken can create situations tory conservation regulations or water-rate increases
where administrators postpone action in order to avoid and drought surcharges are the most effective means
conflict with user groups. This postponement lessens the of reducing water use to a volume less than that
protection afforded to both water quantity and quality (10, obtained by voluntary conservation. Utah determined
p. 164). that price increases to reduce water use were not as
effective as mandatory conservation regulations for a
short drought (12, p. 28). New Jersey, in contrast,
NOTIFICATION OF THE PUBLIC recently enacted a ‘‘water emergency price schedule’’
in preference to mandatory restrictions (New Jersey
When drought conditions activate the implementation Administrative Code, title 7, section 19B-1.5(a)). Some
of the water-management plan, the public needs to be utilities managers argue that the availability of enforce-
notified. The notice needs to contain information about ment mechanisms is the important feature of the plan
the provisions to curtail use, when conservation measures and that their application is rare (12, p. 29). Much
become effective, the availability of variances, and the of the monitoring of customers for compliance comes
procedures for obtaining a variance. The exact notification from peer-group pressure, but governmental employees,
procedure can be developed to reflect local conditions. such as supervisors of streets and wastewater depart-
Examples of States having well-defined notification ments and inspectors for buildings, plumbing, electric,
procedures include Florida, Georgia, North Carolina, and construction, and health services, can be empowered to
South Carolina (10, p. 165). issue citations (12, p. 29). This is an effective method of
monitoring a service area with a minimum of expense
CURTAILMENT OF WATER USE AND MAINTENANCE OF and with minimal disruption of employees’ regular
REVENUES work schedules.

A system of priorities of water-use categories needs to be SYNOPSIS OF PLANNING AND MANAGEMENT

in place before droughts occur, so that each user knows, in ACTIVITIES OF THE STATES
advance of a drought, in what order water restrictions will
be applied. If industries and commercial establishments The planning tools suggested by King and others (3) in
know, in advance of a drought, the procedures to be used their ‘‘Model Water Use Act’’ provide a minimum set
in reducing water availability, they can establish their of criteria for evaluating the activities of States in the
own contingency plans for those reductions; for example, area of water management during droughts. A survey
they can arrange for alternative water supplies or plan in 1983 and its update in 1986 by the Virginia Water
reductions in production schedules. Unlike most Western Resources Research Center (10) determined that, of the 48
States, the majority of Eastern States, which allocate conterminous States, only 8 States have comprehensive
water according to the riparian doctrine, do not have a water-shortage plans, 27 States have emergency drought
water-use-priority system to deal with water shortages provisions within their water-rights system, and 13 States
caused by droughts. Some attempt, however, has been do not appear to have plans in place for managing water
made in most States to show a preference for certain uses resources during droughts (Fig. 2).
(10, p. 162). The eight States that have comprehensive water-
A reduction in water use will cause a reduction in the management plans incorporate all of the basic concepts
revenues of the water suppliers. The reduced revenues suggested in the ‘‘Model Water Use Act.’’ However,
come at a time when costs are greater because of the approach by each State has been different and
expenditures made to deal with the drought. In the absence reflects individual State needs and existing water-
of a water-revenue reserve or a drought-emergency allocation systems. The drought indicators that are used
584 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS

Figure 2. State-level methods for managing water resources during drought conditions (From Ref. 10, p. 146).

to determine when the plans are to begin and to end during droughts. Conservation programs are required
probably were the least precise component in the plan under all permits in Maryland when the safety is
of each of the eight States. All the water-management threatened by existing or projected water demand. North
plans are activated at the State level except in Florida, Carolina’s permit system is limited to designated capacity-
where activation is the responsibility of existing water- use areas; other laws in North Carolina grant water-
management districts, and in California, where activation emergency powers that affect the capacity-use areas and
is in the charge of the intrastate districts mandated the rest of the State. Pennsylvania requires permits only
by statute. of public water suppliers using surface water; permits
Water laws of 27 States have been modified to establish are conditioned on there being an emergency water plan
systems of water-use categories (Fig. 2). Although having in place. All these States have taken some initial steps
these systems in place eases the management of water to manage their water resources during droughts, but
supplies once a drought occurs, most of the changes are they utilize few of the planning tools suggested by King
designed to meet emergency water shortages rather than and others (3) in their ‘‘Model Water Use Act’’ for water
to provide a strategy to mitigate the effects of droughts management (10, p. 155).
before an emergency develops (10, p. 149). These 27 Twelve States (Fig. 2) in the West have attempted
States can be subdivided into those that have modified to deal with severe water shortages by modifying the
the riparian doctrine with some form of a permit system; appropriation doctrine for allocating water. Under this
that use a modified appropriation system; or that rely doctrine only the most senior appropriation in time will
on civil-defense, disaster, or emergency legislation that receive water during water shortages. All these States
incorporates droughts within its definitions (10, p. 148). A have modified the appropriation doctrine to some degree
description of these subdivisions follows. to accommodate water shortages caused by droughts. New
Six States (Fig. 2) in the East have modified then Mexico, for example, provides for changing the place of
common-law riparian doctrine by requiring water-use diversion, storage, or use of water if an emergency exists
permits for some uses. Many of the permits are subject (10, p. 152). In Oregon, the Director of Water Resources
to water-use restrictions during times of severe water can order State agencies and political subdivisions to
shortages. Georgia has water-use restrictions that are develop water-conservation and water-use-curtailment
implemented during water emergencies. Iowa has made plans that encourage conservation, reduce nonessential
all use of surface and groundwater subject to a statewide water use, prevent waste, provide for reuse of water,
permit system; permit users are denied water whenever and allocate or rotate the supply to domestic, municipal,
the minimum instream-flow standard is reached. In and industrial uses (10, p. 152). Utah allows its State
Kentucky, permits give no guarantee of a water right Engineer to use regulatory authority to prevent waste in
 MANAGEMENT OF WATER RESOURCES FOR DROUGHT CONDITIONS 585

order to mandate rotation of irrigation water where no have a substantial effect on water quality, it is pos-
use will benefit from a diversion of the water supply sible, on the basis of existing legislation and regu-
(10, p. 152). In these 12 States, legislation provides lations, that the Federal Government might become
some management tools to assist in decreasing the more interested in drought management. For example,
effects of a water-shortage crisis. Little of the modifying Section 208(b)(2)(1) of the Clean Water Act (Public Law
legislation includes the planning tools suggested by 92–500) provides:
King and others (3) in their ‘‘Model Water Use Act’’
to manage water shortages due to droughts in a Any plan prepared under such process shall include, but not
comprehensive way. be limited to, (1) a process to (i) identify, if appropriate, salt
Nine States (Fig. 2) in the Midwest and Mid-Atlantic water intrusion into rivers, lakes, and estuaries resulting
region have left the management of droughts, from a State from reduction of fresh water flow from any cause, including
perspective, almost entirely to the Governor. These States irrigation, obstruction, groundwater extraction, and diversion,
perceive water shortages as primarily the responsibility of and (ii) set forth procedures and methods to control such
intrusion to the extent feasible where such procedures
local government. The State has a role when the shortage
and methods are otherwise a part of the waste treatment
becomes extensive in terms of time and scope and affects management plan.
such a large area of the State that the water shortage
is perceived as a severe crisis approaching a disaster.
The legislative history amplifies on this point (1972
These States choose to deal with water shortages due to
U.S. Code Congressional and Administrative News, p.
droughts on an ad hoc basis. New York passed a law that
3706) (emphasis added):
took effect in 1990 and requires a conservation plan for
surface withdrawals.
Salt water intrusion no less than point sources of discharge,
alters significantly the character of the water and the life
INTRASTATE REGIONAL AUTHORITIES AND INTERSTATE system it supports. Salt water intrusion often devastates
COMMISSION COMPACTS the commercial shellfish industry. It must be accounted for
and controlled in any pollution control program. It makes no
Intrastate regional authorities can perform the water- sense to control salts associated with industrial or municipal
management function during droughts if droughts are waste point sources and allow, at the same time, similar
less than statewide in scope. Politically, such authorities effects to enter the fresh water as a result of intrusion of salt
are difficult to create because of the rivalry that exists water. Fresh water flows can be reduced from any number
of causes. The bill requires identification of those causes and
among local units of government. If intrastate regional
establishment of methods to control them so as to minimize the
authorities are established, such regional grouping must impact of salt water intrusion.
be done carefully to avoid possible constitutional challenge
as unlawful delegation of legislative authority (10, p. 162).
Droughts can be one of the major causes for reduced
The water-management districts in Florida are examples
freshwater flows, and the law requires that methods be
of this approach.
established to control or to minimize the causes of reduced
When droughts affect more than one State but are not
freshwater flows that allow saltwater intrusion.
national in scope, interstate commissions and compacts
The Siting Requirement under the Safe Drinking Water
can provide the management function to mitigate drought
Act (Public Law 93–523) contains language(emphasizes
effects. Their effectiveness is predicated on having well-
added) that can be construed to include drought conditions
publicized plans and specific rules for planning purposes
and, thus, impose on States the requirement to adapt
so that all users know how they will fare when the river
siting criteria that include drought conditions:
flows cannot accommodate all the withdrawal demands
(10, p. 164). The Delaware River Basin Compact (Public
Law 87–328, 75 Stat. 688, 1961) and the 1978 Potomac Before a person may enter into a financial commitment for or
initiate construction of a new public water system or increase
River Low Flow Agreement are examples of interstate
the capacity of an existing public water system, he shall notify
compacts that have been used to plan for the problems the State and, to the extent practicable, avoid locating part
associated with droughts. Such commissions or compacts or all of the new or expanded facility at a site which: (a) Is
require, however, the approval of all of the involved State subject to a significant risk from earth-quakes, floods, fires or
legislatures, which could be a difficult task politically. other disasters which could cause a breakdown of the public
The fact that the number of such entities is small is water system or a portion thereof.
ample evidence of the difficulty and time required to
establish them. Droughts could conceivably be ‘‘other disasters’’ pro-
vided for in the Safe Drinking Water Act. A combination
FEDERAL RESPONSIBILITIES FOR WATER QUALITY AS of these water-quality considerations might, in the future,
RELATED TO DROUGHTS cause the Federal Government to give greater consid-
eration to managing the effects of droughts, at least
Since 1972, with the passage of the Water Pollu- with respect to those effects that impinge on water-
tion Control Act Amendments (Public Law 92–500), quality issues.
the Federal Government has assumed a more dom- Lastly, the quality of surface-water bodies is affected
inant role on water-quality issues related to surface markedly by the runoff that occurs when precipitation
water. Because droughts and the resulting low flows increases after a drought. During the drought, pollutants
586 WATER RESOURCES MANAGEMENT

accumulate on the land surface and on other surfaces, 8. Heathcode, R.L. (1986). Drought mitigation in Australia.
such as pavement and structures. It is not uncommon for Great Plains Quarterly 6: 225–237.
droughts to be followed by a period of abnormally high 9. Blackburn, A.M. (1978). Management strategies—dealing
precipitation that tends to aggravate the already existing with drought. Am. Water Works Assoc. J. 1978: 51–59.
water-quality problems by rapidly flushing large loads of 10. Hrezo, M.S., Bridgeman, P.G., and Walker, W.R. (1986). Inte-
pollutants into surface-water bodies. After the drought in grating drought planning into water resources management.
England in the 1970s, the nitrate concentration in the Nat. Resour. J. 26: 141–167.
Thames River increased to the point where the public- 11. Hrezo, M.S., Bridgeman, P.G., and Walker, W.R. (1986).
supply intakes had to be closed (9, p. 54). This kind of post Managing droughts through triggering mechanisms. Am.
Water Works Assoc. J. 1986: 46–51.
drought problem may be reflected in what the Federal
Government requires States to do to meet water-quality 12. California Department of Water Resources. (1988). Urban
Drought Guidebook. California Department of Natural
standards. Some drought planning may occur at the State
Resources, Department of Water Resources, Office of Water
level as a byproduct of the action taken to address this
Conservation, Water Conservation Guidebook 7, p. 144.
water-quality problem.
13. U.S. Geological Survey. (1986). National Water Summary
1985-Hydrologic Events and Surface-Water Resources. U.S.
CONCLUSIONS Geological Survey Water-Supply Paper 2300, p. 506.

The planning for and the management of the effects

of droughts appear to have a low priority in all but WATER RESOURCES MANAGEMENT
a few States, although all have experienced severe
water shortages. For the most part, accommodating the NEIL S. GRIGG
inconvenience caused by droughts is considered a local- Colorado State University
government responsibility. The Federal Government’s role Fort Collins, Colorado
has been to provide financial assistance to citizens after
the droughts have occurred. Water-quality legislation may
cause the Federal Government to take a more proactive Water is an essential asset for all life and economic
approach to managing the effects of droughts. Several activity, and the term ‘‘water resources management’’
factors will have to coexist before many States will describes activities necessary to balance supplies and
undertake development of plans to mitigate the effects of demands of water. It involves applying structural and
droughts. Such factors may be the occurrence of a drought nonstructural measures to control natural and man-made
that is long and extensive, thereby increasing demands water resources systems to achieve beneficial human and
on a fixed water supply, and a public awareness of the environmental purposes, which may be listed as water
economic costs of droughts. As water demands continue to supply, wastewater service, flood control, hydropower,
grow, even minor droughts will become more serious, and recreation, navigation, and environmental protection (1).
States will be compelled to become leaders in developing Along with these, water resources management deals with
water-management plans. mutual impacts between water and other systems, such
as land, wildlife, and economic systems.
Water resources management controls water resources
BIBLIOGRAPHY systems, that are combinations of constructed water
control facilities and natural, or environmental elements
1. Yevjevich, V., Hall, W.A., and Salas, J.D. (Eds.). (1978). that work together to achieve water management.
Drought Research Needs-Conference on Drought Research
A constructed water resources system, consisting of
Needs, Colorado State University, Fort Collins, Colorado,
structural facilities, provides control of water flow and
December 12–15, 1977, Proceedings: Fort Collins, CO, Water
Resources Publications, p. 288.
quality and includes facilities for water supply and
wastewater management; for drainage of land and control
2. Palmer, W.C. (1965). Meteorological Drought. U.S. Weather
Bureau Research Paper 45, p. 64.
of floods; and for water control in rivers, reservoirs,
and aquifers. Examples include conveyance systems
3. King, D.B., Lauer, T.E., and Zieglar, W.L. (1958). Model
water use act with comments. In: Water Resources and the
(channels, canals, and pipes), diversion structures, dams
Law. University of Michigan, Ann Arbor, pp. 533–614. and storage facilities, treatment plants, pumping stations
4. Harrison, R. (1977). Response to Droughts. Water Spectrum
and hydroelectric plants, wells, and all appurtenances.
9(3): 34–41. Natural water resource systems comprise sets of
environmental or hydrologic elements in nature that
5. Sheer, D.P. (1986). Managing Water Supplies to Increase
Water Availability, in National Water Summary 1985— include the atmosphere, watersheds, stream channels,
Hydrologic Events and Surface-Water Resources. U.S. Geo- wetlands, floodplains, aquifers and groundwater systems,
logical Survey Water-Supply Paper 2300, pp. 101–112. lakes, estuaries, seas, and the ocean.
6. Comptroller General of the United States. (1979). Federal In addition to structural measures to control water
Response to the 1976-77 Drought-What Should Be Done Next. flow and quality, nonstructural measures are used for
Government Printing Office, Washington, DC, p. 25. programs or activities that do not require constructed
7. Cox, W.E. (1982). Water law primer. American Society of facilities. Examples of nonstructural measures include
Civil Engineers, Water Resources Planning and Management pricing schemes, zoning, incentives, public relations,
Division, Proceedings, v. 18 (WRI), pp. 107–122. regulatory programs, and insurance.
 NASA HELPING TO UNDERSTAND WATER FLOW IN THE WEST 587

Water resources management takes place within a • fosters public health, safety, and community good
‘‘water industry’’ that consists of water service organiza- will.’’
tions, regulators, coordinators, and support organizations.
This industry places great value on public involvement in In the past, water resources management was primarily
decisions because water affects all people and activity in an engineering arena for building dams, laying pipelines,
interdependent relationships. installing pumps, and operating systems. Now, managing
Water supply serves four categories of water users: water resources requires skills and approaches that
people, industries, farms, and the general environment. go beyond pure engineering, science, management,
Thus, we speak of water supply for people (domestic and law. Water resources managers must deal with
water supply), for cities (urban water supply), for farms complexity and conflict to unravel interdependency of
(irrigation), for industries (industrial water supply), systems and resolve political and legal dilemmas. Skills
and for cities and industries (municipal and industrial from several disciplines are required, including law,
or M&I water), or we can speak of water for the finance, and public administration, along with engineering
environment (water for natural systems and habitat). and science.
Wastewater management serves the same categories, as
urban wastewater, industrial wastewater, and drainage
BIBLIOGRAPHY
for farms.
In-stream uses of water include hydropower generation, 1. Grigg, N.S. (1996). Water Resources Management: Principles,
navigation, recreation, and sustenance of fisheries and Cases, and Regulations. McGrawHill, New York.
ecological systems. 2. Awwa Research Foundation. (1996). Minutes of Workshop on
Stormwater and flood control are different types of Total Water Management. August 1996, Seattle, Denver.
water management activities that handle excessive water.
As ‘‘protective’’ services, they do not provide water, but
remove or store the excess water. NASA HELPING TO UNDERSTAND WATER
Given its many facets, water resources manage-
FLOW IN THE WEST
ment should be comprehensive, coordinated, and inte-
grated. Comprehensive water resources management LINDSAY RENICK MAYER
includes all purposes and stakeholders in its activ-
KRISHNA RAMANUJAN
ities. When water management is coordinated, there
Goddard Space Flight Center
should be linkages between activities so that they
Greenbelt, Maryland
occur with due consideration of each other. Integrated
water resources management is a term that includes To do their jobs, water resource managers in the Columbia
aspects of comprehensive and coordinated water man- River Basin have mostly relied on data from sparsely
agement, and it has been explained in several ways; located ground stations among the Cascade Mountains in
usually the goal is describing a holistic management pro- the Pacific Northwest. But now, NASA and partnering
cess.
For example, a working group of the Awwa Research
Foundation (2) used the term ‘‘Total Water Manage-
ment’’ to explain the integrated nature of water
resources management:

‘‘Total Water Management is the exercise of stewardship

of water resources for the greatest good of society and
the environment. A basic principle of Total Water Man-
agement is that the supply is renewable, but limited,
and should be managed on a sustainable use basis. Tak-
ing into consideration local and regional variations, Total
Water Management

• encourages planning and management of natural water

systems through a dynamic process that adapts to
changing conditions;
• balances competing uses of water through efficient allo-
cation that addresses social values, cost-effectiveness,
and environmental benefits and costs;
Figure 1. Map of Rio Grande and Columbia River Basins. Credit:
• requires the participation of all units of government and Image by Robert Simmon, NASA GSFC Earth Observatory,
stakeholders in decision-making through a process of Michael Tischler, NASA/GSFC.
coordination and conflict resolution;
• promotes water conservation, reuse, source protection,
and supply development to enhance water quality and This article is a US Government work and, as such, is in the
quantity; and public domain in the United States of America.
588 NASA HELPING TO UNDERSTAND WATER FLOW IN THE WEST

demands range from hydropower, to farming, fishing,

boating and protecting endangered species (Fig. 1). Water
resource managers in these areas grapple with the big
money stakes of distributing a finite amount of water to
many groups. NASA satellite data offer to fill the data
gaps in mountainous and drought-ridden terrain, and new
computer models let users quickly process that data.
Land Surface Models (LSMs) from NASA, other
agencies and universities, and NASA satellite data can
be used to determine snowpack, amounts of soil moisture,
and the loss of water into the atmosphere from plants
and the soil, a process known as evapotranspiration.
Understanding these variables in the water cycle is
a key to managing water in such resource-limited
areas.
‘‘The latest satellites provide so much up-to-date and
wide-ranging data, which we can use in the models to
Figure 2. Rio Grande River Basin, SeaWiFS Image with MODIS monitor and better understand what is happening with
higher resolution inset. This graphic shows a larger view (1 the water cycle in these areas,’’ said Kristi Arsenault,
kilometer resolution) of the Rio Grande River Basin taken
research associate for the Land Data Assimilation System
by the Sea-viewing Wide Field-of-view Sensor (SeaWiFS) on
(LDAS) team at NASA’s Goddard Space Flight Center,
the OrbView-2 satellite, with an inset of the same area
(250 meter resolution) taken by the Moderate Resolution and Research Associate at University of Maryland,
Imaging Spectroradiometer (MODIS) instrument aboard the Baltimore County.
Terra satellite. In the inset, the largest dark area indicates ‘‘These efforts are designed to improve the efficiency
Elephant Butte Reservoir. Credit: Image by Andrew French of of the analysis and prediction of water supply and
NASA GSFC/NRC, Kristi Arsenault, NASA GSFC and Univ. of demand using the emerging technologies of the Land
Maryland-Baltimore County.

Figure 3. MODIS image of Columbia River Basin snowcover,

February 24, 2003. This image from the Moderate Resolution
Imaging Spectroradiometer (MODIS) shows snowcover for the
Columbia River Basin in the Cascade Mountains of Washington
State, taken on February 24, 2003 (250 meter resolution). Credit:
Jeff Schmaltz MODIS Land Rapid Response Team, NASA/GSFC.

agencies are going to provide United States Bureau

of Reclamation water resource managers with high
resolution satellite data, allowing them to analyze up- Figure 4. MODIS image of Rio Grande River Basin, February
to-date water-related information over large areas all at 22, 2003. This image from the Moderate Resolution Imaging
once. Spectroradiometer (MODIS) shows the Rio Grande River Basin
The pilot program is now underway with the Rio Grande taken on February 22, 2003 (250 meter resolution). Credit: Jeff
and Columbia River basins where water is scarce while Schmaltz MODIS Land Rapid Response Team, NASA/GSFC.
 NASA HELPING TO UNDERSTAND WATER FLOW IN THE WEST 589

(Reclamation). Computer models, known as decision

support systems, that factor in ecological, human, and
legal restrictions are vital to managing and allocating
water, Matthews added. These systems will incorporate
NASA satellite and model data.
NASA’s tools may be of vital use in the Rio Grande and
Columbia River basins where the disparate and numerous
water demands have enormous economic implications.
In the Rio Grande Basin, for example, water managers
dole out water to farmers so they can irrigate their
land. At the same time, under the Endangered Species
Act, states are required by law to maintain river water
levels to protect the habitat of the endangered silvery
minnow. A recent seven-year drought has exacerbated
these demands.
Similarly, the Columbia River Basin provides water
for the Coulee Dam, the largest concrete dam in
North America, and a means for controlling floods.
This hydroelectric dam is the third largest producer
of electricity in the world. At the same time, the
Figure 5. U.S. rainfall (July 1 to 15, 2002). This animation basin is a source of water for a billion dollar agricul-
shows 3-hourly rainfall from July 1 through 15, 2002. Rainfall tural area.
is one of the main variables that drive land surface models To help make big decisions of allocating water, NASA’s
used by water resource managers and scientists. Credit: Images
special technologies can provide a unique perspective from
by Robert Simmon, NASA GSFC Earth Observatory, based on
data provided by Kristi Arsenault, NASA GSFC and Univ. of space. For example, satellites can classify vegetation, a
Maryland-Baltimore County. task that is essential to calculating evapotranspiration,
which accounts for up to 60 percent of water loss into the
air in a region like the Rio Grande Basin. Some managers
have been relying on vegetation maps that dated back
to 1993, in areas where wild-lands, crops and farming
practices are subject to change.
Landsat data can provide highly detailed spatial
information, but these images may only be available once
a month, and are very expensive. The newer technologies
of the Moderate Resolution Imaging Spectroradiometer
(MODIS) instrument on the Terra and Aqua satellites
provides more frequent passes and day-to-day and week-
to-week changes in vegetation production (Fig. 2). In
addition, other variables of interest, like snow cover and
land surface temperatures, are updated more regularly by
MODIS, which can aid in identifying areas with potential
flooding and help with the daily management of the
water resources (Figs. 3 and 4).
LDAS has also begun to evaluate soil moisture data
from NASA’s Advanced Microwave Scanning Radiometer
(AMSR-E) aboard the Aqua satellite and 3-hour rainfall
estimates from NASA’s Tropical Rainfall Measuring
Mission (Figs. 5 and 6). All this data helps determine
Figure 6. U.S. soil moisture (July 1 to 15, 2002). This animation
how much water is being absorbed into the ground,
shows changes in soil moisture from July 1 through 15, 2002, versus how much is evaporating into the atmosphere.
derived from a land surface model. Soil moisture is important These observations will then be assimilated into Land
for knowing how much water is contained in the soil, which is Surface Models so that water managers can assess
vital for crop production, flood prediction, and evapotranspiration flood risks and other factors and act accordingly in a
estimates. Credit: Images by Robert Simmon, NASA GSFC Earth timely manner.
Observatory, based on data provided by Kristi Arsenault, NASA Reclamation brings water to more than 31 million
GSFC and Univ. of Maryland-Baltimore County. people and provides one out of five Western farmers with
irrigation water for 10 million acres of farmland.
One mission of NASA’s Earth Science Enterprise is
Data Assimilation System,’’ said Dr. Dave Matthews, to expand and accelerate the realization of economic
manager of the River Systems and Meteorology Group of and societal benefits from Earth science information
the Technical Services Center, U.S. Bureau of Reclamation and technology.
590 TRANSBOUNDARY WATER CONFLICTS IN THE NILE BASIN

TRANSBOUNDARY WATER CONFLICTS IN THE As a typical transboundary case, the Nile River Basin is
NILE BASIN shared by ten countries: Burundi, Democratic Republic of
Congo, Egypt, Eritrea, Ethiopia, Kenya, Rwanda, Sudan,
RONGCHAO LI Tanzania, and Uganda.
Delft University of Technology Since the early 1970s, water scarcity has become a
Delft, The Netherlands matter of concern for the downstream states of the Nile.
The engagement of the two downstream states (Egypt
and the Sudan) in effective development of irrigated
WATER SCARCITY IN THE NILE agriculture marked the beginning of real scarcity. The
1960s, in particular, marked the beginning when the
The Nile, the longest river in the world, has nourished two countries engaged in constructing large-scale water
livelihoods, supported a vast array of ecosystems, and projects; by the end of the decade, three dams (Roseires
played a central role in a rich diversity of cultures. and Khashm Al-Girba in Sudan and the High Dam in
As shown in Fig. 1, from its major source, Lake Egypt) were constructed. Large-scale agricultural schemes
Victoria in east central Africa, the White Nile flows have become dependent on these dams.
generally north through Uganda and into Sudan where In addition to damming the river and increasing
it meets the Blue Nile at Khartoum, which rises in the demand for irrigation, population growth is considered
Ethiopian highlands. From the confluence of the White a major cause of water scarcity in the Nile Basin. Since
and Blue Nile, the river continues to flow northward the late 1940s, probably all Nile Basin countries started to
into Egypt and on to the Mediterranean Sea. From witness steady population increases. In the 1990s, the Nile
Lake Victoria to the Mediterranean Sea, the length Basin region experienced one of the highest population
of the Nile is 5584 km (3470 mi). From its remotest increments among the world’s regions. Striking evidence
headstream, the Ruvyironza River in Burundi, the river of this is that 6 out of the top 20 countries in the world
is 6671 km (4145 mi) long. The river basin has an area in population increments in 1991 were Nile riparians.
of more than 3,349,000 sq km (1,293,049 sq mi) (source: The population of Ethiopia, Sudan, and Egypt will double
http://www.nilebasin.org/IntroNR.htm). from 157 million to 388 million by the year 2050. The total
population of the Nile Basin will more than double when
it increases from its 1992 figure of 259 million (1, p. 82)
to 607 million by the year 2025. The Nile riparians will
remain, well into the first half of this century, among those
with the highest growth rate in the world; their rates range
from 2.4% to 3.6% (1, p. 82). The most important conclusion
to be derived is that more significant increases are taking
place in upstream than in downstream countries (2, p.
2). Moreover, it is observed that the countries that have
large populations are increasing their population faster
than those that have smaller populations. Thus, except
for the Democratic Republic of Congo, all large-populated
countries will be in dire need of Nile waters as irrigated
agriculture increases.
The 1980s witnessed yet another driving force in the
region that contributed to water scarcity, the recurrent
droughts and their consequential population concentration
along the banks of the Nile and its tributaries. The
1980s and 1990s seem to provide new causes that have
turned migration into ‘‘displacement.’’ Referring to the
Nile, Mageed (3, p. 159) stated that ‘‘The arid and semi-
arid regions of the Basin are experiencing a serious
breakdown of the environmental fabric and the spread
of desertification along with the collapse of socio-economic
systems.’’ The part of the Nile Basin that is crossed by
the Sudano–Sahelian zone has scored the highest rate
(88%) of desertification in the early 1980s compared
to the African average (84%) and the world average
(61%). The consequences of drought and land degradation
surfaced soon after the 1980s decade started and reached
their peaks in famines in Ethiopia and the Sudan
simultaneously in 1984. The effect of these, however,
has hit all the Nile riparians in different degrees. These
Figure 1. Nile basin map. (Source: http://www.nilebasin.org/ consequences have led/will lead to radical changes in the
nilemap.htm.) population map in Ethiopia and the Sudan. These famines
 TRANSBOUNDARY WATER CONFLICTS IN THE NILE BASIN 591

have pushed large groups of population to the Nile River independence. The decolonization process left the Nile
zone and thus contributed to real population concentration with colonial agreements that were not respected by all
along the banks of the Nile and cultivable irrigable lands newly independent riparians other than Egypt.
in its vicinity. Computations from population census data Immediately after acquiring its independence, the
reveal that the river zone in central Sudan has increased Sudan sought a new deal with Egypt over the Nile water
its relative population size by 5.61% between 1983 and to replace the 1929 agreement signed between the Sudan
2000, and similarly, in Ethiopia, the relative size of the government (British administration) and Egypt. Conflicts
population inside the Nile Basin increased by 6.5% in arising at the postindependence stage, unlike the previous
just a decade between 1984 and 1994. The same census conflict, which was basically for securing the flow of rivers,
data show that the population of urban areas in both were about the allocation of specified quotas of the now
countries is increasing along the banks and tributaries known as large quantities of water, yet scarce to meet
of the Nile/inside the Nile Basin. The population of Egypt the heightening demand. Hence, the Sudan started to
has always been concentrated along the borders of the Nile confront the unfair division of water; it considered that
except for some small oases in the deserts. Although the Egypt’s share was more than it actually should be, given
government of Egypt is developing urban areas outside that all the Nile water flows into Egypt, save 4 billion
the Nile valley, most of these developments still depend m3 allocated to the Sudan by the 1929 agreement. For
on Nile water for their water supply. the Sudan, a new deal was thus seen as necessary. The
Unlike population concentration on a regional scale, challenge of the Sudan did not stem from preserving rights
population concentration in urban areas generates scarcity to the future realization of its agricultural potential; rather
of a much higher magnitude (4, p. 90). This concentration it was the obstruction of its already developed policies for
generates water scarcity in several ways, including high bringing on board this competent potential. ‘‘The Sudan,
demand for safe water for drinking and sanitation and to prove its case, embarked on drawing up the ‘Nile Valley
high pollution rates, which render some water useless, or Plan’. The main object of the plan was to provide for the
even harmful. However, as no further facilities have been irrigation needs of Egypt and the Sudan and the assumed
installed, the concentrating of population has negatively needs of the other riparian states for irrigation, together
affected the provision of safe water for urban dwellers; with the full development of hydro-electric potential in
in Sudan, the rates decreased from 100% in 1980 to Uganda, Ethiopia, the Sudan and Egypt’’ (6, p. 73). The
86% in 2001. In all Nile Basin countries, except for whole exercise was challenging Egypt’s monopoly of the
Egypt, provision of safe water has been very limited. Nile by adding an element of egalitarian multilateralism.
Water scarcity caused by population concentration is What made this grow to a challenge was that Sudan was
increased by the in-stream demand for hydropower seeking to mobilize the other riparians behind its plan.
generation, by the evaporation of reservoirs developed Egypt, however, was striving to start the implementation
for hydropower generation, by increasing demand due to of the High Dam at Aswan. The Sudan, while opposing the
agricultural development, and by climate change due to Aswan Dam project in principle, had put forward three
global warming. principles for resettling the water question. First, that
Sudan’s share should be determined before work began
WATER ALLOCATION AND DISPUTES IN THE NILE BASIN on the High Dam. Second, that Egypt must provide for
the resettlement and ‘‘adequate alternative livelihood’’ of
In reality, water scarcity already causes violence and the people of the Wadi Halfa town and district who would
conflict within and between nations, which is a threat be removed by the High Dam construction. Finally, that
to social and political stability. Peter Gleick, who makes the Sudan should have the right in the future to build
an ongoing effort to understand the connections between whatever works were deemed necessary for using her
water resources and international conflict and security share of the Nile waters (7, pp. 173–174).
issues, points out that ‘‘disputes over control of water Upon accepting these conditions, the conflict between
resources may reflect either political power disputes, Egypt and the Sudan was bilaterally settled by the Full
disagreements over approaches to economic development, Utilisation of the Nile Waters Agreement in (1959). The
or both. It is evolving as international and regional politics 1959 agreement ‘‘established a joint committee (PJTC) and
evolves. . .’’ (5). Water disputes typically are erupting specifies quantitative allocations for the two countries:
within countries in the downstream regions of stressed assuming an inflow of 84 billion m3 from the Blue Nile
river basins. Even if water disputes between countries and the White Nile sources, the agreement allocates
do not lead to war directly, they have fueled decades 55.5 billion m3 to Egypt and 18.5 billion m3 to Sudan’’
of regional tensions and thwarted economic development (8, p. 17; 9).
before eventually giving way to cooperation. The Nile is The deliberations leading to the signing of the 1959
an example in this respect. agreement, however, had created a serious conflict with
Legal arrangements for the Nile in the nineteenth Ethiopia. In 1957, Ethiopia sent a note to Egypt and Sudan
century were much more comprehensive than today in in which it asserted its ‘‘natural rights’’ to use the water
terms of legal obligations abided by all governments ruling originating in her territory and in which it also referred to
over almost all the territory of the Nile Basin. Britain Ethiopia’s projected water needs and requirements. These
had been the main party to all these agreements; it projected needs would certainly decrease the discharge of
signed agreements with Italy, Congo Free State, Ethiopia the Nile (10). The 1959 agreement was considered to favor
and Egypt. These agreements remained intact until the Sudan (11,12), dismember Ethiopia (12), and neglect
592 TRANSBOUNDARY WATER CONFLICTS IN THE NILE BASIN

the other upstream countries. The outcome of the 1959 organs to pave the way for final legal and institutional
Agreement had effectively put Egypt and the Sudan in arrangements.
one camp against the camp of all other riparians. The When competition reaches the crisis stage that the
newly independent upstream states—individually, but likely win–lose balance turns into a lose–lose balance, the
sharing the same view—started to criticize Egypt and contestants are likely to cooperate to survive the ordeal
the Sudan’s monopoly of the Nile waters. Egypt seemed (14). Developments in Nile Basin politics in the last half
to have accepted the idea that the upstream states are of 1999 indicate that the co-Basin states have already
bound by agreements signed during the colonial time, but reached the situation indicated above. Unlike the first
Sudan’s position was different, namely, recognizing the half of the 1990s of national assertiveness and unilateral
rights of upstream states (10, p. 12). approaches to use of the Nile waters, the co-Basins now
In the eyes of the Egyptians, Ethiopia has always have (in the second half of the 1990) a new initiative, using
represented a potential threat to the Nile water. According the Technical Advisory Committee as its technical arm.
to Hultin (13, p. 37): ‘‘It is not so much what Ethiopian The objective of the initiative is to reach a solution through
governments—or other riparian governments for that the equitable use of the Nile waters. The conference of
matter—have done with regard to the waters of the Nile, the Nile riparians in Addis Ababa in May 1999 moved
but rather what they might be doing, that is the cause of further in this direction, and the Nile co-riparians have
anxiety in Cairo.’’ Repeatedly, the Ethiopian governments emphasized the sustainable development of the river.
asserted that they are not bound by any agreements on the Thus, already the issue of equitable water use has been
Nile and that those agreements that were signed during expressed together with the issue of sustainability.
colonial rule were either not signed by them or they were Out of these initiatives, the shared vision of the NBI
forced to sign by a colonial power. An important element arose that is meant ‘‘to achieve sustainable socio-economic
in the dispute is the difference between the states in their development through the equitable utilization of, and ben-
starting argument. Egypt and the Sudan, bound by an efit from, the common Nile Basin water resources.’’ The
agreement, based their contest for the Nile waters on initiative as a comprehensive cooperative framework pro-
real needs, but Ethiopia is driven by the awareness of its vides for significant changes in the old formula that would
future needs and, therefore, is not ready to risk her unused protect the co-riparians from inflicting harm on each other.
resources (12). Egypt and the Sudan see that their 1959 Significant harm is always the consequence of competi-
Full Utilisation of the Nile Waters agreement can be the tion, whereas equity and reasonableness can be attained
foundation for any future agreement among all riparians, through cooperation. The first is often defined by ideologi-
but the other riparians, especially Ethiopia, want new cal and political imperatives, whereas the latter is for cal-
arrangements. culating mutual benefits or avoiding mutual losses—the
economic imperatives. In this regard, the request of the
FORMULATION OF A BASIN-WIDE WATER Nile-COM for the World Bank and its partners to host a
SHARING FRAMEWORK consultative group (ICCON) as a forum for seeking funds
is a significant move toward emphasizing the economic
The current environmental condition in general and the imperatives. The Ethiopia entry into the debate on legal
water scarcity issue in particular require new regimes arrangements is likely to cool down the previous tension
of thinking and social organization or reorganization. As and create a condition conducive to cooperation.
stated above, there are a variety of driving forces in water The emphasis on sustainability is what makes the NBI
scarcity. For instance, until recently, the quarrel over the different from the previous initiatives. Moreover, unlike
Nile waters was driven by the states’ ambitions to develop the previous ones, it is a vision shared by all riparians.
economically. In the last two decades, this necessity to It means, in short, that awareness of the current envi-
develop, in the Nile riparian, is being replaced by a much ronmental problems that affect all riparians is finally on
more urgent need—food security. Two conditions in this its way toward institutionalization. It is the emphasis on
respect can be illustrated: one is a condition of abundance sustainability that gives way to the newest part in the
that allowed states to expand their irrigated large-scale Initiative: the subsidiary action subprogram. The princi-
agriculture endlessly to engage more and more in the ple of subsidiary is considered ‘‘an important approach
market and the second is the condition of scarcity which to cooperative action within a Basin-wide framework’’
brought new pressures that affect political stability and and is meant ‘‘to take decisions at the lowest appro-
necessitate responses from states to groups demands. The priate level, to facilitate the development of real action
condition of scarcity makes it a necessity that states adopt on the ground.’’ It is this part which gives place to
certain regulations to cater to the pressures arising. alternative developments by decentering the definition-
The first attempt at cooperation among the Nile making and decision-making about the Nile waters, which
countries took place in 1960 through what is referred to has been always the monopoly of central governments
as the Hydromet Survey Project, basically aiming to build or bodies representing them. Building the pillars of the
a database for the Basin. In 1992, Hydromet was replaced temple of cooperative framework (confidence building and
by TECCONILE (Technical Cooperation Committee for stakeholder involvement; socioeconomic, environment and
the Promotion of the Development and Environmental sectoral analysis; development and investment planning;
Protection of the Nile Basin). TECCONILE continued until and applied training) in itself involves a necessary learning
1999 when it was replaced by the Nile Basin Initiative process in which different levels will contribute. It, thus,
(NBI) as a wider framework with different operating informs the new priorities to be set for the Nile Basin
 TRANSBOUNDARY WATER CONFLICTS IN THE NILE BASIN 593

countries as it translates to ‘‘capacity building and human water; rather they have to do with what makes
resource development.’’ As well, it makes place for priori- the quest for sharing more feverish. In other
ties depending on the needs and specific problems facing words, environmental degradation and population
each country or a sub-Basin that combines more that one concentration makes the quest for more water
country. It caters to the communities dwelling in the Basin endless. So dealing with these problems and similar
that would be affected by the grand policies to be launched. ones is what is urgent for all Nile riparians. The NBI
Another important aspect of NBI is that it will also can be seen as a framework which allows overcoming
consider measures outside the basin when this will ease some of the factors contributing to water scarcity,
the problems in the basin, in particular, measures with including rural development. The multiple billions
respect to population and agriculture. Their approach will of dollars that are expected for the development
be based on equitable regional economic development to of the Nile basin should be spent on large-scale
ensure the balance between upstream and downstream hydraulic constructions and should also partly be
and between inside and outside the basin. spent on rural development in the territory of the
What complicates the issues of water scarcity in co-riparians—not necessarily inside the Basin.
the future is that the Nile Basin countries are far 4. The import of ‘‘virtual water’’ represents one impor-
from providing water efficient alternatives. Thus, the tant element in how states could solve their water
development of the river, necessarily sustainable, is an scarcity problems. In the Nile, this virtual water
urgent necessity. importation can be thought of in a more inno-
vative way. The Nile Basin countries differ in
climate; therefore, crops produced as well as the
PLAUSIBLE SOLUTIONS
natural hazards, solutions, and therefore cooper-
ation should consider these differences. Ethiopia
Despite the fact that the Nile River is viewed as the
faces severe soil erosion due to deforestation, and
archetype for any future conflict over international water,
this very soil erosion, among others, is what pushes
recent developments show that through cooperation, the
Ethiopia toward using Nile water. A fund for foresta-
Nile riparians can overcome many of the hurdles and
tion and then benefiting from forest products (ser-
establish a peaceful and sustainable solution to the
vice for the ecosystem, fruits and other products
problems of water scarcity in the Nile. What is needed,
which become part of the livelihood of rural pop-
therefore, is:
ulation, and products for exportation) would thus
produce a double advantage. Downstream as well as
1. Principle of equity. Egypt and the Sudan must upstream Nile riparians can import virtual water
accommodate the position and demands of Ethiopia from Ethiopia necessary for the rehabilitation of
and other upstream countries in an institutional the latter. The Sudan, viewed as the breadbasket
manner (15). Ethiopia which views itself as being of Africa and the Middle East, could import vir-
dismembered by the 1959 Nile water agreement will tual water from Ethiopia and export virtual water
likely offer greater cooperation should the down- too. The difference, however, is that virtual water
stream riparians recognize its right to development from Ethiopia, in the form of afforestation products,
of its part of the Basin and facilitate it. If Ethiopia would help rehabilitate this country’s highlands,
is allowed to go ahead with its Blue Nile basin therefore, decrease its demand for Nile water. Simi-
plan, Egypt and the Sudan would benefit from it larly Egypt can import virtual water from Ethiopia
(see also Infrastructure Solutions). Governments and the Sudan, through a formula of less virtual
and international organizations must act early and water from downstream and more virtual water from
constructively. Tensions among the Nile basin coun- upstream—less water-consuming products versus
tries are finally easing, thanks in part to unofficial more water-consuming products (rice).
dialogue among scientists and technical specialists
5. Infrastructure solutions. Establishment of reser-
that have been held since the early 1990s and more
voirs on the Blue Nile in Ethiopia is suggested as
recently at a ministerial level in the NBI. The key
‘‘the greatest opportunity over the long term for dra-
is establishing a process of early cooperation before
matic improvement in the overall management of
serious hostilities erupt that make it difficult for
Nile resources’’ (16, p. 152). What is interesting in
nations to sit around a negotiating table together.
this regard is that the water savings so made, which
2. Strong institutions. Treaties that provide for effec- could be of the order of 12–21.4 billion m3 per year
tive monitoring and enforcement are often remark- (17), would quadruple Ethiopia’s irrigated area with-
ably resilient, holding even when the signatories out reducing supplies to Egypt and the Sudan. Some
are engaged in hostilities over nonwater issues. other solutions are transfer of storage from reser-
Long-term programs of joint fact-finding, technical voirs in Egypt and the Sudan to Lake Tana and the
cooperation, and other initiatives that establish a Blue Nile basin combined with water conservation
climate of cooperation among countries can pave the in the Ethiopian highlands (by way of reducing evap-
way for resolving disputes when they do arise. oration and annual flooding losses) and will provide
3. Effective rural development. To our understanding, regulated flow to downstream countries. Similar
the major problems that the Nile Basin countries schemes could be implemented in the equatorial lake
are facing now are not merely the need for sharing regions of the upper White Nile riparian countries,
594 PLANNING AND MANAGING WATER INFRASTRUCTURE

resulting in additional water saving construction of Research Workshop on Environmental Change, Adaptation,
a bypass canal (the Jonglei diversion canal) in south- and Human Security. Budapest, Hungary, 9–12 October.
ern Sudan reducing the enormous evaporation losses 15. Tafesse, T. (2001). The Nile question: hydropolitics, legal
and increasing the contribution of the White Nile to wrangling, modus vivendi and perspectives. Münster, Lit.
the main Nile appreciably. The Machar Marsh and pp. 131–145.
Bahr El Ghazal in southern Sudan can contribute 16. Whittington, D. and McClelland, E. (1992). Opportunities for
11 billion m3 (18, p. 139; also see 1, p. 92). regional and international cooperation in the Nile Basin.
Water Int. 17: 144–154.
6. Water saving technologies. In all cases, maximum
use should be made of water saving technologies 17. Kliot, N. (1994). Water Resources and Conflict in the Middle
East. Routledge, London.
(more crop per drop). This includes water saving
options in the surface water system (reduction of 18. Naff, T. and Matson, R. (Eds.) (1984). Water in the Middle
East: Conflict or Cooperation? Westview Press, Boulder, CO.
losses of seepage and evaporation), more efficient
irrigation techniques (land leveling, drip irrigation,
etc.), and other management techniques (reuse,
nightirrigation, etc.). PLANNING AND MANAGING WATER
INFRASTRUCTURE
BIBLIOGRAPHY NEIL S. GRIGG
Colorado State University
1. Shapland, G. (1997). Water in The Middle East and North Fort Collins, Colorado
Africa: The Political Economy and Ethics of Scarce Resource
Use, compiled and Edited by Timothy C. Weiskel, For the
Harvard Seminar on Environmental Values (1997–98) Water infrastructure consists of the constructed elements
‘‘Water—Symbol and Substance of Life’’. that control water for water supply, wastewater service,
2. Omar, A. and Takele, T. (1998). Egypt and the Horn of Africa: flood control, hydropower, recreation, navigation, and
That Serpent of Old Nile, Ethiopia Tribune (26.06.1998).
environmental protection (see articles on WATER RESOURCES
3. Mageed, Y.Abdel (1994). The Nile Basin: Lessons from MANAGEMENT and WATER INFRASTRUCTURE AND SYSTEMS).
the Past. In: International Waters of the Middle East:
Generally, these constructed elements involve conveyance
From Euphrates-Tigris to Nile. A.K. Biswas (Ed.). Oxford
University Press, Bombay.
systems, including channels, canals, pipes, and bridges;
diversion structures; dams; reservoirs; locks; treatment
4. Falkenmark, M. Lindh (1993). Global Changes and Water
Resources, www.water.hut.fi/wr/research/glob/egloshow/
plants for water supply and wastewater management;
egloshow2.pdf. pumping stations; hydroelectric plants; spillways, valves,
5. Gleick, P.H. (2000). The world’s water 2000–2001. The and gates; and wells. Planning and managing water
Biennal Report on Freshwater Resources. Island Press (Ed.). system capital assets require provisions for capital
Island Press, Washington, DC, p. 315. investment, operations, and maintenance.
6. Mageed, Y.A. (1981). Integrated River Basin Development: A Capital investment in water facilities requires a careful
Challenge to the Nile Basin Countries, in Sudan Notes and process that begins with planning them, preparing the
Records No. 62, Vol. LXII. designs, and constructing the systems. The goal of capital
7. Holt, P.M. and Daly M.W. (1979). The History of the Sudan. investment is to obtain a maximum return over the
From the Coming of Islam to the Present Day, 3rd Edn. project’s ‘‘life cycle.’’ This means considering costs and
Weidenfeld and Nicolson, London. management needs over the full life of the facility and
8. Tadesse, H. (1998). The Nile river basin. Ethioscope 4(1). requires that operations and maintenance, including
9. Waterbury, J. (1979). Hydropolitics of the Nile Valley, corrective maintenance, be carefully conducted to gain
Syracuse, Syracuse University Press. maximum usage and life from the investment.
10. Khalid, M. (1984). The Nile waters: the case for an integrated The planning process involves a series of steps that
approach. In: The Nile Valley Countries: Continuity and include identifying the need; searching out alternative
Change (Vol. 1), M.O. Beshir (Ed.). Institute of African and ways to meet the need; evaluating economic, environ-
Asian Studies—University of Khartoum—Sudanese Library mental, and social costs and benefits; making decisions
Series (12), Khartoum.
about the alternatives to pursue; and implementing the
11. Davies, H.R.J. (1984). ‘‘Continuity and change in the nile plan. The steps in planning drive the process, but they
valley’’ a geographical viewpoint. In: The Nile Valley
involve many complex issues and substeps. Each project
Countries: Continuity and Change, Vol. 2, M.O. Beshir (Ed.).
Institute of African and Asian Studies—University of
has unique features and stakeholders, political issues in
Khartoum—Ethiopiaese Library Series (12), Khartoum. gaining approval for infrastructure often control the pace
12. Tilahun, W. (1979). Egypt’s Imperial Aspirations over Lake and agenda. Traditional planning processes now incorpo-
Tana and the Blue Nile. United Printers Ltd, Addis Ababa. rate sophisticated environmental, social, and economic
13. Hultin, J. (1995). The Nile: source of life, source of conflict. investigations and are now much more complex than
In: Hydropolitics: Conflicts over Water as Development in the past. For example, the United States’ experience
Constraint, Leif Ohlsson (Ed.). University Press, Dhaka and with environmental impact statements required by the
Zed Books, London. National Environmental Policy Act shows that it costs
14. Wolf, A.T. (1997). Water Wars’ and Water Reality: Conflict and more to add environmental impact analysis to planning,
Cooperation Along International Waterways. NATO Advanced and the decision process becomes more complex.
 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE 595

In an attempt to rationalize complex criteria, the An inventory of facilities, components, and equipment
concept of ‘‘multiobjective evaluation’’ was developed is the cornerstone of maintenance management. Inventory
to consider economic development, social benefits, and methods differ for real property, fixed assets, and
environmental enhancement when planning for water equipment. An inventory can be as simple as, for example,
purposes such as water supply, power, and flood control. a set of drawings indicating where sewer pipes are located
This concept was included in the ‘‘Principles and in a section of a city. These drawings, with annotations,
Standards’’ that emerged from the Water Resources are used by maintenance forces to locate and service pipes.
Planning Act. These later were changed to ‘‘Principles On a more sophisticated level, the drawings could indicate
and Guidelines.’’ other, nearby facilities, such as water and electricity lines,
For a minor component, such as a new pump station, and can also be used to coordinate between services. Even
the process may be straightforward and short term. For more sophisticated would be coordinated data in a GIS and
major facilities such as dams, the process may take many database format, available on a common basis to different
years and, in some cases, ultimately not succeed at all. In sections of the organization whose work involves shared
addition to the planning steps cited, practical assessments data, processes, facilities, and staff.
such as how to pay for facilities and identifying legal Condition assessment requires inspection and analysis
obstacles are required. Also, stakeholders must be involved of condition so that maintenance activities can be planned
at each step of the process through public involvement and and scheduled. It is used to plan and schedule capital man-
consultation. agement activities, such as maintenance, needs assess-
The design process involves creative decision-making ments, budgeting, and capital improvement programs.
about the configuration and details of projects. Design Preventive maintenance (PM) is the ongoing program
includes drawings, documents, and plans necessary to of care given to equipment or components. In general, PM
initiate construction. Construction begins with preparing requires consistent, timely completion of tasks prescribed
contract documents and involves bidding, review, award, by documented procedures according to set schedules that
organization, construction itself, inspection, and accep- include regular follow-up. Information sources for PM
tance. Keeping all of the phases going in the proper are O&M manuals, product information, and experience
direction and order is the task of the ‘‘project manage- of workers. PM records include equipment data, the
preventive maintenance record, the repair record, and
ment process.’’ Designing and constructing major water
a spare parts stock card.
resources projects require high levels of skill and orga-
Generally speaking, corrective maintenance means to
nization involving risk to the public and environment.
repair equipment or components that have failed or
For example, dam construction may require control of an
deteriorated. It can range from minor to major repair and
entire river over several seasons when floods might occur.
drives the ‘‘3 R’s’’ of infrastructure—repair, rehabilitation,
A wastewater treatment plant might involve large-scale
and replacement. Corrective maintenance requires a
and sensitive biological processes.
decision if the deficiency is minor or major enough to
After construction is completed, the project enters the
require capital budgeting. If the problem is major, the
‘‘operations and maintenance’’ or ‘‘O&M’’ phase. Large
capital plan and budget incorporate information about
water systems such as dams and reservoirs are subject
new standards and growth forecasts to lead to decisions
to special operating rules. Water treatment plants require
about rehabilitation and/or replacement.
trained operators who can monitor chemical and biological
When a water resources facility has reached the end
parameters while adjusting operating controls. Far-flung of its useful life, it must be removed, rehabilitated, or
systems extending over several watersheds may have replaced. Many dams around the world are now 50 or
sophisticated supervisory control and data acquisition more years old and will face these decisions in the future.
(SCADA) systems, consisting of instruments, wireless and Wastewater treatment plants built during the 1970s in the
wired communications, computers, and control systems. United States are now three decades old. In addition to new
Decisions about water system operation are controlled investment to handle population growth, a discussion will
by complex sets of rules and guidelines. In some cases, occur in the future about strategies for reinvestment and
regulatory controls are very stringent, and violations modernization of these key infrastructure components.
result in heavy penalties. Operations may be based on
computer simulations and multiobjective criteria, as in
following rule curves for reservoir operation. A science of APPLICATION OF THE PRECAUTIONARY
water resources systems analysis has emerged to provide
PRINCIPLE TO WATER SCIENCE
tools and techniques for operating complex systems.
Maintenance management is also required in a capi- LEONARD I. SWEET
tal management system. Without adequate maintenance, Engineering Labs Inc.
water resources infrastructure systems will usually not Canton, Michigan
perform well and will wear out sooner than planned.
The maintenance management system brings activities
together for investment, organization, scheduling, and Discussions of applying the precautionary principle
monitoring. Its general functions are inventory, condi- have received new momentum from several highly
tion assessment, preventive maintenance, and corrective contentious policy issues, including the bovine spongiform
maintenance. encephalopathy crisis, blood donor screening, genetically
596 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE

modified foods, antibiotic feed additives, and phthalates or maximally precautionary versus the most permissive or
in baby toys. The level of precautionary interpretation minimally precautionary: (1) strong precaution (where the
and its application to ‘‘decision-making under ambiguity’’ scientific evidence is uncertain but the public is informed
has wider ramifications for waste policy, ecological and the evidence indicates that the worst case is the most
toxicology, and especially water science. A balanced debate probable outcome), (2) strong precaution (where the evi-
is warranted over the merits of the two seemingly dence is too weak to justify abrupt changes, given costs,
rival environmental risk management paradigms—risk but policymakers take a holding pattern and halt further
assessment and the precautionary principle. intervention until more risk evidence is available), and
The basic definition of the precautionary principle has (3) weak precaution (where the evidence is overly weak
three elements: threat of harm, scientific uncertainty, to justify change in public policy, given costs and other
and the precautionary action. As such, the principle factors, and the public is informed of possible risk).
questions whether scientific knowledge is strong enough It can be seen that a regime based strictly on the
to permit reasonably confident decision-making, and it precautionary principle places the burden of proving the
favors preventive action in the face of uncertainty as harmlessness of a given action on the party who would
well as a participatory public in decision-making. The engage in that action. This version of the burden of
precautionary principle can be applied in general on two proof policy is a departure from the traditional toxic tort
fronts, the ex ante side that reflects a desire to avoid or approach in which no harm is presumed to result from
prevent undesirable adverse effects in policy frameworks the activity of another until a party can demonstrate
and legislation, and on the ex post side, reflecting the fact damage and causation. In the environmental arena, the
of having to live with consequences of past decisions, side tort-oriented nonprecautionary approach postpones the
effects, or accidents (e.g., historical liability or natural regulation of activities until harm occurs and compels
resource damage assessments). a response to potential degradation. Consistent with
The relative constraints and uncertainties of risk this continuum of approaches is the presumption that
assessment suggest to some that risk managers should precautionary action is acceptable as an interim measure
abandon the risk framework in favor of the precautionary because, as the scientific evidence accumulates, it is only
approach. In water science, it is not prudent to propose a matter of time until an adequate level of certainty
one as an alternative to the other. An immediate concern is reached.
is that the precautionary-based approach fails to account It is apparent that in the governance of risk, the risk-
for risk transfers, priority substances, and costs versus based and precautionary approaches are divergent with
benefits. It is proposed that a variety of precautionary regard to scope, risk, and how best to handle uncertainties
initiatives and decision analysis tools in risk manage- and values (Table 1).
ment (e.g., life cycle assessment, weight of evidence, Rather than seeing that precaution is in conflict
cost–benefit), as well as the open exchange of information with science-based regulations, some suggest that the
and rational thinking, will aid in bridging the dichotomy precautionary approach is consistent with sound scientific
between risk assessment and the precautionary principle. practice: (1) in acknowledging and responding to difficult
problems in risk assessment such as ignorance (we don’t
INTRODUCTION know what we don’t know) and incommensurability (we
have to compare apples and pears) and (2) in critically
The momentum toward a paradigm shift to precautionary thinking about the ‘‘use’’ of scientific knowledge.
approaches will be faced globally by government and
industry, and those in water science will have to rethink GLOBAL SCOPE
radically their current safety, risk management, and
regulatory control schemes. The premise of precautionary Reflecting the divergent values of risk management, the
decision-making is that environmental or human health precautionary principle has been defined, and the relative
threats are challenging to comprehend and resolve and importance weighted differently by various nations (e.g.,
that it is necessary to establish an environmental lack of firmly established international or legal meanings
management paradigm to regulate suspect activities of the precautionary principle). The inconsistency in the
before they cause harm. Although originally intended precautionary approach is further complicated because
for environmental management issues, the precautionary actions within one state may cause identifiable harm to
principle has now expanded to address human health another state’s environment, which in turn may create
and safety issues (i.e., toxicology, epidemiology, industrial international responsibilities.
hygiene, medicine). For example, it is likely that a In a global economy, there are certainly different
precautionary approach was used in addressing the health country-specific circumstances for interpreting the pre-
and safety risks of using thalidomide because the precise cautionary principle, including the level of industrializa-
mechanism by which thalidomide impacts the fetus was tion, governance, economic and technical contexts, and
not characterized until the late 1980s. human resources available for monitoring and evaluat-
In general, precautionary approaches instruct envi- ing problems connected with chemical risks. The current
ronmentally protective decisions before any potentially perception is that Europe believes that the earlier one
harmful effects of a given action or technology are fully exercises precaution, especially when cumulative pollu-
proven. There are varying degrees of interpretation of tion and diverse chemical risks do not respect boundaries,
the precautionary principle, including the most stringent the more effectively it can be done.
 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE 597

Table 1. Highlights of Risk-Based and Precautionary Frameworks

Risk Framework Precautionary Framework

Scope: Scope:
• origins in quantification and hypothesis testing • origins in subjectivity and emotion
• premise of threshold and assimilative capacity • does not support assimilative capacity or threshold in
• focus on individual and population risk environmental/human health
• methods (i.e., hazard identification and characterization, • focus on values and a unifying perspective of precaution
appraisal of exposure, risk characterization) • methods not well defined; no cause–consequence chain
• adheres to tenets of toxicology (i.e., Paracelsus, Pare’s, • adheres to caveat of primum non nocere or ‘‘first do no harm’’
Haber’s, Arndt–Schulz)a
Chemical innocent until proved guilty: Chemical guilty until proved innocent:
• ‘‘prove harm’’ regulatory approach • ‘‘prove safety’’ regulatory approach
• burden of proof on regulatory agency, customer, or public • burden of proof on innovator or manufacturer
• pollution prevention/minimization opportunity if • ensure safety or ban agent/activity before established threat
established threat • focus on avoiding false negatives
• focus on preventing false positives
Optimistic view of Pessimistic view of
• best available data • data (inaccuracies, gaps, unsuitability)
• default values • modeling (overly complex, nonrandom)
• analytical techniques • analytical (detection limits, interference)
• modeling methods • timescales (inadequate for decision-making and legislation)
• margins of error • uncertainty (e.g., smokescreen vs. scientific indeterminacy)
• statutory time constraints
• reasonable estimates
Risk recommendations viewed as Risk recommendations viewed as
• entrenched in model and method uncertainty • proactive and adaptive in the face of new information or the
• carried out on product versus process unforeseen
• subject to cost/benefit analysis • not subject to cost/benefit analysis
a
Paracelsus: dose–response contains the notion of threshold of effect; Arndt/Arndt–Schulz: predicts continuum of physiological mode of action dependent
on strength of stimuli, that is, from hormesis/stimulation at low levels to retardation at high levels; Haber’s: includes the variables of time and dose as a
function of exposure to compare hazards better and formulate thresholds of toxicity; Pare’s: the specificity and toxicity of chemicals are due to their unique
structure and the laws of biology that govern the response interaction.

Regardless of the geographical complexities, however, Although there is no fully agreed upon version of the
there appear to be two consistent global elements of precautionary principle, it is being embraced extensively
the precautionary principle: first, insufficient scientific in international articles, treaties (International Joint
information and second, significant but uncertain risks. Commission on Great Lakes; EU Institutional Treaty),
Consider the European policy on chemicals and summits (Rio Earth Summit), laws (e.g., German Vor-
the environment. Europe regards the precautionary sorgeprinzip legislation; Dutch wildlife laws), conventions
principle highly, and erring on the side of caution (e.g., United Nations’ Convention on Law of the Sea,
when knowledge is limited and prediction speculative Climate Change, and Biodiversity; UN General Assem-
is viewed as a sensible and sound approach to good bly World Charter for Nature), conferences (e.g., 1998
governance. The European community has also adopted Wingspread Conference Center), and other policy-making
a variety of principles that are directly or indirectly also formats (e.g., Communication from the European Commis-
designed to improve implementation of the precautionary sion about guidelines for EU research activities; Expert
principle, including the following: (1) polluter pays, Advisory Board on Children’s Health and the Environ-
(2) preventive principle, (3) sustainable development, and ment). The precautionary principle is clearly viewed as a
(4) inter-/intragenerational equity. Taken together, the logical corollary of the established international law norm
core direction of these principles suggests that liability, that no state has the right to engage in activities within
at a minimum, should enhance incentives for more its borders that cause harm to other states.
conservative, proactive, preventive, future-oriented, and Although the various interpretations of the role and
responsible actions. application of the precautionary principle revolve around
The European community’s approach to the ‘‘polluter science and policy, the issue is steadily subjected to
pays’’ principle could lead to a structure of environmental political motivations in administration and legislation.
liability based on increased levels of precaution and In particular, precautionary action has elevated such
prevention. Such an approach may also introduce new issues as genetically modified organisms, acid rain,
damage assessments, such as environmental damages to radio-frequency fields, toxic waste disposal, and climate
nature or biological diversity (e.g., due to the discharge change. However, the precautionary principle is currently
of hazardous substances into waterways) when polluters lacking in providing evidentiary standards for safety, (e.g.,
are identifiable, where the damages are quantifiable and with medicines it revolves around quality, efficacy, and
concrete, and where a causal link is established between dose–response constancy), as well as criteria for obtaining
polluters and damage. regulatory approval. This is a serious shortcoming because
598 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE

it is conceivable that practitioners of precaution could concern is that this is potentially counter to notions
be overcautious or unscientific in considering whether of liberty and freedom by shifting the burden of proof
new technologies pose unique, extreme, or unmanageable from government onto innovators
risks, without properly characterizing the many new 2. the apparent advocating of controversial measures,
aspects that may confer net benefits and total hazard including bans or phaseouts, clean production, alter-
reduction. Such a discriminatory policy could inflate the natives assessments, organic agriculture, ecosystem
costs of research or remedies, result in high taxation of management, health based occupational exposure
products, waste resources, inhibit the development of new limits, and a requirement for premarket testing
technologies, restrict consumer choice, and result in zero
3. the apparent lack of cost–benefit analyses, in that
hazard reduction, all potentially for theoretical risks.
for many cases that call for precautionary action, the
marketplace does not necessarily play a critical role
DRIVERS TO ADOPT and good cost–benefit information is not available
Proponents of the precautionary principle believe that 4. the belief that the precautionary principle allows
existing environmental regulations and other decisions controlling important resource allocation issues by
based on risk appraisal techniques have failed to fear, emotion, and politics and that becoming more
protect environmental and industrial health. Recognized ‘‘safe’’ in some areas may involve spending resources
drivers for adopting the precautionary principle include that cannot be used doing more ‘good’ in other areas
the following: 5. the continuing challenge for proponents to frame an
adequate and harmonized version of the principle.
• risk aversion This is a reflection that the principle is still
• reduced reliance on the quantitative risk in favor of evolving—to some, it is already part of the risk
qualitative techniques and participative deliberation appraisal arsenal, to others it is not yet on the radar
• strong commonsense appeal to general public screen, and to still others it is the antithesis of
• working to safe minimum standards risk assessment.
• adopting sustainability efforts
Other concerns in adopting precautionary approaches
• following a win–win/least regrets regime with regard
revolve around the implications for the relationship
to costs and benefits
between environmental protection and economic devel-
• primary prevention opment, the economic consequences. Technologists and
• data deficiency or uncertainty challenges, modeling scientists are concerned that the precautionary principle
difficulties, analytical difficulties, and insufficient is irrational and potentially based on nonobjective science
time for adequate research and that it is anti innovation/antibusiness. The concern
• commonsense appeal of having the polluter pay is that the precautionary principle is biased toward non-
• those in risk governance are frequently asked to corporate and nonindustrial opinions, is susceptible to
provide the final word of advice on safety or risk manipulation with regard to trade and equality, and may
before they have sufficient proof become an excuse for arbitrary restrictions that may stifle
• concern that too much focus on risk assessment could progress, prevent the use of newer and safer technolo-
delay needed protections gies, and possibly create more risk or uncertainty. Not
every action or technology that has associated uncertainty
• provides additional rationale for environmental and
should trigger precautionary action, and furthermore,
public health surveillance efforts, to use indicators,
every chemical should not be a presumed or preestablished
and detect the probability of adverse consequences as
carcinogen or endocrine disruptor.
early as possible.
The reticence to implement precautionary approaches
But in practice or in policy implementation, the fully is likely to remain until a more wise and
precautionary approach is not very popular among experts balanced approach to chemical risk management is
in the risk arena because the potential benefits from the established. Most would agree that uncertainties in
drivers may not warrant the cost and it is a challenge to major decisions need to be weighed, analyzed, and
make the principle a unified perspective that addresses communicated to impacted parties, but a combination of
many of the concerns. options in addition to the precautionary principle may
prove most effective in managing risk (e.g., perhaps
prioritized precautionary thinking in tandem with risk
ANTIDRIVERS
characterization and the use of current and better/best
Clearly, however, there are antidrivers to adopting the control technologies). It is also clear that the growing
precautionary principle. The main ones include: interest in precautionary approaches is more likely
a reflection of shifting values on risk tolerance and
1. the reverse onus that shifts the duty of care to be governance versus a preference for subjective versus
placed on the developer’s actions to ‘‘prove safety,’’ objective problem-solving techniques. Herein lies much
which may ignore the tenets of toxicology that of the controversy around its implementation—what
demonstrate a need to regulate chemicals based on constitutes sufficient proof, proof of safety, or proof
both the beneficial as well as adverse; the other of negligence?
 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE 599

RISK TOLERANCE and precautionary principle paradigms need to be

adaptive and consider statistical significance (i.e., power,
One certainly must consider that the tolerability of probability of type I or type II error), as well as
individual risk and the regulation of societal risk are environmental significance.
integral to our government and culture. Yet the concepts What level of causation, threshold of confidence, or lack
of safety and risk are relative and subjective. In some areas of proof is required to trigger use of the precautionary
of regulation, an explicit treatment of risk is warranted, principle to link an exposure to some possible harm? Var-
whereas in other areas, risk appraisal is more implicit and ious trigger criteria have emerged, including reasonable
reliant on best professional judgment. But how safe is safe suspicion, potential damages are serious or irreversible,
enough with regard to personal, national, or international scientific certainty, cost-effectiveness, a single complaint,
risk criteria in water science? a single case, a single animal study, a combination, only
To address this question practically, one must char- where the probability and cost of impacts are completely
acterize the time frame and magnitude of the hazard unknown, or some gradient or level lower than the bal-
and decide on a common language—the language of risk ance of probabilities or prevailing probability. Whatever
analysis or the precautionary principle. the trigger, the precautionary principle should be subject
to review and assigning responsibility, as well as subject
• Risk Analysis. Risk-based target levels, health-based
to the European Commission criteria of proportionality,
criteria, standards as low as reasonably practicable,
nondiscrimination, consistency, and cost–benefit analysis.
reasonable probability of no harm, an adequate
The precautionary measures must also be proportionate
margin of safety, proportionality, weighing costs
to the benefits to be achieved. Hence, there is a need for
and benefits, virtually safe doses, allowable daily an open and transparent procedure to identify the best
intakes, benchmarks, maximum allowable tissue options for harm avoidance.
concentrations Uncertainty in detecting and evaluating chemical haz-
• Precautionary Principle. Common sense, an ounce of ards leads to challenges when conducting risk analyses
prevention is worth a pound of cure; better safe than (e.g., robust estimates of exposure and risk for phar-
sorry; a stitch in time saves nine; if in doubt, don’t maceuticals in drinking water are not available). In the
pump it out; sentence first, verdict afterward absence of a scientifically rigorous approach to evaluating
the risk potential, actions may be guided by societal per-
Apparently lacking in the language of the precautionary
ceptions of risk or safety (e.g., refractory pharmaceuticals
principle are a cost–benefit analysis, risk communication
in wastewater) and may lead to malignment, restriction,
issues (e.g., regarding whether the hazard is imposed
or banning of chemical agents. One has to balance care-
upon, entertained voluntarily, controllable, inequitable,
fully the perceived reduction in health risks to society
and to what level the public is averse to the issue), and a from precautionary action and the denial of public access
good characterization of the boundaries and dimensions of to materials or technologies that, under appropriate condi-
uncertainty (i.e., ignorance, systemic, indeterminacy). tions of safe handling and use, would not result in notable
Risk informed decision-making must involve some risks and may have substantial net benefits.
level of cost–benefit analysis to focus resources and In the end, one must recognize that the scientific
set priorities so that the greatest social benefits are basis of modern water policy involves varying degrees
achieved at the lowest cost. Some practitioners may of uncertainty. But it is more certain that risk analysis
strive to make a formal cost–benefit analysis the and precaution converge at the level where they are issue
determining factor for risk tolerability. However, a driven and that, regardless of the paradigm or language
formal cost–benefit analysis seemingly contradicts the agreed upon, risk informed decision-making in water
precautionary principle, as it assumes certainty where, science must be efficient and rational, even when data
by definition, certainty does not exist. Furthermore, are uncertain and the lines of evidence are imperfect.
there are some concerns that requiring a cost–benefit
analysis would render the precautionary principle less POTENTIAL RELEVANCE TO WATER AND
effective, cumbersome, and bureaucratic. Cost–benefit ENVIRONMENTAL SCIENCE ISSUES
analysis may not be an appropriate methodology for
managing uncertainty, as it can be applied only if there The precautionary principle can be applied to emerging
is full knowledge of the cost of that damage—and this is public concerns, such as large-scale environmental and
challenging because precautionary actions are not based health issues, and to the associated changes in regulatory
on demonstrated risk, but rather on anticipated risks that frameworks. Most notably, issues include major indus-
are considered plausible. trial accidents, agricultural and food sector (e.g., mad cow
disease), dioxin exposure and long-range transport, the
UNCERTAINTY irreversibility of global issues (e.g., ozone layer deple-
tion, enhanced greenhouse effect), and biotechnologies
Uncertainty refers to the failure to address fully a (e.g., cloning and genetic modification). For watersheds,
standard of proof/safety required by decision-makers and management decisions based on the relationship between
to the recognition that one cannot fully characterize the stressors and resources may include act now, protect,
extent and potential seriousness of the consequences of restore, or watch.
not meeting that standard. In the face of inherent and These are current examples of the precautionary princi-
irreducible uncertainty, it is clear that risk management ple in action in the regulatory and environmental arenas:
600 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE

• DDT Use to Combat Malaria. The precautionary Northern Ireland is banning many pesticides used for
principle demands no risk taking when there are food production amid rising consumer concerns about
unpredictable consequences—the potential environ- impacts on human health and the environment due
mental and health risks posed by future use of to chemical residues. This, of course, involves a ban
DDT—and hence there is a strong push not to allow on any pesticide where there is doubt about its safety,
it to be used or manufactured. The millions of peo- even if the weight of scientific evidence is insufficient
ple suffering from malaria that could have benefited or inconclusive.
from using DDT simply do not understand the argu- Potential bans on antibiotics, given the uncertainties
ment of focusing only on potential future risks versus and risk of microbial resistance in the environment.
present and clear benefits: the economic benefits of • Ocean Shipments or Dumping. Ocean shipments of
the chemical if the threat of malaria were reduced, radioactive materials and the reprocessing of nuclear
health care costs reduced, needless morbidity and wastes and acquiring stockpiles of plutonium. Propo-
mortality reduced, that is, the need to balance the nents may want to cite explicitly the precautionary
potential risks against the certainties and benefits. principle as a framework to regulate such shipments.
• Global Climate Change. With climate change, proof The principle might require users of the ocean to
will be validated only after many years of data exercise precaution, alertness, and effort by under-
collection. Given the scope, potential injury, and taking relevant research, developing nonpolluting
irreversible consequences, the available information technologies, and avoiding activities that present
should be given great deference. uncertain risks to the marine ecosystem—and fur-
• Biodiversity and Wetlands Loss. Consider unfore- ther it would reject the current notion of a measurable
seen circumstances with regard to the Endangered ability of the environment to assimilate wastes.
Species Act in the United States; it does not require Proposals to dump sewage sludge on the seemingly
landowners to protect unlisted but declining species barren areas of the deep seabed. There is little known
on their lands. about the ecology of this region, the harm to the
• Fisheries Sustainability (Disease, Transgenics, Over- seabed and interconnected ecosystems. A traditional
fishing, etc.). The use of transgenic salmonid fish tort approach would allow dumping until harm is
that are reproductively sterile. Aquatic organism risk recognized, but a precautionary regime would require
analysis is proposed to evaluate the environmen- the dumping state to prove that the dumping is
tal safety of transgenic aquatic organisms, but its harmless before engaging in that activity.
primary weakness is that the probabilities and con- • Water Reuse, Reclamation, and Safety. A precaution-
sequences are based on subjective evaluations and ary approach might stipulate that climate change and
opinions. There is no requirement for scientific anal- increased urbanization may threaten to dry up wet-
ysis or collection of experimental data in support of lands, pushing species of those habitats to extinction.
the risk analysis process. The role of risk analysis as a The fix may be to increase the efficiency of water use
basis for fish health management is questioned, given and stop wasteful irrigation practices where water
the uncertainties, including unrealistic expectations losses are highest. The principle might also stipu-
of the ability to identify the right fisheries manage- late that all types of water abstraction and water
ment decision, stakeholder participation, inadequate transfers should be controlled. Certainly economic
predictive ability of models, lack of integration of instruments and regulation can provide a flexible
management and science, and a tendency to overes- means of improving water resource issues.
timate possible versus likely hazards. There are also The events of 9/11 may warrant conducting a security
considerations of failing to account for the unknown, sweep of the nation’s drinking water systems or for
unexpected, or synergistic impacts. facilities to develop specific security plans based on
• Substances of Concern. California’s Proposition 65 vulnerability assessments.
assumes that a listed chemical of concern is released
• Sewage Sludge. In the United States, the biosolids
to waterways and that it is ‘‘guilty before proven
rule imposes limits on molybdenum and alkylphenol.
innocent.’’
Some critics claim that the risk assessment process
Banning persistent, bioaccumulative, toxic sub-
is inadequate and does not address all potential or
stances. Sweden is considering banning substances
foreseeable risks. Environmentalists, farmers, and
that persist in the environment and accumulate in
scientists have encouraged the U.S. EPA to adopt a
living tissue, regardless of whether they are proven
more protective program that uses the precautionary
significantly toxic such as lead in leaded glass. Under
principle to determine the safety of applying water
the current system, regulations are aimed at con-
to land.
trolling rather than preventing end of pipe versus
upstream pollution. • Habitat Conservation. Involves dealing with data
Restricting pesticide use. Canada is moving closer deficiencies in species status and magnitude of
to adopting the precautionary principle based on a impacts in a manner that guards target species
year 2001 Supreme Court ruling that upholds the from irreversible habitat loss yet does not preclude
right of local governments to restrict pesticide use development.
to essential uses to protect human health and the • Biotechnology. Consider genetically modified organ-
environment. isms or foods. The benefits of genetically modified
 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE 601

plants include reduced use of fertilizer and pesti- to reduce exposure is typically greater than 25 years). Cer-
cides, increased yields, better adaptation to extreme tainly, unpredictable consequences are not new to water
environmental conditions, and reduced allergenicity science, considering the unanticipated challenges caused
versus the cost of impacts that may include aller- by the use of asbestos and PCBs. The concepts of risks and
genicity and exotic species that outcompete native benefits in water science are not as clearly etched as some
and nonmodified organisms. may think.
• Antidegradation. Antidegradation and antibackslid-
ing rules are likely to become increasingly important RECOMMENDATIONS FOR BALANCING PROOF VERSUS
in water policy because the intention of the Clean PRECAUTION
Water Act is to prevent perceptible downgrading
of designated water uses. The protection of high- Proponents should proceed cautiously with the precau-
quality waters under the antidegradation rule might tionary principle. Potential problems in abandoning the
be interpreted differently by risk analysis versus the risk assessment framework in favor of following the pre-
precautionary principle: For example, the precaution- cautionary principle are highlighted in Table 2:
ary principle might interpret the rule as an absolute There are certainly some refractory questions to
prohibition on lowering water quality. The risk-based consider, such as:
approach would consider that avenue a no-growth
1. What grounds justify applying the precautionary
interpretation and propose a structure that provides
principle, and what will be the trade-offs? Stifle new
systematic evaluation of all available information
technology and associated benefits (e.g., genomic
regarding the social, environmental, and economic
understanding of microbes, plants, animals) from
impacts of lowering water quality.
which there is little experience and lots of uncer-
• Sustainable Development. Some would argue that to tainty; increase the costs of developing and market-
achieve sustainable development, policies must be ing; threaten freedom and trust of basic research.
based on the precautionary principle. Environmental
2. Who will trigger use of the precautionary principle,
measures must anticipate, prevent, and attack the
and how will they interpret the volume and breadth
causes of environmental degradation. Science alone
of data generated from such areas as genomics and
cannot determine the appropriate focus of the
proteomics in a positive manner? Risk related data
management inquiry or how to define a just or
are increasingly in the form of biological markers,
politically acceptable solution. Setting standards is
gene expression, and protein level change, for which
the confluence of science and policy determination.
there is an abundance of data generated; yet these
Consider the example of applying the precautionary are possibly laden with uncertainty and lack of
approach to the risks of contaminants in surface validation. How will this data be processed by
and groundwater, including biological, chemical, and the precautionary principle in characterizing new
radiological agents. Certainly, on a global scale, pathogenic products and assessing efficacy, safety, and so on?
contamination of drinking water can be considered a 3. What is ‘‘sustainable’’ about the precautionary
significant health risk due to disease outbreaks, but there principle? If we apply the recognized working
are also exposures to nonpathogenic toxicants. Water definition that sustainability is ‘‘a challenge that
pollution comes from many routes, sources, and in various economic growth and development must take
forms; in each case, there are incomplete or lacking data, place and be maintained over time within the
certainly in the exposure, probability, and effects stages. limits set by the physical, chemical, biological,
In contrast to the precautionary principle, risk-based social, and political environments,’’ it follows that
objectives in water science are typically technology- environmental protection, product stewardship, and
based (e.g., best available technology, or best available economic development are complementary rather
technology economically achievable). One clear advantage than antagonistic processes, as the precautionary
of an approach based on technology includes national principle would suggest.
consistence in treatment level, predictable economics, 4. What is the role of scientific evidence, and to what
and relative ease of enforcement—although it does not extent can the precautionary regulatory approach
guarantee improved environmental performance because be thought of as without factual or scientific
some areas may be under or overmanaged. justification, arbitrary and irrational, defensible or
For some environmental practitioners, the precaution- enforceable in court, and vulnerable to scientific,
ary principle appears to focus only on the risk from the legal, and constitutional challenges?
agent or technology versus the clear benefits that may 5. To what extent can the precautionary regulatory
result from its use or from the risk trade-offs or transfers approach for setting risk standards be flexible
that may result from an alternative. Because the risks of enough to consider site-specific conditions in which
a new technology are often not apparent until the technol- it is applied (i.e., natural and anthropogenic factors,
ogy is in use, some suggest it is then too late to undo the chemical agent, receptor type and size, exposure
harm (e.g., various case studies in the Great Lakes have conditions, bioavailability, and cost)?
suggested to some investigators that the length of time
between the introduction of a new technology and the dis- In the end, the relative strength and quality of the
covery of its deleterious effects and the regulatory action precautionary policy will depend on legitimacy, degree of
602 APPLICATION OF THE PRECAUTIONARY PRINCIPLE TO WATER SCIENCE

Table 2. Issues and Risks

Issue Recommendation

• Process and structure not costless and likely • Utilize cost–benefit and regulatory flexibility analyses
has high expenditures associated given • Rational decisions should account for the impact of benefit reduction
uncertainties
• Chemical use does not equal chemical risk • Account for the way chemical is used, materials handling, exposure
sources, potency to receptors
• Adopt guidelines to ensure chemical risk and substitution are balanced
and not harmful
• Potential risk transfers • Do not trade a known manageable risk for an uncertain alternative
• Actions to remove hazard may remove benefits; loss of benefits
introduces new risks
• Brainstorm unforeseen risk potentials, such as danger of responding to
wrong threat
• Utilize a ‘‘total hazard’’ approach
• Undefined and arbitrary methods or • Rigorous, prioritized; avoid overregulation that may lead to loss of
interpretation potential benefits
• Technological stagnation • Cessation or phaseout of regulatory prescription threatens to kill the
patient while inventing a cure for a disease that does not necessarily
exist; it may lead to arbitrary unscientific rejection of beneficial
technologies
• Lack of prioritization • Final assessment should involve prioritization of substances and relative
risk; should consider impacts of cessation or phaseout on international
legislation, production and use, economics, and alternatives
• No zero risk in a technology-based society • Neither risk assessment nor the precautionary principle can eliminate
all risks; these paradigms can only be refined to reduce the relevant
risks to a perceived acceptable level; proving no risk is a difficult if not
impossible task
• Risks of no action • The precautionary principle must include a full range of options,
including no action
• Tools for precautionary thinking • Life cycle analysis, waste-free product goals, cleaner production, green
building, environmental justice, ecoefficiency, benchmarking,
best practices
• Tolerability and meaningful restraints • Need to define and quantify risk acceptability criteria
• The margins of safety for descriptions of low risk must be defined and
should consider factors of uncertainty, cost–benefits, and lack of
knowledge
• Goal is to introduce reasonable/plausible conservatism
• Politicization • Balance technical, scientific, economic, and political
• Codes of ethics • Practitioners should adhere to a code of ethics that re-iterates the need
for validity of data and sound scientific approaches that are transparent,
systematic, subject to peer review, accountable, and independent

public trust, and actual quality of products and decisions. European Commission. (2000). Communication from the Commis-
Whether by traditional risk analysis or by precautionary sion on the Precautionary Principle. COM 02.02.2000, Brussels.
thinking, risk management should be determined case Fairbrother, A. and Bennett, R.S. (1999). Ecological risk assess-
by case and population by population, with a full ment and the precautionary principle. Hum. Ecol. Risk Assess-
and transparent accounting of the bigger picture, the ment 5: 943–949.
consequences of different actions including no action, and Foster, K.R., Vecchia, P., and Repacholi, M.H. (2000). Science and
the public values surrounding those actions; even if the the precautionary principle. Science 288: 979–981.
details are obscure. Gilbertson, M. (2002). The precautionary principle and early
warnings of chemical contamination of the Great Lakes. In:
READING LIST EU Communication ‘‘Late Lessons from Early Warnings: The
Precautionary Principle 1896–2000.
Burke, M. (2000). Promoting a greener European Union. Environ.
Sci. Technol. 17: 388A–393A. Graham, J.D. (1999). Making sense of the precautionary principle.
Risk Perspect. 7: 1–6.
Chapman, P.M. (1999). Does the precautionary principle have a
role in ecological risk assessment? Hum. Ecol. Risk Assessment Graham, J.D. (2000). Decision-analytic refinements of the pre-
5: 885–888. cautionary principle. J. Risk Res. in press.
Charnley, G. and Donald Elliott, E. (2002). Risk versus precau- Hansson, S.O. (1999). Adjusting scientific practices to the precau-
tion: environmental law and public health protection. The tionary principle. Hum. Ecol. Risk Assessment 5: 909–
Environ. Law Report 32: 10363–10366. 921.
 WATER PRICING 603

Mckinney, W.J. and Hammer Hill, H. (2000). Of sustainability the combination of out-of-pocket expenses plus the time
and precaution: The logical, epistemological, and moral required for travel to and from a water source.
problems of the precautionary principle and their implications The purpose of this article is twofold. First, it describes
for sustainable development. Ethics Environ. 5: 77–87. the nature and range of water prices around the world.
Pittinger, C.A. and Bishop, W.E. (1999). Unraveling the chimera: Second, it explains the significance of the price of water for
a corporate view of the precautionary principle. Hum. Ecol. decisions regarding the supply of water and the demand for
Risk Assessment 5: 951–962. water. The article concludes that, despite the potentially
Raffensperger, C. and Tickner, J. (Eds.). (1999). Protecting Public important role of water prices, a lack of attention to water
Health and the Environment: Implementing the Precautionary pricing has been a major contributing factor to worldwide
Principle, Island Press.
problems of water allocation and water quality.
Raffensperger, C. and deFur, P.L. (1999). Implementing the
precautionary principle: rigorous science and solid ethics. Hum.
Ecol. Risk Assessment 5: 933–941. WATER PRICES AROUND THE WORLD
Rasmussen, F.B. (1999). Precautionary principle and/or risk
assessment. Environ. Sci. Pollut. Res. 6: 188–192. The level and form of water prices vary widely around
Rogers, M.D. (2001). Scientific and technological uncertainty, the the world. Figure 1 gives an indication of the range of
precautionary principle, scenarios and risk management. J. residential water prices across a number of countries.
Risk Res. 4: 1–15. The form or structure of water prices also varies across
Rogers, M.F., Sinden, J.A., and De Lacy, T. (1997). The precau- countries and across sectors (agricultural, residential,
tionary principle for environmental management: a defensive- commercial, and industrial). On the one hand, there are
expenditure application. J. Environ. Manage. 51: 343–360. many examples where users face a price of zero for their
Sandin, P. (1999). Dimensions of the precautionary principle. water. This occurs in municipalities where household
Hum. Ecol. Risk Assessment 5: 889–907. water use is not metered and in rural areas where
Santillo, D. and Johnston, P. (1999). Is there a role for risk households rely on, but do not pay for, groundwater. There
assessment within precautionary legislation? Hum. Ecol. Risk is also another way in which the price of using water can
Assessment 5: 923–932. be said to be zero in many cases. If a factory or sewage
Santillo, D., Stringer, R.L., Johnston, P.A., and Tickner, J. (1998). treatment plant discharges wastes into a waterbody
The precautionary principle: protecting against failures of without paying for that right, then these facilities are
scientific method and risk assessment. Mar. Pollut. Bull. 36: using water free. It is important to remember, however,
939–950. that a zero price for water does not mean that there is no
Shipworth, D. and Kenley, R. (1999). Fitness landscapes and the cost for using it. This cost may come in the form of the
precautionary principle: the geometry of environmental risk. infrastructure needed to purify and transport the water
Environ. Manage. 24: 121–131. to users, in the form of reduced water quality, or it may
Stijkel, A. and Reijnders, L. (1995). Implementation of the precau- come in the form of foregone benefits that would have
tionary principle in standards for the workplace. Occup. been enjoyed by other water users had they access to
Environ. Med. 52: 304–312. another’s water.
Tucker, A. (2002). Life-cycle assessment and the precautionary On the other hand, water prices can be quite
principle. Environ. Sci. Technol. 36(3): 70A–75A. complex and have several components: a one-time
Underwood, A.J. (1997). Environmental decision-making and the connection charge, a recurring fixed charge, a volumetric
precautionary principle: what does this principle mean in charge, and supplemental charges for sewage treatment
environmental sampling practice? Landscape Urban Plann. and environmental protection. Further, the volumetric
37: 137146. component of the price of water can, itself, vary in
Wiener, J.B. and Rogers, M.D. (2001). Comparing Precaution structure. It can be a constant amount (such as $0.76
in the United States and Europe. Working Paper August U.S. per cubic meter in Toronto, Canada in 2002) or it
2001–01.
can be variable in the sense that the price charged on
the last unit of consumption either rises or falls with
consumption (these are termed increasing and decreasing
WATER PRICING
block rate structures, respectively). The City of Los
STEVEN J. RENZETTI Angeles, for example, has a very complex rate structure for
Brock University residential consumers; the volumetric component varies by
St. Catharines, Ontario, Canada season, the household’s location, and the quantity of water
consumed (2).
Table 1 provides a snapshot of water prices in
INTRODUCTION different sectors and countries. There are a number
of noteworthy features of the information presented.
First, the information is somewhat fragmentary because
The price of water is measured by the value of the economic information for a number of sectors is not included. Most
resources that must be sacrificed to acquire potable water. national governments do not collect data on water prices
In many cases, this price is easily understood as the in their countries. Second, in many sectors and countries,
number of dollars and cents that must be paid to obtain the price of water is very low. The implications of this
a specific volume of water. In other cases, often in low- observation for the viability of water supply systems
income countries, the price of water is best understood as and for the level of water use are discussed in the next
604 WATER PRICING

Typical municipal water prices *All amounts are in 1992 Canadian dollars. In most
($/1000 liters*) countries, these prices are increasing from year to year.
These figures do not include the cost of waste treatment.

Source: National Utility Service International Water Price

Surveys as published in World Water and Environmental
Engineer.

Canada
$0.40

Norway
U.S.A. $0.46
$0.54

Ireland
$0.68
Sweden
$1.01
Finland
$1.06
U.K.
$1.18

Netherlands
$1.26 France
$1.30

Belgium
$1.45

Australia
$1.57

Germany
$1.72

Figure 1. International comparison of water prices. (Source: Reference 1. Note that 1 Canadian
dollar in 1992 is the approximate equivalent of $0.75 U.S. in 2001).

section. As Dinar and Subramanian (3) point out, within THE FUNCTIONS OF WATER PRICES
any sector, prices may vary by the quantity consumed,
by the type of water use (e.g., what type of crop is In principle, the price of water can play several important
grown), by the time of consumption, and by location. Prices roles. From the viewpoint of society as a whole, the price of
also vary significantly across sectors; industry typically water informs users and suppliers of the value and scarcity
of water. From the viewpoint of the agency supplying
faces the highest prices. Interestingly, prices appear to
water, water prices generate the revenues needed to
differ less across countries than they do across sectors
ensure the financial viability of the agency. From the
within a given country. This may be due to some sectors’
viewpoint of an individual household, farm, or business,
political power that has allowed them to avoid facing water prices inform decision-makers what they must give
the full costs of their water use. Finally, there does not up in exchange for getting water. Thus, it can be seen
appear to be a strong connection between a country’s that water prices play many roles and that they have the
water prices and the scarcity of water in that country. potential for influencing the demand for water, the supply
Canada’s low water prices might be explained, in part, of water, and the allocation of water among competing
by its abundant water supplies, but low water prices are users (4,5).
also observed in water-scarce countries such as Australia To see how the price of water plays these multiple
and Spain. roles, consider the impact of rising water prices (for
 WATER PRICING 605

Table 1. Water Pricesa for Various Sectors and Countries (1996 U.S.$/m3 )b
Country Agriculturec Domesticc Industryc

Algeria 0.019–0.22 0.057–2.7 4.64

Australia 0.0195 0.23–0.54 7.82
Botswana NA 0.28–1.48 NA
Brazil 0.0042–0.032 0.4 NA
Canada 0.0017–0.0019 0.34–1.36 0.17–1.52
France 0.11–0.39 0.36–2.58 0.36–2.16
India NA 0.0095–0.082 0.136–0.290
Israel 0.16–0.26 0.36 0.26
Italy NA 0.14–0.82 NA
Madagascar NA 0.325–1.75 NA
Namibia 0.0038–0.028 0.22–0.45 NA
New Zealand NA 0.31–0.69 NA
Pakistan NA 0.06–0.10 0.38–0.97
Portugal 0.0095–0.0193 0.153–0.529 1.19
Spain 0.0001–0.028 0.0004–0.0046 0.0004–0.0046
Sudan NA 0.08–0.10 0.08–0.10
Tanzania 0.260–0.398 0.062–0.241 0.261–0.398
Tunisia 0.02–0.078 0.096–0.529 0.583
Uganda NA 0.38–0.59 0.72–1.35
United Kingdom NA 0.0095–0.0248 NA
United States 0.0124–0.438 NA NA
a
Prices refer only to the volumetric component. They do not include any connection fees or other charges
not related to the volume of water consumed.
b
A cubic meter is approximately 220 Imperial gallons or 264 U.S. gallons.
c
‘‘NA’’ means that no number was reported in the original source.
Source: Adapted from Table 1.2 in Reference 3.

example, that might be brought on by the increased ASSESSING WATER PRICES

energy needed to pump water from shrinking aquifers).
Water users see increased prices as a signal of the The preceding section indicates that water prices, in
increased costs that result from using an increasingly principle, play a variety of roles, including raising revenue
scarce (and, thus, valuable) resource. Users can then for water utilities and signaling relative scarcity to both
be expected to reconsider their planned water uses suppliers and demanders. Water prices are best able
with an eye to conservation and/or substitution toward to play these roles when they are free to rise and fall
less expensive alternatives. These types of responses according to changes in supply and demand. Furthermore,
can include changing landscaping practices, retrofitting the signal they send will be most informative when
plumbing fixtures, introducing water recycling, and prices accurately reflect the full costs to society of water
investing in more efficient water-using equipment. It is use (including any environmental damage). This section
important to notice that changing water prices, then, can briefly examines how well prices perform these roles.
have an influence on water-use practices and also on the Many researchers and analysts (6,7) are critical of the
use of other goods and services. history and current state of water pricing and argue
From the perspective of water suppliers, rising prices that, in most cases throughout the world, water prices
are a signal that alternative sources of supply are now fail either to reflect accurately the full social costs
more attractive options than previously thought. Securing arising from water use or to fulfill their other functions.
additional water can take the form of reducing system Renzetti (8) demonstrates that municipal water prices in
losses, investing in new technologies (perhaps more Ontario, Canada, often understate the incremental cost
efficient pumps or water meters), extending the water of supply by a factor of 2. Munasinghe (9) examines
collection network, or purchasing or leasing water rights. water pricing in Manila and finds that it underestimates
Rising water prices also provide valuable signals to the cost of supply by failing to reflect declining
other decision-makers in society. Rising water prices groundwater levels. Underpricing water is hardly limited
(and their signal of growing water scarcity) indicate to to municipal water supply systems. Research indicates
government that there is an increasing possibility of that low prices for irrigation water have historically
heightened conflicts among competing water users. As provided significant subsidies to the agricultural sector.
a result, that there may be a need to review the adequacy Roodman (7) asserts that ‘‘The U.S. government spent
of water rights laws and water allocation regulations. In an estimated $45–93 billion more than it earned on
addition, rising water prices are a signal to those firms who public irrigation projects between 1902 and 1986 (in 1995
design and build equipment that delivers or uses water. dollars)’’ (p. 37). These researchers believe that inadequate
These firms will see that there is a stronger incentive water prices are a major factor in many of the problems
to innovate and design improved forms of water-related relating to water management (6,10). These problems
technologies and equipment. include overuse of water, poor system reliability, reduced
606 SPOT PRICES, OPTION PRICES, AND WATER MARKETS

water quality, and the diversion of productive capital to 8. Renzetti, S. (1999). Municipal water supply and sewage
subsidized water projects. treatment: costs, prices and distortions. Can J. Econ. 32(2):
It is sometimes thought that low water prices benefit 688–704.
low-income farmers and households. Unfortunately, this 9. Munasinghe, M. (1992). Water Supply and Environmental
is unlikely to be the case. First, low water prices are an Management: Developing World Applications. Studies in
inefficient way to assist the poor because water generally Water Policy and Management. Westview Press, Boulder,
CO.
makes up a relatively small share of total household
expenditures. In any case, a better option is to design 10. Easter, K.W., Feder, G., Le Moigne, G., and Duda, A. (1993).
Water Resources Management: A World Bank Policy Paper.
water prices so that families who use relatively little
The World Bank, Washington, DC.
water can be given a free allowance of a specific quantity of
water. Second, low water prices often translate into water
agencies that do not have adequate financial resources to
maintain water quality and system reliability. Middle and
SPOT PRICES, OPTION PRICES, AND WATER
high-income households may be able to shield themselves MARKETS
by finding alternative sources of water supply, but the
TERENCE R. LEE
poor can rarely do this. Thus, the general principle is
Santiago, Chile
to set prices so that they may reflect, as fully as is
politically and administratively feasible, the forces of
supply and demand.
Markets in water rights do not operate only for buying
and selling permanent water rights. Using a market
CONCLUSIONS makes available a variety of other tools for increasing
the efficiency of water use. Among the most interesting
This article has examined the nature of water prices and of these tools is the use of spot markets and water use
has demonstrated that the price of water can play an options or future markets. Both alternatives lead to a
important role in many decisions related to the supply broadening of the market and to an increase in the number
and demand of water and to the allocation of other of participants on both the buyer and the seller sides of
scarce resources such as investment capital. Despite this the market. Their use also results in more stable demand
potential, water prices have not played an important part and supply conditions as the market has a larger number
in the history of water management. For example, many of buyers and sellers. They also permit water users to
people remember the building of the Grand Coulee and hedge against changes in the price and availability of
High Aswan dams, but how many know the prices charged water rights and thus eliminate the need to hoard as a
for water in these projects? This lack of attention to hedge against this risk. On the other hand, the use of spot
water pricing has had important consequences. These and option or future markets requires developing storage
include prices that are far below the cost of supply, facilities and interconnected conveyance systems if their
overuse of water, reduced water quality, and the delayed full benefits are to be obtained.
development of water-conserving technologies. Perhaps Spot markets involve the leasing, not the sale of water
because of these conditions, a growing amount of attention rights. The sale of rights is replaced by the sale of water. In
is being directed toward water pricing. a spot market, the water right remains with the owner. The
temporary sale of water in a spot market is a preferred
BIBLIOGRAPHY market response to short-term changes in demand and
supply.
1. Environment Canada (2002). Freshwater website http: Water users may find it advantageous to engage to
//www.ec.gc.ca/water/e main.html. Accessed February 27, engage in a spot market for a variety of reasons. The seller
2002.
has an opportunity to earn revenue in the temporary trade
2. City of Los Angeles Department of Water Services (2002). of surplus water but does not give up any water rights.
Water Rates For Service In The City And County Of
This is particularly useful for accommodating a short-
Los Angeles http://www.ladwp.com/water/rates/sch b.htm.
Accessed February 27, 2002.
term demand for additional water for any use that has a
predictable and fixed life span or for a use of uncertain
3. Dinar, A. and Subramanian, A. (Eds.). (1997). Water Pricing
Experiences: An International Perspective. World Bank
duration. For example, a farmer facing an unexpected
Technical Paper 386, The World Bank, Washington, DC. variation in normal supplies may buy on a spot market
4. Hall, D. (Ed.). (1996). Marginal Cost Rate Design and
when it is not economical to transport water in periods of
Wholesale Water Markets, Advances in the Economics of sufficient water supply. There are, however, examples of
Environmental Resources. Vol. 1. JAI Press, Greenwich, CT. the longer term use of spot markets when a water user is
5. Renzetti, S. (2002). The Economics of Water Demands. Kluwer unable or unwilling to commit the resources necessary to
Academic, Boston. buy a water right.
6. Postel, S. (1996). Forging a sustainable water strategy. In: One example of a permanent spot market, where
State of the World 1996. L. Brown (Ed.). Worldwatch Institute, farmers always pay spot prices for water, is found in
Washington, DC, pp. 40–59. the community of Huerta in Alicante, Spain. Here the
7. Roodman, D.M. (1996). Paying the Piper: Subsidies, Politics ownership of water is separate from the ownership
and the Environment. Research paper 133, WorldWatch of land. Water is distributed by rotation at a fixed
Institute, Washington, DC. rate, approximately the same quantity of water in each
 SPOT PRICES, OPTION PRICES, AND WATER MARKETS 607

successive rotation, and the proportion of water available a prenegotiated fee to a farmer growing annual crops for
to any water right holder varies for each rotation, an option on water supply in the case of drought (6).
depending on the water rights acquired. Before each Options can be and are also used to transfer water
rotation, a notice is posted that announces the date on from agricultural to nonagricultural users; this has been
which the rotation will commence and informs water common practice in the western United States. Dry
rights holders that, within a prescribed period, they should year option contracts are an attractive alternative when
claim their ‘‘albalaes’’ or tickets for this rotation. Once supplies are normally adequate. Options provide supplies
allocated, tickets, available in twelve denominations for during droughts at a cost lower than purchases or leases
a constant supply of water from 1 hour to 1/3 minute, of water rights.
are freely tradable in a public auction and an informal Options are particularly attractive because the buyer
market. The community makes a genuine effort to provide secures long-term water supplies and the seller receives
information to farmers so they can buy and sell water compensation for the option, including the income lost
intelligently; there are brokers who facilitate trading. A when the option is exercised. For the buyer of an option,
simulation model comparison of this system with those the contract also provides a means of obtaining additional
found elsewhere in Spain, where trading is not permitted, water supply, under predetermined conditions, and at a
indicated that the spot market approach adopted in specified price.
Alicante is the most efficient in terms of net increases in Option contracts are, however, complex. The contract
regional income. The differences are not great for moderate must address the risk to the buyer that the water right
will not be available when the time comes to exercise the
water shortages but are significant in conditions of severe
option. The establishment of an option contract limits the
water shortage (1).
rights of the owner of the water right to sell. This issue
In a typical spot market contract, the buyer pays
can be addressed by including in the contract the ‘‘right of
the owner of the water right, generally in periodic
first refusal’’ which allows the seller to retain the option
installments, but there can also be an up-front payment
of selling the right, but gives the option holder the right
to initiate the sale. Such contracts are often renewable.
to match the offered price (7). Moreover, to produce the
The length of a contract in irrigation districts is typically
greatest benefits, options require long-term contractual
a single season. Contracts can be, however, very short,
commitments, up to 20 or more years, which can introduce
sometimes for as little as a few hours. In the short run, many uncertainties into the arrangement.
spot prices usually provide a source of water cheaper than Option contracts can include payments adjusted over
the purchase of a permanent water right, but water on a time to allow for changes in water use, production costs,
spot market can and will fluctuate in price. The supply technology, and other conditions. Alternative methods of
is secure only for the period of the contract. There is also charging can be used; a lump sum, annual payments,
an expense in the constant renewal costs for those who or a combination of annual payments with a lump sum
depend on short-term purchases in a spot market. when the option is exercised. The latter is a particularly
By providing immediate access to water, spot markets attractive alternative, because neither party needs to
can, however, accommodate the most varying needs. The anticipate fully the number of times the option will be
flexibility of spot markets makes them an attractive option exercised over the contract period (8). The holders of
for many users, and they are often very active, particularly water rights on which option contracts have been agreed
among neighboring water rights holders in irrigation to can also be compensated in kind, for example, by lower
districts, even where markets in permanent rights have rates for the option holder’s production; as in irrigation
not been established. Spot purchases, often informal, are to hydroelectricity generation transfers, farmers can be
usually the predominant form of market transactions, compensated by lower electricity rates.
whether or not a formal market exists.
In Chile, seasonal spot purchases of water have been
BIBLIOGRAPHY
a much more active form of water reallocation than
water rights sales (2). The most common transaction 1. Maass, A.R. and Anderson, R.L. (1978). . . . and the Desert Shall
is an arrangement between neighboring farmers whose Rejoice: Conflict, Growth, and Justice in Arid Environments.
water requirements differ through the cropping cycle (3,4). MIT Press, Cambridge, MA.
Spot trading between neighbors is easier because it does 2. Chile, Trabajo de Asesorı́a Económica al Congreso Nacion-
not require investment in storage facilities or elaborate al, ‘Nuevo proyecto de modificación al Código de Aguas’,
systems of interconnection between canal systems. In (1996). Trabajo de Asesorı́a Económica al Congreso Nacion-
California, as well, water marketing is characterized by 0al, No. 74, December, Programa de Postgrado en Economı́a,
an emphasis on seasonal spot markets, although there ILADES/Georgetown University.
are good facilities for transferring water over very large 3. Gazmuri, R. (1994). Chile’s market-oriented water policy:
institutional aspects and achievements. In: Water Policy and
distances (5).
Water Markets. Selected papers and proceedings from the
Option prices are based on longer term agreements to World Bank’s Ninth Annual Irrigation and Drainage Seminar,
lease, or sometimes, but less commonly, to sell a water Annapolis, Maryland, December 8–10, 1992. G. Le Moigne,
right. The option is taken up when a given event occurs, K.W. Easter, W.J. Ochs, and S. Giltner (Eds.). Technical Paper
typically a drought. There are examples of the use of Number 249, The World Bank, Washington, DC.
options in both the United States and in Chile. A typical 4. Gazmuri, R. and Rosegrant, M.W. (1994). Chilean Water Pol-
arrangement in Chile is the payment by a fruit farmer of icy: The Role of Water Rights, Institutions, and Markets.
608 WATER MANAGED IN THE PUBLIC TRUST

Tradable water rights: experiences in reforming water allo- were part of a ‘‘negative community’’ of things that could
cation policy by M.W. Rosegrant and R. Gazmuri, Irrigation not be owned but could be used under regulation to ensure
Support Project for Asia and the Near East. vital common resources were not exploited (1). A later
5. Howitt, R.E. (1997). Initiating Option and Spot Price Water example is the Magna Carta signed in 1215, granting
Markets: Some Examples from California, Seminar on Eco- guaranteed liberties to the people that not even King John
nomic Instruments for Integrated Water Resources Man- or future kinds could overrule. Because of its importance
agement: Privatization, Water Markets and Tradable Water
to fisheries, commerce, and navigation, the public trust
Rights. Proceeding, Inter-American Development Bank, Wash-
ington, DC.
doctrine in America was initially used at federal and state
levels only to apply to waterways, but court rulings since
6. Thobani, M. (1997). Formal Water Markets: Why, When
and How to Introduce Tradable Rights in Developing
then have expanded the public trust to include many other
Countries, Seminar on Economic Instruments for Integrated environmental issues, such as protection of ecosystems,
Water Resources Management: Privatization, Water Markets recreation like swimming and boating, preservation of
and Tradable Water Rights. Proceedings, Inter-American views (scenic values), habitat (wildlife values), open space,
Development Bank, Washington, DC. and beaches (2). Some states have taken a step further to
7. Michelsen, A.M. and Young, R.A. (1993). Optioning agricul- apply the public trust to nonenvironmental issues, such
tural water rights for urban water supplies during droughts. as historical sites; civic sites or economically important
Am. J. Agric. Econ. 73: 4. areas, such as aging downtown districts; or economic
8. Hamilton, J.R., Whittlesey, N.K., and Halverson, P. (1989). development such as tearing down old, low value single
Interruptible water markets in the Pacific Northwest. Am. homes to be replaced with many more valuable units, such
J. Agric. Econ. 71: 1. as expensive condos.
Consequently, the public trust has evolved from rules
for equitably sharing the natural ‘‘commons’’ of the land to
WATER MANAGED IN THE PUBLIC TRUST case law expanding the multiple uses of water resources,
as well as rules looking at any social or economic good that
LAUREL PHOENIX could be said to advance the public welfare.
Green Bay, Wisconsin

HOW IS WATER ‘‘MANAGED’’?

Managing water in the public trust requires considering
the water demand of current and future citizens as well Water resources management has been defined as ‘‘the
as that of ecosystems, fish, and wildlife. This presumes application of structural and nonstructural measures to
that water will be managed sustainably for human and control natural and man-made water resources systems
ecosystem benefit, despite the fact that ecosystems have for beneficial human and environmental purposes’’ (3).
no voice in the political process. To understand how Structural facilities include wells, dams, diversion struc-
complicated it is to accomplish this, the definition and tures, pipes, pumps, treatment plants, and hydroelectric
history of the public trust is examined. Next, water plants. Nonstructural measures are economic incentives,
management is briefly described to contrast current water regulations, public education, and planning. Numerous
management methods with the finesse that managing individuals, agencies, and jurisdictions are involved in
water in the public trust would require. Finally, some these structural and nonstructural components. Beyond
of the difficulties of achieving this in a world of rising this complexity, water managers must concomitantly
demand and finite resources are highlighted, followed by address needs for navigation, municipal water supply,
a set of principles describing government obligations to irrigation, fishing, industrial use, hydropower, recreation,
uphold human rights. public access, and traditionally sacred sites, among others.
Water must also be managed to protect ecosystems, fish,
and wildlife and should not be unsustainably used to the
WHAT IS THE PUBLIC TRUST? detriment of future generations.
In America, water resources management is a frag-
The public trust is an enduring doctrine obligating mented collection of federal, state, and local laws managed
government to manage natural resources in the best by numerous and sometimes competing agencies, water
interests of its citizens. Because some vital natural districts, ditch companies, acequias, and so on. There
resources like oceans, air, and wildlife cannot be owned in are a haphazard mix of treatment and pollution laws
the same way a person can hold a property interest in land, at the federal level, water allocation laws at the state
it is the responsibility of government to hold ownership level, and sporadic conservation laws at some local lev-
over these common resources in trust for its citizens, so els when supplies run low. It is complicated further by
that their use may be regulated to ensure universal access outdated international treaties and interstate compacts.
and prevent their overuse or degradation. Some states permit, measure, and track individual water
use, and others do not.
HISTORY OF THE PUBLIC TRUST Two reasons for this lack of a more organized and
efficient water management system are (1) a long history,
The common law doctrine in European history is first until recently, of having enough water to meet the needs of
attributed to the Roman Emperor Justinian, who declared most users and (2) a variety of political influences on water
in 533–534 B.C.E. that running water, seas, and wildlife management decisions. First, competing human uses will
 WATER MANAGED IN THE PUBLIC TRUST 609

have great influence in politics, whereas ecosystems or 1. The obligation to respect means no interference with
future generations have few advocates. Second, of the anyone’s current access to water. Nations could no
current competing uses, some interest groups have more longer be:
political power than others, so water may be inequitably
or inefficiently managed, allocated, and used. Third, of ‘‘engaging in any practice or activity that denies or
the current competing uses, some are mutually exclusive limits equal access to adequate water;
in that they cannot happen at the same time in the same artibrarily interfering with traditional arrange-
location, causing more conflict and subsequent pressure on ments for water allocation;
water managers. For example, building a dam on a prime
salmon run damages their ability to spawn, reducing their unlawfully polluting water;
populations by 80–90%. Another incompatible use of a limiting access to, or destroying, water services and
stream or lake is jet skiing and fishing. Fourth, political infrastructure.’’
influences can cause the best science to be ignored, so, for
example, irrigators will get the water they want even after 2. The obligation to protect means protecting citizens’
biologists predict large fish kills will result (e.g., Klamath access to water from third parties, such as warring
River fish kills of 2002–2003). Fifth, politicians and other clans or multinational water companies. Nations
decision-makers will be pressured to make decisions with would need to:
short-term benefits, ignoring long-term solutions. Finally,
land use decisions, usually made at a local level, rarely ‘‘adopt the necessary and effective legislative
are made with the goal of preserving/protecting water and other measures to restrain third parties
resources. Thus, there are small but cumulative negative from denying access to adequate water and
effects on surface and ground water everywhere. from polluting and inequitably extracting from
water resources;
MANAGING WATER IN THE PUBLIC TRUST prevent third parties from compromising equal,
affordable, and physical access to sufficient and
Managing water in the public interest, therefore, would safe water where water services are operated or
be a complex and deliberate allocation of water resources controlled by third parties.’’
to meet the requirements of as many uses as possible,
consistent with protecting the resources from pollution 3. The obligation to fulfill means government would
and allocating some water for users with no political voice need to institute laws and policies to ensure that
(e.g., ecosystems and future generations)—a Sisyphean every citizen finally had equal access to water. This
task. (Punished for his misdeeds, the Greek Sisyphus was could be, for example, ‘‘legislative implementation,
condemned by the gods to rolling a large boulder up a hill adoption of a national water strategy and plan of
for eternity, only to have it roll back down again and force action to realize this right while ensuring that water
him to start over.) This is complicated enough, but how is is affordable and available for everyone.’’
this to be done in a world with a fixed amount of water
but rapidly growing and often impoverished populations? This framework of respect, protect, and fulfill would
Already there is evidence of a current global crisis of not use structural and nonstructural measures, but the goals
enough water to meet human demand. If over 1.1 billion and responsibilities would be more clearly defined than
people have no access to safe drinking water today (4),
they are now, driving the laws, policies, and choices for
and water conflicts have already been mapped over a large
governmental expenditures.
part of the world (5), how can water be wisely managed
to provide for the larger populations predicted for the
future? There are 6.4 billion people on the Earth now, and FUTURE CHALLENGES
by 2050 there will be 9.3 billion (6). Can technological and
regulatory improvements produce enough water for these
A world where water is managed in the public trust will
future generations? Besides the inevitable greater demand
require major changes. First, it will need governments
from additional people, water managers will also have to
responsive to and under the control of their citizens,
prepare for climate changes that could alter the historic
where there is full public participation and transparency
precipitation and evaporation rates of different regions.
in decision-making regarding equitable allocation of water
Set with such a task, where do we start?
and effective pollution control. Prioritization will then
need to be established in advance to deal with a triaged
GOVERNMENTAL OBLIGATIONS TO MANAGE WATER IN allocation strategy in times of scarcity. Nonpoint and
THE PUBLIC INTEREST point sources of pollution will need to be far more
rigorously monitored to prevent drinking water and
The United Nations has set some guidelines for how habitat degradation. We will no longer be able to pollute
governments can fulfill their obligations to their people to with impunity. And finally, inefficient consumption across
support their human rights. These directives of ‘‘respect, all human uses, domestic, municipal, industrial, and
protect, fulfill’’ were applied to water to give examples of agricultural will need to be replaced with the most careful
these governmental obligations (7): consumption, as water becomes increasingly precious.
610 WATER RECYCLING AND REUSE: THE ENVIRONMENTAL BENEFITS

BIBLIOGRAPHY WHAT IS WATER RECYCLING?

1. Getches, D.H. (1997). Water Law in a Nutshell, 3rd Edn. West Recycle: verb 1.a. To recover useful materials from
Publishing, St. Paul. garbage or waste, b. To extract and reuse.
2. Bray, P. (2004). An Introduction to the Public Trust Doc- While recycling is a term generally applied to aluminum
trine. Government Law Center, Albany Law School, 80 cans, glass bottles, and newspapers, water can be
New Scotland Ave., Albany, NY 12208. Available at recycled as well. Water recycling is reusing treated
http://www.responsiblewildlifemanagement.org/an wastewater for beneficial purposes such as agricultural
introduction to public trust doctrine.htm. and landscape irrigation, industrial processes, toilet
3. Grigg, N.S. (1996). Water Resources Management: Principles, flushing, and replenishing a groundwater basin (referred
Regulations, and Cases. McGraw-Hill, New York. to as groundwater recharge). Water is sometimes recycled
4. Intergovernmental Council of the IHP. IHP contribution to and reused onsite; for example, when an industrial facility
the World Water Assessment Programme (WWAP). Document recycles water used for cooling processes. A common
# SC.2004/CONF.203/CLD.32; IHP/IC-XVI/INF.19.
type of recycled water is water that has been reclaimed
5. Basins at Risk Project. A study by Dr. Aaron Wolf with from municipal wastewater, or sewage. The term water
maps. Available at http://www.transboundarywaters.orst.edu/
recycling is generally used synonymously with water
projects/bar/.
reclamation and water reuse.
6. The world population highlights (2004). Available at
Through the natural water cycle, the earth has recycled
http://www.prb.org/.
and reused water for millions of years. Water recycling,
7. Scanlon, J., Cassar, A., and Nemes, N. (2004). Water as a
though, generally refers to projects that use technology to
Human Right? IUCN Environmental Policy and Law Paper
# 51. International Union for Conservation of Nature and
speed up these natural processes. Water recycling is often
Natural Resources (IUCN), p. 22. characterized as ‘‘unplanned’’ or ‘‘planned.’’ A common
example of unplanned water recycling occurs when cities
draw their water supplies from rivers, such as the Colorado
WATER RECYCLING AND REUSE: THE River and the Mississippi River, that receive wastewater
discharges upstream from those cities. Water from these
ENVIRONMENTAL BENEFITS
rivers has been reused, treated, and piped into the water
supply a number of times before the last downstream user
Environmental Protection withdraws the water. Planned projects are those that are
Agency developed with the goal of beneficially reusing a recycled
water supply.

HOW CAN RECYCLED WATER BENEFIT US?

Recycled water can satisfy most water demands, as

long as it is adequately treated to ensure water quality
appropriate for the use. Figure 1 shows types of treatment
processes and suggested uses at each level of treatment. In
uses where there is a greater chance of human exposure
to the water, more treatment is required. As for any
water source that is not properly treated, health problems
could arise from drinking or being exposed to recycled

The Experience at Koele Golf Course, on the Island of Lanai, has

used recycled water for irrigation since 1994. The pond shown is
recycled water, as is all the water used to irrigate this world-class
golf course in the state of Hawaii.

‘‘Water recycling is a critical element for managing our water

resources. Through water conservation and water recycling,
we can meet environmental needs and still have sustainable
development and a viable economy.’’
—Felicia Marcus, Regional Administrator

This article is a U.S. Government work and, as such, is in the The Palo Verde Nuclear Generating Station, located near Phoenix,
public domain in the United States of America. Arizona, uses recycled water for cooling purposes.
 WATER RECYCLING AND REUSE: THE ENVIRONMENTAL BENEFITS 611

control, construction activities, concrete mixing, and

artificial lakes.
Although most water recycling projects have been
developed to meet nonpotable water demands, a number of
projects use recycled water indirectly for potable purposes.
(Indirect potable reuse refers to projects that discharge
recycled water to a water body before reuse. Direct
potable reuse is the use of recycled water for drinking
purposes directly after treatment. While direct potable
reuse has been safely used in Namibia (Africa), it is
not a generally accepted practice in the United States.)
These projects include recharging groundwater aquifers
and augmenting surface water reservoirs with recycled
water. In groundwater recharge projects, recycled water
Figure 1. While there are some exceptions, wastewater in the
can be spread or injected into groundwater aquifers
United States is generally required to be treated to the secondary to augment groundwater supplies, and to prevent salt
level. Some uses are recommended at this level, but many common water intrusion in coastal areas. For example, since
uses of recycled water such as landscape irrigation generally 1976, the Water Factory 21 Direct Injection Project,
require further treatment. located in Orange County, California, has been injecting
highly treated recycled water into the aquifer to prevent
salt water intrusion, while augmenting the potable
groundwater supply.
While numerous successful groundwater recharge
projects have been operated for many years, planned
augmentation of surface water reservoirs has been less
common. However, there are some existing projects and
others in the planning stages. For example, since 1978, the
upper Occoquan Sewage Authority has been discharging
recycled water into a stream above Occoquan Reservoir, a
potable water supply source for Fairfax County, Virginia.
In San Diego, California, the Water Repurification Project
is currently being planned to augment a drinking water
reservoir with 20,000 acre-feet per year of advanced
treated recycled water.

WHAT ARE THE ENVIRONMENTAL BENEFITS OF WATER

The Irvine Ranch Water District provides recycled water for RECYCLING?
toilet flushing in high rise buildings in Irvine, California. For new
buildings over seven stories, the additional cost of providing a In addition to providing a dependable, locally controlled
dual system added only 9% to the cost of plumbing. water supply, water recycling provides tremendous
environmental benefits. By providing an additional source
water if it contains disease-causing organisms or other
contaminants.
The U.S. Environmental Protection Agency regulates
many aspects of wastewater treatment and drinking water
quality, and the majority of states in the United States
have established criteria or guidelines for the beneficial
use of recycled water. In addition, in 1992, EPA developed
a technical document entitled ‘‘Guidelines for Water
Reuse,’’ which contains such information as a summary
of state requirements, and guidelines for the treatment
and uses of recycled water. State and federal regulatory
oversight has successfully provided a framework to ensure
the safety of the many water recycling projects that have
been developed in the United States.
Recycled water is most commonly used for nonpotable
(not for drinking) purposes, such as agriculture, landscape,
public parks, and golf course irrigation. Other nonpotable For over 35 years, in the Montebello Forebay Groundwater
applications include cooling water for power plants and Recharge Project, recycled water has been applied to the Rio
oil refineries, industrial process water for such facilities Hondo spreading grounds to recharge a potable groundwater
as paper mills and carpet dyers, toilet flushing, dust aquifer in south-central Los Angeles County.
612 WATER RECYCLING AND REUSE: THE ENVIRONMENTAL BENEFITS

In California, Mono Lake’s water quality and natural resources Recycled water has been used for a number of years to
were progressively declining from lack of stream flow. In 1994, irrigate vineyards at California wineries, and this use is
the Los Angeles Department of Water and Power was required to growing. Recently, Gallo Wineries and the City of Santa Rosa
stop diverting one-fifth of the water it historically exported from completed facilities for the irrigation of 350 acres of vineyards
the basin. The development of water recycling projects in Los with recycled water from the Santa Rosa Subregional Water
Angeles has provided a way to partially offset the loss of Mono Reclamation System.
Basin water, and to allow the restoration of Mono Lake to move
ahead. Copyright 1994, Mono Lake Committee. WATER RECYCLING DECREASES DISCHARGE TO
SENSITIVE WATER BODIES
of water, water recycling can help us find ways to In some cases, the impetus for water recycling comes not
decrease the diversion of water from sensitive ecosystems. from a water supply need, but from a need to eliminate or
Other benefits include decreasing wastewater discharges decrease wastewater discharge to the ocean, an estuary,
and reducing and preventing pollution. Recycled water or a stream. For example, high volumes of treated
can also be used to create or enhance wetlands and wastewater discharged from the San Jose/Santa Clara
riparian habitats. Water Pollution Control Plant into the south San Francisco
Bay threatened the area’s natural salt water marsh. In
WATER RECYCLING CAN DECREASE DIVERSION OF response, a $140 million recycling project was completed
FRESHWATER FROM SENSITIVE ECOSYSTEMS in 1997. The South Bay Water Recycling Program has the
capacity to provide 21 million gallons per day of recycled
Plants, wildlife, and fish depend on sufficient water flows to water for use in irrigation and industry. By avoiding the
their habitats to live and reproduce. The lack of adequate conversion of salt water marsh to brackish marsh, the
flow, as a result of diversion for agricultural, urban, habitat for two endangered species can be protected.
and industrial purposes, can cause deterioration of water
RECYCLED WATER MAY BE USED TO CREATE OR
quality and ecosystem health. Water users can supplement
ENHANCE WETLANDS AND RIPARIAN (STREAM)
their demands by using recycled water, which can free
HABITATS
considerable amounts of water for the environment and
increase flows to vital ecosystems. Wetlands provide many benefits, which include wildlife
and wildfowl habitat, water quality improvement, flood
diminishment, and fisheries breeding grounds. For
streams that have been impaired or dried from water
diversion, water flow can be augmented with recy-
cled water to sustain and improve the aquatic and
wildlife habitat.

WATER RECYCLING CAN REDUCE AND PREVENT

POLLUTION

When pollutant discharges to oceans, rivers, and other

water bodies are curtailed, the pollutant loadings to these
bodies are decreased. Moreover, in some cases, substances
that can be pollutants when discharged to a body of water
can be beneficially reused for irrigation. For example,
recycled water may contain higher levels of nutrients, such
as nitrogen, than potable water. Application of recycled
Incline Village, Nevada, uses a constructed wetland to dispose water for agricultural and landscape irrigation can provide
of wastewater effluent, expand the existing wetland habitat for an additional source of nutrients and lessen the need to
wildlife, and provide an educational experience for visitors. apply synthetic fertilizers.
 STATE AND REGIONAL WATER SUPPLY 613

resources within a watershed ecosystem, centered on

water quantity and water quality. Driven bottom-up by
local needs and priorities and top-down by regulatory
responsibilities, it must be adaptive, evolving dynamically
as conditions change (1). Water resource spatial and polit-
ical scales range from local/municipal, subregional, state,
regional (multistate), national, multinational (‘‘regional’’
in a global sense) to continental and global. Large water-
sheds occupy state and regional spatial scales, presenting
considerable challenges for IWM and water supply, in par-
ticular, because of the number and diversity of human
consumers and biodiverse habitat needs.
A watershed spatial scale is often used by ecologists to
analyze species distribution and biogeochemical cycling.
Watersheds can be characterized by the proportions of
land area taken up by five main land use/land cover
At West Basin Wastewater Treatment Plant in California, reverse
categories (2): urban land, agricultural land, rangeland,
osmosis, an advanced treatment process, is used to physically and
electrostatically remove impurities from the wastewater.
forestland, and water. It is arguable whether a watershed
or ecoregion scale (region of relative homogeneity based on
soil, climate, and vegetative criteria) is most appropriate
WHAT IS THE FUTURE OF WATER RECYCLING? for managing water quality and aquatic habitats (2). Even
in terms of water stocks and flows, the differences between
Water recycling has proved to be effective and successful
precipitation and evapotranspiration in one watershed
in creating a new and reliable water supply, while not
that determine the runoff and infiltration that can be used
compromising public health. Nonpotable reuse is a widely
for water supply are influenced by regional climatic and
accepted practice that will continue to grow. However,
hydrological processes.
in many parts of the United States, the uses of recycled
Water has many users and uses: drinking, industrial
water are expanding in order to accommodate the needs
processing, irrigation, hydroelectricity, cooling water for
of the environment and growing water supply demands.
power plants, and recreation (swimming and fishing).
Advances in wastewater treatment technology and health
It also satisfies the needs of nonhuman species and
studies of indirect potable reuse have led many to predict
participates in hydrogeochemical cycles and climate.
that planned indirect potable reuse will soon become
Competing uses can be sources of conflict, especially
more common.
when supplies are scarce or degraded by pollution. For
While water recycling is a sustainable approach and
example, using a river for industrial processing upstream
can be cost-effective in the long term, the treatment of
may conflict with its use as a drinking water supply
wastewater for reuse and the installation of distribution
downstream if toxic discharges are significant. On a
systems can be initially expensive compared to such water
state and regional scale, the number of users and
supply alternatives as imported water or groundwater.
competing uses increases, and successful water supply
Institutional barriers, as well as varying agency priorities,
depends on effective communication and negotiation
can make it difficult to implement water recycling projects.
among constituencies. Just as in small watersheds,
Finally, early in the planning process, agencies must
conflicts in one portion can affect other portions.
implement public outreach to address any concerns and to
The state and regional hydrographic area becomes
keep the public involved in the planning process.
an operational unit of analysis when water supply and
As water demands and environmental needs grow,
wastewater sanitation are administered on this scale;
water recycling will play a greater role in our overall
this means that policies and practices are carried out
water supply. By working together to overcome obsta-
on a geopolitical scale larger than a municipality or a
cles, water recycling, along with water conservation, can
subregional watershed. Such is the case in many countries,
help us to conserve and sustainably manage our vital
like France, Mexico, parts of the United States, and the
water resources.
United Kingdom. Examples of regional approaches are
(1) in France, six water agencies administer the six large
STATE AND REGIONAL WATER SUPPLY hydrographic regions of the country; (2) in the United
States, examples of regional management include the
TIMOTHY J. DOWNS Great Lakes Commission and the Ohio River Valley Water
Clark University Sanitation Commission; and (3) in Mexico, Watershed
Worcester, Massachusetts Councils administer 26 hydrographic regions; several have
portions of two or three states.
INTRODUCTION Much of the emphasis on regional watershed protection
in the United States focuses on pollution and water
Integrated watershed management (IWM) seeks to com- quality, which directly impacts water supply sources and
bine interests, priorities, and disciplines as a multistake- calls for an approach based on risk assessment. For
holder planning and management process for natural example, in the Mid-Atlantic region (consisting of 18 U.S.
614 STATE AND REGIONAL WATER SUPPLY

Geological Survey hydrologic units), the Environmental • capacity and willingness to use appropriate partic-
Protection Agency (EPA) is coordinating efforts to identify ipatory methods involving different stakeholders at
watersheds that make the most significant contribution different stages of a project (preplanning/conceptual,
to pollution (2). The GIS is employed to model the planning and design, implementation, maintenance,
relationships between water quality indicators and land monitoring, and evaluation);
use/land cover. Water resources management on a state • ability to reward innovation and adapt to changing
or regional scale is sensitive to the resolution of data conditions and priorities.
gathered and the spatial scale on which predictive models
are run and boundaries for analysis set. The pollution of Federal, state, and regional laws and regulations are
lakes and rivers by nutrients and sediment from nonpoint crucial instruments that help us respond to the challenge
sources (NPS), it has been shown, is well predicted by land of water sustainability. Such responsive legal instruments
use/land cover patterns (2). Two management strategies should do the following (after Ref. 5):
are employed to manage NPS pollution: (1) planning
and source reduction, for example, limiting impervious • Encourage administration at the appropriate
surfaces, keeping grazing animals out of streams; and hydrological scale: watershed, multiwatershed or
(2) structural and best management practices (BMPs), for aquifer system.
example, vegetative borders, conservation tillage.
• Foster internalization of the values and ethics of
Water supply on a state and regional hydrographic
sustainable resource development.
scale requires drawing up plans that address the fol-
lowing (3): inter- and intra-agency coordination, technical • Encourage integrated approaches to water supply
assistance to local agencies and the public, public par- and sanitation, ecology, and public health.
ticipation, and program boundaries (e.g., coastal zones • Prevent water allocation and usage policy making
must include watersheds contributing NPS pollution). from fragmenting among agencies.
And specifically NPS pollution control programs must • Promote integrated appraisals, notably environmen-
address (3) urban sources of pollution, marinas and boats, tal, economic, and sociopolitical impacts assessment
agricultural sources of pollution, forestry, hydromodifica- of alternative actions.
tion, and wetlands. • Encourage integrated capacity strengthening of gov-
ernmental institutions, NGOs, community associa-
tions, and businesses to transition into more sustain-
INSTITUTIONAL STRUCTURE
able policies and practices and work collaboratively.
• Enforce reward and penalty incentives that encour-
Howe (4) has identified key water management require-
age sustainability.
ments for a watershed/multiwatershed scale: (1) coordi-
nated management of surface water and groundwater
resources, (2) coordinated management of both water WATER SUPPLY PLANNING AND MANAGEMENT
quantity and water quality, (3) provision of incentives
for greater economic and technical efficiencies in water These are the five categories of human consumption (6):
use, and (4) protection of public values associated with
water service (e.g., reliable, safe, clean, affordable supply). 1. domestic (in-house and out-of-house);
To achieve this, the water institutions must develop the
2. industrial (e.g., factories, power stations), commer-
following characteristics (after Ref. 4):
cial (e.g., shops and hotels), and institutional (e.g.,
hospitals, schools);
• the capacity to coordinate water plans with other
3. agricultural (e.g., farms, crops, livestock);
agencies (e.g., urban planning, agriculture, public
health, environment, industrial); 4. public (e.g., parks, fire fighting, sewer flushing;
• the capacity to solve water problems creatively using 5. Losses—distribution losses, consumer wastage,
a variety of options and approaches (e.g., laws, metering errors, and/or unrecorded consumption.
pricing, taxes, tradeable supply and/or pollution
permits, subsidies); Table 1 shows the water supply categories used by the
U.K. National Rivers Authority for watershed and regional
• the foresight to separate roles and responsibilities for
multiwatershed planning and the principal demand
water resource planning and management activities
considerations.
from construction activities (i.e., avoid conflicts
For state and regional water supply that may
of interest);
include several watersheds and aquifers, coordinating
• the multidisciplinary capacity to undertake multi- the forecasting of demand is essential for sustainable
criteria/multiobjective planning and evaluation of supply. Forecasting beyond 15 years is highly uncertain;
alternatives; so for longer time frames, we employ scenario projections
• devolve decision-making power to the lowest that ask the question: If these conditions or assumptions
level—national, state/regional (provincial), local apply (e.g., a certain population growth rate, unit demand,
or municipal—consistent with the scale of the supply losses), then what will the future water demand
water issue; be? The estimation of demand involves (6):
 STATE AND REGIONAL WATER SUPPLY 615

Table 1. Regional Water Use Categories Employed by the U.K. National Rivers Authority and Demand Considerations
Use Category Typical Uses Demand Considerations

Drinking water supply Municipal water supply (surface and/or Population levels, growth rates and
groundwater; private wells) consumption patterns, pricing and wastage
Industrial water supply Process water supply; cooling waters Production process technologies and efficiencies
Agricultural water supply Irrigation waters; livestock watering; milkhouse Cropland area and crop types and cultivation
wash water; livestock housing wash water methods; livestock populations; dairy
production
Flood control Impoundment of high flows for controlled Flood risks, especially in the floodplain;
release; construction of dams, reservoirs, seasonality and intensity of rainfall and
levees, channel protection snowmelt; vegetative buffers
Thermal power generation Cooling waters; settling pond waters; water for Thermal cycle efficiency; power demand and
pipe flushing and maintenance scheduling; capacity
Hydroelectric power generation Impoundment of water for power generation; Minimum head required for expected power
construction of dams and reservoirs; pumping generation
and drawdown of water levels
Navigation Recreational boating; commercial transport Minimum depths and flows required for safe
shipping; commercial tourist shipping passage
Water-based recreation Recreational fishing; boating; swimming; hiking, Cultural values, including water odor and color,
picnicking; nature enjoyment (e.g., bird nature appreciation; seasonality of recreation;
watching); aesthetic enjoyment numbers of recreators; laws
Fish and wildlife habitat Aquatic and riparian habitats; protection of Sensitivity of species to disturbance; ecosystem
community structure; protection of rare and type; types and intensities of stressors (e.g.,
endangered species water loss, pollution)
Water quality management Protection of minimal flows for water quality Magnitude, duration and frequency of waste
preservation; low-flow augmentation from flows; point or nonpoint sources; types and
reservoirs; assimilation of waste discharges toxicities of contaminants; health risks to
from municipalities and industries; humans and other species
assimilation of storm and combined sewer
discharges
Source: After References 7 and 8.

1. plotting the population trend for the past Water can be supplied, and demand can be met by
10–20 years and estimating the proportion likely one or a combination of the following options: (1) surface
to be due to immigration and that due to natural freshwater withdrawal (lakes, reservoirs, rivers and
increase (births minus deaths); streams), (2) saltwater desalination, (3) groundwater
2. dividing the supply area into different socioeconomic withdrawal (springs and aquifers), (4) rainfall harvest-
classes of domestic use; ing, (5) wastewater reuse, and (6) demand management
3. estimating the typical domestic consumption per (efficiency measures and absolute reduction). For the lat-
capita in each class; ter, pricing water equitably is an important consideration,
and it has been postulated that there is a inverse power
4. seeking values of future immigration and natural
relationship between demand (Q) and price (P), such
increase for the different classes of housing;
that (6)
5. Estimating distribution pipe loss rates, consumer
Q = k P−x (2)
wastage, and unsatisfied demand;
6. Estimating the growth in industrial, commer- where k is a constant and x is the elasticity between Q
cial, and service demands (a function of popula- and P.
tion growth); In addition, in developing countries, the price of water
7. Estimating growth in agricultural demand, hydro- must be tiered according to ability to pay, such that the
electric demand, and public and ecosystem mainte- poorest people (those at a subsistence level without surplus
nance demand. income) are fully subsidized, whereas high-end consumers
(more than 300–400 liters/person/day) pay the most and
Equation 1 is the general supply equation for any bounded have a financial incentive to reduce their consumption.
area (6).

Total supply = total legitimate potential demand REGIONAL WATER TREATMENT AND DISTRIBUTION
+ consumer wastage + distribution
Water treatment technologies seek to produce adequate
losses − unsatisfied demand and continuous supplies of water that are of sufficient qual-
ity—chemically, microbiologically, and aesthetically—for
= water supply unreturned
their intended uses. Treatment consists of a series of phys-
+ wastewater return (1) ical and chemical unit processes that are designed as a
616 STATE AND REGIONAL WATER SUPPLY

function of the source and quality of the raw water, the one supplied by a service reservoir and/or tower (9). On a
required water quality produced, and the throughput (or regional and state scale, the planning and management
flow rate). A typical full water treatment system consists of of such an infrastructure must be carefully coordinated
eight stages (9): (1) intake, (2) pretreatment (e.g., screen- to meet the growing demands of a diverse set of users.
ing, neutralization, aeration); (3) primary treatment (e.g., In times of drought, regional water supply is severely
coagulation, flocculation, sedimentation); (4) secondary tested, and the risk of drought must be addressed with
treatment (rapid and slow sand filtration); (5) disinfection a careful regional provision of adaptive reserve storage
(e.g., chlorination or ozonation); (6) advanced treatment and aggressive water conservation strategies that penalize
(activated carbon, membrane diffusion); (7) fluoridation; nonessential use.
and (8) distribution.
On a state and regional scale, sufficient water
treatment capacity must be built and planned for using WATER SUPPLY IN DEVELOPING COUNTRIES
regional demand forecasting. The location of water
treatment plants depends on the location of the source Table 2 summarizes the sources, decision criteria, delivery
of raw water, the location of the users, and whether or methods, and levels of service for water supply in
not it is more cost-effective to build a few large plants to developing countries. Three main factors affect the choice
serve the region or a network of smaller local plants. This of water supply in developing countries (11):
treatment plant spatial configuration will also determine,
and be determined by, the distribution system design. • institutional—land tenure, administrative structure,
The distribution system consists of a network of pipes (9): finance level;
(1) trunk mains that bring large flows from the source
• population—demography, size, growth rate, socioe-
to the treatment plant and then to storage reservoirs
conomic levels, attitudes, and behaviors;
or towers; and (2) distribution mains that deliver water
from the service storage to the users, a highly branched • technical—scale, geophysical conditions, urban lay-
network. Service reservoirs and water towers cope with out, alternatives, resources.
the diurnal variation in demand by satisfying peak
demand, supplementing the average daily flows. Service For the rural subsistence poor, the main water supply
reservoirs must be able to satisfy the population for at problem is stable access to safe water. For the urban
least 24–36 hours and provide enough pressure to reach poor and periurban marginalized communities, the main
the storage tanks of individual users, perhaps more than problem of water supply is that the connection and supply
50,000 households (9). The hydraulic head for fire fighting costs are too high.
is at least 30m, and maximum head is about 70m (above On a state or regional scale, these water supply issues
this, leaks and bursts are common). In flat areas, water become magnified, and it is no surprise that the most con-
is fed by gravity from water towers, which can incur troversial aspect of water supply in developing countries
high pumping costs. High-rise buildings require their is selling of water administration concessions to private
own pumping. Typically, each user has a supply pipe water companies by a central government. Recognizing
that connects to the communication pipe at the property water as an economic good is essential for efficient man-
boundary, which in turn connects to the service main. agement, but it should be priced equitably according to
Water distribution networks serve different zones, each users’ ability to pay. For subsistence communities, a full

Table 2. Key Aspects of Water Supply in Developing Countries

Sources Selection Factors Delivery Methods Levels of Service

• Springs • Distance from source to • Hand transport in 1. Simple source with

• Rivers user containers disinfection
• Lakes • Water quality at source • Vehicular transport 2. Pump and supply line to
• Aquifers • Cost of raw water and • Pipelines (gravity, reservoir or standpipe
• Rainfall delivery pumped) 3. Household standpipes or
• Scale of supply • Pipelines to troughs, connections
• Snowmelt
• Alternatives available reservoirs, standpipes, 4. Individual household
• Recycled
• Sanitation method communal ablutions, supplies
wastewater
households, businesses,
• Desalinated • Return drainage method
public places, fields of
saltwater • Preferences of users crops
• Land and water rights • Channels
• Risk of shortfall, outage,
pollution

Source: After Reference 10.

 STATE AND REGIONAL WATER SUPPLY 617

public subsidy is appropriate for basic needs (1): overpriva- The Aral Sea is a dramatic example of the need
tization risks occur when water services are run purely for to take a regional approach to water supply and
profit and marginalized communities unable to pay incur wastewater sanitation and to account for the coupled
crippling water debts (12). This has occurred in South needs of humans and other species. Covitch (16) argues
Africa and touches a nerve in many other places where that technology alone—such as GIS monitoring and
water is viewed as both a public good and a human right remote sensing—cannot hope to address the pace
that should not be controlled by commercial interests. We or complexity of freshwater ecosystem degradation.
should also recognize that the problem with user willing- Rather, institutional reforms must provide water to
ness to pay is cultural (habits of free water) and also one aquatic habitats and minimize adverse impacts, while
of poor service quality: Why should a person pay for water enabling multidisciplinary research is done on regionally
that is not clean and comes only intermittently? representative biotas and hydrologic regimes (16).

WATER POLLUTION AND HEALTH RISKS WATER SUPPLY FOR AGRICULTURAL PRODUCTION

Pollution produced in one part of a watershed or The twentieth century’s Green Revolution boosted agri-
regional hydrographic area poses potential health risks to cultural production and was made possible in large
other parts. Microbiological water pollution causes many part by doubling the amount of irrigated land from
persistent water-related diseases worldwide, whereas 1950–1980 (17). In 1989, a third of the world’s food
chemical water pollution adversely affects humans and harvested came from the 17% of the cropland that was
other species, especially sensitive aquatic organisms. irrigated, and two-thirds of the freshwater supply is used
Much of the serious chemical pollution stems from runoff for irrigation (17). Clearly, on a state and regional scale, for
of agricultural chemicals (fertilizers containing nutrients example, California, agricultural demands are often the
and pesticides such as DDT) and industrial wastes such as largest of all demands, and so savings derived from more
solvents and heavy metals. For example, many tributaries efficient irrigation technology and/or diversions to other
of the Amazon Basin have been contaminated by mercury uses can have a huge impact on water supply sustainabil-
from mining waste, resulting in methylmercury levels in ity. There is concern that growing populations, especially
fish well above the World Health Organization (WHO) in water-scarce developing countries, will overwhelm the
standard (13). Another dramatic example of regional capacity of irrigated cropland to provide sufficient food
mercury contamination occurred in Canada in 1984, where and that water stress will become even more acute. The
64% of all Cree Indian residents of Chiasabi had levels cost of adding to land currently irrigated is high in places
above the WHO standard (13). Nash (14) claims that the such as Africa because of weak capacity and the need to
main obstacles to effective water quality management are build supporting infrastructure. In addition, many rivers
cost and a lack of information. Downs argues that the are seasonal.
problems go much deeper to cultural obstacles and weak There is great scope for improving the efficiency and
societal capacity (15). management of irrigation water: (1) using much less
water per hectare [often less than half the water applied
benefits the plant (17)] and (2) ensuring that water is
AQUATIC ECOSYSTEMS delivered at the right time in sufficient quantities. Many
schemes that involve massive irrigation cause fields
Freshwater lakes, ponds, rivers, streams, wetlands, and to become waterlogged and soils to become salinized,
aquifers are inextricably linked by hydrologic cycles acting leach nutrients, and lose fertility. Grossly inefficient
on watershed, multiwatershed, regional hydrographic, schemes also contribute directly to the overexploitation
and continental scales. A mere 1% of land surface is of aquifers and surface waters and the degradation of
covered by freshwater, but it contains 12% of the animal aquatic ecosystems. Postel (17) has estimated that about
species (16). Conservationists claim that freshwater biota 20% of the irrigated land in the United States relies on
are being destroyed by anthropogenic impacts faster than overexploited groundwater and causes major state and
they can be studied or protected: overconsumption by regional water supply impacts. Similar problems exist
human populations, cultural eutrophication, acidification, in many other countries, such as China, India, and the
dam construction and hydromodification, the introduction Middle East. Already, in the Great Plains of the United
of invasive species, habitat loss from development, and States, farms have been abandoned because of falling
climate change. Examples are all too plentiful (16): (1) the water tables; in the Texas High Plains Region, irrigated
invasion by lampreys (an ocean parasite) of the Laurentian land area shrunk by 34% from 1974–1989 because the
Great Lakes after the construction of the Erie Canal, cost of overpumping the Ogallala Aquifer System exceeds
resulting in the decimation of salmonid species; (2) the the value of crops grown there (17).
invasion of the same system by the zebra mussel and Diversions of irrigation water to other uses, especially
spiny water flea, upsetting native invertebrates and urban areas, is becoming a more common practice; some
zooplankton; and (3) the massive diversion of river water farmers sell water for more than they would earn from
to the Aral Sea on the border of Kazakhstan and using it to grow crops. Los Angeles, Mexico City, and
Uzbekistan to irrigate cropland, leading to a 65% decrease Beijing are just three examples of megacities that rely
in volume from 1926–1990, destruction of the fisheries, on importing water from rural farming zones. Unless
economic collapse, and health problems. laws and regulations adequately compensate the regions
618 STATE AND REGIONAL WATER SUPPLY

that lose the water to thirsty cities, serious issues of to support; the related uncertain forecasting of demand;
environmental justice exacerbate rural poverty. the need to provide a reliable, affordable service; and the
number of potential multisectoral priority issues (energy,
agriculture, health, ecology) to address. In practice, the
WATER SUPPLY FOR ENERGY PRODUCTION
success of this depends on communication and coordina-
tion on three levels: (1) between each village, town, city,
Water supply and energy supply are closely related, and
farm and industry of the region; (2) among the water,
conflicts over access, costs, pricing, and the overarching
industrial, energy and agricultural development sectors of
sustainability challenges for both resources invariably run
the state or region; and (3) among the water utility com-
parallel (18). Energy production relies on reliable water
panies, their customers, and local and state government
supplies: fossil fuel, geothermal, and nuclear power plants
regulators. Responsive institutions and regulations are
draw vast amounts of water from lakes, rivers, or the
vitally important to achieve this, to mitigate the risks of
ocean for cooling. In water-scarce regions, either with-
drought and pollution, and to meet the growing demand,
drawals alter hydrologic regimes and impact ecosystems,
especially in water-scarce/water-stressed regions where
water scarcity places absolute limits on energy production,
the competition for safe water is increasingly intense.
or scarcity forces interbasin water transfers. Droughts in
Africa and Asia and even California have significantly
impacted hydroelectric production, causing shortfalls that BIBLIOGRAPHY
either go unmet or must be met by scaling up other energy
sources (18). For example, a decade of drought in Egypt 1. Downs, T.J. (2002). A participatory integrated capacity build-
severely reduced the capacity of the Aswan Dam that ing approach to the theory and practice of sustainabil-
ity—Mexico and New England Watershed Case Studies. In:
supplied half of Egypt’s power. The massive investment
International Experiences on Sustainability. W.L. Filho (Ed.).
worldwide in dams, aqueducts, and reservoirs was made
Peter Lang, Frankfurt am Main, pp. 179–205.
to overcome both the uneven distribution of freshwater
2. Hunsaker, C.T., Jackson, B.L., and Simcock, A. (1998).
for water supply and to provide hydroelectricity for devel-
Regional assessment for watershed management in the Mid-
opment. Cheap energy has allowed water resources to be Atlantic States. In: Watershed Management—Practice, Poli-
superexploited, that is, pumping of deep fossil ground- cies and Coordination. R.J. Reimold (Ed.). McGraw-Hill, New
water and pumping of interbasin water transfers over York, pp. 11–29.
mountains in water-stressed regions. In this way, just as 3. Smith, J.P., Carlisle, B.K., and Donovan, A.M. (1998). Water-
coal and oil allowed industry to escape the solar budget, shed protection and coastal zone management. In: Water-
cheap energy also allows settlements to escape the imme- shed Management—Practice, Policies and Coordination.
diate constraints of local hydrology. But on a regional R.J. Reimold (Ed.). McGraw-Hill, New York, p. 99.
scale, such constraints are not escaped, merely reconfig- 4. Howe, C. (1995). Guidelines for the Design of Effective Water
ured temporarily. Sustainable regional water and energy Management Institutions Utilizing Economic Instruments.
supply must be considered as coupled resources and man- Report presented at Workshop on the use of economic
aged accordingly. principles for the integrated management of freshwater
resources, United Nations Environment Programme (UNEP),
Nairobi, Kenya.
WATER SUPPLY POLITICS AND LAW
5. Smith, D., and Rast, W. (1998). Environmentally sustainable
All regional issues impacting water supply—urban management and use of internationally shared freshwater
resources. In: Watershed Management—Practice, Policies
demand, public health, ecosystem integrity, agricultural
and Coordination. R.J. Reimold (Ed.). McGraw-Hill, New
demand, energy needs—can be effectively addressed only
York, p. 294.
by state and regional institutions that design and apply the
6. Twort, A.C., Ratnayaka, D.D., and Brandt, M.J. (2000). Water
aforementioned responsive regulatory instruments and
Supply, 5th Edn. Arnold and IWA, London, pp. 1–35.
allow the participation of regional stakeholders in water
7. NRA (National Rivers Authority) (1993). National Rivers
supply planning and management. McCaffrey (19) states
Authority Strategy. NRA Corporate Planning Branch, Bristol,
that there are two major principles that underpin most UK.
international water treaties: (1) the principle of equitable
8. Heathcote, I.W. (1998). Integrated Watershed Management,
utilization—the apportionment of uses and benefits of a Principles and Practice. John Wiley & Sons, Hoboken, NJ,
shared watercourse should be made in an equitable way; p. 74.
and (2) that a country, through actions that affect an inter- 9. Gray, N.F. (1999). Water Technology, An Introduction
national watercourse, may not significantly harm other for Water Scientists and Engineers. Arnold, London,
countries. The key to successful comanagement is sharing pp. 205–226.
of information and communication, especially about devel- 10. Stephensen, D. (2001). Problems of developing countries. In:
opment plans. These same ideas should be applied to state Frontiers in Urban Water Management. C. Maksimovic and
and regional water supply within a country. J.A. Tejada-Guibert (Eds.). UNESCO and IWA, London, p.
284.
CLOSING REMARKS 11. Lyonnaise de Eaux. (1998). Alternative Solutions for Water
Supply and Sanitation in Areas with Limited Financial
Water supply on a state and regional scale poses special Resources. Paris.
challenges for planning and management because of the 12. Gleik, P., Wolff, G., Chalecki, E.L., and Reyes, R. (2002).
large number and wide diversity of users and habitats The New Economy of Water: The Risks and Benefits of
 RIVER BASIN DECISIONS SUPPORT SYSTEMS 619

Globalization and Privatization of Fresh Water. Pacific RIVER BASIN DECISIONS SUPPORT SYSTEMS
Institute, Oakland, CA.
13. Gleik, P. (1993). An introduction to global fresh water issues. CHARLES D.D. HOWARD
In: Water in Crisis, a Guide to the World’s Fresh Water Water Resources
Resources. P. Gleik (Ed.). Oxford University Press, New York, Victoria, British Columbia,
pp. 1–12. Canada
14. Nash, L. Water quality and health. In: Water in Crisis, a
Guide to the World’s Fresh Water Resources. P. Gleik (Ed.).
Oxford University Press, New York, pp. 26–37. The interacting components of water resource systems
15. Downs, T.J. (2001). Changing the culture of underdevelop- incorporate physical, biological, chemical, and institu-
ment and unsustainability. J. Environ. Plann. Manage. 43(5): tional constraints and objectives (Fig. 1). Water projects
601–621. are difficult to manage efficiently within potentially con-
16. Covitch, A.P. (1993). Water and ecosystems. In: Water in flicting objectives and constraints on water quality, river
Crisis, a Guide to the World’s Fresh Water Resources. P. Gleik flows, and lake levels. There are many types of decisions,
(Ed.). Oxford University Press, New York, pp. 40–55. and these must be made on a timely and reliable basis.
17. Postel, S. (1993). Water and agriculture. In: Water in Crisis, Decisions vary from timescales of minutes for assign-
a Guide to the World’s Fresh Water Resources. P. Gleik (Ed.). ing loads to hydroelectric generating units to weeks and
Oxford University Press, New York, pp. 56–66. months for managing water quality, reservoir levels, and
18. Gleik, P. (1993). Water and energy. In: Water in Crisis, a pumping from groundwater. On shorter timescales, deci-
Guide to the World’s Fresh Water Resources. P. Gleik (Ed.). sions are based on deterministic analyses. On longer
Oxford University Press, New York, pp. 67–79. timescales, decisions are dominated by consideration of
19. McCaffrey, S.C. (1993). Water, politics and international law. probabilities.
In: Water in Crisis, a Guide to the World’s Fresh Water Planning can benefit from decision support systems
Resources. P. Gleik (Ed.). Oxford University Press, New York, developed for actual operations. Sound plans require
pp. 92–104. realistic analysis that these systems provide for changes

Water resource system

Thermal power

City

City

Diversion Pipeline

Irrigation Wells

Return flow
Hydropower
City
Purpose
Urban water supply
Irrigation
Hydro power
Fish Flood control
Cooling water
Connect city Fish habitat
Tides
to river and Recreational levels
ocean Stormwater/CSO/Effluents
Figure 1. Water resource systems are
complex.
620 RIVER BASIN DECISIONS SUPPORT SYSTEMS

in operating parameters, capacity expansion, and the available field data and scientific principles to interpolate
benefits and costs of potential new environmental and to extrapolate. They in-fill missing information on how
objectives. Figure 2 illustrates how many of the same the physical system is operating. A secondary purpose for
program modules and data are used for planning studies scientific models is to test how different assumptions about
and for actual operations. future or past physical conditions would affect the system.
Until recently, the data and computer simulation Management models are used primarily to suggest
analysis behind water management decisions simply water management decisions—they are the main tools
supported experience and judgments. In the latter half of of decision support systems. They include a description
the twentieth century, decision support systems based on of the scientific, institutional, and economic factors that
optimization techniques were developed to recommend the bear on the decision-making process. To accomplish
best possible decisions. These software systems develop this, they must be comprehensive in modeling the
recommendations by continuous analysis of constantly interactions among components of these systems. For
changing data and evolving priorities. The key components some types of decisions, an approximate description of
of decision support systems are data, computer models of the physical processes is adequate; for most types of
processes, and trained people. decisions, the institutional and economic factors must be
The purpose of a decision support system is to acquire comprehensively described because they make up the key
data and to increase its informational content. To be objectives in water management decisions.
effective, a decision support system should execute rapidly Scientists should not expect management models to be
in response to changing data. Computer input and output absolutely accurate in scientific matters. Managers should
should be in a form that is most convenient for the person be prepared to have recommendations from management
making the decisions. Modern computer systems minimize models reality-checked by scientists.
the manual input required and automatically suggest
optimal operating decisions that recognize all current
factors. SPREADSHEETS IN DECISION SUPPORT SYSTEMS

Spreadsheets can be the engine of a decision support

COMPUTER MODELS FOR WATER MANAGEMENT system for planning studies but are unsuitable for
supporting short-term operating decisions for data-
There are two related, but fundamentally different intensive water resource systems. They are used routinely
types of water resource models—scientific models and for hydrologic studies and for economic analysis of
management models. Scientific models are used primarily water resource systems. A spreadsheet can model
to investigate physical relationships in some detail. They operation of reservoirs, aqueducts, treatment plants,
provide a surrogate for extensive field monitoring by using and water quality. The sensitivity of decisions to data

Functional interaction of decision support system modules

Planning Hydrologic analysis Operational dispatch

and scheduling

Weather System
and status data
watershed (EMS)

On-line Real–time unit

Planning Hydrologic station commitments for
scenario simultion optimization
management plants & for
Deterministic system
short term
Seasonal forecast Unit 7 Day, 24 Hr
storage operations
(DDSS)
dispatch
operations Seasonal inflow schedule
forecast
(stochastic) Storage releases
Unit
operations
(DDSS) Baseline
meteorology Seasonal Maintenance plan
storage
Baseline operations Weekly storage
hydrology targets
Optimal
evaluation Conditional PMF Flood
of plans updates operations

Figure 2. A decision support system for hydroelectric planning and operations.

 RIVER BASIN DECISIONS SUPPORT SYSTEMS 621

can be examined, and specific recommendations for Hydrologic ensembles also may consist of the records of
improvements in other models can be developed with the river discharge or synthetic streamflow sequences based
aid of spreadsheets. on the autocorrelation and cross correlation characteristics
Macro capabilities in spreadsheets are used for of basin discharge records. Ensembles based on historical
managing data files, displaying and printing graphs and discharges are missing the atmospheric and basin
tables, and for eliminating the need for others to be experts moisture conditioning information that limits the range of
in programming. Macros can readily merge spreadsheets likely future discharges. It can be observed that historical
and acquire data from servers without user interaction. stream flow records contain a wider range of inflow
The detailed logic for water planning can be examined possibilities than it is realistic to expect for the current
to determine how it might be structured for optimization conditions that are faced during operations. Heuristic
routines in a more complex model. methods may consider that each member of an ensemble
Spreadsheet add-ons provide routines that can be very is equally likely or some members of the ensemble may be
useful for optimizing water management decisions. A given more weight, for example, if an El Niño condition
spreadsheet SOLVER function deals with nonlinear con- is relevant or there is a heavy snow cover. Uncertainty
straints and automatically drives the spreadsheet to max- of hydrology is reduced to some extent in forecasts that
imize objectives within specified constraints. This elimi- realistically deal with the initial watershed state and with
nates trial and error in using the spreadsheet, reduces improved future medium-range weather forecasts.
the number of explicit logical operators, and simplifies The realities of water project operations are often
technology transfer and user training. Aftermarket opti- avoided in project planning. Postconstruction project
mization routines from third-party vendors extend this evaluations and benefits seldom, if ever, relate back
capability to larger more complex management issues. to the projections made during planning. Part of this
A spreadsheet offers the following advantages: It can difficulty can be avoided if the planning methodology
be a platform for quickly trying out new ideas, other simulates how actual operating decisions will be made.
computer models and their output can be conveniently It is unrealistic to plan a system without considering the
evaluated, spreadsheets are widely used and upgradeable forecasted inflows during actual operations and how the
as computer technology advances, and output tables and operators will respond. Deterministic optimization does
graphics can be readily tailored to different needs. A not consider uncertainty at all, and simulation studies
spreadsheet is an easy link with past methods of operating based on rule curves and historical flow data lack both
a water resource system, and it can be carried forward into the finesse of optimization and a realistic expectation of
the future with minimal risk of obsolescence. near-term inflows. Water resource planning studies should
Spreadsheets are not a good choice for large complex include some measure to simulate the forecasts of water
systems that require comprehensive data management supply and demand that are updated at each decision
and quality control, a high degree of automation, and point during actual operations.
rapid execution. Special purpose water management
computer programs are more effective for large water
resource systems if they are structured conveniently EXAMPLE OF A HYDROELECTRIC DECISION
for the specific application. But, as part of an overall SUPPORT SYSTEM
decision support system, the spreadsheet format offers
advantages in rapid implementation, capabilities for data With the advent of market competition, there are clear
manipulation, flexibility in presentation of results, and advantages to being in position to provide quickly an
ease of understanding. optimum generation schedule based on projections of
market prices and the availability and value of water.
DEALING WITH UNCERTAINTY IN HYDROLOGIC DATA For a cascade of dams, this is a complex decision process.
When water is in short supply, maximizing revenue or
On longer timescales, allowances for uncertainty may ensuring that all generating stations are loaded so that
be intuitive—primarily colored by recent experience or overall system generation is as efficient as possible will
based on hydrologic ensembles. A hydrologic ensemble optimize the 168-hour generating schedule. This requires
is a set of inflow records used in a computer model allocating load so that plants operate at the relatively
to test river and reservoir operations across a range of few discrete points of maximum efficiency determined by
possible inflow conditions. The ensemble members are optimal use of the generating units within each plant while
input to simulation or optimization routines that model meeting operational constraints (Fig. 3). Water movement
the operating constraints and objectives and provide between plants is considered in the optimization so that
information that supports actual decisions. head is maximized, spill is minimized, and generation
In some applications, hydrologic ensembles are devel- takes advantage of time of day variations in loads and
oped with a calibrated hydrologic forecasting model energy prices.
from initial hydrologic conditions and historical weather Additional considerations include very short-term
data. Meteorologic ensembles generated by medium-range adjustments to generation and longer term plans for
weather forecasting models offer the potential for condi- the most effective use of reservoir storage. Planning for
tioning future weather on current atmospheric conditions, maintenance of the machinery considers availability of
and they eventually may replace historical weather data crews, seasonal variability of hydrology, environmental
for forecasting hydrologic ensembles. constraints, and energy prices. The decision support
622 RIVER BASIN DECISIONS SUPPORT SYSTEMS

time steps, of different quality, and concatenates it to

provide currently useful information.
Recent installations are PC-based; local workstations
use the Windows operating system. Data are stored on
dedicated central servers with an SQL or Oracle database.
The database sends and receives data from various servers
and workstations around the system via an internal
network. An archive of historical operating data supports
projections and comparisons with past conditions.

REQUIREMENTS FOR A WATER RESOURCES

MANAGEMENT DECISION SUPPORT SYSTEM

A customized modeling and database system will provide

convenient graphical current and historical information
and operating recommendations that are automatically
optimized by the system. Data handling must be
convenient with minimal opportunities for introducing
human error and maximum flexibility for editing storing,
retrieving, and displaying data and model results. There
should be an emphasis on realistically designed graphical
user interfaces and interactive graphical editing that
reflect the preferences of the intended operators.
The data management model consists of a database
Figure 3. Hydroelectric plants have discrete points of maximum system and site-specific capability for editing and
efficiency. displaying data in a manner that is keyed to the basin
mapping. The model will be informative and practical for
routine quality control, storage, retrieval, and graphic
system recommends the optimum decisions by considering display. The database will provide a home for the
hydrologic probabilities and risks. monitoring data and an integrated backbone for all of
Each decision support system is slightly different, the modeling software. The data will probably come from
depending on the requirements for water management more than one source, so the database must be compatible
and the date when the software was developed. For with the communications facilities.
a hydroelectric decision support system, the following The hydrologic forecasting model establishes local
functions are now supported by software (1): inflow forecasts for all of the reservoirs. Two types of
forecasts are necessary: deterministic hourly forecasts
water management through reservoir release schedul- for one week that support daily operating decisions
ing, and weekly conditional probability forecasts for 1 year
systemwide maintenance planning for generators, that support longer term management strategies. Both
forecasting hourly and seasonal local unregulated types are driven by weather data and weather forecasts.
inflows, Initial conditions for each forecast reflect the computed or
measured current moisture state of the basin, including
near-real-time unit loading optimization,
soil moisture and water in storage as snow. Conditional
hourly schedules for all generators in the system, and probabilities are derived from historical weather data
convenient data acquisition, quality control, archiving, and the current initial moisture conditions of the basin.
and retrieval Deterministic forecasts include hydrodynamic routing in
river systems.
Each of these functions requires access to a common An effective implementation often uses a combination
pool of consistently reliable data. Static data describe of a calibrated conceptual model of the hydrologic
the physical facilities and operational constraints such as cycle and field monitoring of river discharges, soil
minimum river flows and allowable ramping of river and moisture, and snow cover. River discharge measurements
reservoir levels. Dynamic data include hydrometerologic provide forecast verification and information for model
data, weather forecasts, discharge throughout the river readjustment during operation. The local inflow forecasts
system, projected hourly value of energy, the state of are routinely updated daily and more frequently when
generating machinery, reservoir and tailwater levels, spill, there is concern for floods.
current system electrical load, and special operating goals The water demand forecasting model considers the
and constraints. planning objectives, past demands, current demands and
Some of these data are current, some are not—some forecasts, and hydrologic forecasts. The model includes
have been previously checked, and some are in a raw form individual subarea requirements that place significant
and may contain errors. The software provides quality demands on the system. This is an important component
control that takes data from several sources, on different for ongoing water management planning in response
 RIVER BASIN DECISIONS SUPPORT SYSTEMS 623

to changing circumstances, including water and energy system should be minimal. The software and data should
demand management during drought. be capable of being maintained and upgraded by computer
The reservoir operations models must be practical, specialists readily available to the owner of the decision
fast, and provide comprehensive optimizations that support system. The water management models, operating
reflect complex site-specific physical and institutional system software, and computer hardware should have
details and prioritized or multiple objectives. River basin sufficient redundancy to provide a high level of reliability.
operation may be simulated by suitably constraining the The entire modeling system must run on the owner’s
optimization model(s) or by a special simulation model. computer network and must provide remote access to the
Generic river and reservoir models used for planning are database by users who are not connected to the network.
unsuitable for operational scheduling within a decision The system must have levels of password security to
support system if they lack features that minimize manual control access to various portions of the database and
data input and have excessive execution time during modeling modules.
optimization.
The river and reservoir operations optimization
WHY HAVE A DECISION SUPPORT SYSTEM?
model(s) use forecasts of local unregulated inflows to rec-
ommend the best long-term and short-term strategies. The A common bottom line question among water resource
objective function may include water supply for irrigation system managers is: What is the value of a decision support
and cities, hydroelectric production, and flood manage- system? The benefits are not uniform for all systems
ment within environmental and facilities management because of the relative importance of uncertainties and
constraints, specific discharge and water level targets, the multitude of institutional and physical constraints on
and physical limitations of the system of reservoirs and operation. The value of a specific decision support system
river channels. All components and operating constraints can be estimated by reconstructing the actual operating
of important facilities are represented in the optimiza- history and optimizing at each step as each operating
tion modeling system. A simulation capability can be decision was made. The decision support software can
used to test the viability of operating plans developed be designed to automate such an audit as a routine
by judgments that do not follow the recommendations business practice aimed at raising overall efficiency within
from deterministic and probabilistic optimization models. an enterprise.
When there are several operating objectives, optimiza- Since 1987, a decision support system has been
tion can be accomplished in the software by using a set of used to guide weekly reservoir release decisions at two
prioritized objectives. For example, in flood management, hydroelectric plants in the coastal mountains of British
the first priority might be to protect downstream prop- Columbia, Canada. Studies of 1970–1974 operations
erty from flooding. With this as the objective, the software (a period before the decision support system became
determines an operating sequence for spillway gate oper- operational) showed that, compared to operation with
ations. Then, with the resulting minimized downstream perfect foresight, as determined by a deterministic
flood damage as a constraint, a new objective function optimization model, the rule curve based operation had
is used to determine the gate operations that will mini- produced 83.4% of the maximum attainable energy
mize upstream flooding. Finally, with both the upstream compared to 95.1% with the full decision support
and downstream previously optimized flood damages as system. Without the hydrologic forecast component, the
constraints, a third optimization minimizes the number optimization component would have produced 92.8% by
of nighttime gate changes. This last step determines the simply using long-term average monthly inflows in place
sequence of gate operations actually recommended for of the forecast. The actual energy produced by operating
managing the flood with available reservoir storage. With with the DSS in each year between 1989 and 1993 was 100,
a suitable optimization model, the method is quick because 93, 98, 94, and 96% compared to the maximum possible.
each successive optimization uses the feasible solution The decision support system provides accessible data and
from the previous analysis as a starting point. a consistent framework for improving operating decisions.
The method of prioritized objectives also may be Decision support systems can be expensive, but they
useful as a practical procedure for defining trade-offs for bring improvements through more effective management
other types of water management decisions that require to achieve objectives, reduced personnel requirements,
considering multiple objectives. Revising the priorities and fewer violations of environmental constraints, more
reoptimizing can examine trade-offs. This application of effectively trained personnel, and objective technical
a decision support system has the advantage of avoiding performance evaluations. For a complex river system with
the difficult and often confusing task of assigning relative many control points and reservoirs, a team of operators
weights to objectives. The significance of priorities may be is trained to use the software modules and to interpret
more readily grasped than the relative value of objectives their output. For systems with only two or three major
that may be incommensurate. facilities, one or two trained operators can manage a highly
automated, complex decision support system.
BASIC REQUIREMENTS
BIBLIOGRAPHY
The entire system of software must run on an operating
system that is compatible with standard word processing 1. Livingstone, A., Smith, D., Van Do, T., and Howard, C.D.D.
and spreadsheet software. Maintenance for the entire (1999). Optimizing the hydro system. Hydro Rev. 18 (5).
624 WATER RESOURCE SUSTAINABILITY: CONCEPTS AND PRACTICES

READING LIST Agenda 21 (2). At the core of the sustainability paradigm

is the desire to reframe the perceived competition
Van Do, T., and Howard, C.D.D. Hydro-power stochastic forecast- between development and environment (economy vs.
ing and optimization. Proc. ASCE 3rd Water Resour. Operations ecology) into new forms of development ethics, thought,
Manage. Workshop, Ft. Collins, CO, June 1988.
practice, and policy, reconciling enhancement of the
Howard, C.D.D. (1999). Death to rule curves. 26th ASCE Conf., quality of (human) life and social well-being with the
WRPM, Tempe, AZ, June.
conservation of ecological integrity. Underpinning this
Stedinger, J.R. and Howard, C.D.D. (1996). Control room III: lofty goal was the ethical pursuit of a more equitable
finding work for humans. Hydro Rev. August.
society both today (intragenerational equity) and in the
Stedinger, J.R., and Howard, C.D.D. (1995). The control room of future (intergenerational equity). The term sustainable
the future II. Hydro Rev. July.
development is somewhat of an oxymoron because it
Howard, C.D.D., Shamir, U., and Crawford, N. (1995). Hydrologic implies stability, yet change, and begs the coupled
forecasting for reservoir operations. ASCE WRPM Div. Conf.
questions: What to sustain, for how long, and for whom?
Boston, May.
This has led to confusion and a plethora of debate over
Howard, C.D.D. (1994). Optimal integrated scheduling of reser-
the conceptual validity of the model. A useful working
voirs and generating units. Leading Edge Technol. Hydro-
Vision Conf., Phoenix, AZ, August. definition of a sustainable project, program, practice, or
policy is one that yields a steady stream of benefits (or
Howard, C.D.D. (1993). Sewer and treatment plant operations
control for receiving water protection. Proc. 6th Int. Conf. Urban positive impacts) that exceed costs (negative impacts) over
Drainage Syst., Niagara Falls, Ont., Sept. intergenerational timescales (25 years and beyond), while
Stedinger, J.R. and Howard, C.D.D. (1993). A look at the control conserving ecological integrity.
room of the not-too-distant future. Hydro Rev. August. Too much talk of ‘‘achieving’’ sustainable development
Howard, C.D.D. (1992). Experience with probabilistic forecasts for has led to some disenchantment with the concept when it is
cumulative stochastic optimization. AWRA Annu. Conf., Reno, not delivered, or even approximated. The real power of the
NV., Nov. sustainable development idea lies in its ability to change
Howard, C.D.D. (1992). Optimal operation of reservoirs and hydro the way we think about intra- and intergenerational
plants during floods. 4th Water Resour. Operations Manage. equity and our responsibility as custodians of biodiversity
Workshop, ASCE Water Resour. Plann. Manage. Div., Mobile, (3). It is much more helpful to view sustainability as
AL, Mar. a relative, dynamic state of development practice, one
Howard, C.D.D. (1992). Optimization methodology for hydropower that can be degraded or improved substantially, but
and instream flow operations. Annu. Conf. Northwest never reached absolutely. Sustainability becomes very
Hydropower Assoc., Bellevue, WA., Jan. useful when we work with stakeholders to explore
Howard, C.D.D. (1990). Achieving effective technology transfer. development alternatives that are compared against the
In: Decision Support Systems in Water Resources Planning, status quo, business-as-usual baseline state. So, one key
Loucks et al. (Eds.). NATO sponsored workshop in Ericiera, criterion for comparison is the relative sustainability of
Portugal, Springer-Verlag, Berlin.
an option compared to others, for example, one water
Howard, C.D.D. (1988). Expert systems analysis of hydropower
supply alternative versus others. In practice, this criterion
scheduling with forecasting uncertainty. 15th Specialty Conf.,
is broken down into social, economic, and ecological
ASCE Water Resour. Plann. Manage. Div., Norfolk, VA, June.
subcriteria, the comparative evaluation of alternatives
Howard, C.D.D. (1984). Very short term forecasts for optimal flood
is done by a multicriteria method such as environmental
control and hydroelectric peaking operations. AWRA Symp.
Forecasting Water Manage., Seattle, WA, June. and social impacts assessment (ESIA).
Viewing development in terms of helping people help
Howard, C.D.D. and Flatt, P.E. (1976). Multiple objective opti-
mization model for real-time operation of a water supply system. themselves, finding alternative policies, plans, programs,
Int. Symp. Large Scale Syst., Univ. of Manitoba, Winnipeg, Aug. and actions, and comparing them for positive and negative
impacts is a useful simplifying approach that cuts
through skepticism about sustainability and its inherent
WATER RESOURCE SUSTAINABILITY: complexity. This is exactly what lawmakers had in
CONCEPTS AND PRACTICES mind when they enacted the landmark U.S. National
Environmental Policy Act (NEPA) in 1969, the law that
TIMOTHY J. DOWNS gave birth to environmental impact assessment (EIA).
Clark University But in few cases has compliance with this law led to more
Worcester, Massachusetts sustainable solutions, and the public is skeptical that it
is merely a technical process that endorses preconceived
actions (3).
INTRODUCTION The fact that Earth Summit 2002 in Johannesburg was
oriented strongly toward understanding why the plans
The most famous definition of sustainable development is and lofty goals of Earth Summit 1992 have not been
‘‘development that meets the needs of the present without reached, even approximated,—prospects are worsening
compromising the ability of future generations to meet for sustainability according to global trends (4–6)—adds
their own needs’’ (1). This unifying concept was the theme considerable impetus to our quest to understand what
of the 1992 Earth Summit in Rio de Janeiro that produced makes the sustainability concept operational. What are
the so-called Blueprint for Sustainable Development, the underlying concepts and philosophies that describe
 WATER RESOURCE SUSTAINABILITY: CONCEPTS AND PRACTICES 625

Socioeconomic sphere

Compatible Sustainable Integrated

Poverty Management Improvement
trade & Sustainable development decision making
reduction of population of public
environment consumption of & stakeholder
policies growth health
policies settlements participation

Sound
Sustainable
management
development Indirect link
of solid
of energy
waste and
resources
sewage
Sustainability
of water Strong direct link
Marine & resources Sound
coastal zone supply & management
protection & sanitation of chemicals
development & toxic
(e.g. tourism) wastes

Integrated Reducing Promoting

Conserving
land deforestation Managing sustainable Sound
Atmosphere biodiversity
resources /Sustainable fragile agriculture development of
protection & ecosystem
planning & forest ecosystems & rural biotechnology
health
management development development

Natural resource/Ecological sphere

Figure 1. Agenda 21 components of sustainable development. Water resource sustainability
influences many sectors and is a strategic operational focal point (7) (permission of University of
Newcastle–upon-Tyne).

sustainability, and how can these be put into practice? raised awareness of the risk of overexploiting common
Notably, freshwater resource sustainability is of great natural resources without property rights. Hardin’s theory
strategic importance to sustainable development as a held that individuals who have access to a common
whole because it has by far the highest degree of resource would seek to overexploit the resource to
structural and functional interdependency with the other maximize their benefits and that the aggregate cost of
sectors/topics considered in Agenda 21 (Fig. 1). This overexploitation borne by the population as a whole would
means, in theory, if we can solve water problems, many exceed the benefits. Such a scheme would be neither
others will follow. optimal for the society nor sustainable. The field of
Common-Pool Resources (CPR) seeks to find governance
solutions to sustainable natural resource management
SUSTAINABILITY CONCEPTS
(9,10), investigating institutional predisposing conditions
for successful governance of common natural resources, a
Human activities—agriculture, industry, urban develop-
partial refutation of Hardin’s theory. Critics of CPR state
ment, and the like—stress environment and ecological
that it is predicated on a single resource concept isolated
health (including human health) in three main ways that
from the ecosystem context of many resources, that studies
often overlap and magnify each others’ effects (3):
are about self-governance that excludes the state, and that
it is based on assumptions that resources and people do
• through overexploitation of natural capital/resources
not change (11).
(soils, water, plants, animals),
Another seminal publication was The Limits to
• through overproduction of wastes beyond the assim- Growth (12), which predicted the collapse of natural
ilative/attenuative capacity of ecosystems, and resources such as fossil fuel, metals, timber, and
• through land use/land cover changes that alter fish from overexploitation. This ‘‘crisis’’ scenario proved
ecological structure and function. largely erroneous because of a gross underestimation of
available reserves. Initially, it heightened concern over
The literature of the late 1980s and early 1990s is the sustainability of development, but then it undermined
replete with discussions of sustainability as a concept, these same concerns by exaggerating the risks of collapse
model, idea, paradigm, and philosophy. Hardin’s seminal and losing legitimacy.
article called ‘‘The Tragedy of the Commons’’ in 1968 In 1987, the United Nations Commission on Environ-
(8) was an important work that provoked discussion and ment and Development produced a report called Our
626 WATER RESOURCE SUSTAINABILITY: CONCEPTS AND PRACTICES

Common Future (1), widely known as the Bruntland Table 1. Sustainability Imperatives and Preconditions
Report after the chairperson, Norwegian Prime Minis- Preconditionsa
ter Gro Harlem Bruntland. Focusing on satisfying basic Strategic Imperatives (Capital Needs)
human needs—water, food, shelter, energy, health—the
Commission promoted seven strategic imperatives for sus- 1. Economic growth must be 1. A responsive political
tainability and seven preconditions (Table 1). The report revived in developing decision-making process
nations to alleviate poverty (S).
went on to suggest that the transition to sustainability will
and reduce pressure on the
be driven by industrial wealth and that wealth creation environment.
be made more equitable and environmentally responsi- 2. Equity and nonmaterial 2. More efficient economic
ble. Its value has been to stimulate activity, though it value must be included in systems that use less
has been criticized for failing to fully consider the depen- the consideration of growth. natural resources (N, S, H,
dence of industrial economic growth on natural resource F, P)
exploitation (13). 3. Basic human needs for 3. Responsive social systems
The physical thermodynamic aspects of sustainability food, water, shelter, energy that redistribute the costs
have been addressed by the Natural Step philosophy, must be met, accepting that and benefits of development
set up in Sweden, based on a set of four systemic changing (more equitable) (S, H, F).
patterns of consumption
principles (14):
are needed.
4. Reduce population growth 4. Production processes that
1. Substances from the earth’s crust may not be by reducing economic operate within ecological
extracted at a rate faster than their slow redeposit pressures to have children. limits (N, S, H).
into the earth’s crust. 5. Conserve and enhance the 5. Technology development
2. Substances must not be produced by society faster natural resource base. that supports efficient
than they can be broken down in nature or deposited energy and resource
solutions (N, S, H, F, P).
into the earth’s crust.
6. Environmental risk 6. International order that
3. The physical basis for nature’s productivity and management technology maintains cohesion globally
diversity must not be allowed to deteriorate. must be developed and (S).
4. There must be fair and efficient use of energy and made available to the
other resources to meet human needs. developing world.
7. Decision making should 7. Responsive, flexible,
consider ecological and self-correcting government
Despite the obvious difficulty of meeting the first three economic criteria. institutions (S, H).
principles, the World Business Council for Sustainable
a
Development (WBCSD), a coalition of 125 companies S: social capital; H: human capital; F: financial capital; P: physical capital;
N: natural capital.
worldwide, endorses Natural Step, as do conservation
Source: After Reference 1.
groups such as the International Union for the Conserva-
tion of Nature (IUCN) (14). The interests of the business
sector are addressed by the concept of triple bottom line,
or below the assimilative capacity of the environment;
the three dimensions being economic, social, and environ-
and (3) optimize the efficiency with which nonrenewable
mental. The main issues among these three are as follows
resources are used, subject to substitutability between
(after Ref. 14):
resources and technological progress. The first two are
absolute physical thermodynamic sustainability criteria
• Economy–environment issues: How to promote
readily applicable to water quantity and water quality,
ecoefficiency, clean production, and waste prevention
whereas the third is an economic criterion. Examples of
and minimization? How to employ ecotaxation and
violations of rule 1 and 2 are the depletion of aquifers by
create a market for tradable environmental permits?
withdrawing more water than is being recharged and the
How to account for nonmarket costs and benefits?
degradation of water quality, respectively.
• Society–environment issues: How to raise awareness Sustainability fundamentally challenges cultural
and environmental literacy? How to counter environ- norms, values, and behaviors. Using a historical cultural
mental injustice and foster generational equity? evolution argument, Downs (16) argues strongly that
• Economy–society issues: How companies consider a combination of ethics, productive social interaction,
social costs and benefits of their investments? How and knowledge integration are cultural prerequisites for
wealth generation can address human rights and improving sustainability. Professionals and academics
business adhere to an ethical code of practice. in the environmental field are now (and for the
foreseeable future) centrally concerned with the pursuit
Pearce and Turner (15) have defined sustainable devel- of ‘sustainable solutions’ to priority problems of natural
opment as ‘‘maximizing the net benefits of economic devel- resource degradation. Reflecting the triple bottom line,
opment subject to maintaining the services and quality sustainable solutions are those that are at the same
of natural resources over time.’’ They state several sus- time ecologically viable, economically feasible, and socially
tainability rules: (1) use renewable resources at rates less desirable (Fig. 2).
than or equal to the natural rate at which they can regen- The International Union for the Conservation of
erate; (2) always keep waste flows to the environment at Nature (IUCN) has actively promoted green accounting,
 WATER RESOURCE SUSTAINABILITY: CONCEPTS AND PRACTICES 627

• Women play a central part in the provision,

management, and safeguarding of water.
Socially
desirable Sustainable solution • Water has an economic value in all its competing uses
and should be recognized as an economic good.

Building on these principles, water resource analysis,

planning and management must be (after Ref. 3)
Economically
feasible Ecologically
viable • holistic—incorporate the governing aspects of the
‘‘whole ecosystem’’ (watershed links to other water-
sheds, aquifer systems, bays, and estuaries), includ-
ing interrelated natural resources (air, water, soil,
Figure 2. Sustainable solutions must satisfy three sets of biota), and humans as an integral, supermodifier of
criteria: social, ecological, and economic (17).
the ecosystem;
• integrated and participatory—incorporate relevant
a process by which the economic costs and benefits knowledge from the natural sciences, engineering,
of natural environment exploitation are measured (14). social sciences, and humanities, and accommodate
Norway has institutionalized this process to track the the diverse set of interests, concerns, roles, and
state of natural resource stocks and pollution rates. The responsibilities of different stakeholders (including
United States has developed a supplement to normal marginalized groups like periurban poor and rural
economic accounting called the Integrated Economic and subsistence farmers);
Environmental Satellite Account (IEESA) that seeks to • strategic—identify and focus primarily on governing
account for the economic impact of environmental changes dynamics (the few drivers and responses that govern
in water quantity, water quality, mineral stocks, forest the way the system behaves), gather priority data,
stocks, and fish stocks (14). To do this will require new identify and address priority problems most cost-
concepts, methods, and data, and impetus that can counter effectively;
lobbying against such policies by special interests.
• adaptive—adapt to changing geophysical and
Spearheading what has been called the Blue Revolu-
sociopolitical conditions; and
tion for water sustainability (14) is the method of inte-
grated watershed management (IWM)/integrated water • sustainable—provide a steady stream of use benefits
resources management (IWRM). IWM/IWRM seeks to (or positive impacts) to present and future popu-
combine interests, priorities, and disciplines as a multi- lations of humans and other species that exceed
stakeholder planning and management process for natural costs (negative impacts), while conserving ecosystem
resources within the watershed ecosystem, centered on integrity and environmental quality.
water quantity and water quality. Driven bottom-up by
local needs and priorities and top-down by regulatory Laws and regulations are crucial instruments that help
responsibilities, it must be adaptive, evolving dynamically us respond to the challenge of water sustainability. Such
as conditions change (3). Two global institutions play a responsive legal instruments should do the following (after
key role in strengthening the social capital to sustain Ref. 20):
water resources: (1) the Global Water Partnership (GWP,
founded 1996) that seeks to translate principles into prac-
• Encourage administration at the appropriate hydro-
tice through partnerships based on integrating knowledge
logical scale: watershed, multiwatershed, or aquifer
and experience and (2) the World Water Council (WWC,
system.
founded 1996) that seeks to raise awareness of water
problems and promote solutions (14). • Foster internalization of the values and ethics of
IWM/IWRM is new and still evolving: ‘‘IWRM has sustainable resource development.
neither been unambiguously defined nor has the question • Encourage integrated approaches to water supply
of how it is to be implemented been fully addressed. and sanitation, ecology, and public health.
What has to be integrated and how is it best done? • Prevent water allocation and usage policy making
Can the broad principles of IWRM be operationalized in from fragmenting among agencies.
practice—and, if so, how?’’ (18). There are four broadly
• Promote integrated appraisals, notably environmen-
accepted IWRM principles, as set down by the 1992
tal, economic, and sociopolitical impacts assessment
International Conference on Water and the Environment
of alternative actions.
in Dublin (19):
• Encourage integrated capacity strengthening of gov-
• Fresh water is a finite and vulnerable resource, essen- ernmental institutions, NGOs, community associa-
tial to sustain life, development, and environment. tions, and businesses to transit into more sustainable
• Water development and management should be policies and practices, and work collaboratively.
based on a participatory approach, involving users, • Enforce reward and penalty incentives that encour-
planners, and policy-makers at all levels. age sustainability.
628 WATER RESOURCE SUSTAINABILITY: CONCEPTS AND PRACTICES

SUSTAINABILITY PRACTICES Considerable community-based water management

experience worldwide provides empirical evidence of
The numerous rules and principles that populate the con- what works on the community scale and why (see
cepts of sustainability can be translated into indicators 23–26 among many others). IRC (23) found that the
that can be measured quantitatively (e.g., waste flows are following are major factors for success in community
being assimilated/waste accumulation is zero) or qualita- water projects: baseline community capacity, community
tively (e.g., the quality of stakeholder collaboration). These demand, donor and government support (financial and
ecological, economic, and social sustainability indicators as policy), sufficient water resources, and the capacity
should be used to assess existing conditions and identify of implementation agencies. But work has tended to
priorities for action, comparing action alternatives (impact focus on one population context alone (e.g., rural
assessment), and monitoring/evaluating the performance subsistence), and on one aspect (water supply and/or
of the chosen alternative. sanitation, or irrigation, or land degradation), instead
Earth Summit 2002 in Johannesburg tried to come of the more integrated watershed management approach
to grips with ways to make the concept operational, advocated for sustainability. A considerable body of
how to put into practice the aspirations of Rio 1992. knowledge exists on participatory methods, methods
Howe (21) identified key water management requirements include participatory rural appraisal (PRA), participatory
for a watershed/multiwatershed scale: (1) coordinated action research (PAR), rapid rural appraisal (RRA), and
management of surface water and groundwater resources, participatory action development (PAD); all have been
(2) coordinated management of both water quantity and applied to strengthening community water management.
water quality, (3) provision of incentives for greater But calls have been made to move beyond traditional
economic and technical efficiencies in water use, and
participatory methods to more integrated analysis and
(4) protection of public values associated with water
planning methods with community and government
service (e.g., reliable, safe, clean, affordable supply). And to
stakeholders (27).
achieve this, water institutions must develop the following
How do we make sustainability progress in a field
characteristics (21):
that builds on successes, learns from failures? From
1998–2000, local working groups in collaboration with
• the capacity to coordinate water plans with other
the Mexican National Water Commission (CNA), coor-
agencies (e.g., urban planning, agriculture, public
dinated by Downs (7), developed a participatory inte-
health, environment, industrial);
grated capacity-building (PICB) approach to water sector
• the capacity to solve water problems creatively sustainability. Following an analysis comparing rela-
using a variety of options and approaches (e.g., tively sustainable development projects worldwide during
laws, pricing, taxes, tradable supply and/or pollution
the past 10–15 years (those yielding a steady stream
permits, subsidies);
of benefits after external support was removed) with
• the foresight to separate roles and responsibilities for a much larger number of unsustainable projects, six
water resource planning and management activities broad synergistic levels of capacity building emerged as
from construction activities (i.e., avoid conflicts critical components for success: (1) strengthening politi-
of interest); cal and financial commitment; (2) strengthening human
• the multidisciplinary capacity to undertake multi- resources, including education, training, and awareness-
criteria/multiobjective planning and evaluation of raising; (3) strengthening information resources for poli-
alternatives; cymaking (e.g., monitoring and GIS tools for data integra-
• devolve decision-making power to the lowest tion); (4) strengthening policies, regulations, enforcement,
level—national, state/regional (provincial), local, and verification; (5) applying appropriate technology and
or municipal—consistent with the scale of the basic infrastructure (e.g., for water and wastewater treat-
water issue; ment); and (6) stimulating local enterprise development
• the capacity and willingness to use appropriate (i.e., support products and services providing socioeco-
participatory methods involving different stake- nomic sustainability). Each one builds on those before it
holders at different stages of a project (preplan- with positive feedback. Crucially, we see that operational
ning/conceptual, planning and design, implementa- sustainability is a function of participation and integrated
tion, maintenance, monitoring, and evaluation). capacity building (7).
• the ability to reward innovation and adapt to Figure 3 shows a desirable participatory project
changing conditions and priorities. sequence. On the analytical (science) side, we need strate-
gic information on watershed conditions, especially water
It is clear that to do most of what sustainability quantity, water quality, and use requirements (present
challenges society to do requires us to strengthen our and future users are humans and other species). On the
capacity to respond to those challenges and opportunities. policy and management sides, we need strategic planning
‘‘Capacity building is the sum of efforts needed to develop, methods that accommodate stakeholder inputs, evaluate
enhance and utilize the skills of people and institutions to options, choose a preferred option (by multiple criteria),
follow a path of sustainable development’’ (22). A UNDP and support the implementation and sustainable opera-
program Capacity 21 (22), seeks to build capacity to tion of this option. PICB is used to make the selected
implement Agenda 21. preferred management option (PMO) sustainable (for more
 WATER RESOURCE SUSTAINABILITY: CONCEPTS AND PRACTICES 629

1. Stakeholder 2. Strategic analysis 3. Strategic planning 4–6. Design,

participation
implementation,
Baseline conditions and Options selection. operation, maintenance,
Form needs assessment — Screening of all options and monitoring
multistakeholder identification of priority to identify viable options.
strategic problems. Examples of Preliminary designs of
options for impact 4. Detailed design and
analysis and data needs:
assessment. work plan that includes
strategic Hydrology — water the ICB5 needs of PMO.
planning balance ICB is phased in or
group. Pollution source Multicriteria appraisal tiered over time.
inventory and risk of viable options and
Social science mapping selection of preferred 5. Implement project or
Land use and land management option action with ICB priorities
cover changes, and (PMO) – EIA2 + SEA3 + phased in first.
priority conservation SIA4 tools.
Use requirements —
present and future, Management and 6. Operation and
humans and other decision science maintenance.
species Monitor performance and
Key Supply potential from modify/Improve
1
Participatory appraisal various sources operation as needed.
2
Environmental impact assessment
3
Strategic environmental assessment
4 Social impacts assessment Environmental science Environmental
5 and geographic technology,
Integrated capacity building
information science management and
(includes PA1) decision science

Figure 3. Six stages of operational water sustainability. Strategic participatory planning selects
an alternative using sustainability criteria (impact assessment), and integrated capacity building
sustains it (after Ref. 3).

information, see the article INTEGRATED CAPACITY BUILDING huge project scope is reduced to its critical components,
NEEDS FOR WATER SUPPLY AND WASTEWATER SANITATION). is manageable, and most importantly, effective. This also
An integrated, sustainable watershed management keeps volunteer data gatherers engaged because they see
plan must be based on reliable information (PICB Level the impacts of their efforts on policy. We already know
3) about baseline geophysical, hydrologic, water quality, what most of these key data are (priority pollutants, use
pollution source, ecological and socioeconomic conditions. data, hydrologic balance, etc.); often some exists, though
Identifying key indicators, integrating data on them, inter- dispersed and must be integrated. Other priority data
preting and disseminating information to watershed–bay needs emerge as part of the analysis.
stakeholders informs policy and raises awareness of Empirical evidence points strongly to community-
priority issues. It also facilitates collaborative actions based natural resource management as a key to social
to mitigate those issues. This strategic data can be sustainability. But how can this be done on the watershed
fed into a GIS database that can be manipulated for scale required for hydrologic sustainability? The answer
decision-making. The GIS format can be used to engage lies in strengthening the social capital of the watershed
community, NGO and government stakeholders in the by forming collaborative networks of communities. Often
strategic analysis process that must underpin the water- in developing countries, marginalized rural agroforesters
shed–bay planning, design, implementation, and mainte- occupy the upper reaches of the watershed and become, de
nance/monitoring stages (Fig. 3). A web-accessible GIS can facto, producers of water resources for downstream users.
also provide actors with a powerful means to understand Evidently, both producers and users share the common
how their interests fit into the wider multi-interest context interest of watershed sustainability, and both must be
of a watershed ecosystem. Such visualization and infor- involved in strategic planning. By networking and through
mation is conducive to multistakeholder participation and capacity building coordinated by NGOs, marginalized
dispute mediation: Actors internalize the stakes of others communities can gain the power they need to negotiate
and can better negotiate compromises to meet common with influential user groups and government agencies.
goals (3). Such information resource/planning tools do not
yet exist, data are scattered, of varied formats, and have
significant gaps that flag primary data gathering needs. CLOSING REMARKS
Close collaboration with watershed NGOs engaging in
community capacity building and state and local environ- Integrated watershed management and integrated capac-
mental agencies will ensure that results have the greatest ity building seem to confirm that the challenges of sus-
impact and utility (3). tainability are primarily cultural and sociopolitical, not
The term strategic is stressed: We must choose to collect economic, scientific, or technical. Echoing the cultural
data of the highest information value for our objectives prerequisites of Downs (16), any sustainability process,
and only this data (3). In this way, what appears to be a method, or approach—certainly IWM, PICB, EIA—will
630 THE PROVISION OF DRINKING WATER AND SANITATION IN DEVELOPING COUNTRIES

ultimately depend for its success on two cultural determi- 14. Calder, I.R. (1999). The Blue Revolution, Land Use and
nants: Integrated Water Resources Management. Earthscan, London,
pp. 62–71.
15. Pearce, D. and Turner, R.K. (1990). Economics of Natural
• an ethical core—values and attitudes respectful
Resources and the Environment, Johns Hopkins University
of intra- and intergenerational equity and natural Press, Baltimore, pp. 24–44.
resource conservation; and
16. Downs, T.J. (2001). Changing the culture of underdevelop-
• a participatory culture—swapping ‘‘win–lose’’ for ment and unsustainability. J. Environ. Plann. Manage. 43(5):
‘‘win–win’’; choosing the philosophy of collaboration 601–621.
and mutual gains over conflict negotiation and trade- 17. Doyle, K. (2002). Environmental Career Trends. Environmen-
offs. tal Careers Organization, Boston.
18. GWP (Global Water Partnership). (2000). Framework for
Providentially, international case studies reveal that Action: Responding to the Forum. Report reflecting on the
water sustainability challenges and opportunities are Framework for Action presented at the Second World Water
Forum, Stockholm, Sweden, March.
similar across cultures and geographical contexts and
yield significant economies of scale in the development 19. GWP/TAC (Global Water Partnership/Technical Advisory
Committee). (1999). The Dublin Principles for Water. TAC
of theory and practice.
Background Papers, No. 3, Global Water Partnership,
Stockholm, Sweden.
BIBLIOGRAPHY 20. Smith, D. and Rast, W. (1998). Environmentally sustainable
management and use of internationally shared freshwater
resources. In: Watershed Management—Practice, Policies
1. WCED (World Commission on Environment and Develop- and Coordination. R.J. Reimold (Ed.). McGraw-Hill, New
ment). (1987). Our Common Future, Oxford University Press, York, p. 294.
New York.
21. Howe, C. (1995). Guidelines for the Design of Effective Water
2. UNCED (United Nations Conference on Environment and Management Institutions Utilizing Economic Instruments.
Development). (1992). Earth Summit 1992—the United Report presented at Workshop on the use of economic
Nations Conference on Environment and Development, The principles for the integrated management of freshwater
Regency Press, London. resources, United Nations Environment Programme (UNEP),
3. Downs, T.J. (2002). A participatory integrated capacity build- Nairobi, Kenya.
ing approach to the theory and practice of sustainabil- 22. UNDP (United Nations Development Programme), About
ity—Mexico and New England Watershed Case Studies. In: Capacity 21, Available at: www.sdnp.undp.org/c21, consulted
International Experiences on Sustainability. W.L. Filho (Ed.). 2001.
Peter Lang, Frankfurt am Main, pp. 179–205.
23. IRC. (2001). Community Management: The Way Forward.
4. UN. Earth Summit 2002 Briefing Documents, available at: Report of the workshop, November 19–27, Rockanje,
http://www.earthsummit2002.org/, consulted 2002. Netherlands.
5. UN. Earth Summit +5: Programme of action adopted by the 24. IRC. (2001). From System to Service—Scaling-up Community
Assembly, Special Session of the Assembly to review and Management. Report of the conference, The Hague, Nether-
appraise the implementation of Agenda 21, UN Department lands, December 12–13.
of Economic and Social Affairs, New York, available at: 25. World Bank. (1994). World Development Report: Infrastruc-
http://www.un.org/esa/earsummit/, authored 1997, consulted ture for Development, Oxford University Press, Oxford, UK.
2000.
26. WSSCC. (2000). Vision 21: Water for People—a Shared Vision
6. World Watch. (2002). State of the World 2002. WW Norton, for Hygiene, Sanitation and Water Supply. Water Supply and
New York. Sanitation Collaborative Council, Geneva, Switzerland.
7. Downs, T.J. (2001). Making sustainable development opera- 27. Hailey, J. Beyond the PRA Formula, Paper presented at the
tional: Capacity building for the water supply and sanitation Symposium on Participation: the New Tyranny? Institute
sector in Mexico. J. Environ. Plann. Manage. 44(4): 525–544. for Development Policy and Management, Manchester, UK,
8. Hardin, G. (1968). The tragedy of the commons. Science 162: November 3, 1998.
1243–1248.
9. Ostrom, E. (1999). Coping with the tragedy of the commons.
Annu. Rev. Political Sci. 2: 493–535. THE PROVISION OF DRINKING WATER AND
10. Dietz, T. et al. (2002). The drama of the commons. In: The SANITATION IN DEVELOPING COUNTRIES
Drama of the Commons. E. Ostrum (Ed.). National Academy
Press, Washington, DC.
TERENCE R. LEE
11. Steins, N., Roling, N., and Edwards, V. (2000). Redesigning
the principles: an interactive perspective to CPR theory. Proc., Santiago, Chile
8th Conf. Int. Assoc. Study Common Property, Bloomington,
IN, June 1–4.
12. Meadows, D.H., Meadow, D.L., Randers, J., and Behrens, Few die from a lack of water, but many die from
W.W. (1972). The Limits to Growth: A Report for the Club water. Despite all the resolutions made at international
of Rome’s Project on the Predicament of Mankind. Universe congresses and all the pledges from governments and
Books, New York. international organizations, more than 3 million people
13. Clayton, M.H. and Radcliffe, J. (1996). Sustainability, a die each year from water-related diseases (Fig. 1). These
Systems Approach. Earthscan, London, p. 65. deaths occur in circumstances where safe water and
 THE PROVISION OF DRINKING WATER AND SANITATION IN DEVELOPING COUNTRIES 631

sanitation would have cut by at least one-third the number • The second zone is the formal suburban area, which is
of diarrhea cases (currently at 4 billion worldwide every partly parceled in legally constituted lots. However,
year) which result in 2.2 million of those deaths (1). only part of this area has public water supply and
The U.S. National Academy of Engineering includes sanitation. In the rest, where the majority of houses
drinking water supply as one of the great engineering have been built on public land without permission,
achievements of the twentieth century. For those fortunate the inhabitants eliminate domestic wastes in situ.
to live in a developed country, it was. However, the failure Of the inhabitants, 40% use latrines, 40% use
to provide universal safe drinking water and adequate abandoned wells, and 20% use dug holes.
sanitation is amongst the gravest contradictions of our • The third zone is entirely without any public water
world at the beginning of the twenty-first century. The supply or sanitation (4).
necessary technology has existed for at least two millennia,
but there remain serious obstacles to its application. The In the suburbs of Dakar, only 40% of the population
result is that at least 1 billion people remain without access receives drinking water from a protected source, usually
to a reliable and safe source of water, and more than 2.5 public taps; the remainder of the population relies on
billion lack safe sanitation. This population is concentrated water from shallow wells, running the risk of contracting
in countries at the lowest levels of development. diseases as the groundwater quality is menaced through
The deficits in services are greatest in Africa where the existence of poor quality latrines and of excreta
38% of its population remains without safe water and 40% deposited directly on the soil.
without sanitation; Asia has 19% of its population without The menace of well contamination is present even in
access to safe water, 52% without adequate sanitation; and rural areas that have much lower population densities
in Latin America and the Caribbean, 15% of the population than those of the suburbs of Dakar. The problem is the
is without a potable water supply and 22% without reliance on shallow wells when excreta are also disposed
adequate sanitation. Although, it has been estimated that of into the shallow aquifer. Problems due to contamination
a large number of additional people obtained access to are compounded by the restrictions on water consumption
services in the 1990s (800 million to water and 750 million imposed by the need to carry water over long distances
to sanitation), population migrations and growth have (Table 1). People will go a very long distance to get water,
meant that the proportion of the urban population with even more than 2000 meters, but consumption drops
access to a safe water supply actually decreased, whereas drastically when water has to be carried so far. It has
the absolute number of people without access to water and been estimated by the World Health Organisation that
sanitation remained the same (3). something of the order of 50 liters per person a day is
An example of what these statistics can mean in reality needed to live safe from disease, which, the data in the
for the population of a city can be illustrated by the table suggest, means a tap in the dwelling.
situation in Dakar, the capital of Senegal in West Africa. In For the rural population, water may be free, even if
Dakar, the urban area can be subdivided into three zones: not close by. In urban areas, even for low levels of supply,
water has to be paid for. It has long been known that
• The first zone is completely laid out in lots and the poor pay more when the source is not a public utility
endowed with water supply and sanitation. It (Table 2).
corresponds to the area of the colonial city founded Rural water supply service can be extended through
in the second half of the nineteenth century. Today, the successful change to a demand-led provision of both
it is the commercial and administrative center. technologies for the individual household (hand dug
wells, hand pumps, roof catchments) and community
technologies (gravity flow and simple pumped systems
manageable by community members). The main issue is
100 to overcome the operations and maintenance problems,
90 which, in the past, have made up to one-third of even such
80
70
60 Table 1. Water Consumption in Rural Areas
50 Average Daily
40 Consumption, Liters
30 Type of Water Supply per Person
20
10 Communal source
Well or tap farther than 1000 meters 7
0 Water supply
Well or tap between 250 and 1000 meters 12
High Sanitation Well less than 250 meters 20
Middle
Low Tap less than 250 meters 30
Least
Tap in yard 40
Sanitation Water supply Tap in house
Single tap 50
Figure 1. Percentage of population with access to improved Multiple taps 150
water source and sanitation, by level of development.
(Source: Reference 2.) Source: Reference 5.
632 THE PROVISION OF DRINKING WATER AND SANITATION IN DEVELOPING COUNTRIES

Table 2. Ratio Between the Price Charged by Water One consequence of local municipal ownership and
Vendor and by Public Utilities, Selected Cities management of services has been the creation of serious
City Ratio difficulties for the transfer of successful experience. In the
nineteenth and early twentieth centuries, technological
Dacca, Bangladesh 12–25 and administrative transfers, even if restricted, did occur
Cali, Colombia 10 through colonial governments. Now, transfer has been
Guayaquil, Ecuador 20
largely left to international aid organizations which,
Port-au-Prince, Haiti 17–100
Tegulcigalpa, Honduras 16–34
whether governmental or nongovernmental, have failed
Jakarta, Indonesia 4–60 to provide continuity in commitment over the long term.
Adidjan, Ivory Coast 5 Even where historically services have been provided by
Nairobi, Kenya 7–11 private companies, these too have tended to be small and
Lagos, Nigeria 4–10 local. Water supply and sewerage services have largely
Karachi, Pakistan 28–83 resisted globalization and even today foreign operation
Lima, Peru 17 and investment in services is very limited. There has
Istanbul, Turkey 10 been, therefore, little transfer of the ways and means
Kampala, Uganda 4–9 of providing service from the successful to the rest of
Source: Reference 6. the world.
Where transfers have occurred, advances and inno-
vation in water supply and sewerage have been related
relatively low technology systems out of order soon after mainly to the technical aspects of the operation and admin-
installation (7). Any improvement will require continuing istration of large organized urban systems. There has been
support once the systems are installed. It is now accepted little or no innovation for the provision of services to the
that increased private sector involvement and the transfer informal suburbs of the large cities in developing coun-
of many water points from community to private household tries, and this is why the use of the shallow well for water
management can improve performance. For example, a supply and the latrine for excreta disposal remain the
World Bank survey in the 1980s showed that 60% of methods of choice.
the public hand pumps in rural India were out of order, Moreover, it has been the conventional wisdom that a
compared to only 10% of privately owned pumps (8). large and relatively sophisticated institution is required
Rural sanitation normally takes the form of on- to plan, organize, and control this monopoly provision.
plot sanitation, which does not impose high external However, there is considerable potential for private
investment costs or significant operation and maintenance sector involvement in managing, or supporting the
responsibilities outside the household. Public support is management of, all or parts of a system, as well as in
required for the critical tasks of health and sanitation contributing to the capital requirements in middle-income
education and promotion, and there is a need for effective metropolitan areas.
provision of small-scale credits to allow the purchase of Dar-es-Salaam, Tanzania, presents an example of one
components, such as latrine slabs. Some of these activities possible alternative approach. Residents of Dar-es-Salaam
could be successfully delegated to the private sector, as face chronic water shortages and often have to combine
has been done with both rural water supply and sanitation several sources of water at different costs and quality to
installation and maintenance support in Chile (9). fill their needs. The Dar-es-Salaam Water and Sewerage
In urban areas, self-help solutions have limited Authority provides most of the bulk water supplies to the
application. Urban water supply systems, even where they city. The Authority is relatively efficient; some 80% of
exist, commonly do not cover the entire population, have the water produced is billed, although only 50% of the
not expanded to keep pace with population growth, and fail bills is collected. However, only one-third of households
to provide either adequate pressure or a continuous supply. receive their water directly from the utility, creating a
The shortfall in coverage always means the absence of large niche for the private sector in water distribution.
service for lower income groups. In addition to the failure of Large parts of the distribution system—both the piped
systems to expand or provide continuous supply, demand system and nonpiped supply—are in private hands (10).
for water grows as industrial and commercial demands This ‘‘privatization by default’’ is manifested in two ways:
rise with economic growth. At the same time, increased
household demand for drinking water is in part driven by • through the private redistribution of water, that is,
higher living standards resulting from economic growth water vending, ranging from home-based, quasi-legal
and by the use of conventional waterborne sewerage, which resellers and informal low-income pushcart vendors
significantly increases per capita water use. to more formalized and regulated distributors
Because of economies of scale and the low value delivering water to people’s homes by tank truck; and
of the product supplied, urban water supply has been • by the ‘‘spaghettization’’ of the piped water network,
considered a ‘natural’ monopoly. It is certainly not where privately financed individual service lines are,
practicable or economical to have direct competition in practice, directing investments and expansion of
in the provision of network services at the household the distribution system.
level. Traditionally, providing water supply and sewerage
services has been a local responsibility where services Urban sanitation needs may be met through on-plot
are overwhelmingly run through municipal governments. systems, communal facilities, or traditional sewerage
 SUSTAINABLE MANAGEMENT OF NATURAL RESOURCES 633

systems. Privatization by default of network sewerage Water Supply and Sanitation, Technical Paper No.18, The
services is rarely, if ever, found. On-plot systems involve Hague.
households in providing their own facilities through 6. Bhatia, R. and Falkenmark, M. (1992). Water Resource Policies
different types of latrines, but contamination of the and the Urban Poor: Innovative Approaches and Policy
groundwater results in densely populated communities. Imperatives. Background paper ICWE, Dublin.
Communal facilities economize on investment and water 7. Franceys, R. (1997). Private Waters?—A Bias Towards the
but may not be acceptable in all cultures, however. Poor. Department for International Development, Occasional
paper No. 3, London.
Alternative systems to traditional sewerage systems can
reduce costs and could be provided communally. The 8. Cairncross, S. (1989). Water supply and sanitation: An agenda
for research. J. Trop. Med. Hyg. 92: 571–577.
provision of simplified sewers is one alternative. Simplified
sewerage is essentially conventional sewerage without 9. Chile, Ministerio de Obras Públicas. (1999). Memoria,
Santiago, Chile.
any of its conservative design requirements. It can be
considered as the latter stripped down to its hydraulic 10. Kjellén, M. (2001). Water Provisioning in Dar-es-Salaam,
Tanzania: The Public—Private Interface. Paper presented
basics. It is also called shallow sewerage, and its in-block
to the UNESCO symposium: Frontiers in Urban Water
variant is often called backyard or condominial sewerage. Management, Marseilles, France.
Under this system, the sewers are laid on private rather
than public land, household labor is accepted as partial
payment for the connection, and smaller bore sewers are SUSTAINABLE MANAGEMENT OF NATURAL
used. It is estimated that the costs of service delivery can
be reduced by 30% using this system.
RESOURCES
The provision of sewerage through conventional LUCAS REIJNDERS
waterborne sewers has considerable economies of scale University of Amsterdam
leading to monopolistic provision and needs complex Amsterdam, The Netherlands
institutional support. However, smaller scale provision
is possible with simplified sewerage systems. This means
that the private sector and local communities could become INTRODUCTION
more involved in supplying and servicing such systems
as well as in providing on-plot sanitation, where this is It is easier to agree on what is unsustainable than on what
possible, and also in providing and managing communal is sustainable. The once great Newfoundland cod fishery
sanitation facilities. collapsed in 1992, causing 20,000 people to lose their
The provision of services to the rural population, or jobs (1). It is uncontroversial to call the fishing practices
even to less dense urban areas, should not and does not that led to this collapse unsustainable. Similarly, it is
require such high levels of investment, and the same uncontroversial to call mining of fossil water for corn
technology can be applied that has existed for milennia. production in Saudi Arabia unsustainable. However, by
However, a serious obstacle to improving water supply and now there are probably more than 100 definitions of
sanitation in large third-world cities is the cost of modern sustainability. Such definitions include environmental
centralized water supply and waterborne sewage systems. and often also social and economic aspects of human
These require a capital investment of, at least, US$ 1000 activities. They may either stress matters that can in
per connection even without sewage treatment. It is in the principle be objectively established (such as fish stocks)
cities that innovation is required and alternative systems or be social constructivist, emphasizing divergent views
must be sought. of stakeholders, different world views, or procedures to
come to agreement about what sustainability means in a
specific social context.
BIBLIOGRAPHY
Here sustainability will be defined according to the
World Conservation Strategy (2) that introduced the
1. World Health Organization (WHO), UNICEF and the Water
concept among policy makers. This definition fits a steady-
Supply and Sanitation Collaborative Council. (2001). Global
state economy (3)—an equilibrium relation between
Water Supply and Sanitation Assessment 2000 Report. Avail-
able at: www.who.int/water-sanitation-health/Globassesment/ human activities and the physical environment. The
GlasspdfToC.htm. definition is also in line with long-standing approaches
2. United Nations Development Programme. (2003). Human
to safeguard the long-term productivity of forestry and
Development Report, New York. fisheries (4). The main underlying principle of so defined
3. Report of the World Panel on Financing Water Infrastructure.
sustainability is that of justice between the generations.
(2003). Financing Water for All. Presentation to the 3rd World This principle comes back in the most famous of later
Water Forum, Kyoto, Japan. definitions of sustainability, given in the report Our
4. Tandia, A.A., Gaye, C.B., and Faye, A. (1998). Origin, Process Common Future (5): ‘‘meeting the needs of the present
and Migration of Nitrate Compounds in the Aquifer of Dakar without compromising the ability of future generations to
Region, Senegal. IAEA-TECDOC-1046, Application of isotope meet their needs.’’
techniques to investigate groundwater pollution, Joanneum ‘‘Natural resources’’ is a concept less controversial than
Research, Vienna, pp. 67–80. sustainability. It includes all that we use or take from
5. International Referral Centre. (1981). Small Community Water nature to provide for our existence. Mineral oil, river
Supplies. International Reference Centre for Community water, North Atlantic cod, and iron ore all belong to
634 SUSTAINABLE MANAGEMENT OF NATURAL RESOURCES

our natural resources. Efforts are needed to obtain these The concern for (virtually) nonrenewable natural
resources. They can be considered natural capital and are resources is mainly with geochemically scarce natural
not technologically replaceable by other forms of capital, resources that are currently being depleted rapidly. In
such as social or financial capital (6). There is also a this category belong fossil water resources in North Africa
category of services of nature that we use, whether or not and Southwest Asia that are currently ‘‘mined’’ (10). Fossil
we are aware of it. These include degradation of toxic carbon compounds and ores for phosphates and metals
substances, maintenance of atmospheric composition, such as silver, platina, tin, and nickel are other examples.
sequestration and cycling of minerals, and structuring If the stocks that are formed by slow geological processes
services. Many of these services are ecosystem services. are to last during the normal lifetime of a primate species
There is no reason to believe that financial or social capital (∼106 years), losses from stocks (including stocks in
can be an effective substitute for nature in producing the economy) due to dissipation should be kept small.
ecosystem services (7). When substitutes that are dependent on flux-type or
In this article, sustainable management of natural renewable resources are made available in a sustainable
resources comes down to maintaining natural capital so way, relatively large reductions of the stock that was
that it can be used by all future generations of humans. formed by geological processes are defensible (11).
This is based on a production level that can be sustained In ecosystem functions that are important to us,
indefinitely without threatening the living conditions of both the area available to natural ecosystems and
future generations (8). species composition (‘‘biodiversity’’) of ecosystems matter.
First, sustainability is discussed in the context of four Moreover, for proper functioning, a number of conditions
different types of natural resources. Thereafter, three regarding the abiotic aspects of the ecosystem should
aspects of sustainability are discussed in more detail: be met. Requirements as to the quantity and quality of
water available function, often prominently, among such
• sustainable management of fresh water resources, conditions (12).
• sustainable management of fisheries, and
• sustainable management of ecosystems.
SUSTAINABLE MANAGEMENT OF FRESHWATER
RESOURCES
TYPES OF NATURAL RESOURCES AND THEIR
SUSTAINABLE USE Freshwater is a vital natural resource for humankind.
Only 3% of the world’s water is fresh, and of that over 98%
In the context of resource management, several important occurs as groundwater and less than 2% in surface water
types of natural resources can be distinguished. First, such as rivers and lakes. Desalinized seawater is used to
there are flux-type natural resources. These can be used a very limited extent as a resource. This is closely related
without any impact on future availability. Examples of to its high price (9).
such flux-type natural resources are wind and solar To meet the criterion of sustainability, as defined
radiation. Second, there are renewable natural resources. here, the usage of renewable freshwater resources should
In this case, there are currently substantial additions to not exceed additions to stocks. Withdrawal of seawater
the stock. Such resources include freshwater in rivers and is by itself insignificant in view of sustainability, but
fish in the seas. Aquifers that are replenished, mostly at desalinization should be powered by energy from flux-type
a rate of 0.1–0.3%/year (9), also belong to the category of resources (wind solar) or by sustainable biomass chains.
renewable resources. The use of fossil freshwater stocks may be considered to
A third type of natural resource is the product of slow bridge gaps temporarily on the way to sustainability.
geological processes. This is the category of the (virtually) Traditionally, management of freshwater resources has
nonrenewables and includes metal ores, fossil water, been strongly focused on the supply side: trying to supply
and fossil carbon compounds. Compared with the total adequate amounts of good-quality water and limiting
stock, there are no or relatively small additions to these the negative impacts of excessive water. Interest in
resources. Total stocks may vary strongly. For instance, sustainable management has shifted the focus. Demand-
stocks of iron ore are large, but the stocks of, for instance, side management, reuse of water, and water conservation
Ag (silver), Sn (tin), or Pt (platinum) ores and fossil water have become important. Though there is substantial scope
are relatively small. A fourth type of resource covers living for improvement at current price levels, it has rightly been
nature, which provides for ecosystem services. argued that sustainable management of water resources is
From the viewpoint of sustainable resource manage- dependent on major changes in economic arrangements for
ment, flux-type resources may be freely used. This is not dealing with water resources. A number of proposals for
so for the other three types of resources. such changes have focused on rationing, where the sum of
To conserve renewables over long periods of time, rations reflects sustainable management. Most proposals,
the usage of renewables should not exceed the addition however, argue in favor of water pricing that reflects the
to stock. Moreover, the quality of the stock should be true full cost, including external costs.
maintained. For instance, as to groundwater, the condition In demand-side management, providing for freshwater-
should be met that water tables do not fall, and also based services with less water (‘‘improving efficiency’’)
pollution that negatively affects the future value of the matters. As agriculture is the most important consumer
resource should be prevented. of freshwater, requiring an estimated 65–75% of all water
 SUSTAINABLE MANAGEMENT OF NATURAL RESOURCES 635

use, agriculture is a useful primary focus for efforts Water-efficiency improvement in industry and house-
to improve water efficiency and reuse (9,12,13). This is holds has advanced. In industry, much of the improvement
especially so in semiarid areas that are currently ‘‘water has come from internal reuse and process optimization,
starved’’ or where current practices cannot be sustained. and there is still scope for further reductions in industrial-
Moreover, the share of agriculture in water withdrawals ized countries. For instance, a detailed study in the United
in such areas is often >85% (14). Water losses from Kingdom (20) suggested that industrial water consump-
agricultural systems in semiarid areas due to leakage tion can be cut by 30% in a profitable way at current price
during storage and conveyance (in case of irrigation), and levels. When water prices for industry increase to reflect
to runoff, drainage, and evaporation are usually of the true costs, profitable efficiency gains may increase consid-
order of 70–85%. In some parts of sub-Saharan Africa, erably (17,21). Studies pertinent to developing and emerg-
the loss for rain-fed agriculture may be 95% (13). Though ing industrial countries also tend to show a large potential
a substantial part of these losses is unavoidable, there is for profitable water efficiency improvements (22–24).
also scope for improvement. For instance, when current Substantial improvements are underway in household
water efficiency in sub-Saharan Africa is 5%, an increase water efficiency. Water use by water closets has been
to 10% (doubling vegetation yield) can often be achieved reduced by 75% or more, and major improvements in
by the introduction of dwarf shrubs and improved tillage water efficiency have also been achieved in showers and
and nutrient management (13). appliances such as (dish and clothes) washing machines.
In irrigated agriculture, now responsible for about Such efficiency improvements are usually profitable if
one-third of worldwide food and fiber harvests, better current lifetime costs of appliances are considered (12,25).
efficiencies are also possible. Options for efficiency Internal reuse of household water, for instance, by using
improvement include better provisions for storage and gray water for flushing water closets is practiced to a
conveyance, better scheduling, furrow diking, direct limited extent.
seeding, land leveling, microirrigation systems (drip Finally, stocks of water may be improved by better
irrigation and microsprinklers), and better regulation of water conservation. An eye-catching example of water
the groundwater table (12,13). conservation is in Sun Valley in the Los Angeles basin
Reuse of water in agriculture is a way to limit (USA). This valley was beset by floods from periodic winter
water withdrawals. In practice, both water from rains. This led to regular press coverage showing vehicles
wastewater treatment plants and drainage water are driving in heavy (rain) water. To solve this problem,
reused (10,13–16). In the latter case, such water is often the County’s Public Works Department initially opted
used to irrigate relatively salt-resistant crops. In manag- for a storm drain to carry surplus water to the ocean.
ing reuse, the quality of water is important. The salinity However, public discussion led to another solution. Water
and sodicity of water may negatively affect the future pro- from winter rain is now increasingly collected in Sun
ductivity of agricultural land. Excessive levels of nitrate, Valley to recharge groundwater. In Europe, new urban
pesticides, and the presence of agents causative of infec- developments increasingly rely on keeping rainwater out
tious diseases may pose a direct threat to animal and of the sewer systems and allowing it to infiltrate to add to
human health. Receiving soils may, furthermore, act as groundwater stocks.
a ‘‘sink’’ for hazardous compounds that may subsequently
enter human and animal food chains. When persistent haz- SUSTAINABLE MANAGEMENT OF FISHERIES
ardous pollutants enter deep groundwater, they can result
in long-term contamination of this important freshwater Fisheries catch renewable natural resources. When
stock. Negative aspects of the secondary water supply may catches systematically exceed additions to stock, such
be influenced by pollution prevention (‘‘source reduction’’) resources can be depleted. If catches that exceed
and treatment. Often there are possibilities for source additions to stock are stopped, in a number of cases, the
reduction that are profitable at current prices (18). population rebounds. However, there are also cases where
Though both improvements in agricultural water stocks do not rebound and remain at low equilibrium
efficiency and reuse offer scope for a more sustainable populations.
management of resources, it should be realized that in To be sustainable, catches should not exceed additions
an increasing number of countries, especially due to to stock in quality and quantity. Regarding cod, for
increasing population pressure, such improvements will instance, it is not only important to maintain a constant
not be sufficient to feed the population in a sustainable number of fish but also to safeguard that such fish are in
way. This leads to the need for such countries to the right age and size classes to maintain predation and
import ‘‘water-intensive’’ food from countries that have reproduction (8). Moreover, for economic, biological, and
no water shortages. social reasons, fisheries should manage stocks toward the
Improvements in efficiency and reuse are also possible higher end of abundance (1).
outside agriculture. An obvious object for improved Sustainable management of fisheries is a long-standing
efficiency is excessive loss and illegal withdrawal from issue. At least since the thirteenth century, European
distribution systems. In industrialized countries, losses of kings and other people in high places are on record
the order of 6% to more than 25% are common (17,19). opposing unsustainable fishing in their realms. The
Higher percentages have been noted elsewhere. In earliest recorded government-sponsored efforts to manage
Jordanian cities, for instance, 55% and more of the input fisheries in a sustainable way in Europe date from the
in distribution systems is ‘‘unaccounted for water’’ (10). same time (26).
636 SUSTAINABLE MANAGEMENT OF NATURAL RESOURCES

There is evidence that a number of traditional effort is not up to the ingenuity of illegal fishing,
management systems have operated sustainably while management efforts may well become a failure.
managing stocks toward the higher end of abundance. • With few exceptions (‘‘dolphin safe’’ tuna fishing,
Such systems have usually been characterized by the use of turtle excluders, and the Norwegian no-
ownership and controlled access; closed seasons during discard policy), management systems have been poor
which fishing was prohibited; a taboo on fishing in refuge at limiting the negative impacts on stocks of by-catch
areas; and gear, size, and species restrictions (27,28). and discards. Globally, discarding may be about 30%
By present standards, fishing effort has been low of landed tonnage.
under such traditional arrangements. When efforts • Many management strategies have opted for limita-
increase (usually linked to financial pressures, population tion of effort, for instance, by regulating the efficiency
pressure, and technological development), stocks tend of fishing gear; engine size; fishing season; and/or
to decrease—especially when there is open access. The limiting the number, size, and storage capacity of
unregulated dynamic of fisheries is to deplete a stock as fishing boats. Only in a limited number of cases (e.g.,
far as markets and technology will allow and then move the rock lobster fishery in West Australia) have such
on to the next stock (1,29). approaches been successful.
A variety of approaches have been tried to counter the
• A number of efforts have opted for allocating
tendency of fisheries to deplete stocks. In many cases,
total allowable catches to political entities such
such efforts have failed. Consequently, prices paid for
as countries. In some cases, these efforts have
the produce of fisheries are now often much higher than
been successes and in other cases, they have been
they would have been under conditions of sustainable
failures. An important reason for failure, apart from
management (8). Moreover, it has been estimated that the
illegal catches, has been that conservation goals
revenues of the worlds fishing fleets are approximately
were not separated from allocation, which resulted
US$20–40 × 109 below their operating costs (30,31).
in losing conservation goals in allocation battles.
Against this sobering background, there is no shortage
Electoral considerations favoring perceived (short-
of suggestions for improvement, all focusing on the
term) interests of the fishing industry have also
supply side. Some have argued in favor of a revival of
contributed to failure.
traditional arrangements that have worked well, such
as the community-based fisheries management systems • More recently, there has been the tendency to base
in the Pacific Islands and Japanese inshore fisherman’s management on the allocation of long-term or even
traditional user rights (28,32). Whether such a revival perpetual individual rights or individual transferable
can be successful is dependent on meeting a number of rights for their fishermen. In most cases, these rights
conditions (28). Current developments are not necessarily have been based on past catch histories (‘‘grandfather
conducive to this (27). rights’’). In some cases, such individual rights have
Recently, based on an initiative of the Worldwide been auctioned. There have been failures of such
systems, such as the abalone fishery of British
Fund for Nature (WWF) and the company Unilever, a
Columbia and the Southern school sharks fishery
nongovernmental initiative emerged to certify sustainable
of Australia. But in other cases, this approach has
fisheries. This is the Marine Stewardship Council that, by
worked relatively well. Success may be partly linked
March 2004, had certified eight fisheries as sustainable.
to the fact that individual rights that are allocated for
There is considerable favorable consumer interest in this
a long time become more valuable if fishing practices
approach (33), but it is too early to offer a verdict on the
are sustainable.
success of this scheme.
Most proposals for improving management practices • The establishment of marine protected areas that
have focused on government intervention. The use of are protected from fishing (which are aimed at
incentive-based price instruments, such as landings and conservation of fish stock but may also conserve or
vessel taxes, has been advocated (31). Though, in the case restore ecosystems) has so far not been practiced to
of freshwater, adapting prices is increasingly popular an extent that allows a verdict on its effectiveness.
as a means to attain sustainable management, this is The same holds for the allocation of fishing rights to
different for fisheries. To the extent that efforts have been cooperatives.
undertaken by governments, the focus has been firmly
on trying to manage ‘‘physical’’ aspects of fisheries by
SUSTAINABLE MANAGEMENT OF ECOSYSTEMS
measures such as limitation of effort, minimum allowable
sizes for individual species, maximum allowable catches,
and protected areas. Natural ecosystems provide for a wide variety of services.
There have been both failures and cases of successful Part of the services of natural ecosystems relate to water.
governmental management of fisheries focusing on physi- Natural ecosystems are important in determining levels
cal aspects of fisheries. From the successes and failures so of greenhouse gases, and thereby climate, that in turn is a
far, a number of lessons can be drawn (1,32,34–37). determinant of the global water cycle. Such ecosystems are
also a major determinant of worldwide evapotranspiration.
There are, furthermore, local quantitative and qualitative
• The problem of illegal catches exists, especially if links between ecosystems and water. For instance, deep-
stocks are close to the market. When the policing rooted natural vegetation along watercourses catches
 SUSTAINABLE MANAGEMENT OF NATURAL RESOURCES 637

minerals and returns these to topsoils. Thereby, it reduces 4. Becker, B. (1998). Sustainability Assessment: A Review of
the mineral content of surface waters, while increasing Values, Concepts and Methodological Approaches. World
primary productivity on topsoils (38,39). Tropical rain Bank, Washington, DC.
forests are characterized by high levels of water recycling. 5. World Commission on Environment and Development. (1987).
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into a savanna (40). Ecol. Econ. 16: 239–255.
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number of ecosystem services in the entire biosphere Manage. in press.
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$33 × 1012 ) is in excess of the gross world product (41). contra sustainability: the proper construction of sustainabil-
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$27 × 1012 comes from marine, freshwater, and wetland 9. Pimentel, D. and Houser, J. (1997). Water resources, agricul-
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28: 275–314.
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Water Manage. 62: 165–185.
much biodiversity can be reduced without reducing
14. Araus, J.L. (2004). The problems of sustainable water
ecosystem services. Loss of a species should not lead to loss
use in the Mediterranean and research requirements for
of function when there is functional redundancy. However, agriculture. Ann. Appl. Biol. 144: 259–272.
experimental evidence suggests that the statistical
15. Crites, R., Reed, S., and Bastian, R. (2001). Applying treated
relation between species diversity and ecosystem functions wastewater to land. Biocycle April: 32–36.
important to humans may well be strong, though it is
16. Tsagarakis, K.P., Dialynas, G.E., and Angelakis, A.N. (2004).
likely that actual contributions may show large differences Water resources management in Crete (Greece) including
between species (42–45). Even when a species seems water recycling and reuse and proposed quality criteria. Agric.
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loss of apparent functional redundancy may come at great 17. Levin, R.B. et al. (2002). US drinking water challenges in the
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So sustainable management is presumably strongly Process and Products. Kluwer, Dordrecht, The Netherlands.
dependent on maintaining species diversity in ecosystems 19. Antolioni, B. and Filipppini, M. (2001). The use of a variable
as that has developed. cost function in the regulation of the Italian water industry.
A main problem in attaining criteria for sustainability Utilities Policy 10: 181–187.
is that many ecosystem services in practice do not have 20. Holt, C.P., Philips, P.S., and Bates, M.P. (2002). Analysis of
a price. There are economic incentives that may be the role of waste minimization clubs in reducing industrial
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These include user fees for national parks, royalties from 315–331.
bioprospecting, conservation easements, and mitigation 21. Braeken, L., van der Bruggen, B., and Vandecasteele, C.
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to base nature conservation on the true value of 23. Rao, J.R. et al. (2003). Recouping the wastewater: A way
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42. Tilman, D., Wedin, D., and Knops, J. (1996). Productivity problem (2,3).
and sustainability influenced by biodiversity in grassland • Overabstraction of aquifers, in many instances,
ecosystems. Nature 379: 718–720. has led to lowering of the water table and the
43. Duarte, C.M. (2000). Marine biodiversity and ecosystem deterioration of water quality, primarily through
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45. Symstad, A.J. et al. (2003). Long term and large scale • The demand for water is expected to increase on
perspectives on the relationship of biodiversity and ecosystem Mediterranean islands because of, among others, an
functioning. Bioscience 53: 89–98. expected increase in the population and the number of
46. Bellwood, D.R., Hughes, T.P., Folke, C., and Nystrom, M. tourists. Conflicts between competing users of water
(2004). Confronting the coral reef crisis. Nature 429: will inevitably intensify.
827–833. • Agriculture is the predominant consumer of water
47. Walker, B. (1995). Conserving biological diversity through on most Mediterranean islands (Fig. 1). Agricultural
ecosystems resilience. Conserv. Biol. 9: 747–752. activities threaten the availability (quantity) but
 SUSTAINABLE WATER MANAGEMENT ON MEDITERRANEAN ISLANDS: RESEARCH AND EDUCATION 639

also the quality of water due to the use of TOWARD SUSTAINABLE, STAKEHOLDER-BASED WATER
fertilizers, pesticides, and the release of olive-oil-mill MANAGEMENT PRACTICES: THE MEDIS PROJECT
wastes. During the summer months, tourism also
becomes a major water consumer, and competition To address the problems of water management on Mediter-
between agriculture and tourism can lead to serious ranean islands in accordance with the criteria just intro-
stakeholder conflicts. duced and by observing the need to implement the WFD
swiftly and effectively on these islands, an EU-funded
• The rational distribution and use of water requires research project, MEDIS (toward sustainable water use
resolving conflicts among the different end users of on Mediterranean islands: addressing conflicting demands
water. Such conflicting interests have contributed to and varying hydrological, social, and economic conditions),
the unsustainable use of water in the past. has been implemented. MEDIS is carried out by a consor-
• Given the need for the protection and the sustainable tium of 12 institutions from seven countries.
use of island water resources, coupled with the
need to satisfy the increasing water demand, the Goals and Objectives
islands have to formulate strategic policies based on The overall goal of MEDIS is to contribute to sustainable
integrated water management and should pay proper and equitable use of water on Mediterranean islands.
attention to the objectives of the WFD. This is to be achieved through a set of recommendations
to implement sustainable, equitable water management
The WFD may introduce an effective avenue to address regimes on each island that reflect the current and
these problems, but at the same time its implementation possible future (climatic) conditions on each island.
presents a challenge. The problems that govern the These recommendations will comply with the WFD and
availability of water in the Mediterranean have specific will build on the conclusions reached in consultation
manifestations on each of the islands, but the islands also with stakeholders from all five islands involved. More
share a number of general characteristics and patterns. specifically, work in MEDIS
Thus, learning how to implement the WFD best on selected
• concentrates on a synthesis of results from previous
Mediterranean islands through comparisons, mutual
studies and integrating information from various
learning, and experience sharing offers the prospects of
disciplines;
deriving a more generic set of recommendations.
The overriding characteristic that governs most of the • is carried out on a catchment scale on major islands
problems mentioned lies in their complex and multifaceted of the Mediterranean stretching from the west to the
nature, which requires a holistic approach involving east: Majorca, Corsica, Sicily, Crete, and Cyprus;
the integration of natural and social sciences. Thus, in • seeks to develop an infrastructure for participatory
considering water availability and water use and deriving stakeholder involvement that will enable estab-
strategies for sustainable and equitable distribution of lishing sustainable and equitable water manage-
water, interdisciplinarity is a necessary condition. ment schemes;
Moreover, lasting solutions for sustainable water man- • considers (possibly drastically) altered conditions
agement in the Mediterranean will be found only through that may arise due to changed climatic conditions
recommendations and/or regulations that are based on through a set of what-if scenarios;
mutually agreed principles among the stakeholders. This • concentrates on agriculture as the predominant
requires a stakeholder-based, participatory process that consumer of water on Mediterranean islands; and
builds on the results of scientific investigations, on the one
• undertakes comparative analyses between the
hand, and on the consent of major stakeholders, on the
islands to derive generic conclusions/recommenda-
other (5).
tions and to use possible common solutions to water
management problems in compliance with the WFD.
Environment Methodology
5%
Industry
The major stages of the research strategy applied in
1% MEDIS, which are carried out during a 4-year period,
are depicted in Fig. 2. The initial phase of the project
Tourism
5%
comprises a thorough assessment of the major character-
istics that determine the availability and the demand of
Domestic excl. water on each island. This includes (current and future)
tourism climatic conditions; (geo) physical, pedological, and hydro-
20% logic characteristics as well as the vegetative cover on each
island; major sources and consumers of water; agricultural
practices in irrigation and agrochemical use; conditions
Agriculture governing water management and administration; basic
69% demographic and social conditions; and major economic
Figure 1. Distribution of water consumers on Cyprus in 2000 indicators, particularly related to water-dependent eco-
(after Reference 4). The predominance of agriculture as the major nomic sectors. This assessment leads to a typology of water
user is typical of most Mediterranean islands. management regimes for each island, based on a number
640 SUSTAINABLE WATER MANAGEMENT ON MEDITERRANEAN ISLANDS: RESEARCH AND EDUCATION

Proposals for sustainable water objectives for an improved water management regime.
management in the Mediterranean At the same time, the stakeholders should bear in
mind the recommendations from the first stage of
Hearings of experts; development of Comparison
MEDIS and specify possible alterations and amendments
feasible /justifiable recommendations between
islands to these recommendations. Ultimately, a new set of
recommendations will be obtained that represents both
Consultation with main user groups and
consensus building the factual basis and the mutually agreed upon principles
for an improved water management regime on each island.
Recommendations for sustainable During the third stage of the project the second set of
water management recommendations will be subject to scrutiny by legal and
institutional experts. The objective here is to ensure that
Scenario Assessment of present characteristics: Comparison
the recommendations comply with regional and national
studies hydrology, agriculture, socioeconomy between
islands laws and regulations, and agree with the goals and
principles of the WFD. This may result in a third set
Figure 2. Schematic of major stages of the MEDIS research
of recommendations that reflect the factual basis, the
strategy (for details, see text).
stakeholder consensus, and the legal and institutional
requirements on national and European scales.
of well-defined parameters, that share similar quantita-
In the final stage of the project, island-specific
tive or qualitative ranges for each of the types specified.
conclusions will be discussed in the broader context of
The final result of this project stage is a first set of rec-
the Mediterranean Basin through Inter-Island Workshops
ommendations for improved water management practices
and attempts to synthesize conclusions. The common
geared to each of the management types identified.
solutions and possible deviations in the conclusions among
An integral part of the work during this stage of
the islands will be discussed and resolution attempted.
the project is involving stakeholders and gaining their
Ultimately, this results in desired recommendations for
help in specifying some of the previously mentioned
improved, sustainable and equitable water management
parameters. They are either part of the supply network
in compliance with the WFD and national rules and
for water and/or consumers of water, so their experience
regulations. It is expected that these recommendations
and expertise are indispensable for the initial assessment.
will significantly enhance the implementation of the WFD
Therefore, an important activity during the first project
in the Mediterranean Basin.
stage is identifying relevant stakeholders and involving
them in Intra-Island Workshops. In addition, Inter- First Results
Island Workshops among the islands under consideration Essential information was compiled in a series of Island
are conducted. Reports. In summary, the islands
Current physical/climatic conditions and possible
future variations (i.e., scenario studies) are also consid- • comprise areas between 3600 km2 (Majorca) and
ered. For climate, the results of the Intergovernmental 28,000 km2 (Sicily),
Panel on Climate Change (IPCC) scenarios (6) are used • have permanent populations between 0.26 million
in a downscaled format (or through a dedicated regional (Corsica) and 5.6 million (Sicily),
climate model). When considering prospective situations • receive mean annual precipitation between 500
on each of the islands, future scenarios of other major (Cyprus) and 1000 mm (Corsica, Sicily),
determinants of water supply and demand are taken into • attain a total annual water supply (through precipi-
account accordingly. tation) from 2400 × 106 m3 (Majorca) to 14,000 × 106
The spatial scales of the investigations depend on the m3 (Sicily; these numbers have partly been derived
specific questions asked. MEDIS is being carried out on from the mean annual precipitation and the total
a local (hundreds of m to km) and/or catchment scale, area of the islands under consideration and are thus
and inferences for all islands are drawn by appropriate only rough estimates),
upscaling. The Mediterranean scale is being addressed by • have increasing water demand trends in the foresee-
comparing islands. As for temporal scales, MEDIS focuses able future, and
on two time slices of 20 years centered at 2020 and 2050,
• a water consumption structure clearly dominated by
corresponding to the IPCC assessments.
agricultural needs.
The second stage in the project comprises inten-
sive consultation with the stakeholders on each island. Though climatically similar, the amount of water supplied
Typical stakeholders include regional or national water to various users differs greatly among the islands. This
administrative bodies, representatives of institutions or will have obvious consequences for the measures to be
enterprises representing major water users, agricultural taken to implement the WFD.
or industrial enterprises that develop and/or maintain The Island Reports and their synthesis led to recom-
water management schemes, nongovernmental organiza- mendations aimed at reducing the vulnerability to water
tions concerned with water issues, farmers and farming scarcity and implementing a sustainable and stakeholder-
cooperatives, tourist enterprises and operators, and com- driven water management regime on the islands. In
munities/residents in need of water. considering vulnerabilities, three different dimensions of
The major goal comprises a consensus among the water management have to be taken into account: a phys-
different stakeholder groups concerning their major ical/environmental dimension, an economic/regulatory
 SUSTAINABLE WATER MANAGEMENT ON MEDITERRANEAN ISLANDS: RESEARCH AND EDUCATION 641

dimension, and a social/institutional/political dimension. controls to minimize irrigation; (2) optimize the
Details of current and future vulnerabilities to water application of agrochemicals to avoid adverse effects
scarcity are described elsewhere (7), but some of the rec- on groundwater quality. The use of agrochemicals
ommendations are presented in the following. These rec- and changes in agricultural techniques should be
ommendations are interrelated and overlapping in many considered holistically to arrive at best practices
ways. They require a holistic, interdisciplinary approach that maximize yield and also minimize water
to implement them. use and the possible impact of agrochemicals on
groundwater quality.
Physical/Environmental Dimensions. The following rec-
• Eliminate/reduce subsidies for water prices (in the
ommendations have been formulated with regard to the
past, subsidies have often contributed either to exces-
physical and environmental dimensions of water scarcity:
sive water use and/or—in the case of agriculture—to
• Reduce Water Consumption: The most promising cropping patterns that are economically and environ-
strategies embrace (1) water pricing, an increase in mentally unsustainable).
consumer prices or alternatively/additionally quotas • Promote cultivation of crops that have a high
on water extraction may be imposed (possibly potential on the domestic and the foreign market
differentiated between different user groups); and (eliminate wasting products and water).
(2) establishment of incentives for reduced water • Provide assistance in capacity building of farmers
consumption, for example, subsidies for water saving and for investments in modern irrigation technology.
and not—as has often been the case—for water • Provide economic incentives for rational water use
consumption. in all sectors (e.g., specific water tariffs or relaxation
• Change in Water Allocation: Support of economic sec- of quotas and limitations in water consumption to
tors accounting for maximum gross-domestic-product those sectors that strive for a more rational use of
generation and employment through government potable water).
programs. However, care must be taken to avoid pos-
sible one-sided economic advantages for specific sec- Social/Institutional/Political Dimensions. Reducing vul-
tors. Incentives for saving water in water-intensive nerabilities related to social, institutional, and political
sectors should be introduced in parallel. aspects may be pursued through the following actions:
• Reduce Losses: (1) Loss of water to the sea either as • Increase public awareness (water use, ownership,
riverine discharge or through subsea groundwater conflicts) to enhance the capacity to deal with water
discharge should be reduced (8), though care must be scarcity problems.
taken to avoid adverse impacts on biogeochemical
• Implement comprehensive monitoring of water
cycles and on marine ecosystems in near-coastal
extraction.
waters; (2) reduce losses and contamination of water
in distribution networks. On Cyprus, annual losses of • Improve enforcement of existing rules and regula-
tions.
drinking water in the distribution network account
for 40 × 106 m3 , corresponding to 15% of the total • Simplify administrative mechanisms to enhance the
demand and 23% of the total domestic demand (G. efficiency of water administration.
Constantinou, Geological Survey of Cyprus, pers. • Transfer power from central government institutions
comm., March 2003). Improvement and/or renewal to regional and local decision makers that seem
of distribution networks should be pursued where better suited to become partners in the EU-
appropriate. WFD than individual users or single municipalities
• Increase Use of Additional Water Resources: Though (e.g., TOEBs, Farmers Irrigation Organizations,
largely neglected for a long time, increasing attention in Greece).
is paid to this possible remedy. In particular, • Encourage stakeholder-controlled water manage-
potable or irrigation water can be obtained through ment structures.
wastewater recycling, use of brackish water, and • Ensure/improve an adequate factual basis for politi-
rainwater harvesting. cal decision making through input from science and
stakeholders.
Economic/Regulatory Dimensions. The following actions
addressing vulnerability related to economic/regulatory THE NEED FOR INTERDISCIPLINARY WATER STUDIES:
dimensions are recommended: THE ADVANCED STUDY COURSE SUSTAINIS
• Support sectors with high economic potential and In addressing water management through research and
small water needs. technology projects, one is often faced with a problem
• Change agricultural practices: (1) Consult and inform different from those outlined. This is the lack of well-
stakeholders about possible alternatives to current trained and motivated young professionals able to face
cropping patterns with regard to water requirements the challenge of interdisciplinary water studies and the
of plants, watering schedules, and the amount of implementation of management options. The underlying
irrigation water applied per plant (for a summary reason for this problem is in the prevalent focus of
of possible alternatives, see Reference 9), optimize traditional universities on specialized and discipline-
tillage systems as well as weeding and harvest focused curricula. Though quite adequate and successful
642 SUSTAINABLE WATER MANAGEMENT ON MEDITERRANEAN ISLANDS: RESEARCH AND EDUCATION

in many instances, this kind of training leaves graduates Module 4: Current and Possible Future Climatic Conditions
ill-prepared for the type of work required in cross- and Their Impacts on the Hydrologic Regime. Climatic
disciplinary investigations. To resolve this problem at conditions in the Mediterranean and their effects on the
least partly, an Advanced Study Course, SUSTAINIS timing and magnitude of precipitation, global and regional
(Sustainable Use of Water on Mediterranean Islands: climate models and their strengths and weaknesses,
Conditions, Obstacles and Perspectives), was devised and review of expected future trends of climate development
implemented. SUSTAINIS was funded by the European and their repercussions for water availability in the
Commission and was closely linked to the MEDIS project Mediterranean, and basic concepts and methodologies for
and its objectives. integrated climate impact assessments.
Goals and Rationale
Module 5: Current Patterns of Water Consumption,
The course aimed at introducing 24 graduate students
Major Stakeholders, Existing Conflicts, and Resource Poli-
from various disciplinary and national backgrounds to
cies. Conditions of water resources and common trends
the patterns of water supply and demand, to obstacles
of water use with case studies from Cyprus, Malta, and
preventing rational use of water resources, and to
Majorca; irrigation scheduling and water quality for agri-
perspectives for sustainable, equitable, and stakeholder-
culture; threat of deteriorating water quality through the
based use of water on Mediterranean islands. To
application of agrochemicals and wastewater practices;
provide them with an opportunity to learn about the
water and tourism; examples of conflicts between users
specific environmental and socioeconomic features of
and possible solutions; and basic resource policies and
Mediterranean islands, the course was carried out
patterns of political decision making.
in Cyprus.

Curriculum and Structure Module 6: A Review of Nonconventional Technolo-

The emphasis in the teaching lay on demonstrating gies Aimed at Rational Water Management. Optimization
the complex interrelationships between environmental of water consumption by employing appropriate and
and societal systems that govern water regimes on innovative technology like novel irrigation practices in
Mediterranean islands and the importance of stakeholder- agriculture, water recycling, and reuse for domestic and
based strategies. agricultural purposes, desalinization.
The course comprised lectures by 23 researchers from
a variety of professional and national backgrounds, Module 7: Socioeconomic and Administrative Conditions
field trips, and discussion forums in the form of role of Water Use on Mediterranean Islands. Estimation of the
games. The discussion forums were prepared by small, value of water in its different uses, cost–benefit analysis
interdisciplinary, international groups of students and of water projects, water consumption, public awareness,
exposed the participants to the challenges but also to the and alternative models of water management.
advantages of interdisciplinary work.
The curriculum included eight modules:
Module 8: Political Options, Initiatives, and Conditions for
Module 1: Introduction, Historical and Cultural Back- Sustainable Water Management, Specifically in the Context
ground of Water Use in the Mediterranean and Basic Concepts of the EU-WFD. Description of the EU Water Framework
of Environmental Ethics. Cultural practices of management Directive, water pricing policies and the implications
of freshwater resources from antiquity to the present, of the WFD, economic approaches in Integrated River
the recent history of water management and its impor- Basin Management, and examples of integrated water
tance for health, well-being, and prosperity of inhabitants management from European countries.
of Mediterranean islands, and concepts of environmental Results of the discussion forums as well as the
ethics addressing normative issues in water management. lectures are published as course proceedings. In addition,
a documentary film about the course and the issue
Module 2: Perspectives on Sustainable, Equitable, and of sustainable water use on Mediterranean islands
Stakeholder-Based Water Management on Mediterranean for universities and passing on to stakeholders has
Islands. Principles and tools for supporting participative been produced.
water resource planning and management, design and
implementation of an integrated water management Student Feedback and Perspective
approach and portrayal of research projects on integrated
and sustainable water resources management in the The student feedback showed that exposure to a wide
Mediterranean. variety of disciplines and research fields, and interacting
with a group of individuals from a wide spectrum
Module 3: Essential Geologic and Hydrologic Character- of disciplinary and cultural backgrounds were the
istics of Mediterranean Islands. Characteristics and prop- most important contributing factors for the success of
erties of the geology and hydrology of Mediterranean SUSTAINIS. It is expected that the SUSTAINIS course
islands, description of subsurface aquifer conditions succeeded in teaching students about sustainable water
and problems related to overabstraction of groundwater use and management in the Mediterranean and in
resources (saltwater intrusion), and application of models motivating them to pursue integrated regional studies
in water management. in their careers.
 MEETING WATER NEEDS IN DEVELOPING COUNTRIES WITH TRADABLE RIGHTS 643

Acknowledgments uses and users. This failure to allocate water efficiently

MEDIS and SUSTAINIS were funded by the European Com- is the root cause of the widespread perception that water
mission (contract numbers EVK1-CT-2001-00092 and EVK1-CT- is becoming so scarce as to amount to a crisis. Almost
2002-60001, respectively). We would like to thank Dr. Panagiotis everywhere, water is allocated either according to tradition
Balabanis, the responsible officer at the Commission, for his or by bureaucratic processes subject to political pressures.
support. Thanks are also extended to all partners in MEDIS, all Economists have long argued that water should be treated
colleagues who served as lecturers in SUSTAINIS, as well as as an economic good. If it is treated as an economic good,
the participants who contributed substantially to the success of then its use can be allocated by creating water rights
the course.
through a market.
In most developing countries, where agriculture
BIBLIOGRAPHY accounts for around 80% of water use, the reallocation
of the use of water is crucial if water is not to be a
1. Commission of the European Communities. (2000). Directive
2000/60/EC of the European Parliament and of the Council limiting resource for future economic growth. It has been
of 23 October 2000 establishing a framework for community convincingly argued that permitting trade in water rights
action in the field of water policy, Off. J. Eur. Communities L will increase available supplies because consumption will
327: L 327/1–L 327/72. be reduced as water is used more efficiently by all users.
2. Xoplaki, E. (2002). Climate variability over the Mediterranean, This will not only alleviate, but probably even reverse,
Ph.D. thesis, University of Bern, Switzerland. what many perceive as the coming water crisis.
3. Bolle, H.-J. (Ed.). (2003). Mediterranean Climate—Variability In any country, however, the decision to introduce
and Trends, Vol. 1 of Series in Regional Climate Studies, a system of tradable water rights requires considering
H.-J. Bolle, M. Menenti, and I. Rasool (Eds.), Springer-Verlag, of many issues so that the proposed water market can
New York. function smoothly and equitably to meet water needs:
4. Savvides, L., Dörflinger, G., and Alexandrou, K. (2001). The
assessment of water demand of Cyprus. Ministry of Agriculture, 1. In the initial distribution of rights, consideration
Natural Resources and Environment, and Food and Agricul- must be given to both the rights of existing water
ture Organization of the United Nations report TCP/CYP/8921. users and the need to limit any windfall gains that
5. Lange, M.A., Cohen, S.J., and Kuhry, P. (1999). Integrated they may receive as the owners of rights.
global change impacts studies in the Arctic: the role of the
2. Once rights are allocated, the holder must be assured
stakeholders. Polar Res. 18 (2): 389–396.
that the right is clearly and securely defined and
6. Houghton, J.T., Ding, Y., Griggs, D.J., Noguer, M., van der
appropriately registered.
Linden, P.J., Dai, X., Maskell, K., and Johnson, C.A. (Eds.).
(2001). Climate Change 2001: The Scientific Basis. Contribu- 3. The establishment of individual rights must not give
tion of Working Group I to the Third Assessment Report of the holders benefits at the expense of society as
the Intergovernmental Panel on Climate Change, Cambridge a whole.
University Press, Cambridge, UK. 4. Whatever decisions are taken and policies adopted,
7. Lange, M.A. and MEDIS Consortium. (2004). Water man- the system must be as simple as possible.
agement on Mediterranean islands: current issues and per-
5. Once a system of water rights is clearly defined and
spectives. In Proc. IDS Water 2004, http://www.idswater.com/
Admin/Images/Paper/Paper 47/Manfred%20Lange-Paper.pdf, the market is used as the mechanism for water
15 pp., May 10–28 2004. allocation, then the intervention of government
8. Burnett, W.C., Bokuniewicz, H., Huettel, M., Moore, W.S., and should be kept to a minimum.
Taniguchi, M. (2003). Groundwater and pore water inputs to
the coastal zone. Biogeochemistry 66: 3–33. The approach taken in the initial distribution of water
9. Olesen, J.E. and Bindi, M. (2002). Consequences of climate rights is very important if trading in water rights is, in the
change for European agricultural productivity, land use and future, to be the main means for water allocation. The size
policy, Eur. J. Agron. 16: 239–262. of any political opposition to the introduction of a water
rights market is usually proportionate to the fairness seen
in the initial distribution of water rights.
MEETING WATER NEEDS IN DEVELOPING
COUNTRIES WITH TRADABLE RIGHTS PRINCIPAL ISSUES

TERENCE R. LEE Under free market conditions, the trading of rights would
Santiago, Chile result ultimately in the same allocation of water rights
regardless of their initial distribution. However, in the
expected presence of significant costs in any exchange of
The most serious current issue in water management is rights, the nature of the initial distribution of rights can
not water scarcity, but the allocation of water among affect the future efficiency of the market. Information,
competing uses and users. The issue of allocation bargaining, contracting, and enforcement are required
overshadows all other aspects of water management. for a market to function, and they are not without cost.
Unfortunately, almost everywhere, the methods used for The initial distribution of water rights can also affect
water allocation are woefully inadequate to achieve an the quantity of transactions, the equilibrium allocation of
effective, efficient, and timely distribution of water among rights, and the aggregate benefits of water marketing. If
644 MEETING WATER NEEDS IN DEVELOPING COUNTRIES WITH TRADABLE RIGHTS

the costs of trading in rights are large enough to deter The main advantage of adopting ‘‘grandfathering’’ is
trading, then exchanges will not occur. There will always that it avoids conflicts and reduces the opposition of
be a trade-off between promoting efficiency and equity existing water users, typically farmers, to the introduction
considerations in the initial distribution of water rights. of a market. Irrigation farmers usually argue that they are
Alternative initial assignments of water rights among entitled to receive water rights without charge because
users, whether individuals, ethnic groups, local govern- they have already paid for the rights implicitly in the
ments, or environmental protection agencies, will also purchase price of the land. Under the auction approach,
result in entirely different future sets of bargaining rela- although payments for rights do not represent real
tionships and potentially different patterns of transfers. economic costs to society as a whole but merely transfers
Basing the initial distribution of water rights on historic from one group to another, to the users, the payments
water use is the easiest and the most commonly used constitute a financial burden.
system. The rule that has been usually adopted is the
historic record of possession of licences or permits for water THE MARKET ALLOCATION OF WATER
use under the previous allocation system, or, where such
evidence is lacking, according to other benchmarks, such A water market is a water management tool. It is,
as land holdings. This is usually called ‘‘grandfathering.’’ moreover, a tool that spreads the burden and difficulties of
However, it does represent a transfer of wealth, the new water management among a larger population; it permits
water rights, to current water users. greater popular participation in management decisions
Once a market is established, water rights will be and can introduce greater flexibility into management
reallocated through voluntary transfers between willing systems. The creation of a water market will also demand
buyers and sellers in the same way as other goods are new skills and attitudes from public administration,
traded. It must be emphasized that the social impact of judicial systems, and water users, as well as investment
market transactions will depend on the initial distribution in the registration of rights, monitoring and measurement
of water rights and bargaining power. The initial systems and, possibly, in improving water distribution and
distribution will determine how the benefits from owning transportation systems.
water rights are distributed, who has the protection of the A water market will allocate water rights at a price
state to use water, and who must pay to obtain water rights set by the free exchange of the right either for a limited
in the future. period of time through a lease or in perpetuity by a sale.
An issue often raised in opposition to establishing For a market to work, it is necessary only that there be
markets in water rights is the possibility of windfall a tradable margin in water rights, even if the number
gains if existing water users are favored in the initial of rights traded is marginal to the total supply. Water
distribution of rights. Proposed solutions to this issue markets can normally be expected to be relatively small
include taxing transfers, prohibiting transfers, and other or ‘‘thin,’’ with few transactions.
restrictions on trading. Such restrictions, however, defeat Any water allocation system should be both flexible
the purpose of assigning rights and establishing a market. and secure. At the same time, all costs and benefits
It might be simpler to ignore the problem, which will should be reflected in the decisions that participants
facilitate the reallocation of water to higher value uses but make; otherwise, these decisions will be inefficient from
provide windfall gains to original users. One mechanism an overall social perspective. The system must also
that has been used for the initial distribution of rights to be predictable, equable, and fair. This is particularly
avoid windfall gains is auctions, but these can raise the important in developing societies where economic growth
problem of rights going only to those who can pay. and water use efficiency require achieving a balance in the
In the initial distribution, care needs to be taken to allocation of water between flexibility and security. Water
respect the rights of the disadvantaged, such as poor markets are flexible because markets are by their very
farmers and indigenous peoples. In Chile, in introducing nature a decentralized and incentive-oriented institution,
the market allocation of water, the government put in place rather than centralized and regulatory.
and maintains a program to facilitate the legalization of
property titles to water rights by poorer farmers; it has SECURITY OF TENURE
been spending more than US$320, 000 annually for this
purpose during the last 20 years. Markets require security of ownership to function.
In the initial distribution of water rights, consideration Therefore, it is important that rights be clearly defined and
should also be given to establishing minimum flows to publicly registered. Security of ownership of the right, in
protect aquatic and riparian habitats and other uses turn, helps encourage efficient use, resource conservation,
which, because of strong public goods characteristics and capital investment. It also helps strengthen and
from which everyone benefits, cannot compete in the consolidate the autonomy of water user organizations.
market for water. Where historic uses have preempted Security of ownership and the possibility of acquiring
the total supply, an argument can be made for a one-time water rights in the market, it has been shown, encourage
reallocation of water. In Chile, although no provision of investment and growth in activities that require secure
this kind is included in the law, the interpretation of the water supplies. Moreover, the reallocation of rights by
protection of the rights of third parties has been expanded voluntary exchanges allows market systems to defuse
to include environmental protection and ecological flows. potential political conflicts over water allocation.
 WATER USE IN THE UNITED STATES 645

The political dimension of a system of secure and READING LIST

transferable water rights arises from the definition and
clarification of property rights, which the introduction of Anderson, T.L. and Snyder, P. (1997). Water Markets. Cato
such a system requires. The market transfer of water Institute, Washington, DC.
rights reduces political conflicts, as these transfers are Holden, P. and Thobani, M. (1995). Tradable water rights: a
always voluntary transactions in which owners of rights property rights approach to improving water use and promoting
will participate only if they believe that it is in their best investment. Cuadernos de Economı́a 32(97): 263–316.
interest, given the alternative opportunities available. Frederick, K.D. (1993). Balancing Water Demands with Supplies.
Administrative allocation, in contrast, often generates The Role of Management in a World of Increasing Scarcity.
intense conflicts because granting a water right to one Technical Paper No. 189, The World Bank, Washington, DC.
user necessarily precludes another. Lee, T. and Jouravlev, A. (1998). Prices, Property and Markets
Markets can, therefore, reduce conflicts among environ- in Water Allocation. United Nations, Economic Commission for
mental interests, water suppliers, and polluters by provid- Latin America and the Caribbean, Santiago.
ing natural economic incentives for water conservation and Lee, T. (2000). Water Management in the 21st Century: The
wastewater treatment. Environmental economists often Allocation Imperative. Elgar, Cheltenham.
prefer property-right systems to pricing systems because Peña, H. (1996). Water markets in Chile: what they are, how they
property-right systems can be ecologically more depend- have worked and what needs to be done to strengthen them.
able than pricing systems. Paper Presented at the Fourth Annual World Bank Conference
on Environmentally Sustainable Development. Washington,
DC, pp. 25–27.
WATER MARKETS IN CHILE
Rosegrant, M.W. and Binswanger, H.P. (1994). Markets in
tradable water rights: potential for efficiency gains in
Chile is the only country where tradable rights are developing country water resource allocation. World Dev.
universal and all water allocation is the result of 22(11): 1613–1625.
market transactions. The introduction of water markets
in Chile coincided with a major increase in agricultural
production and productivity. It is reasonable to conclude WATER USE IN THE UNITED STATES
that the introduction of tradable, and particularly
secure, property rights in water made a noticeable FRÉDÉRIC LASSERRE
contribution to this overall growth in the value of Chile’s
Université Laval
agricultural production. This increase occurred within Ste-Foy, Québec, Canada
an agricultural sector largely dependent on irrigation,
without a significant increase in either the supply of
water or the area under irrigation. There has been, A STABILIZATION IN TOTAL WITHDRAWALS?
however, considerable private investment in improving
the existing irrigation infrastructure both on and off the
farm. The influence of water markets, however, cannot be Total water withdrawals in the United States are
fully separated from the effects of other economic factors, estimated at 402 billion gallons per day (Bgal/day) in
especially stable economic policies, trade liberalization, 1995. This is 1.5% less than withdrawals for 1990
and secure land rights. This notwithstanding, it is and confirms an overall stabilization of withdrawals
recognized that trading in water rights reduced the throughout the country since 1975. That was the first time
need for new hydraulic infrastructure, improved overall that withdrawals growth stopped outpacing population
irrigation efficiency, and has reduced the number of increases, implying an intensification of the use of water
conflicts over water allocation. It also appears to have withdrawn. All major users, thermoelectric, irrigation,
facilitated the shift from low-value, water-intensive crops and industrial uses, saw their withdrawals stabilize; rural
to higher value, less-water-intensive crops. (domestic and livestock) and urban use, on the contrary,
In addition, market transfers of water rights have witnessed an ongoing trend of withdrawal increase.
produced substantial economic gains from trade in some The decline in overall water use does not translate
river basins. These gains occur both in trades between into the same pattern for all water sources (Table 1).
farmers and in trades between farmers and other sectors. Saline surface water use grew rapidly after 1965, to
The economic gains from trade tend to be large between reach 71 Bgal/d in 1980, but has declined since then to
farmers but relatively modest in intersector trade because 59.7 Bgal/d; groundwater use also declined after the 1980
water has been transferred from profitable farmers to peak. After a similar trend from 1980 to 1990, surface
urban drinking water supply; even though the financial freshwater use, however, started growing again by 1.9%
gain to the farmer who sells is large, the overall economic between 1990 and 1995.
gains of the reallocation are relatively small, because both On the other hand, after a decrease between 1980 and
uses have similar social benefits. In Chile, as in other 1985 and a small increase from 1985 to 1990, consumptive
areas of irrigation agriculture, if, prior to the sale, water use was back to growing faster than that of population.
was not being taken from river or canal by the owner of This trend could be linked to increased urban water use in
the right, other farmers would have used it downstream. suburbs. Particularly as urban sprawl takes place in the
Transfers among farmers, however, lead to using the water West, that implies a large share of consumption, such as
for higher value crops. lawn watering and pools, as will be seen below.
646 WATER USE IN THE UNITED STATES

Table 1. Evolution of Water Use in the United States, 1950–1995a

1950 1955 1960 1965 1970 1975 1980 1985 1990 1995

Population, in millions 150.7 164 179.3 193.8 205.9 216.4 229.6 242.4 252.3 267.1
Variation, % 8.8 9.3 8.1 6.2 5.1 6.1 5.6 4.1 5.9
Total withdrawals, Bgal/d 180 240 270 310 370 420 440 399 408 402
Variation, % 33.3 12.5 14.8 19.4 13.5 4.8 −9.3 2.3 −1.5
Of which:
Thermoelectric 40 72 100 130 170 200 210 187 195 190
Other industrial 37 39 38 46 47 45 45 30.5 29.9 29.1
Irrigation 89 110 110 120 130 140 150 137 137 134
Rural domestic and livestock 3.6 3.6 3.6 4 4.5 4.9 5.6 7.8 7.9 8.9
Public supply 14 17 21 24 27 29 34 36.5 38.5 40.2
Source of water
Ground freshwater 34 47 50 60 68 82 83 73.2 79.4 76.4
Surface, fresh 140 180 190 210 250 260 290 265 259 264
Surface, saline 10 18 31 43 53 69 71 59.6 68.2 59.7
Consumptiveb use NA NA 61 77 87 96 100 92.3 94 100
Variation, % 26.2 13 10.3 4.2 −7.7 1.8 6.4
a
Water-related data in billion gallons per day, Bgal/d.
b
Consumptive use as of 1970: freshwater only.
Source: Adapted from Reference 1.

Table 2. Total Water Withdrawals by Water-Use Category Among

Selected States, 1995, in Million Gallons per Day
Public,
Domestic, and Industrial, Incl.
State Commercial Agriculture Mining Thermoelectric

Alabama 880 268 753 5200

Arizona 867 5702 197 62
Arkansas 519 6294 187 1770
California 6125 29359 801 9655
Colorado 741 12759 192 114
Connecticut 475 29 12 3940
Delaware 104 52 64 1326
Florida 2417 3526 649 11636
Georgia 1295 770 677 3073
Idaho 560 14460 76 0
Illinois 2053 236 2407 17100
Kansas 399 3489 77 1270
Maine 146 29 16 135
Maryland 931 97 331 6360
Michigan 1535 241 1913 8370
Montana 161 8602 80 22
New Jersey 1144 127 486 4360
New York 3344 64 320 13060
Ohio 1628 54 650 8190
Texas 3464 9765 2916 13460
Utah 511 3638 252 55
Vermont 92 9 12 453

Source: Adapted from Reference 1.

THE DRY WEST STILL THE LARGEST USER AND domestic, industrial, and power generating uses (Table 2).
CONSUMER States that have rain-fed agriculture and a small urban
population, such as Maine and Vermont, use water mainly
Regional Water Use for their power and their cities. In highly urbanized and
Wide discrepancies show up immediately when the industrialized Texas and California, all uses are strong,
structure of water use in the United States is examined. except industrial use in California because of an industrial
Patterns do appear: they highlight very industrialized base that does not use a large amount of water; other
and urbanized states such as New Jersey, New York, Western States do show a large dominance of agricultural
and Michigan, where water used is concentrated in use, such as in Arizona, Colorado, Idaho, and Montana.
 WATER USE IN THE UNITED STATES 647

Figure 1. Water consumptive use by state, 1995 (adapted from Reference 2).

Consumptive Use water for agriculture, but water can also be largely used
in more humid places that have traditionally rain-fed
Regionally, states in the West do show much greater
agriculture, such as Belgium, Germany, and Denmark
per capita consumptive use, up to 4288 gallons per day
(Table 5). This trend is explained, as observed in the
per person (gal/d/p) for Nebraska, but it is not the
United States, by farmers turning to irrigation to avoid all
urban use that is responsible for their high consumption
risk of yield decrease.
(Table 3). Highly urbanized California displays a more
moderate figure of 795 gal/d/p (Fig. 1). Large withdrawals
for irrigation are required in a dry climate. WATER USE MANAGEMENT : RECONCILING DIFFERENT
USE STRUCTURES ACROSS THE COUNTRY
AMERICAN WATER USE STRUCTURE COMPARED TO
OTHER COUNTRIES The geography of withdrawals and consumption, illus-
trated by the consumptive use map shown above, is all
Agriculture remains the main user and consumer of water the harder to manage globally as Western states con-
in the United States, as it is, by a large margin, among sume more and more (states west of the 100th meridian
developing countries (Table 4). The picture is somewhat accounted for 75.1% of total consumption in 1995), but
subtler among developed countries. Drier countries such draw on a smaller share of the resource; water is far more
as Spain and Greece, unsurprisingly, use a large share of plentiful in the eastern part of the country. From the end
of the Civil War, this relative scarcity of water never pre-
vented development schemes and led to large engineering
Table 3. Consumptive Use in Selected States, in gal/d/p, designs that were built to harness the West’s major rivers
1995
and make up for nature’s pattern of groundwater, surface
Arizona California Colorado Florida Idaho water, and precipitation distribution.
On the other hand, urbanized states in the eastern
908 795 1396 196 3732
United States display small consumptive use structures,
Illinois Maine New York Ohio Rhode Island as low as 19 gal/d/p for Rhode Island and 26 for New
York. It is the sheer size of the urban area that is
72 39 26 71 19
responsible for New York’s freshwater supply, not the
Source: Adapted from Reference 1. profligacy of its inhabitants. However, New York and
648 WATER USE IN THE UNITED STATES

Table 4. Share of Withdrawals in Selected Countries, by Economic Sector

Withdrawals, Share of Total, %

Domestic and
Country Year Agriculture Industry Commercial

Developing countries
India 1992 91 4 5
Uzbekistan 1994 94 2 4
Thailand 1992 90 6 4
Tanzania 1994 89 2 9
Vietnam 1992 78 9 13
China 1993 77 18 5

Developed countries
Greece 1990 63 29 8
Spain 1994 62 26 12
Italy 1990 53 33 14
Portugal 1990 48 37 15
Denmark 1990 43 27 30
United States 1995 35 54 11
Germany 1990 18 68 14
France 1994 15 69 16
Ireland 1990 10 74 16
Norway 1985 8 72 20
Austria 1991 8 73 19
Belgium 1990 4 85 11
United Kingdom 1994 3 77 20
Source: Reference 3, pp. 208–211.

Table 5. Comparison of Withdrawals and Consumption by Main Sector

Between France and the United States, 1995
In % of Total Domestic/Commercial Industrial Thermoelectric Agriculture

United States :
Withdrawals 12.2 8.2 38.7 40.9
Consumption 8 4.1 3.3 84.6
France :
Withdrawals 15 10 62.5 12.5
Consumption 24 5 3 68
Source: Reference 4, p. 102.

Los Angeles authorities, for instance, have aggressively Table 6. Population of Selected States, 1970–2000, in
promoted water-saving programs with effective results. Millions
Local authorities are acutely conscious of serious water Average
problems in the country. These are twofold. First, although Annual Growth,
withdrawals are on a stabilizing trend, and consumption 1970 1980 1990 2000 1970–2000, %
was up until a few years ago, withdrawal levels are
Florida 6.79 9.75 12.94 16 +2.9
often locally unsustainable in the long term, especially California 19.95 23.67 29.76 33.9 +1.8
in the West. Aquifers are being overpumped. The now Arizona 1.77 2.72 3.67 5.13 +3.6
famous Ogallala aquifer, in the Midwest, is expected Nevada 0.49 0.8 1.2 2 +4.8
to run unusable—not totally dry—in 50 to 70 years Colorado 2.21 2.89 3.3 4.3 +2.2
at present withdrawal rates. California saw its water New Mexico 1.02 1.3 1.52 1.82 +1.9
consumption increase by 41.5% between 1980 and 2000, Utah 1.06 1.46 1.72 2.23 +2.5
still untapped available resources are dwindling rapidly. Source: Adapted from Reference 6. Average population growth in the
As other upstream states withdrew small amounts of United States 1970–2000: +1.1%.
water for small populations, even Colorado water that
California long took for granted is now being reallocated Texas, 58.2% in Florida, and 70% in Arizona. Groundwater
to the ‘‘New West’’ states under the Colorado Compact withdrawals in California exceed its aquifer renewal
provisions because Nevada, Arizona, and New Mexico capacity by 15% (5).
boast extremely fast population growth (Table 6). Between Second, the American society changes, and its geo-
1980 and 2000, consumptive uses also grew by 42% in graphical setting and consumption structures evolve. The
 WATER USE IN THE UNITED STATES 649

Table 7. Reclaimed Wastewater Use, 1995, in Gallons/Days/Person, Top 10 States

State Arizona California Colorado Florida Maryland

Reclaimed water 42.7 10.4 2.9 16.7 13.9

State Missouri Nevada Texas Utah Wyoming

Reclaimed water 2.1 15.7 5.8 7.2 19

Source: Reference 8.

Table 8. Desalination Capacity by Country, January 1999

Total Capacity, Total Capacity,a Total Capacity, Total Capacity,a

Country Mgal/day Mm3 /day Country Mgal/day Mm3 /day

Saudi Arabia 1.344 5.1 Japan 204.7 0.78

United States 851 3.2 Libya 185 0.7
United Arab Emirates 574.7 2.18 Qatar 149 0.57
Kuwait 338.4 1.29 Italy 137.1 0.52
Spain 210 0.8 Iran 115.3 0.44
a
1 m3 = 263.16 gal.
Source: Reference 3, p. 288.

past 20 years have witnessed several phenomena that will where extensive irrigation still often uses flood irrigation.
question the water use structure: the acceleration of subur- In Idaho, porous soils require constant watering, up to
ban growth, especially in the West; and the persistence of 12 feet of water an acre per season.
population shifts toward the Sun Belt in the West, Texas, This decrease in withdrawals stems from pricing,
and Florida; and more particularly toward what some though it remains very low for farmers compared to urban
geographers call the ‘‘New West,’’ interior states such and industrial users. This discrepancy fuels ‘‘water wars’’
as Nevada, Arizona, Colorado, and New Mexico, where in the West, as urban communities are confronting the
water resources are even more delicate to manage than first appropriation rights of rural irrigation districts to
in California. increase their share of a relatively scarce resource. It also
This fast increasing population fuels the suburban stems from the idea the main resource would become too
sprawl that poses a great challenge to water management scarce. These two factors drove farmers to adopt improved
and distribution authorities; the newcomers are quick irrigation systems and techniques.
to adopt a new lifestyle and behavior that embodies,
in their eyes, economic and societal achievement—green DEVELOPING NEW SOURCES
lawns, pools, frequent car washes. As a whole, Americans
consume about 40 gal/d/p; in the Southwest, per capita Using and consuming less is an option more and more
daily consumption averages 120 gallons. In cities such as favored in the United States due to the transition
Phoenix and Las Vegas, residents consume more than from water-supply management to water-demand man-
300 gal/d/p. In Denver, more than half of the water agement. This shift in focus is attested to by changes
consumed is attributable to outdoor landscaping (7). in pricing policies as well as in recurring awareness
campaigns targeted at citizens, industry managers, and
CONSUMING LESS farmers. But increasing supply is not a forgotten option.
Grand schemes of damming Canada’s untamed rivers and
Water saving measures have thus been enforced by local diverting them toward the thirsty Midwest were part of
authorities in various ways. Higher water pricing, for some engineering firms’ and government agendas, notably
instance, led to a sharp rationalization of industrial water in Québec, up until 1986; large-scale water exports were
use, water had become a substantial cost for large water again contemplated in Canada from 1997 to 2001 but are
users, although trends in industrial restructuring led now banned by a federal law. These projects no longer
to a decline in water-intense processes. The same basic have the favor of an environmentally aware public, espe-
economic mechanism is also expected to prevent citizens cially in a decade that saw large dams become the focus of
from using too much water. environmentalists’ anger and campaigning in the United
Total irrigation withdrawals decreased since 1980 to States and throughout the Western world and even against
stabilize around 136 Bgal/d, although risk-averse farmers some large projects in developing countries, such as the
are more prone to irrigating their fields for fear of a Narmada Dam project in India.
decrease in their yield, even in more humid areas (4,
Reclaimed Wastewater
p. 86); irrigated acreage remained stable at 58 million
acres since 1980. This stabilization does not mean that Reclaimed wastewater, for instance, was long thought of
there is no room for improvement, especially in the West, as irrelevant because of cost and safety issues. In 1995,
650 HOW WE USE WATER IN THESE UNITED STATES

total wastewater use amounted to 1.02 Bgal/d, a 36%

increase since 1990 (Table 7). Water recycling is mainly
a feature of the dry West. Florida, confronted with acute
freshwater supply problems, has invested in extensive
reuse programs. Arizona, Wyoming, and Florida appear to
be the most effective states in recycling wastewater.

Desalting
Desalting also used to be considered an irrelevant solution
because it produced very expensive water. During the
last 15 years, improved technological processes have led
to a fast decrease in the cost per gallon of water produced,
although only urban or industrial users can afford it. Local
governments are keenly interested in this technology, as
attested to by recent major contracts in Florida, where
a plant of 95,000 m3 / day (25 million gal/d) approved by
Figure 1. Total daily offstream water use in the United States.
regional water officials in March 1999, is to be located near
Tampa Bay. The water produced should cost between 45
and 55 ¢/m3 , or $1.71 to $2.08/1000 gal.
Desalination is proving very popular in the United
States, where built capacity in early 1999 ranked second by evaporation, transpiration, incorporation into crops or
in the world (Table 8). a product, or other consumption. Conversely, return flow is
the portion of a withdrawal that is actually not consumed
but is instead returned to a surface or ground water source
BIBLIOGRAPHY from a point of use and becomes available for further use.
Water use can also be divided into offstream and
1. USGS. (1995). Water Use in the United States. instream uses. Offstream water use (see Fig. 1) involves
2. USGS data. (2001). the withdrawal or diversion of water from a surface or
3. Gleick, P. (Ed.). (2000). The World’s Water 2000–2001. Island ground water source for
Press, Washington, DC, pp. 208–211, 288.
4. Lasserre, F. (2002). L’eau rare? Des solutions pour assurer
l’approvisionnement. In: Lasserre and Descroix, Eaux et
• Domestic and residential uses
territoires: tensions, coopérations et géopolitique de l’eau. • Industrial uses
Presses Universitaires du Québec, Québec, p. 102.
• Agricultural uses
5. Mayrand, K. (1999). Les marchés internationaux de l’eau:
exportations d’eau douce et marché des infrastructures et des • Energy development uses
services urbains. Ministry of International Relations, Québec,
pp. 8–9. Instream water uses are those that do not require a
6. US Census Bureau. (2001). diversion or withdrawal from the surface or ground water
7. Riebsame, W.E. (Ed.). (1997). Water for the west. Atlas of the sources, such as:
New West. WW Norton & Company, New York, p. 81.
8. USGS. (1995). Offstream Use.
• Water quality and habitat improvement
• Recreation
HOW WE USE WATER IN THESE UNITED • Navigation
STATES • Fish propagation
• Hydroelectric power production
U.S. Environmental Protection
Agency
NATIONAL TRENDS IN WATER USE

Water use is usually defined and measured in terms of

National patterns of water use indicate that the largest
withdrawal or consumption—that which is taken and that
demand for water withdrawals (fresh and saline) is
which is used up. Withdrawal refers to water extracted
for thermoelectric generation (47 percent), followed by
from surface or ground water sources, with consumption
irrigation (34 percent), public supply (9 percent), indus-
being that part of a withdrawal that is ultimately used and
trial (6 percent), mining (1 percent), livestock (1 percent),
removed from the immediate water environment whether
domestic (1 percent), and commercial uses (1 percent).
While thermoelectric generation represents the largest
This article is a US Government work and, as such, is in the demand for fresh and saline withdrawals, irrigation rep-
public domain in the United States of America. resents the largest demand for freshwater withdrawal
 HOW WE USE WATER IN THESE UNITED STATES 651

water is available in return flows, more water is available

for other beneficial uses.
Some categories of water use, such as irrigation and
livestock watering, consume a high percentage of water
that is withdrawn from surface and ground water sources.
Thus, less water is available for return flows from these
high-consumption activities. Other categories of use like
thermoelectric power consume only a small fraction of the
water they withdraw.

CATEGORIES OF WATER USE

With several different ways to categorize water use in the

United States, this article separates offstream uses into

• Municipal/public supply
• Domestic and commercial
• Industrial and mining
• Agricultural
• Thermoelectric power

MUNICIPAL/PUBLIC WATER SUPPLY

While water withdrawals for public use can be applied to

street cleaning, fire fighting, municipal parks, and pub-
lic swimming pools, keep in mind that municipalities
and private suppliers might also provide water for other
purposes (domestic/commercial, agricultural, thermoelec-
tric power).
Per capita (per person) use of public water supplies
in the United States (1990) averaged 183 gallons per
day (gal/d). The average per capita use can vary
greatly between communities for any number of reasons,
including, but not limited to:

• Climate differences
• The mix of domestic, commercial, and industrial uses
• Household sizes
• Lot sizes
• Public uses
• Income brackets
• Age and condition of distribution system

For instance, per capita use of public water is about

Figure 2. Comparison of freshwater consumptive use in the 50 percent higher in the West than the East mostly due
United States for 1990 by category. to the amount of landscape irrigation in the West (see
Fig. 3). However, per capita use can also vary greatly
within a single state. For example, in 1985 the demand for
alone (see Fig. 1). Activities that reduce the need to with- municipal water in Ancho, New Mexico, totaled 54 gallons
draw surface and ground water will lead to many of the per capita per day (gal/cap/day) while in Tyrone, New
beneficial effects of conserving water. Mexico, municipal demand topped off at 423 gal/cap/day.
Rural areas typically consume less water for domestic
purposes than larger towns.
NATIONAL CONSUMPTION PATTERNS In 1990, water withdrawn nationwide for public
supplies totaled 38,530 million gallons per day (Mgal/d)
Water consumption varies by water use category, with (see Table 1). Although this withdrawal rate represents
irrigation consuming the highest percent (81 percent) a 5 percent increase over 1985 amounts, the number of
and commercial the lowest (1 percent) (see Fig. 2). The people supplied with water distributed through public
difference between the volume of water withdrawn and systems also increased 5 percent during that same 5-
that consumed is the return flow. As more good-quality year period. Again in 1990, surface water supplied about
652 HOW WE USE WATER IN THESE UNITED STATES

When divided into indoor uses and outdoor uses, the

amount of indoor water use remains fairly constant
throughout the year, with the breakdown of typical indoor
water uses depicted in Fig. 4. By far the largest percentage
of indoor water use occurs in the bathroom, with 41 percent
used for toilet flushing and 33 percent for bathing.
Outdoor residential water use, however, varies greatly
depending on geographic location and season. On an
annual average basis, outdoor water use in the arid
West and Southwest is much greater than that in
the East or Midwest. Figure 5 compares the national
average for residential outdoor water use with that of
Pennsylvania and California, with landscape irrigation
the primary application. While average outdoor water use
Figure 3. Average use per person (gal/day) of public water in the in Pennsylvania represents only approximately 7 percent
United States by USGS water region. of the total residential demand, in California average
outdoor use climbs to about 44 percent of the demand.
Table 1. Fate of Water in Public Water Supplies of the
United States, 1990
INDUSTRIAL AND MINING
Volume, Percentage of
Receiving Category Mgal/day Total
Industrial water uses, estimated to be 8 percent of total
Domestic 21,900 57 freshwater use for all offstream categories, include cooling
Commercial 5,900 15 in factories and washing and rinsing in manufacturing
Public Use Losses 5,460 14
processes. Some of the major water-use industries
Industrial 5,190 13
include mining, steel, paper and associated products, and
ThermoelectricPower 80 <1
Total 38,530 100 chemicals and associated products.
Water for both industrial and mining uses comes from
public supplies, surface sources, and ground water. During
61 percent of the public water supply, with ground water the 5-year span from 1985 to 1990, industrial water use
supplying the other 39 percent. in the United States decreased approximately 13 percent.
Of the total water withdrawn in 1990 for public supplies In the same period, mining water use increased about
representing 11 percent of total U.S. offstream freshwater 24 percent.
withdrawals 72 percent went to domestic and commercial
uses, 13 percent to industrial uses, and 0.2 percent to
thermoelectric power. The remaining 14 percent went to
public uses such as fire protection or was lost during
distribution (usually due to leaks).

DOMESTIC/COMMERCIAL

Domestic water use includes everyday uses that take

place in residential homes, whereas commercial water
uses are those which take place in office buildings,
hotels, restaurants, civilian and military institutions,
public and private golf courses, and other nonindustrial
commercial facilities. Combined freshwater withdrawals
for domestic and commercial use in 1990 totaled 33,600
Mgal/d, or 10 percent of total freshwater withdrawals for
all offstream categories (see Fig. 2).
Typical categories of residential water use include
normal household uses such as

• Drinking and cooking

• Bathing
• Toilet flushing
• Washing clothes and dishes
• Watering lawns and gardens
• Maintaining swimming pools
• Washing cars Figure 4. Typical breakdown of interior water use.
 VALUING WATER RESOURCES 653

use in the United States, but only about 3 percent was

consumed.
The Mid-Atlantic, South Atlantic Gulf, Ohio, and Great
Lakes water resource regions use the largest amounts of
water for thermoelectric production. The eastern United
States uses about five times more water than the West to
produce about twice as much thermoelectric power.

VALUING WATER RESOURCES

DIANE DUPONT
STEVEN J. RENZETTI
Brock University
St. Catharines, Ontario,
Canada

Figure 5. Comparison of average national residential outdoor

water use with that of Pennsylvania and California. INTRODUCTION

Suppose that consideration is being given to dam a

AGRICULTURAL river. The dam will provide benefits in the form of
hydroelectric power, water for irrigation, and protection
Agricultural water use can be divided between irrigation from floods. Conversely, building the dam will also destroy
and livestock. Irrigation includes all water applied to wetlands, fish spawning grounds, and impair recreational
farm or horticultural crops; livestock incorporates water opportunities. In deciding whether to build the dam, one
used for livestock, dairies, feedlots, fish farms, and other important type of information is the value to society of the
farm needs. benefits and damages that will arise. Obtaining estimates
Estimated annual water use for irrigation remained of these values requires an understanding of the services
at about the same level between 1985 and 1990, with that society derives from water, how those services will
approximately 63 percent of the water used for irrigation change with the building of the dam, and the value that
in 1990 coming from surface water. Approximately society attaches to each service. It is the last of these
60 percent of the water used for livestock came from tasks that this article addresses. Specifically, the purpose
ground water sources and the remaining 40 percent of this article is to review briefly how economists estimate
from surface water sources. Combined water use for the value of water. Because of the importance of water
irrigation and livestock represents about 41 percent of and the increasing costs of maintaining clean water, there
total offstream freshwater use for 1990, (see previous has been a large amount of research into this topic (1–5).
Fig. 1) with 40 percent going to irrigation and the lone This article reviews the methods developed by economists
1 percent to livestock uses. to estimate water’s value in the next section. Empirical
Not only can the loss of water from irrigation estimates of the various uses of water are discussed later.
conveyance systems be significant, but the percentage
of consumptive water use for agriculture is high as well
THE ECONOMIC PERSPECTIVE ON VALUATION
an estimated 54 percent consumption in 1985. By 1990
this had climbed to an estimated 56 percent consumption
The starting point for most economic methods for
for irrigation uses and 67 percent for livestock uses (see
measuring the value of water is an understanding of the
Fig. 2).
structure of household tastes or preferences and firms’
productive technologies. This understanding can then be
THERMOELECTRIC POWER GENERATION used to develop measures of the benefits of water use and
the change in household welfare or firm profits that arise
This final category includes water used for the production from changes in the price, quantity, or quality of water.
of energy from fossil fuels, nuclear energy, or geothermal These measures, in turn, allow the analyst to determine
energy. Most water withdrawn for thermoelectric power the maximum willingness to pay (in the case of a change
production is used for condenser and reactor cooling. leading to an improvement in welfare) for water. This idea
While 1990 estimates of freshwater withdrawals remained of willingness to pay forms the cornerstone of economic
constant from 1985, nearly half again as much saline water measures of value. (This approach to understanding
was also used. and measuring value is not without its critics; see the
More than 99 percent of the water used for thermo- discussion in Reference 1.)
electric power production comes from self-supplied surface These measures provide estimates of the value of water
water, less than 0.2 percent from public supplies. In 1990, to the individual user (i.e., the ‘‘private’’ value). This may
water used for thermoelectric power production repre- differ from the social value of water use (the value to
sented close to 39 percent of total offstream freshwater all of society) by an individual household, firm, or farm.
654 VALUING WATER RESOURCES

There are a number of reasons that social and private provides an estimate of the value of the lake’s assimilative
values of water use may differ. First, an individual’s water capacity to the firm. The residual imputation method
use may result in lowered water quality from pollution, calculates the value of water to a firm or farm as the
and this, in turn, would lower the value of that water for difference between the operation’s revenues and the cost
other users and, thus, to society. Second, a farm may use of all of its nonwater inputs. The hedonic method uses
water to increase production of crops that are supported by statistical techniques to determine the contribution of
government subsidies. In this case, the farmer’s valuation water to the total value of marketed commodities. For
of the increased output will be higher than society’s example, a house of a given size is usually more valuable,
because of the cost of the subsidies to society. the closer it is to a body of water, and hedonic methods
Another issue complicating the measurement of the can estimate the increase in value that is related to the
value of water is that, like many environmental goods, proximity to water. Finally, the travel cost method is
the value of some of the uses to which water is put are used to estimate households’ valuation of water-related
reflected in market transactions and others are not. An recreation experiences by examining the time traveled to
example of the former is a farmer purchasing water to a recreational site and out-of-pocket expenses incurred by
irrigate crops—an analyst may be able to infer the value a family. A greater time traveled implicitly raises the cost
of water to the farmer by using market information on the of recreation because it usually means more time away
increase in crop yield brought on by irrigation. An example from work.
of the latter is a family enjoying a day of swimming Direct valuation methods are those that survey
at a municipal beach. In this case, analysts must use households to obtain their valuations. The most important
‘‘nonmarket’’ methods to estimate the family’s valuation direct valuation technique is contingent valuation. In
of its recreation. this approach, individuals are presented with information
As Table 1 indicates, economic valuation methods may concerning a hypothetical or constructed market and
be categorized into indirect and direct methods. Indirect asked to indicate their willingness to pay to achieve
valuation methods are those that infer a household a desired good or service. For example, a respondent
or firm’s valuation of water from its observed market might be asked to value a potential improvement in water
behavior. There are a number of indirect valuation treatment that reduces the risk of illness. This method is
techniques. The derived demand method applies statistical valuable for assessing projects before they are undertaken
or mathematical programming techniques to observations and for assessing households’ ‘‘nonuse’’ values of water.
on market transactions in water to estimate a household’s For example, some households may be willing to pay a
or firm’s demand for water. The estimated demand positive amount to ensure access to water some time in
relationship can, in turn, be used to calculate the user’s the future (6).
willingness to pay for water. The avoided cost method
assesses the value of water by examining the costs that
are avoided because water is available. (A related method EMPIRICAL ESTIMATES OF THE VALUE OF WATER
is the averting behavior method. If households purchase
water filters to remove waterborne impurities, then the The preceding section demonstrates that economic
value to the household of removing the impurities can be researchers have developed the conceptual framework and
estimated by the cost of water filtration.) For example, measurement methods for estimating the value of water.
if a firm is able to release effluents into a lake rather This section briefly points to a number of examples of
than treating them, then the avoided cost of treatment the results of estimation studies. (The interested reader

Table 1. Economic Valuation Methods

Method Applications Comments

Indirect
Derived demand Residential, industrial Estimated demand curve yields user’s valuation
of water
Avoided cost Residential, industrial Access to clean water allows firms and homes to
avoid costs such as water filters
Residual imputation Agricultural, industrial Requires information on revenues and costs of
nonwater inputs
Hedonics Residential, recreation Good for assessing the impacts of changes in
water quality
Travel cost Recreation One of the earliest methods—in use since the
1960s
Direct
Contingent valuation Recreation, changes in water Only method that can estimate nonuse values
quality, ecosystems (values that arise from an aesthetic
appreciation of water or a desire to hold an
option to use water in the future)
 VALUING WATER RESOURCES 655

Table 2. Representative Valuation Studies

Author Sector/Use Method Estimate/Year

Indirect
Moore (8) Agriculture Derived demand $42–70/acre-foot (1989 US$)
Young and Gray (9) Industrial waste disposal Avoided cost $0.07–1.28/acre-foot (1972 US$)
Gibbons (2) Industrial water intake Avoided cost $6–78/acre-foot (1980 US$).
Abdalla (10) Residential Avoided cost $125–330/household (1987 US$)
Smith, Desvousges and Recreation Travel cost $10–20/household (1977 US$)
McGivney (11)

Direct
Whitehead and Blomquist (12) Wetland preservation Contingent valuation $6–21/household (1992 CAN$).
Carson and Mitchell (13) Recreation Contingent valuation $70–90/household (1990 US$)

should consult the valuable compilation of empirical esti- from boatable to game fishing conditions was $9.96 per
mates of water’s value in Reference 7.) The results of a household per season (1977 US$).
number of representative studies are reported in Table 2
and are discussed briefly below.
Direct Valuation Studies
Indirect Valuation Studies One of the most important advantages of direct valuation
methods is that they can be employed to consider
Moore (8) compares estimates of the value of irrigation
household ‘nonuse’ values of water. These values arise
water using the derived demand and residual imputation
not from household use of water but rather because
methods. The author finds that the two methods yield quite
households may have an interest in knowing that a
different results (the derived demand method provides
particular waterbody has been preserved (possibly for
higher estimated values). This is an important finding as
their use in the future). For example, Whitehead and
the price paid by some American farmers for irrigation
Blomquist (12) employ a contingent valuation survey
water is based, in part, on their estimated valuation of
to examine household willingness to pay for wetlands
that water.
preservation and the role that information provision plays
Young and Gray (9) and Gibbons (2) employ the avoided
in determining that value. The authors find that, while
cost approach to value industrial water use. In both cases,
many households are willing to contribute toward the
the authors calculate the costs that firms are able to
preservation of wetlands, as more information is provided
avoid by being able to dispose of effluents in waterbodies
about the availability of substitutes for an endangered
and by using increased water intake rather than in-plant
wetland, respondents’ willingness to pay for preservation
water recirculation. Young and Gray find that the value
falls off.
of water used in industrial waste disposal is relatively
low as few costs are actually avoided. Conversely, Gibbons Finally, Carson and Mitchell (13) report on an influen-
finds a wider range of values for increased intake water tial study of American household valuation of enhanced
substituting for water recirculation because, in some water-based recreational opportunities that could arise
applications, in-plant recirculation must also address from improved water quality. A particularly important
reduced water quality. feature of this study’s methodology is the contingent val-
Abdalla (10) examines household valuation of improve- uation survey that employs the water quality ‘‘ladder’’ to
ments in the quality of their drinking water supplies by set out for respondents the various levels of water quality
measuring the cost savings of those improvements. These that they are asked to consider. In doing so, the authors
cost savings arise from decreased purchases of water fil- frame or present differ levels of water quality (‘‘boatable,
ters and bottled water and from less time needed to boil fishable, and swimmable’’, p. 2447) in a way that is com-
water. The authors also find that households with children prehensible for most respondents. The results indicate
place a higher value on water quality improvements than that the sample of households places significant value on
those without. improving water quality.
Smith et al. (11) address the change in the valuation
of sport fishing from changes in water quality at specific
sites. The authors do this by investigating the role of water CONCLUSION
quality in approximately 20 published studies of water-
based recreation that use the travel cost method. The The growing scarcity of water creates the need to develop
principal finding of the Smith et al. study is that increases and implement rational methods for allocating water
in water quality increase the demand for, and valuation across competing needs. Part of this process of decision-
of, water-based recreation. For example, when applied making requires understanding the value that individual
to data derived from users of the Monongahela River, the households, firms, and farms obtain from their various
average consumer surplus (a measure of willingness to pay uses of water. This article has briefly outlined the methods
net of fishing expenses) for water quality improvements developed by economists to estimate those values.
656 WATER—HERE, THERE, AND EVERYWHERE IN CANADA

BIBLIOGRAPHY 13. Carson, R.T. and Mitchell, R.C. (1993). The value of clean
water: the public’s willingness to pay for boatable, fishable,
and swimmable quality water. Water Resour. Res. 29(7):
1. Donahue, J. and Johnston, B. (Eds.). (1998). Water, Culture 2445–2454.
and Power: Local Struggles in a Global Context. Island Press,
Washington, DC.
2. Gibbons, D. (1986). The Economic Value of Water. Resources WATER—HERE, THERE, AND EVERYWHERE IN
for the Future, Baltimore.
CANADA
3. Young, R. (1996). Measuring Economic Benefits for Water
Environment Canada
Investments and Policies. Technical Paper No. 338. The World
Bank, Washington, DC.
How much water is there in the world? Scientists estimate
4. Bergstrom, J., Boyle, K., and Poe, G. (2001). Economic value
of water quality: introduction and conceptual background. In: over one billion cubic kilometers (one cubic kilometer
The Economic Value of Water Quality. J. Bergstrom, K. Boyle, of water would fill 300 Olympic-sized swimming pools).
and G. Poe (Eds.). Edward Elgar, Cheltenham, UK, pp. 1–17. Water covers nearly three quarters of the earth’s surface
5. Renzetti, S. (2002). The Economics of Water Demands. Kluwer in oceans as well as rivers, lakes, snow and glaciers.
Academic Press, Norwell, MA. There is water in the atmosphere and water underground.
6. Desvousges, W., Smith, V.K., and Fisher, A. (1987). Option Water evaporates and returns to the land surface in what
price for water quality improvements: a contingent valuation is known as the hydrologic cycle.
study for the monongahela river. J. Environ. Econ. Manage. In the hydrologic cycle, water evaporates from the ocean
14: 248–267. into the atmosphere, from there it can precipitate back into
7. Frederick, K., VandenBerg, T., and Hanson, J. (1997). Eco- the ocean, or onto the land surface. From the land, it can
nomic Values of Freshwater in the United States. Discussion evaporate or transpire back into the atmosphere, or flow
Paper 97-03, Resources for the Future, Washington, DC. overland or percolate underground before flowing back
8. Moore, M. (1999). Estimating irrigators’ ability to pay for into the ocean. The distribution of the water around the
reclamation water. Land Econ. 75(4): 562–578. globe varies from season to season and year to year, but
9. Young, R., Gray, S., Held, R., and Mack, R. (1972). Economic the total quantity of water on the earth’s surface remains
Value of Water: Concepts and Empirical Estimates Report essentially constant. The hydrologic cycle is discussed in
to the National Water Commission, NTIS no. PB210356, detail in Freshwater Series No. A-1, ‘‘Water—Nature’s
National Technical Information Service, Springfield, MA. Magician.’’
10. Abdalla, C. (1994). Groundwater values from avoidance cost Although water exists in other forms in the hydrologic
studies: implications for policy and future research. Am. J. cycle, this issue in the Freshwater Series focuses on surface
Agric. Econ. 76: 1062–1067. water as it is this water which we see in our everyday lives.
11. Smith, V.K., Desvousges, W., and McGivney, M. (1983). Most of the earth’s water is salty or permanently frozen.
Estimating water quality benefits: an econometric analysis. Figure 1 illustrates the proportion of fresh water that is
South Econ. J. 50: 422–437. available to us from the world’s water supply.
12. Whitehead, J. and Blomquist, G. (1991). Measuring contin-
gent valuation for wetlands: effects of information about
related environmental goods. Water Resour. Res. 27(10): This article is produced by Environment Canada and is
2523–2531. reproduced with permission.

Figure 1.
 WATER—HERE, THERE, AND EVERYWHERE IN CANADA 657

Figure 2.

Figure 3.

Figure 2 lists quantities that scientists have estimated each surrounding ocean: the Pacific, the Arctic, and the
for the various types of water that make up the world’s Atlantic as well as to Hudson Bay and to the Gulf of
supply. These amounts should be regarded as indicators Mexico. Small watersheds combine to make up regional
of the relative quantities of water on earth. Owing to the watersheds, which in turn join others to form continental
difficulties in estimating volumes of water on a global watersheds.
scale, especially water underground, estimates can vary The world’s largest rivers are shown in Fig. 3.
considerably. What is important is the overall picture that
these estimates give.
Sculpting the Earth

RIVERS As a swiftly flowing river, water can erode the underlying

terrain. Where the river slope is flatter, the river slows
A river’s watershed or drainage basin—the area supplying down and deposits materials. This usually occurs in the
it with water—is separated from the watersheds of lower reaches and especially near the mouth of the river,
neighboring rivers by higher lands called drainage divides. either at a lake or an ocean. A river can carve steep
The map shows Canada’s continental watersheds, one to valleys, especially in higher parts of the drainage basin.
658 WATER—HERE, THERE, AND EVERYWHERE IN CANADA

In the lower parts of the basin, deposits may create deltas the precipitation is stored until spring in the form of ice
at the river’s mouth. and snow.
The volume of water flowing in a river, together with
the speed and timing of the flows, determines how a river
LAKES
shapes the surrounding landscape and how people can
use its waters. Rainfall, snowmelt, and groundwater all
contribute to the volume of flow, producing variations from Canada has more lake area than any other country in
season to season and year to year. the world (Fig. 4), with 563 lakes larger than 100 square
kilometers. The Great Lakes, straddling the Canada–U.S.
In Canada, most high flows are caused by spring
boundary, contain 18% of the world’s fresh lake water.
snowmelt. This is the season when floods are most likely
to occur. Rainstorms can also cause high flows and floods,
especially on small streams. The effects of floods and How is Water Measured?
storms can be much less severe on rivers with large The Water Survey of Canada, Environment Canada, along
drainage basins. The lowest flows for rivers in Canada with many contributing agencies, measure the rate of flow
generally occur in late summer, when precipitation is (discharge) in rivers and record the levels of lakes and
low and evaporation along with consumption by plants is rivers at more than 2,600 locations in Canada. Typical
high, and in late winter, when rivers are ice covered and river flows are listed in Fig. 5.

Figure 4.

Figure 5.
 WATER—HERE, THERE, AND EVERYWHERE IN CANADA 659

Figure 6.

• Water levels are read manually by gauge readers to yield the average discharge in the stream crossing
or continuously recorded either digitally or on for a given water level. Measurements can be made
graph paper. from a bridge, by wading in a stream, by boat or from
• Rate of flow (or discharge) requires multiple mea- a cableway strung across the river. In winter, the
surements of channel depth, width, and flow velocity measurements are made through the ice.
660 WATER CONSERVATION—EVERY DROP COUNTS IN CANADA

• With sufficient measurements of flow over a variety NATURE’S FROZEN RIVERS

of water levels (including extreme lows and highs),
a water level-discharge relationship is established A huge quantity of fresh water is frozen in polar ice caps
at each location. The discharge rate can then be and in high mountain glaciers. Snow that is packed down
computed from measured water levels. over many years at high elevations becomes glacial ice,
• Historical records from 5,000 active and discontin- which slowly proceeds downslope like a frozen river, under
ued sites permit the estimation of streamflow at the pull of gravity, and eventually melts to become part
ungauged locations. of streamflow at lower elevations. If the rate of melting is
greater than the rate of accumulation, the glacier recedes;
Creating a Balance—Naturally if it is less, the glacier advances.
Glaciers exert a direct influence on the hydrologic cycle
The importance of lakes lies in their ability to store water
by slowing the passage of water through the cycle. Like
during times of plenty and release it gradually. Thus lakes
lakes and groundwater reservoirs, glaciers are excellent
perform an extremely valuable task in balancing the flow
natural storehouses, releasing water when it is needed
of the rivers on which they are located. For example,
most. Glaciers, however, can release water when you need
the Saskatchewan River, with few lakes, has a maximum
it least. Glacier-outburst floods, called jökulhlaups, can be
recorded flow of 59 times its minimum flow. On the other
devastating. Glacier-fed rivers reach their peak during hot
hand, the St. Lawrence River, which drains the Great
summer weather.
Lakes, has a maximum flow of only twice its minimum
flow. The difference in flow patterns in these two rivers is
partly due to precipitation differences, but results mainly SNOWFALL
from the vast storage provided by the Great Lakes for
the St. Lawrence River compared with the negligible lake Much of Canada’s annual precipitation comes as snow: in
storage on the Saskatchewan River. the North, 50%; in the Prairies, 25%; and on both coasts
and in southern Ontario, as little as 5%. Snow exerts a
Creating a Balance—Artificially marked effect on the distribution of streamflow throughout
Since ancient times, people have built dams to control the the year. Instead of immediately infiltrating the soil or
outflow from existing lakes or to create new lakes. Dams running off into stream channels as rainfall does, this
and their reservoirs have provided: water is first stored in the snowpack for several months.
The relatively quick melting of snow in spring causes
• A stable source of inexpensive energy peak flows, sometimes resulting in floods. Some of the
• A more dependable water supply throughout the year worst and most unpredictable flooding occurs when ice
that has not yet melted is carried along in the swollen
• Flood control downstream
rivers until it jams, blocking the flow of water and creating
• Recreation a lake behind the jam with attendant flooding. When the
ice jam breaks, a tremendous amount of water is suddenly
THE UNDERGROUND RESERVOIR released downstream, and more flooding may result.

Beneath the surface of the earth is a huge reservoir of fresh

water. Groundwater does not rest; it moves continuously, FRESHWATER SERIES A-2
but at a snail’s pace, from its point of entry to areas
of natural discharge. Groundwater moves so slowly that Note: A resource guide, entitled Let’s Not Take Water For
its speed is measured in meters per day, and even per Granted, is available to help classroom teachers of grades
year. (Surface water velocities are described in meters per 5–7 use the information from the Water Fact Sheets.
second.) Wells intercept some groundwater but most of
it continues until it reappears naturally in a spring or a
seepage area and joins a watercourse.
WATER CONSERVATION—EVERY DROP
Groundwater contributes to Canada’s water supply by: COUNTS IN CANADA

• Feeding streams, producing the entire flow of some

streams during dry periods Environment Canada
• Replenishing wells—a valuable source of supply
for individuals, communities, industries, and irri-
The importance of protecting our water resource cannot
gated farms
be overstated. In economic terms, the measurable
• Supporting important ecological systems such
contribution of water to the Canadian economy is difficult
as wetlands
to estimate. In environmental terms, water is the lifeblood
• Moderating the adverse impacts of acid rain on of the planet. Without a steady supply of clean, fresh
surface water systems water, all life, including human, would cease to exist.
Additional information on groundwater can be found
in: Freshwater Series No. A-5, Groundwater—Nature’s This article is produced by Environment Canada and is
Hidden Treasure. reproduced with permission.
 WATER CONSERVATION—EVERY DROP COUNTS IN CANADA 661

illustrating the growth in our thirsty lifestyles. As the

readily available supplies of fresh water are being used
up, we begin to see that there are real limits to how much
water we can count on.

LIMITING FACTORS

• Although Canada has a significant amount of fresh

water, we possess only 7% of the world’s renewable
freshwater supply.
• In Canada, 84% of the population lives in a narrow
southern band, while 60% of our water supply flows
north to the Arctic Circle.
• Our growing population, and our growing thirst
for water, are being concentrated in expanding
metropolitan areas, and are forcing water regulators
and policy makers to find ways to stretch available
supplies even further.
• Increasing pollution of surface and groundwater is
further reducing the supplies of readily available,
clean water.
• Because our water use almost always leads to some
degree of deterioration in water quality, the less
The perception that Canada is blessed with an water we withdraw, the less we upset the natural
abundance of fresh water has led to misuse and abuse balance of our aquatic ecosystems. And, the less we
of the resource: from household toilets that use 18 upset the ecosystem, the less we have to spend to
liters per flush where 6 liters would do, to industrial restore the water quality to an acceptable standard
plants—and some municipalities—that use water bodies for public use.
as convenient sewers.
In 1999, the average Canadian daily domestic use of • Finally, financing by municipal governments for
fresh water per capita was 343 liters. The quantity, quality the treatment of water supplies and wastewater is
and economic problems we face as a result of our use of becoming increasingly constrained.
water are complex but, at least one of the causes of these
problems is easy to manage—the way we waste water. We can, however, make a significant contribution to
And, the solution is straight forward—water conservation. solving these problems by reducing unnecessary levels of
Simply stated, water conservation means doing the same water use. To do so requires that we identify the areas
with less, by using water more efficiently or reducing within our homes, businesses, buildings and processes
where appropriate, in order to protect the resource now, where we waste water and then make appropriate
and for the future. Using water wisely will reduce pollution changes, either in our fixtures, or in our water-
and health risks, lower water costs, and extend the useful using habits.
life of existing supply and waste treatment facilities.
And it’s easy. With little change to the way we do HOW WATER IS USED
things now, or the equipment we use, we can reduce water
consumption in the home, and in business, by 40% or We use water in many ways, and assign different values
more. These pages outline the role of water conservation to those uses. Instream uses (e.g., for transportation and
in addressing problems related to water use and water recreation) are valued highly, but it has proven difficult to
quality. It also shows us what part we can play as give them a dollar value that has any real meaning. For
residential consumers in finding solutions. example, just what would the average consumer be willing
to pay to swim in a clean lake or for a chance to catch fish
SUSTAINING OUR WATER SUPPLY in a clean, unpolluted river?
By far the greater number and variety of water uses
Water is considered a renewable resource: ‘‘renewable’’ occur on land. These are called withdrawal uses and,
referring to that portion which circulates back and although important to our daily lives, they have tended to
forth in the hydrological cycle (described more fully be assigned a low value. Water is withdrawn, used and
in Freshwater Series A-1, Water—Nature’s Magician). then discharged. Most withdrawal uses ‘‘consume’’ some of
However, pressures on the resource are growing. For the water, which means less is returned to the source than
example, between 1972 and 1996, Canada’s rate of water was taken out. And, after it has been used, the quality of
withdrawals increased by almost 90%, from 24 billion the water that is returned is often diminished, which has a
m3 /yr (cubic meters per year) to 45 billion m3 /yr. But, our negative impact on both the environment and recreational
population increased by only 33.6% over the same period, instream uses.
662 WATER CONSERVATION—EVERY DROP COUNTS IN CANADA

In 1996, five main withdrawal uses accounted for a total • distribution system pressure reduction
annual water intake (extractive uses) of 44.6 billion m3 . • water saving devices (efficient fixtures, appliances
These uses are described more fully in Freshwater Series and retrofits)
A-4, Water Works!.
• drought resistant landscaping (xeriscaping)
Thermal power generation includes both conventional
and nuclear power generating plants, which withdrew • efficient sprinkling/irrigation technology
slightly more than 64% of the total water intake in 1996. • new process technologies
Manufacturing accounted for 14% of water withdrawals • plant improvements
in 1996. Paper and allied products, primary metals and
chemicals were the main industrial users. Operational
Agriculture accounted for nearly 9% of total with-
drawals, with the semi-arid Prairie region of Canada • leak detection and repair
accounting for 75% of this total. Agriculture consumes • water use restrictions
a large portion of what it uses, returning less than 30% • elimination of combined sanitary/storm sewers to
to its source where it can be used again. Irrigation is the reduce loadings on sewage treatment plants
largest agricultural consumer of water. • plant improvements
Municipal use accounted for 10% of all water
withdrawals in 1996, or 12% when similar rural uses Economic
were included (excludes industrial uses and large-scale
agriculture). In the municipal sector, more than half of the • rate structures
water demand is a result of residential use.
• pricing policies
Mining use, including metal mining, non-metal mining,
and the extraction of coal, accounted for 1% of all water • incentives through rebates and tax credits
withdrawals in 1996. Water is used by the mining industry • other sanctions (fines)
to separate ore from rock, to cool drills, to wash the ore
during production, and to carry away unwanted material. Socio-political

• public education
• information transfer and training
Solutions—the Municipal Challenge • regulatory (legislation, codes, standards and by-
laws)
Municipal governments across Canada are beginning to
take action to manage the demand for water, instead of
seeking new sources of supply. Demand management, SUSTAINING OUR INFRASTRUCTURE
incorporating water efficient applications, is rapidly
gaining popularity as a low cost, effective way to get While many communities have access to an abundant
more service out of existing systems, thus delaying or water supply, the costs of the infrastructure that provides
deferring the need for constructing new works. The homes and industry with water and sewer services are
benefits of water efficient techniques apply equally well straining the available municipal financial resources.
to rural, private wells and septic disposal systems, as By infrastructure, we mean the water treatment plants
they do to central water and sewer systems in the city. that purify our water, the water mains in the ground
The wide range of water efficiency initiatives that transport water, and the towers and reservoirs that
currently being undertaken, can be grouped under four store water. The term includes the sewer pipes that carry
principal categories: away wastewater and the sewage treatment plants that
treat wastewater before returning it to the environment
1. Structural, where it often becomes the source of water for communities
2. Operational, downstream.
3. Economic, and Experts are predicting a growing problem involving
municipal water and sewer infrastructure in Canada. In
4. Socio-political.
1991, the value of this investment was estimated to be
worth over 90 billion dollars, of which a significant amount
Most of these water conservation activities fall
is deteriorating with age.
within the jurisdiction of municipal governments and/or
An increasing number of Canadian municipalities are
public utilities.
considering water conservation as the key to keeping
expansion needs to a minimum. Water conservation also
Structural
optimizes plant efficiency, while assisting municipalities
in financing the replacement of infrastructure that may
• metering
be over 50 years old in some communities and up to 100
• water recycling systems years old in several others.
• wastewater re-use Communities with older systems in need of extensive
• flow control devices repairs or replacement face the most difficult problems.
 WATER CONSERVATION—EVERY DROP COUNTS IN CANADA 663

With all levels of government adopting policies of realistic of rate structures by Environment Canada showed that
water pricing and user pay principles, many municipalities in 1999, 43% of the population was under a flat rate
have instituted full cost pricing to recover the total cost structure (where the charge or assessment is fixed,
of providing both water and sewer services—including regardless of the amount of water used). Another 12%
the costs of financing the replacement of older systems were under a declining block rate structure (where the
and the upgrading of overloaded treatment plants. consumer’s bill rises at a slower rate as higher volumes
Higher municipal costs, in turn, mean higher water—and of water are used); i.e., the more you use, the less you
sewer—bills. pay per unit.
The problem of stressed treatment systems is not Only about 45% of the population served was found
restricted to communities with piped water and sewer to be under a rate structure that provided a definite
systems. Over the past 25 years, there has been a incentive to conserve water: 36% were under a constant
substantial migration of urban dwellers to the countryside. rate structure (where the bill to the consumer climbs
City-bred water using habits and attitudes are, in many uniformly with the volume used); and 9% were under
instances, lowering the water table. And, the flood of an increasing block rate structure (where a successively
wastewater produced is stressing the soil’s ability to treat higher price is changed as larger volumes of water
septic effluent adequately. are used).
For both urban and rural communities, water conserva- Introducing conservation-oriented pricing or raising
tion can extend the life of this over-stressed infrastructure. the price has reduced water use in some jurisdictions,
but it must be accompanied by a well articulated public
education program that informs the consumer what
Metering to expect.
Tied to price increases, metered households generally
show reductions in water use, with the greatest savings SUSTAINING OUR WATER QUALITY
occurring during the summer months, when water
use is usually much higher due to frequency of lawn In addition to water supply and infrastructure issues,
watering, car washing and other outdoor uses. In 1999, water quality is a problem in many Canadian communi-
water use was 70% higher when consumers faced flat ties. Generally speaking, the decline in water quality is
rates rather than volume-based rates. And yet, only a function of the way we use water. Even something as
about 56% of Canada’s urban population was metered simple as rinsing dishes in the kitchen creates wastewa-
in 1999. ter that is contaminated to some degree. Once this water
Metering of industry has been common for some enters the sewer system, it must be treated in a sewage
time. What’s new is the metering of the return flow treatment plant. These facilities are never 100% effec-
to the sewer system, particularly as it relates to the tive, which means that some water quality deterioration
industrial sector. Case studies show that including remains after the treatment process.
sewage treatment in rate calculations generates Specific causes of impaired water quality are numerous,
greater water savings. An increasing number of including: agricultural runoff containing the residues
municipalities are applying sewer surcharges to of fertilizers, pesticides and other chemicals, industrial
residential water bills. pollution, either directly from the facility, or indirectly
from the leaching of chemicals from landfills, or pollution
Water Efficient Residential Technology from average households in the form of improperly treated
municipal sewage (refer to Freshwater Series A-3, Clean
More than half of municipal water is used by the resi- Water—Life Depends on It). Nearly 75% of Canadians
dential sector. As a consequence, the residential sector are serviced by municipal sewer systems. In 1999, 97%
represents a logical target for demand management of the Canadian population on sewers received some
activities. Depending on the nature of the water effi- form of wastewater treatment. The remaining 3% of
ciency program developed, each household can reduce Canadians served by sewage collection systems were not
water use by 40% or more. connected to wastewater treatment facilities in 1999 and
discharged their untreated sewage directly into receiving
Leak Detection and Repair water bodies.
Up to 30% of the total water entering supply-line For the roughly 25% of the Canadian population served
systems is lost to leaking pipes. In most cases, if by private wells and septic disposal systems, the news is
unaccounted for water in a municipal system exceeds not much better. These systems were originally designed
10 to 15%, a leak detection and repair program is cost- for houses that were widely separated from their nearest
effective. For example, studies have shown that for neighbor, such as farmhouses and the occasional rural
every $1.00 spent in communities with leak detection residence. Yet, today, in many parts of the country,
programs, up to $3.00 can be saved. individual private wells are being installed in subdivisions
at suburban densities. The primary danger here is that
Rates, Pricing and Public Education too many wells may pump too much water for the aquifer
to sustain itself.
About 55% of Canadians served municipal water pay in Septic treatment systems associated with these devel-
ways that do not promote conservation. A 2001 study opments can stress the environment in a number of other
664 WATER CONSERVATION—EVERY DROP COUNTS IN CANADA

ways. They are often allowed in less than satisfactory we waste so much, this should be a relatively easy and
soil conditions and are seldom maintained properly. They painless process. The prime area to target is the bathroom,
are also unable to treat many household cleaners and where nearly 65% of all indoor water use occurs.
chemicals which, when flushed down the drain or toilet, What follows are some suggestions for how to get your
often impair or kill the bacterium needed to make the house or business in order. Based on the three rules of
system work (The same applies in urban systems). The water conservation—reduce, repair and retrofit—a typical
end results are improper treatment of wastewater—if not household can reduce water consumption by 40% or more,
outright failure of the system—and the contamination of with or no effect on lifestyle.
adjacent wells with septic effluent containing bacterium,
nitrates and other pollutants.
REDUCE
Once these contaminants are in the groundwater, they
eventually reach rivers and lakes. In other words, once
Much of the water ‘‘consumed’’ in our daily activities is
we have a pollution problem, we may be only a step away
simply wasted. Taps are left running while we brush our
from a water supply problem.
teeth. Dishwashers and laundry machines are operated
without full loads. Really, everywhere we use water there
is room for improvement. Here are just a few examples for
Solutions—in the City and in the Countryside both indoor and outdoor water use.
The irony in all of this is that water quality impacts
• Don’t use the toilet as a wastebasket or flush it
from overloaded or poorly maintained and operated
unnecessarily.
municipal and private sewage disposal systems are the
number one preventable type of pollution in Canada. • A quick shower uses less hot water than a full tub
The answer lies in better, more thorough treatment. (and saves energy too).
And, one of the ways to enhance the treatment process • Keep a bottle of drinking water in the refrigerator
is to limit the amounts of wastewater entering the rather than letting your tap run to get cold water
wastewater stream. Again, water conservation is one of when you want a drink. (Rinse the bottle every
the easiest and cheapest ways to reduce the volume of few days.)
wastewater flows and improve water quality. • More than 50% of the water applied to lawns and
Following a few common sense rules, it should be gardens is lost due to evaporation, or run-off because
possible to safeguard your water supply while extending of overwatering. Find out how much water your lawn
the life of your sewage disposal system, regardless of really needs. As a general rule, most lawns and
whether you live in the country or in the city. gardens require little more than 2 to 3 cm (1 inch) of
Think carefully about the quantities of wastewater water per week.
your household or business produces, as well as the • To reduce loses due to evaporation, water early in the
quality of the wastewater. Do you make it a habit morning (after the dew has dried).
of discarding solvents, cleaners and related chemicals
• When washing a car, fill a bucket with water and use
down your drains? If you do, you may be introducing
a sponge. This can save about 300 liters of water.
substances that are toxic to the bacterium and other
organisms that play a vital role in the treatment of
sewage. This statement applies equally well to urban REPAIR
and rural households and businesses.
Leaks can be costly. A leak of only one drop per second
wastes about 10,000 liters of water per year. Most leaks
INDIVIDUAL ACTION—CONSERVING WATER IN THE are easy to find and to fix, at very little cost.
HOME, COMMUNITY AND AT WORK
• Leaking faucets are often caused by a worn out
As we have seen, water quality and quantity are two washer that costs pennies to replace. Most hardware
sides of the same coin. How does saving water help water stores will have faucet repair kits with illustrations
quality? Because water saved is water that does not end showing how to replace a washer.
up in the wastewater stream requiring treatment. This, • A toilet that continues to run after flushing, if the
in turn, reduces municipal pumping and treatment costs leak is large enough, can waste up to 200,000 liters
and frees up monies that can be used for infrastructure of water in a single year! To find out if your toilet is
renewal and replacement and protection of supply sources. leaking, put two or three drops of food coloring in the
Less wastewater in the sewage treatment plant also means tank at the back of the toilet. Wait a few minutes. If
that the plant has a better chance of doing the job it was the colour shows up in the bowl, there’s a leak.
intended to do. • Toilet leaks are often due to a flush valve or
So where do we start? The first step is to identify where flapper valve that isn’t sitting properly in the valve
we use water in the home. Then we need to decide on seat, bent or misaligned flush valve lift wires, or a
what to do to reduce the amount of water we use, either by corroded valve seat. All of these can be fixed easily
eliminating wasteful practices and habits, or by improving and inexpensively. To get at the valve seat, which
the efficiency of our water using fixtures and devices. Since surrounds the outlet hole at the bottom of the tank,
 WATER CONSERVATION—EVERY DROP COUNTS IN CANADA 665

you must first empty the tank. This is accomplished One displacement device to stay away from is the
by turning off the inlet tap under the tank and brick! It can disintegrate inside the toilet tank, leading
flushing the toilet, making sure to keep depressing to excessive leakage at the flapper valve and may even be
the flush lever until no more water drains out of the heavy enough to actually crack the tank.
tank. Then, holding the valve out of the way, sand the There are essentially two types of alternative flush
corroded or warped valve seat smooth with a piece devices: early-closure and dual-flush. They are usually
of emery cloth, if, however, the leak is around the attached to the overflow tube inside the toilet tank. In
base of the toilet where it sits on the floor, call a both cases, they close the flush valve or flapper after the
professional. tank is only partially emptied. In theory, this interruption
in the flush cycle occurs after the bowl has been cleared.
In the case of the dual-flush mechanism, the amount of
RETROFIT
water saved is dependent upon how long the flush lever
is activated—a partial flush for light duty or full flush or
Retrofit means adapting or replacing an older water-
heavy duty.
using fixture or appliance with one of the many water-
While all of the above toilet adaptations appear to work
efficient devices now on the market. While these solutions
as intended when first installed, their performance may
cost more, they also save the most water and money.
vary considerably, depending on the toilet design. The
Retrofitting offers considerable water saving potential in
best advice is to monitor the performance of the devices
the home and business, so this issue in the Freshwater
periodically. If you discover that it becomes necessary to
Series is devoting considerable space to it.
double flush the toilet, something is in need of adjustment
or replacement. Remember that double flushing defeats
Toilet Retrofits
the purpose of your water conservation efforts and is
When it comes to retrofitting, the prime fixture to target costing you money.
is the toilet. You can: (i) adapt your existing toilet in a If you decide that it is time for a toilet replacement
number of ways, by installing certain water-saving devices in your home or business, you are well on your way to
inside the tank at the back of the toilet; or, (ii) if the toilet significant water savings that you can bank on over the
is more than fifteen years old—which means it probably life of the toilet. Replacing a 18 liter per flush toilet with
uses about 18 or more liters of water per flush—you an ultra-low-volume (ULV) 6 liter flush model represents
can replace it with one of the growing number of ultra- a 70% savings in water flushed and will cut indoor water
low-volume (ULV) toilets, that can be ordered from most use by about 30%. Keep in mind that 18 liters per flush,
plumbing outlets, and use only 6 liters or less per flush. assuming 4.5 flushes per person per day, translates into
There are many toilet adaptations you can install in nearly 30,000 liters of clean, fresh water per year just to
the tank of an existing toilet to reduce the amount of get rid of 650 liters of body waste. A 6 liter flush toilet
water used in a flush cycle. These devices fall into three only uses about 10,000 liters to do the same task. Low
generic categories: flush toilets are available for less than $150.00 at most
plumbing and supply stores.
• water retention devices; Remember, the ULV toilet not only uses less water, it
• water displacement devices; and, produces less wastewater. If your municipality applies a
• alternate flushing devices. sewer surcharge on your water bill, the investment in the
better toilet could translate into a 50% reduction in your
The most common water retention device available is combined water/sewer bill. If you are on a private well and
the toilet dam. A set will save about 5 liters per flush septic system, you are significantly reducing the loading
when installed properly. Their main attraction is their on your tile field while extending its useful life. To a lesser
low cost (under $10.00 per set) and the fact that they are degree, the same applies to the other water-saving devices
easy to distribute and install for example, as part of a described here.
wider municipally-sponsored retrofit program. Their main
disadvantage is that they tend to leak over time by slipping Showerheads and Faucets
out of adjustment and can slip free and interfere with
the moving parts inside the toilet tank, if not routinely After the toilet, the shower and bath consume the most
checked. water inside the home. Conventional showerheads have
Toilet dam and displacement bag: flow rates up to 15 to 20 liters per minute. A properly
The water displacement devices familiar to most people designed low-flow showerhead can reduce that flow by
are the plastic bags or bottles filled with water which are half and still provide proper shower performance. Low-
suspended inside the toilet tank. As the name implies, flow showerheads can be purchased in most plumbing
these devices displace several liters of water, saving an supply outlets.
equivalent amount during each flush. Like the toilet dam, Depending on your preference for finish and appear-
most displacement devices are inexpensive and easy to ance, you can select a serviceable low-flow showerhead
install. Their chief disadvantage is that they don’t save as starting at around ten dollars. Consider one with a shut-
much water as other devices and, if they are not installed off button. The advantage of the shut-off button is that
carefully, they can interfere with the proper operation of it allows you to be really water efficient if you so choose,
the toilet. by being able to interrupt the flow, while you lather up
666 WATER CONSERVATION—EVERY DROP COUNTS IN CANADA

or shampoo, and then resume at the same flow rate and the backyard where the family spends the majority of
temperature. its time.
Beware of the type of showerheads that produce such a
fine mist that the water is quite cool by the time it reaches
your feet. And, stay away from so-called flow restrictors
that are inserted inside your existing showerhead. They Solutions—At Work and in the Community
look like a small plastic washer and can produce a fierce, Many of the suggestions made for reducing water use in
stinging spray pattern which may significantly reduce the the home have wider application, both in the workplace,
enjoyment of taking a shower. and in the community at large. Low-flow equipment are
Conventional faucets have an average flow rate of 13.5 available for most commercial and toilet applications,
liters of water per minute. Install low flow aerators to instituting them may mean taking a leading role
reduce this flow. In the bathroom, a flow rate of 2 liters yourself, for example, forming and leading a committee
per minute should do the trick, and in the kitchen a that would address the following questions:
flow rate of 6 to 9 liters per minute is sufficient. Don’t
bother retrofitting the tap in the utility sink; it is intended • do your workplace bathrooms, kitchens, etc. have
to provide large volumes of water quickly, for example, water-efficient toilets, faucets, etc. similar to those
for cleaning or washing, such that low flows will only discussed for the household?
inconvenience the user.
• if your workplace uses water in its production
process or for washing goods or equipment, is this
Outdoors being done efficiently?
During the growing season water use can increase by as • does your community have a water-efficiency
much as 50%. While lawns require a lot of water, much assistance program that helps households and
of this water is wasted—lost due to overwatering and business improve their water-use efficiency?
evaporation (see Reduce). • is the water distribution system properly main-
Watering equipment also plays a part in how much tained so that no pollution leaks into it and so that
water is saved and lost. Ideally, sprinklers should be no water is wasted through leaky mains?
suited to the size and shape of the lawn. That way, you
avoid watering driveways and sidewalks. Installing timers
on outdoor taps can be a wise investment.
THE BOTTOM LINE
Sprinklers that lay water down in a flat pattern are
better than oscillating sprinklers which lose as much
as 50% of what they disperse through evaporation. Water conservation. The message is clear. If we each save
Drip irrigation systems which apply water only to a little, it can add up to major savings in water, energy and
the roots zone are the most efficient—and the most money. For the average household, reductions in water use
expensive—alternative. as high as 40% or more are feasible, just by following the
The water you use to water your lawn doesn’t have to steps outlined in this issue in the Freshwater Series.
come out of a tap. A cistern, which captures and stores The benefits don’t stop at the household or business.
rainwater, can be used as a source of irrigation water. A The municipal water and sewer department gets a
rain barrel can adequately fulfil this function. break on the amount of water it has to pump to our
Finally, consider a low-maintenance landscape—one homes and businesses and on the amount of wastewater
which requires little more water than nature provides. it has to treat in sewage treatment plants. Water
Often called xeriscaping, the principles of a low- conservation can extend the useful life of municipal
maintenance landscape are as follows: water supply and treatment plants, and will benefit
the operating efficiency—and life expectancy—of private
• a reduced amount of lawn; septic disposal systems.
• proper plan selection making use of native grasses, And, finally, water conservation can generate signifi-
shrubs and trees; cant environmental benefits. It can reduce water diverted
and the pollution loadings on our lakes and rivers by
• mulching to reduce evaporative losses around shrubs
reducing the volumes of wastewater which we have to
and trees;
treat. This can help to protect our drinking water and the
• the use of rain barrels and roof drainage; ecological balance in sensitive aquatic ecosystems.
• improvements to soils; If we all practice water conservation, everyone—and
• a proper irrigation system; and everything—benefits.
• planned maintenance.

FRESHWATER SERIES A-6

The most significant savings of course, come from a
reduction in lawn area and switching from exotic plant
forms to native species which require less water. In Note: A resource guide, entitled Let’s Not Take Water For
general, lawn areas should not exceed what is useful Granted, is available to help classroom teachers of grades
for play and social activities, and should be limited to 5–7 use the information from the Water Fact Sheets.
 ECOREGIONS: A SPATIAL FRAMEWORK FOR ENVIRONMENTAL MANAGEMENT 667

ECOREGIONS: A SPATIAL FRAMEWORK FOR management in any ecosystem (4). These three factors
ENVIRONMENTAL MANAGEMENT should be present as a prerequisite for a healthy ecoregion
because an ecoregion itself is a big ecosystem. Among these
MD. SALEQUZZAMAN factors, biodiversity has global importance and combines
Khulna University wildlife value with a rich cultural heritage. Thus each
Khulna, Bangladesh ecoregion has an immense natural value with a colorful
and rich cultural heritage bound up with the unique
natural heritage of age-old cultural traditions. As each
DEFINITION ecoregion is ecologically distinct and strikingly beautiful,
an ecoregion attracts the ecotourism that has a great
An ecoregion may be defined as a scale for planning and potential to improve the local economy as well as develop
analysis in the hierarchy of the earth’s ecosystem. It has a global network for ecobusiness and globalization.
broad applicability for modeling and sampling, strategic
planning and assessment, and international planning of
SOME IMPORTANT ISSUES FOR ENVIRONMENTAL
domain, division, and provincial ecological units.
MANAGEMENT IN THE ECOREGIONS AROUND THE
Ecoregionization is a process of delineating and
WORLD
classifying ecologically distinctive areas of ecological land.
Each area can be viewed as a discrete system that has
Ensure a Balanced Ecosystem
resulted from the mesh and interplay of the geologic,
landform, soil, vegetative, climatic, wildlife, water, and Every organism, including animals and plants, no matter
human factors where ecological functions and processes how small they are, plays a vital role in keeping the
are continuing. The dominance of any one or more of systems of the earth as healthy and functioning ecoregions.
these factors varies with the given ecological land unit. Removing any species from the complex web of life
This holistic approach to land classification can be applied disturbs the balance of the entire system, resulting in
incrementally on a scale-related basis from site-specific the impoverished life zones left today. Scientific studies
ecosystems to very broad ecosystems (1). Ecological have made it clear that a balanced ecosystem is teeming
processes, evolutionary mechanisms, and geological forces with abundant life in quality and quantity, such as
are continually reshaping landscapes across various scales a wetland ecosystem or the ocean. Historical evidence
of time and space and result in distinctive but dynamic clearly suggests that once the oceans were filled with
ecoregions. All of the world’s food and most medicines whales, sea turtles, fish, and other forms of life that
and raw materials are derived from these processes seem more identical to a scientific fantasy than reality.
and associated biodiversity. Thus ecoregions gain their Many of them are now extinct. The reality is that the
identity through spatial differences in a combination actual populations were exponentially greater than they
of landscape characteristics. Several factors such as are today (before human predation began). Once humans
topography, hydrology, and nutrients are important to began hunting, their appetites were insatiable, and a
identify these characteristics that may vary from one place pattern of imbalance started that may culminate in the
to another in an ecoregion. complete collapse of some ecosystems of the ecoregion.
Thus one of the important aspects of ecoregionization is to
OBJECTIVE OF ECOREGIONIZATION keep the ecosystem balance in any ecoregion.

The main objective of using the ecoregion as a spatial Ensure the Protection of the Natural Heritage and the
framework for environmental management is to maximize Environment
ecoefficiency by minimizing resource-use conflicts and har-
The natural heritage and its environment are the identity
monizing sociocultural needs in the ecoregion. Ecoregions
of any ecoregion, which are also the natural wealth that
are also used to isolate areas for the interpretation of envi-
sustained human communities in comfort and plenty for
ronmental quality (2). Countries such as Canada and the
millennia, such as the rain forest in many countries of
United States are now using the ecoregion as the coarsest
the world, for example, Alaska. Recently, the Alaskan
scale for evaluating representative areas (3). This process
rain forest is being destroyed in such a way that the
needs lots of information. The baseline information on
region faces a graver, more permanent threat: the same
ecosystem properties and changing conditions of ecosys-
razed-earth logging that has already devastated the Pacific
tems in any specific ecoregion may be collected through
Northwest. Rain forest logging is perfectly in step with
a series of monitoring, which affects the management
the boom-and-bust rhythm of the Alaskan economy due
practices in that ecoregion. Knowledge of the ecoregion
to poorly planned development spread out over wildlands,
facilitates; the allocation or linking of sites to a standard
slashing of shorelines for beach homes and resorts, limiting
ecological hierarchy minimizes the sampling variance and
public access, and destroying fragile barrier beaches and
increases the ability to extrapolate results for areas with
wetlands. Besides this destruction, it is also destroying a
similar properties.
lot of wildlife habitats as well.
IMPORTANCE OF THE STUDY OF AN ECOREGION Ensure the Protection of the Ethnic Community of the World
Ecological integrity, natural capital, and biodiversity Each ecoregion has a special characteristic of the specific
are three ecological requirements for environmental group of ethnic community people. They preserve a
668 FLOOD OF PORTALS ON WATER

sustainable livelihood from generation to generation. Now, global climate change is also needed for any government
this sustainability livelihood is challenged for survival. to improve the way it conserves, protects, and manages
The ethnic community people attempt overexploitation of ecological processes, habitats, and species in the ecoregion.
natural resources such as fish, oil, gas, forest products, Furthermore, it must integrate planning and management
and minerals to satisfy their mounting needs induced by across multiple scales, nesting the functional require-
globalization and modernization. Recently, some nations ments of ecological systems and social systems to uphold
have agreed to monitor environmental damage in their and restore resilience in the ecological and social systems
ecoregion, establish an emergency response program, of the ecoregion for long-term sustainability.
protect the sensitive environment, and conserve endemic
flora and fauna. However, huge chunks of the ecoregion BIBLIOGRAPHY
still lack essential wilderness protections. Oil and gas
development threatens the coastal plain and millions of 1. Wiken, E.B. (1986). Terrestrial ecozones of Canada. Ecological
acres at the heart of biological refuges. Recently, a large Land Classification Series No. 19. Environment Canada, p. 26.
portion of coral bleaching (hot spot) in coral reefs was 2. Jarvis, I.E., MacDonald, K.B., and Betz, T. (1995). Develop-
discovered throughout the world (5). Coral bleaching is ment and application of a Canadian ecological framework.
the loss of color from the living coral animal and can cause In: Proc. GIS 95, 9th Ann. Symp. Geogr. Inf. Syst., Van-
their death. The color of coral comes from microalgae living couver, British Columbia. GIS World Inc., Ft. Collins, CO,
in the coral’s tissue; when the water surrounding the coral pp. 605–612.
becomes too warm, corals become stressed and expel the 3. Gauthier, D. (1992). Framework for developing a nationwide
microalgae. These microalgae also provide the coral with system of ecological areas: Part 1-A Strategy. Occasional Paper
food, and as the algae fade away, corals starve to death. No. 12, Canadian Council on Ecological Areas. Secretariat,
Canadian Wildlife Service, Environment Canada, p. 47.
Therefore, environmental management and conserva-
tion should be adopted first to quickly protect the ecore- 4. Brunckhorst, D.J. (2000). Bioregional Planning: Resource
Management- Beyond the New Millennium. Harwood Aca-
gion, including its organisms, people, and its total effective
demic, Australia, p. 5.
surroundings from misuse or damage by human activities;
5. Greg, R. (2002) Coral Threat Renews Push on Protocol,
second, to ensure that life support systems and renewable
Wednesday 9 January 2002, http://www.theage.com.au/news/
resources are used in an ecologically sustainable manner national/2002/01/09/FFX715DK6WC.html (access on 12 Sep-
while supplying the conditions for a satisfactory human tember 2002).
existence. Community-based projects will demonstrate the
benefits for local people and the environment combining
sustainable development and conservation and building FLOOD OF PORTALS ON WATER
up coordination among various activities in the ecoregion.
In addition, ecologically sustainable management should DICK DE JONG
be adopted in every ecoregion that will be used to assess IRC International Water and
the ecological sustainability of the biological resources in Sanitation Centre
the ecoregion. Delft, The Netherlands
Environmental justice often plays itself out as a
disparity between the rich and the poor, between the
MARTA BRYCE
‘‘haves’’ and the ‘‘have-nots.’’ Just as environmental justice
CEPIS/PAHO
speaks to issues of poor people and people of color who
Delft, The Netherlands
are disproportionately subject to environmental pollution
and public health risks, it also should speak of issues
INTRODUCTION
where poor people and people of color do not equally derive
opportunities to obtain benefits and values associated with
The Internet has been inundated with new gateways
environmental resources.
and portals on water over the last couple of years,
as witnessed by information specialists at the IRC
CONCLUSION International Water and Sanitation Centre. The New on
the Net section in Source Water and Sanitation News
Sustaining ecological processes, the landscape function, (http://www.irc.nl/source/section.php/12) carries 54 news
and the biological diversity of any ecoregion are important items since July 2002, of which seven refer to ‘‘gateway’’ or
globally, nationally, and locally. Pressure to accommo- portal. Unfortunately, many of them only serve to confuse
date a rapidly increasing human population together instead of help people who search the web for water-related
with increased provision of goods and services has been information. Part of the problem resides in defining what
growing for decades. This has impacted each ecoregion constitutes a ‘‘portal’’ and what doesn’t. Another issue is
in its sociocultural, economic, and environmental char- that most portals do not seem to have a clear notion of
acteristics. Therefore, a multiple scale, transdisciplinary their intended visitors—and their motives for visiting. As
integrated approach, and strategic framework for sus- a result, the portals lack much-needed focus.
tainable environmental planning and management of an Here, we give some recent examples, try to create more
ecoregion are needed. In addition, pressure to take action clarity by providing definitions and types, discuss key
to halt land degradation, breakdown in production sys- lessons learned, and raise key issues for further discussion
tems, decreasing water quality, loss of biodiversity, and and research. This is based on various Internet searches
 FLOOD OF PORTALS ON WATER 669

and an annotated selection of various gateways/portals by UNESCO WWAP/Waterweb Global Water Portal, as
IRC staff. was announced in Japan. Funding for this started in
Here are five examples of sites, none of which have all April 2002.
the functionality of a portal yet. 5. The U.S.-based WaterTechOnline (http://www.wa-
tertechonline.com/news.asp?mode=4&N ID=31857)
1. The closest example of a portal is the BBC Water is one of the commercial portals addressing busi-
Portal—The Water Debate (http://news.bbc.co.uk/2/ ness needs. It contains breaking daily news stories
hi/in depth/world/2003/world forum/water/default. about the water and wastewater treatment indus-
stm) that was launched early June 2003. This is try, as well as industry bulletin boards, searchable
not only an impressive interactive site for the gen- supplier directories and article archives, industry
eral public with video, audio, expert views, fact files, opinion polls, new product announcements, and
and water stories; it also provides fun options such other industry-specific information.
as online opinion polls and a water quiz. However, it
does not contain an option for online collaboration.
These examples illustrate the proliferation of water
2. The IRC International Water and Sanitation portals, gateways, and websites. It also raises questions
Centre (established in 1968) family of websites about the definitions, users, and relevance of these
(http://www.irc.nl) provides news and information internet-based initiatives.
(including advocacy/communication, publications,
and bibliographic database) on low cost water supply
and sanitation in developing countries. It has a num- DEFINITIONS AND TYPOLOGIES
ber of topic sites. It also provides a starting point for
the Source Water and Sanitation News service and General information on portals can be found on the
the InterWATER guide to more than 650 organiza- Portals Community site. This advertises on Google.com
tions, in collaboration with the Water Supply and as ‘‘The Definite Enterprise Portal Resource’’ and offers
Sanitation Collaborative Council. The search engine Portals information, White papers, networking, and
(Atomz) provides access to all these related sites. research (http://www.portalscommunity.com/registration/
The IRC DOC online database contains 15,000 bibli- member.cfm?code=TDXTL05).
ographical entries on developing country water, san-
itation and hygiene documents, books, periodicals,
Defining Water Portals
videos, and so on. The (www.worldwaterday.org) site
maintained by IRC contains information on one topic From About.com and our own sources, a portal is a
per year that is selected by the UN. Visitors can add kind of website and provides a single point of access to
comments and events. aggregated information—a virtual front door. The term
3. Sanitation Connection (http://www.sanicon.net/) is originated with large, well-known Internet search engine
an Internet-based resource that gives access to accu- sites that expanded their features to include e-mail, news,
rate, reliable, and up-to-date information on tech- stock quotes, and an array of other functionality. Some
nologies, institutions, and financing of sanitation corporations took a similar approach in implementing
systems around the world. Institutions of interna- their intranet sites, which then became known as
tional standing contribute to the information base enterprise information or corporate portals.
by providing and maintaining a topic of their spe- There are general portals and specialized or niche
cialization. portals. Some major general portals include Yahoo,
4. Water Portal of the Americas (http://www.Water- CNET, AOL, and MSN. Examples of niche portals that
Portal-Americas.org) is a combination of a gateway are accessible to the public include Garden.com (for
(entryway or portal) and a community of practice. It gardeners), Fool.com (for investors), and DPReview.com
is basically a search engine, a structure and system (for photographers). These are sometimes also called
for other organizations to copy or fit in. It is still a vortals—vertical portals. Private niche portals are those
prototype that may grow into a collaborative portal. that are used by employees of a company.
‘‘The goal is to provide both an entryway (portal) to Typical services offered by public portal sites include
water information and to create a water information a start page with rich navigation, a directory of websites,
network, community, and resource that will provide a facility to search for other sites, news, a collection
qualified, trusted, and verifiable information and of loosely integrated features (some of which may be
contacts.’’ provided by partners or other third parties) like weather
At the March 2003 Third World Water Forum information, stock quotes, phone, and map information, e-
the prototype of a ‘‘Water Portal for the America’s’’ mail, and sometimes a community forum. Private portals
was shown by UNESCO/World Water Assessment often include access to payroll information, internal phone
Programme and the Waterweb Consortium, a year directories, company news, and employee documentation.
and a half after it was first announced at the Here, we define a portal as ‘‘a one-stop, client-oriented
Fifth Water Information Summit. The prototype website that offers visitors a broad array of interactive
gave an impression of what will be on the site, resources such as news, databases, discussion forums,
with only limited content. This is the first regional search options, space to collaborate online, and links on
water portal that is scheduled to become part of the water-related topics.’’
670 FLOOD OF PORTALS ON WATER

Searches queries. There was a wide range of engines used

and indications of haphazard searching.
IRC staff did various online literature searches:
6. Another major conclusion from the same survey is
• On ‘‘Water Portals’’ on all the web search engines in that subject gateways are notable only for their
April, May, and June 2003. Of the 45 results shown, lack of mention among students and academic staff,
32 were relevant. On Google.com, 22 out of 42 were although there is some use among library and
relevant. The other results were mainly related to information staff.
game sites.
• On the specialized ICT site Whatis.com there is a lot LESSONS LEARNED
of information on corporate portals through Best web
links, news headlines expert technical advice, and The majority of the gateways/portals described here focus
web results. on the broadest possible water topic: water resources
and management.
The claims for ‘‘The Water Portal’’ cannot be justified.
CONCLUSIONS At best we can help clarify what the sites we have selected
are focusing on, what they are, what they deliver to visitors
Our main conclusions are: (who?), and how interactive they are.
Two good examples of the different approaches are
1. There is a wide variety of ‘‘portals’’ on water, The Netherlands-based start page on water (www.water-
definition wise, topic wise, and language wise. pagina.nl) that provides four pages of clickable names
2. Even in the world of corporate portals the con- divided over 32 categories, compared to the recently
cept is subject to confusion in the marketplace established www.h2o-scanner.com. This has a start page
(Peter A. Buxbaum, Nov 2001, searchEBusiness). from where searches can be done combining countries,
Buxbaum quotes: segments, issues, and content.
With a portal the emphasis is shifting from a
There are several different types of corporate portals, public website showing online pamphlets to a user-
each sporting different capabilities and each requiring oriented website that provides tools, reports, and services
different technologies and technology providers. Experts specifically designed for that individual.
segment the enterprise portal arena into at least three
components. Information portals emphasize data and
document retrieval and management. Knowledge portals WHAT NEXT?
enable collaboration and information sharing as well
as expertise and knowledge capture. Application portals By offering its new website architecture to interested
provide end-users with interfaces to enterprise systems. partners, IRC started since mid-2003 to develop a family
What do all these have in common? As IDC defines it, they of related websites on water sanitation and hygiene, using
all manage end-user access to multiple applications and the same technical foundation: A Water Portal Is Born.
information sources on the corporate intranet. The STREAMS coalition of resource centers is going to
be the first partner using this opportunity to contribute
Looking at the software giant SAP’s recent steps content through its own segment of this shared platform.
in its portal strategy, Buxbaum leaves us with More partners will be added.
a nagging question: If a software giant like SAP In 2004 the Portal functionality will be expanded to also
can’t explain portals clearly, how are its potential contain login functionality to provide Intra- and Extranet
customers supposed to understand them? opportunities, moderated lists to enable E-conferences,
3. Most of the sites that claim to provide a water workflow management, and others.
‘‘portal’’ can be more correctly described as providing
a start page or gateway to web information. There is
INTERNET ACCESS GAP
in fact a flood of gateways, but too many providers
are drowning in ambition.
A few data on Internet connectivity according to
4. An interesting paper that describes pros and cons of a CIA’s World Factbook (http://cyberatlas.internet.com/big
portal from a university point of view in easily under- picture/geographics/article/0,,5911 151151,00.html) show
standable language is Kevin Lowey’s University the enormous gap between Internet use in the developed
Portals FAQ, University Web Developers’ Mailing and developing world.
List 2002 (http://www.usask.ca/web project/uwebd/ The percentage of the population of Internet users in
portals faq.html). the world in 2002 was around 9%. In The Netherlands and
5. Some interesting findings emerge from a user survey Denmark it was around 61%, in the United States some
of electronic information services (EIS) among 25 59%, in Canada 50%, and in Belgium 36%. In Colombia
U.K. institutions of higher education. The effect of it was about 2.8%, in Bolivia 0.9%, in India 0.7%, in
the Internet on information seeking by staff and Nepal 0.23%, in Mozambique and Bangladesh 0.1%, and
students is hugely significant; search engines and in Ethiopia 0.03%.
known sites are the first resort for most academic Kamel from Nepal Telcom indicates that there are
queries, as well as for many personal domestic 8 phone lines per 1000 persons in Nepal. E-mail was
 FLOOD OF PORTALS ON WATER 671

introduced in 1993 and Internet in 1994. They have 50 21 countries of Latin America and the Caribbean with
cyber cafes in Kathmandu and 20 in Pokhara. Government 370 Cooperating Centres. The Pan American Center
official Vandya indicates that IT development is important for Sanitary Engineering and Environmental Sciences,
and Nepal has to continue to develop it. This needs to be CEPIS/PAHO, of the Pan American Health Organization,
done in parallel with other media such as wall newspapers, PAHO/WHO, is in charge of the regional coordination.
taking into account that basic literacy is 55% and English The VLEH disseminates information on water sup-
literacy 2%. ply, sanitation, and related topics (http://www.cepis.ops-
In Burkina Faso the literacy is only 20% and they oms.org/indexeng.html). It uses the same methodology
have 60 spoken local languages in a population of 2.6 as the Latin American and Caribbean Health Sciences
million. A local priest is making a very interesting effort Information Centre, BIREME, another information sys-
by publishing a quarterly farmers magazine in some of the tem sponsored by PAHO/WHO. Its architecture is based
local languages. He indicates that Internet is useful to find on six types of information sources and services: elec-
information, but a considerable part of the information in tronic publications in full text, secondary sources, teaching
the magazine comes from local farmers. material, SDI service, news and discussion lists, and inte-
In terms of difficulties it is clear that the number of grating components. The bibliographic database contains
users is very low in the South and even more so in rural more than 134,000 records with abstracts, of which 7553
areas. Another difficulty is that Internet performance gives are full text.
problems. Downloading in the South, for example, is slow The principles of the VLEH are:
and the cost of access is high. It is often a struggle to access
a telephone line let alone high bandwidth facilities. In the • Equitable access to environmental health informa-
preparation for a knowledge management workshop at tion.
the Sixth Water Information Summit in September 2003, • Alliances and consortia for maximizing resource
it was already very clear that files over 1 MB gave a lot sharing.
of problems. Only after simplifying and zipping them did • Cooperative work and exchange of experiences.
they become more manageable.
• Decentralized development and operation at all
levels.
LATIN AMERICA: VIRTUAL LIBRARY ON • Development based on local conditions.
ENVIRONMENTAL HEALTH • Integrated mechanisms for evaluation and qual-
ity control.
A good example from the achievements and challenges
of web use in the developing world is the Virtual The VLEH architecture (Fig. 1) is based on the character-
Library on Environmental Health (VLEH) of the Pan istics of its information sources. An information source is
American Information Network on Environmental Health, any resource that responds to information needs, including
REPIDISCA, which has been operating since 1982 in information products and services, persons or networks of

Figure 1. The VLEH main page.

672 FLOOD OF PORTALS ON WATER

Table 1. Number of Records in Each Information Source of the VLEH

Number Source 1981–1997 1998 1999 2000 2001 2002 5 June 2003

Secondary
1 Bibliographic 96,467 106,577 117,925 119,321 120,784 130,087 134,972
2 Institutions 1,953 1,986 2,043 1,914 1,779 2,106 2,283
3 Specialists 103 103 136
4 Events (current) 186 475 1,065 1,005 1,100
5 Academic programs 129 284 298
6 Journals 451 475 483 505 516
7 Videos 398 404 475 494 500
Primary
8 Full texts 404 927 1,568 3,159 6,071 7,553
9 Legislation 165 547 1,079 1,235 1,004
10 HDT 70 73 76 79 82 88 88
11 Repindex 63 66 69 72 75 78 78
12 Indicators ALC ALC ALC
Teaching Material
13 Teaching material 607 829 879
14 Self-instruction courses 9 9
SDI Service
15 SDI data base 452 519 654 765 2,020 2,114
News/Discussion Lists
16 News 119 263 322 973 1356
17 Open discussion lists 7 11 11
18 Restricted discussion lists 12 11 13
Integrating Components
19 LISA (www links) 175 314 1,448 1,682 1,754
20 Thesaurus in five languages 3,000 3,143 3,259

persons, and computer programs. The VLEH architecture information through e-mail to users that lack or
is organized as follows (Table 1): have communication constraints via the Internet.
5. News and Discussion Lists. Fosters communication
1. Secondary Sources. Composed of the following
among persons, including discussion lists, forums,
databases: bibliographic (more than 134,000 re-
and virtual communities.
cords); institutions (includes the address and
names of authorities); events (includes seminars, 6. Integrating Components. Ensure the integration
congresses, and short courses); academic programs of decentralized information sources, like the
(includes diplomas, master, and doctoral programs); REPIDISCA Thesaurus (more than 3000 terms
journals (includes the titles, electronic availability, in five languages: Spanish, English, Portuguese,
and access to full texts); videos (includes material French, and German, with its corresponding hierar-
available at CEPIS and Cooperating Centres). chical structure and synonyms) and the Health and
2. Primary Sources. Composed of the following data- Environment Information Locator (gathers other
bases: full text documents (more than 7500 docu- Internet sources on environmental health, based
ments in Acrobat); legislation (more than 1000 laws on the Global Information Locator Service, GILS,
and regulations in full text related to water qual- adopted by the Global Program of the Information
ity); HDT (includes 78 issues of the series Technical Society and the Dublin Core).
Dissemination Sheets, published by REPIDISCA);
Repindex (includes 88 issues of this series also pub-
lished by REPIDISCA); indicators (includes data Building the virtual library implies the development,
from 45 countries of the Latin American and adoption, and adaptation of tools to operate information
Caribbean region based on the global assessment sources according to its architecture.
of water and sanitation services, 2000). PAHO’s Headquarters, in Washington, DC, hosts the
3. Teaching Material. The material training database virtual library because its server has higher connection
contains electronic and multimedia sources with speed. Statistics show that the number of visitors increases
added value for teaching purposes; the database every year: 549,469 users have visited our website up to
on self-instruction courses contains nine courses June 18, 2003 (Fig. 2).
prepared by PAHO/CEPIS which are also available Figure 3 shows the number of users per information
on CD-ROM. source from January to June 2003. The source of
4. SDI Service. Selective dissemination of information full-text documents had the highest number of users,
(SDI) to update users based on their specific interest indicating that efforts should be concentrated on this
profiles. It is also a mechanism for providing information resource.
 FLOOD OF PORTALS ON WATER 673

600,000 549,469 The VLEH includes 17 additional topics related to

CEPIS/PAHO working scope and that of the Sustain-
500,000 458,654 able Development and Environmental Health Area of
PAHO/WHO. In 2002, the topic with the highest num-
400,000
ber of visitors was Workers’ Health, in 2001 it was the
268,949 Assessment in Drinking Water and Sanitation, and in
300,000
2002 it was the Solid Wastes Assessment.
200,000 145,433
Throughout its 20 years, REPIDISCA has carried out
66,539 several user surveys. The last one in 2000 focused on
100,000 5,800 30,661 web users and 424 persons replied to the questionnaire.
0 Figure 5 shows the percentage of users per sector.
1997 1998 1999 2000 2001 2002 18/6/3 Regarding the type of user, 35% of them were
professionals and technicians, as shown in Fig. 6. It is
Figure 2. VLEH visitors, 1997–2003 (cumulative).
worthwhile to note that the use of the VLEH increases
during weekends.

DIFFICULTIES
Every year, comparisons of statistics are done to
analyze the trend of the VLEH use, as shown in Fig. 4 The difficulties that CEPIS/PAHO faces now with
regarding the number of visitors per water-related subject. VLEH are:

30,000

24.732
25,000

20,000

15,000
11.043
10.465
10,000

5,000 4.162 3.937 3.473

2.736
1.483 1.305 1.269 1.261
0
Full text Bibliographic Links Educational Journals Meetings Self- Legislation Academic Institutions News
material learning studies
courses

Figure 3. VLEH visitors per information source, January–June 6, 2003.

8,740
9.000
7,717
8.000
6,530
7.000 6,140
6.000
5.000 3,913
4.000
3.000
2.000 1,038
1.000
0
Wastewater Drinking Water Water quality Water Interamerican
water and treatment resources water day Figure 4. Visitors per water-related subject,
sanitation January–June 2003.
674 FUZZY CRITERIA FOR WATER RESOURCES SYSTEMS PERFORMANCE EVALUATION

Others Governmental regular export and sending of new information to CEPIS

Non 10% 41% and the subsequent follow-up and control of duplicates
governmental that is done currently. Finally, regular training should
14% be considered as a must to enable national institutions
the use of the VLEH methodology. Workshops have been
carried out in eleven countries and as a result they are
already operating their own national VLEH.
Private
35%

Figure 5. Users by sectors. FUZZY CRITERIA FOR WATER RESOURCES

SYSTEMS PERFORMANCE EVALUATION
• Weakness of national institutions; in many countries SLOBODAN P. SIMONOVIC
water and sanitation utilities have undergone a The University of Western Ontario
privatization process. London, Ontario, Canada
• Staff reduction in public and private organizations;
lack of investment in technical information and lack INTRODUCTION
of resource sharing.
One of the main goals of engineering design is to ensure
• Poor budgets for acquisition of information. that a system performs satisfactorily under a wide range
• Use of commercial software and methodologies in of possible future conditions. This premise is particularly
large universities that would not be willing to true of large and complex water resources systems.
change their information system to follow the VLEH Water resources systems usually include conveyance
procedures; thus they need to duplicate the recording facilities such as pipes and pumps, treatment facilities
of the information they want to record into the VLEH. such as sedimentation tanks and filters, and storage
• Inadequate updating of the VLEH at the regional facilities such as reservoirs and tanks. These elements
and national levels. are interconnected in complicated networks serving broad
geographical regions. Each element is vulnerable to
Now CEPIS/PAHO has a great deal of information, temporary disruption in service due to natural hazards
but the VLEH cannot be just a space to make links with or human error whether unintentional, as in the case
other websites. Users need a place where information of operational errors and mistakes, or due to intentional
is gathered, organized, and contained. Toward this causes such as a terrorist act. Most of the hazards cannot
end, CEPIS/PAHO and BIREME are implementing be controlled or predicted with an acceptable degree of
Shared, a Dutch technology that allows the production accuracy. Uncontrollable external factors also affect the
of ‘‘fingerprints’’ of every piece of information that is capacity and the performance of water resource systems.
physically located in another web. These ‘‘fingerprints’’ are The determination of the load pattern presents unique
kept in a centralized file and weights may also be assigned challenges. Ang and Tang (1) point out that there is
to the topics of every information item. Institutions using uncertainty in all engineering-based systems because
the VLEH methodology will do this work more easily. these systems rely on the modeling of physical phenomena
In the future, it will be necessary to sign agreements to that are either inherently random or difficult to model
extract information automatically using Shared. with a high degree of accuracy.
If Shared is implemented successfully, CEPIS would be The sources of uncertainty are many and diverse and,
able to enter into the Water Web Portal and other relevant as a result, impose a great challenge to water resources
sites updating their server of ‘‘fingerprints’’ and repeating systems design, planning, and management. The goal to
the operation every month. The same procedure may be ensure failsafe system performance may be unattainable.
applied by each Cooperating Centre; thus national VLEH Adopting high safety factors is one means to avoid
would be updated automatically. This will also avoid their the uncertainty of potential failures. However, making

35%
160 148 30%
140 126
120 19%
100 81 13%
No.

80
54
60
40 2% 2%
20 8 7
0
Professionals Reserchers, Policy makers Managers Information Others
and technicians professors, and professionals
students

Figure 6. Types of user.

 FUZZY CRITERIA FOR WATER RESOURCES SYSTEMS PERFORMANCE EVALUATION 675

safety the first priority may render the system solution all properties of water resources systems are subject
infeasible. Therefore, known uncertainty sources must be to unavoidable and uncertain risk conditions. Different
quantified. Engineering risk and reliability analysis is a performance measures have been used in water resources
general methodology for the quantification of uncertainty systems reliability analyses to describe the system
and the evaluation of its consequences for the safety of performance under extreme loading conditions (2). The
engineering systems (2). The first step in any risk analysis majority of engineering reliability analyses rely on the use
is to identify the risk, clearly detailing all sources of of a probabilistic approach. Both resistance and load are
uncertainty that may contribute to the risk of failure. considered random variables. However, the characteristics
The quantification of risk is the second step, where the of resistance and/or load cannot always be measured
effects of the uncertainties are measured using different precisely or treated as random variables. Therefore, the
system performance indices and figures of merit. The early fuzzy representation of either must be examined. The case
works of Hashimoto et al. (3,4) are the basis for the use of of both fuzzy resistance and fuzzy load is rarely addressed
performance indices to evaluate the risk and reliability in studies on the subject (6,8).
of water resources systems. They suggest reliability,
resiliency, vulnerability, and robustness indices as criteria
for evaluating the performance of water resources systems. FUZZY CRITERIA FOR SYSTEM PERFORMANCE
Prior knowledge of the probability density functions of EVALUATION
both resistance and load and/or their joint probability
distribution function is a prerequisite to the probabilistic Key Definitions
approach. In practice, data on previous failure experience Failure. The calculation of performance indices depends
is usually insufficient to provide such information. The on the exact definition of unsatisfactory system perfor-
subjective judgment of the decision-maker to estimate mance. It is difficult to arrive at a precise definition of
the probability distribution of a random event [subjective
failure because of the uncertainty in determining sys-
probability approach of Vick (5)] is another approach
tem resistance, load, and the accepted unsatisfactory
to deal with data insufficiency. The third approach is
performance threshold. Figure 1 depicts a typical system
Bayes’s theory, where engineering judgment is integrated
performance (resistance time series), with a constant load
with observed information. Until now the probabilistic
during the operation horizon. According to the classical
approach was the only approach for water resources
definition, the failure state is the state when resistance
systems reliability analyses. But it fails to address the
falls below the load, margin of safety M < 0.0 or safety
problem of uncertainty that goes along with human input,
factor
< 1.0, which is represented by the ratio between
subjectivity, and lack of history and records. There is a
the system’s resistance and load, shown in Fig. 1 by the
practical and urgent need to investigate new approaches
dashed horizontal line.
that can compensate for the ambiguity or uncertainty of
Sometimes water resources systems fail to perform
human perception.
their intended function. For example, the available
This contribution investigates the different approaches
resistance from different sources in the case of water
used to handle the problem of system reliability.
resources systems is highly variable. The actual load may
Three new fuzzy reliability measures are presented (6):
also fluctuate significantly. Consequently, in the design of
(1) the combined reliability–vulnerability index, (2) the
water resources systems, certain periods of water shortage
robustness index, and (3) the resiliency index. They
may be a given. The precise identification of failure is
are developed to evaluate the operational performance
neither realistic nor practical. It is more realistic to build
of water resources systems. These measures could be
in the inevitability of partial failure. A degree of acceptable
useful decision-making aids in a fuzzy environment where
system failure was introduced using the solid horizontal
subjectivity, human input, and lack of previous records
line, as shown in Fig. 1.
impede the decision-making process.

FUZZY SETS System-state

Zadeh (7), the founder of the theory of fuzzy sets, defines Region of complete
it as a formal attempt to capture, represent, and work ∼ safety
with objects with unclear or ambiguous boundaries. M = 0.0
This concept, although relatively new, has its origins or
∼
in the early application of a multivalued logic notion Θ = 1.0
to overcome the difficulties faced by the dual-logic
representation in set theory. Water resources systems are Region of
potentially vulnerable to a wide variety of hazards that ∼
M < 0.0 acceptable failure
could limit their satisfactory performance. As a result, or
risks of future systems failure are often unavoidable (1). ∼
Θ < 1.0 Region of complete failure
The engineering risk index characterizes the safety of
water resources systems. The uncertainties associated
Time
with various sources of risk undermine the efficiency
of this index. Because of these inevitable inefficiencies, Figure 1. Variable system performance.
676 FUZZY CRITERIA FOR WATER RESOURCES SYSTEMS PERFORMANCE EVALUATION

The boundary of the acceptable failure region is that is, high values for both m1 and m2 (or θ1 and
ambiguous and varies from one decision-maker to the θ2 ). The difference between m1 and m2 (or θ1 and θ2 )
other depending on personal perception of risk. Boundaries inversely affects the system reliability: that is, the higher
cannot be determined precisely. Fuzzy sets, on the the difference, the lower the reliability. Therefore, the
other hand, are capable of representing the notion of reliability reflected by the definition of an acceptable level
imprecision better than ordinary sets. The acceptable level of performance can be quantified in the following way:
of performance can be represented as a fuzzy membership
function in the following form: m 1 × m2 θ1 × θ2
LR = or LR = (2)
 m 2 − m1 θ2 − θ1
 0, if m ≤ m1
M̃(m) = φ(m), if m ∈ [m1 , m2 ] where LR is the reliability measure of the acceptable level

1, if m ≥ m2 of performance.
(1) The subjectivity of decision-makers will always result
or  in a degree of ambiguity of risk perception. This alternate
 0, if θ ≤ θ1
˜ ) = φ(θ ), definition of failure allows for a choice among the lower

(θ if θ ∈ [θ1 , θ2 ]
 bound, upper bound, and the function φ(m) [or φ(θ )]. This
1, if θ ≥ θ2
approach also provides an easy and comprehensive tool for
risk communication.
where M̃ is the fuzzy membership function of the margin
of safety; φ(m) and φ(θ ) are functional relationships
representing the subjective view of the acceptable risk; m1 Fuzzy System-State. System resistance and load can be
and m2 are the lower and upper bounds of the acceptable represented in a fuzzy form to capture the uncertainty
failure region, respectively;
˜ is the fuzzy membership inherent in the system performance. The fuzzy form allows
function of the factor of safety; and θ1 and θ2 are the for the determination of the membership function of the
lower and upper bounds of the acceptable failure region, resistance and load in a straightforward way even when
respectively. there is limited available data. Fuzzy arithmetic can be
Figure 2 is a graphical representation of the definition used to calculate the resulting margin of safety (or factor
presented in Equation 1. The lower and upper bounds of of safety) membership function as a representation of the
the acceptable failure region are introduced in Equation 1 system-state at any time:
by m1 (or θ1 ) and m2 (or θ2 ). The value of the margin
M̃ = X̃(−)Ỹ and ˜ = X̃(/)Ỹ

(3)
of safety (or factor of safety) below m1 (or θ1 ) is definitely
unacceptable. Therefore, the membership function value is
zero. The value of the margin of safety (or factor of safety) where M̃ is the fuzzy margin of safety; X̃ is the fuzzy
above m2 (or θ2 ) is definitely acceptable and therefore resistance capacity; Ỹ is the fuzzy load requirement; (−)
belongs in the acceptable failure region. Consequently, is the fuzzy subtraction operator; (/) is the fuzzy division
the membership value is one. The membership of the in- operator; and
˜ is the fuzzy factor of safety.
between values varies with the subjective assessment of
a decision-maker. Different functional forms may be used Compatibility. The purpose of comparing two fuzzy
for φ(m) [or φ(θ )] to reflect the subjectivity of different membership functions is to illustrate the extent to which
decision-makers’ assessments. the two fuzzy sets match. Several classes of methods
High system reliability is reflected through the use of are available, none of which can be described as the
high values of the margin of safety (or factor of safety), best method. The reliability assessment, presented here,
involves a comparative analysis of the system-state
membership function and the predefined acceptable level
Failure type 1 of the performance membership function. Therefore, the
t=0 t11 t21 t12 t22 t13 t23 Time compliance of two fuzzy membership functions can be
quantified using the fuzzy compatibility measure.
1st Failure 2nd Failure 3rd Failure Possibility and necessity lead to the quantification
event event event of the compatibility of two fuzzy sets. The possibility
measure quantifies the overlap between two fuzzy sets,
Failure type 2 while the necessity measure describes the degree of
t=0 t11 t21 t12 t22 Time inclusion of one fuzzy set into another fuzzy set (9).
However, in some cases, high possibility and necessity
1st Failure 2nd Failure values do not reflect clearly the compliance between the
event event system-state membership function and the acceptable
Failure type 3
level of performance membership function. For example,
t11 t21 t12 t22 t13 t23 t14 t24 Time let’s consider the two system-state functions A and B
t=0 with the same possibility and necessity values. However,
assume that system-state A has a larger overlap with
1st Failure 2nd Failure 3rd Failure 4th Failure
event event event event
the performance membership function than the system-
state B. The overlap area between the two membership
Figure 2. Fuzzy representation of acceptable failure region. functions, as a fraction of the total area of the system-state,
 FUZZY CRITERIA FOR WATER RESOURCES SYSTEMS PERFORMANCE EVALUATION 677

illustrates compliance more clearly than the possibility Membership

Acceptable level
and necessity measures; that is, value
of performance
OAS,L 1.0
CS,L = (4) System
AS state
Highly satisfactory
where CS,L is the compliance between the system-state Satisfactory
membership function (S) and the acceptable level of
Risky
performance membership function (L); OAS,L is the overlap
area between the system-state membership function (S)
and the acceptable level of performance membership Universe of discourse
function (L); and AS is the area of the system-state Figure 3. Compatibility with different level of performance
membership function (S). An overlap in a high significance membership functions.
area (area with high membership values) is preferable to
an overlap in a low significance area. The compatibility
measure can be calculated using where REf is the new combined fuzzy reliabil-
ity–vulnerability index; LRmax is the reliability measure
WOAS,L of acceptable level of performance corresponding to the
CMS,L = (5)
WAS system-state with maximum compatibility value; LRi is
the reliability measure of the ith acceptable level of
where CMS,L is the compatibility measure between the performance; CMi is the compatibility measure for the
system-state membership function (S) and the acceptable system-state with the ith acceptable level of performance;
level of performance membership function (L); WOAS,L and K is the total number of the defined acceptable lev-
is the weighted overlap area between the system- els of performance. The reliability–vulnerability index
state membership function (S) and the acceptable level is normalized to attain a maximum value of 1.0, by the
of performance membership function (L); and WAS is introduction of the maxi∈K {LR1 , LR2 , . . . , LRi } value as the
the weighted area of the system-state membership maximum achievable reliability.
function (S).
Fuzzy Robustness
Combined Fuzzy Reliability–Vulnerability Criteria
Reliability and vulnerability were used to provide a Robustness measures the system’s ability to adapt to a
complete description of system performance in case of wide range of possible future load conditions, at little
failure and to determine the magnitude of the failure additional cost (4). The fuzzy form of change in future
event. Once an acceptable level of performance is conditions can be obtained through a redefinition of
determined in a fuzzy form, the anticipated performance the acceptable level of performance and a change in
in the event of failure as well as the expected severity of the system-state membership function. As a result, the
failure can be determined. system’s robustness is defined as the change in the
When certain values are specified for the lower and compatibility measure:
upper bounds [m1 and m2 (or θ1 and θ2 ) in Equation 1], thus
1
establishing a predefined acceptable level of performance, ROf = (7)
the anticipated system failure is limited to a specified CM1 − CM2
range. Systems that are highly compatible with the
where ROf is the new fuzzy robustness index; CM1 is the
predefined acceptable level of performance will yield a
compatibility measure before the change in conditions; and
similar performance; that is, the expected system failure
CM2 is the compatibility after the change in conditions.
will be within the specified range ([m1 , m2 ] or [θ1 , θ2 ]). In
Equation 7 reveals that the higher the change in
order to calculate system reliability, several acceptable
compatibility, the lower the value of the fuzzy robustness.
levels of performance must be defined to reflect the
Therefore, high robustness values allow the system to
different perceptions of the decision-makers. A comparison
better adapt to new conditions.
between the fuzzy system-state membership function and
the predefined fuzzy acceptable level of performance
Fuzzy Resiliency
membership function provides information about both
system reliability and system vulnerability at the same The time required to recover from the failure state can
time (Fig. 3). be represented as a fuzzy set. Because the reasons for a
The system reliability is based on the proximity of failure may be different, system recovery times will vary
the system-state to the predefined acceptable level of depending on the type of failure, as shown in Fig. 4. A
performance. The measure of proximity is expressed by series of fuzzy membership functions can be developed to
the compatibility measure suggested in Equation 5. The allow for various types of failure. The maximum recovery
new combined fuzzy reliability–vulnerability index is time is used to represent the system recovery time (10):
formulated as follows:
T̃(α) = (max[t11 (α), t12 (α), . . . , t1J (α)]
max{CM1 , CM2 , . . . , CMi } × LRmax j∈J
i∈K
REf = (6)
max{LR1 , LR2 , . . . , LRi } × max[t21 (α), t22 (α), . . . , t2J (α)]) (8)
i∈K j∈J
678 PARTICIPATORY MULTICRITERIA FLOOD MANAGEMENT

where T̃(α) is the system fuzzy maximum recovery time at relationship between the fuzzy system’s state of safety
α level; t1J (α) is the lower bound of the jth recovery time at and the fuzzy failure events. The contribution also shows
α level; t2J (α) is the upper bound of the jth recovery time a fuzzy measure, capable of determining the system’s abil-
at α level; and J is total number of failure events. ity to adapt to changing conditions. This measure of fuzzy
The center of gravity of the maximum fuzzy recovery robustness provides a vital tool to assess the system’s
time can be used as a real number representation of behavior through the introduction of a wide variety of
the system recovery time. Therefore, system resilience is uncertain conditions. A fuzzy resiliency measure was also
determined to be the inverse value of the center of gravity: presented to capture the system’s response to uncertain
future failure events. This measure is able to incorporate
 t2
−1 all types of system responses to potential failure events
 t T̃(t) dt  throughout the life of the design.
 t 
RSf =  1 t2  (9) The presented fuzzy performance criteria were evalu-
  ated using two simple hypothetical cases by El-Baroudi
T̃(t) dt
t1 and Simonovic (6).

where RSf is the new fuzzy resiliency index; T̃(t) is the

BIBLIOGRAPHY
system fuzzy maximum recovery time; t1 is the lower
bound of the support of the system recovery time; and 1. Ang, H.-S. and Tang, H. (1984). Probability Concepts in
t2 is the upper bound of the support of the system Engineering Planning and Design. John Wiley & Sons,
recovery time. Hoboken, NJ.
The inverse operation can be used to illustrate the 2. Ganoulis, J.G. (1994). Engineering Risk Analysis of Water
relationship between the value of the recovery time and Pollution: Probabilities. VCH, Weinheim, The Netherlands.
the resilience. The longer the recovery time, the lower the 3. Hashimoto, T., Stedinger, J.R., and Loucks, D.P. (1982).
system’s ability to recover from the failure, and the lower Reliability, resiliency, and vulnerability criteria for water
the resilience. resources system performance evaluation. Water Resour. Res.
18(1): 14–20.
4. Hashimoto, T., Loucks, D.P., and Stedinger, J.R. (1982).
CONCLUSIONS
Robustness of water resources systems. Water Resour. Res.
18(1): 21–26.
Water resources systems are vulnerable to a wide variety 5. Vick, S. (2002). Degrees of Belief: Subjective Probability and
of hazards that could potentially limit their ability to Engineering Judgment. ASCE Press, Reston, VA.
perform satisfactorily. The diversity of uncertainty sources 6. El-Baroudy, I. and Simonovic, S.P. (2004). Fuzzy criteria for
presents a great challenge to water resources systems the evaluation of water resources systems performance. Water
design, planning, and management. The probabilistic Resour. Res. 40(10): W10503.
approach usually fails to address the problems of human 7. Zadeh, L.A. (1965). Fuzzy sets. Inf. Control 8: 338–353.
error, subjectivity, and the lack of system performance 8. Sherstha, B. and Duckstein, L. (1998). A fuzzy reliability
history and records. The fuzzy set approach addresses measure for engineering applications. In: Uncertainty Mod-
those issues. A fuzzy system reliability analysis is elling and Analysis in Civil Engineering. CRC Press, Boca
ideally based on the comparison between the fuzzy sets Raton, FL, pp. 120–135.
representing both the system’s state of safety and the 9. Pedrycz, W. and Gomide, F. (1998). An Introduction to Fuzzy
potential for system failure. Sets. MIT Press, Cambridge.
A fuzzy reliability–vulnerability measure clearly quan- 10. Kaufmann, A. and Gupta, M. (1985). Introduction to Fuzzy
tifies the reliability and the vulnerability of multicompo- Arithmetic: Theory and Applications. Van Nostrand Reinhold,
nent systems. The quantification is based on the use of New York.
appropriate fuzzy compatibility measures to illustrate the

PARTICIPATORY MULTICRITERIA FLOOD

~
M (m )
MANAGEMENT
or SLOBODAN P. SIMONOVIC
∼ Complete Acceptable Complete
Θ (q) The University of Western Ontario
failure failure region safety region
region London, Ontario, Canada
1.0
M (m )
or INTRODUCTION
Θ(q)
Flood management in general comprises different water
resources activities aimed at reducing the potentially
m or q harmful impact of floods on people, the environment, and
m1 or q1 m 2 or q2 the economy of a region. Sustainable flood management
decision-making requires integrated consideration of
Figure 4. Recovery times for different types of failure. economic, ecological, and social consequences of disastrous
 PARTICIPATORY MULTICRITERIA FLOOD MANAGEMENT 679

flood. While economic consideration gets priority in Table 1. Conceptual

traditional approaches to decision-making, empowerment Decision Matrix for a
of stakeholders is an issue that is demanding increasing Discrete Multicriteria
Multiparticipant
attention today in many decision-making processes.
Decision Problem
Flood management activities (i.e., disaster mitigation,
preparedness, and emergency management) may be O1 ... Op
designed and achieved without the direct participation of
stakeholders; however, it cannot be implemented without A1 a11 ... A1p
them (1). In order to decide what flood control measures to ... ... ... ...
adopt in a floodplain, the decision-making process should
include different stakeholders. Am am1 ... amp
Government policy-makers and professional planners DM1 w11 ... w1p
are the first to consider. However, others such as the gen-
eral public, communities affected by the decision outcomes, ... ... ... ...
nongovernmental organizations, and different interest DMn wn1 ... wnp
groups should be included as well. This contribution
describes a multicriteria decision-making methodology for
participatory flood management (2,3). The methodology
of the decision-maker k (k = 1, . . . , n) for the objective j
should (1) evaluate potential alternatives based on multi-
(j = 1, . . . , p) is expressed by wjk , and aij is the performance
ple criteria under uncertainty; (2) accommodate the high
evaluation of the alternative i (i = 1, . . . , m) for each
diversity and uncertainty inherent in human preferences;
objective j.
and (3) handle a large amount of data collected from stake-
The classical outcome of the decision matrix is
holders.
the ranking of the alternatives. To obtain that, a
number of steps are necessary, such as establishing
METHODOLOGY the preference structure, the weights, and also the
performance evaluations. All these can be termed as the
Flood management decision-making problems are com- inputs for the decision matrix. These inputs come from the
plex due to their multicriteria nature. For a given stakeholder/decision-maker. The decision matrix shows
goal, many alternative solutions may exist that pro- that the inputs can be for the preference of criteria as well
vide different levels of satisfaction for different issues, as for the performance evaluations. The decision-maker
such as environmental, social, institutional, and politi- might also have a preference structure for the alternatives.
cal. These concerns naturally lead to the use of multi- In the case of a multiparticipant decision-making problem,
criteria decision-making techniques, in which trade-offs these inputs are to be collected from all the stakeholders.
among the single objectives can lead to the most desir- Equation 1 is a general mathematical formulation of
able solution. Multicriteria decision-making becomes more this multicriteria, multiparticipant problem. A payoff
complicated with the increase in the number of individ- matrix can be obtained for the problem where m alter-
uals/groups involved in the decision-making process. In natives are to be evaluated by n stakeholders/decision-
reality, the decision-making process often involves multi- makers, who are using p criteria:
ple stakeholders/decision-makers. Multiple stakeholders’  
participation introduces a great deal of complexity into the a11 ... ... a1p
analysis. The decision problem is no longer limited to the  a21 ... ... a2p 
Ak = (aij )k = 
 ...
, (k = 1, . . . , n) (1)
selection of the most preferred alternative among the pos- ... ... ... 
sible solutions according to a single set of preferences. The am1 ... ... amp
analysis must also be extended to account for the conflicts
among different stakeholders with different objectives. Here Aki. = (ai1 , . . . , aip )k means that alternatives i are
Most of the existing approaches in multicriteria decision- being evaluated by criteria from 1 to p by decision-
making with a single stakeholder/decision-maker consist maker k. The symbol Ak.j = (a1j , . . . , amj )k means that the
of two phases (4): (1) the aggregation of the judgments objective j is being used by decision-maker k to evaluate
with respect to all criteria and per decision alternatives; all alternatives from 1 to m.
and (2) the ranking of the decision alternatives accord- The solution to this problem is to have each alternative
ing to the aggregated judgment. In the case of multiple evaluated by all the decision-makers using all criteria.
stakeholders, an additional aggregation is necessary with The process can be summarized as the following mapping
respect to the judgments of all the stakeholders. function:
Consider a multicriteria multiparticipant decision-  : {Ak |k = 1, . . . , n} → {G} (2)
making problem where m alternatives are to be evaluated
by n decision-makers, who are using p objectives. The where G is a collective weighted agreement matrix.
general conceptual decision matrix for the discrete It is crucial that this mapping function represents all
multicriteria multiparticipant problem is shown in criteria that the decision-makers use in judging all the
Table 1. alternatives.
In Table 1, A denotes the alternative, O is the criterion, Flood management decision-making is always associ-
and DM is the decision-maker/stakeholder. The preference ated with some degree of uncertainty. This uncertainty
680 PARTICIPATORY MULTICRITERIA FLOOD MANAGEMENT

could be categorized into two basic types: uncertainty A, with respect to the fuzzy measure µ, is defined as
caused by inherent hydrologic variability and uncertainty
due to a lack of knowledge (5). Uncertainty of the first FEV(χA ) = sup {min[T, µ(ξT )]} (3)
type is associated with the spatial and temporal changes T∈[0,1]
of hydrologic variables such as flow, precipitation, and
water quality. The second type of uncertainty occurs when where
the particular value of interest cannot be assessed exactly ξT = {x|χA (x) ≥ T} (4)
because of the limitation in the available knowledge. The
second type of decision uncertainty is more profound in the
area of public decision-making such as in the case of flood and
management. Capturing the views of individuals presents
the problem of uncertainty. The major challenge while µ{x|χA (x) ≥ T) = fA (T) is a function of the threshold T
collecting these views is to find out the technique that will (5)
capture those uncertainties and also will be usable in a Figure 1 provides a geometric interpretation of the
multicriteria tool. FEV. Performing the minimum operator, the two curves
create the boundaries for the remaining triangular curve.
The supremum operator returns the highest value of
Participation of Multiple Stakeholders fA (T), which graphically represents the highest point of
the triangular curve. This corresponds to the intersection
An aggregation procedure is one of the ways to include of the two curves where T = H.
information from the participating decision-makers into The FEV can be computed for all three types of inputs
the decision matrix. The available methods do not seem to mentioned earlier in this section. For type (1) input, the
be appropriate for flood management for two reasons. resultant FEV should be a numeric value between 0 and
The methodology (3) includes representation of inputs 1. For both type (2) and type (3) inputs, the resultant
from a large number of participants and the analysis FEVs are membership functions. The crisp numeric
of inputs to make them usable for application to various equivalents of these membership functions can be obtained
multicriteria decision-making methods. Fuzzy set theory by applying a defuzzification method and can then be
and fuzzy logic are used to represent the uncertainties compared with type (1) answers. The centroid of area
in stakeholders’ opinions. Three possible types of fuzzy defuzzification method has been used to return a value
input have been considered to capture the subjectivity obtained by averaging the moment area of a given fuzzy
of the responses from stakeholders. When a stakeholder set. Mathematically, the centroid, x, of a fuzzy set, A, is
is asked to evaluate an alternative against a particular defined as
criterion, the answer may take one of the following forms: 1
x · µA (x)dx
(1) a numeric scale response; (2) a linguistic answer (e.g., x= 0 1 (6)
poor, fair, good, very good); or (3) an argument (e.g., ‘‘if 0 µA (x)dx

some other condition is satisfied then it is good’’). For the

first type, the input is quite straightforward. For a type where µA (x) is the membership function of the fuzzy set A.
(2) answer, it will be necessary to develop the membership The resultant FEVs are now the aggregated evaluation
functions for the linguistic terms. Type (3) input can of the alternatives from all the stakeholders. They can
be described by using a fuzzy inference system, which now be used as the input value in the decision matrix for
includes membership functions, fuzzy logic operators, and the multicriteria analysis.
the if–then rule. For this, the membership functions for
the input arguments need to be developed first. Then fuzzy
operator and fuzzy logic are applied to obtain the output.
It should be noted that the interpretation of type (2) and
1
type (3) input values is highly dependent on the shape
of the membership functions and the degree of severity
chosen by the expert for a particular application. fA(T )
After receiving the inputs from all stakeholders, fA(T ) T
the next step is to aggregate those inputs to find a
representative value. It is obvious that for all input types H
considered above, the responses are sure to be influenced
by a number of repetitions. This means many respondents
can provide the same response. This implies that the
general methodologies of fuzzy aggregation cannot be
applied for deriving the resultant input from a large
number of decision-makers. The fuzzy expected value
(FEV) method can be used instead to get the resulting
opinion of the stakeholders. Following is the definition H 1
T
of the fuzzy expected value: Let χA be a B-measurable
function such that χA ∈ [0, 1]. The FEV of χA over the set Figure 1. Participatory multicriteria flood management.
 PARTICIPATORY MULTICRITERIA FLOOD MANAGEMENT 681

Participatory Multicriteria Decision-making Under to sort the fuzzy distance metrics. In other words, the
Uncertainty fuzzy transformation complicates the interpretation of the
results but, on the other hand, models the flood decision-
Here an innovative modification has been made to the
compromise programming multicriteria decision-making making process more realistically.
technique to accommodate participatory flood decision- In fuzzy compromise programming, obtaining the
making under uncertainty. Bender and Simonovic (6) smallest distance metric values is not easy, because the
fuzzified compromise programming entirely and thus distance metrics are also fuzzy. To pick out a smallest
formulated fuzzy compromise programming (FCP). The fuzzy distance metric, from a group of distance metrics,
driving force for the transformation from a classical fuzzy set ranking methods have to be used. A study by
to a fuzzy environment is that there is a need for Prodanovic and Simonovic (7) compared fuzzy set ranking
accurate representation of subjective data in the flood methods for use in fuzzy compromise programming and
decision-making. It is the theory of fuzzy sets that can recommended using the method of Chang and Lee (8).
represent the subjective data well. Thus, instead of using This recommendation was founded on the fact that Chang
crisp numbers in the compromise programming distance and Lee’s (8) method gave the most control in the ranking
metric equation, fuzzy numbers are used; instead of using process—with degree of membership weighting and the
classical arithmetic, fuzzy arithmetic is applied; instead of weighting of the subjective type. The overall existence
simply sorting distance metrics, fuzzy set ranking methods ranking index (OERI) suggested by Chang and Lee (8) has
must be applied to sort the fuzzy distance metrics. In the following mathematical form:
other words, the fuzzy transformation complicates the  1
interpretation of the results but, on the other hand,
OERI(j) = ω(α)[χ1 µ−1 −1
jL (α) + χ2 µjR (α)]dα (8)
models the decision-making process more realistically. 0
Mathematically, the compromise programming distance
metric in its discrete form can be presented as where the subscript j stands for alternative j, while α
represents the degree of membership; χ1 and χ2 are the
t   ∗ p 1/p
f z − fz subjective type weighting indicating neutral, optimistic,
Lj = wpz (7)
fz∗ − fz− or pessimistic preferences of the decision-maker, with
z=1
the restriction that χ1 + χ2 = 1; parameter ω(α) is used
where z = 1, 2, 3, . . . , t and represents t criteria; j = to specify weights, which are to be given to certain
1, 2, 3, . . . , n and represents n alternatives; Lj is the degrees of distance metric membership (if any); and
distance metric of alternative j; wz corresponds to a µ−1
jL (α) represents an inverse of the left part, and µjR
−1

weight of a particular criterion; p is a parameter (p = 1, (α) the inverse of the right part of the distance metric
2, ∞); fz∗ and fz− are the best and the worst value for membership function.
criterion z, respectively (also referred to as positive and For χ1 values greater than 0.5, the left side of the
negative ideals); and fz is the actual value of criterion z. membership function is weighted more than the right side,
The parameter p is used to represent the importance of which in turn makes the decision-maker more optimistic.
the maximal deviation from the ideal point. Varying the Of course, if the right side is weighted more, the decision-
parameter p from 1 to infinity allows one to move from maker is more of a pessimist (this is because he/she prefers
minimizing the sum of individual regrets (i.e., having a larger distance metric values, which means the solution
perfect compensation among the criteria) to minimizing farther from the ideal solution). In summary, the risk
the maximum regret (i.e., having no compensation among preferences are: if χ1 < 0.5, the user is a pessimist (risk
the criteria) in the decision-making process. The choice of a averse); if χ1 = 0.5, the user is neutral; and if χ1 > 0.5, the
particular value of this compensation parameter p depends user is an optimist (risk taker). Simply stated, Chang and
on the type of problem and desired solution. The weight Lee’s (8) overall existence ranking index is a sum of the
parameter, wz , characterizes decision-makers’ preference weighted areas between the distance metric membership
concerning the relative importance of criteria. Simply axis and the left and right inverses of a fuzzy number.
stated, the parameter places emphasis on the criteria
that the decision-maker deems important. The parameter
is needed because different participants in the decision- FLOOD MANAGEMENT IN THE RED RIVER BASIN,
making process have different viewpoints concerning the MANITOBA, CANADA
importance of a criterion.
Bender and Simonovic (6) fuzzified compromise pro- The proposed methodology is applied to flood management
gramming and thus formulated fuzzy compromise pro- in the Red River Basin (9–11). One of the flood man-
gramming (FCP). The driving force for the transformation agement problems at the planning stage in the Red River
from a classical to a fuzzy environment is that there is a Basin is the complex, large-scale problem of ranking poten-
need for accurate representation of subjective data in the tial flood management alternatives. During the evaluation
flood decision-making. It is the theory of fuzzy sets that can of alternatives, it is necessary to consider multiple crite-
represent the subjective data well. Thus, instead of using ria that may be quantitative and qualitative. The flood
crisp numbers in the distance metric, Equation 7, fuzzy management process in the basin also involves numerous
numbers are used; instead of using classical arithmetic, stakeholders. They include different levels of government,
fuzzy arithmetic is applied; instead of simply sorting dis- different agencies, private organizations, interest groups,
tance metrics, fuzzy set ranking methods must be applied and the general public. They all have different and specific
682 PARTICIPATORY MULTICRITERIA FLOOD MANAGEMENT

Table 2. Resultant FEVs

Alternative Structural Nonstructural Combination
Type
A B C A B C A B C
Question
Number FEV FEV FEV FEV FEV FEV FEV FEV FEV

Community Involvement
1 0.600 0.650 0.544 0.647 0.650 0.544 0.600 0.625 0.544
2 0.529 0.517 0.500 0.500 0.517 0.491 0.500 0.570 0.544
3 0.618 0.700 0.529 0.559 0.625 0.529 0.600 0.625 0.544
4 0.600 0.650 0.544 0.657 0.650 0.559 0.686 0.650 0.544
5 0.700 0.700 0.559 0.629 0.650 0.544 0.700 0.650 0.544
6a 0.800 0.825 0.677 0.704 0.770 0.588 0.800 0.825 0.647
6b 0.771 0.770 0.588 0.714 0.717 0.574 0.743 0.770 0.574
6c 0.700 0.700 0.574 0.629 0.650 0.574 0.686 0.700 0.574
7 0.800 0.825 0.735 0.829 0.850 0.718 0.857 0.825 0.718
8 0.700 0.717 0.574 0.700 0.650 0.574 0.700 0.700 0.574

Personal Loss
1 0.800 0.770 0.718 0.700 0.700 0.574 0.700 0.717 0.671
2 0.588 0.570 0.544 0.600 0.650 0.544 0.600 0.625 0.574
3a 0.500 0.570 0.574 0.559 0.625 0.574 0.559 0.570 0.574
3b 0.700 0.717 0.625 0.700 0.717 0.588 0.706 0.717 0.588
4 0.771 0.770 0.574 0.700 0.650 0.574 0.700 0.717 0.544
5 0.500 0.570 0.529 0.700 0.570 0.544 0.571 0.570 0.544

needs and responsibilities during all stages of flood man- in the table) as the evaluation of three alternatives
agement—planning, emergency management, and flood (structural, nonstructural, combination) against two
recovery. There has been increasing concern by the gen- criteria (community development, personal loss). Obtained
eral public about the decisions to be taken on the selection results show good correlation between the numeric scale
of flood control measures. During the 1997 flood, it was type and linguistic type of inputs with an average
indicated that certain stakeholders in the basin, partic- difference of only 0.029.
ularly the floodplain residents, did not have adequate The FEVs obtained in Table 2 are used further
involvement in flood management decision-making. Dis- to rank the three generic alternatives. All questions
satisfaction has been observed among the stakeholders are considered to carry the same weight. A set of
about evacuation decisions during the emergency man- ranking experiments has been conducted to evaluate
agement and about compensation decisions during the the impact of different stakeholder groups on the final
postflood recovery (10). rank of alternatives: (a) experiment 1—all stakeholders
The methodology presented in the previous section has interviewed; (b) experiment 2—stakeholders from the city
been used to collect information from the stakeholders of Winnipeg; (c) experiment 3—stakeholders from the
across the Canadian portion of the Red River Basin. In Morris area (south of Winnipeg); and (d) experiment
order to evaluate the utility of the methodology, a generic 4—stakeholders from the Selkirk area (north from
experiment was considered for the study to evaluate three Winnipeg).
alternative options for improved flood management. Three The final results of four ranking experiments with three
generic options considered are (1) structural alternatives, generic alternatives and two social criteria are shown in
(2) nonstructural alternatives, and (3) a combination the Table 3 (defuzzified distance metric value and the rank
of both. The selection of criteria against which the in parentheses). It is obvious that the final rank varies with
alternatives are ranked is one of the most difficult but the experiment, therefore confirming that preferences of
important tasks of any multicriteria decision analysis. different stakeholders are being captured by the developed
The following two social objectives have been considered methodology.
in our case study: level of community involvement and
amount of personal losses (include financial, health, and
psychological losses). A detailed survey has been conducted CONCLUSIONS
in the basin to collect the information on the two selected
social criteria (12). All three types of inputs obtained The analyses of flood management options in the Red
from all the stakeholders were processed using the fuzzy River Basin, Manitoba, Canada (3) show the applicability
expected value method. Table 2 summarizes the results of of the methodology for a real flood management decision-
all three types of inputs (scale, linguistic, and conditional making problem. The stakeholders can now express their
types, which are termed A, B, and C, respectively, concerns regarding flood hazard in an informal way, and
 WATER RESOURCES SYSTEMS ANALYSIS 683

Table 3. Final Rank of Flood Management Alternatives WATER RESOURCES SYSTEMS ANALYSIS
Participants Alternative 1 Alternative 2 Alternative 3
SLOBODAN P. SIMONOVIC
All stakeholders 13.22 13.72 13.29 The University of Western Ontario
(1) (3) (2) London, Ontario, Canada
Morris 15.43 16.09 13.63
(2) (3) (1)
Selkirk 14.63 14.42 14.58 INTRODUCTION
(3) (1) (2)
Winnipeg 13.74 15.25 13.92
Water resources planning and management process is a
(1) (3) (2)
search for the solution of how to meet the needs of a pop-
ulation with the available resources (1). Water resources
planning and management is as old as humanity. How-
ever, with knowledge and technology development, a
that can be incorporated into the multicriteria decision- change in the living standard of people, and further eco-
making model. The application of methodology helps in nomic development, the analysis procedure changes.
solving the problem of incorporating a large number of
Principal Objectives for Industrialized Countries
stakeholders in the flood decision-making process.
An example of the principal water resources planning
and management objectives for industrialized countries is
based on the Principles and Standards for Planning Water
BIBLIOGRAPHY
and Related Land Resources used in the United States
and introduced by the U.S. Water Resources Council in
1. Affeltranger, B. (2001). Public Participation in the Design of 1973 and modified in 1979 and 1980 (2). According to
Local Strategies for Flood Mitigation and Control, UNESCO them the overall purpose of water resources planning
IHP-V, Technical Documents in Hydrology, Vol. 48. and management is improvement of the quality of life
2. Simonovic, S.P. (2004). Sustainable floodplain manage- through contributions to national economic development,
ment—participatory planning in the Red River Basin, environmental quality, regional economic development,
Canada. In: Proceedings of the Workshop on Modelling and and other social effects. Under these ‘‘principles and
Control for Participatory Planning and Managing Water Sys- standards,’’ the water resources planning process consists
tems, IFAC, CD-ROM. of six major steps: (1) specification of the water and related
3. Akter, T. and Simonovic, S.P. (2004). Aggregation of fuzzy land resources problems and opportunities; (2) inventory,
views of a large number of stakeholders for multiobjective forecast, and analysis of water and related land resource
flood management decision making. J. Environ. Manage. conditions within the planning area relevant to the
22(1–2): 57–72. identified problems and opportunities; (3) formulation of
4. Zimmerman, H.J. (2001). Fuzzy Set Theory—and Its Appli- alternative plans; (4) evaluation of the effects of the
cation, Academic Publishers, Boston. alternative plans; (5) comparison of alternative plans;
5. Simonovic, S.P. (2000). Tools for water management: one view and (6) selection of a recommended plan based on the
of the future. Water Int. IWRA 25(1): 1–8. comparison of alternative plans.
6. Bender, M.J. and Simonovic, S.P. (2000). A fuzzy compromise
approach to water resources planning under uncertainty. Principal Objectives for Developing Countries
Fuzzy Sets Syst. 115(1): 35–44.
Water resources planning and management in developing
7. Prodanovic, P.P. and Simonovic, S.P. (2002). Comparison
countries should correspond to a set of criteria distinct
of fuzzy set ranking methods for implementation in
water resources decision-making. Can. J. Civil Eng. 29: from those used in industrialized countries. These criteria
692–701. should reflect prevailing constraints on physical, financial,
8. Chang, P.T. and Lee, E.S. (1994). Ranking of fuzzy sets
and human resources and the need to allocate critically
based on the concept of existence. Comput. Math. Appl. 27: sparse resources to programs that correspond to short-
1–21. and long-term sociopolitical objectives and promise to be
9. Simonovic, S.P. (1999). Decision support system for flood the most cost effective.
management in the Red River Basin. Can. Water Res. J. The United Nations Industrial Development Organi-
24(3): 203–223. zation (UNIDO) (3) recommended that planning analy-
10. International Joint Commission (2000). Living with the Red. sis consider the following objectives: (1) aggregate con-
Ottawa, Washington. Available at http://www.ijc.org/php/ sumption, (2) income redistribution, (3) growth rate of
publications/html/living.html. national income, (4) employment level, (5) self-reliance,
11. Simonovic, S.P. and Carson, R.W. (2003). Flooding in the Red and (6) merit wants. The UN publication treats the prob-
River Basin—lessons from post flood activities. Nat. Hazards lems of evaluating the extent to which projects advance
28: 345–365. each of the objectives and presents their combination as a
12. Salonga, J. (2004). Aggregation methods for multi-objective measure of ‘‘aggregate economic profitability.’’ The UNIDO
flood management decision making with multiple stakehold- guidelines, in developing a system of objectives, do not lay
ers: Red River Basin case study [Civil Engineering thesis]. any stress on the quality of the environment or other
The University of Western Ontario, London. intangible descriptors applied to the quality of human life.
684 WATER RESOURCES SYSTEMS ANALYSIS

SYSTEMS ANALYSIS where X is an input vector and Y is an output vector. So, a

system is a set of operations that transforms input vector
Systems analysis is the use of rigorous methods to X into output vector Y.
help determine preferred plans and designs for complex, The usual representation of the system definition is
often large-scale systems. It combines knowledge of the presented in Fig. 1. The system’s objects are input, output,
available analytic tools, understanding of when each is process, feedback, and a restriction. Input energizes the
more appropriate, and skill in applying them to practical operation of a given process. The final state of the process
problems. It is both mathematical and intuitive, as is all is known as the output. Feedback performs a number of
planning and design. operations to compare the actual output with an objective
Systems analysis is a relatively new field. Its develop- and identifies the discrepancies that exist between them.
ment parallels that of the computer, the computational To avoid any misunderstanding, let’s define some terms
power of which enables us to analyze complex relation- often in use: mathematical model—a set of equations that
ships, involving many variables, at reasonable cost. Most describes and represents the real system; decision vari-
of its techniques depend on the use of the computer for ables—the controllable and partially controllable inputs;
practical applications. Systems analysis may be thought policy—resulting set of decision variables, when each
of as the set of computer-based methods essential for the decision variable is assigned a particular value; objec-
planning of major water resources projects. It is thus cen- tive function—quantity used to measure the effectiveness
tral to a modern water resources engineering curriculum. of a particular policy, expressed as a function of the
Systems analysis covers much of the same material decision variables; constraints—physical, economic, or
as operations research, in particular, linear and dynamic any other restrictions applied to the model; feasible pol-
programming and decision analysis. The two fields differ icy—a policy that does not violate any constraints; and
substantially in direction, however. Operations research policy space—the subset consisting of all possible feasi-
tends to be interested in specific techniques and their ble policies.
mathematical properties. Systems analysis focuses on the
use of the methods. WATER RESOURCES SYSTEM
Systems analysis emphasizes the kinds of real problems
to be solved; considers the relevant range of useful General formulation of water resources system (4) may
techniques, including many besides those of operations be presented as the transformation of available water
research; and concentrates on the guidance they can resources,
provide toward improving plans and designs. Use of WA = {QA , KA , LA } (2)
systems analysis instead of the more traditional set of tools
generally leads to substantial improvements in design into required water resources,
and reductions in cost. Gains of 30% are not uncommon.
These translate into an enormous advantage when one is WD = {QD , KD , LD } (3)
considering projects worth tens and hundreds of millions
of dollars. taking into consideration water quality protection,
flood control, and regional and national development
DEFINITIONS plans. Notation used in Equations 2 and 3 includes:
QA —available quantity of water; QD —required quantity
of water; KA —quality of available water; KD —required
There are many variations in the definition of what a
water quality; LA —location of available resources; and
system is, but all of the definitions share many common
LD —location of demand points.
traits. Some kind of system is inherent in all but the
Mathematical expression of the transformation prob-
most trivial water resources engineering planning and
lem can be given as
design problems. To understand a problem, the engineer
must be able to recognize and understand the system WD = T × WA (4)
that surrounds and includes it. Some of the reasons for
poor system definition in former projects include poor
communications, lack of knowledge of interrelationships, X Y
politics, limited objectives, and transportation difficulties. Input Output
What, then, is a system? The dictionary definition
of the term ‘‘system’’ is a mass of verbiage providing Controlled Desirable
no less than 15 ways to define the word. In the most Uncontrolled S Undesirable
general sense, a system may be defined as a collection of System
various structural and nonstructural elements that are Partially Neutral
connected and organized in such a way as to achieve
some specific objective by the control and distribution of
material resources, energy, and information.
A more formal definition of a system can be stated as Feedback

S:X→Y (1) Figure 1. System presentation.

 WATER RESOURCES SYSTEMS ANALYSIS 685

This transformation may be performed through the analysis takes such a broad approach to problem-solving,
following three processes: interdisciplinary teams must be called in. Coordination
and commonality of technique among the disciplines is
1. Water Resources Planning—formulation of goals sometimes hard to achieve. Close communication among
and objectives that are consistent with politi- the parties involved in applying the systems approach is
cal, social, environmental, economic, technological, essential if this understanding is to be achieved.
and aesthetic constraints; and the general defini-
tion of procedures designed to meet those goals Definition of the Problem
and objectives.
Problem definition may require iteration and careful
2. Water Resources Design—selection of a particular investigation, because problem symptoms may mask the
combination of resources and a way to use them.
true cause of the problem. A key step of problem definition
3. Water Resources Operations—implementation of requires the identification of any systems and subsystems
procedures in order to achieve preselected goals that are part of the problem, or related in some way to
and objectives. it. This set of systems and interrelationships is called the
environment of the problem. This environment sets the
SYSTEMS APPROACH limit on factors that will be considered when analyzing
the problem. Any factors that cannot be included in the
The systems approach is a general problem-solving problem environment must be included as inputs to, or
technique that brings more objectivity to the water outputs from, the problem environment.
resources planning/design processes. It is, in essence, good
design; a logical and systematic approach to problem Gathering of Data
solution in which assumptions, goals, objectives, and
Gathering of data to assist in planning and design decision-
criteria are clearly defined and specified. Emphasis is
making through the systems approach will generally be
placed on relating system performance to these goals. A
done in conjunction with several steps. Some background
hierarchy of systems, which allows handling of a complex
data will have to be gathered at the problem definition
system by looking at its component parts or subsystems,
stage and data gathering and analysis will continue
is identified. Quantifiable and nonquantifiable aspects of
through the final plan/design and implementation stage.
the problem are identified, and immediate and long-range
Data that are gathered as the approach continues will help
implications of suggested alternatives are evaluated.
to identify when feedback to a previous step is required.
The systems approach establishes the proper order
Data will be required at the problem definition stage
of inquiry and helps in the selection of the best course
to evaluate if a problem really exists; to establish what
of action that will accomplish a prescribed goal by
components, subsystems, and elements can reasonably be
broadening the information base of the decision-maker;
included in the delineation of the problem environment;
by providing a better understanding of the system and
and to define interactions between components and
the interrelatedness of the system and its component
subsystems. Data will be needed during later steps to
subsystems; and by facilitating the prediction of the
establish constraints on the problem and systems involved
consequences of several alternative courses of action.
in it, to increase the set of quantifiable variables and
The systems approach is a framework for analysis
parameters (constants) through statistical observation
and decision-making. It does not solve problems, but it
or development of measuring techniques, to suggest
does allow the decision-maker to undertake resolution
what mathematical models might contribute effectively
of a problem in a logical, rational manner. While there
to the analysis, to estimate values for coefficients and
is some art involved in the efficient application of the
parameters used in any mathematical models of the
systems approach, other factors play equally important
system, and to check the validity of any estimated system
roles. The magnitude and complexity of decision processes
outputs. When feedback is required, the data previously
require the most effective use possible of the scientific
acquired can assist in redefining the problem, systems, or
(quantitative) methods of systems analysis. However, one
system models.
has to be careful not to rely too heavily on the methods of
systems analysis. Outputs from simplified analyses have
Development of Evaluative Criteria
a tendency to take on a false validity because of their
complexity and technical elegance. Evaluative criteria must be developed to measure
The steps in the systems approach include (5): defini- the degree of attainment of system objectives. These
tion of the problem; gathering of data; development of crite- evaluative criteria will facilitate a rational choice of a
ria for evaluating alternatives; formulation of alternatives; particular set of actions (from among a large number
evaluation of alternatives; choosing the best alternative; of feasible alternatives), which will best accomplish
and final design/plan implementation. Often several steps the established objectives. Some evaluative criteria will
in the systems approach are considered simultaneously, provide an absolute value of how good the solution is, such
facilitating feedback and allowing a natural progression as the cost of producing one unit of some product. Other
in the problem-solving process. evaluative criteria will only produce relative values that
The systems approach has several defining characteris- can be compared among the alternatives to rank them in
tics. It is a repetitive process, with feedback allowed from order of preference, as in economic comparisons such as
any step to any previous step. Frequently, because systems benefit/cost analysis.
686 WATER RESOURCES SYSTEMS ANALYSIS

In most complex real-world water problems, more if sensitivity analysis has shown that the solution (and
than one objective can be identified. A quantitative thus the objective function) is not sensitive to changes in
or qualitative analysis of the trade-offs between the the decision variables near the optimum point.
objectives must be made. For many problems, cost
effectiveness would be the primary objective. Cost Final Plan/Design Implementation
effectiveness can be defined as the lowest possible cost Actual final planning/design is primarily a technical mat-
for a set level of control of a system, or the highest level of ter that is conducted within the constraints and specifica-
system control for a set cost. tions developed in earlier stages of the systems approach.
One of the end products of final planning or design is a
Formulation of Alternatives
report that describes the recommendations made.
Formulation of alternatives is essentially the development
of system models that, in conjunction with evaluative MATHEMATICAL MODELING
criteria, will be used in later analysis and decision-making.
If at all possible, these models should be mathematical In general, to obtain a way to control or manage a
in nature. However, it should not be assumed that water resources system we use a mathematical model
mathematical model building and optimization techniques that closely represents the physical system. Then the
are either required or sufficient for application of the mathematical model is solved and its solution is applied to
systems approach. Many problems contain unquantifiable the physical system. Models, or idealized representations,
variables and parameters that would render results are an integral part of everyday life. Mathematical models
generated by even the most elegant mathematical model are also idealized representations, but they are expressed
meaningless. If it is not practical to develop mathematical in terms of mathematical symbols and expressions.
models, subjective models that describe the problem Such laws of physics as F = ma and E = mc2 are
environment and systems included can be constructed. familiar examples. Similarly, the mathematical model of
Models allow a more explicit description of the problem a business problem is the system of equations and related
and its systems and facilitate the rapid examination of mathematical expressions that describe the essence of
alternatives. Effective model building is a combination the problem. Thus, if there are n related quantifiable
of art and science. The science includes the technical decisions to be made, they are represented as decision
principles of mathematics, physics, and engineering variables (say, x1 , x2 , . . . , xn ) whose respective values are
science. The art is the creative application of these to be determined. The appropriate measure of performance
principles to describe physical or social phenomena. (e.g., profit) is then expressed as a mathematical function
of these decision variables (e.g., P = 3x1 + 2x2 + · · · + 5xn ).
Evaluation of Alternatives
This function is called the objective function. Any
To evaluate the alternatives that have been developed, restrictions on the values that can be assigned to these
some form of analysis procedure must be used. Numer- decision variables are also expressed mathematically,
ous mathematical techniques are available, including the typically by means of inequalities or equations (e.g.,
simplex method for linear programming models, the var- x1 + 3x1 x2 + 2x2 ≤ 10). Such mathematical expressions for
ious methods for solving ordinary and partial differential the restrictions often are called constraints. The constants
equations or systems of differential equations, matrix (coefficients or right-hand sides) in the constraints and the
algebra, various economic analyses, and deterministic objective function are called the parameters of the model.
or stochastic computer simulation. Subjective analysis The mathematical model might then say that the problem
techniques may be used for multiobjective analysis, or is to choose the values of the decision variables so as to
subjective analysis of intangibles. The appropriate analy- maximize the objective function, subject to the specified
sis procedures for a particular problem will generate a set constraints.
of solutions for the alternatives that can be tested accord- Mathematical models have many advantages over a
ing to the established evaluative criteria. In addition, verbal description of the problem. One obvious advantage
these solution procedures should allow efficient utilization is that a mathematical model describes a problem much
of personnel and computational resources. more concisely. This tends to make the overall structure of
the problem more comprehensible, and it helps to reveal
Choosing the Best Alternative important cause-and-effect relationships. In this way, it
Choice of the best alternative from among those analyzed indicates more clearly what additional data are relevant
must be made in the context of the objectives and to the analysis. It also facilitates dealing with the problem
evaluative criteria previously established, but also must in its entirety and considering all its interrelationships
take into account nonquantifiable aspects of the problem simultaneously. Finally, a mathematical model forms
such as aesthetic and political considerations. The chosen a bridge to the use of high-powered mathematical
alternative will greatly influence the development of the techniques and computers to analyze the problem.
final plan/design and will determine in large part the Indeed, packaged software for both microcomputers and
implementability of the suggested solution. Preferably, mainframe computers is becoming widely available for
the best alternative can be chosen from the mathematical many mathematical models.
optimization within feasibility constraints. Frequently, The procedure of selecting the set of decision variables
however, a system cannot be completely optimized. that maximizes/minimizes the objective function, subject
Near optimum solutions can still be useful, especially to the systems constraints, is called the optimization
 WATER RESOURCES SYSTEMS ANALYSIS 687

procedure. The following is a general optimization test of the practical success of an operations research study
problem. Select the set of decision variables x∗1 , x∗2 , . . . , x∗n should be whether it provides a better guide for action than
such that can be obtained by other means.
Min or Max f (x1 , x2 , . . . , xn ) The eminent management scientist and Nobel Laureate
in Economics, Herbert Simon, points out that satisficing is
subject to much more prevalent than optimizing in actual practice.
In coining the term satisficing as a combination of the
g1 (x1 , x2 , . . . , xn ) ≤ b1 words satisfactory and optimizing, Simon is describing the
g2 (x1 , x2 , . . . , xn ) ≤ b2 (5) tendency of water resources managers to seek a solution
that is ‘‘good enough’’ for the problem at hand. Rather than
gm (x1 , x2 , . . . , xn ) ≤ bm
trying to develop various desirable objectives (including
where b1 , b2 , . . . , bm are known values. well-established criteria for judging the performance of
If we use matrix notation, Equation 5 can be rewrit- different segments of the organization), a more pragmatic
ten as approach may be used. Goals may be set to establish
Min or Max f (x) (6) minimum satisfactory levels of performance in various
areas, based perhaps on past levels of performance or
subject to on what the competition is achieving. If a solution is
gj (x) ≤ bj , j = 1, 2, . . . , m found that enables all of these goals to be met, it is
likely to be adopted without further ado. Such is the
When optimization fails, due to system complexity or nature of satisficing. The distinction between optimizing
computational difficulty, a reasonable attempt at a and satisficing reflects the difference between theory and
solution may often be obtained by simulation. Apart the realities frequently faced in trying to implement that
from facilitating trial and error design, simulation is theory in practice.
a valuable technique for studying the sensitivity of
system performance to changes in design parameters or BIBLIOGRAPHY
operating procedure.
According to Equations 5 and 6, our main goal is the 1. Goodman, A.S. (1984). Principles of Water Resources Planning.
search for an optimal or best solution. However, it needs Prentice-Hall, Englewood Cliffs, NJ.
to be recognized that these solutions are optimal only with 2. U.S. Water Resources Council (1973). Principles and
respect to the model being used. Since the model necessar- Standards for Planning Water and Related Land Resources,
ily is an idealized rather than an exact representation of September 10, 1973; Rev. December 14, 1979; Rev. September
the real problem, there cannot be any utopian guarantee 29, 1980.
that the optimal solution for the model will prove to be the 3. Dasgupta, P., Sen, A., and Marglin, S. (1972). Guidelines for
best possible solution that could have been implemented Project Evaluation. United National Industrial Development
for the real problem. There just are too many imponder- Organization, Vienna.
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However, if the model is well formulated and tested, the concept to the formulation of a water master plan. Water Int.
resulting solution should tend to be a good approximation 14: 37–50.
to the ideal course of action for the real problem. Therefore, 5. Jewell, T.K. (1986). A Systems Approach to Civil Engineering
rather than be deluded into demanding the impossible, the Planning and Design. Harper and Row, New York.