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N and S,
immediately north and south of the major tropical convergence zone (Landsberg &
Schloemer 1967). Typical areas include southwest USA, south central South America,
South Africa, North Africa extending into central and southern Asia and most of western
Australia. Although one-third of the worlds land surface has been classified as arid and
semi-arid, there is still no conformity of definitions. The terms are not exact, with any
classification influenced by the intended use (FAO 1981; Rodier 1985). Many have been
developed based on climatological data. UNESCO (1979), for example, has adopted a
classification based on the ratio of mean annual precipitation (Pmm) to Penman mean
annual potential evapotranspiration (PET mm), viz.:
P/PET <0.03 (hyper-arid zone)
0.03 <P/PET <0.20 (arid zone)
0.20 <P/PET <0.50 (semi-arid zone)
where, in summary:
Hyper-arid zone: Annual rainfall is very low with inter-annual variability up to 100%;
very sparse vegetation and no rain fed agriculture or grazing.
Arid zone: Annual rainfall is 80150 mm and 200350 mm in respectively winter and
summer rainfall areas; inter-annual rainfall variability is 50100%; scattered vegetation;
nomadic livestock rearing is possible and agriculture based upon local rainfall is only
possible through rain water harvesting techniques.
Semi-arid zone: Annual rainfall is 200500 mm and 300800 mm in winter and summer
rainfall areas; inter-annual variability is 2550%; discontinuous vegetation with peren-
nial grasses; rain fed agriculture and sedentary livestock rearing are common.
Alternatively, Hare (1985) and Kalma and Franks (Chapter 2, this volume) illustrate use of
the Budyko-Lettau dryness ratio, with the zone most at risk lying between dryness ratios of
2 (outer margin of the arid zone) and 7 (10 is the desert margin). Numerous maps of the
worlds arid and semi-arid areas have been presented by (inter alia) Hodge and Duisberg
(1963) and UNESCO (1979); Figure 1.1 is a simplified version adapted from Hare (1985).
1.3.2 General hydrological characteristics
The hydrology of arid and semi-arid areas is substantially different fromthat in more humid
regions, the latter having provided the basis for conventional design and management
practice. General environmental features which characterize arid and semi-arid areas are
given by FAO (1981) and Wheater (1996, 2002) to be:
High levels of incident solar radiation;
High diurnal and seasonal temperature variations;
4 Understanding water in a dry environment
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Evaporation is prominent in the hydrological cycle;
Low humidity at short distance from the sea;
Strong winds with frequent dust and sand storms;
Sporadic rainfall of high temporal and spatial variability;
Extreme variability of short-duration runoff events in ephemeral drainage systems;
High rates of infiltration loss in channel alluvium;
High sediment transport rates;
Relatively large groundwater and soil moisture storage changes;
Distinctive geomorphology, with poorly developed soil profiles.
Although the natural geography of the arid and semi-arid zones is complex and differs
from site to site, the characteristics in common are infrequent rainfall, drought, poor
vegetation cover, low cover ratio, serious soil loss and erosion, and high river sediment
concentrations during the flood seasons (Xiao Lin 1999; Alhamid & Reid 2002).
Desertification is evident over much of the arid zone and usually involves a reduction
in the area of soil covered by vegetation, a consequent rise in surface albedo, loss of
perennial plants, soil erosion and impoverishment. It is initiated by human pressure on
the land, aggravated by climatic stress. Almost as destructive, but spatially less extensive,
is the process of salinization (Hare 1985). More specifically on the characteristics of
precipitation and rainfall-runoff processes (see also Chapters 2 and 4; details relating to
actual evapotranspiration losses are addressed in Chapter 3):
Precipitation characteristics: Precipitation in arid and semi-arid zones is characterized
by high spatial and temporal variability. It is also significantly different in various
regions. For a majority of tropical areas precipitation is concentrated in the summer
months (e.g. southern Sahara, semi-arid India, Australia, Mexico, USA, Mexico), else-
where it is mainly concentrated in winter (e.g. China). In comparison with humid zones,
there are numerous unique arid and semi-arid zone rainfall characteristics which may be
summarized as (Wheater 2002):
Rain storms are random events, with a small frequency of occurrence.
The more intense the drought conditions, the lower the magnitude of frequent storms.
In tropical arid regions rain storms result from short duration convective events which
usually last from 15 minutes to two hours, with a maximum intensity in excess
of 100150 mm hr
1
. The areal extent of storms is variable, but rarely exceeds
100200 km
2
(commonly 3060 km
2
in the Sahel); in mountainous regions this is
much smaller and the localized nature of storms is very significant.
Surface runoff processes: The lack of vegetation cover in arid and semi-arid areas
removes protection of the soil from rain drop impact, with soil crusting leading to a large
reduction in infiltration capacity and the generation of extensive overland flow. This
runoff generation process is likely to be highly localized in space, reflecting the spatially
variable rainfall. Overland flows converge on the channel network, producing flood
hydrographs which are typically characterized by extremely rapid rise times (e.g. 1530
minutes). Losses from the flood hydrograph through bed infiltration are an important
factor in reducing the flood volume as the flood wave moves downstream, these trans-
mission losses being a major source of potential groundwater recharge (Wheater 2002).
Wadi flows are typical for the semi- to hyper-arid climatic zones and their particular
rainfall-runoff features are described by Schick (1988), Al-Eryani (1996), Xiao Lin (1999)
6 Understanding water in a dry environment
and Wheater (2002) as:
Rain storm floods (as distinct from snow- and ice-melt floods), characterized by
sudden occurrence, rapid rise and fall, great yearly variation and high sediment loads.
Flash floods are significant and may result from storms of limited spatial extent, but
in any catchment the occurrence frequency is small and the areal distribution is
statistically random.
Only a very small fraction of rainfall over an arid catchment becomes runoff.
Wadi flow is intermittent and tends to be lost before reaching the sea.
Base flow rates are several orders of magnitude lower than the peak flow.
Hydraulic contact between surface- and groundwater is often via the unsaturated zone.
1.4 GUIDEBOOK OBJECTIVES AND ADOPTED APPROACH
As reflected in Sections 1.1 and 1.2, international consensus clearly indicates that from
both water supply and development perspectives the worlds arid and semi-arid zones are
those currently and potentially experiencing the highest water stresses. In response,
UNESCO identified integrated water management in arid and semi-arid zones as a
priority theme within their IHP-V program and called for a guidebook on hydrological
processes in arid and semi-arid zones. Although attention is primarily devoted to
processes, there is a clear interrelationship with water management issueshence the
present volume title: Understanding Water in a Dry Environment. The information
contained represents an appraisal of arid and semi-arid zone hydrological processes and
does not aspire to being the ultimate word on the subject. It does not, therefore, relieve the
reader of the need for independent thought on a specific problem, but should be considered
as a source of summary information to facilitate further local/regional developments. This
IAH/UNESCOcontribution is thus intended to offer additional guidance to the practitioner
engaged in arid and semi-arid zone water resources exploration and development.
The principal aim of the book is to supplement the wealth of information contained in
the various text- or handbooks on the collection and analysis of hydrological variables,
and to relate this specifically to the worlds arid and semi-arid zones. If necessary, as
dictated by project requirements, the water resources practitioner is encouraged to
explore the recent developments and techniques identified in the present volume. A note
of caution, however: Many of the reported studies are in response to specific local issues
and the procedures/solutions described may not prove equally reliable for general
application. Water resources development is clearly an iterative process, with progressive
data collection and resource evaluation (Simmers 1997; Burke & Moench 2000). For
detailed recent statements on water resources development and management, and the
interrelated relevance of hydrological process studies to these, the reader is referred to
(e.g.) Cosgrove and Rijsberman (2000), Wheater and Al-Weshah (2002), and the selected
internet sites listed at the end of this chapter.
The present volume comprises eight chapters, six of which relate specifically to
understanding the arid and semi-arid zone hydrological processes of rainfall (Chapter 2),
actual evapotranspiration (Chapter 3), surface runoff (Chapter 4), flow in the vadose zone
(Chapter 5), aquifer response (Chapter 6) and hydrogeochemistry (Chapter 7). Each is
self-contained and contains illustrative case studies. This first chapter introduces the
Hydrological processes and water resources management 7
concepts and challenges considered in detail by those which follow, and indicates the
relevance of hydrological process studies to the key management issues identified in
Chapter 8. The content relies heavily on readily available recent literature.
Chapter 2 commences with an overview of rainfall types and mechanisms. This is
followed by a discussion of general circulation aspects and meso-scale climatic systems
as they affect precipitation in arid and semi-arid regions, conventional precipitation
measurement techniques, and the use of remote sensing in rainfall estimation. The
chapter gives an overview of rainfall frequency analysis, summarizes recent research of
relevance to hydrological variability at multiple time scales, and concludes by addressing
climatic variability and change. Additional background information may be found in
Landsberg and Schloemer (1967), Hare (1985), Rodier (1985) and Lerner et al. (1990).
Chapter 3 provides a summary of the rapidly developing field of actual evapo-
transpiration (ET) estimation, with particular emphasis on operational solutions for use by
practicing hydrologists and water resources planners. With regard to the various methods,
the chapter is subdivided into sections on the required physical parameters, direct
measurement techniques (pan, lysimeter, eddy correlation, Bowen ratio), use of the
reference crop ET
o
in estimating actual crop evapotranspiration under standard and non-
standard conditions (Penman-Montieth, Priestley & Taylor, Makkink), the hydrological
modelling of ET, and a remote sensing approach to actual ET determination. The chapter
closes with discussion on the state-of-the-art in areal evapotranspiration derivation, and
compares the various methods with regard to operational procedures and costs (see also
Bastiaanssen 1998; Kite & Droogers 2000a,b).
Chapter 4 considers surface runoff processes and techniques for quantifying surface
runoff and sediment dynamics. Direct measurements of flow and sediment are then
compared with indirect estimation tools, the latter providing valuable alternatives in
areas with missing data. The chapter concludes that although material presented in the
case studies is generally site specific, if the scale and climatic regime are similar then the
principal results may be translated to other locations as first approximations. For further
details readers could refer to UNESCO (1996), Mourits et al. (1996), Xiao Lin (1999),
Bull and Kirkby (2002) and Wheater and Al-Weshah (2002).
Chapter 5 concentrates on water flow processes that are of interest for the evaluation
of groundwater recharge, and the large spatial and temporal variability of these water
fluxes. This in response to the increasing pressures on water supplies in desert regions
due to burgeoning populations and the increasing use of arid vadose zones for hazardous
and radioactive waste disposal. The chapter further describes the use of numerical,
physical and environmental tracer models of water flow in the vadose zone, discusses
controls on water movement and outlines current methods for recharge evaluation. For
additional detailed discussion on vadose zone processes reference should be made to
Hendrickx and Walker (1997).
Chapter 6 presents a series of analytical, statistical and physically-based (1-, 2-, 3-D)
methods which can be used to analyze aquifer dynamics resulting from either natural
or anthropogenic changes in boundary conditions and climate. Groundwater level fluc-
tuations are concluded to be the most important primary source of diagnostic information,
and examples illustrating use of the techniques described are given for temperate as well
as arid areas.
Chapter 7 describes the application of hydrogeochemical techniques to understanding
water quality problems and, focusing principally on North Africa, follows the chemical
8 Understanding water in a dry environment
pathway of water through the hydrological cycle. It further identifies potential tracers,
details their application within vadose and saturated zone studies, and concludes that for
most investigations it is likely that conjunctive measurement by a range of methods is
desirable (e.g. chemical and isotopic; inert and reactive tracers). The chapter supplements
earlier reviews (Edmunds 1996, 2002) of processes and phenomena that are of particular
significance for groundwater protection in semi-arid regions. Table 1.2 (from Edmunds
1996) lists the indicators which can be used to characterize various forms of natural and
anthropogenic pollution and shows that basic chemical approaches can be adopted quite
successfully. Additional information relating to the use of tracers is given in Chapter 5
(Hendrickx et al.) and (e.g.) Fryar et al. (2001).
Chapter 8 illustrates the inter-relationships between hydrological process studies
and the operational water resources management issues of: Surface water development;
urbanization, industrial pollution and waste water reuse; irrigation, drainage, dryland
salinity and land cover change; water harvesting and artificial recharge; groundwater over-
exploitation; drought management, climate variability and conjunctive use of surface-
and groundwater. This final chapter is important in terms of creating a volume perspective.
Societies in arid zones have historically evolved using traditional farming methods,
involving rain-fed agriculture and limited withdrawal of groundwater. However, the
introduction of modern farming methods and the growth of towns and cities have
completely changed this environmental balance. Chapter 8 concludes that for effective
and sustainable management in arid and semi-arid regions there is a need for proper
understanding, careful monitoring and structured assessment of the impacts of human
activities on land and water resources. The chapter ends with an example of an integrated
(holistic) systems approach to groundwater water resources assessment and management
Table 1.2. Indicators of rapid environmental change in groundwater systems (Edmunds 1996).
Processes Primary indicator(s) Secondary indicator(s)
Saturated Zone Processes
Physical
Piezometric change Water level
Geochemical
Natural hydrogeochemical processes
Mineral dissolution HCO
3
Si, SI
(calcite)
, major ions
Redox reactions O
2
Eh, Fe
2
Salinity Cl, SEC Mg/Ca,
18
O,
2
H, Br
Residence time
3
H,
14
C, trace elements
Anthropogenic pollution (diffuse)
Environmental radioactivity
3
H
36
Cl,
14
C
Agrochemicals NO
3
, DOC, HCO
3
K, pesticides
Industrial, urban Cl, DOC, HCO
3
B
Unsaturated Zone Processes
Physical
Recharge rates Cl
3
H,
14
C,
36
Cl
Geochemical and pollution
Acid attenuation pH
Pollution NO
3
SEC: specific electrical conductivity; DOC: dissolved organic carbon; SI: saturation index.
Hydrological processes and water resources management 9
in semi-arid Botswana. Additional case studies, from the Arab region in particular, are
detailed by Al-Weshah (2002), Attia and Salih (2002), Khater and Al-Weshah (2002) and
Wheater and Al-Weshah (2002).
1.5 CONCLUSIONS AND RECOMMENDATIONS
In order to provide water security in the 21st century there is clear universal agreement
that a continuation of current policies and extrapolation of trends (business as usual) is
not an option (Cosgrove & Rijsberman 2000). As a general framework, UNESCO (1990)
and the 2nd World Water Forum (2000) thus recommend the following actions as a
means to resolve water resources planning, management and exploitation issues in arid
and semi-arid regions: (a) Increased understanding of the natural physical processes
governing precipitation-infiltration transfers (cf. Table 1.1); (b) improved monitoring and
processing of data for the varying hydrological and climatic regimes; and (c) the creation
of hydrological, hydrogeological and extraction method data bases.
Although these general statements are true and relevant, from a pragmatic/operational
point of view there is an evident specific need to allocate water to high value uses and
move it out of low value uses, particularly in arid regions. In addition to agricultural water
management and water-saving techniques such as deficit and precision irrigation, it is
important also to consider interventions such as crop varietal improvement or substitution,
amended cultural practices, the development of non-water intensive economic activities
and the re-targeting of subsidies and pricing.
Equally evident is that the management of surface water resources alone will rarely
solve all water supply problems in arid and semi-arid areas. Integrated use of surface
water, groundwater, and even waste water, can provide effective solutions for regional
water resources development, particularly when based on the comparative advantages of
each resource (cf. Table 1.3). Figure 1.2, also from Tuinhof (2000), illustrates the
different options for conjunctive use.
Wheater (1996, 2002) clearly shows that the hydrology of arid and semi-arid areas is
substantially different from that in more humid regions, the latter having provided the
basis for conventional design and management practice. It is therefore essential that
methods appropriate to the former are developed and applied. Surface water storage is
widely used, though is subject to high evaporation losses and groundwater is often the
only resource in arid areas, but for development purposes it is essential to quantify the
sustainable yield of such systems.
Strategies for arid and semi-arid zone water resource development must recognize the
principal physical characteristics of the in situ hydrological processes. However, due to
sparse habitation as well as the random character of the climatic regime, most arid and
semi-arid zones are regions of scarce hydrological data. There are also substantial dif-
ferences in their analysis and interpretation. The water resources development approach
suggested by Issar and Passchier (1990) is a stage-by-stage improvement of a hydro-
logical evaluation on the basis of knowledge acquired from other geographical regions
which have similar characteristics (i.e. by first formulating an appropriate conceptual
hydrological modelsuch a conceptual model is the key to logical subsequent devel-
opment of the most appropriate numerical techniques). Specific local data are progres-
sively added while carrying out the first stages of planning and development.
10 Understanding water in a dry environment
Table 1.3. Comparison of surface and groundwater characteristics (Tuinhof 2000).
Characteristic Groundwater resources
and aquifers
Surface water resources
and reservoirs
Hydrological
Storage volume Very large Small to moderate
Resource area Relatively unrestricted Restricted to water
courses/canals
Flow velocity Very low Moderate to high
Residence time Generally decades/centuries Mainly weeks/months
Drought propensity Generally low Generally high
Evaporation losses Low and localized High for reservoirs
Resource evaluation High cost, significant
uncertainty
Lower cost, often more
certainty
Abstraction impacts Delayed and dispersed Immediate
Natural quality Generally high (not always) Very variable
Pollution vulnerability Variable natural protection Largely unprotected
Pollution persistence Often extreme Mainly transitory
Socio-economic
Public perception Mythical, unpredictable Aesthetic, predictable
Development cost Generally modest Often high
Development risk Less than often perceived More than often assumed
Development style Mixed public and private Largely public
Figure 1.2. Conjunctive use options (Tuinhof 2000).
Hydrological processes and water resources management 11
For development to maximize the resource potential the integrated modelling of surface-
and groundwater response is a valuable tool (Al-Turbak 1996; Wheater 1996, 2002),
though it is important to recognise that these models must reflect the essential local features
of likely flow mechanisms. This in turn presents severe problems in the high quality
characterization of precipitation, rainfall-runoff processes and groundwater recharge,
and understanding the detailed hydrogeological response of often complex groundwater
systems. Superimposed on these basic data needs are the requirements for specific process
studies, for example sediment transport and surface- or groundwater interactions in active
channels. The present volume addresses a spectrum of these pressing issues.
REFERENCES
Selected Internet sites
www.gwpforum.org
www.unesco.org/science/waterday2000/who_is_who.htm
www.watervision.org
www.worldwatercouncil.org
www.worldwaterforum.org/links.html
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Alhamid, A.A. & Reid, I. 2002. Sediment and the vulnerability of water resources. In: H.S.
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14 Understanding water in a dry environment
CHAPTER 2
Rainfall in arid and semi-arid regions
Jetse D. Kalma and Stewart W. Franks
Discipline of Civil, Surveying and Environmental Engineering, School of Engineering,
The University of Newcastle, Callaghan, Australia
ABSTRACT: The chapter starts with an overview of rainfall types and mechanisms in arid and
semi-arid regions. This is followed by a discussion of general circulation aspects and mesoscale
climatic systems as they affect precipitation in arid and semi-arid regions. Next, the chapter
provides illustrative descriptions of rainfall regimes in the arid and semi-arid regions of Australia
and Israel. We then discuss conventional techniques of precipitation measurement and provide an
introduction to the use of remote sensing in rainfall estimation. The section on rainfall analysis
provides an overview of methods of rainfallfrequency analysis, including the development of
rainfall intensitydurationfrequency curves and techniques for estimating probable maximum
precipitation. The penultimate section addresses climatic variability and change, and summarizes
recent research of relevance to hydrological variability on multiple time scales. In the final section
of this chapter we provide an overview, reach some general conclusions and make a number of
practical recommendations and suggestions for further work.
2.1 INTRODUCTION
Arid and semi-arid regions are associated with dry climates. Dry climates imply little
rainfall and strong evaporative conditions, frequently leading to serious water deficits and
drought conditions. The boundaries of such regions have been identified through
numerous climate classifications. Meigs (1953) prepared maps for UNESCO showing the
distribution of arid and semi-arid homoclimates on the different continents. The basis for
Meigs division was the system developed by Thornthwaite (1948), who used monthly
precipitation values and evapotranspiration estimates to calculate a moisture index, which
provides a measure of the adequacy of precipitation in relation to the needs of plants.
Meigs (1953) noted that the worlds arid and semi-arid regions are seen to occur in five
great provinces. Each was described as a core of desert, partly surrounded by semi-arid
lands bordering the west coasts of the continents, chiefly from 15 to 35
latitude, and
extending inland and poleward as far as 55
S and 30
latitude.
In general, low pressure prevails near the equator and high pressure dominates in the
subtropics, whereas at higher latitudes there are alternating eastward moving high and low
pressure systems, with large horizontal eddies causing transport of colder air to lower
latitudes and warmer air to higher latitudes. This pattern is overlain by the meandering,
strong zonal current of high-level jet streams. Low pressure areas have surface con-
vergence of air and ascending air motions with a strong possibility of precipitation. The
high pressure areas show surface divergence and descending air masses associated with
clear skies, high long-wave radiation loss and dry weather.
Mean zonal flow profiles at low latitudes show the important role of the westerlies aloft.
Maximum speeds in the westerlies occur at a pressure level of about 200 mb; maximum
speeds in winter are twice those in summer. These zonal flow profiles clearly show the
presence of the subtropical jet stream between latitudes 30
and 40
and 35
and
40
N and S, most commonly on the western side of continents. These areas include the
Mediterranean region, California, central Chile, southern Africa including Namibia,
Botswana and parts of South Africa, and western and central Australia.
Figure 2.2 (taken from Landsberg & Schloemer 1967) illustrates the major dry climates
of the world. The figure also shows the direction of major ocean currents, which
additionally affect the aridity of adjacent land areas. It should be noted that aridity
increases in generally dry areas as distance from the oceans increases. Finally, Landsberg
and Schloemer (1967) demonstrate that mountainous terrains near coastal areas with
onshore winds experience rainfall increases on the windward side, and a very rapid
decline to semi-arid and arid conditions in the lee of the mountains. The world map of
annual precipitation for regions with less than 1000 mm of annual rainfall is shown in
22 Understanding water in a dry environment
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Figure 2.3 (taken from Landsberg & Schloemer 1967). It shows the effect of the position
of the inter-tropical convergence zone in summer and in winter, the impact of tropical
cyclones, and the interaction between warm and cold air masses resulting from the
meridional transport of warm air polewards.
The generalized model of atmospheric circulation outlined above has several major
deficiencies. The model is unable to show seasonal variations and longitudinal
differences. It also considers only a single heat source along the equator and excludes
any inter-hemispheric exchanges. Whilst such a simple model prevails in a general way
over most ocean areas, there are significant seasonal deviations and variations over most
continental areas.
When large continental and ocean areas are considered, particularly at latitudes
between 15
and 30
to 20
where
Coriolis forces are strong enough to enhance initiation of a cyclonic circulation. As winds
continue to increase pressure gradients strengthen, and widespread cloud development and
torrential rain may occur. The tropical cyclone, which is 500800 km in diameter, derives
its kinetic energy from latent heat associated with evaporation from warm tropical waters
and the subsequent release of latent heat when the rapidly rising moist warmair condenses.
Sea surface temperatures above 27
and 44
in
central Australia (see Fleming 1994).
Mid-latitude frontal rainfall is initiated at air mass discontinuities associated with the
regular passage of high pressure systems or anticyclones across the continent. These
anticyclones form over the Indian Ocean and progress eastwards at 500600 kmday
1
.
Their tracks in winter lie in the 2932
S band. Fronts
associated with southern depressions penetrate northwards between successive anti-
cyclones and bring most of the autumnwinterspring rainfall to the southern semi-arid
zone. In summer, if there has been a southward penetration by tropical air masses, strong
air mass discontinuities can develop inducing severe frontal thunderstorms. If the anti-
cyclones are very strong they may exclude fronts and air masses fromthe continent, result-
ing in persistent blocking features characteristic of drought situations which have been
associated with El Nino events (Nichols 1985).
The mid-tropospheric conveyor belt transports humid tropical air masses from the
northwest of the continent to the eastern half of the arid zone before convergence systems
initiate widespread moderate to heavy rainfalls. The intruding moist air masses are fre-
quently associated with monsoon activity and tropical cyclones.
In their chapter on arid zone hydrology, Slatyer and Mabbutt (1964) illustrate the
general characteristics of arid zone precipitation with examples for Alice Springs, which
is situated in the centre of Australias vast arid and semi-arid region. Average annual rain-
fall at Alice is about 250 mm with a standard deviation of about 125 mm. Approximately
three-quarters of the annual rain falls in the summer six months. These authors note that
their analysis does not support the general concept of sporadic and torrential rain so
often thought characteristic of arid regions.
Cordery et al. (1983) reported on rainfall measurements at Fowlers Gap in the arid
west of New South Wales, where the median annual rainfall is less than 200 mm. They
investigated the storm types that produce appreciable rainfall and observed that wide-
spread, large-scale storms are much more important in western New South Wales than
in the arid regions of the southwest USA, and that rainfall in nearly two-thirds of the
observed storms is extensive and spatially uniform. It was found that high intensity con-
vective storms occur infrequently, in contrast with widely reported results from other parts
of the world.
2.5.2 Israel
The climate of Israel as a whole is mediterranean with a mild, rainy winter and a dry, hot
summer. Climatic regionalization across the country is difficult mainly because of the
abrupt differences in climate across relatively short distances. Annual rainfall decreases
from about 1000 mm in the far north down to about 25 mm in the extreme south of the
country. There are also significant westeast differences across the country that are
controlled by distance from the Mediterranean Sea and the blocking effects of the regions
mountain ranges. On the basis of annual rainfall the country can be divided into three
important zones. These are: (1) a subhumid zone with annual rainfall of 4001000 mm;
(2) a semi-arid zone with annual rainfall of 200400 mm; and (3) an arid zone with an
32 Understanding water in a dry environment
annual rainfall of 25200 mm. The semi-arid and arid zones occupy most of the southern
half of the country with Israels Negev region entirely in the arid zone.
A study of the diurnal variation of rainfall in Israel, based on data from recording rain
gauges, has been described by Kutiel and Sharon (1980). Their work shows a strong
afternoon and evening predominance of high intensity rainfall in the semi-arid and arid
regions of the Negev desert that results from surface heating. It may be noted that such
timing is optimal in that it minimizes evaporation losses, which may be significant in such
arid environments. By contrast, most high-intensity rainfall events in the more humid
coastal region of Israel occur during the night between 9 pm and 3 am and are ascribed to
landsea temperature differences and to the convergent flow of nocturnal land breezes in
the region.
Detailed studies of rainfall mechanisms, areal variation in rainfall intensity and network
design in desert regions have been carried out by Sharon (1970, 1972a,b). Studies in a
small arid watershed (see Sharon 1970) showed that the lower portion of the watershed
was consistently receiving larger amounts of rain than the higher portions on the slopes
and ridge. It appears that wind effects are a major cause of such spatial differences.
Maximum rainfall was observed in close proximity to the channel; i.e. in that part of the
watershed that in other regions has been found to be the major source of storm flow.
Sharon (1972a) also examined the spottiness of rainfall in extremely arid parts of the
southern Negev desert, where annual rainfall averages 3035 mm. He observed that
between half and two-thirds of the annual rainfall is of a highly localized type, originating
from small convective cells with typical diameters of about 5 km and falling at very high
intensities over a few minutes. The remaining annual rainfall comes from events with
spatially uniform rain falling at low to medium intensities for a few hours.
Whereas areal patterns of rainfall within individual storm cells have been extensively
treated by meteorologists and statistical hydrologists, little is known about the spatial
distribution of cells. This distribution has commonly been treated as random. Sharon
(1983) presented the results of a correlation analysis which indicates the existence of
mesoscale systems that impose relatively rigid systematic arrangements of localized
storm cells. It is shown that cells developing on the same day are certainly not randomly
distributed in space. Similar observations have been made in studies of cloud distribution
patterns by Ramirez and Bras (1990) and Ramirez et al. (1990).
Greenbaum et al. (1998) described the spatial and temporal characteristics of a high
magnitude rain storm flood in the 1400 km
2
Nahal Zin catchment in the hyperarid Negev
Desert through a combination of rain storm analysis, remote sensing, hydrological and
sedimentological data. The meteorological component of the study analyzed the anatomy
and temporal evolution of the mesoscale system that produced the flood, as well as the
effect of the local topography.
It has been pointed out earlier in this chapter that dew fall, although not precipitation in
the true sense of the word, has been found to be an important source of water in many arid
regions. Dew has received much attention in Israel. Duvdevani (1953) reported total
dew fall amounts of 30 mm over 200 dew nights throughout the year and maximum daily
amounts of 0.2 mm. Long-term measurements in the highlands of the Negev Desert
(Evenari 1981; Zangvill 1996) showed that dew fall may occur on about 200 nights
annually and that total dew fall may exceed rainfall during extreme droughts. Some recent
studies on dew in the Negev desert, including the work of Jacobs et al. (1999, 2000a,b)
and Kidron et al. (2000), describe dew variability in a small arid drainage basin in the
Rainfall in arid and semi-arid regions 33
Negev highlands. Slatyer and Mabbutt (1964) noted that strong advective influences are
responsible for high dew fall observations in Israel.
2.6 GROUND-BASED MEASUREMENT OF PRECIPITATION
Rainfall distribution may be very non-uniform and non-structured due to small convective
elements in large cloud systems, orographic and atmospheric stability effects and wind con-
ditions. Significant differences may occur over a few kilometers in large-scale cyclonic
storms and over hundreds of meters in thunderstorms.
Precipitation data are required in a wide range of applications. For crop yield modelling
and soil moisture evaluation the required accuracy of daily rainfall is 1030%, with a
horizontal resolution of 20100 km. However, there is a serious deficiency of rainfall data
at such resolution over most of the globe and especially in the arid zone. Many projects on
the utilization of water resources require not only daily or monthly rainfall totals, but also
the intensity of individual rain storms. Such projects include erosion, flood control and
water harvesting studies, especially in semi-arid and/or developing countries (see Morin &
Sharon 1993).
Various methods exist for routine measurements of rainfall. This variety is mainly a
result of the time and space variability in precipitation. Measurement techniques range
from point measurements on the ground to the use of space-based instrumentation.
Ground-based point measurements with non-recording and recording rain gauges are
by far the most common method of precipitation measurement. These methods have been
well documented, as have discussions about the many factors that affect the accuracy of
gauge measurements and the need for standardization of precipitation measurements.
Storage rain gauges provide data that are useful for deriving long-term rainfall statistics;
such data are of little use for analysis of storm rainfall intensity. Recording rain gauges or
pluviographs, on the other hand, provide a continuous record and are essential for analysis
of rainfall intensity and storm characteristics. There are several types of recording instru-
ments, including tipping-bucket recording rain gauges and weighing recording rain gauges.
Gauge catches are point measurements, however, and are not necessarily representative of
catchment rainfall. Rain gauge catch is affected by wind and exposure. Special attention
must therefore be given to exposure height and the presence of any nearby buildings or
vegetation. It should also be noted that large-scale rainfall fields are frequently difficult
to derive from point measurements, especially when these are made at non-representative
sites.
Descriptions of precipitation measurements can be found in Engman and Gurney (1991),
Collier (1997) and Jones (1997). An annotated bibliography on precipitation measurement
has been published by the World Meteorological Organization (WMO 1973). The
proceedings of the 1993 Bratislava International Symposium on Precipitation and
Evaporation (Sevruk & Lapin 1993a,b) addresses precipitation measurements, precipita-
tion variability and climate change. The Guide to Hydrological Practices (WMO 1994)
contains a detailed chapter on precipitation measurements. A more general discussion
of the topic can be found in the Guide to Meteorological Instruments and Methods of
Observation (WMO 1996b). Finally, WMO (1998a) more recently published a report
on precipitation estimation and forecasting. The reader is referred to these reports for
more details.
34 Understanding water in a dry environment
The preferred network density for ground-based rain gauges depends on the terrain. A
denser network is usually required in mountainous terrain than in flat, homogeneous areas.
Due to differences in length scales between convective storm cells and frontal rain storms,
a denser network would be required in areas where convective storms are the most
important source of precipitation. Finally, the preferred network density also depends on
the type of rainfall analysis required. For example, in typical water balance studies over an
area of about 100 km
2
and time periods of one month, the preferred gauge spacing would
be about 8 km. On the other hand, for flood design over periods of 10 min to one day and
for point scales, the gauge density may need to be as high as about 1 km. In general,
sampling errors of rainfall amount tend to increase with increasing mean areal rainfall
and decrease with increasing network density, duration of rainfall and areal extent (see
Singh 1992).
The density of coverage with ground-based rain gauges varies widely between countries
and regions. Recommended minimum precipitation network densities are given in the
WMO Guide to Hydrological Practices (WMO 1994). In general, coverage is poorest in
arid and semi-arid areas, in tropical countries and in highland regions. Numerous methods
for network design have been described in the literature over the last fewdecades, but most
assume linear variations of rainfall between stations or homogeneous rainfall areas.
Al-Zahrani and Husain (1998) noted that such an assumption may be inappropriate for large
areas in semi-arid and arid regions where heterogeneity dominates, and described a new
network design method based on Shannons theorem. This method results in an optimum
network size design which maximizes rainfall information obtained from the network.
2.7 USE OF REMOTE SENSING IN RAINFALL ESTIMATION
Remote sensing data obtained from satellites include images of the earths surface and
information on the vertical structure of the atmosphere. Currently operating systems
include geosynchronous satellites (GOES, GMS and METEOSAT), the NOAA polar
orbiting satellites, the Landsat system and the sun-synchronous SPOT satellites. The
sensors on these satellites include radiometers, panchromatic and multispectral scanning
radiometers, infrared sounders and microwave sounding units. These sensors measure the
electromagnetic energy impinging on their detectors. The detectors transform this energy
into an electrical signal which is amplified, digitized, transmitted to ground stations,
recorded and archived. Becker et al. (1988) noted that two types of model are required
to convert satellite data into the desired information. These are: (1) geometric models to
relate the pixel position in the recorded image to the correct position at the earths surface;
and (2) energetic models which relate the signal received at the top of the atmosphere to
the relevant quantity on earth.
Satellite data are used to obtain physical surface parameters (such as reflectivity,
surface temperature and surface roughness) and information on the atmosphere (e.g.
temperature and humidity profiles, cloud cover, rainfall). Such data are used as input to
models for estimating components of the surface radiation and energy balances, for
inventories of water resources, and for large-scale and mesoscale climate models.
A wide range of hydrological and agricultural applications of remote sensing data are
discussed by Goodison (1985), Van de Griend and Engman (1985), Barrett et al. (1988),
Schultz (1988), Kuittinen (1988, 1992), Rango (1994) and Kalma and Calder (1994).
Rainfall in arid and semi-arid regions 35
These applications include estimation of precipitation, remote sensing of snow, ice and
surface water, remote sensing of soil moisture and groundwater, land cover mapping,
and the estimation of crop yield and biomass. The World Meteorological Organization
recently reported on remote sensing and geographical information systems (WMO 1998b)
and on current operational applications of remote sensing in hydrology (WMO 1998c).
The reader is referred to these reports for more details.
Barrett (1997) questioned whether standard rain gauge networks are appropriate to
measure a parameter which is characterized by significant temporal and spatial variability,
and suggested that space-borne and ground-based remote sensing needs to be more fully
exploited, especially in data sparse regions.
Methods of precipitation estimation based on remote sensing can be classified into two
groups: Indirect and direct methods (see Carleton 1991; Barrett & Beaumont 1994). In the
indirect method, cloud characteristics as observed in visible and infrared satellite imagery
are used as indicators of the occurrence of precipitation. The direct method uses micro-
wave techniques to obtain instantaneous rain rates. Surface-based remote sensing princi-
pally involves weather radar, though this is limited to relatively small areas and is mainly
used for forecasting and research purposes.
2.7.1 Indirect methods of precipitation estimation based on remote sensing
Rainfall monitoring with visible and thermal satellite imagery commenced in the early
1970s when Barrett (1970) prepared monthly rainfall maps for parts of the tropical Far
East based on satellite cloud charts. Visible and thermal satellite channels do not provide
direct measurements of precipitation but do provide useful information about rainfall.
Whereas visible imagery provides information on the extent of cloud cover and hence on
the possibility of rain occurring in a particular location, infrared imagery can be used to
obtain information on cloud top temperatures and hence on the location of high clouds
associated with strong, convective precipitation cells. Note that low brightness temp-
eratures indicate high cloud-tops, which imply large thickness and therefore increased
probability of rainfall.
Quasi-operational indirect techniques based on visible and infrared satellite data
comprise: (1) the cloud-indexing technique that uses visible and/or infrared data from
polar-orbiting and/or geostationary satellites; (2) the life history technique which is based
on infrared data from geostationary satellites; and (3) the bispectral technique.
The cloud-indexing method (e.g. Barrett 1970, 1981) uses satellite cloud images
obtained twice-daily from polar orbiting satellites and assigns indices to each cell of a grid
superimposed on the image which relate cloud type, cloud cover, amount and cloud top
temperature to the probability and intensity of rain associated with those clouds.
Regressions are then used to estimate rainfall from index values. Calibrations are carried
out using ground reports and the technique is used over periods of several months.
However, its use with stratiform clouds in middle to high latitudes has been limited. This
method has since been extended to geostationary satellites (see Barrett et al. 1988) and
regression techniques are used with both polar orbiting and geostationary satellite data.
The procedure involves a high degree of subjective judgment by the analyst, however
(see Collier 1997).
The life history method (Griffith et al. 1976; Scofield & Oliver 1977; Scofield 1985)
employs visible and infrared data from successive geostationary satellite images to track
36 Understanding water in a dry environment
the time-dependent evolution of rain-bearing cloud systems. The technique relates the
volumetric rain rate to the area of the cloud and the rate of change in cloud area. Such a
cloud tracking method, which has been used widely in convective situations, requires
satellite images at frequent time steps. The method is based on the assumption that rain
will fall from the colder clouds and that rainfall intensity will depend on the size, shape,
altitude, temperature, brightness and growth rate of the clouds. Griffith et al. (1978) des-
cribe a fully automated process. Farnsworth et al. (1984) developed such a technique for
North America to estimate precipitation associated with summertime convection, winter-
time convection, tropical storms and hurricanes and warm-top storms. Scofield (1985)
presents techniques based on this method for estimating rainfall from thunderstorms,
tropical and extra-tropical cyclones. In the case of short-term rainfall forecasting, ground-
based rainfall measurements are combined with the satellite-based estimates. Errors with
the cloud tracking method are within 20% of rain gauge estimates.
Schemes for precipitation estimation provide more accurate predictions when using
combinations of visible and infrared channel data. The bispectral method uses visible and
infrared images statistically to assign pixels to a number of classes with instantaneous
rainfall rates (see Barrett & Martin 1981).
It is now clear that satellite-based rainfall monitoring methods may yield improved
estimates of areal rainfall in real or near-real time over relatively large areas and may
complement conventional ground-based measurements. The success of such remote
sensing methods is closely linked to the precipitation processes and the type of
precipitation. Kuittinen (1992) notes that the first satellite-based remote sensing methods
were developed for convective rains in tropical and subtropical regions. Since then
methods have also been developed for cyclonic rains. However, it is not possible to use
such methods for orographic, frontal or wintertime cyclonic precipitation in mid-latitudes
and in high latitude areas north and south of about 50
.
It should be noted that all indirect methods have limitations. The use of visible imagery
is limited by the facts that different cloud types may have similar brightness, the
transparency of thin clouds and reflection from sea surfaces. Thermal imagery is affected
by water vapour absorption differences and the complexities of cloud heights, and
temperature inversions. The possible presence of several cloud layers, differences
between sensors and the possibility of different cloud surfaces with similar appearance
affect methods based on both types of imagery.
Barrett (1985) noted that special emphasis has been given to developing interactive
rainfall monitoring methods which employ both manual and automated techniques. One
such system is that developed to provide improved rainfall data from the worlds major
crop-growing areas for input to AgRISTARS (Agriculture and Resources Inventory
Surveys through Aerospace Remote Sensing).
Milford and Dugdale (1987) describe a rainfall estimation method for semi-arid regions
which is based on relating cloud-top temperatures below a certain threshold value to
actual rainfall. Their Cold Cloud Duration (CCD) technique was developed to estimate
ten-day and monthly rainfall in the Sahel from METEOSAT thermal imagery. Sahelian
rainfall is largely produced by thunderstorm systems with clouds that extend high into the
atmosphere; they have cold tops and can be recognized on METEOSAT images. Rainfall
may thus be related to the duration that cold clouds cover an area. The CCD is determined
for each pixel from hourly images by obtaining the length of time over a ten-day period
or a month that the cloud top temperature is below a certain threshold temperature.
Rainfall in arid and semi-arid regions 37
These CCD values may then be mapped. The choice of threshold temperature is critical; it
must be high enough to include all rain-bearing clouds and low enough to exclude those
clouds not associated with rainfall. The success of this technique depends on determining
the optimum threshold value (which depends on season and latitude) and arriving at a
relation between CCD and rainfall through calibration with ground-based rainfall
measurements. Bonifacio et al. (1996) have described the use of METEOSAT and NOAA
AVHRR for rainfall estimation and hydrological modelling of a semi-arid catchment in
west Africa. Flitcroft et al. (1989) used a dense network of rain gauges to investigate the
variability of rainfall over small areas of about 100 km
2
in the West African Sahel, in an
attempt to relate point rainfall to area averages and to identify sampling errors in the
measurement of areal mean precipitation. Their results help to quantify the uncertainty in
calibration relationships between satellite and gauge measurements of rainfall.
The CCD method, which was developed and tested for west African squall systems, is
now also used for areas outside the Sahel. The ARTEMIS system at the FAO in Rome
performs real-time acquisition of hourly METEOSAT data and processes the images to
produce CCD maps, and maps of ten-day and monthly rainfall. Huygen (1989) reported
on a study to establish CCDrainfall relationships for Zambia, with rain bearing systems
which differ significantly from those in the Sahel. He observed that the coefficients of
simple linear regressions relating CCD to ten-day rainfall were time-dependent. Huygen
also described the use of linear regression and (co)kriging methods for interpolating
ground-based rainfall measurements with the help of METEOSAT thermal imagery.
Mitra et al. (1997) described a simple daily rainfall analysis method for the Indian
monsoon region, which combines infrared observations obtained from the INSAT satellite
and conventional rain gauges. They showed that the analysis was able to adequately repre-
sent the large-scale distribution of rainfall.
It has recently been shown by Ebert and Weymouth (1999) that infrared observations
obtained from the Geostationary Meteorological Satellite (GMS) can be used to
distinguish potential rain bearing clouds from non-raining areas, thus providing surrogate
observations of no rain over large areas. The advantages of including such observations
are the provision of data in regions void of conventional rain gauges or radar, as well as
the improved delineation of raining from non-raining areas in gridded rainfall analyses.
Such techniques have considerable benefits across large land areas such as Australia,
which have large numbers of conventional rain gauges but with a very uneven distribu-
tion. The extensive arid desert regions of the country have no surface rainfall observations
at all and coverage in many semi-arid regions is very sparse.
Other satellite methods for estimating rainfall have been developed by Bell and Kundu
(1996), Tsonis et al. (1996) and Jones (1997).
2.7.2 Direct methods of precipitation estimation based on remote sensing
The use of ground-based radar for rainfall measurement does not rely on establishing
relationships between cloud parameters but on relating measured radiation to a range
of physical parameters. With radar a ground-based emitter produces impulses of micro-
wave energy that are radiated by a narrow beam antenna. The energy is usually in the
wavelength band between 5 and 10 cm. The same antenna intercepts echoes of impulses
reflected from targets in the range of the beam. The azimuth of a target is determined by
38 Understanding water in a dry environment
the direction of the beam; the time between emitting a pulse and receiving its echo from
the target determines its range. Weather radar measures back-scattering of the radar signal
from rain drops and snow flakes. The strength of the back-scattered signal depends on the
amount and size of these hydrometeors.
Spatial and temporal resolution of weather radar is good compared with that from
satellite data; the average radius of area covered by weather radar is about 130 km.
Weather radar can detect even small showers and significantly complement precipitation
information gathered by conventional methods, with accuracy depending largely on the
correlation between the back-scattering factor and rainfall rate. Comparisons with rain
gauge observations are needed to calibrate weather radar. Collier (1989) has described
some of the problems arising from characteristics of the radar and the radar site. These
include ground clutter and occultation, the choice of radar wavelength and the radiometric
attenuation. In addition, there are problems arising from characteristics of the precipita-
tion. These problems include signal fluctuations, variation in drop size distribution and
variability in reflectivity. There is also the effect of the evaporation of falling rain as well
as distortion of the precipitation field by below-cloud winds.
The variability that exists between rain intensities and the radar echo intensity reflected
by the precipitation prevents extensive application of weather radar for obtaining true
rainfall values. However, recent methodological advances in the technology of rainfall
measurement with conventional radars (see Rosenfeld et al. 1994, 1995a,b) obtained with
the Window Probability Matching Method (WPMM), make it possible to account for
much of the variation of the relation between rain intensities and the radar echo intensity,
and to improve the accuracy of the rainfall estimate. The WPMM approach matches
probabilities of radar-observed reflectivity to rain gauge measured rain intensity taken
from small windows centered over the gauges, which have been objectively classified
into different rain types. The windows are small enough for the gauge to represent rain
depth within the radar window above the gauge, yet large enough to encompass the timing
and geometric errors inherent in such measurements. Morin et al. (1995) applied the
WPMM method to radar measurements over several catchment areas in central Israel.
They found good agreement between daily rain gauge measurements and radar rainfall
estimates; the standard error of radar-estimated rainfall was reported to be only 7% for a
storm with a total average rainfall accumulation of 328 mm.
Carleton (1991) and Rango (1994) discuss the application of space-borne passive
microwave radiometry. The microwave radiation (roughly 0.110 cm in wave length)
emitted by an object is called its brightness temperature. The absorption and transmission
of microwave radiation is much less affected by liquid water than for infrared radiation.
Microwave radiation from the surface has been measured with passive microwave
systems on Nimbus satellites. The important bands are 10 cm (in tropical regions), 5.6 cm,
and 3 cm (in polar regions). Although microwave methods are more physically-based than
the methods referred to above, the results thus far have shown promising results over
oceans where the elevation in brightness temperature is related to rainfall rate. Inference
of rain over land is possible with microwave radiation at high frequencies because rain
drops become strong scatterers of microwaves at frequencies exceeding 80 GHz.
In a recent study, Martin and Hinton (1999) describe a rainfall analysis for the Indian
and west Pacific Oceans using brightness temperatures measured by the Nimbus-7
ScanningMulti-channel Microwave radiometer. In general, the analysis scheme adequately
represented ambient conditions over both regions. Elsewhere, Anagnostou et al. (1999)
Rainfall in arid and semi-arid regions 39
described satellite microwave monthly rainfall estimates over Amazonia, using half-
degree monthly rainfall estimates produced from the Special Sensor Microwave Imager
(SSM/I) carried by Defense Meteorological Satellite Program (DMSP) satellites.
Barrett (1997) has pointed out that satellite rainfall monitoring in recent years has seen
an increasing use of data from multiple sources; he argues that many of todays leading
techniques are multi-source technologies. For example, the Global Precipitation
Climatology Project of WMO involves satellite infrared and passive microwave mostly
over the worlds oceans, rain gauge data over the better served land areas and is considering
the use of numerical prediction models in higher latitudes (see Adler et al. 1994; WMO
1988). Lanza and Siccardi (1997) describe the ACROSS project, which was aimed at
producing a unified climatology over the eastern Mediterranean region using passive
microwave imagery over the sea, based on SMMR (Scanning Multi-channel Microwave
Radiometer) and SSM/I (Special Sensor Microwave/Imager), and ground-based observa-
tions over land. The various data sets were implemented within a relational data base and a
hydrologically-oriented Geographical Information System. Other studies include a report
on a specialist GEWEX workshop (WMO 1993).
2.8 RAINFALL ANALYSIS
Rainfall analysis includes interpretation of rainfall data, the analysis of rainfall frequency
and intensity, and storm rainfall analysis.
2.8.1 Data interpretation
Data interpretation includes checking long-term consistency of a rainfall record with
double-mass curves, which is a graphical method for identifying and adjusting inconsist-
encies in a station record (due to changes in observational procedures) by comparing its
time trend with those of other stations. Data interpretation also involves interpolation of
rainfall for locations without gauges. Such interpolation may be achieved by fitting smooth
surfaces to the existing network, or by using techniques that include the arithmetic average
method, the normal ratio method and the inverse distance method.
2.8.2 Computing areal rainfall
Areal rainfall may be calculated by using the arithmetic means of observations obtained
with multiple rain gauges. However, this method is limited to regions with minimal
variation in surface characteristics and with a uniformly-spaced network. An alternative
approach for estimating areal rainfall is based on the Thiessen polygon method, which
employs areally weighted means in order to allow for the effects of non-uniform rainfall
distribution. This method is objective, but not particularly good in mountainous areas
because altitudinal effects are not explicitly allowed for. When lines of equal rainfall
(isohyets) have been drawn, based on the existing network, the isohyetal method may be
used which is more accurate in mountainous areas. This method is often used for com-
puting mean rainfall over a drainage basin from individual storms. It involves determining
weighted average rainfall based on the land area between adjacent isohyets.
40 Understanding water in a dry environment
2.8.3 Frequency analysis
The occurrence frequency of rainfall of various magnitudes is important in a wide range
of hydrological applications and for design purposes in engineering. It also plays an
important role in assessing the hazards associated with large rainfall events. Frequency
analysis relates the magnitude of extreme events to their frequency of occurrence using
probability distributions. The main parameters that are needed to describe frequency
distributions are the duration, intensity, and the return period. Frequency analysis may be
conducted either graphically or mathematically. The mathematical approach to frequency
analysis requires determination of a specific probability distribution and a statistical
method of parameter estimation. Estimating the return period for a given rainfall duration
usually involves determining the statistical distribution of rainfall amounts for the duration
of interest, plotting that distribution on log-probability graph paper and interpolating from
the graph to determine the storm associated with the return period of interest.
Several authors have observed that gamma probability distribution functions fit
monthly rainfall data in arid regions quite well (see for example Sen & Eljadid 1999).
Sharma (1996) observed that the sum of total rain over a wet spell during a rainy season
forms a sequence which has the potential to provide the statistics for design of a rainwater
catchment system. It was found that the probability density function of the rain-sum,
coupled with the Poisson law of occurrence of wet spells, may be used as building blocks
to generate the cumulative distribution function of the largest rain-sum. For semi-arid
environments in Kenya it was found that the rain-sumtends to obey a Weibull distribution,
while successive occurrences of wet days obey the Markov law of persistence.
2.8.4 Intensitydurationfrequency curves
Frequency analysis of rainfall data is a means of computing the amount of rain falling over
a given area in a certain time interval with a given probability of occurrence. This has led
to generalized estimates of rainfall frequencies for a duration up to ten days and return
periods up to 100 years (see for example Pilgrim & Canterford 1987). Such frequency
analysis, in association with the development of IntensityDurationFrequency (IDF)
curves based on observations taken over a long period of time, is a key component in
rainfall analysis (see WMO 1989; WMO 1994, Chapter 28).
IDF curves for short duration storms over relatively small areas allow the calculation of
rainfall intensity (mm hr
1
) for a given probability of exceedance (expressed as average
recurrence interval of n years) and rainfall duration (hr). Such data are essential in flood
estimation when there are no streamflowdata available. IDF data can be summarized either
graphically or algebraically using regression equations expressing intensity as a function of
storm duration, with the constants in the expressions fixed for given recurrence intervals.
IDF curves are essentially cumulative distributions of rainfall intensity conditioned on
the rainfall duration. They are estimated from rainfall observations by subdividing
the rainfall record into overlapping intervals of a given duration. Annual maxima for aver-
age rainfall intensities over each of the selected intervals can be ranked. Based on these
rankings one can then calculate the conditional return period corresponding to each
intensity value (see Sivapalan & Bloeschl 1998).
IDF curves are based on several major assumptions: (1) for a given duration the
heaviest rainfall recorded in a calendar year is part of a statistically independent series;
Rainfall in arid and semi-arid regions 41
(2) for durations between 5 minutes and 72 hours, each annual series of heaviest rainfall is
distributed according to a statistical distribution; (3) the observed record is representative
of long-term conditions; and (4) there are no long-term trends in the local climate.
The IDF curves developed for individual locations apply to point rainfall and are
applicable to areas up to 4 km
2
; for larger areas they over-estimate average rainfall inten-
sity. Catchment IDF curves have a lower mean and variance and are flatter in appearance
than the corresponding point curves (Sivapalan & Bloeschl 1998). Areal reduction factors
are therefore required, which are empirically derived functions of catchment area and
storm duration (see WMO 1994, p. 405).
2.8.5 Depthareaduration analysis
As the catchment size increases the point rainfall becomes less representative of catch-
ment rainfall. This fact is recognized in the WMO manual for DepthAreaDuration
(DAD) analysis (WMO 1969). The purpose of DAD analysis is to determine the
maximum amounts of precipitation that occur over various sizes of drainage area during
standard passages of time or storm periods in hours or days.
DAD analysis is often important in the design of engineering structures such as
spillways, detention basins or major bridges, in order to determine extreme precipitation
values that have a very low probability of being exceeded. The costs of failure with such
structures may be considerable. Storm rainfall analysis expresses the depthareaduration
characteristics of rainfall from a particular storm. The depth is usually defined for various
combinations of enveloping area and duration, and is usually portrayed by tables and cur-
ves. This provides useful information for the design of spillways and other minor structures
(see WMO 1994).
DAD analysis is also used in many engineering and planning situations where design
may be based on an event with a specified exceedance probability, the inverse of which
is the return period. Two methods are used in DAD analysis: (1) the mass-curve method,
and (2) the incremental isohyetal method. The first involves the construction of mass-
curves for individual stations, an average mass-curve for the entire area and the
construction of one isohyetal map for the total storm rainfall. The incremental isohyetal
method involves the construction of a number of isohyetal maps. Areas enclosed by each
isohyet are then evaluated by planimeter (or by computer if using a Geographical
Information System), and the resulting values plotted on a graph of area versus depth with
a smooth curve drawn for each duration. Sets of DAD curves have thus been developed
which can be used to convert point rainfall (at the storm centre) to areal rainfall (see WMO
1994, p. 411).
2.8.6 Probable maximum precipitation
One of the more widely used, yet controversial concepts is that of Probable Maximum
Precipitation (PMP), which refers to the quantity of precipitation that approximates the
upper limit for a given duration for a particular location, at a specified time of year and
over a particular basin. PMP is thus an estimate of the maximum storm event that could be
expected to occur from the most severe combination of critical meteorological conditions
that are reasonably possible in the region under consideration. PMP is used as input to
42 Understanding water in a dry environment
hydrological models to provide an indication of the largest flood that could occur in a
particular drainage basin. Methods for estimating PMP are described in considerable
detail in the WMO Manual for the Estimation of Probable Maximum Precipitation
(WMO 1986).
The storm size and duration appropriate for a given situation are determined by the size
and location of the drainage basin of interest. For small areas of less than 1000 km
2
and for
periods up to 3 or 6 hr, depending on location, it may be assumed that extreme rainfall is
produced by large, efficient and virtually stationary thunderstorms. This is not universally
true in drier regions and the assumption may therefore cause considerable difficulties in
determining PMP in (semi-)arid regions. In general, the validity of the above assumption
depends on the synoptic conditions and the nature of the topography. Its extension to
larger regions and longer periods will present considerable uncertainty. PMP estimates for
large areas and longer duration thus require input from experienced hydrometeorologists
to allow for different moisture charges, synoptic variations and terrain differences.
2.8.7 Rainfall intensity analysis
Sharon (1972b) has described spatial analysis of rainfall data and discusses the use of
correlation analysis to obtain a generalized quantitative assessment of the extent of rain
spottiness, especially in arid regions. Correlation analysis is particularly useful for
localized rainfall (see Sharon 1974a). Elsewhere, Sharon (1974b) describes the use of a
correlationdistance relationship to assess the mesoscale structure of the short-term
rainfall distribution in a semi-arid region of Tanzania, based on daily rainfall totals from
existing network stations.
The need for improved rainfall intensity data in semi-arid and arid regions has been
stressed in papers by Morin and Sharon (1993) and Morin et al. (1994), who outline the
development of a national data base on rainfall intensities for use in a wide range of water
management applications including erosion, flood control and water harvesting. Another
aspect of rainfall intensity analysis that has received some attention is the issue of actual
rainfall intensity on sloping soil surfaces. Sharon (1980) has noted that rain in mid-
latitudes falls at considerable inclination, and has described differences in the hydro-
logical and erosional response of different slopes (see also Sharon et al. 1983).
2.9 CLIMATIC VARIABILITY AND CHANGE
Numerous arid and semi-arid areas face serious environmental and agricultural problems,
many of which are fundamentally linked to hydrology and climate variability. Under-
standing the weather and climate systems that deliver hydrological variability may thus
contribute to effective management of those problems. Studies of temporal rainfall vari-
ability in semi-arid regions include papers by Yatagai and Yasunari (1995) for China and
Mongolia and by Shinoda (1990, 1992) for semi-arid regions of tropical Africa.
Much research has focused on the understanding of teleconnections such as the El Nino
Southern Oscillation (ENSO) and other modes of variability. The following discussion
attempts to summarize recent research of relevance to hydrological variability on multiple
time scales.
Rainfall in arid and semi-arid regions 43
2.9.1 El Nino southern oscillation
The phenomenon known as the El Nino/Southern Oscillation (ENSO) has long been
shown to produce significant temporal and spatial variability of weather phenomena
(Walker 1923; Philander 1990). The occurrence of warm and cold temperature anomalies
in the Equatorial Pacific Ocean, which induce El Nino and La Nina events, are shown to
significantly impact the distribution of rainfall in many parts of the globe. Numerous
studies have investigated the historical correlation between ENSO phenomena and time
series of rainfall (e.g. McBride & Nicholls 1983; Ropelewski & Halpert 1986; Stone &
Auliciems 1992), river flows and runoff (e.g. Simpson et al. 1993; Chiew et al. 1998;
Piechota et al. 1998; Wooldridge et al. 2001). Regional studies linking ENSO and rainfall
in semi-arid regions include the work of Lucero (1998), Shinoda and Kawamura (1996)
and Hutchinson (1992).
2.9.2 Measures of the southern oscillation
A widely used index of ENSO phenomena is the Southern Oscillation Index (Troup 1965).
The SOI is the standardized difference between mean sea level pressures (MSLP),
measured between Darwin and Tahiti. The SOI is defined as: SOI 10
*
(P
diff
P
diffav
)/
SD (P
diff
), where P
diff
(average Tahiti MSLP for the month) (average Darwin MSLP
for the month), P
diffav
long-term average of P
diff
for the month in question, and
SD(P
diff
) standard deviation of P
diff
for the month in question.
The SOI displays quasi-periodic dynamics associated with the occurrence of ENSO.
This periodicity of the ENSO is typically about 36 years (Trenberth 1976), though
significant high-frequency fluctuations are also observable in the record. It should be noted
that any adopted measure of ENSO is purely an index of the phenomenon and that other
indices of the same phenomenon could be adopted (see e.g. Trenberth 1976; McBride &
Nicholls 1983). As noted by Trenberth (1976), the use of specific stations for deriving an
SOI means that they represent not only ENSO dynamics, but also local and transient
features. As such, any index must be an imperfect measure of ENSO-related phenomena.
The availability of historical sea surface temperature (SST) records (e.g. Bottomley
et al. 1990) has enabled alternative measures of ENSO phenomena. SST anomalies over
specific areas of the East Equatorial Pacific Ocean are aggregated and provide more direct
indices of the ENSO extremes. However, the use of specific areas to compile these indices
is somewhat subjective, and hence multiple SST-based and composite ENSO indices have
been derived. It is likely that different geographic areas may show a range of correlations
to different SST-based indices. These may be more representative of ENSO effects in
comparison with the Troup SOI index, as the constituent data are actual measures of the
ocean anomalies. Figure 2.7 shows the different areas of the equatorial Pacific used for
different ENSO indices, whilst Figure 2.8 indicates the differences in their time series for
19811991.
More recently, another ENSO monitor termed the Multivariate ENSO Index (MEI) has
been developed (Wolter & Timlin 1993, 1998). The MEI is derived from multiple climate
parameters and aims to reflect the nature of the coupled oceanatmosphere system better
than either the SOI or SST-based indices. In an application to Australian rainfall and
runoff prediction, results suggest that the MEI outperforms other available indices (Kiem
& Franks 2001). This is because the MEI integrates more information than other indices
and is less vulnerable to non-ENSO related variability in a single variable.
44 Understanding water in a dry environment
2.9.3 Empirical approaches to assessing the influence of the southern oscillation
Empirical studies are easily achieved through relating historical rainfall records to ENSO
indices, though this may be achieved in different ways. McBride and Nicholls (1983)
investigated the linear correlation between monthly SOI and rainfall records for 92 rain
gauges across Australia. The strength of the linear correlation was then taken as a meas-
ure of the influence of ENSO on rainfall regimes. An alternative approach is to investigate
the probability distributions of monthly rainfall totals after stratifying the rainfall
record according to different periods of ENSO activity. Studies have employed simple
classifications of ENSO according to El Nino (warm), La Nina (cold) and neutral phases.
160E 150W 90W
10S
Nio 2
Nio 1
Nio 3
Nio 3.4
Nio 4
0
Figure 2.7. Equatorial Pacific regions used for various SST-based ENSO indices (after Glantz
et al. 1991).
4
3
2
1
0
-1
-2
-3
-4
Dec-81 Dec-83 Dec-85 Dec-87 Dec-89
Time
4
3
2
1
0
-1
-2
-3
-4
Nio 3
Nio 4
SOI/10
S
O
I
/
1
0
N
i
o
3
-
N
i
o
4
S
S
T
a
n
o
m
a
l
y
Figure 2.8. Time series of Nino 3, Nino 4 and SOI ENSO-indices.
Rainfall in arid and semi-arid regions 45
Stone and Auliciems (1992) found further insight into expected rainfalls by subdividing
ENSOactivity into five classes (phases) of the SOI. The additional phases, namely increas-
ing and decreasing SOI, were identified through a cluster analysis approach.
Irrespective of the choice of classification scheme, the advantage of probabilistic
analyses over linear models lies in the acknowledgement that the coupling between
ENSO phenomena and rainfall production may not necessarily be linear. The SOI is an
approximate measure of the complex ENSO cycle, and both the atmosphere and oceans
display markedly non-linear behavior. ENSO phenomena are therefore non-linearly
coupled to rainfall processes. A low linear correlation between SOI and rainfall does not
mean that ENSO phenomena do not affect rainfalls. A probabilistic approach requires
no such assumption of linearity, and hence must be preferable for revealing the influence
of ENSO.
Figure 2.9 shows a comparison of the linear and probabilistic approaches in assessing
the role of ENSO. As can be seen, a weak linear trend may not truly reflect the nature of
ENSO control on local rainfalls, nor does it indicate the utility of the relationship.
2.9.4 ENSO-induced hydrological variability
Whilst many semi-arid areas will show significant correlation between ENSO and
monthly rainfalls in particular seasons, the true worth of ENSO-rainfall correlation in
hydrological practice cannot be fully appreciated without a corresponding analysis of
streamflow generation. This is necessary for a number of reasons.
First, different antecedent moisture conditions in a catchment might lead to enhanced
runoff variability relative to the ENSO-induced monthly rainfall variability alone. Hydro-
logical processes are highly non-linear and thus rainfall variability can be accentuated in
the resultant runoff. Second, it has been shown that whilst ENSO processes can be
correlated to monthly rainfall totals, rainfall intensities can also be significantly affected
(Franks 1998). Since rainfall intensity is a key parameter in the production of infiltration
excess overland flow, enhanced intensities will lead to enhanced runoff production.
Additionally, reduced rainfall intensities may lead to increased evaporative losses through
interception and enhanced groundwater recharge. Finally, ENSO processes also affect
atmospheric evaporative demandhigher demands must be associated with drier
conditions and with fewer rain days. It is therefore clear that non-linear hydrological
processes may in many circumstances produce enhanced variability in the translation of
rainfall to runoff. It is also worthwhile to note that ENSO phases may affect demand for
water provision.
A recent study by Wooldridge et al. (2000) has shown how these factors interact to
enhance runoff variability relative to rainfall variability. Figure 2.10 shows the variability
of streamflow and the runoff coefficient (Q/R) periods for the Chichester Dam site using
the phase approach (see Figure 2.9b for corresponding rainfall variability). These plots
indicate that whilst rainfall varies in terms of the medians by approximately a factor of
two, runoff variability is approximately a factor of four.
Figure 2.11 shows daily rainfall intensities for different phases of the SOI. As can be
seen, for the site illustrated there is a likelihood of high daily intensities for the cool phase
(La Nina) of the ENSO cycle.
46 Understanding water in a dry environment
2.9.5 Secular variability of climate and ENSO phenomena
Typical approaches to the investigation of ENSO coupling with hydrological variability
implicitly assume that any correlation is/will be stationary in time. However, it is well
known that marked secular changes in climate have occurred on multi-decadal time scales
(e.g. Allan et al. 1995; Janicot et al. 1996; Dai et al. 1997, 1998; Nigam et al. 1999). Such
secular variability in climate may change associations between ENSO and corresponding
rainfalls.
(a)
(b)
Y = M0 + M1*X
Figure 2.9. Comparison of: (a) linear, and (b) probabilistic approaches in assessing the role of
ENSO.
Rainfall in arid and semi-arid regions 47
(a)
(b)
Figure 2.10. Variability of: (a) Stream flow, and (b) runoff coefficient (Q/R) periods for the
Chichester Damsite using the phase approach (see Figure 2.9b for corresponding rainfall variability).
Figure 2.11. Daily rainfall intensities for the different phases of the Southern Oscillation Index
(SOI), indicating the possibility of enhanced hydrological variability.
48 Understanding water in a dry environment
The correlation between summer Sahel rainfalls and ENSO events was investigated by
Janicot et al. (1996). They showed that strong associations between ENSO and drought
were present after 1970, and that this coupling could be related to differences in Pacific
and Atlantic Ocean SST anomalies. Dai et al. (1998) examined global variations in
droughts and wet spells over the last century using the Palmer Drought Severity Index
(PDSI). Their results indicated marked increases in drought area since the late 1970s;
these changes were especially marked over the Sahel region. It was also inferred that the
global increases were related to a general increase in the occurrence of El Nino events and
also corresponded to record high global mean temperatures.
Investigating changes across Australia, Allan et al. (1995) attributed shifts in regional
climate to changes in long-term Indian Ocean sea surface temperatures. It has recently
been suggested that this shift led to a step change in flood frequency across New South
Wales of, on average, a factor of two (Franks & Kuczera 2001). The key role of the Indian
Ocean in modulating ENSO effects over Southern Africa has also been demonstrated by
Landman and Mason (1999). Power et al. (1999) examined ENSO rainfall predictability
against low frequency Indian and Pacific Ocean SST anomalies (the Inter-decadal Pacific
Oscillation, or IPO). Using data from over 100 rain gauges from around Australia, they
subsequently demonstrated variable predictability of rainfall during the periods of
different IPO phase (positive and negative anomalies). Similarly, Gershunov and Barnett
(1998) and McCabe and Dettinger (1999) have shown how ENSO correlations with
American rainfalls vary on multi-decadal time scales. The changing correlations vary in
accordance with long-term multi-decadal persistence in both North Pacific sea surface
temperatures (named the Pacific Decadal Oscillation or PDO; see Mantua et al. 1997) and
sea level pressures (Minobe 1997, 1999). The changes in IPO and PDO occur in the mid-
1940s and then in the early to mid-1970s, in line with global warming and cooling trends
observed over the last century (Franks 2002).
Intuition suggests that persistent large scale SST anomalies of this nature must influence
regional climates. Despite the observed changes in mid-latitude anomalies, exact causal
mechanisms have not yet been proven. Previous studies have raised the prospect that some
of the observed multi-decadal variability in the Pacific might arise fromocean-atmosphere
interactions, a response of the ocean to essentially stochastic atmospheric forcing, or
oscillations between tropical and extra-tropical regions of the ocean (e.g. Latif & Barnett
1994; Gu & Philander 1997; Minobe 1999). Other authors have suggested that band-
specific solar variability may play a significant role through complex solar-terrestrial
interactions (see for instance Reid 1999). In any case, given the key role of the oceans
in determining general circulation and global weather patterns, and the overall general
warming observed over the last century, stationarity of ENSO phenomena cannot be
guaranteed. Correlations may therefore increase or decrease with time under different
climate states. Nonetheless, quantification of ENSO effects can prove useful for water
resource and environmental management especially in marginal areas.
2.9.6 Assessing future hydro-meteorological regimes under a changing climate
It must be conceded that changes of climate state in (semi-)arid regions do occur.
Climate shifts may occur naturally, but future shifts may be additionally affected through
anthropogenic influences. In any case, hydrologists must adapt their perspectives under
the uncertainty of changed climate regimes. If a climate is undergoing a fundamental
Rainfall in arid and semi-arid regions 49
change, then by definition the regime of a given area will not necessarily correspond to
that which applied historically. The derivation of rainfall/climate parameters based on
historical records may therefore not be adequate for future hydrological application. To
acknowledge that the future climate may not correspond to that historically observed must
ultimately raise the question of whether purely empirical approaches to hydrological
water resource management can be sufficient. The understanding of multi-temporal scale
climate variability may point to mechanisms that could improve concepts of climate risk.
Reliable historical data sets remain of great utility, however, as they provide a mechanistic
understanding of rainfall generation processes at individual locations. General Circulation
Models (GCMs) are a key scientific tool in the understanding and prediction of future
climates. However, at present they have many shortcomings, including inadequate treat-
ment of landocean interactions, inherently uncertain descriptions of sea ice processes,
and coarse representation of land surface and rainfall processes. Given the uncertainty of
methods for predicting the future, better understanding of multi-scale climate processes
remains a key feature of hydrological and multi-disciplinary research.
2.10 CONCLUSIONS AND RECOMMENDATIONS
The introduction (Section 2.1) notes that dry climates prevail over 30% of the earths land
surface. The dry climates of arid and semi-arid regions are associated with very limited
rainfall, which is characterised by extreme temporal and spatial variability due to con-
siderable variety in synoptic controls, prevailing weather patterns and rainfall mech-
anisms. Water resource management in these regions requires good knowledge of water
resources in all phases of the hydrological cycle. However, meteorological observation
and rainfall measuring systems in arid and semi-arid regions are often not very well
developed. Rainfall information is frequently inadequate, and records are rarely of
sufficient duration to fully assess the impact of climatic variability in dry regions.
Recommendations
Conventional rainfall observing systems in arid and semi-arid regions must be
improved.
New rainfall monitoring technologies, particularly those involving remote sensing,
must be developed and applied in regions with dry climates.
Section 2.2 describes how precipitation involves the condensation of water vapour into
liquid or solid water that will fall onto the land surface. This condensation occurs when air
laden with water vapour cools to dew point or below it. The cooling involves adiabatic
lifting of large air parcels. The key cooling processes are orographic lifting, convergence
and frontal lifting, and the associated major rainfall types are convectional, orographic
and cyclonic rainfall.
Rainfall thus depends on synoptic scale processes as well as the presence or absence of
water vapour and/or rain inducing substances. Important mesoscale effects include terrain
and orographic effects as well as the presence and proximity of substantial water bodies.
It is also noted that advective inflow of humid air into arid and semi-arid regions with
suitable meteorological conditions may result in dew fall and fog, which may provide
important inputs affecting hydrology and agriculture in those regions.
50 Understanding water in a dry environment
Finally, a brief reference is also made to the long history of attempts at precipitation
augmentation through cloud seeding. As yet, however, there is no worldwide consensus
on the importance of cloud seeding as a water resources management tool.
Recommendations
Research is needed to investigate how orography and distance from substantial water
bodies such as seas and large lakes affect rainfall in arid and semi-arid regions.
Fog collection in arid and semi-arid regions can be utilized to supply domestic water
to small villages, as well as provide water for reforestation and agriculture.
Further studies will be required to assess the potential of cloud seeding for water
resources management in selected dry regions.
Section 2.3 describes general circulation aspects and the global distribution of dry
climates. Most of the worlds desert and steppe climates lie between 10
and 35
N and S,
and are controlled by the eastwest elongated subtropical belt of high-pressure cells.
These cells are characterised by subsidence resulting in stable, dry air masses with limited
rainfall and near surface divergence. Subtropical regions with maximum variability in air
subsidence are often called semi-deserts, whereas regions with minimum variability are
true desert regions. In addition, there are vast areas of the world bordering on the
subtropical high-pressure belt that receive their precipitation in one season of the year.
This generalized model of atmospheric circulation indicates that low pressure prevails
near the equator and high pressure in the subtropics. At higher latitudes there are eastward
moving, alternating high- and low-pressure systems. Low-pressure areas are associated
with surface convergence and ascending air motion, with a strong likelihood of precipita-
tion, whereas high-pressure systems show descending air masses with clear skies and dry
weather. It should also be noted that seasonal differences in the thermal contrasts between
land areas and ocean areas may cause significant regional reversals in airflow and air mass
properties that may impact on rainfall in arid and semi-arid regions.
Recommendation
There is a need for increased awareness of seasonal variations and longitudinal dif-
ferences in general circulation patterns over most continental areas.
General circulation patterns define large-scale climatic conditions, whereas mesoscale
studies address inter-regional variability imposed on such broad patterns. In Section 2.4
mesoscale atmospheric systems are divided into synoptically-induced and terrain-induced
mesoscale systems.
Synoptically-induced mesoscale systems are primarily forced by instabilities of travel-
ling larger-scale disturbances. It is noted that convective cloud systems produce most of
the rain in arid and semi-arid regions. Superimposed on the general circulation patterns of
the tropical atmosphere and its regular seasonal variations (monsoons) are transient low-
pressure systems. Cyclones are vigorous tropical disturbances which develop over oceans
at latitudes >5
. Over land they become tropical lows or depressions that can bring
significant rainfall to arid and semi-arid regions.
Terrain-induced mesoscale systems are due to non-homogeneities in topography, land
cover and surface hydrology, which may lead to mesoscale circulations and may hence act
as regional and local scale causes of rainfall variability. Numerous studies have addressed
biophysical feedback between land surface properties such as albedo, surface roughness
Rainfall in arid and semi-arid regions 51
and soil moisture. However, it is noted that numerical studies on the impact of land use
changes such as deforestation on local or regional scale rainfall are difficult to validate in
the absence of adequate observational data.
Recommendation
Experimental data must be obtained for the validation of numerical predictions of the
impact of changes in land surface properties on rainfall at local and regional scales.
Section 2.5 describes the rainfall regimes in Australia and Israel. Significant differences
exist between these countries in the scale of rainfall studies that reveal differences in
the impact of large- and mesoscale climate systems and local controls. The climate of
Australias arid and semi-arid zone is controlled by the regular west to east passage
of anticyclones across the continent and the seasonal migration in the location of the tracks
of these anticyclones. In summer, southward penetration by humid tropical air masses
associated with the northwest monsoon and (especially in late summer) tropical cyclones
may bring significant rain to regions north of latitude 30
t
0
,
_
1
The shear stress t
0
is generally taken as constant for the inner region of the ABL; it
appears that this is a sufficiently precise assumption for heights up to 100 m above the
surface.
smooth bluff-rough permeable-rough
dynamic sublayer
(logarithmic profile)
(logarithmic profile with
stability corrections)
outer region or defect sublayer or Ekman layer
free atmosphere
inner region
or
surface sublayer
5002000 m
50100 m
0.01 1 m
interfacial sublayer
(viscous, roughness
or canopy sublayer)
Figure 3.1. Sketch showing simplified sublayers of the Atmospheric Boundary Layer (after
Brutsaert 1982). The heights in m indicate the variable height of the boundaries (not to scale).
68 Understanding water in a dry environment
The nature of wind speed change with elevation has been investigated extensively since
the 1920s and was first introduced in meteorology by Prandtl (1932). Results are usually
expressed as:
u
z d" u,dz
k 2
It was found experimentally that the left-hand side of eqn. (2) is constant k, which is
referred to as Von Karmans constant and is usually taken as 0.41. The logarithmic wind
profile equation follows immediately from integration of eqn. (2):
u
2
u
1
u
k
ln
z
2
z
1
_ _
3
where the subscripts refer to two levels in the dynamic sublayer. The level at which u
1
becomes zero is called the momentumroughness length z
om
, and eqn. (3) is then written as:
u
u
k
ln
z
z
om
_ _
4
The momentum roughness length may be visualized graphically as the zero velocity
intercept of the straight line resulting from a semi-logarithmic plot of mean velocity data
versus elevation (see Figure 3.2).
In the case of rough surfaces there is some ambiguity concerning the reference level
z 0 as used in eqns. (2)(4). For very sparsely spaced roughness elements on a flat plane
this level can be taken at the level of the plane. However, as these roughness elements
become denser, the top of the zero level has to be placed closer to the top. In practice this
difficulty is solved by introducing a displacement distance d. The reference level (z 0)
is at the base of the roughness elements, and the wind speed is zero at z d z
om
. The
variable (z d) is then used instead of z in eqns. (2)(4). For example, eqn. (4) becomes:
u
u
k
ln
z d
z
om
_ _
5
1 2 3 4
u (ms)
1
l
n
(
z
)
6
4
2
2
4
6
ln(z
om
) = 4.41
z
om
= 0.012 m
Figure 3.2. Example plot of mean wind speed against ln(z). The intercept with the vertical axis
leads to z
om
0.012 m.
Operational solutions of actual evapotranspiration 69
Figure 3.3 illustrates the situation for a crop of height h. The displacement height d is
then usually taken as 0.7 or 0.8 times h. The wind speed becomes zero at d z
om
.
3.2.4 Mean specific humidity and temperature profiles
The approach that led to eqns. (2)(5) can now be used to derive expressions for the mean
specific humidity and temperature profiles. In the dynamic sublayer these are passive
admixtures of the air and do not affect the dynamics of flow. As opposed to wind speed
and momentum, which are vectors, humidity and temperature are scalar quantities. The
same holds for CO
2
transport.
Through application of the same principles as used in establishing eqn. (2) (Reynolds
analogy), the specific humidity gradient q can be related to the water vapour flux E by:
E
, u
z d d" q,dz
k
v
6
where k
v
a
v
k is Von Karmans constant for water vapour. It has been found that a
v
is
usually close to unity, and the difference between k
v
and k will therefore be ignored.
Integrating eqn. (6) between two arbitrary levels z
1
and z
2
within the dynamic sublayer
yields:
q
1
q
2
E
k, u
ln
z
2
d
z
1
d
_ _
7
If q
s
is the value of q at the surface, the profile can also be written as (see eqn. 5):
q
s
q
E
k, u
ln
z d
z
ov
_ _
8
where z
ov
is the water vapour roughness length. The integration constant z
ov
can be
visualized as the level above the displacement distance d, where the mean specific
h
e
i
g
h
t
z
wind speed u
log( )
=
u
*
k
crop height h
d = 0.7h
d z
om
zd
z
om
u
Figure 3.3. Vertical distribution of wind speed over a vegetated surface of height h. The profile
follows the logarithmic distribution of eqn. (4). The zero plane displacement d is about 0.7h. The
wind speed becomes zero at d z
om
.
70 Understanding water in a dry environment
humidity q would assume its surface value if the logarithmic profile were extrapolated
downward. It should be noted that z
ov
has no real physical meaning, because close to the
surface diffusive processes prevail and the assumptions underlying eqns. (6)(8) with
regard to turbulent transport are no longer valid.
Similar procedures for temperature profiles are followed, with the exception that
potential temperature 0 is used rather than air temperature T:
0 T z 9
where is the dry adiabatic lapse rate (0.01 km
1
). Because of its low value the difference
between and T can be ignored in many applications.
The expression for the temperature profile is similar to the relation for specific humidity
(eqn. 6):
0
1
0
2
H
k, c
p
u
ln
z
2
d
z
1
d
_ _
10
or
0
s
0
H
k, c
p
u
ln
z d
z
oh
_ _
11
where H is the sensible heat flux as a result of temperature differences in the profile and
z
oh
is the roughness length for sensible heat. The same comments hold for z
oh
as for z
ov
.
Close to the surface, diffusive rather than turbulent processes prevail and care should be
taken in attaching a physical meaning to z
oh
. The determination of a representative surface
temperature 0
s
or T
s
is a difficult practical problem, especially with infrared sensor
techniques. This aspect is further discussed in Section 3.7.
3.2.5 Stability corrections in the surface sublayer
Above the dynamic sublayer the stability of the atmosphere needs to be considered; that is,
the effect of buoyancy resulting from the effective vertical density gradient. The common
way to include stability corrections is through introduction of a variable L, the stability
length, as was first proposed by Monin and Obukhov (1954). This variable was defined by
similarity theory through dimensional analysis of the variables involved:
L
u
3
, c
p
T
a
kgH
12
A more precise formulation is (Brutsaert 1982):
L
u
3
,
kg
H
c
p
T
a
_ _
0.61E
_ _
13
However, eqn. (12) is often used instead of eqn. (13). After introducing the dimen-
sionless variable as:
z d
L
14
Operational solutions of actual evapotranspiration 71
the expressions for wind speed, water vapour and temperature become:
kz d
u
du
dz
c
sm
15
k, u
z d
E
dq
dz
c
sv
16
k, c
p
u
z d
H
d0
dz
c
sh
17
After integrating eqns. (15), (16) and (17) the following set of equations is obtained:
u
2
u
1
u
k
ln
1
_ _
sm
2
sm
1
_ _
18
q
1
q
2
E
k, u
ln
1
_ _
sv
2
sv
1
_ _
19
0
1
0
2
H
k, c
p
u
ln
1
_ _
sh
2
sh
1
_ _
20
Note that the overbars in these equations have been left out for convenience; averaging is
implied in the remainder of this chapter. The functions are defined as:
_
1 c
_ _
d 21
Much experimental work has been done to determine the proper c and functions for
different meteorological conditions, and a distinction is usually made between stable
conditions, prevailing at night, and unstable conditions that arise from the strongly
convective conditions normally encountered during the day. Under unstable conditions
heat flow is away from the surface, while under stable circumstances heat flow is towards
the surface. Under neutral conditions in the dynamic sublayer the c functions are equal to
unity, and the equations reduce to those of the mean logarithmic profiles discussed above.
Unstable conditions
Several experimentally determined forms of the c functions exist; one common choice is:
c
sv
c
sh
c
2
sm
1 16
1,2
22
where the following -functions are found when using eqn. (22) in the evaluation of eqn.
(21):
sm
2 ln
1 x
2
_ _
ln
1 x
2
2
_ _
2 arctanx ,2 23
sv
sh
2 ln
1 x
2
2
_ _
24
72 Understanding water in a dry environment
and x is defined as:
x 1 16
1,4
25
Stable conditions
Some discrepancies exist between various experimental results, and many forms of c are
suggested in the literature. It appears, however, that fluxes are small under stable
conditions and the exact form of these relations is not critical. For practical work it was
suggested by Brutsaert (1982) to use:
c
sv
c
sm
c
sh
1 5 for 0 < < 1
c
sv
c
sm
c
sh
6 for 1
26
3.2.6 Applications
Suppose that wind measurements are taken at a level z
1
, and measurements of temperature
at levels z
1
and at the surface (z d 0). Suppose further that neutral conditions prevail,
and therefore stability corrections do not have to be made. Equations (5) and (11) then
allow determination of u
and H. First u
ku
ln
z
1
d
z
om
_ _
27
and H is then determined by substitution of eqn. (27) into eqn. (11) as:
H
k
2
, c
p
u T
s
T
1
ln
z
1
d
z
om
_ _
ln
z
1
d
z
oh
_ _
28
This can be done provided, of course, values for z
om
, z
oh
and d have been determined
beforehand. The surface roughness for ordinary farm grassland is usually much smaller
than 0.1 and may range up to 0.5 for dense forests. The values for z
oh
show much more
variability (see for example, Sugita and Brutsaert 1990; Verhoef et al. 1997). For
reference crop evapotranspiration (Allen et al. 1998), z
oh
is normally taken as 0.1z
om
. The
logarithmic ratio of roughness lengths for momentum and heat is defined as kB
1
:
kB
1
ln
z
om
z
oh
_ _
29
For a ratio of 10 this gives kB
1
2.3. Much higher values may be found especially in
semi-arid areas and, moreover, these show distinct diurnal and seasonal variability. The
interpretation of z
oh
still appears unclear in many field situations.
Equation (28) is used in the PenmanMonteith formulation (Allen et al. 1998) for
reference crop evapotranspiration through the definition of sensible heat H as:
H , c
p
T
s
T
a
r
ah
30
Operational solutions of actual evapotranspiration 73
where T
a
is the air temperature at height z and r
ah
is defined as the aerodynamic resistance
to heat transport. Comparing eqn. (28) with eqn. (30) leads to:
r
ah
1
k
2
u
ln
z d
z
om
_ _ _ _
ln
z d
z
oh
_ _ _ _
31
If the stability corrections are used in formulating the profile equations, then eqn. (28)
changes to:
H
k
2
, c
p
u T
s
T
z
ln
zd
z
om
_ _
sm
zd
L
_ _
_ _
ln
zd
z
oh
_ _
sh
zd
L
_ _
_ _
32
Since L depends on H through eqn. (13), eqn. (32) is an implicit equation in H, which is
usually solved by iteration.
Note that the water vapour flux E can in principle be solved in the same way as the
sensible heat flux H, for example by combining eqns. (8) and (5) for neutral atmospheric
conditions.
3.3 SURFACE ENERGY BALANCE
3.3.1 Introduction
Evaporation of water uses energy, and when evaporation and transpiration take place from
natural water or land surfaces this energy is primarily supplied by the suns radiation. The
energy required is determined by the latent heat of evaporation l
v
, which is a function of
the evaporating surface temperature:
l
v
2.501 2.361 10
3
t 33
where t is in
C and l in MJ kg
1
. The latent heat LE required for evapotranspiration is
related to the evaporation rate E by:
LE ,
w
l
v
E 34
where LE is expressed in Wm
2
if E is in ms
1
, l
v
in J kg
1
and ,
w
in kg m
3
.
However, part of the available solar energy escapes from the surface as sensible heat H
into the atmosphere, heating the overlying air. Another part heats the surface itself and
flows down below the surface. This partitioning of available energy can be written in the
form of a balance equation as:
LE R
n
G H A Q,t 35
where LE is the latent heat, R
n
the net radiation, G is soil heat flux, A the laterally
advected energy at the surface and Q is the change in energy at the surface during
time t.
Equation (35) is not only the starting point for the well-known Penman formulae for
determining reference crop evapotranspiration, but is also a crucial element in many
modern methods to determine actual evapotranspiration by remote sensing.
74 Understanding water in a dry environment
3.3.2 Net radiation R
n
Net radiation is the sum of all incoming and outgoing radiation (see Figure 3.4). This term
is usually split into short- and long-wave components. Net short-wave radiation is defined
as the incoming short-wave energy at the surface minus the reflected outgoing short-wave
radiation. The relation is given in simplified form by:
K
net
1 ctK
sun
36
where t is the atmospheric absorption coefficient, c the surface albedo (Brest & Goward
1987) and K
sun
the extra-terrestrial solar radiation (depending on latitude and day of the
year). The astronomical formulae to determine K
sun
are comprehensively detailed in
FAO-56 (Allen et al. 1998), while the atmospheric transmission coefficient t is tradition-
ally determined on a daily basis from Angstroms formula, which makes use of the frac-
tional sunshine duration n/N: K
24
(a bn,N)K
24exo
.
If t has to be determined for a particular time of day, then the incoming radiation
has to be measured (usually by pyranometer or net radiometer). For reference crop evapo-
transpiration calculations the albedo c is defined as 0.23.
Net long-wave radiation can be expressed as:
L
net
L
in
L
out
1
s
L
in
37
The outgoing long-wave radiation is determined by StefanBoltzmanns Law as a
function of surface temperature and emissivity, while incoming long-wave radiation is
determined from the air temperature and emissivity. For complete sets of equations see
Absorbed by
water vapour,
dust, O
3
Space
Atmosphere
Ocean, Land surface
Absorbed
by clouds
Incoming
Solar
Radiation
Outgoing Radiation
Shortwave Longwave
Net emission
by water vapour
CO
2
, O
3
Emission
by clouds
Absorption
by clouds
water vapour
CO
2
, O
3
Absorbed
Back
scattered
by air
Reflected
by clouds
Reflected by
surface
incoming
longwave
radiation
Net
Longwave Radiation
Latent
heat flux LE
Sensible
heat flux H
K
L
Figure 3.4. Simplified SurfaceAtmosphere Energy Exchange, showing main long- and short-
wave radiation components, sensible heat flux H and latent heat flux LE. The main balance
equation is LE R
n
G H, where incoming components are positive and outgoing are counted
as negative. The net radiation is the sum of the incoming and outgoing short- and long-wave
components R
n
K
in
K
out
L
in
L
out
1
s
L
in
.
Operational solutions of actual evapotranspiration 75
Allen et al. (1996) or FAO-56 (Allen et al. 1998). In summary:
L
out
s
oT
4
s
38
where
s
and T
s
are respectively, the surface emissivity and temperature. The constant o is
the StefanBotzmann constant, which is equal to 5.67 10
8
Wm
2
K
4
, and:
L
in
0
o T
4
a
39
where
0
is the atmospheric emissivity and T
a
the air temperature at the measuring height.
Empirical formulae to calculate L
net
on a daily basis are given in FAO-56.
3.3.3 Sensible heat H
The upward rate of sensible heat exchange H is usually given in the form already
discussed in the previous section (eqn. 31):
H , c
p
T
s
T
a
r
ah
40
with the aerodynamic resistance r
ah
given by eqns. (31) or (32).
When using the energy balance approach to estimate evapotranspiration it is often
useful to use the Bowen ratio u, defined as:
u
H
LE
41
The latent heat of evapotranspiration can be written in the same form as eqn. (40), as a
function of the difference between the saturated- and actual vapour pressures e
s
and e
a
.
Moreover, the aerodynamic resistances are the same for transport of heat or water vapour,
and therefore the Bowen ratio is often written as:
u
T
s
T
a
e
s
e
a
42
where is the psychrometric constant, defined as:
c
p
P
l
43
where at sea level c
p
1.013 kJ kg
1
K
1
for moist air, P101.3 kPa (at one
atmosphere), 2.453 MJ kg
1
at 20
2
)
R
n
R
n
E
E
H
H
G
400
300
4 8 12 16 20 24
F
l
u
x
(
W
m
2
)
(a)
(b)
Figure 3.5. Diurnal variation of net radiation R
n
, turbulent sensible- and latent heat fluxes H and
LE, and soil heat flux G under cloudless skies for a sparse maize crop. Observations are from
Noilhan & Planton (1989). Schematic flux diagram as often used (Allen et al. 1998).
78 Understanding water in a dry environment
net radiation, the following relation holds approximately for the actual daily
evapotranspiration:
ET
24
R
n24
47
Use of the evaporative fraction is therefore a convenient way to transform the
instantaneous energy balance components into actual daily evapotranspiration.
3.4 DIRECT MEASUREMENT TECHNIQUES
3.4.1 Introduction
The most usual method to determine ET
0
is through the PenmanMonteith approach,
where the variables radiation (sunshine duration), wind speed, temperature and relative
humidity are measured with standard weather station instruments. The use of automated
equipment with data loggers is becoming more common, with costs decreasing. In this
section a short description is given of the traditional methods (pans and lysimeters)
and some of the methods that are becoming increasingly popular (Bowen ratio, eddy
correlation technique and the scintillometer) because of technological advances. The
PenmanMonteith method is discussed in Section 3.5.
3.4.2 Evaporation pan measurements
Measuring evaporation from a small, standardized pan (Figure 3.6) is the simplest and
most direct way to determine evaporation. The link with reference crop evapotranspir-
ation is made through a so-called pan coefficient:
ET
0
k
p
E
pan
48
15 cm
Stilling well
Water level
57.5 cm from rim
25 cm
1
2
0
.7
cm
Figure 3.6. Typical Class A pan (after FAO 56, Allen et al. 1998).
Operational solutions of actual evapotranspiration 79
Two standard types of pans may be used: The Class A evaporation and Colorado sunken
pans (ASCE 28, Ch. 5, Allen et al. 1996; FAO-56, Allen et al. 1998). However, several
factors may induce significant differences in evaporation from a small, essentially open
water surface and evapotranspiration from a cropped surface:
Reflection of radiation may be significantly different between a pan and a cropped
surface.
Heat loss through the sides of the pan and heat storage changes in the pan water can
be appreciable (even during the night when crop ET
0
is normally negligible).
Because the pan is small (1.21 m diameter), the environment of the pan plays an
important role. If the surrounding area is dry, pan evaporation will be higher than in
the case of a wet environment, for example, an irrigated crop (see Figure 3.7).
The determination of an appropriate pan coefficient therefore depends not only on pan
type but also on the nature of the area surrounding the pan (the so-called fetch). Complete
instructions are given in FAO-56 (Allen et al. 1998) on how to install and maintain a pan,
and with the selection of an appropriate pan coefficient (Figure 3.7). Calibration of data
against the PenmanMonteith procedure is recommended. Principal regression relations
to determine the pan coefficient are given in Table 3.1; these show dependence of the
coefficient on wind speed, relative humidity and fetch.
3.4.3 Lysimeters
The purpose of a lysimeter is to determine evaporation in a natural environment by
accurately measuring the other water balance components; i.e. precipitation, soil moisture
storage and deep drainage. To accomplish this, part of the natural environment has to be
partitioned off allowing collection and weighing of the drained moisture (Figure 3.8).
Lysimeters offer the only absolute way of precisely measuring water loss from soil and
crop canopy surfaces. Because of this, lysimeters have played a very important role
in the development and testing of methods for estimating actual evapotranspiration
(Aboukhaled et al. 1982; Shaw 1988; Allen et al. 1991). Lysimeters can range in size from
less than 1 m
3
to over 150 m
3
.
Case A
Case B
Green
crop
Dry
surface
Pan
50 m or more Fetch 50 m or more Fetch
Dry
surface
Green
crop
Pan
Wind
Wind
Figure 3.7. Two cases of evaporation pan siting and their environment (FAO 56, Allen et al. 1998).
80 Understanding water in a dry environment
It should be realized that any lysimeter provides a measure of evapotranspiration from
a very limited sample size and the methods validity depends on how representative the
lysimeter is for the surrounding area. Its soil and vegetation should therefore resemble the
natural or irrigated field situation as closely as possible, which imposes strict conditions
on construction and maintenance methods. Errors are reportedly due to different con-
ditions inside and outside the lysimeter:
Differences in soil characteristics (especially in semi-arid to arid areas).
Differences in soil moisture regime, especially in the study of evapotranspiration
from irrigated fields.
Differences in farm practices.
Table 3.1. Regression equations for pan coefficients 1
j
as a function of pan type and fetch.
Class A pan with green fetch K
p
0.108 0.0286u
2
0.0422 ln(FET) 0.1434 ln(RH
mean
)
0.000631[ln(FET)]
2
ln(RH
mean
)
Class A pan with dry fetch K
p
0.61 0.00341RH
mean
0.000162u
2
RH
mean
0.00000959u
2
FET 0.00327u
2
ln(FET)
0.00289u
2
ln(86.4u
2
) 0.0106 ln(86.4u
2
) ln(FET)
0.00063 [ln(FET)]
2
ln(86.4u
2
)
Colorado sunken pan with K
p
0.87 0.119 ln(FET) 0.0157 [ln(86.4u
2
)]
2
green fetch 0.0019 [ln(FET)]
2
ln(86.4u
2
) 0.013 ln(86.4u
2
)
ln(RH
mean
)0.000053 ln(86.4u
2
) ln(FET)RH
mean
Colorado sunken pan with K
p
1.145 0.080u
2
0.000903u
2
2
ln(RH
mean
)
dry fetch 0.0964 ln(FET) 0.0031u
2
ln(FET)
0.0015 [ln(FET)]
2
ln(RH
mean
)
Coefficients and parameters K
p
pan coefficient []
u
2
average daily wind speed at 2 m height (ms
1
)
RH
mean
average daily relative humidity
[%] (RH
max
RH
min
)/2
FET fetch, or distance of the identified surface type
(grass or short green agricultural crop for case A,
dry crop or bare soil for case B upwind of the
evaporation pan)
Range for variables 1 mFET 1000 m (these limits must be observed)
30%RH
mean
84%
1 ms
1
u
2
8 ms
1
Vegetation
Bare soil
Soil
Rock
Gravel
Ca 1 m
Collecting
Pit
Ca 3 m
Figure 3.8. Traditional lysimeter setup.
Operational solutions of actual evapotranspiration 81
The so-called bloom effect on small lysimeters where the area of the plant canopy
exceeds the assumed lysimeter area.
Despite these drawbacks and the sometimes seriously flawed results, lysimeters have
been used in a large number of comparative studies. Figures 3.9, 3.10 and 3.11 show the
12 0
0
2 4 6 8 10
Lysimeter (m day
1
)
E
v
a
p
o
t
r
a
n
s
p
i
r
a
t
i
o
n
(
m
m
d
a
y
1
)
12
2
4
6
8
10
Figure 3.9. Comparison of average monthly potential evapotranspiration computed by the
PriestleyTaylor equilibrium method with values determined from lysimeters containing well-
watered alfalfa (Jensen et al. 1990).
12 0
0
2 4 6 8 10
Lysimeter (m day
1
)
E
v
a
p
o
t
r
a
n
s
p
i
r
a
t
i
o
n
(
m
m
d
a
y
)
1
12
2
4
6
8
10
Figure 3.10. Comparison of average monthly potential evapotranspiration computed by the
PenmanMontieth equation with values determined from lysimeters containing well-watered
alfalfa at 11 locations (Jensen et al. 1990).
82 Understanding water in a dry environment
results of a study by Jensen et al. (1990), where lysimeter results are compared with those
obtained by respectively the PriestleyTaylor equilibrium equation, the Penman
Monteith procedure (Section 3.5) and the Pan Evaporation method. Figure 3.12 shows
a comparison of hourly evapotranspiration obtained by a lysimeter and by Penmans
12 0
0
2 4 6 8 10
Lysimeter (mday
1
)
E
v
a
p
o
t
r
a
n
s
p
i
r
a
t
i
o
n
(
m
m
d
a
y
1
)
12
2
4
6
8
10
Figure 3.11. Comparison of average monthly Class-A pan evaporation with values determined
from lysimeters containing well-watered alfalfa at 11 locations. Over-estimation is presumably due
to heat exchange through the sides of the pan (Jensen et al. 1990).
1.0
2.0
0 6 12
Time (h)
18 24
E
v
a
p
o
r
a
t
i
o
n
r
a
t
e
(
m
m
h
1
)
Alfalfa
21 June 1963
E
0
E
0
Figure 3.12. Comparison of observed hourly evapotranspiration for well-watered alfalfa (closed
circles) and that calculated via the Penman equation (open circles) (after Van Bavel 1966).
Operational solutions of actual evapotranspiration 83
equation (Van Bavel 1966). From these types of study the realization has come that the
PenmanMonteith method is probably the best point estimator of ET
0
for all types of
vegetated surfaces (Dingman 1994).
Choudhury (1997) made a recent global comparative study of lysimeters with ET
0
results obtained from satellite data, applying the PenmanMonteith method. The dif-
ferences between the two methods range from 5 to 15%, depending on the size of area and
time span considered.
3.4.4 Bowen ratio method
Writing eqn. (35) in its simplest form as:
LE R
n
G H 49
and using the Bowen ratio (eqn. (41), u H,LE), the sensible heat H can be eliminated
from eqn. (18) which leads to:
LE
R
n
G
1 u
50
Furthermore, the Bowen ratio can be written as (Dingman 1994; ASCE 28, Allen et al.
1996):
u
T
2
T
1
z
2
z
1
e
2
e
1
51
where is the psychrometric constant (eqn. 43), T
2
and T
1
are measured air temperatures
at heights z
1
and z
2
, e
2
and e
1
are the measured water vapour pressures at z
1
and z
2
and is
the adiabatic lapse rate, generally taken as 0.01 km
1
. The Bowen ratio can thus be
determined from measurements of air temperature and water vapour pressure at two
different heights. Equation (50) then gives the evapotranspiration, provided net radiation
R
n
and the soil heat flux G are known.
Measurement of z
1
should generally be made 0.3 m above the crop canopy for a smooth,
dense canopy and higher in the case of tall, sparse canopies. The height z
2
is usually taken
1 to 2 m higher than z
1
and in this case the term(z
2
z
1
) can be neglected from eqn. (51).
Modern implementation of this technique generally requires data loggers with humidity
and temperature sensors (Allen et al. 1996), making it possible to obtain continuous
records for long periods of time.
Important advantages of the Bowen ratio method are :
The ability to measure actual evapotranspiration;
The elimination of wind and turbulent transfer coefficients.
The main disadvantages of the method are:
The implementation requires data loggers and (fragile) sensors.
Numerical instability when the Bowen ratio has a value close to 1; this may affect
evapotranspiration values near dawn and dusk (see Figure 3.13).
An adequate upwind fetch is required.
The Bowen ratio method is one of the most accurate procedures to determine actual
evapotranspiration, provided that net radiation, soil heat flux and the gradients of
84 Understanding water in a dry environment
temperature and humidity can be measured accurately. The Bowen ratio method is
therefore not suited to dry land surfaces. For tree crops and forest canopies it is difficult to
avoid the effect of individual trees; if measurement heights are taken higher, the gradients
become much smaller and more difficult to measure reliably.
The error in obtaining the Bowen ratio from well-designed and operated systems is in
the order of 20%.
3.4.5 Eddy Correlation method
In the Eddy Correlation approach, fluctuations of vertical wind (w
0
) and deviations (q
0
)
from the mean of the absolute humidity (q) are measured directly with fast response
sensors (Brutsaert 1982; Dingman 1994; Allen et al. 1996). The statistical theory of these
wind, temperature and humidity fluctuations lies at the core of the turbulent transfer
equations introduced in Section 3.2. The expression for evapotranspiration ET is
accordingly given by:
ET
w
0
q
0
,
w
52
where the overbar indicates means over 1 to 5 minute intervals. Practical implementation
of this method requires high-speed measurements, usually at frequencies of 10 Hz (Tanner
1988). The sensors are mounted in a vertical tower array.
The advantages of the eddy correlation method are:
Direct sampling of the turbulent boundary layer is possible;
Actual evapotranspiration can be measured directly.
1.0
6 12
Time (h)
18
E
T
(
l
y
s
)
a
n
d
E
T
(
B
R
E
B
)
(
m
m
h
1
)
0.12 m perennial ryegrass
Davis, CA, 8/4/1963
0
5.0
0.0
3.0
B
o
w
e
n
r
a
t
i
o
0.6
ET(lys) ET(BREB)
Figure 3.13. Examples of early tests of the BREB method: Comparison of ET for perennial
ryegrass with BREB calculations for 14 August, 1962 at Davis, CA (USA) (Allen et al. 1996).
Operational solutions of actual evapotranspiration 85
Disadvantages are:
Complex instrumentation and skilled staff are required;
An adequate upwind fetch is required to establish an equilibrium transport within the
boundary layer considered (Brutsaert 1982).
Gas analyzers used for the air humidity deviations q
0
are not very accurate and eddy
correlation systems for measuring LE are therefore less accurate than those for sensible
heat H. Despite commercial availability of the instrumentation, application of the eddy
correlation method requires personnel well-trained in electronics, biophysics and
boundary-layer meteorology. However, the method has become a standard tool in many
Universities, Research Institutes and Meteorological Departments. To assess overall
accuracy in measuring the individual energy balance components, it is important to realize
that closure is normally not achieved; there appears to be a hitherto unexplained gap
(Oncley et al. 2002).
3.4.6 Scintillometers
An electromagnetic wave passing through the turbulent atmosphere exhibits fluctuations
in intensity, known as scintillations. The twinkling of stars is one example of this phe-
nomenon. These fluctuations are physically related to variations in temperature, humidity
and pressure of turbulent air flow, and cause rapid changes in the atmospheres refractive
index; i.e. in this case in the refractive index structure parameter C
2
n
(m
2,3
). Although
this phenomenon has been known for a long time, it has only fairly recently been
applied to evaporation and energy balance studies (Hill 1992; De Bruin et al. 1995;
Nieveen 1999).
Figure 3.14 shows the operational principle of a scintillometer. Light froma LED(Light
Emitting Diode, 0.94 mm wavelength) is modulated by a 7 kHz square-wave oscillator,
transmitter
LED 0.94 m
7 kHz carrier
receiver
logger
sensible heat H
Figure 3.14. Operational principles of a scintillometer. Light from a Light Emitting Diode (LED;
0.94 mm) is bundled into a parallel beam and modulated by a 7 kHz oscillator. At distances of
200 m to 5 km the light signal is amplified by a receiver to produce a signal that is representative of
changes in the refractive index of the atmosphere. These in turn are caused by the flow of sensible
heat from the surface into the atmosphere. The setup shown here makes use of 3 m high tripods. In
practice, high towers are often required in order to measure over undulating terrain and tall trees.
86 Understanding water in a dry environment
and collimated by a parabolic mirror. At a distance of 200 m to 5 km the light signal is then
collected by another mirror and hence amplified and processed by the receiver to produce
C
2
n
directly. This type of instrument was first designed and built by Wang et al. (1978) and
is commercially available at present.
Several studies carried out in the recent past have shown that the method has some
attractive characteristics. These are reflected in the increasing number of scientists using
the technique in a variety of landscape and vegetation types (Thiermann & Grassl 1992
(bare soil); De Bruin et al. 1995 (vineyard); McAneney et al. 1995 (pasture); Green &
Hayashi 1998 (rice paddy); Nieveen 1999 (pasture)).
The refractive index structure parameter C
n
is related to the temperature structure
parameter C
T
as:
C
T
10
6
C
n
T
2
0.78p
_ _
1
0.03
u
_ _
53
where p is the atmospheric pressure (bar), T the temperature (K) and u the Bowen ratio.
The sensible heat H is then related to C
T
through, for example, a relation of the form
(Kohsiek 1982):
H AC
3,2
T
54
where A is a constant, depending on temperature and boundary layer parameters.
Equation (53) shows that the Bowen ratio ( H,LE) is a complicating factor. For dry
land u is usually greater than 1 and then the factor (1 0.03,u) may be neglected.
However, for wet areas, if u is about 0.1, the factor is about 30%. To avoid having to
determine u independently, two scintillometers are sometimes used at different heights
(C
T
profiling, Nieveen 1999).
Disadvantages of the method are the fairly sophisticated and sensitive electronics of
the instrument, which requires skilled personnel and, if the method is to be used for
determining actual evapotranspiration, the need for additional equipment to measure net
radiation, soil heat fluxes and Bowen ratios. The major advantage, however, is that a really
representative sensible heat fluxes can be obtained over areas as large as 10 km
2
.
3.4.7 Temperature fluctuation method
Alternatively, it also possible to determine the sensible heat H through measurements of
w
0
and T
0
, where T
0
is the deviation from mean temperature T. In this case ultra-fine wire
thermocouples (13 micron) are used to measure the rapid temperature fluctuations.
Although these thermocouples are fragile, they are much cheaper than quick response
hygrometers. When the sensible heat H is determined, then the net radiation R
n
and soil
heat flux G must also be derived (cf. eqn. 49).
It was shown by Tillman (1972) that sensible heat flux can be determined through the
standard deviation o
T
of temperature. The relation has a form similar to eqn. (54):
H Co
3,2
T
55
where constant C depends on boundary layer parameters (De Bruin 1982; Weaver 1990).
Signal sampling frequency is in the order of 1 Hz. Studies by Lloyd et al. (1991) and
De Bruin et al. (1993) have shown the validity of this approach.
Operational solutions of actual evapotranspiration 87
Disadvantages of applying this method for evaporation studies are:
The need to have additional information on solar radiation and soil heat flux;
The relative fragility of the thin wire thermocouple sensors.
Essentially, point values of the sensible heat flux are obtained with this method.
However, in view of the simplicity of the instrument setup and the increasing availability
of low-cost data loggers, the procedure offers promise in the near future.
3.4.8 Measurement techniques
Our understanding of interactive landatmosphere processes comes to a large extent from
analysis of field measurements. These have been made for centuries with instruments such
as mercury thermometers, solarimeters and hygrometers. A range of instruments was
traditionally combined in a fenced weather station, where observers noted the instrument
readings at regular time intervals. However, with the development of chip technology this
methodology is rapidly changing. An impressive array of digital sensors, data logging and
processing techniques are now available at low cost, providing quality data with high
temporal resolutions.
Data capture and storage
The modern sensor produces a pulse (e.g. related to amount of rainfall) or a voltage (e.g.
proportional to temperature). Pulses are stored in a data logger together with a time stamp,
while voltages are sampled at regular preset intervals, converted to digital format and then
stored (Figure 3.15). Data logging equipment is usually located at the field site, while
downloading data from the logger can be done in various ways. Common practice is that
the operator makes regular checks of the field sites, then stores the logged data into his
laptop computer. There may also be a telemetric connection or satellite link, so that the
data are received at a central site. It is also becoming feasible to download data through
ordinary cell phone links from a remote site. Standard PCs are now capable of handling
the processing of complex multi-site networks, and CD-ROM technology is sufficient for
most archiving purposes.
PC
1. storage
2. processing
3. display
4. printouts
5. archiving CD
sensors
data logger
downloading
Figure 3.15. Data logging setup. A large number of sensors is connected to a data logger. The data
are downloaded from the logger into a standard PC at regular time intervals. Downloading may
take place at the station by an operator taking his laptop computer to the site, or by remote access
through satellite telemetry, or even by ordinary cell phone connection. Standard PCs are capable of
most processing, while archiving is now most commonly done on a CD-ROM.
88 Understanding water in a dry environment
Sensors
Sensors can be classified into various categories (Stull 1999):
Direct or remote;
Active or passive;
Fast response or mean value.
Direct sensors are those placed on some instrument platform to make in-situ
measurements of the air, soil and groundwater parameters at the location of the platform.
They essentially provide point measurements at high temporal resolution. Remote
sensors, on the other hand, measure variables indirectly by the radiation generated. For
example, soil surfaces emit thermal infrared radiation depending on their temperature, and
this can be recorded from balloons, aircraft or satellites. These sensors characteristically
provide data with good spatial resolution. However, their periods of measurement are
limited to the time of aircraft and satellite overpass.
Active sensors generate their own waves (sound, light, radar) which are modified or
reflected by the atmosphere or surface; they have transmitter and receiver components.
Passive sensors have only receiver components; most standard weather station equipment
falls into this latter category. Satellite sensors that measure solar surface reflection or
thermal infrared radiation also belong to this category.
Atmospheric boundary layer data are usually split into two categories: those obtained
from mean value sensors and those from fast response sensors. Fast response sensors are
used to measure the small scale turbulent fluctuations from which the sensible and latent
heat fluxes are determined. These instruments are usually small, fragile and costly to
maintain. For accurate measurements of small and short-lived turbulent eddies, sampling
rates are required that vary from once per second to 100 times per second. The data
loggers must be capable of handling the speed of AnalogueDigital Conversion, and have
sufficient memory to store the large amount of data that this type of data acquisition
requires. If only mean values are required then less expensive and more durable equip-
ment can be used. Most field experiments use a mixture of mean and fast-response
sensors, depending on budget and objectives.
Platforms
A diagram of common platform types is shown in Figure 3.16.
The Stevenson Screen: The classic, white, louvered instrument shelter called the
Stevenson screen is mounted on a stand to place the instruments inside at a height of about
2 m above the local surface. The shelter protects the instruments from rain, wind and
direct sunlight, and also filters out much of the local scale turbulence. As a result, mean
values are measured of temperature, humidity and pressure.
Masts: The mast is a simple structure that allows instruments to be mounted at various
heights. Sometimes scaffolding is used to create a short tower. Atypical mast height is 10 to
50 m. It is relatively inexpensive and can be erected with simple equipment. Because of the
limited height, it is primarily useful for surface layer measurements; wires carry the sensor
signals to a data logger at the bottom. Very often soil temperature and humiditiy sensors are
also coupled to the system, together with automatic groundwater level measuring devices.
Mesonet Stations: These are smaller and more portable than the mast structures. A
typical implementation will consist of temperature, humidity, rain, pressure and radiation
measurements at a height of 2 m, and a 10 m pole to measure wind speed and direction.
Operational solutions of actual evapotranspiration 89
Towers: Tall expensive towers have been erected at a few sites for permanent use (Stull
1999). Examples include the 213 m tower near Cabauw, about 50 km southeast of the
North Sea shoreline in The Netherlands. Another is the 300 m Boulder Atmospheric
Observatory (BAO) tower in Colorado, about 25 km east of the Rocky Mountains.
These are large structures with built-in elevators and many support guy-wires. Because
they are so large the flow in a downwind direction is disturbed, and therefore horizontal
booms are constructed at various heights that project away from the tower in various
directions. The sensors are mounted on these booms and can be selected depending on
which direction is best, given the current wind speed. Permanent buildings need to be
established to house the data logging, processing and maintenance facilities.
Radiosondes, tetroons and kytoons: A radiosonde is an expendable instrument and
transmitter package attached below a free-flying helium balloon that measures
temperature, humidity and pressure. The balloons drift away from the launch site and
rise until they burst, allowing the instrument package to parachute to the ground. Several
types exist depending on the particular application (Stull 1999).
A special class of free balloon is the tetroon, a constant pressure balloon. It is made of
non-stretchable material and rises to an altitude where the overall balloon and package
density match the air density, allowing it to stay at approximately constant elevation.
Sometimes an aerodynamically shaped balloon with instrument package attached is
connected to the ground with a cable. Because of its shape it soars like a kitehence the
name kytoon. The altitude is adjustable through the winch operated cable. Heights to 2 km
can be reached, although deployment is usually restricted to below 800 m because of flight
regulations. Kytoons are more portable than tall towers, but are limited to light winds.
top of the boundary layer
a)
c)
b)
d)
e)
f)
g)
h)
upper atmosphere
i)
Figure 3.16. Sketch of instrument platforms for direct and remote sensors: (a) Mast; (b) Kytoon;
(c) Instrument (screen) shelter; (d) Mesonet station; (e) Aircraft; (f) Tetroon; (g) Tower; (h)
Radiosonde; (i) Satellites (adapted from Stull 1999).
90 Understanding water in a dry environment
Aircraft: A variety of aircraft ranging from model drones, ultra-lights, gliders, single
and multi-engine aircraft to military jet planes have been used for boundary layer studies
with direct sensors. However, remote sensing from aircraft is also common practice; when
new sensors for satellite applications are developed, they are usually first tested with
aircraft.
Satellite Platforms: Remote sensing from satellite platforms is becoming increasingly
important. Advances in sensor technology and miniaturization of equipment not only
result in greater effective payloads and hence cheaper launching costs, but also in better
images. This is accompanied by development of the algorithms required for combining
multi-spectral image information with turbulent transport theory of the lower atmosphere.
Satellite remote sensing as a branch of Earth Sciences started in the 1960s with the
NOAA/AVHRR, METEOSAT and LANDSAT programs. The study of the different types
of satellite platforms and the range of sensors is a subject in itself. Only a short review is
given here. Basic information with regard to satellites may be found on Internet sites; e.g.
http://www.howstuffworks.com/satellite6.htm; more specific satellite information with
regard to water resources management is given by Bastiaanssen (1998).
Geostationary Satellites: These satellites circle the Earth at a distance of about
40,000 km so that their orbital revolution matches the rotational speed of the Earth. They
are therefore always pointed towards the same part of the Earth. Apart from telecom-
munications, the Earth Resources satellites such as METEOSAT play an important role in
continental weather observations. The METEOSAT sensors operate in three bands: visible
(0.41.1 mm), short-wave infrared (5.77.1 mm) and thermal infrared (10.512.5 mm), with
pixel sizes of respectively 2.3, 5.0 and 5.0 km.
Polar Orbiting Satellites: This type of satellite circles the Earth from North to South
Pole at a distance of about 800 km, with an orbit time of a little over an hour. They are able
to scan the entire Earth surface at regular intervals and usually cross the equator about
the same time every day (geosynchronous orbits). Depending on pixel size and spectral
information, the main platforms currently in operation are given in Table 3.2.
Recently the TERRA satellite was launched with on board ASTER (pixel size 15 to
30 m, three VNIR, six SWIR and five TIR bands) and MODIS sensors (comparable to
NOAA/AVHRR with a range of resolutions from 250 m to 1 km, and with a wide range of
bands from visible to infrared). Extensive data bases are available for both the LANDSAT
and NOAA programs. The NOAA and MODIS images are freely downloadable, while the
LANDSAT images cost about US$ 600. The TERRA/ASTER images currently cost
US$ 55, though the ASTER coverage of the Earth is not as extensive as for LANDSAT.
Some dedicated programs such as the Tropical Rainfall Measuring Mission have just
started (TRMM satellite with an orbit between 35
S and 35
s
e
a
T
s
T
a
59
where is the slope of the saturated water vapour pressure curve e
T; at air
temperature T
a
this is e
a
e
T
a
, and at the surface this is equal to e
s
e
T
s
. Note that
for a wet surface e
s
e
s
. The Bowen ratio can thus be written as:
u
1
e
a
e
a
e
s
e
a
_ _
60
Substituting eqn. (60) into eqn. (57) yields:
R
n
G 1
_ _
LE
a
e
a
e
s
e
a
LE 61
The second term on the right hand side of eqn. (61) can be simplified by using the
following mass transfer function for LE, where u
2
is the wind speed measured at 2 mheight:
LE f u
2
e
s
e
a
62
Substituting eqn. (62) into eqn. (61) and solving for LE yields:
LE
R
n
G
f u
2
e
a
e
a
_ _
63
94 Understanding water in a dry environment
This is the well-known Penman equation that has been the subject of numerous theo-
retical and experimental studies. Penman (1948) originally proposed the following wind
speed function:
f u
2
0.261 0.54u
2
64
in which the constants have been changed frequently, depending on the outcome of
particular studies. The importance of the Penman approximation lies in the fact that it
eliminates the need for measurements at two different levels as in the profile methods
discussed in Section 3.2; standard weather station measurements at one level are sufficient.
PenmanMonteith formulation
To account for the fact that an evaporating surface can not usually be taken as completely
wet, resistance parameters were introduced to parameterize moisture transfer between the
vapour-saturated stomatal cavities and the atmosphere. A similar resistance may also be
introduced when evaporation from a bare soil is considered; these two type of resistance
can be combined into a single bulk surface resistance (Figure 3.18). Two resistances there-
fore govern the evaporative process: The bulk surface resistance r
st
and the aerodynamic
resistance r
ah
, which was already discussed in Section 3.2 (Equation (31)).
Figure 3.18 shows that water vapour transport can be split into two phases (after
Brutsaert 1982):
1. Transport from the soil and vegetation to canopy level c, governed by:
LE l, q
s
q
c
,r
st
65
where q is the specific humidity, equal to ,/,
v
(, is the density of air and water, and ,
v
is the density of water vapour). The asterisk indicates saturated water vapour. Note that
q is the average specific humidity; the overbars indicating averages have been left out
for convenience.
air flow
r
ah
aerodynamic
resistance
reference
level z
evaporating
surface
level c
soil level s
r
st
(bulk) surface
resistance
stomata
soil
Figure 3.18. Simplified representation of the (bulk) surface and aerodynamic resistances for water
vapour transport (after Allen et al. 1998).
Operational solutions of actual evapotranspiration 95
2. Transport from the canopy layer to the measuring height z, governed by:
LE l, q
c
q
z
,r
av
66
where r
av
is the aerodynamic resistance to water vapour transport. Although r
av
is
conceptually different from r
ah
, in practice r
av
% r
ah
as in eqn. (31).
The combined transport from the surface to level z is then:
LE l, q
s
q
z
,r
st
r
ah
67
The relation between specific humidity q and water vapour pressure e is given by
Brutsaert (1982) as:
q
c
p
l
e 68
When the vegetation is not actually wetted, the vapour pressure e
s
at canopy level c is not
equal to e
s
. However, it can be related to e
s
by using eqns. (66), (67) and (68) as follows:
e
s
e
z
r
ah
r
st
r
ah
_ _
e
s
e
z
_ _
69
Furthermore, the Bowen ratio can now be written in the same way as was shown in
eqns. (59) and (60):
u
r
st
r
ah
r
ah
_ _
1
e
z
e
z
e
s
e
z
_ _
70
Substituting eqn. (70) into eqn. (57) as for derivation of the Penman formula, yields:
R
n
G LE
r
st
r
ah
r
ah
LE
r
st
r
ah
r
ah
e
z
e
z
e
s
e
z
_ _
LE 71
Expressing LE in eqn. (67) in terms of e rather than q through the use of eqn. (68) leads to:
LE
, c
p
s
e
z
r
st
r
ah
72
After substituting eqn. (72) in the third term of the right hand side of eqn. (71) and
solving for LE, the general PenmanMonteith expression is found:
LE
R
n
G
, c
p
r
ah
e
z
e
z
_ _
1
r
st
r
ah
_ _
73
It now remains to rewrite expression (73) using parameters for the reference crop
situation, with a specified bulk resistance of 70 s m
1
(see Figure 3.19) and r
ah
given by
eqn. (31). Allen et al. (1998) show in detail how this is done, and the resulting FAO
PenmanMonteith formula becomes:
ET
0
0.408 R
n
G
900
T273
u
2
e
2
e
2
_ _
1 0.34u
2
74
Several variations of eqn. (74) exist depending on the type of reference crop considered.
96 Understanding water in a dry environment
It is important to note that eqn. (73) allows evaluation of actual evapotranspiration if the
resistances can be determined.
3.5.3 Temperature and radiation methods for potential evapotranspiration
A number of techniques have been developed to determine potential evapotranspiration
by approximate methods. These have sometimes been developed for specific types of
climate, thus allowing simplifications, such as the Makkink (1957) method which was
developed for western European humid conditions. Others have been produced for
situations for which very few climate data are available, such as the Hargreaves method
(Hargreaves & Samani 1985) which uses only air temperature as an observed variable.
Because the emphasis in this chapter is on methods to determine actual evapotranspir-
ation, these approximate methods are not discussed in further detail here. A summary with
references is given in Tables 3.3 and 3.4.
3.5.4 Complementary relationships between actual and potential evapotranspiration
Bouchets hypothesis: Bouchet (1963) arrived at the following complementary relation-
ship, shown in Figure 3.20, between potential evaporation E
p
and actual regional
evaporation E (after Brutsaert 1982):
E
p
E 2E
p0
75
The actual evaporation rate is the average value from a large uniform surface of
regional size, involving characteristic scale lengths in the order of 1 to 10 km. The
potential evaporation E
p
is the evaporation which would take place under prevailing
atmospheric conditions if the available energy were the only limiting factor. Under
conditions when E equals E
p
, it is denoted by E
p0
. Szilagyi (2001a) recently suggested a
proof of the hypothesis.
Further work: The Bouchet relationship was tested and applied by Morton in a large
number of basins (Morton 1969, 1983; only two main references are given here). Relation
(75) allows determination of actual evapotranspiration, provided good expressions for
2
m
r
a
= 208/u
2
s/m
reference level
weather measurements
R
s
= 0.23R
s
h = 0.12 m
R
s
s
o
l
a
r
r
a
d
i
a
t
i
o
n
r
s
= 70 s/m
d + z
oh
Figure 3.19. Characteristics of the hypothetical reference crop (after Allen et al. 1998).
Operational solutions of actual evapotranspiration 97
Table 3.3. Temperature methods for potential evapotranspiration.
ThornthwaiteMather
Thornthwaite and Mather (1955) PET in mm/month PET
i
16.010T
i
a
I
12
i1
T
i
,5
1.514
Wilmott et al. (1985) T
i
mean monthly air a 0.49 0.0179I 0.0000771I
2
temperature in
C 0.000000675I
3
BlaneyCriddle
SCS (1967) PET in mm/month PET kp0.46T
a
8.13
Doorenbos and Pruitt (1977) T
a
mean monthly air k empirical crop factor
Shuttleworth (1993) temperature in
C p monthly percentage daylight
hours of annual total
Hargreaves
Hargreaves and Samani (1985) PET in mm/day PET 0.0023T
max
T
min
0.5
T in
C T
mean
17.8R
a
R
a
in mm/day R
a
extraterrestrial radiation
Table 3.4. Radiation methods for potential evapotranspiration*.
PriestleyTaylor
Priestley and Taylor (1972) PET in mm/day PET c
R
n
G
l
R
n
, G in MJ m
2
d
1
and as defined for the Penman equations
c 1.26 (or 1.74 for arid climates)
Makkink
Makkink (1957) PET in mm/day PET 0.61
R
s
2.45
0.12
R
n
in MJ m
2
d
1
R
s
is incoming short-wave radiation
Turc
Turc (1961) PET in mm/day PET 0.013a
T
mean
T
mean
15
23.89R
s
50
l
R
n
in MJ m
2
d
1
R
s
is incoming short wave radiation
T
mean
in
C a depends on humidity
*Methods by Jensen and Haise (1963) and Doorenbos and Pruitt (1977) not further discussed here.
0 0.2 0.4 0.6 0.8 1.0
E/E
p
E
v
a
p
o
t
r
a
n
s
p
i
r
a
t
i
o
n
1.0
0.5
0
E
p
E
p0
E
Figure 3.20. Sketch illustrating Bouchets (1963) hypothesis. E and E
p
are plotted against E/E
p
,
such that E E
p
2E
p0
.
98 Understanding water in a dry environment
E
p
and E
p0
can be found. Morton (1983) assumed that E
p
is given by a Penman-type
expression (63), and that E
p0
is in principle given by the PriestleyTaylor expression
(Table 3.4). He arrived at the following result:
E
1.76R
n
2.76M
m
a
e
da
f
A
_
76
where M
m
and f
A
are empirical terms and e
da
is the saturation vapour pressure at the dew-
point temperature of the air.
Brutsaert and Stricker (1979) proposed a so-called AdvectionAridity approach by
combining Bouchets complementary relationship with regional advection effects. This
idea was further developed by Parlange and Katul (1992).
Recent applications: An interesting application and possible confirmation of Bouchets
hypothesis was proposed by Brutsaert and Parlange (1998) in their explanation of the
evaporation paradox. In recent years several independent studies have indicated that
evaporation, as measured with evaporation pans, has decreased in the northern hemi-
sphere over the past few decades. The interpretation of this negative trend has usually
been that it probably results from increasing cloudiness, and that it indicates decreasing
terrestrial evapotranspiration. However, if pan evaporation is a measure of potential
evaporation E
p
, then according to eqn. (75) the actual evaporation E must go up when E
p
goes down. Decreasing pan evaporation would thus mean increasing evapotranspiration.
This explanation appears to be confirmed by Golubev et al. (2001). However, Shuttle-
worth (1993) reports that the Bouchet hypothesis does not appear to be valid in all field
circumstances.
Recent applications of Mortons work include evapotranspiration maps of Australia
(Wang et al. 2001) and a study of areal evaporation trends in the United States (Szilagyi
2001b).
3.5.5 Concluding remarks
In the preceding sections a review has been made of a large number of methods to
determine actual and reference evapotranspiration under varying field conditions and with
varying data requirements. The type of method used to determine evapotranspiration
depends on the type of application and the available data. Much also depends on the
experience gained with specific methods and with sets of area-adjusted coefficients.
For large-scale applications including basin-scale water balances, application on a
monthly time scale of a crop-coefficient reference ET should be considered (k
c
ET
0
). ET
0
should preferably be calculated using the PenmanMonteith expression. Alternatively,
Hargreaves air temperature method may be used, since air temperatures are usually
readily available and are generally accurate in most countries where synoptic data are
scarce. For smaller scale areas with homogeneous cover both methods are equally
appropriate. Calculations are then usually made on an hourly or 24-hour basis.
In studies of environmental stresses or climate change, Allen et al. (1996) recommend
energy-balance methods in combination with PenmanMonteith, using hourly or shorter
time steps. If the effects of changes in vegetation type, density, height or water availability
are to be studied, the PenmanMonteith method has the advantage in that vegetation
characteristics can be more readily incorporated into the aerodynamic and surface resist-
ance models. For specific research studies in small areas, micrometeorological
Operational solutions of actual evapotranspiration 99
instrumentation for the Bowen Ratio and Eddy Correlation techniques are recommended,
or lysimeters with direct soil profile measurements.
Generally, as one progresses from the k
c
ET
0
approach to the direct PenmanMonteith
procedure, the necessary calculation time step decreases and the requirements for accuracy
and representativeness of data increase. It is difficult to apply the PenmanMonteith
method to historical weather station data, since these are obtained at the measuring height
above the surface, and therefore do not reflect changes in vegetation cover.
Two calculation approaches are outlined for crop coefficients in FAO-56 (Allen et al.
1998): the single and dual approach. In the single crop coefficient approach, the difference
between the reference crop and actual field evapotranspiration is given by a single crop-
dependent coefficient k
c
. In the dual coefficient (Figure 3.17) the crop coefficient is split
into two factors. The single crop coefficient is used for most applications related to
irrigation planning, design and management. The dual crop coefficient is relevant for
detailed estimates of soil water evaporation (FAO-56 Allen et al. 1998), such as in real-
time irrigation scheduling applications, water quality modelling and in research. An
example of the dual coefficient approach may be found in Allen (2000).
3.6 HYDROLOGICAL MODELS AND AREAL SOLUTIONS
3.6.1 Introduction
Actual evapotranspiration is usually approached from the perspective of turbulent transfer
through the lower atmospheric boundary layer. Atmospheric measurements are trad-
itionally taken as a starting point for the calculations. However, it was already pointed out
in Section 3.4 that surface evapotranspiration is closely connected to subsurface transport
of heat and moisture. Many models take these subsurface processes into account in order
to allow for losses due to surface runoff, bare soil evaporation, plant respiration and deep
groundwater recharge. One of the simplest models uses an increase of chloride content in
the saturated and unsaturated zones (see Edmunds, Ch. 7 this volume) to evaluate long-
term average groundwater recharge, and therefore implicitly the long-term average
evapotranspiration. Provided the conditions of validity are met, these chloride mass
balance methods give a good estimate of average recharge rates over large areas.
Environmental isotopes and tracers, on the other hand, may be also be used for detailed
studies of evapotranspiration. Similarly, tree sap flow determination by heat transport
measurements can be used to determine evapotranspiration from deep rooted species in
detailed field studies (Granier 1985; Timmermans & Meijerink 1999; Lubczynski 2000).
However, in the absence of chemical and isotopic data and sap flow measurements,
recourse very often has to be taken to hydrological modelling, especially when processes
are considered on a basin-wide scale. In this section three approaches are discussed. First,
a brief description is given of how moisture transport modelling through the unsaturated
zone may be used to assess soil evaporation and plant respiration rates. Second, surface
runoff modelling on a basin-wide scale may be used to arrive at spatially and temporally
varying soil moisture conditions, and through this at the actual evapotranspiration in all
locations of the basin. Thirdly, SoilVegetationAtmosphere (SVAT) models are increas-
ingly being employed by large-scale Global Circulation Models (GCMs) to assess atmos-
pheric processes and climate change. The complexity of these models is scale-dependent
100 Understanding water in a dry environment
to reduce computational effort when dealing with very large areas. However, some form
of heat and water vapour transport assessment is indispensable.
3.6.2 Agro-hydrological modelling
The approach by Droogers (2000) is used as an illustration of the methodology. The Soil
WaterAtmospherePlant model (SWAP, Van Dam et al. 1997) is applied to estimate
actual ET values for an instrumented catchment in Turkey (Kite & Droogers 2000b).
SWAP is an integrated, physically-based simulation model for water, solute and heat
transport in the saturatedunsaturated zone in relation to crop growth. For this study only
the water transport module was used. The core of the program is the vertical flow of water
in the unsaturated zone, which is described by the Richards equation:
00
0t
0
0z
K0
0h
0z
1
_ _
Sh
_ _
77
where 0 is the volumetric soil water content (cm
3
cm
3
), t is time (d), h (cm) the soil
matric potential, z (cm) is depth taken positive upwards and K the hydraulic conductivity
(cmd
1
) S (d
1
) represents the water uptake by plant roots, defined as:
Sh ch
T
pot
z
r
j j
78
with T
pot
the potential transpiration (cmd
1
), z
r
the rooting depth (cm) and c(h) an
empirical reduction factor (accounting for water and oxygen deficit).
Using irrigation water, precipitation and soil data, the total actual transpiration is
calculated as the integral of S(h) with respect to depth. Actual soil evaporation can be
estimated using the Richards equation, with the upper boundary condition equal to ET
0
.
Application of the method on a basin-wide scale requires a vast amount of soil data. In this
case the soils were classified in terms of texture and organic matter, and the necessary data
were then obtained from a soil data base. Additional calibration information was derived
from observed groundwater levels. Despite the various simplifications and general-
izations, the results were found to compare well with those obtained by other methods
applied in the study area (Kite & Droogers 2000a). A good alternative to SWAP, which
requires many data that are not always available in developing countries, is the use of a
lumped parameter model such as EARTH (see Gehrels & Gieske, Ch. 6 this volume). This
latter model was developed by Van der Lee and Gehrels (1990) to determine groundwater
recharge in semi-arid countries. Groundwater level, precipitation, soil moisture and
reference ET data are used as input. Although the software was written for modelling deep
groundwater recharge, it may also be used to determine actual ET in semi-arid
environments where data on characteristics of the unsaturated zone are scarce.
3.6.3 Hydrological modelling
A study by Kite (2000) is used as an illustration of how a surface runoff model may be
employed to assess a catchments areal evapotranspiration. SLURP (Semi-Distributed
Landuse-based Runoff Processes) is a conceptual model which includes a full hydro-
logical cycle simulation, as well as inclusion of man-made factors such as reservoirs,
Operational solutions of actual evapotranspiration 101
diversions, extractions and irrigation from both surface- and groundwater. The SLURP
model divides a basin into many smaller subbasins on the basis of topography. Each
subbasin is termed an Aggregated Simulation Area (ASA) and is, in turn, subdivided into
smaller areas of different land use. The aggregation by land use area is to reduce
computation time, while retaining physical similarities.
The ASAs are defined by an automated delineation of the stream network from digital
elevation data. This program computes all the areas, slopes and distances that are needed
to run the SLURP basin model; land cover data are derived from satellite imagery. Each
ASA element is simulated by four non-linear reservoirs (Figure 3.21) representing canopy
interception, snow pack, rapid runoff and slow runoff (may be considered groundwater
flow). The model routes precipitation through the appropriate processes and generates the
outputs of evaporation, transpiration and runoff. Evapotranspiration is calculated by
interpolating between zero and ET
0
(PenmanMonteith) on the basis of the modelled soil
moisture content.
The SLURP model requires data commonly available from public domain sources (land
cover, NDVI), as well as climate data and information on the operation of regulatory and
diversion structures. A difficulty is to establish and calibrate the model, but once this is
precipitation
canopy storage
interception
sublimation
snowmelt
irriga-
tion
withdrawals
evapo-
transpi-
ration
infiltration
percolation
transpi-
ration
snow storage
runoff
fast storage
interflow
ground water
flow
slow storage
Figure 3.21. Vertical water balance of the SLURP model as applied to each ASA element (Kite
2000).
102 Understanding water in a dry environment
done operating time and costs are minimal. An advantage of this type of model is that
results are available in raster format for the entire study area, so that comparison with
satellite based methods is straightforward.
3.6.4 SoilVegetationAtmosphere (SVAT) modelling
The hydrological cycle is to a large extent determined on regional and global scales by
SoilVegetationAtmosphere (SVAT) interactions. The models for these interactions
depend critically on the proposed parameterisations, which in turn depend on available
data and scales considered. Our understanding of the exchange of energy, water, CO
2
and
trace gases between atmosphere and land surfaces has improved substantially as a result of
research conducted over the last 30 years (La Jolla 1997). Notwithstanding these results,
experience gained with Global Climate Models has revealed the need for increased
complexity in the parameterisation of land surface processes.
In the earliest generation of SVAT models it was recognized that the net radiation, and
the transport of latent and sensible heat through turbulent transfer models were important
in modelling global climate (Sellers et al. 1997). The role of vegetation in the partitioning
of energy between radiative and turbulent fluxes was recognized since the early 1980s,
with vegetation and soil maps being produced to allow the description of spatially and
temporally varying surface parameters. In recent years land surface models have also
started to implement the role of vegetation in the global carbon cycle. The most recent
development is to include nutrients and models of biogeochemical processes.
Remote sensing is used increasingly in combination with SVAT modelling. The images
obtained from microwave, radar, visible or thermal infrared wave length ranges can be
used in two ways. First, parameters derived from the imagery can be integrated in the
proposed modelling. Second, the images can be used to provide model calibration
information. It is not possible to adequately describe this multidisciplinary field of science
within the scope of the present chapter; Dolman et al. (2001), for example, present no less
than 48 recent papers on the subject. Direct methods to determine actual evapotrans-
piration are discussed in more detail in the next section. A single illustration of a SVAT
model by Cayroll et al. (2000) is given here.
Figure 3.22 shows a flow chart of the model, which is intended to simulate vegetation
Leaf Area Index (LAI) as a function of time. The model data consist of ground- and
airborne data for three semi-arid grassland sites (HAPEX Sahel project, Niger 1992).
Meteorological data, energy balance components and biomass data were collected from
three super-sites. In addition, three series of radiative (brightness) temperatures and
reflectances were collected. The AVHRR/NOAA-11 satellite data were acquired from
afternoon overpasses in the period May to October 1992. Surface temperature maps and
Normalized Difference Vegetation Index (NDVI) maps were obtained by processing these
images. The actual model consists of two interactive submodels. First, a water and energy
balance submodel, where soil and vegetation contributions to sensible and latent heat
fluxes are explicitly parameterized and second, a vegetation growth submodel which aims
at simulating the time evolution of three components: the shoots biomass, the roots
biomass and the standing necromass. Satellite data are used to calibrate the model. The
conclusion was drawn that this type of coupled vegetation growth-SVAT model can be
used to improve the simulation of surface energy and water exchanges. The approach may
also be used to address the scaling-up of surface fluxes to regional scale.
Operational solutions of actual evapotranspiration 103
The approach described in this paper combines data sets with different spatial and
temporal characteristics. On one hand there are data from the super-sites, where climate
data and energy balance characteristics are determined at 20-minute intervals for long
periods of time, while on the other hand satellite overpasses occur once a day at best. The
data from the super-site are valid for rather small areas around these sites, while the
satellite images cover large areas at 1 km
2
resolution. Combined with these two types of
data are the incidental measurements from various parts of the study area describing, for
example, biomass development and crop patterns. The integration of all these different
types of data in the modelling process is called data assimilation.
Finally, information from the satellite images was used here to calibrate the models.
However, satellite imagery can also be used directly in the modelling process. In the next
section a summary is given of current methods for use of satellite images in the direct
evaluation of actual evapotranspiration, with a minimum of ground information.
Comparison with observations
Thermal domain Solar spectral domain
soil water
r
u
n
o
f
f
shoot biomass root biomass
precipitation
energy budget
evapotranspiration
T
r
NDVI
SAIL model
r
c
LAI
photosynthesis
partitioning
Figure 3.22. Coupled vegetation growth and energywater budget model (Cayroll et al. 2000). The
large bold arrow indicates carbon, water and energy fluxes. The state variables are the carbon
contents in the shoots and the roots, and the water content of the soil. The thin arrow represents
some of the model links. The dashed-line arrow shows how radiative properties are derived from
model variables. The outlined arrow represents the meteorological forcing (air temperature, relative
humidity, wind speed, solar radiation and precipitation).
104 Understanding water in a dry environment
3.7 REMOTE SENSING TECHNIQUES
3.7.1 Introduction
The capacity of remote sensing to identify and monitor land surface processes has
expanded greatly during the last 20 years, and many national and international research
programs have encouraged scientists to study the spectral radiative properties of the
Earths surface as measured from satellites (Bastiaanssen et al. 1999). Rising concerns
about global water availability and long-term climatic changes have added more urgency
to the need for developing practical methods. Evapotranspiration not only plays a crucial
role in the assessment of regional and global climate through the hydrological cycle, but
its estimation also has important applications on a local scale such as runoff prediction,
recharge evaluation, crop yield estimation and land use planning (Kalma & Calder 1994;
Kustas & Norman 1996).
A variety of methods and models have thus been recently developed, capable of
processing remotely sensed data for the measurement and monitoring of evapotranspir-
ation on global, regional and local scales.
Pioneer work on utilizing thermal infrared observations for estimating consumptive use
in agriculture was carried out by Idso et al. (1975) and Jackson et al. (1977). Methods
for determining actual evaporation from bare soil surfaces and vegetative transpiration at
the regional scale have been reviewed by Choudhury (1989), Baily (1990), Engman and
Gurney (1991), Moran and Jackson (1991), Schmugge and Becker (1991), Menenti
(1993), Norman et al. (1995) and more recently by Bastiaanssen et al. (1999).
If crops and vegetation are stressed by limited moisture availability the stomatal
apertures close, which increases the resistance to evapotranspiration. Evaporation from
bare soils is simply limited by availability of soil moisture. In general, the bulk resistance
r
st
(eqns. 65 and 67) increases when moisture availability falls below the optimum
required for reference evapotranspiration. The result of this increase in resistance is that
LE goes down and because net radiation remains the same, the sensible heat flux H has to
go up to maintain an energy balance. Since the sensible heat flux is driven by the surface
air temperature difference, this means that the surface temperature has also increased.
There is, therefore, a relationship in principle between surface temperature and
evapotranspiration. Surface temperature was eliminated when deriving the Penman and
PenmanMonteith formulae by using the relation between temperature and saturated
vapour pressure. This was done to be able to relate all measured variables to those
determined at one measuring height (e.g. wind speed, humidity and air temperature).
However, surface temperature is normally an observed variable when applying remote
sensing techniques. Thermal infrared (TIR) images in the wavelength range from 8 to
14 mm are therefore an essential requirement in this type of study.
The objective of this section is to present a short outline of the main methods in current
use. These differ mainly in the type of land use, the spectral characteristics of the sensors
used, frequency of satellite and platform overpasses, dependency on ancillary
micrometeorological data, and the use of numerical models to convert spectral radiances
into water and energy balances. This field of applied science is still in strong development
and many new methods and variations on existing methods are being proposed, as shown
by the large number of recent research papers. Only a few methods can be discussed in
the context of the present chapter. Physical approaches based on the PenmanMonteith
Operational solutions of actual evapotranspiration 105
resistance model and surface energy balance equations are the most common (Li & Lyons
1999). This can be done by using surface temperature to calculate sensible heat flux H and
then the latent heat flux LE through the energy balance equation. Alternatively, surface
temperature can be used to determine crop water stress indices and then ET (Moran et al.
1996). Several problems arise from the fact that satellites determine radiometric surface
temperature rather than aerodynamic surface temperature. The difference between these
two temperatures is discussed briefly in the next section. Another complication lies in the
fact that the smallest elements of the TIR images are usually quite large (60 m for
LANDSAT, 90 m for ASTER images), and are therefore often composed of a mixture of
vegetated and non-vegetated areas. Methods that take these two types of vegetation cover
explicitly into account are called two-source models. More complicated multi-layer
models have also been introduced (Lhomme et al. 1994).
3.7.2 Energy balance methods
The latent heat flux LE can be determined directly from the bulk transfer relation (72) if
the bulk resistance r
st
and aerodynamic resistance r
ah
are known, because the saturated
surface vapour pressure is a function of the surface temperature.
Latent heat flux can in principle also be determined in a straightforward manner through
combining the energy balance eqn. (49) with the expression for sensible heat flux eqn. (40):
LE R
n
G , c
p
T
s
T
a
r
ah
79
where r
ah
is the aerodynamic resistance given in eqn. (31) or eqn. (32) and T
s
is the surface
temperature as determined by infrared remote sensing. The net radiation R
n
is usually
determined through the equations outlined in Section 3.3, while the soil heat flux G is
normally only a minor fraction of R
n
. On a daily basis Gis even smaller because the daytime
soil heat flux is to a large extent cancelled out by the night time flux. Note that surface
temperature also plays a role in determining the outgoing long-wave radiation (eqn. 38).
In practice, however, there are several difficulties associated with using eqns. (72) and
(79). First, it is necessary to define the concept of surface temperature more precisely
(Norman & Becker 1995; Crago 1998). The surface temperature as used in the turbulent
transfer theory discussed in Section 3.2 is in fact the aerodynamic temperature (T
aero
).
That is, the temperature obtained by extrapolating the logarithmic air temperature profile
to the roughness length for heat transport (z
oh
) or, more precisely, to (d z
oh
) as discussed
in Section 3.2. The real surface temperature is defined as that corresponding to the
average kinetic energy of the surface layer molecules (kinetic temperature T
k
). Finally, the
temperature observed by infrared sensors in the satellite is the radiative or radiometric
surface temperature T
r
. This is related to the kinetic temperature by the emissivity of the
surface through:
T
r
1,4
T
k
80
When converting radiometric temperature to kinetic temperature, not only does the
surface emissivity have to be taken into account (through eqn. 80), but also the radiance of
the atmosphere. Furthermore, the radiative temperature shows a directional (zenith angle)
dependence.
106 Understanding water in a dry environment
The problem of determining the temperature difference in eqn. (79) can be addressed by
either introducing an extra resistance to r
ah
(Kustas et al. 1989), changing from single
resistance to two-source models (Norman et al. 1995), developing an empirical formula to
estimate the aerodynamic temperature (Huang et al. 1993), or by defining an image-based
calibration procedure (Bastiaanssen et al. 1998). Modification and calibration of the air-
surface temperature difference are usually accompanied by changes in the denominator
resistance term. Extra terms are added (excess resistance), expressions for the roughness
length for heat transport (z
oh
) as used in r
ah
are empirically altered, or complex empirical
resistance schemes are used. In principle the relation between z
om
and z
oh
(see, for
example, Brutsaert 1982) is given by the parameter kB
1
(as in eqn. 29):
kB
1
ln
z
om
z
oh
_ _
81
The parameter kB
1
has been found to vary substantially (020). Since z
om
is normally
only changing by a factor 10 to 100, the roughness length for heat transport z
oh
varies over
large orders of magnitude (Verhoef et al. 1997).
There is no clear consensus at present as to the accuracy of the satellite methods; a
thorough comparison between the latest proposed methods has not yet been made.
Moreover, a proper validation of the methods is hampered by the fact that eddy flux
measurements of individual components in the energy balance do not add up to zero;
there is no closure of the energy balance (Oncley et al. 2002). Discrepancies are found to
be in the order of 10 to 37% of the net radiation, which is equivalent to an evaporation
of several mm per day. Moreover, the components of energy transfer are usually highly
variable and it is difficult to separate systematic deviations from noise in the data. There
appears to be an error of approximately 1 mm day
1
under favourable circumstances,
which means that for irrigated or wet humid areas the percentage error is then about 10%.
However, for arid to semi-arid areas the percentage error may exceed 100% when actual
ET is in the order of 1 mm day
1
or less. These difficulties notwithstanding, the methods
for determining actual evapotranspiration by satellite offer considerable promise and
are capable of deriving areal evapotranspiration at regular intervals in a very cost-
effective manner.
Figure 3.23a shows a sensible heat flux map obtained from a remote sensing study
(Bastiaanssen 2000) in western Turkey (near Izmir), while Figure 3.23b presents daily
evapotranspiration for the same image obtained as a residual from the energy balance
equation.
3.7.3 Further literature and concluding remarks
For a review of early methods the reader is referred to Bastiaanssen et al. (1999). More
recently, Li and Lyons (1999) compared three different remote sensing models. A
comparison of several field methods, including some remote sensing methods, may be
found (as mentioned already in Section 3.6) in Kite and Droogers (2000a,b) and in the
special issue of J. Hydrology (2000, 229: 12): Comparing Actual Evapotranspiration
from Satellite Data, Hydrological Models and Field Data.
Information is also available from a large number of projects that have been conducted
over the past 15 years to quantify and validate remotely determined sensible and latent
Operational solutions of actual evapotranspiration 107
heat fluxes. Only a few are mentioned here: FIFE (Norman et al. 1995), Monsoon 90 and
SGP97 (Norman et al. 2000), Hapex-Sahel (J. Hydrology, special issue, 1997: 188189).
Table 3.5 below lists some recent literature in this field. Interested readers are also
referred to the websites of the TERRA and AQUA satellite platforms. Many products
relating to surface temperature, vegetation indices, and even evapotranspiration estimates
are now becoming available as standard items. Some methods use observations on the
same day from different satellites to resolve the energy balance equations. For these
methods the term time-integrated is used as opposed to single time solutions.
Aegean Sea
Aegean Sea
Izmir
Izmir
H (Wm
2
)
western Turkey
western Turkey
0 10000 m
scale
0 10000 m
scale
N
N
E (mmday
1
)
010
1030
3060
6090
>90
(a)
(b)
01
12
23
34
45
56
67
Figure 3.23. (a) Sensible heat flux map of western Turkey, derived from Landsat energy balance
calculations according to Bastiaanssen (2000). The date of the image is 29 August 1998. The dark
green area corresponds to irrigated land. (b) Daily evaporation and transpiration rates derived from
the energy balance through use of the sensible heat flux map from (a).
108 Understanding water in a dry environment
3.8 ACKNOWLEDGEMENTS
The persistent yet patient and friendly pressure by Prof. Ian Simmers is warmly
acknowledged. I am also grateful to Prof. Wim Bastiaanssen for his critical comments on
earlier drafts.
REFERENCES
Aboukhaled, A., Alfaro, A. & Smith, M. 1982. Lysimeters. Irrigation and Drainage Paper 39.
FAO, Rome, Italy, 68 pp.
Allen, R.G. 2000. Using the FAO-56 dual crop coefficient method over an irrigated region as part
of an evapotranspiration intercomparison study. Journal of Hydrology 229: 2741.
Allen, R. 2001. REF-ET, Reference Evapotranspiration Calculation Software for FAO and ASCE
standardized equations. University of Idaho. (http://www.kimberly.uidaho.edu/ref-et)
Allen, R.G., Howell, T.A., Pruitt, W.O., Walter, I.A. & Jensen, M.E. (eds) 1991. Lysimeters for
Evapotranspiration and Environmental Measurements. ASCE, New York, USA, 444 pp.
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114 Understanding water in a dry environment
CHAPTER 4
Surface runoff and sediment dynamics in arid and
semi-arid regions
Jens Lange and Chris Leibundgut
Institute of Hydrology, University of Freiburg, Fahnenbergplatz, Freiburg, Germany
ABSTRACT: Surface flow plays an important role in the ecological balance of dry areas, being
responsible for the distribution of renewable water resources and for enhanced sediment dynamics.
The present chapter first provides an overview of dominant processes, followed by a practical
concept which applies process knowledge to water harvesting. Different techniques for quantifying
surface runoff and sediment dynamics are then introduced. Direct measurements are compared with
indirect estimation tools, the latter providing valuable alternatives in areas with missing data. Finally,
to illustrate the general characteristics as they are now known, case studies from different parts of
the globe are presented. Since the processes occurring and methods applied are pre-defined by scale
and climate, the studies are grouped accordingly. To a certain degree all the presented findings are
site specific. However, if the scale and climatic regime are similar, the principal results may be
translated to other locations. They then are of particular value in the search for adequate research
tools or for first approximations.
4.1 GENERAL ASPECTS
4.1.1 Runoff generation processes
In humid regions there is an obvious excess of precipitation over the seasonally integrated
water need for an abundant plant cover. Different runoff generation processes (e.g. runoff
from saturated areas, piston-flow effects, macropore flow and the slow outflow of large
groundwater bodies) sustain the flow of perennial rivers. On the other hand, semi-arid
zones can be viewed as those where a favourable water balance is achieved only seasonally.
During the wet season most precipitation infiltrates to refill underground storages emptied
during the long dry period. Humid runoff generation processes, dependent on the
abundance of water, lose significance; runoff is increasingly generated as infiltration
excess overland flow following the ideas of Horton (1933). Conditions for this process are
even more favourable in arid areas, mainly as a result of the absence of a developed soil and
vegetation cover and exposure of impervious surfaces. Surface runoff hence achieves
renewed significance in desert environments (Gat 1980).
Overland flow may be defined as flow of water over the land surface towards a stream
channel and as the initial phase of surface runoff in dry regions. If rainfall intensity at any
time during a storm exceeds the infiltration rate of a soil, water accumulates on and near
the surface. The soil infiltration rate usually declines exponentially with time reaching
a constant final value. When surface depressions are filled, water spills over to run
downslope. On plane surfaces (e.g. paved urban areas or a laboratory flume) a thin film or
even sheet of flowing water may develop, often termed sheet flow. On natural slopes,
however, topographic irregularities direct most runoff water into lateral concentrations of
flow. Following anastomosing paths, these concentrations often give the appearance
of flow in a wide braided channel and hence no simple description or modelling of
overland flow hydraulics is possible (Emmet 1978).
Experimental fieldwork by Lavee et al. (1998) in the Near East has shown the climatic
dependence of surface flow generation. Sites were located along a climatic transect, from
the Mediterranean (600 mm annual precipitation) through the semi-arid (300 mm annual
precipitation) to an arid climate (100 mm annual precipitation). Organic matter content
and the stability of soil aggregates generally decreased with aridity. As a consequence
infiltration rates also decreased, as observed from a set of rainfall simulation experiments
(Figure 4.1). Widespread infiltration was the dominant process in the Mediterranean
climate area and Hortonian overland flowdominated in the arid area. The transitional semi-
arid area was characterized by a mosaic-like pattern of patches contributing and accepting
surface water.
Similar patterns of different hydro-ecological and vegetational characteristics were also
found for semi-arid areas in the Sahelian Zone of Northern Africa (Bromley et al. 1997).
In general these spatial patterns are highly vulnerable to anthropogenic or climatic
changes, and highlight the delicate ecological balance of semi-arid environments. Other
experimental studies also emphasise the transitional character of semi-arid zones.
Martinez-Mena et al. (1998) studied the natural hydrological response of four (0.3
0.75 ha) micro-catchments in semi-arid Spain over a three year period. In more degraded
areas with fine textured and poorly permeable soils Hortonian overland flow was found to
be the dominant runoff generation process. In soils with coarser texture runoff occurred
only after saturation. In terms of runoff generation the environment could be separated
into areas where humid processes prevail and those where arid processes dominate. The
Figure 4.1. Typical infiltration rates for Mediterranean (A), semi-arid (B) and arid (C) sites along a
climatic transect (Lavee et al. 1998).
116 Understanding water in a dry environment
runoff response for the latter area was more accentuated (9% runoff coefficient, 3.6 mm as
threshold for runoff initiation) than for the former (<3%, 8 mm respectively). In a similar
environment Bergkamp (1998) studied a cultivated, terraced slope. He found that in
extreme natural events overland flow was generated on several parts of the slope, but did
not reach the channel. Observed runoff at the catchment scale had to be attributed to areas
adjacent to the stream bed or uncultivated parts of the catchment.
In drier, truly arid regions (annual rainfall below 100 mm) plant cover is only concen-
trated in small patches and in most areas organic matter is totally absent on the ground
surface. The surface soil is largely the first point of contact by rainfall. Physical and
chemical properties of surficial material thus play a primary role in runoff generation. Two
different landscapes may be distinguished: terrain with thick unconsolidated sediments of
aeolian or fluvial origin, and terrain where rocky or debris mantled slopes dominate. With
increasing aridity bare rock or scree slopes are increasingly important. Only a minority of
global deserts are covered by aeolian sands; for example 15%of the Sahara (Mabutt 1977).
In rocky deserts underlying rocks are usually exposed or covered by either a thin veneer
of debris or shallow lithosols. At the base of most slopes colluvium accumulates. Infilt-
ration rates of bare rock surfaces are low (about 1 mm of threshold for runoff initiation and
1 to 5 mmhr
1
final rate) and vary little due to differences in rock type or jointing (Schick
1988). However, infiltration characteristics may differ significantly with slope position.
On rocky upslope areas, for example, large amounts of runoff may be generated immedi-
ately after the onset of rain. Infiltration rates of the colluvial base, on the other hand, are an
order of magnitude higher and allow losses of large amounts of runoff originating from
upslope areas (Yair 1992). Different aspects of runoff generation and flow discontinuity
were studied on a limestone slope in the arid northern Negev desert, Israel, and are
discussed in a later case study (see Section 4.3.2).
Infiltration characteristics for unconsolidated sediments depend mainly on grain size
distribution and the tendency to surface sealing. In many deserts final infiltration rates for
bare coarse sands exceed 100 mmhr
1
(Agnew & Anderson 1992). Nevertheless, even
within an arid sand dune area a biological topsoil crust may reduce infiltration signifi-
cantly and lead to runoff (Yair 1990); the formation of surface crusts is more accentuated
in sediments with a high silt and clay content. During high intensity storms rain drops
disperse the soil matrix and form a stable surface layer of reduced permeability. Most
runoff in silty arid and semi-arid terrain is caused by these crusts. The effect of rock
fragments on surficial properties is more complex; these have been reported to both
increase and decrease infiltration rates and amounts (Brakensiek & Rawls 1994).
Accounting for all losses (slope- and channel losses), estimates for the threshold of run-
off initiation in small (ca. 2 km
2
) desert catchments depend on lithology and differ between
4.5 and 11 mm (Table 4.1). Despite this variability comparisons of maximum probable
floods in small desert catchments yield similar results in markedlydifferent lithologies. One
may therefore assume that, at least in small arid catchments, differences in terrain char-
acteristics only leave their mark in normal or large flood events. During truly high magni-
tude events they tend to be blurred and rainfall parameters are more decisive (Schick 1988).
4.1.2 Wadi flow and transmission losses
Some of the largest rivers in the world (e.g. Nile and Indus) flow partly in arid and semi-
arid regions. These perennial streams are important water resources but originate from
Surface runoff and sediment dynamics in arid and semi-arid regions 117
more humid areas. Streams which originate within arid and semi-arid lands remain dry for
most of the year. They flow only occasionally as a result of runoff generating rainstorms.
Graf (1988) distinguished three kinds of ephemeral wadi floods. Flash floods limited to
small catchments (<100 km
2
) are produced by convective rainstorm cells. Hydrographs
are characterized by a rapidly rising limb, a sharp peak and an equally sharp falling limb.
Single-peak floods in larger catchments are generated by regional rain systems (e.g.
frontal or tropical rain). Multiple peak floods result if multiple precipitation events occur,
or different tributaries of a dendritic channel system are active.
Schick (1988) reviewed the characteristics of flashy high magnitude floods in rocky
arid catchments located in the southern Negev and in Sinai. These are geomorphologically
highly efficient, modifying the landscape by erosion and depositing huge amounts of
debris. Flow rises from insignificant levels to high, short flood peaks within several
minutes forming walls of water. Direct observation of one of these floods indicated
supercritical flow with float determined surface velocities of about 5 ms
1
. In these envir-
onments many characteristics of small flashy floods are preserved even in large catch-
ments, where peak flows of up to 1650 m
3
s
1
are reached.
In arid and semi-arid areas evaporation is pronounced and the time span between single
flood events is usually long. Ephemeral floods hence mostly travel on a dry bed allowing
significant infiltration losses into the channel alluvium on their way downstream. These
transmission losses, which result in a downstream decrease in runoff, have been observed
for many years (e.g. Renard & Keppel 1966; Wheater 2002). During a flood event
Table 4.1. Infiltration characteristics of different terrain types in an arid catchment (after Lange
et al. 1999).
Terrain type Initial loss (mm) Final infiltration rate (mm h
1
)
Limestone plateau** 4.5 5
Dissected limestone plateau** 7 15
Steep active slope 10 30
Dissected loessial colluvium 10 20
Loessial plateau 7.5 15
Sandy crusted plain 9 15
Sandy vegetated plain 11 50
Pleistocene terrace** 6 8
Early Holocene terrace** 7 12
Late Holocene terrace** 11 40
Flint plateau 6 10
Dissected flint plateau 8 20
Marly sediment 9.5 15
Lisan Marl, uncovered 7.5 12
Lisan Marl, covered 6 8
Marine Jurassic 7.5 10
Active alluvium*
Agricultural area*
Disturbed area*
Badlands on marl** 9.5 20
Iron crust 7 20
* Terrain where all rain infiltrates.
** Terrain type with performed field experiment.
118 Understanding water in a dry environment
different processes (e.g. air entrapment, scour and fill) are active, constantly modifying
the intensity and amount of transmission loss. Dunkerley and Brown (1999), for example,
directly observed a discrete flow event in a small desert stream in western Australia.
Transmission loss totally consumed the flow over 7.6 km resulting in a rapid loss rate
of 13.2% per km with marked spatial variability. Different factors governing flow losses
were observed, including abstractions of flow to pools, scour holes and other low points
along the channel, overflow abstractions into dead-end channel filaments, and extensive
mud drapes settling on sand bars and other porous channel materials. Silt carried by flood
waters can effectively seal the alluvial surface even during flood events at unexpectedly
high flow velocities (Crerar et al. 1988). The interplay of scour and fill is complex and not
fully understood, which prohibits accurate quantification of loss volumes and makes
reach-scale studies essential for further insight (Wheater et al. 1997).
At the reach scale Knighton and Nanson (1994) compared the water balances of about
30 individual events in two reaches of Cooper Creek, Australia, of 32 and more than
400 km long. Plotting outflow/inflow ratios against event magnitudes they obtained
striking differences. In the short 32 km reach, ratios increased with event magnitude
approaching a near constant value in medium to high flows, whereas the same events
caused a highly non-linear pattern in the long reach. There outflow/inflow ratios increased
with event magnitude only to an intermediate maximum. With further increase they fell
rapidly to a fairly constant level before again rising at only very high discharges. The
intermediate maximum was explained by the authors as bank full discharge in primary
channels with maximum flood transmission efficiency. Only during larger events was the
floodplain considered to act as an additional area of losses. Later on the same authors
found other indirect evidence for a stage-dependent flooding of over-bank areas. Using
the same data set, they related catchment travel time to discharge and again obtained an
intermediate maximum, equated as the onset of flood plain flow with maximum channel-
floodplain interactions (Knighton & Nanson 2001). Applying a non-calibrated flow
routing scheme to a 150 km arid channel reach of the Kuiseb river, in the Namib Desert,
Namibia, Lange et al. (2002) showed similar characteristics of reach-scale channel trans-
mission losses. Channel transmission losses were deliberately excluded from the scheme.
By doing this, transmission losses could be identified at the downstream end of the reach,
when model simulation results (including their uncertainty range) plotted significantly
higher than measured discharges. This methodology showed directly during flow events
that channel transmission losses concentrate during high discharge peaks and are minor
during small to medium flows. In the Kuiseb river this behaviour was also attributed to
a flow-dependent scour of clogging silt layers and, more important, to enhanced water
losses in flooded over-bank areas.
4.1.3 Sediment dynamics
Arid and semi-arid regions are characterized by intense physical weathering and sparse
vegetation cover. High rainfall intensities are prominent during most runoff producing
storm events. All these factors promote soil dispersion by rain splash, with subsequently
generated Hortonian overland flow removing the dispersed soil particles. Further down-
slope rills and gullies are carved into the land surface by concentrated flow. These
erosional features are most recognizable in badlands, characterized by intensely dissected
landscapes on unconsolidated or poorly cemented material. Throughout the arid and
Surface runoff and sediment dynamics in arid and semi-arid regions 119
semi-arid zone such badlands develop on marls, shales and silty-clay formations, enhanced
by sparse vegetation and marked seasonal climatic variations. Long-term annual denuda-
tion rates may cover a wide range (0.44 mm yr
1
) even in morphologically similar areas,
producing a discrepancy that cannot be completely explained (Bryan & Yair 1982).
Eroded material makes up the huge sediment load of ephemeral wadi floods and is
contributed from either adjacent slopes or derived from unstable beds and banks in the
wadis. Small particles may travel for long distances downstream as suspended load before
settling to the bed, with bed load of larger particles moving by traction on the river bed.
Walling and Webb (1996) have provided a global overview of annual suspended sediment
yield within the worlds rivers (Figure 4.2). Catchment size, relief, loess cover and climate
were the predominant factors modifying the global pattern. Since arid and semi-arid
precipitation and runoff events are variable both in time and space, caution should be
exercised in comparing annual sediment yields. Nevertheless, some interesting features
resulted. Despite decreasing annual runoff, semi-arid regions are characterised by higher
values of sediment yield than most temperate regions, pointing to enhanced sediment
dynamics during single runoff events. Within arid deserts relatively low values are deter-
mined, revealing the effect of the rare occurrence of wadi floods. Data on bed load are
globally scarce. Sediment budgeting in a small hyperarid catchment indicated the impor-
tance of bed load in rocky desert environments (Schick & Lekach 1993). During a decade
two-thirds of the sediment was made up by bed load and more than four-fifths by the
sand-and-larger fractions.
4.1.4 Water harvesting adapted to aridity: the concept of micro-catchments
The quantity of water available is a principal constraint in arid zone agriculture. Civili-
sations settling in desert environments had two options: they either conveyed water from
Figure 4.2. World wide distribution of sediment yield (Walling & Webb 1996).
120 Understanding water in a dry environment
distant regions or developed techniques to exploit the meagre local resource. Ancient desert
civilisations usually did not have the skills or resources to transport water over long dis-
tances. Hence, in many arid regions local water harvesting techniques date back for more
than 2000 years. This ancient knowledge is also applicable today, providing a cheap
alternative for agriculture adapted to limited rainfall; the concept of micro-catchments
(Shanan et al. 1970).
The general principle behind this concept is to modify the surface in order to use runoff
water more efficiently, achieving increased agricultural yields. Runoff water from small
(less than 10 ha), mostly rocky contributing catchments is collected and spread over a
soil covered receiving-cultivated area. This leads to the introduction of a catchment-
cultivated ratio (ratio between contributing and receiving catchments) depending on the
local environmental setting (Table 4.2).
The concept of micro-catchment systems has the following principal advantages:
Simple construction at low cost;
Use of low-salinity runoff water;
Easy operation and cheap maintenance.
In the contributing catchments slope runoff should be collected before it reaches
rills and gullies, and the depth of flow should be less than 2 mm with velocities below
7 cms
1
. Thereby, the maximum length of overland flow may be related to slope gradient
(Table 4.3).
Planning the layout of micro-catchments must take into account the quantity and
frequency of runoff, the permeability of the soil and tolerance of the crop to drought and
standing water. Detailed surveys of soils and topography should therefore be accompanied
Table 4.2. Catchment-cultivated ratios in different environments.
Setting Catchment-cultivated
ratio
Source
Sorghum in semi-arid North Dakota, USA 2 Haas et al. 1966
Orchards in the semi-arid Beersheva-Plain, Israel 1.56 Hillel 1967
Different field crops and pasture plants in the
arid Negev Desert, Israel
Around 20 Evenari et al. 1982
Table 4.3. Maximum recommended length of overland flow on a bare desert surface (Shanan &
Tadmor 1979).
Slope gradient (%) Max. recommended length of
overland flow (m)
1 25
3 14
5 11
10 8
20 5
40 4
Surface runoff and sediment dynamics in arid and semi-arid regions 121
by measurements of the real runoff producing potential for several (35) years on runoff
plots.
From the results of such a measuring campaign, Shanan and Schick (1980) quantified
initial losses (the amount of stormrainfall lost until runoff initiation) in the rocky Northern
Negev Desert, Israel. In this region, with 100 mmof annual rainfall, about 5 mmof rain was
lost during each storm in a 17 ha catchment due to crust wetting (2.5 mm) and overland
flow losses (2.53 mm).
4.2 ASSESSMENT TECHNIQUES
4.2.1 Direct measurement of flow and sediment
Runoff gauging stations are rare in arid and semi-arid environments, since in most
countries the necessary financial means for installation and maintenance are restricted.
Recent studies in Africa, for example, have demonstrated that networks of hydrological
observing stations are in decline (Sehmi & Kundzewicz 1997). Continuously recording
standard gauges only measure the water stage by floats or pressure transducers. In
ephemeral streams flows with depths of !0.5 m cause particles of up to gravel size to
become unstable on channel beds (Graf 1988). Direct measurement of velocity by current
meters becomes difficult or even impossible during most high flows because of this bed
and bank instability. A common alternative is to compute discharge indirectly using the
slopearea method. This adapts a uniform-flow equation (the Manning equation) using
channel characteristics, watersurface profiles and a roughness coefficient. The fact that
cross-sectional geometry may permanently change during a flood event is therefore
neglected. As a result, gauged stream flow data in most arid and semi-arid channels have
a high inherent uncertainty. Moreover, gauging stations are frequently destroyed by the
huge erosive power of high magnitude events and data records are incomplete (e.g.
Greenbaum et al. 1998).
Field measurements of suspended sediment load comprise the collection of water and
sediment samples during flood events. Mean concentration of sediment is multiplied by
simultaneously measured flow volumes to obtain the total suspended load. Direct
measurement of bed load is more difficult and realistic results are highly dependent on
particle size and the sampling instrument. The relative efficiency of different samplers
ranges from less than 50% to more than 100% (Graf 1988). Reservoirs facilitate the most
accurate determination of total yield from a catchment, since both suspended sediment
and bed load are completely trapped (e.g. Schick & Lekach 1993).
4.2.2 Indirect estimation tools
Paleoflood technique
Peak stages of historic and recent floods may be reconstructed by paleoflood techniques
using morphological and sedimentary evidence (Baker 1987). Where flow boundaries
produce markedly reduced flow velocities during times of high flow, suspended sediment
is deposited forming slack water sediments. These deposits are minimum paleostage
indicators, since some flood water must have been above them at the time of emplace-
ment. Absolute high water indicators, including scour marks and lines of silt, driftwood
122 Understanding water in a dry environment
or organic debris, are more accurate. Due to reduced biological activity both slack water
deposits and high-water marks may be preserved for long periods in arid and semi-arid
settings. Bedrock-confined reaches are preferable, since they accommodate high
discharges by largely increasing flow depth and show a high cross-sectional stability.
Peak stages are transformed to paleodischarge estimates by slope-area calculations or
hydraulic modelling; e.g. by the HEC-2 package (Hydraulic Engineering Center 1982).
Since absolute ages of slack water deposits may be assessed using radiocarbon dating,
paleoflood hydrology may augment existing flood records and result in a more accurate
flood frequency analysis.
Deterministic rainfall-runoff models
Deterministic rainfall-runoff models may also be used to simulate and analyse the flood
response of arid and semi-arid catchments. However, most existing approaches depend
heavily on calibration with measured stream flow data (e.g. Hughes 1997; Wheater et al.
1997; Al-Weshah 2002a). As such, they are limited to gauged catchments and include the
uncertainties of hydrometric data collection. El-Hames and Richards (1998) applied a
robust, physically-based rainfall-runoff model to a 170 km
2
arid catchment in Saudi Arabia.
They achieved reasonable simulations, but a minimum of calibration was still required.
Only more recently has a fully non-calibrated approach been developed for high
magnitude floods in arid rocky desert catchments (Lange et al. 1999). Since only field-
based parameters were included, applications become possible in ungauged catchments
using other recent techniques (e.g. rainfall radar, remote sensing), thus overcoming the
need for model calibration. These latter two models are described in later case studies.
Runoff regression models
Regression and regionalization may facilitate the estimation of flood magnitudes. A world
wide comparison of flood frequency curves resulted in apparent similarities in arid and
semi-arid catchments and it was proposed by Farquharson et al. (1992) to treat them as a
homogeneous region. First the mean annual flood (MAF) was calculated:
MAF 1=n
X
Q
i
1
where Q
i
denotes the annual maximum flood series with n values. Then the flood series
at each gauging station was reduced to dimensionless form by dividing by the MAF
before fitting to a General Extreme Value (GEV) distribution. For all arid regions the
50-year flood was 4.51 times higher than the MAF, while for the 100- and 500-year flood
this factor was 6.15 and 12.28 respectively. As a second step all MAFs (m
3
s
1
) in arid
catchments were related to catchment area A (km
2
by regression analysis:
MAF 1:87A
0:578
2
As r
2
(the coefficient of determination) did not exceed 0.55, this equation should only be
used as an initial estimate. To obtain entire design hydrographs a study by Walters
(1989b) can be consulted. In this, Walters related the factors of design hydrographs
1=2PKW (width of the hydrograph at 1=2 peak stage, min), 1=4PWK (width of the hydro-
graph at 1=4 peak stage, min) and the recession constant k to catchment area A (km
2
) by
the following equations:
1=2PKW 2:578A
0:501
3
Surface runoff and sediment dynamics in arid and semi-arid regions 123
1=4PKW 2:508A
0:617
4
k 0:025A
0:441
5
Equations (3)(5) should again only serve as initial estimates, as r
2
-values were in the
same order of magnitude as for eqn. (2).
Graphical relationships between catchment area and maximum discharge have also
been determined for different regions in Israel (Shentsis et al. 1997); arid regions showed
by far the highest values and at a certain catchment size the discharge-area relationships
exhibited a negative trend due to the pronounced effect of channel transmission losses.
Assessment of channel transmission losses
Channel transmission losses can be regarded as important contributors to groundwater
recharge in arid and semi-arid areas. Studies by Hughes and Sami (1992) of infiltration
processes within the channel alluvium indicated large differences within small distances.
Point measurements of infiltration rates have also been made by Parissopoulos and Wheater
(1992). Kuells et al. (1995) combined these physical measurements with artificial tracers
(rhodamine) making preferential flow paths apparent. Mean infiltration rates for channel
alluvium may cover wide ranges starting from 44 mmhr
1
in loess-covered channels
(Shanan 1975) to more than 400 mmhr
1
in silty-gravel channels (Kuells et al. 1995).
In indirect studies by Wallace and Renard (1967), a measured rise in the groundwater
table near ephemeral streams was related to flow events. Using this relationship a
groundwater model could be constructed and calibrated for an alluvial aquifer recharged
by channel transmission losses. Limited information on flow and channel characteristics
was then combined with groundwater level measurements to estimate recharge. As a
further example, Alderwish and Dottridge (1995) reliably estimated groundwater recharge
for two wadis in Yemen using the finite-difference groundwater model MODFLOW
(McDonald & Harbaugh 1988) and piezometric measurements over one dry and one wet
season. Details of this work are given in Section 4.3.4.
If hydrometric data are available upstream and downstream in a channel reach, inflow
and outflow volumes may be compared and transmission losses quantified. Then, by
means of regression analysis, volumes of transmission loss may be related to flow and
channel characteristics. Including estimates of lateral inflows from tributary catchments,
Sorman and Abdulrazzak (1997) used this approach for a channel reach in the Tabalah
catchment, Saudi Arabia (see Section 4.3.3).
Lane (1985) analysed different magnitude flows in 14 channel reaches throughout
Arizona, Kansas, Nebraska and Texas, USA, and developed a simple estimation tool for
transmission losses in semi-arid channels. The outflow volume Q
o
(acre-feet) of a channel
reach is given by the expression:
Q
o
0 P
o
! P
i
a bP
i
P
o
< P
i
&
: 6
where P
i
is the volume of inflow (acre-feet), P
o
the threshold volume (acre-feet) and a, b
are parameters. P
i
is obtained by hydrological analysis with the remaining unknowns
calculated according to:
b e
kxw
7
124 Understanding water in a dry environment
a A=1 B1 b 8
P
o
a=b 9
where x (mi) and w (ft) are length and width of the channel reach. A, B and k are obtained
from:
A 0:00465KD
i
10
k 1:09 ln1 0:0545KD
i
P
1
i
11
B e
k
12
where D
i
is the duration of inflow (hr) and K is the effective hydraulic conductivity
estimated according to Table 4.4.
Regression models for sediment dynamics
The Universal Soil Loss Equation, USLE (Wischmeier & Smith 1978) is the most widely
and sometimes inappropriately used estimator of slope erosion and slope sediment
production because it is well defined, has published guidelines and offers apparent com-
patibility with numerous studies in many parts of the world. For principally agricultural
areas the soil loss A (kg m
2
s
1
is given by:
A 0:224RKLSCP 13
However, Graf (1988) has stated that use of the USLE in non-agricultural dry land
settings should only serve as an initial estimate. This becomes apparent from the large
range for the single parameter values he estimated. The rainfall erositivity factor R ranges
from 20 to 50 and the soil erodibility factor K from about 0.05 for sandy soils to about 0.6
for silty ones. The slope length factor L and the slope gradient factor S may be combined
as a topographic factor LS. For a slope 100 m long, LS varies from about 0.18 for a 1%
gradient to about 15 for a 30% slope. The cropping management factor C lies between 45
for areas with no vegetation and about 4 for areas which are 80% covered with shrubs.
Finally, the erosion control practice factor P lies in the 0.10.3 range for natural slopes.
Table 4.4. Relationship between bed material characteristics and hydraulic conductivity K
(Lane 1985).
Bed material group Bed material characteristics Effective hydraulic
conductivity K (in h
1
1 Very high loss rate Very clean gravel and large sand >5
2 High loss rate Clean sand and gravel, field conditions 25
3 Moderately high loss rate Sand and gravel mixture with low
silt-clay content
13
4 Moderate loss rate Sand and gravel mixture with high
silt-clay content
0.251
5 Insignificant to low Consolidated bed material; high
loss rate silt-clay content 0.0010.1
Surface runoff and sediment dynamics in arid and semi-arid regions 125
For large semi-arid and arid catchments in India, Miraki (1983) used measurements of
sedimentation in 32 reservoirs to define the following regression equation:
V 1:182 10
6
A
1:026
P
1:289
Q
0:287
S
0:075
D
0:398
d
F
2:422
C
14
where V is the volume of sediment yield (m
3
yr
1
, A the drainage area (km
2
, P the
annual rainfall (cm), Q the mean annual runoff (10
6
m
3
, S the catchment slope, D
d
the
drainage density (km
1
and F
C
an spatially weighted erodibility factor as defined in
Table 4.5.
Tracer techniques
Tracer techniques facilitate various studies of hydrological surface processes. Hydrograph
separation by natural tracers may be used to analyse runoff generation and in most
investigations two runoff components are separated: Event water and pre-event water
(Sklash & Farvolden 1979):
Q
ev
=Q
ges
C
ges
C
prev
=C
ev
C
prev
15
where Q
ges
is total runoff (m
3
s
1
, Q
ev
the amount of the component event water
(m
3
s
1
), Q
prev
the amount of the component pre-event water (m
3
s
1
and C
ges
, C
ev
and
C
prev
are the respective concentrations (mg L
1
.
As prerequisite for a successful application of this method the following conditions
must be met:
The concentrations of the event (e.g. rainfall) and pre-event (e.g. groundwater) com-
ponents are measurable and differ significantly.
There are no additional runoff components.
The spatial and temporal variations in the event/pre-event tracer concentrations must
be determinable.
In general, conservative environmental tracers (ions such as Cl
, SiO
3
4
and the
isotopes
18
O and
2
H) can be used if the prerequisites are met. In contrast to most humid
catchments, storm flow in semi-arid east Africa was clearly dominated by event water
(Sandstrom 1996).
The movement of sediment may be quantified more accurately by the environmental
tracer
137
Cs (e.g. Wise 1980) than by regression models. The 30-year half-life of this
isotope facilitates accurate dating in recent time spans (since 1954), which is intermediate
between short-term (10
0
10
1
years) process studies and long-term (10
3
10
8
dating
techniques. In areas unaffected by fall-out deposition from the Chernobyl accident,
137
Cs
was derived from historic atmospheric tests of nuclear weapons with marked peaks in
Table 4.5. Vegetation community values for F
C
(Miraki 1983).
Vegetation community F
C
Protected forest 0.2
Unclassed forest 0.4
Arable areas 0.6
Shrub and grass 0.8
Waste area 1.0
126 Understanding water in a dry environment
195759, 196264 and 1971 (Ritchie et al. 1974). If deposited on mineral soils it is rapidly
and strongly adsorbed by clay and organic colloids. This results in an exponential decrease
in concentration with increasing depth below soil surface. Redistribution only takes
place in association with sediment particles. In dry land environments
137
Cs is mainly
deposited in two systems: On hillslopes and within channel sediments. Ritchie et al.
(1974) derived the following regression:
Y 1:6X
0:68
16
where Y is radionuclide loss as a percentage of input and X is the soil erosion (tonnes
ha
1
yr
1
. Comparisons of the
137
Cs content for adjacent undisturbed and eroded sites
may provide quantitative estimates of soil erosion rates (Walling & Quine 1991). If mea-
surements in fluvial sediment are combined with those within catchments, studies of
sediment source areas and sediment routing in channel systems are possible.
Artificial tracers (such as the fluorescence dyes uranine or rhodamine) may provide
direct insight to processes during real flood events. Lange et al. (1998) chose this technique
to study infiltration losses in a dry wadi bed. In order to not be fully dependent on rarely
occurring natural flood events, an artificial flash flood was studied in a small arid stream
channel, Nahal Shahmon, Israel. A reservoir was built, filled with water (550 m
3
and
breached artificially. Three different artificial tracers were injected at different times of the
flood and surface water samples were taken at two locations downstream. Water moving
within the alluvium was also sampled with the help of fluocapteurs (small steel-mesh bags
containing adsorptive charcoal) distributed at different locations within the alluvial body.
The fluocapteurs enabled identification of the different pathways of the two dye tracers
downstream, and the maximum depth of infiltration could be approximated. This sampling
technique is promising for future studies in arid rivers, since fluocapteurs can remain in
place for a long time without maintenance. Towards the end of flow, exfiltrating water
from the channel alluvium was observed with a high tracer concentration.
4.3 CASE STUDIES
4.3.1 Introduction
Dry land research has been performed in many parts of the globe. However, since real
progress depends on the existence of long, detailed and reliable hydrological data sets, this
concentrates major research findings to a rather small number of experimental sites and
catchments. Prominent examples are outlined in this chapter; others are detailed by (e.g.)
Al-Weshah (2002b) and Alhamid and Reid (2002).
Hydrological processes investigated and methods applied are predefined by the study
scale. Most hillslope-scale studies address processes of runoff generation and sediment
mobilization, while in catchment-scale studies transmission losses, water balances and,
finally, hydrological modelling are more relevant. Apart from scale, research findings
should also be classified according to the prevailing climatic regime. Compared to the
almost barren extreme deserts, semi-arid landscapes are at least periodically vegetated.
Hillslope-scale processes, in particular, are then entirely different from those in deserts,
and require different approaches to understand and quantify surface runoff and sediment
dynamics.
Surface runoff and sediment dynamics in arid and semi-arid regions 127
To a certain degree all research findings are site specific. However, if the scale and
climatic regime are similar, principal results may be translated to other locations. They are
then especially valuable in the search for adequate research tools or for first approxi-
mations. The following case studies are thus grouped according to scale and in each the
climatic regime is explicitly stated. The final two examples provide regional overviews
and include a variety of climatic conditions.
4.3.2 The hillslope scalerunoff generation and sediment dynamics
Classification of runoff generation in semi-arid west Africa
Casenave and Valentin (1992) summarized the results of sprinkling experiments carried
out on 87 plots in arid and semi-arid areas in five states of West Africa. Analysing the
factors governing infiltration and runoff generation, they arrived at a hierarchical classi-
fication system for runoff generation based on eleven unit surfaces; homogeneous bodies
of land surface defined by sprinkling experiments (Table 4.6).
For each unit surface the depth of generated surface runoff L
f
(mm) was determined by
the regression equation:
L
f
AP
U
BIK CP
U
IK D 17
where P
U
is depth of rainfall (mm), AD are regression coefficients typical for each unit
surface (Table 4.6) and IK is a dimensionless index quantifying initial moisture:
IK
n
IK
n1
P
n1
e
0:5t
18
Table 4.6. Unit surfaces, identification criteria and regression coefficients (Casenave & Valentin
1992).
Unit
surface
Identification criteria A B C D
C1 Cultivated, vesicular porosity in the crust <5% 0.2 0.03 0.004 3
C2 Cultivated, vesicular porosity in the crust 530% 0.35 0.04 0.004 3
C3 Cultivated, vesicular porosity in the crust >30% 0.9 0.05 0.002 10
TW Non-cultivated, >20% earthworm casts and >30%
termite harvesting constructions
0.05 0.01 0.001 1
W Non-cultivated, >20% earthworm casts and <30%
termite harvesting constructions
0.1 0.05 0.002 3
DRY Non-cultivated, <20% earthworm casts and <40%
of coarse fragments without crust or with a drying crust
0.3 0.01 0.003 8
ST2 Non-cultivated, <20% earthworm casts and <40% of coarse
fragments covered with a structural crust of two micro-layers
0.5 0.02 0.004 10
ST3 Non-cultivated, <20% earthworm casts and <40%
of coarse fragments covered with a structural crust of
three micro-layers
0.85 0.01 0.003 8
SED Non-cultivated, <20% earthworm casts and <40%
of coarse fragments covered with a sedimentation crust
0.8 0.08 0.001 12
ERO Non-cultivated, <20% earthworm casts and <40%
of coarse fragments sealed with a erosion crust
0.95 0.09 0.001 9
G Non-cultivated, <20% earthworm casts and >40%
of coarse fragments with the major part embedded
into a structural crust
0.99 0.05 0.001 6
128 Understanding water in a dry environment
where IK
n
is the value before rain n, IK
n1
the value before rain n 1, P
n1
the depth of
rain n 1, and t the time (d) separating rain n and n 1. IK approaches 0 for dry soils, is
20 in wet soils and exceeds 80 at soil saturation.
The spatial distribution of these unit surfaces was mapped in 15 small watersheds and
runoff L
f
was calculated using spatially weighted coefficients in eqn. (17). Due to the
different scales the observed runoff L
o
(mm) deviated from that calculated and a second
step was required:
L
o
1:069L
f
1:51 19
The findings of this study clearly illustrate the dominant role of surface conditions (type
of crust and biological activity) for runoff generation in semi-arid West africa. However,
the need for a second regression before application to small catchments precludes accurate
runoff prediction from ungauged areas.
The semi-arid loess region, north China
The loess region in north China is characterized by a semi-arid continental climate. Mean
annual precipitation is about 500 mm with most of the rain falling during heavy storms in
the monsoon season (June to September). Hilly areas are covered by Pleistocene loess with
a thickness reaching 200 m. Two main characteristics have attracted researchers during the
last decades: enhanced runoff production due to pronounced soil surface crusting, and the
high sediment yields from the area, these being amongst the highest in the world.
Applying two alternative techniques, Zhang et al. (1998) attempted to verify existing
estimates of erosion rates on cultivated loess areas. These very high rates (in the range
10,00016,000 t km
2
yr
1
were based on empirical relationships (relating erosion rates
to slope angle and length) derived from erosion plot studies. Erosion was independently
quantified using rill volume data and
137
Cs as a tracer (Figure 4.3). The results showed
good agreement for the downslope variation with visible signs of rilling occurring 30 m
Figure 4.3. Erosion rates along a slope determined by different methods. Upper parts of the slope
are gently sloping, while lower parts are steep (Zhang et al. 1998).
Surface runoff and sediment dynamics in arid and semi-arid regions 129
downslope from the hilltop reaching a maximum about 50 m downslope. Further down
rilling intensity was limited, as the larger rills incised harder loess underlying the plough
layer. A similar downslope pattern was determined using
137
Cs. The absolute quantities
were different, however, because the
137
Cs-values represented long-term means while the
rills developed during only one major event. Nevertheless, both techniques provided a
more accurate spatial pattern of erosion rates. They indicated that existing empirical
relationships overestimate erosion rates on steep slopes (lower parts in Figure 4.3), while
on gently sloping fields the opposite is true (upper parts of Figure 4.3).
Li et al. (1995) conducted simulated rainfall experiments using sprinkling devices on
runoff plots in different topographic zones. Moderate slopes (5
gradient) on a hilltop
were planted with typical field crops, and were the areas where the highest infiltration
rates and longest ponding times were recorded. On steeper cultivated hill slopes (25
gradient) moderate values occurred. The lowest infiltration and the shortest ponding
time were registered for a steep gully wall (35
and
Cl
and
Mg
2
remained relatively uniform. A comparison of the chemistry for the different tribu-
taries showed that the mineralogical signature and weatherability adequately explained
the stream water ionic composition.
In another study sediment yields of the Luni basin were compared with other catch-
ments in the Indian arid zone (Sharma 1996). Sandstone outcrops generated highest
sediment yields, followed by limestone, quartzite and shale. Moreover, sediment loads
increased with rainfall and drainage basin slope. Promotion of vegetation on the slopes
and the construction of check dams reduced sediment yields by 6594%.
The arid Nahal Zin, Israel
Nahal (Wadi) Zin is one of the major arteries draining the northern Negev Desert in Israel
to the Dead Sea. The upper part of this 1400 km
2
arid catchment drains the plateaus of the
northern Negev Highlands. Shallow rocky soils dominate the terrain and the valleys are
filled with loessial silty sediments. In the lower catchment loose sediments and reaches
covered by thick channel alluvium can also be found. Within the catchment average
annual rainfall is 6090 mm; localized storms occurring as convective cells are mainly
responsible for the high magnitude floods (Schick 1988).
Greenbaum et al. (1998) analysed one high magnitude rain storm flood which occurred
in October 1991. The rainfall pattern was determined using temporal intensity patterns at a
point, intensity factor maps (Kelway & Herbert 1969), and a spatial evaluation of the time
at which maximum rainfall intensity occurred at a given point. The results were
subsequently verified by rainfall radar data. This thorough analysis yielded a completely
different picture of rainfall intensities than might have been portrayed if based on
available rain gauge data only (Figure 4.10).
The flood hydrograph was reconstructed using techniques of paleoflood hydrology.
These were based on sedimentological evidence of fine-grained flood deposits in back
flooded tributaries as well as on other stage indicators. The HEC-2 procedure (Hydro-
logical Engineering Center 1982) was used to determine water surface profiles and
paleodischarge estimates. A triple peak hydrograph was reconstructed, which reached a
maximum discharge of 550 m
3
s
1
with an estimated recurrence interval of 4050 years.
Lange et al. (1999) used this detailed information on the high magnitude flood to
develop a non-calibrated rainfall-runoff model. Model parameters were determined using
only previous experimental results, measured field data and information from maps and
aerial photographs. Appropriate tools to derive and to process the spatially distributed
Surface runoff and sediment dynamics in arid and semi-arid regions 137
model input (weather radar, air photos and GIS) were used. The two major processes
governing the development of large desert floods, generation of Hortonian runoff on the
surfaces and flow losses along the channel network, were integrated in a spatially
distributed way. Model uncertainty was assessed independently for each of the 13 input
parameters. All model simulations fell within the uncertainty ranges of the reconstructed
peak discharges (Figure 4.11). From the fully distributed structure of the model it could be
shown that during this flood only one large upper tributary reacted simultaneously with
the main channel. Lower tributaries produced preceding peaks which wet the channel
alluvium before the main flood arrived; transmission losses therefore lost their signifi-
cance downstream.
The arid Tabalah catchment, Saudi Arabia
The 1,270 km
2
Tabalah catchment drains eastwards towards the inner part of Saudi Arabia
and provides an extensive data base comprising at least 14 rainfall recorders, three runoff
Figure 4.10. Total storm rainfall in Nahal Zin. Calculated pattern based only on available station
data (left) and reconstructed pattern (right) (Greenbaum et al. 1998).
Figure 4.11. Simulated hydrographs and reconstructed peaks at three gauging stations (13)
(Lange et al. 1999).
138 Understanding water in a dry environment
stations, one climate station and five observation wells. In this arid catchment, with an
exceptionally well established data base, Abdulrazzak et al. (1989) attempted to quantify
individual water balance components. Crystalline rocks and basalts did not offer
significant groundwater storage and the main aquifer was located in alluvial deposits
beneath the channel. As a consequence, single runoff events (three to eight per year) had
to be regarded as an important water resource. Over a period of two years water balance
components were determined independently for 13 runoff producing and 13 non-runoff
producing events. Mean values for these events indicated that only 3% of annual
precipitation became surface runoff, of which 7075% contributed to recharge of the
shallow alluvial aquifers. As a whole, 63% of the annual rain was lost by evaporation
and 3032% was stored as soil moisture in the unsaturated zone. The accuracy of the
calculated water balance, however, strongly depended on correct estimation of the mean
spatial precipitation and potential evaporation.
In a second study Sorman and Abdulrazzak (1993, 1997) more closely examined
recharge to an alluvial aquifer within the Tabalah catchment; the volume of transmission
losses was determined for 27 events for a study reach of about 60.5 km. Gauged volumes
of upstream inflow were combined with tributary runoff contributions and subsequently
related to the downstream outflow volumes. Tributary input was estimated using
measured precipitation and the simple SCS-formula (SCS 1985) for runoff generation.
Relationships between the magnitude of transmission losses and flow parameters were
obtained by regression analysis.
It was noted that transmission losses were highly correlated to inflow volume
(r
2
0:902:
T
L
0:19 0:47V
UP
20
where T
L
and V
UP
are the volumes (MCM) of transmission loss and upstream inflow into
the reach, respectively. The measured rise in groundwater table for the underlying
alluvial aquifer (GWR, m) was related to the volume of transmission losses by:
GWR 0:005 0:594T
L
21
with an r
2
of 0.78. Reliable estimates of transmission loss and associated groundwater
table rise could hence be achieved knowing only the inflow volume. However, these
equations remain site-specific, and may require further verification and modification
using additional data from other arid channels.
To shed more light on evaporation processes from bare soils in wadi channels, Sorman
and Abdulrazzak (1995) used different approaches on an experimental reach within the
Tabalah catchment. They first determined potential evaporation using various methods.
Concurrent soil moisture data were obtained by neutron probe measurements directly in
the channel alluvium. From these measurements groundwater recharge due to direct
infiltration of rain water could thus be excluded. When ponded water as a result of wadi
flow was recorded, the wetting front reached the shallow groundwater table and recharged
the shallow subsurface reservoir. Daily rates of actual evaporation were estimated by
comparing soil moisture contents at different times. The values reached 3.0 mmday
1
immediately after floods or rain, but quickly decreased to 1.5 mmday
1
in dry periods.
After a long dry season actual evaporation could decrease to as low as 0.10.2 mmday
1
.
These values were confirmed by measured data from an artificial rainfall/infiltration
experiment.
Surface runoff and sediment dynamics in arid and semi-arid regions 139
El-Hames and Richards (1998) used the knowledge and data described above to
develop and apply a physically-based rainfall-runoff model to the upper part (170 km
2
of
the Tabalah catchment. Kinematic wave theory and a full solution of the St. Venent
equations were used to account for flood routing along slopes and in wadi channels,
respectively. A numerical scheme solving the Richards equation was coupled with these
flood routing techniques to account for infiltration losses. In the absence of reliable
spatially distributed rainfall data, full calibration of the model was rather difficult.
However, the model could still reproduce three storm runoff events with a fairly high
degree of precision (Figure 4.12).
The arid Wadi Ghat, Saudi Arabia
The 597 km
2
Wadi Ghat catchment drains the Asir Mountain range, in southwest Saudi
Arabia, to the Red Sea. Annual precipitation is 322 mm and approximately 90% of the
catchment consists of rocky outcrops and shallow soils. Intense convectional rain storms
produce typical flash floods with steep rising limbs and rapid recession to zero base flow.
Walters (1989a) reported on a unique flood event which occurred on 23 April 1985.
Three rain gauges located within the catchment and seven in its surrounding area
facilitated reconstruction of the spatial rainfall distribution. During four hours a rain cell
crossed the catchment from west to east. Maximum recorded rainfall (177.4 mm) occurred
within three hours, reaching an intensity of 115.4 mmhr
1
in the southeastern part of the
catchment. This intense rainfall caused a large flash flood at the Wadi Ghat gauging
station (Figure 4.13).
After a modest increase there was a tremendous rise to the peak of 3200 m
3
s
1
.
Comparing flood volume with spatially weighted rainfall as determined by the Theissen
polygon method, resulted in a runoff coefficient of 27.2%. Frequency analysis indicated
that the hourly rainfall had a return period which exceeded 200 years, while the recorded
peak discharge could be expected on average once every 143 years.
The arid Barrier range, Australia
Most ephemeral channels draining western flanks of the Barrier Range in western New
South Wales, Australia, are ungauged. The greatest volume of storm runoff results from
synoptic scale depressions rather than from local convective storms. Mean annual rainfall
and potential evaporation total 190 and more than 2000 mm, respectively. The Barrier
Range is composed of crystalline basement and sedimentary sequences, while the flanking
plains are covered by accumulated piedmont sediments. In the absence of gauged stream
Figure 4.12. Observed and simulated hydrographs for three events in the upper Tabalah catchment
(El-Hames & Richards 1998).
140 Understanding water in a dry environment
flow data, Dunkerley (1992) surveyed channel form and bed material at sequential sites
along two lowland stream reaches.
Cross-sections were mapped at intervals of about 1 km and channel gradients, highest
water surface elevations and the maximum grain size transported during flow events were
determined. From these parameters critical flow velocities (required to transport the
largest boulders), mean flow velocities and discharges were estimated. All parameters
significantly declined downstream. The estimates of flood discharge could not substitute
actual flowdata, since they were based on calculated velocities without fully understanding
the flow mechanics. However, their striking downstream decline provided valuable
indications of channel processes and emphasized the importance of transmission losses
in these environments (Figure 4.14). Mean rates of discharge loss (19.8 m
3
s
1
km
1
and
17.0 m
3
s
1
km
1
were in surprisingly close agreement for the two wadis.
4.3.4 Regional comparisons
Floods and transmission losses in Yemen
Farquharson et al. (1996) studied surface water resources in Yemen. The mountainous
nature of the country, rising from sea level to over 3700 m within about 100 km, strongly
affects the hydrology. The orographic influence on rainfall is strong and mean annual
values vary from 50 to 800 mm. In most dry upland areas a unique practice of bunding and
terracing impedes immediate runoff and erosion, permitting reliance on rain-fed agri-
culture. Short data records, typical for arid and semi-arid regions, made assessment of the
available water resources even more difficult. Long-term runoff records were available for
only a few main wadis with only two sites providing data for more than 20 years.
Figure 4.13. Flash flood at Wadi Ghat (Walters 1989a).
Surface runoff and sediment dynamics in arid and semi-arid regions 141
Since rainfall records covered a longer time period and were thought to be more
reliable, they were used to prolong runoff records for the northern part of the country with
the help of a rainfall-runoff model. Characteristic zones for surface runoff were classified
to account for the effect of terracing and water absorption into deep alluvium layers; the
model used the SCS Curve Number method (SCS 1985) and was calibrated for six
different wadis. By incorporating existing sparse and sporadic flow records in the southern
and eastern parts of the country, a countrywide relationship between mean annual rainfall
and runoff was established (Figure 4.15). Large variations in the runoff coefficients were
related to differences in topography and land use. However, even in the most arid areas
runoff coefficients did not fall below 5%.
Alderwish and Dottridge (1995) selected catchments in the intermontane Sanaa basin
to quantify the yearly recharge from two ephemeral streams. They first collected all the
available geological, hydrogeological and hydrochemical information. With this
extensive set of subsurface data they calibrated the finite-difference groundwater model
MODFLOW (McDonald & Harbaugh 1988) in a steady-state, reproducing the general
pattern of groundwater flow.
Using the steady-state model as a starting point, a transient calibration was performed
including four floods in the first rainy season of 1993. Detailed, regular water level
measurements in the alluvial aquifer had already been initiated. The boundary conditions
from the steady-state calibration (aquifer thickness and hydraulic conductivity) were left
Figure 4.14. Discharge estimates for two ephemeral channels in Australia (Dunkerley 1992).
142 Understanding water in a dry environment
unchanged. By a trial and error procedure, stream bed hydraulic conductance (represent-
ing the degree of hydraulic connectivity between wadi and alluvial aquifer) and specific
yield of the alluvium were adjusted (calibrated) until the observed groundwater hydro-
graphs could be reproduced by MODFLOW. As a result, recharge from the two wadis
during a rainy season could be quantified; these compared well with independent esti-
mates of recharge derived from computations of the surface water balance (Table 4.7).
High magnitude floods in the entire United States
Costa (1987) analysed the largest historic rainfall-runoff floods from small catchments
(0.39370 km
2
in the entire USA; twelve were identified to be the largest ever measured.
For all of them, post-flood surveys and subsequent calculations by the slope-area method
provided indirect measurements of peak discharge. All events plotted on a smooth curve
of drainage area versus discharge, and occurred in the semi-arid and arid parts of the
western and southwestern United States (Figure 4.16). Mean annual precipitation in these
catchments ranged from 114 to 676 mm. However, the greatest measured rainfall inten-
sities for short durations were measured in humid parts of the United States and did not
coincide with the maximum flood peaks.
Estimated composite Mannings n values ranged from 0.028 to 0.048 with a mean of
0.038. Mean peak flow velocities and maximum Froude numbers for the entire channel
cross sections were 3.479.97 m s
1
and 0.812.49 respectively. This indicated critical
or even supercritical conditions during peak flow. Shear stresses and unit stream powers
Figure 4.15. Mean annual rainfall and runoff in Yemen (Farquharson et al. 1996).
Table 4.7. Calculated recharge volumes for two wadis in Yemen (Alderwish & Dottridge 1995).
Location Catchment area Recharge (m
3
from Recharge (m
3
from
(km
2
groundwater model channel water balance
Wadi Dhar 13.4 35,718 37,635
Wadi Alsir 182.7 594,720 548,575
Surface runoff and sediment dynamics in arid and semi-arid regions 143
were several hundred times greater than for floods in large rivers (e.g. Mississippi,
Amazon). Morphometric catchment characteristics did not differ markedly from other
flash-flood prone areas. Exceptions could only be found in relatively high elongation ratios,
indicating short compact basins and relatively low drainage densities. It was concluded
that the location of the largest historic flash-flood peak discharges from small basins
appeared to be controlled by an optimum combination of high rainfall intensity, and basin
physiographic and morphologic characteristics. Key environmental conditions were: (a)
the rapid surface runoff response typical for arid and semi-arid climate, due to an
abundance of exposed bedrock and restricted soil and vegetation cover; and (b) prevailing
short, steep and rugged catchments.
4.4 CONCLUSIONS AND RECOMMENDATIONS
Surface flow plays a decisive role in the hydrological balance of dry areas, as it is
responsible for the redistribution of its rare renewable water resources. Unlike in most
humid areas, floods mobilise huge amounts of sediment leaving fluvial forms indelibly
imprinted on the landscape. Two main hydrological processes dominate their occurrence:
The generation of Hortonian overland flow on dry land terrain, and transmission losses
into the dry alluvial beds of ephemeral channels. Similar to dry land rainfall, these
processes are characterized by an accentuated spatial heterogeneity making them difficult
to assess for catchment-scale problems.
The present chapter has presented an overview of processes and techniques for their
assessment. Case studies show that dry land research has been performed in many parts of
the globe. Using empirical regression equations, general results may be translated to similar
catchments in order to obtain initial estimates. However, caution must be exercised when
Figure 4.16. Envelope curves (based on data that existed in 1890, 1939 and 1985) of the largest
rainfall-runoff floods measured in the United States (Costa 1987).
144 Understanding water in a dry environment
equations lack relations to characteristics of the area, such as eqns. (2)(5) and (19)(21),
especially when based on only a few independent data sets. Others, where surface char-
acteristics are included (eqns. 614 and 18), have a more general character and should be
given priority where possible. For sound hydrological analyses all equations should be
corroborated by local field data, which does not necessarily require establishing an extens-
ive hydrometric network. In particular, the paleoflood techniques described in Section
4.2.2 and applied in case studies (Sections 4.3.3 and 4.3.4), offer lower cost alternatives.
With ongoing progress in computer technology, hydrological models will be increas-
ingly used also in arid and semi-arid areas. For these, similar aspects apply as for regres-
sion relations. Simple, lumped approaches depend on calibration with local runoff data.
As such, their parameters comprise uncertainties of hydrometric measurements and depend
on local catchment characteristics. Their use should thus be restricted to catchments with
long data records and parameter values should not be directly transferred. If calibration is
minimized, the general applicability of a model increases (see Section 4.3.3). However,
the approach should then be kept as simple as possible, since the number of input param-
eters required may limit general applicability. Recent techniques (e.g. remote sensing,
GIS) have already facilitated parameter determination for a rather simple but completely
non-calibrated rainfall-runoff model (see Section 4.3.3), making it applicable for ungauged
catchments.
Finally, episodic dry land floods offer an often unused potential for the development of
meagre arid and semi-arid water resources. Their wise use, e.g. for a controlled recharge
of local and regional aquifers, may help bridge times of drought and safeguard the often
non-renewable water resources in deep aquifers for future generations.
4.5 LIST OF SYMBOLS
1/4PWK Width of the hydrograph at 1/4 peak stage min
1/2PKW Width of the hydrograph at 1/2 peak stage min
A Soil loss kg m
2
s
1
A Drainage area km
2
C Cropping management factor
C
ev
Tracer concentration in the event water mg L
1
C
ges
Tracer concentration in the runoff mg L
1
C
prev
Tracer concentration in the pre-event water mg L
1
D
d
Drainage density km
1
D
i
Flow duration hr
F
C
Spatially weighted erodibility factor
GWR Measured rise in groundwater table m
IK Index quantifying initial moisture
k Recession constant
K Effective hydraulic conductivity in hr
1
K Soil erodibility factor
L Slope length factor
L
f
Generated plot surface runoff mm
L
o
Observed catchment runoff mm
LS Topographic factor
Surface runoff and sediment dynamics in arid and semi-arid regions 145
MAF Mean annual flood m
3
s
1
Q Mean annual runoff 10
6
m
3
P Erosion control practice factor
P Annual rainfall cm
P
o
Threshold runoff volume acre-feet
P
i
Inflow volume to a channel reach acre-feet
P
U
Rainfall depth mm
R Rainfall erositivity factor
S Slope gradient factor
S Catchment slope
T
L
Volume of transmission loss MCM
Q
ev
Amount of event water m
3
s
1
Q
ges
Total runoff m
3
s
1
Q
i
Annual maximum flood m
3
s
1
Q
o
Outflow volume of a channel reach acre-feet
Q
prev
Amount of pre-event water m
3
s
1
V Volume of sediment yield m
3
yr
1
V
UP
Volume of inflow into a channel reach MCM
w Width of a channel reach feet
x Length of a channel reach feet
X Soil erosion t ha
1
yr
1
Y Radionuclide loss (
137
Cs) %
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150 Understanding water in a dry environment
CHAPTER 5
Water flow processes in arid and semi-arid vadose zones
Jan M.H. Hendrickx, Fred M. Phillips and J. Bruce J. Harrison
Department of Earth & Environmental Science, New Mexico Tech, Socorro, New Mexico, USA
ABSTRACT: Water flow in arid and semi-arid vadose zones is not yet well understood. For
example, the knowledge or tools to completely evaluate the role of vapour flow in arid vadose
zones with either shallow or deep groundwater tables is still not available. The objective of this
chapter is to describe conceptual and physical models of water flow in the vadose zone, to discuss
controls on water movement, and to present case studies of flow mechanisms. It is shown how the
spatial scale is related to different conceptual and physical water flow models, and numerous field
examples are cited to demonstrate the controls on water movement under different environmental
conditions. The chapter closes with five case studies by the authors and their graduate students at
New Mexico Tech.
5.1 INTRODUCTION
Arid and semi-arid vadose zones are on the frontier of hydrological understanding. This
challenge has generally been ignored by soil physicists, who have concentrated on
agricultural applications, as well as by hydrologists, who have generally emphasized more
humid environments. The increasing pressures on water supplies in desert regions due to
burgeoning populations, together with the ever-increasing use of arid vadose zones for
hazardous and radioactive waste disposal, have now directed an enhanced research effort
towards a better understanding of hydrological processes in this environment.
The present chapter focuses on water flow processes that are of interest for evaluating
groundwater recharge, since its accurate assessment has become a critical issue in many
arid and semi-arid regions that are afflicted by water resource scarcity. Not only does the
rate of groundwater recharge affect the sustainable volume of water that can be pumped
from an aquifer, but it also places a limit on the movement of contaminants oozing from
landfills and radioactive waste disposal sites.
The determination of groundwater recharge in arid and semi-arid regions is inherently
difficult for two reasons. First, the recharge estimate depends on a water balance in which
actual evapotranspiration is almost equal to effective precipitation; i.e. precipitation that
has infiltrated into the vadose zone. The recharge is thus determined by subtracting two
relatively large numbers (precipitation and actual evapotranspiration) to find a small
number (recharge). A small error in one of the large numbers will result in a large error in
the small number. For example, in New Mexico and west Texas precipitation rates vary
from 190 to 444 mmyr
1
and annual potential evapotranspiration rates from 1156 to
1960 mm, while recharge rates fluctuate between 0.05 and 37 mmyr
1
(Stephens 1995).
An error as small as one percent in precipitation measurements, i.e about 25 mmyr
1
,
may cause an error of two orders of magnitude in the recharge rate.
Another factor which complicates recharge evaluation through desert vadose zones
is the large spatial and temporal variability of water fluxes (Johnston 1987; Scanlon 1992;
Kearns & Hendrickx 1998). These spatially variable water fluxes cause solutes and conta-
minants to migrate rapidly into some areas of the vadose zone, hence bypassing a large
part of its buffering capacity. Since our understanding of water flow mechanisms in the
vadose zone is still limited, we cannot yet predict with confidence under what precipit-
ation regimes, soil conditions and vegetation types bypass flow will occur in these desert
vadose zones (Scanlon et al. 1997; Hendrickx & Flury 2001).
The objective of this chapter, therefore, is to describe conceptual and physical models
of water flow in the vadose zone, to discuss controls on water movement and to present
case studies of flow mechanisms. For methods to determine groundwater recharge under
arid and semi-arid conditions reference should be made to the comprehensive texts by
(e.g.) Lerner et al. (1990) and Simmers (1997).
5.2 CONCEPTUAL AND PHYSICAL MODELS FOR WATER FLOW
IN THE VADOSE ZONE
The physical principles that govern water flow through the vadose zone are well
understood and many excellent text books are available that deal with this topic at an
introductory (Marshall & Holmes 1979; Koorevaar et al. 1983; Campbell 1985; Hanks &
Ashcroft 1986; Jury et al. 1991; Hillel 1998; Selker et al. 1999) and an advanced level
(Childs 1969; Bear 1972; Kirkham & Powers 1972; Corey 1990; Dullien 1992). However,
the formulation of comprehensive conceptual models that capture the entire complexity of
water flow processes at different scales remains a challenge for many vadose zones. In this
chapter the authors follow Hendrickx and Flury (2001), who grouped water flowprocesses
into different classes using three conceptual models as a classification criterion: (1) a fluid
continuum filling the pores; (2) a representative volume over which physical variables are
averaged; and (3) a water mass-balance approach. The authors recognized that these three
conceptual models oftenbut not alwayscoincide with a distinctive spatial scale: pore
scale, Darcian scale and areal scale.
5.2.1 Pore scale
Flows of incompressible Newtonian fluids such as water are mathematically described by
the NavierStokes equations, which are non-linear, second order, partial differential equa-
tions. These equations are related to a conceptual model for the pore scale that is based on
the concept of a fluid continuum filling the void space. Unfortunately, the intricacy of the
NavierStokes equations allows only a few exact mathematical solutions (Currie 1993).
One of these is the HagenPoiseuille equation that describes laminar flow through circular
tubes (i.e. flow through a pore), between two parallel plates (i.e. flow through a fracture)
and over a plate (i.e. film flow).
For example, the water flux q
fr
(ms
1
) through a saturated parallel, smooth-walled
fracture with aperture opening b (m) under laminar flow conditions is (Snow 1969; Corey
152 Understanding water in a dry environment
1990; Bear 1993; Streeter et al. 1998):
q
fr
K
fr
dH
dz
1
where H is total hydraulic head (m), z is vertical distance (m) and K
fr
is the hydraulic
conductivity in the fracture (ms
1
), defined as:
K
fr
,g
j
b
2
12
2
where , is fluid density (kg m
3
), g the acceleration due to gravity (ms
2
) and j is the
dynamic viscosity (kg s
1
m
1
).
5.2.2 Darcian scale
The geometrical complexity of pore size distributions in porous materials makes it very
cumbersome to treat water flow by referring to only the fluid continuum filling the pore
space. A solution for this problem is found by moving to a larger scale. Instead of trying to
exactly describe pore geometries and corresponding boundary conditions, the actual
multi-phase porous medium is replaced by a fictitious representative volume consisting of
many pores and solids over which an average is performed. Thus, changing the conceptual
model from one based on a fluid continuum at the pore scale to one based on a repre-
sentative volume at the Darcian scale, makes it possible to replace the real porous medium,
for which mathematical treatment is almost hopeless, by a fictitious porous medium for
which mathematical treatment is manageable (Bear 1972).
At the Darcian scale water movement through a one-dimensional, unsaturated, vertical
soil column is mathematically expressed by the DarcyBuckingham equation:
q Kh
dH
dz
3
where q is the water flux (ms
1
), K(h) the unsaturated hydraulic conductivity (ms
1
)
and H the total hydraulic head:
H h z 4
in which h is the (negative) water pressure (m) and z the elevation head or height above a
reference level (m).
Equations (1) and (3) have the same functional form; i.e. the flux is proportional to the
total hydraulic gradient. However, the proportionality factors in the two flux laws are
fundamentally different. The hydraulic conductivity K
fr
applies to one single aperture,
whereas the hydraulic conductivity K(h) is defined over a representative volume of the
porous medium. As a result the latter is much more complex than the hydraulic con-
ductivity of a smooth fracture which is, for a given fluid, completely defined by one param-
eter, the aperture width (eqn. 2).
Only empirical formulations of the hydraulic conductivity K(h) exist, though several
mathematical functions have been proposed to represent measured data. The complex-
ity of the unsaturated hydraulic conductivity is apparent in the function proposed by
Water flow processes in arid and semi-arid vadose zones 153
Van Genuchten (1980):
K0 K
s
0 0
r
0
s
0
r
!
l
1 1
0 0
r
0
s
0
r
1,m
" #
m
" #
2
5
where K
s
is the saturated hydraulic conductivity (ms
1
), 0 the volumetric soil water
content (m
3
m
3
), 0
s
the saturated water content (m
3
m
3
) often taken equal to the soil
porosity, 0
r
is residual water content (m
3
m
3
), and the parameters n, m and l are empirical
constants. The relationship between 0 and h, the water retention characteristic, is:
0 0
r
0
s
0
r
1
1 ch
n
m
6
where c (m
1
), n and m are parameters which determine the water retention curve shape.
As it is often assumed that m 1 1/n, six parameters are needed to define hydraulic
conductivity as a function of soil water pressure h, viz: K
s
, 0
s
, 0
r
, n, l and c. The parameter
values can be determined from measured 0h and Kh data pairs using non-linear curve
fitting programs available in statistical software packages, spreadsheets, or by optimization
software such as the package RETC developed by Van Genuchten et al. (1991).
In arid vadose zones, vapour flow may play an important role when small water fluxes
in the order of a few mm per year need to be evaluated. Since vapour and liquid fluxes
often occur simultaneously, Equation (3) is replaced by an equation for total mass water
flux (liquid and vapour), q
m
, driven by pressure and temperature gradients (e.g. Milly
1984a,b; Scanlon & Milly 1994):
q
m
K
l
h K
v
h
0h
0z
D
Tv
D
Tl
0T
0z
K
l
h 7
where K
l
h is the unsaturated hydraulic conductivity for liquid flow, K
v
h is isothermal
vapour diffusivity, D
Tv
the thermal vapour diffusivity, D
Tl
is the transport coefficient for
liquid flow due to thermal gradients and T is soil temperature. The last term on the right
side of eqn. (7) represents the water flux due to gravity; the mass of vapour compared to
that for water is so small that vapour gravity flow can be neglected.
Assuming that 0r(h)/0T 0 (Philip &de Vries 1957), the isothermal vapour diffusivity
K
v
h is expressed as (Milly 1984b; Fayer & Gee 1992):
K
v
h D
a
cn 0h
,
vs
,
l
Mg
RT
rh 8
where D
a
is the molecular diffusivity of water vapour in bulk air (cm
2
s
1
), c the
tortuosity of the air-filled pore space, n is porosity of the dry soil, 0(h) is the volumetric
soil water content (cm
3
cm
3
) at a given soil water pressure h (cm), ,
vs
is the saturated
vapour density (g cm
3
), ,
l
the density of soil water (g cm
3
), M is the molecular weight
of water (18.015 g), g is the acceleration of gravity (980.7 cms
2
), R the universal gas
constant (8.3143 10
7
erg K
1
mol
1
), T is the temperature in K and r(h) the relative
humidity.
The thermal vapour diffusivity is expressed as (Fayer & Gee 1992):
D
Tv
D
a
c n 0h rh
d,
vs
dT
9
154 Understanding water in a dry environment
Figure 5.1 demonstrates the relative importance of K
l
h and K
v
h in a sandy soil. An
important aspect of K
v
h is its relatively constant value of approximately 2 10
9
cm
day
1
over a wide range of soil water contents, while K
l
h varies ten orders of magnitude.
This is caused by the fact that isothermal vapour conductivity depends on relative humidity
in the soil which remains relatively constant from 10 to 10
5
cm soil water pressure. In
addition, inspection of Equation (8) shows that K
v
h is not only rather constant within a
given soil, but will also not change more than approximately one order of magnitude
between soil types since it is directly related to the air-filled pore spaces in the soil.
The K
v
h value is very small and it is of some interest to examine its importance. If the
maximum allowable error in our recharge estimate should not exceed 1 mmyr
1
or
0.003 mmday
1
and K
v
h is estimated as 2 10
9
cmday
1
, the isothermal vapour flux
only becomes important at hydraulic gradients that continuously exceed 1.5
10
6
cmcm
1
. It therefore appears that only small errors will be made if isothermal
vapour transport is neglected when calculating recharge rates to deep aquifers in semi-arid
regions. The errors will probably be smaller than inherent uncertainties in the values for
unsaturated hydraulic conductivity. Nevertheless, Fayer & Gee (1992) found that taking
isothermal vapour flow into account considerably improved predicted recharge rates at the
Hanford site (Washington State, USA).
The isothermal vapour and liquid fluxes are driven by the soil water pressure gradient
and are unaffected by the temperature gradient, though temperature plays an indirect role
through temperature dependence of the soil water pressure, hydraulic conductivity and
vapour diffusivity. The thermal liquid flux, q
Tl
can often be ignored since its effects will
be negligible compared with q
Tv
under arid and semi-arid conditions (Milly 1984b;
Campbell 1985). The thermal vapour flux is driven by the temperature gradient and is
unaffected by the soil water pressure gradient. This flux results from variations in
Figure 5.1. Hydraulic conductivity and iso-thermal vapour conductivity for a sandy soil as
functions of water pressure (after Fayer & Gee 1992).
Water flow processes in arid and semi-arid vadose zones 155
saturated vapour pressures with temperature and is generally considered much more
important than isothermal vapour flux, since vapour gradients resulting from soil water
pressure gradients are small compared to those from temperature gradients (Hanks &
Ashcroft 1986). As a result, thermal vapour diffusivities are typically 10
3
to 10
5
times
larger than isothermal vapour diffusivities in field soils (e.g. Milly 1984b; Scanlon &
Milly 1994; Scanlon et al. 1997).
Seasonal variations of soil temperature with depth in the 212 m zone result in a
downward temperature gradient during summer and an upward gradient during winter
(Jury et al. 1991; Scanlon 1994). Because vapour moves from higher to lower tempera-
tures, vapour fluxes are downward during summer and upward during winter. Since
thermal vapour diffusivity increases with temperature, the downward vapour fluxes during
summer are larger than the upward fluxes during winter, which results in a net downward
thermal vapour flux (Fischer 1992; Scanlon 1994).
Theoretical and experimental work by Milly (1984b), Scanlon (1994) and Scanlon and
Milly (1994) presents evidence that this periodicity may result in net downward fluxes of
less than 1.5 mmyr
1
. However, Milly (1996) conducted another analysis of thermal
vapour diffusion induced by the annual cycle of land heating and arrived at the conclusion
that small thermal vapour fluxes of less than 1.0 mmyr
1
must be balanced by a matric
potential-induced upward flux of water. This theoretical prediction seems to be supported
by long-term field measurements in the Chihuahuan Desert. It therefore appears that
thermal effects and vapour flow can often be ignored for the assessment of diffuse ground-
water recharge rates in deep vadose zones where capillary rise from a shallow aquifer can
be neglected.
5.2.3 Areal scale
At the areal scale, application of the DarcyBuckingham equation is not longer practical
since it would require long and expensive field campaigns to characterize and quantify the
spatial variability of the vadose zone at the Darcian scale. One approach for the evaluation
of water movement at a larger scale is to employ water mass balance or soil moisture
budgeting models (e.g. Hendrickx & Walker 1997). For example, groundwater recharge
over a large area can be assessed by an areal water balance equation:
q
r
P R ET W 10
where q
r
is the groundwater recharge (mmmth
1
), P is precipitation, R is the net runoff/
runon, ET is actual evapotranspiration and W is the change in soil moisture storage in
the vadose zone.
Table 5.1 reflects previous work by Wagenet et al. (1994) and Wheatcraft and Cushman
(1991). Wagenet (1998), summarizes principal characteristics of the conceptual and
physical models discussed above. One immediate observation of practical significance is
the fact that conceptual models at different scales result in different physical models and
mathematical equations. Moreover, each of these equations requires a completely
different set of input parameters. The necessary effort and expense to obtain input
parameters for physical models increases with the spatial scale. Flow in a fracture requires
a measurement of its width, whereas unsaturated flow through a soil profile requires
measurements or indirect determination of the six soil parameters K
s
, 0
s
, 0
r
, n, l and c.
156 Understanding water in a dry environment
Evaluation of a regional water balance requires long-term monitoring of soil water
contents, meteorological variables and groundwater levels.
This leads to another practical observation that the time frame of a study will increase if
the scale of its conceptual model becomes larger. Whilein principleit takes little time
to determine fracture widths, it takes several months to measure soil hydraulic properties
and several years of monitoring key environmental parameters to assess the water balance
of a watershed. Moreover, measurements of fracture widths and soil hydraulic properties
yield estimates of their true values within relatively small confidence limits and, thus, can
be used in a deterministic manner. However, the nature of environmental parameters gives
studies at larger scales a stochastic character. The results for such studies frequently have
to rely more on statistical interpolations of field measurements than on well-determined
causal and physical relationships. For given weather conditions in a specific soil profile,
soil water content changes with depth and time, as well as water flow, can be predicted
quite well once the soil hydraulic properties have been determined. However, for the same
weather conditions, determination of regional groundwater recharge using eqn. (10) will
become a stochastic exercise using statistical techniques for the interpolation and averaging
of field soil water content and meteorological measurements.
5.3 CONTROLS ON WATER MOVEMENT
In the previous section it was demonstrated that different conceptual models of water flow
through an unsaturated vadose zone lead to quite different physical models. For a proper
formulation of the correct conceptual model for a specific hydrogeological site one first
needs to consider the controls on water movement. Once the conceptual model has been
formulated, the most appropriate physical model and computer simulation model can be
selected.
Table 5.1. Scales, conceptual models, critical parameters and measurements relevant to flow
mechanisms in the vadose zone (after Hendrickx & Flury 2001).
Spatial
scale
Domain Conceptual
model
Physical
model
Critical
parameters
Measurements Smallest
temporal
scale
Pore Micropores
fractures
Fluid
continuum
Poisseuille
eqn. (1)
Fracture
width
Thin
sections,
NMR
Minutes,
days
Darcian Laboratory
soil
profiles
Representative
volume
Darcy
eqn. (3)
Hydraulic
properties
TDR,
neutron
attenuation,
tensiometers
Hours,
months
Areal Field,
local
depression,
landscape
element
Mass
balance
Mass balance
eqn. (10)
Weather,
soil
moisture
Meteorological
station, TDR,
neutron
attenuation,
remote
sensing,
groundwater
level
Days,
years
Water flow processes in arid and semi-arid vadose zones 157
In humid regions a positive correlation exists between groundwater recharge and the
difference between precipitation and actual evapotranspiration. Water fluxes through the
vadose zone are downward for most of the time and can be quantified reasonably well
using existing water balance techniques. However, during the last decade it has become
increasingly clear that the hydrological concepts developed for humid conditions cannot
be transferred to arid regions with impunity (e.g. Scanlon et al. 1997; Tyler et al. 1999; De
Vries & Simmers 2002; Walvoord et al. 2002a). For deep arid vadose zones there is
currently not even agreement among hydrologists about the direction of water flow; i.e. is
net water movement upward or downward (Walvoord 2002)? This is due to the special
characteristics of arid vadose zones. Water contents range from very dry after long periods
of drying to saturation after rain storms, and accompanying soil water pressures vary from
200,000 cm and lower to 0 cm (Gee et al. 1992). Water fluxes can also vary from very
large (100 to 1000 mmyr
1
) to immeasurably small (<0.01 mmyr
1
)(Tyler et al. 1999).
In the shallow subsurface (010 m) where thermal gradients are steep, thermally driven
vapour fluxes may dominate the total water flux (Scanlon & Milly 1994). In deep vadose
zones (25 m) a (small) vapour flux under the influence of the geothermal gradient can
also dominate total water movement (Detty et al. 1993; Sully et al. 1994; Walvoord 2002).
The main controls on water movement through arid and semi-arid vadose zones are
climate, vegetation, topography, the vertical and horizontal distribution of geological
materials, and the depth to the groundwater table. Since these controls have been
discussed extensively by Hendrickx & Walker (1997) and Scanlon et al. (1997), as well as
others, focus in this chapter will be on field and computer studies that present quantitative
information.
5.3.1 Climate
Section 5.1 has already stated that deep vadose zone fluxes can in principle be determined
by subtracting two relatively large numbers (precipitation and actual evapotranspiration)
to find a small number (downward water flux). However, a small error in one of the large
numbers will result in a large error in the small number. In addition, the large temporal
variability of arid precipitation regimes causes a large temporal variability of vadose zone
water fluxes. Agnew and Anderson (1992) reviewed precipitation analyses from arid and
semi-arid regions around the world and observed an increased temporal variability with
decreasing daily, ten-day and annual precipitation totals. For example, in Niamey (Niger)
the coefficient of variability for ten-day precipitation totals varies from 55% for a pre-
cipitation total of 67 mm to 144% for 13 mm. Such large temporal variability in precipita-
tion amounts will often lead to an even larger variability of groundwater recharge rates.
Hendrickx and Walker (1997) calculated a coefficient of variability of 164% for the
potential groundwater recharge during the second ten-day period of August at Niono
(Mali), while the coefficients of variability of precipitation and potential evapotranspiration
were 55% and 9%, respectively.
Kearns and Hendrickx (1998) used one hundred years of daily precipitation data from
Las Cruces (New Mexico, USA) to analyze the temporal variability of water fluxes at 2 m
depth in different vadose zones using the SWAP (SoilWaterAirPlant) model developed
by Feddes et al. (1978, 1988) and Van Dam et al. (1997). Mean annual rainfall was
203 mm with a minimum and maximum of 87 and 498 mm; the two largest daily rainfall
events during this 100-year period were 165 mm on August 30, 1935 and 104 mm on
158 Understanding water in a dry environment
September 21, 1941. The mean annual potential evapotranspiration was approximately
2000 mm.
Barren, loamy fine sand showed a continuous downward water flux of between 2 and
42 mmyr
1
throughout the evaluated time period. However, when vegetation was simu-
lated, groundwater recharge varied from zero during the 1950s drought to about
30 mmyr
1
in 1942 (Figure 5.2). These variations in the recharge flux under vegetated
conditions clearly define five distinct recharge periods during the 100-year period.
Climate conditions supporting the initiation of downward fluxes include both single, very
large rainfall events and gradual soil moisture content increases. Downward water fluxes
at 2 m depth ended if two consecutive years had below average rainfall. This study not
only demonstrates the large temporal variability of downward water fluxes, but also the
presence of long periods without measurable downward fluxes. For example, during the
period 19491974, downward water fluxes were quite small compared to the five major
recharge periods occurring in the 100-year simulation. Therefore, one should be careful
when attempting to extrapolate into the future measurements of downward water fluxes in
Figure 5.2. Annual groundwater recharge rates in bare and vegetated loamy fine sand during the
period 18901990 in Southern New Mexico (after Kearns & Hendrickx 1998).
Water flow processes in arid and semi-arid vadose zones 159
the field and lysimeters taken during only a few years. Such measurements are best used
for model validation and process understanding.
5.3.2 Vegetation
Vegetation exerts an important control on water fluxes in arid and semi-arid vadose zones.
For example, Phillips (1994) observed marked uniformity among chloride profiles
throughout the arid regions of the southwestern United States, which he attributed to the
ability of desert vegetation to control water fluxes regionally. The chloride profiles were
remarkably similar even where annual precipitation and soils varied widely. Desert vege-
tation thus has a strong positive feedback with water availability. An increase in water
availability such as found in ephemeral streams, fissured sediments and shallow depres-
sions leads to relatively lush vegetation, while a limited water availability causes a decrease
in vegetation cover. Since the amount of biomass production is directly correlated to the
amount of water transpired by the vegetation, the amount of vegetation is also a good
indicator of transpiration losses under arid conditions.
Figure 5.3 shows changes in water storage at a lysimeter site near Hanford (Washington,
USA) during a period without vegetation (198829 March 1991), and after natural
re-vegetation with deep-rooted russian thistle (after 29 March 1991). Water storage in two
adjacent vegetated sites near the lysimeter clearly show the effect of vegetation, as
150 mm more water was stored in the bare lysimeter than in the surrounding vegetated
soils. This increase was mainly caused by winter precipitation during the period
November 1988 to March 1989. While vegetated sites lost all stored winter precipitation in
the following spring and summer, the bare lysimeter lost very little. However, after natural
re-vegetation the lysimeter lost most of its stored water (125 mm) in less than four months.
These results not only demonstrate the large impact vegetation can have on recharge, but
also how rapidly recharge rates may change in response to changes in soil cover.
Increased water storage under bare soils frequently causes an increase in recharge rates.
Near Las Cruces (New Mexico, USA), during 1989 to 1994 Wierenga and Jones (1995,
pers. comm.) measured an average annual recharge rate of ca. 50 mmyr
1
, or about 20%
of the annual precipitation (250 mm), in a 6 m deep and 2.4 m diameter lysimeter filled
with loamy fine sand and kept vegetation free. In Hanford, however, bare lysimeters filled
with silt loam produced only limited recharge under conditions of normal and elevated
precipitation. This is due to the hydraulic properties of the silt loam, which enhance
capillary upward water flow from deep in the profile for sufficiently long periods to dry
out the soil profile annually (Gee et al. 1994).
The amount of stored water that can be removed by vegetation depends mainly on the
rooting depth; shallow rooted grasses will remove less water than deeper rooted shrubs
and trees. Eastham et al. (1993) found that soil water depletions were greater for trees than
for pasture on a deep loamy sand (Figure 5.4). Soil water content measurements to 5 m
depth showed that no water was extracted below 3.5 m under pasture, while under trees
water content changes occurred from 0 to 5 m. A sudden decrease in soil water content is
seen after September 1987. Whereas the amount of stored water under pasture returns to
its original level in June 1988, it remains permanently lower under the trees.
In Australia, Allison et al. (1990) compiled literature data to compare recharge rates
under mallee communities comprising several species of Eucaluptus before and after
clearing. Recharge rates under the original native mallee vegetation were in the order of
160 Understanding water in a dry environment
0.1 mmyr
1
. After clearing, the land was revegetated with agricultural crops and pasture
which have a shallower rooting depth than the Eucaluptus trees. As a result, recharge rates
after clearing increased by almost two orders of magnitude to between 5 and 30 mmyr
1
.
Cook et al. (1994) have since determined recharge rates of 0.10.9 mmyr
1
for native
mallee regions and 428 mmyr
1
for pasture areas.
The critical importance of vegetation is illustrated in a study performed by Walvoord
(2002) in west Texas, USA. She cored soils beneath various vegetation types within a
relatively limited area. Cores beneath land covered by creosote scrub (Larrea tredentata)
and desert grass (Bouteloua gracilis and Muhlenbergia spp.) showed very negative soil-
water potentials (1500 to 1000 m) close to the surface, with the negative potentials
extending to at least 10 m depth. The chloride ion inventories measured in soil water were
large, equivalent to 12,00030,000 years worth of atmospheric chloride deposition.
450
400
350
300
250
200
150
25
20
(Jan.July)
79-Yr.-Aug.162
15
10
5
0
1988 Jul 1989 Jul 1990 Jul 1991 Jul
Lysimeter
Adjacent site (Grass)
Adjacent site (Shrub)
29 March
23 July
S
t
o
r
a
g
e
(
m
m
)
P
r
e
c
i
p
i
t
a
t
i
o
n
(
m
m
)
Lysimeter
vegetation
removed
Lysimeter
vegetation
present
Precipitation (mm)
Yr.
1988
1989
1990
1991
Total
106
175
128
109
Figure 5.3. Precipitation and water storage (05 m depth) changes with time at the Hanford deep
lysimeter site. The lysimeter was bare until March 1991 (Gee et al. 1994).
Water flow processes in arid and semi-arid vadose zones 161
However, cores recovered from beneath a nearby stand of juniper trees (Juniperus
coahuilensis and Juniperus pinchotii) were markedly different. Water potentials were
much less negative (500 m) and the chloride inventory was <200 years worth of
accumulation. This evidence indicates that at the desert scrub and grassland localities
recharge had never moved below the root zone since the end of the last glacial period,
when the climate was much wetter. In contrast, the vadose zone at the juniper site appears
to be regularly flushed and recharge rates of 515 mmyr
1
can be calculated using the
chloride mass balance method (Allison & Hughes 1978; Murphy et al. 1996). These
results, in combination with previous vadose zone core data gathered in the southwestern
United States (Phillips 1994) and with recent modelling of vadose zone hydrodynamics
(Walvoord et al. 2002a), indicate that desert vegetation can establish essentially permanent
upward hydraulic gradients, effectively precluding actual diffuse recharge. However, at
locations with less xeric vegetation (such as the pygmy pinon and juniper forest)
significant recharge may move downward. These results suggest that understanding the
relations between vegetation communities and vadose zone hydrological processes may be
the most profitable avenue toward quantifying diffuse groundwater recharge.
The interaction between vegetation and soil type is so complex that numerical computer
models are needed to evaluate their effects on recharge. Rockhold et al. (1995) calculated
recharges for three soil types and four soil covers using the model UNSAT-H (Fayer &
Jones 1990). Average annual precipitation for the 30 year (19631993) simulation period
was 160 mm, ranging from a low of 76 mm in 1976 to a high of 281 mm in 1983. The
average, minimum and maximum recharge rates for the 30-year simulation period are
given in Table 5.2. Although a bare soil always results in more recharge, the absolute
differences in recharge between a bare and vegetated soil become less when the soil
texture becomes finer. The annual recharge rate for Sagebrush on silt loam is twice that on
sand. This unexpected difference is a result of the different hydraulic properties for the
Figure 5.4. Change in available soil water relative to the available water at tree planting (July 1986)
measured beneath Eucalyptus camaldulensis, Chamaecytisus proliferus and pasture from
September 1986 to September 1989 (Eastham et al. 1993).
162 Understanding water in a dry environment
two soils; silt loam has a higher hydraulic conductivity at low water contents than sand, so
that more water can percolate deeper into the profile. The study also showed the time lag
between recharge and precipitation events, and made a strong case for long-term
monitoring of parameters which determine recharge rates. For example, if a five-year
lysimeter study had been conducted with Bunchgrass on uniform sand during 19761981
the recharge rate would have approximated 7 mmyr
1
, whereas the same study during
19691974 would have given approximately 2 mmyr
1
.
5.3.3 Topography
In comparison to direct recharge, localized recharge is often considered to be at least as
significant, if not the most important source of natural recharge in arid and semi-arid lands
(Gee & Hillel 1988; Lerner et al. 1990; Stephens 1994; Wood & Sanford 1995). Localized
recharge implies horizontal movement of surface and/or near-surface water and occurs in
weathered, bare hard rock or limestone terrain, topographical depressions, minor wadis or
arroyos and in mountain front systems. To account for localized recharge it is necessary to
measure or estimate local runoff and runon volumes so that these can be included in the
water balance. Such estimates and measurements are often complicated by subsurface
components of runoff and runon flow (Anderson & Burt 1990), and by the fact that they
frequently occur on a scale too detailed to map for engineering studies (Lerner et al. 1990).
A classical example of localized recharge occurs in the numerous depressions dotting
the Great Plains of North America. These features can measure tens to thousands of
metres across, are often occupied by wetlands or lakes, and are referred to as potholes,
sloughs or playas. Meyboom (1966) was one of the first investigators to quantify localized
recharge during a one-year study of a till plain pothole with a watershed contributing area
of 0.8 ha in south-central Saskatchewan (Canada). His pothole had a bottom diameter of
40 m and the height of its surrounding rim varied from 3 to 8 m. It was determined that the
pothole or local depression, with 15% of the total surface area, contributed 70% of the
recharge. Other investigators have also reported studies that confirm the large contribution
of localized recharge described by Meyboom (1966); examples are offered by Freeze and
Banner (1970), Miller et al. (1985) and Winter (1986). Further, using chemical techniques
Wood and Sanford (1995) estimated that approximately half (45 mmyr
1
) of the annual
recharge (910 mmyr
1
) to the Ogallala Aquifer on the southern High Plains in the USA
occurs through playa floors that cover only 6% of the area. Fissured sediments in the
Table 5.2. Predicted recharge rates for different soil and plant types for the period 19631993
(Rockhold et al. 1995).
Soil type Recharge rate (mmyr
1
)
No vegetation Cheatgrass Bunchgrass Sagebrush
av min max av min max av min max av min max
Sand 22 11 68 16 7 46 5 1.5 15 1 0.2 1.5
Silt loam 7.6 4.9 11 5.8 3.7 8.2 3 1.7 6.4 1 0.4 4.4
Silt loam/sand 1.5 1 2 1.2 0.8 1.9 1 0.3 1.6 0 0.1 0.8
Water flow processes in arid and semi-arid vadose zones 163
Chihuahuan Desert of Texas concentrate surface runoff, which results in much higher
water fluxes beneath these fissures than in surrounding areas (Scanlon 1992).
The effects of topographic, soil and climatic conditions on the magnitude of depression
focused recharge for specific sites can be assessed using the mathematical models
presented by Nieber et al. (1993) and Boers (1994). Tosomeen (1991) has also used
Niebers original model to study the effects of these factors on localized recharge in a
general sense. Significant differences between localized recharge rates were found to be
due to differences in the area ratio between size of catchment and depression areas, as well
as the saturated hydraulic conductivities of these areas. Climate also was found to have a
large impact. For the same catchment and depression characteristics, the model predicted
twenty times more localized recharge for the climatic conditions in Texas, with an annual
precipitation of 950 mm, than for North Carolina with an annual precipitation of 1170 mm
(Figure 5.5). This shows that precipitation distribution during the year plays an important
role in localized recharge processes.
Boers (1994) developed a procedure for the design of rain water harvesting catchments
in arid and semi-arid zones that can also be used for the assessment of localized recharge.
His method is based on actual evapotranspiration prediction using the numerical soil water
balance model SWAP (Feddes et al. 1978, 1988; Van Dam et al. 1997), while the surface
flow component is predicted by a runoff model (Boers et al. 1986). The micro-catchment
in Figure 5.6 illustrates how the four components of rain water harvesting interact. A
micro-catchment consists of a runoff area with a maximum flow distance of 100 m and an
Location
Texas
Florida
California
North Carolina
Annual
rainfall (mm)
950
1510
460
1170
Annual
pot. evap. (mm)
1850
1850
1610
1490
Annual
# storms
75
123
47
104
90 Percentile
rainfall (mm)
34.7
34.6
24.6
26.6
Annual
# runoff storms
4
10
1
5
Figure 5.5. Relationship between area ratio (catchment size over basin/depression size) and
recharge enhancement as a function of four different climates in a catchment and depression with
clay soil (Tosomeen 1991). The number of runoff storms is the mean number of storms that
produced runoff from a clay soil.
164 Understanding water in a dry environment
adjacent basin area (the depression) with a tree, bush or row crop. The objective of rain
water harvesting is to induce runoff, collect and store the water in the basin area, and
conserve it in the root zone for consumptive use by the vegetation. The objective of a
scheme for recharge enhancement would be quite similar except for the latter component;
instead of conserving water in the root zone, one would aim to increase deep percolation
or recharge below the root zone.
The components shown in Figure 5.6 yield the following water balance on an annual
basis:
D P R E
i
E
w
E
act
T
act
W 11
where D is deep percolation or recharge, P is precipitation, R is runoff calculated over the
basin area from which collected, E
i
is evaporation of water intercepted by the vegetation,
E
w
is open-water evaporation, E
act
is the evaporation from bare soil, T
act
is actual
transpiration by the vegetation and W is the increase in soil water storage in the root
zone. Table 5.3 presents these annual water balance components for Sadore (Niger) for
one Neem tree in a basin of 8 m
2
with a soil profile comprising 3 m of fine sand overlying
2 m of laterite gravel. If the area ratio is equal to zero, i.e. no catchment area present, the
basin receives no runon water and no recharge takes place during a dry, average, or even
a wet year. In a dry year an increase in area ratio to 2.5 and even to 5.0 does not generate
any recharge although it increases actual transpiration and, thus, the growth rate of the
tree. In an average year a modest increase in area ratio from 2.5 to 5 produces a twenty-
two fold increase in recharge from 5 to 113 mm, whereas in a wet year a similar increase
in area ratio produces a four-fold increase in recharge from 38 to 185 mm.
Figure 5.6. Micro-catchment consisting of runoff area and basin area with tree. Rainfall induces
runoff which collects in the basin area where the water infiltrates, is stored and is available for root
water uptake and transpiration. In the basin area losses occur by interception, soil evaporation and
recharge below the root zone (Boers 1994).
Water flow processes in arid and semi-arid vadose zones 165
Overall, the presented model studies demonstrate the great sensitivity of localized
recharge to rather small changes in topography, soil type and climate. The apparent
potential to increase recharge to shallow aquifers under favourable conditions indicates
that localized recharge manipulation holds promise for water resources management on
arid and semi-arid lands.
5.3.4 Vertical and horizontal distribution of geological materials
The vertical and horizontal distributions of geological materials have a major impact on
water flow and often determine the potential for groundwater recharge. In fine textured
soils infiltrated precipitation water will remain close to the soil surface, where it is
available for evapotranspiration. On the other hand, since macropore flow is common in
highly structured fine textured soils (Flury et al. 1994; Bronswijk et al. 1995) some water
can penetrate deeper into the profile. For an account of modelling macropore flow in soils
the reader is referred to the review by Jarvis and Larsson (2001).
In coarse textured soils precipitation water infiltrates deeper into the soil and becomes
less available for evapotranspiration. For example, using tritium data Dincer et al. (1974)
estimated the water flux in a sand dune area in Saudi Arabia to be 23 mmyr
1
, which is
about 30% of the long-term mean annual precipitation of 80 mm. Based on measurements
during 1989 to 1994 in southern New Mexico (USA) using a lysimeter (6 m deep, 2.4 m
diameter) filled with loamy, fine sand without vegetation, Wierenga and Jones (1995,
pers. comm.) derived an average annual deep percolation rate of about 50 mm, or 20% of
the mean annual precipitation of 250 mm. For the same climatic conditions, Rodr guez-
Mar n (2001) simulated percolation rates at 3 m depth in a profile comprising a 2 m thick
Table 5.3. Annual precipitation (P), predicted runoff (R), actual transpiration (T
act
) and recharge
(D) in mm for one Neem tree in a 8 m
2
basin at Sadore, Niger, for precipitation only and for
precipitation and runoff from 20 m
2
and 40 m
2
runoff areas in three different precipitation years
(Boers 1994).
Rainfall only Rainfall and runoff
Runoff area 20 m
2
Runoff area 40 m
2
Average year
P 545 545 545
R 0 232 465
T
act
409 633 755
D 0 5 113
Dry year
P 258 258 258
R 0 78 155
T
act
138 205 277
D 0 0 0
Wet year
P 673 673 673
R 0 285 571
T
act
481 720 849
D 0 38 185
166 Understanding water in a dry environment
indurated calcic horizon, overlain by an eolian sand (saturated hydraulic conductivity
200 m day
1
) and a fluvial sand (saturated hydraulic conductivity 50 m day
1
). In the
fluvial profile the fluxes were estimated to be 0.03 mmyr
1
as opposed to 3 mmyr
1
in
the eolian profiles.
Cook et al. (1992) found a negative correlation between clay content and recharge rate
in the upper 2 m of their soil profile, and Rockhold et al. (1995) found the same pattern in
their simulation study (see Table 5.2), with one exception; the annual recharge rate for
Sagebrush on silt loam is twice that on sand. This somewhat unexpected difference is a
result of the different hydraulic properties for the two soils; silt loam has a higher
hydraulic conductivity at low water content than sand, so that more water can percolate
deeper into the profile. An increased thickness of surficial sediments overlying fractured
rock will, however, generally decrease downward water fluxes (Fabryka-Martin et al.
1993; Nativ et al. 1995).
Layering in the soil profile can result in capillary barriers where fine textured soil
horizons overlie coarse textured horizons. Water will not flow into the coarse textured
layer until the water content at the bottom of the fine textured layer is close to saturation.
Coarse textured soil layers thus impede downward water movement and promote lateral
movement though fine textured layers. Palmquist and Jonson (1962) and Stephens and
Heermann (1988) illustrated preferential lateral water movement through fine textured
layers using laboratory tank experiments, where water infiltrated from a point source into
alternating layers of coarse and fine textured material. Lateral unsaturated flow occurred
in the fine rather than the coarse layers. These experiments also imply that for unsaturated
conditions fractures filled with fine textured gouge are more conductive than those with
open apertures.
Evidence for a similar mechanism has been found by Sigda (1997, 2003) and Herrin
(2001) in the faults that are relatively common features in tectonically active extensional
sands in the Rio Grande rift. Because fault zone deformation typically decreases the pore
size, it decreases the saturated hydraulic conductivity. However, for unsaturated condi-
tions the actual unsaturated hydraulic conductivity is likely to be greater than that for the
adjoining undisturbed sand layers in regions with low soil water contents. Figure 5.7
shows preferential wetting of conjugate faults after a period of precipitation in a sand near
Socorro, New Mexico.
Where alternating layers of coarse and fine material have been deposited with an inclina-
tion, unsaturated lateral water movement may be considerably enhanced. The dramatic
effect on water movement under unsaturated conditions of a relatively thin inclined coarse
sand layer in a fine sand profile has been demonstrated in photos by W.H. Gardner in
Hendrickx and Flury (2001) and by Kung (1990). During a field experiment, the latter
author observed uniform downward unsaturated water flow in the top 1.2 m of a sandy
profile until it started to flow laterally along the boundaries of inclined coarse sand lenses.
Laboratory experiments (Kung 1993) and computer simulations (Ju & Kung 1993)
revealed that such funnel flowis most distinctive under dry conditions, with a flowrate into
the profile which is less than 2% of the saturated hydraulic conductivity for the fine layer.
Higher flow rates would cause water to leak into the coarse layer and diminish the funnel
effect. Vadose zones in semi-arid regions apparently have a greater propensity for funnel
flow than in more humid environments.
Anisotropy of the unsaturated hydraulic conductivity in horizontal and vertical direc-
tions is another factor causing lateral flow under unsaturated conditions in homogeneous
Water flow processes in arid and semi-arid vadose zones 167
soils. While saturated hydraulic conductivity anisotropy is well known and commonly
used for analysis of aquifer flow (Domenico & Schwartz 1998), unsaturated anisotropy
has only been studied in more recent years. The anisotropy ratio, A, is defined as:
A
Kh
H
Kh
V
12
where Kh
H
and Kh
V
are the unsaturated hydraulic conductivities in, respectively, the
horizontal and vertical direction. At saturation the anisotropy ratio commonly varies
from 2 to 20, but values of 100 may occur. Laboratory experiments under unsaturated
conditions by Stephens and Heermann (1988) demonstrated the dependence of A on soil
water content and pressure head. They found an increase in A from 1 at pressure 5 cm
to 18 at 20 cm. This increase in anisotropy with decreasing pressure head and water
content appears typical, and confirms an earlier theoretical analysis of anisotropic media
by Yeh et al. (1985a,b) using stochastic methods. The latter concluded that the degree of
Figure 5.7. Displacement faults in sand near Socorro, New Mexico. The wet spots coincide with
the faults (after Herrin 2001).
168 Understanding water in a dry environment
anisotropy may depend strongly on the mean capillary pressure head. McCord et al.
(1991) used field data and numerical analysis to determine the anisotropy ratio for a
uniform dune sand. They found a ratio of approximately 1 at saturation and 20 at a
pressure head around 40 cm. A tracer experiment was also conducted to demonstrate
the lateral flow components that occurred after only 26 mm of precipitation (Figure 5.8).
The importance of such lateral flows for recharge is that the soil water remains relatively
close to the surface resulting in higher evaporation and/or transpiration losses.
5.3.5 Depth to groundwater
The depth to groundwater is a critical factor for water movement in the vadose zone.
Whereas deep groundwater tables generally lead to a downward water flux under gravity
forces, a shallow groundwater table may result in an upward flow due to capillary action.
When the unsaturated hydraulic conductivity of the soil is known, steady-state
infiltration rates and capillary upward fluxes from the groundwater table can be evaluated
by rearranging eqns. (3) and (4) as:
dz
dh
1
q
Kh
13
and integrating eqn. (13) between the groundwater table, where both z and h are zero, to a
height z where the soil water pressure head is h:
z
Z
h
0
dh
1
q
Kh
14
Tracer source, 9-3-86
Sample location, 9-25-86
Bromide concentration (x10
5
moles kg soil)
Total head (cm water)
Tensiometer location
Total head datum
G
ro
u
n
d
s
u
rfa
c
e
0
100
200
0.0 0.5 1.0 2.0 Meters
20
5
10
?
?
Figure 5.8. Contours of equal bromide concentration (10
5
mol kg
1
soil) from a hill slope tracer
experiment on a sand dune. Approximately 26 mm of rain fell between tracer emplacement and
sampling (McCord et al. 1991).
Water flow processes in arid and semi-arid vadose zones 169
For a layered soil profile eqn. (14) becomes:
z
Z
h
1
0
dh
1
q
K
1
h
Z
h
2
h
1
dh
1
q
K
2
h
Z
h
n
h
n1
dh
1
q
K
n
h
15
where the soil profile comprises n layers of unsaturated conductivities K
1
h, K
2
h, . . .
and K
n
h. These equations can be used to evaluate the relationships between ground-
water table depth, soil water pressure and water fluxes under steady-state continuous
infiltration or evaporation rates. Since a steady-state evaporation rate is not an
unreasonable assumption for many unconfined aquifers in arid regions, the equations can
be applied to highlight different aspects of shallow aquifer discharge. Equations (14) and
(15) were previously evaluated using a graphical or numerical method (e.g. Bybordi
1968; Childs 1969), but these days implementation with a spreadsheet is straightforward.
The senior author has obtained good results by performing the integration with a step size
of 1 cm for soil water pressure. For most soils integrating until the soil water pressure
equals 1000 cm suffices, but some soils may require the integration to continue until
soil water pressures reach 5000 cm.
Application of eqns. (14) and (15) for a given soil profile yield the maximum
evaporation rate at which groundwater discharge can occur for a given groundwater table
depth. For example, Figure 5.9 shows the height of capillary rise in a sand and clay loam
for evaporation rates of 1 and 2 mmday
1
, respectively. In both soils the height of
capillary rise decreases with increasing evaporation rate, while it increases with decreas-
ing (more negative) soil water pressure at the soil surface or base of the root zone. How-
ever, once the soil water pressure reaches about 1000 cm, a further decrease will not lead
to a substantial increase in the maximum height of the capillary rise.
Hendrickx et al. (1990) investigated the manner in which the calculation of capillary
rise depends on soil physical characteristics presented in the literature. The authors used
Figure 5.9. The height of capillary rise in homogeneous sand and clay loam profiles as a function
of soil water pressure for evaporation fluxes of 1 and 2 mm day
1
.
170 Understanding water in a dry environment
the Van Genuchten model parameters (see eqns. 5 and 6) as derived by Carsel and Parrish
(1988), Van Genuchten (1978) and Wosten (1987) (Table 5.4). Capillary rise was
calculated for ten fluxes in homogeneous soil profiles comprising different soil textures;
i.e. different sets of Van Genuchten parameters. The results in Table 5.5 demonstrate that
capillary rise strongly depends on the set of parameters used for the calculations. For
example, in loamy sand the Van Genuchten parameters from Carsel and Parrish (1988)
yield a capillary rise of 0.32 m for a capillary flux of 1 mmday
1
, while the Van
Genuchten (1978) parameters yield a capillary rise of 3.34 m. In sandy loam the para-
meters from Carsel and Parrish (1988) also result in much lower capillary rises than those
presented by Wosten (1987). Since it is recommended that in arid regions groundwater
tables be kept at least 1.5 to 2 m below the soil surface (e.g. Marshall & Holmes 1979;
Table 5.4. Van Genuchten parameters obtained from three different sources for seven soil textures.
Soil K
sat
0
s
0
r
c n l
(cmday
1
) (cm
3
cm
3
) (cm
3
cm
3
) (cm
1
) () ()
Sand
1
712.8 0.43 0.06 0.145 2.68 0.5
Sand
2
223 0.33 0 0.0524 1.912 0.837
Loamy sand
1
350.2 0.43 0.057 0.124 2.28 0.5
Loamy sand
3
75 0.47 0.17 0.01 2 0.5
Sandy loam
1
106.1 0.41 0.065 0.075 1.89 0.5
Sandy loam
2
44.6 0.34 0 0.0265 1.543 0.333
Loam
1
25 0.43 0.078 0.036 1.56 0.5
Loam
2
57.42 0.43 0 0.0207 1.224 2.077
Clay loam
1
6.2 0.41 0.095 0.019 1.31 0.5
Clay loam
3
25 0.54 0.2 0.008 1.8 0.5
1
Van Genuchten parameters from Carsel and Parrish (1988).
2
Van Genuchten parameters from Wosten (1987).
3
Van Genuchten parameters from Van Genuchten (1978).
Table 5.5. Maximum capillary rise (cm) for ten fluxes in homogeneous soil profiles calculated
with eqn. (14) using the Van Genuchten parameters presented in Table 5.4.
Texture Capillary flux (cmday
1
)
3 2 1 0.8 0.6 0.4 0.2 0.1 0.05 0.01
Sand
1
14 15 17 18 19 20 23 26 29 37
Sand
2
35 40 48 51 55 61 73 87 103 152
Loamy sand
1
16 17 20 21 22 24 28 32 37 51
Loamy sand
3
133 151 185 197 213 237 282 334 394 572
Sandy loam
1
20 23 28 30 32 36 43 51 61 91
Sandy loam
2
37 44 59 64 72 84 107 135 169 277
Loam
1
21 26 35 38 43 50 65 82 103 171
Loam
2
32 41 60 66 78 95 130 176 234 425
Clay loam
1
10 14 23 27 32 40 58 82 112 219
Clay loam
3
106 126 165 179 197 226 279 342 415 639
1
Van Genuchten parameters from Carsel and Parrish (1988).
2
Van Genuchten parameters from Wosten (1987).
3
Van Genuchten parameters from Van Genuchten (1978).
Water flow processes in arid and semi-arid vadose zones 171
Hoffman & Durnford 1999) in order to reduce upward capillary flow, capillary rises
calculated using the parameters from Carsel and Parrish (1988) appear to be too low.
Capillary rise may vary considerably even within a given soil texture. For example,
Table 5.6 presents Van Genuchten parameters obtained by the neural network option
(Schaap & Bouten 1996) in HYDRUS-1D (S
imunek and
Jan M.H. Hendrickx
An important soil characteristic of arid regions in the southwestern United States is the
formation of calcic horizons due to carbonate accumulation. Lattman (1977), Hennessy
et al. (1983) and Phillips et al. (1988) reported that calcic horizons generally have a low
hydraulic conductivity and are an impediment for groundwater recharge. To the contrary,
Baumhardt and Lascano (1993) measured a saturated hydraulic conductivity of
75 cmday
1
in a calcic horizon, and concluded that such horizons would not greatly
impede vertical water movement.
These contradictory findings are explained by recognizing that a calcic horizon develops
through different morphological stages which are characterized by differences in their
physical properties of bulk density, thickness, cementation and carbonate content (Gile
et al. 1966; Machette 1985). An increase in carbonate content causes a decrease in porosity
Figure 5.19. Bar graph of profile mass of carbonate for soils in the head slope axis catena.
Carbonate mass decreases strongly downslope (after McMahon 1998).
182 Understanding water in a dry environment
and reductions in permeability (Machette 1985) and infiltration rates (Gile et al. 1966). In
fact, infiltration rates in calcic horizons appear inversely related to the carbonate content
of these horizons (Gile 1961). However, the implicit assumption that water flow and
groundwater recharge through indurated calcic horizons are essentially one-dimensional
vertical processes without lateral components, might have been the most critical oversight
in many hydrological studies addressing flow in calcic desert vadose zones.
For example, there is ample evidence for dissolution cavities and pipes in indurated
calcic horizons in New Mexico, West Texas and Arizona (e.g. Bretz & Horbert 1949; Gile
et al. 1966; Gile & Hawley 1966; Reeves 1976). Pipes are defined as dissolution cavities
that penetrate the calcic horizon completely and form conduits between the soil layers
over- and underlying it (Figures 5.20 and 5.21), though no studies have been conducted
to evaluate their hydrological implications. Gile et al. (1981) hypothesize that indurated
calcic horizons surrounding pipes deflect water into the pipes because of their low
hydraulic conductivity compared to the soil inside the pipe. Such lateral deflection may
cause a considerable concentration of water towards the pipe, resulting in preferential
flow and increased depth of water penetration (e.g. Hendrickx & Flury 2001). Another
issue is whether the pipes will increase overall deep percolation rates, or merely cause an
Figure 5.20. Typical small diameter pipes observed on the La Mesa surface, southern New
Mexico.
Water flow processes in arid and semi-arid vadose zones 183
uneven horizontal distribution of those rates. Finding an answer to these questions by
actual field measurements of deep percolation rates under the arid conditions of New
Mexico could take many years (Hendrickx & Walker 1997). The authors therefore
conducted computer simulations for a small representative pipe found in the bare, sandy
eolian soils of the La Mesa surface (see Figure 5.20).
Methods and materials
Soil water flow through the indurated calcic horizons with pipes was modelled using the
HYDRUS-2D simulation package (S
imunek, J., S
ejna, M. & Van Genuchten, M.Th. 1998. The HYDRUS-1D software package for
simulating the one-dimensional movement of water, heat, and multiple solutes in variably
saturated media. Version 2.0, IGWMC-TPS-70, International Ground Water Modeling Center,
Colorado School of Mines, Golden, Colorado, 202 pp.
S
imunek, J., S
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t
c
.
0,v
x
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0,v
y
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z
0z
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s
0h
0t
1
where h is hydraulic head, v the specific discharge in x-, y- and z-directions, , the density
of water, and S
s
is specific storage. The specific storage S
s
of a saturated aquifer is
defined as the volume of water that a unit volume of aquifer releases from storage under
a unit decline in hydraulic head (Freeze & Cherry 1979). If one inserts Darcys law and
eliminates ,, the equation describing transient flow through a saturated anisotropic porous
medium is obtained:
0
0x
K
x
0h
0x
_ _
0
0y
K
y
0h
0y
_ _
0
0z
K
z
0h
0z
_ _
S
s
0h
0t
2
where K
x
, K
y
and K
z
are the hydraulic conductivity in x-, y- and z-directions, respectively.
For a confined aquifer of thickness b, the storativity (or storage coefficient) S is defined
as the volume of water that an aquifer releases from storage per unit surface area of aquifer
per unit decline in the component of hydraulic head normal to that surface (Freeze &
Cherry 1979), i.e:
S S
s
b 3
Hence, for the special case of two-dimensional flow in a homogeneous, isotropic,
horizontal, confined aquifer of thickness b, S S
s
b and transmissivity T Kb, eqn. (2)
becomes:
0
2
h
0x
2
0
2
h
0y
2
S
T
0h
0t
4
The solution h(x, y, t) describes the hydraulic head field at any point on a horizontal plane
through the aquifer at any time. Both eqn. (2) and the simplified eqn. (4) clearly illustrate
that the two most important parameters determining aquifer response are the storage
coefficient S, and aquifer transmissivity T. Obviously, if confining conditions are also
taken into consideration, hydraulic resistance parameters for these confining layers play a
similar dominant role.
According to Freeze and Cherry (1979), storativity ranges in value from 5 10
3
to
5 10
5
in confined aquifers. The storage term for unconfined aquifers is known as
the specific yield S
y
. The specific yields for unconfined aquifers are much higher than the
storativities of confined aquifers, ranging from 0.010.30.
Whereas the values for storage coefficients are relatively bounded within a limited
range, certainly over short distances within one aquifer, hydraulic conductivity is
notoriously difficult to determine, varies over a much wider range, and may vary over
some 1014 orders of magnitude (Hoeksema & Kitanidis 1985); it may even range over a
few orders of magnitude within a single aquifer. It is clear that obtaining information on
these aquifer characteristics by means of field investigation, geological survey, pumping
and laboratory tests, is a necessity in order to reliably predict aquifer response. These
specific aspects are, however, not the subject of this chapter.
Aquifer dynamics 215
Rather than describing aquifer dynamics from the perspective of differential equations
of groundwater flow, a different conceptual view is to represent the subsurface as a linear
reservoir, and to analyze changes in hydraulic head from the imbalance between recharge
and discharge. Consider a linear reservoir with a constant water table shape. Following
De Vries (1974), the combination of the flow equation with conservation of mass gives:
S
d
"
h
dt
R
"
h
5
where
"
h is the average head above the drainage base, R is recharge through the plane of
the water table, and is a specific flow resistance. For average conditions:
"
Q
"
R
"
h
6
where
"
Q is the average discharge, expressed as a depth over the catchment. Integrating
eqn. (5) with initial conditions
"
h
"
h
0
for t 0 gives:
"
ht
"
h
0
e
t,l
1 e
t,l
R 7
where l is termed the reaction factor of the water table, equal to l 1,S. Equation (7)
already provides a simple way of examining the relationship between recharge and water
table response. When it is realized that can be expressed in terms of T, for example for
one-dimensional flow and Dupuit assumptions as (cf. De Vries 1974):
L
2
,2T 8
one arrives at the same conclusion as indicated by eqn. (4) that the parameters domi-
nating aquifer response are S and T.
The next section of this chapter illustrates more rigorous methods to describe aquifer
dynamics, but these methods too, basically reduce to analyzing the imbalance between
recharge and discharge. The methods range from purely stochastic impulseresponse
type, requiring no physical process knowledge at all (Section 6.2.1), via stochastic
impulseresponse type incorporating aquifer properties (Section 6.2.2), to purely
deterministic physically-based 1D unsaturated zone models (Section 6.2.3) and, finally,
spatially distributed 3D groundwater flow models (Section 6.2.4).
6.2 METHODS TO ANALYZE AQUIFER RESPONSE
6.2.1 Time series analysis: Transfer Function-Noise modelling
Time series analysis is a statistical method to investigate a sequence of observations for the
purpose of simulation or forecasting, or both. To make a forecast is to infer the probability
distribution of a future observation from the population, given a sample of past values. An
extremely comprehensive, practical, as well as theoretically sound handbook on time series
analysis is the classic volume by Hipel and McLeod (1994) titled Time Series Modelling of
Water Resources and Environmental Systems. Further, and according to the same authors,
the seminal textbook publication which furnishes a systematic and comprehensive
presentation of many time series models is the book by Box and Jenkins (1970) titled
Time Series Analysis: Forecasting and Control. The application of time series analysis in
216 Understanding water in a dry environment
hydrology and water resources is also extensively treated in such textbooks such as
Yevjevich (1972), Salas et al. (1980), and Bras and Rodriguez-Iturbe (1985).
Time series analysis is a general term, in principle including all possible ways of
investigating a series of measurements. However, the term is usually reserved for
stochastic methods to quantify the trend and correlation structure of a measurement series.
In time series modelling and analysis, one wishes to determine the most appropriate
stochastic or time series model to fit to a given data set at the confirmatory data analysis
stage (Hipel & McLeod 1994). This section describes one class of time series models
known as Transfer Function-Noise (TFN) modelling, according to Box and Jenkins
(1970). The approach has the diagnostic character of a reconnaissance survey, and is easily
applied to large quantities of data in order to obtain an overview of important factors in an
area. It is a logical first step in a study of changes in groundwater level, because it is
particularly suitable for detecting trends and to identify deviations from these trends.
TFN modelling has been originally developed for economic purposes, but has since also
been applied to hydrological processes (e.g. Hipel et al. 1977; McLeod & Hipel 1978;
McLeod 1983). Some important applications are intervention modelling (Hipel &
McLeod 1994), modelling of river flow (Young et al. 1997), and assessment of trends in
groundwater levels (e.g. Van Geer & Defize 1987; Gehrels et al. 1994; Knotters & Van
Walsum 1997). The core of the method is separation of the various sources of ground-
water level fluctuation into distinct components. If other than natural factors play a role,
TFN modelling can be used to separate groundwater level fluctuations into natural com-
ponents and anthropogenic influences.
Transfer modelling is a stochastic, impulse-response method, usually without any direct
physical significance attributed to the model parameters. Linear regression models are a
special, very limited category of a range of possible transfer models. In transfer models,
causes that are assumed to influence groundwater level can be modelled explicitly by
using separate input series. The output signal is split into several input components using
the correlation structure between the output time series and independent input series; see
Figure 6.2. All components are usually modelled as linear inputoutput models, though
examples do exist of non-linear models (e.g. Tankersley et al. 1993; Berendrecht et al.
2003). A major advantage of TFN models over physical models is that, apart from the
input and output time series, no other hydrological data are needed.
Transfer models contain autoregressive parameters, representing the inertia of the
groundwater system, and moving average parameters that account for the driving forces.
The remaining fluctuations are driven by a noise component, which is assumed to be a
zero-mean white noise series with unknown variance.
x
1,t
x
2,t
. . . c
a
t
TF1
TF2
noise
h
t
h
1,t
h
2,t
n
t
Figure 6.2. Schematic representation of a transfer model, with several transfer model components
and a noise model.
Aquifer dynamics 217
ARIMA models
Box and Jenkins (1970) describe two major classes of time series models: Autoregressive
(Integrated) Moving Average (ARIMA) models, and Transfer Function-Noise (TFN)
models. ARIMA models provide insight to the stochastic process underlying the data
series by describing the probability structure. The future is forecast by using the time
series itself as the only source of information. It is beyond the scope of ARIMA modelling
to consider the connection with other processes, which is the main difference between
ARIMA and TFN models.
When an observation z
t
measured at time t depends on the values at time t 1,
t 2, . . ., t p, plus a random shock, the process describing this relationship is called an
autoregressive (AR) process of order p, and is denoted as AR(p) (Hipel & McLeod 1994):
z
t
j c
1
z
t1
j c
2
z
t2
j c
p
z
tp
j a
t
9
where c
i
is the ith AR parameter, j the mean level of the process and a
t
the white noise
term at time t that is identically independently distributed (IID) with zero mean and
variance o
2
a
.
When a time series value z
t
depends on the white noise terms at time t, t 1, t 2 , . . .,
t q plus a random shock, one can write z
t
as a moving average (MA) process of order q,
denoted as MA(q (Hipel & McLeod 1994):
z
t
j a
t
0
1
a
t1
0
2
a
t2
0
q
a
tq
10
where 0
j
is the jth MA parameter.
Transfer models
A transfer model can be written similarly to the AR and MA models in eqns. (9) and (10).
Consider the relationship between time series x
t
and y
t
, where x
t
causes y
t
. The way in
which x
t
determines y
t
is described by the transfer model; the time series x
t
is considered
as a dynamic input. The dynamic output y
t
is calculated from x
t
, and a white noise series
a
t
. The noise component represents all influences on y
t
which are not caused by x
t
. The
transfer model can be written as:
y
i.t
c
i.1
y
i.t1
c
i.2
y
i.t2
c
p
y
tp
.
i.0
x
i.t
.
i.1
x
i.t1
.
i.s
x
i.ts
11
where y
t
is a discrete time series y
1
, y
2
, . . .,y
t
, . . .,y
m1
, y
m
of m observations with time
index t of the response or output variable y; x
t
represents a time series of independent or
input variable x, measured at time intervals equal to those for y; c
i.k
and .
i.l
are kth and
lth AR and MA parameters, respectively, of the ith transfer model (see Figure 6.2).
If one now writes the backward shift operator B as B
k
y
t
y
tk
, the non-seasonal
autoregressive (AR) operator can be defined as:
B 1 c
1
B c
2
B
2
c
r
B
r
12
with c
i
, i 1, 2, . . ., r AR parameters and, analogously:
B 1 .
1
B .
2
B
2
.
s
B
s
13
is the moving average (MA) operator with .
i
, i 1, 2, . . ., s MA parameters. One can
now write the transfer function in a compact manner as:
By
t
Bx
t
14
218 Understanding water in a dry environment
Differences between model predictions and observations are accounted for by the serially
correlated error or residual series n
t
; see Figure 6.2. The residual series is modelled with
an ARIMA model from the noise series a
t
according to eqns. (9) and (10). The ARIMA
model can now be formulated in similar manner to the transfer function in eqn. (14):
Bn
t
Ba
t
15
with B and B defined similarly to B and B, respectively. The general form
of a non-differential linear transfer function-noise model with mean zero thus becomes:
y
t
k
i1
i
B
i
B
x
i.tb
B
B
a
t
16
where i 1, 2, . . ., k is the number of the input series x
tb
, implying that y
t
may be
determined by more than one dynamic component (see Figure 6.2). Parameter b indicates
the number of delay time steps for output y
t
with regard to input x
i.t
.
The TFN model in eqn. (16) is written in non-differential form. A more general
formulation would be to include a differencing operator (1 B) of order d to produce
stationarity of the dth differences. However, for geophysical time series stationarity of the
residual series is generally a reasonable assumption (McLeod & Hipel 1978). Also, the
assumption of linearity between input and output has proved to be a reasonable
approximation in a number of investigations (e.g. Besbes & De Marsily 1984; Bidwell
et al. 1991).
Time series modelling is still undergoing development. For example, Knotters (2001)
has formulated various alternative model forms that include parameters with a physical
background. In order to deal with missing data values, Bierkens et al. (1999) developed a
TFN model in a so-called state-space form that enabled them to use a Kalman filter. The
Kalman filter is a recursive procedure for computing the optimal estimator of the state
vector at time t, based on the information available at time t (Harvey 1989). A good reason
for using a Kalman filter is that it can be combined with a maximum likelihood criterion to
estimate the parameters. In this way Bierkens et al. (1999) were able to account for time
series with missing values. Berendrecht et al. (in press) also used the state-space form and
the Kalman filter to de-couple the modelling from the measuring interval. The authors
decreased the modelling interval to the daily time step of the input series, while the
measuring interval remained in the order of 14 days. This led to a significantly better model
performance, even though the number of output measurements to condition the model was
the same, because the impulseresponse function was described in much more detail (with
daily increments). New developments are in the area of non-linear models. Berendrecht
et al. (in prep.) account for soil water content as a separate state in their state-space
approach, and incorporate a no-linear description of water flow through the root zone.
6.2.2 Stochastic forcing of a linear reservoir
Another way to treat the stochastic process of changing groundwater levels as a result of
irregular recharge, is through the theory of random differential equations (Soong 1973;
Gelhar 1993). The case of a linear reservoir that was introduced in Section 6.1.3 is treated
here as an illustration. In Section 6.1.3 only the average parameter behaviour was discus-
sed, and recharge R was taken as constant. If one attempts to describe the random nature of
Aquifer dynamics 219
recharge more precisely, then the mathematics becomes much more complex. However,
useful expressions can then be derived that link the stochastic recharge processes to the
variance of the groundwater level fluctuations. In other words, recharge can be inferred
from fluctuations of the groundwater level around the mean (under the assumption of
climatic stationarity), which is obviously extremely valuable.
The problem of forcing a linear reservoir with a random recharge distribution can be
described as a differential equation with a random inhomogeneous component. For the
present case, and using the linear reservoir description given in Section 6.1.3, this can be
written as:
dXt
dt
lXt yt 17
where Xt is the water level at time t, l the reaction factor of the water table (l 1,S,
and yt is a stationary stochastic process with a long-term mean given by (cf. eqn. 5):
E yt f g
"
R,S 18
According to Soong (1973) the solution can be written as:
Xt t. t
0
X
0
_
t
t
0
t. s ys ds 19
where t. t
0
is, in this case:
t. t
0
exp l t t
0
20
Because the first term on the right hand side of eqn. (19) approaches zero for large t, only
the second term on the right hand side is important (this term is called the particular
solution). When taking for convenience t
0
0, the mean of Xt can be calculated as:
E Xt f g
_
t
0
e
l ts
E ys f g ds 21
Because Efysg is equal to
"
R,S, eqn. (21) can be reduced to:
E Xt f g
"
R
S
_
t
o
e
l ts
ds 22
After evaluating the integral in eqn. (22), one finds:
E Xt f g
"
R 1 e
lt
_ _
23
and, hence, the mean becomes
"
R after some time, in accordance with eqn. (6) in Section
6.1.3. Amore elaborate discussion of this result may be found in the book by Gelhar (1993).
To calculate the variance o
2
X
of the water level fluctuations, a change of variables is first
made as follows (see also Gelhar 1993):
xt Xt
"
R 24
220 Understanding water in a dry environment
and
zt yt
"
R
S
25
It follows immediately that Efxtg 0 and Efztg 0. Substituting eqns. (24) and
(25) into eqn. (17) leads to:
dxt
dt
lxt zt 26
The second moment Efx
2
tg is equal to the variance o
2
x
, because Efxtg 0, and also
equal to o
2
X
. Under the assumption of stationarity, the second moment can be evaluated as
(Soong 1973):
E x
2
t
_ _
xx
0
1
2
_
1
1
S
xx
.d. 27
or
E x
2
t
_ _
1
2
_
1
1
H
i. S
xx
Hi.d. 28
where
xx
(0) is the autocorrelation function for xt at lag 0, S
xx
the autospectral density
function, and Hi. given by the Fourier transform of (t) as follows:
Hi.
_
1
1
t e
i.t
dt 29
Because t explt (t ! 0), this immediately yields:
Hi.
1
l i.
30
and
H
i.
1
l i.
31
where the asterisk denotes the complex conjugate. Therefore:
o
2
X
o
2
x
1
2
_
1
1
S
zz
.
l
2
.
2
d. 32
or
o
2
X
o
2
x
_
1
0
S
zz
.
l
2
.
2
d. 33
Aquifer dynamics 221
In order to evaluate the last integral an estimate of S
zz
(.) is needed. The autospectral
density function S(.) is related to the autocorrelation function (t) by the Wiener
Khintchine relations:
S.
1
_
1
1
t e
i.t
dt 34
and
t
1
2
_
1
1
e
i.t
S. d. 35
An estimate of the autocorrelation function
zz
(t) can be obtained by evaluating:
zz
t E ztzt t f g 36
or, when a discrete series of observations is available, by the expression (Box & Jenkins
1970):
c
k
1
n
nk
t1
z
t
z
tk
37
where n is the total number of observed years. This relation can also be written in terms
of the original random variables y
t
as:
c
k
1
n
nk
t1
y
t
"
R,S y
tk
"
R,S 38
The values of (t) or the coefficients c
k
depend on the statistical characteristics of the
recharge distribution. If the series y
t
is not correlated, then all c
k
are zero except c
0
, and
(t) becomes a constant times the delta function c(t). An example according to Gieske
(1992, 1993) is given in Section 6.3.2.
When an equidistant series of recharge values is generated with one recharge event each
year according to an exponential depth distribution, as appears to be the case for many
situations in semi-arid to arid countries, then the value of c
0
is in fact the variance of the
exponential depth distribution with mean
"
R,S:
c
0
"
R
2
S
2
39
When it is assumed that
zz
(t) is equal to:
zz
t
"
R
2
S
2
ct 40
where c(t) is the delta function, being zero for all t except for t 0 then, according to
eqn. (34), S
zz
(.) becomes:
S
zz
.
"
R
2
S
2
41
222 Understanding water in a dry environment
Inserting eqn. (41) into eqn. (33) yields:
o
2
X
"
R
2
S
2
_
1
0
1
l
2
.
2
d. 42
and, after evaluating eqn. (42) using l 1,S, one finds:
o
2
X
"
R
2
2S
43
Relation (43) shows that the range of the fluctuations around the mean is proportional to
the long-term average annual recharge, provided of course the assumptions are valid.
The result from eqn. (43) is valid for T 1, i.e. when the spacing between the
recharge events is exactly one year.
For the common arid situation of having years without recharge, T 1 and the arrival
is then determined by a Poisson process. To arrive at the same mean annual water level
rise
"
R,S, the mean rise during the years when recharge does occur will be higher than
"
R,S,
and equal to
"
RT,S. The variance may then be calculated as follows. Suppose that a
sequence of n years is observed, where n is a large number. The number of years with
recharge YR is equal to n/T, and the number of years without recharge YRN is equal to
nT1)/T; c
0
can then be split up as:
c
0
1
n
n
i1
z
2
i
44
or
c
0
1
n
YR
i1
y
i
"
R,S
2
YRN
i1
"
R
2
_
S
2
_ _
45
which, after expansion, leads to:
c
0
"
R
2
S
2
2T 1 46
and, similarly to eqn. (40), the autocorrelation function can be written as:
zz
t
"
R
2
S
2
2T 1 ct 47
Substituting eqn. (47) into eqn. (34), and inserting the result into eqn. (33), leads to:
o
2
X
"
R
2
2S
2T 1 48
In a situation with infrequent recharge and T ) 1, formula (48) converges to:
o
X
"
R
T
S
_
49
Aquifer dynamics 223
6.2.3 1D numerical soil water flow modelling
Aquifer response resulting from recharge moving through the unsaturated zone can also
be described 1D numerical soil water models. These describe the transfer of water fluxes
from the atmosphere through the soil profile into the aquifer. They include root water
uptake by the vegetation, the geometric and hydraulic characteristics of the soil profile,
and the water table response. In this section two alternative approaches are described:
A relatively complex, numerical unsaturated flow model (Van Dam et al. 1997) and a
more simple reservoir model (Van der Lee & Gehrels 1997). Such numerical models are
frequently used for (agricultural) water balance studies with shallow water tables, but are
also capable of simulating deep unsaturated profiles without direct contact between the
root zone and capillary fringe. The reservoir model described here, however, is in
principle only suitable for deeper water tables as it does not include capillary rise. Steady-
state flow models such as CAPSEV (Wesseling 1991), and pseudo-stationary flow models
(describing water flow as a succession of steady-state conditions) such as MUST (De Laat
1980), are more focused on shallow water table conditions.
Numerical soil water flow model based on the Richards equation
Many model codes describe soil water flow based on numerical solution of the Richards
equationsuch as SWAP (Belmans et al. 1983; Van Dam et al. 1997), SOIL (Johnson &
Jansson 1991), SWIF (Bouten 1992) and HYDRUS-1D (S
m
52
where c and n are empirical constants affecting the shape of the retention curve, and m is
usually defined as m 1 1,n. S
e
is the effective degree of saturation, or reduced water
content (0 S
e
1, defined as:
S
e
0 0
r
0
s
0
r
53
224 Understanding water in a dry environment
with 0
r
and 0
s
the residual and saturated water contents, respectively. The unsaturated
hydraulic conductivity is described according to Mualem (1976):
KS
e
K
s
S
e
1 1 S
1,m
e
_ _
m
_ _
2
54
where K
s
is the saturated hydraulic conductivity, and is a shape parameter that depends
on 0K/0h.
The model boundary conditions at the soil surface are formulated in terms of rainfall,
evapotranspiration and soil evaporation, and interception. A common way to represent
evapotranspiration is to use the Penman open water evaporation, crop factors, and soil
cover fractions to estimate potential plant transpiration and potential soil evaporation.
Reduction of potential plant transpiration and soil evaporation can then be calculated
according to, for example, Feddes et al. (1978) and Black et al. (1969), respectively.
A straightforward method to incorporate interception losses is with the analytical model
according to Gash (1979), who separates the evaporation rate of water intercepted by the
canopy during rainfall E
c
into a portion before and after saturation of the vegetation canopy.
If t is the duration of rainfall and t
0
the time needed to reach saturation of the canopy, then:
I
_
t
0
0
E dt
_
t
t
0
E dt S
c
55
where I is interception loss, and S
c
the canopy capacity (the amount of water on the
canopy when rainfall and throughfall have ceased and the canopy is saturated),
depending on the type and morphology of the vegetation cover. Evaporation from trunks
is neglected. For a saturated canopy, evaporation is treated in terms of a mean
evaporation rate
"
E
c
, as well as a mean rainfall rate
"
P. With P
G
representing gross rainfall,
the amount of rain necessary to saturate the canopy P
0
G
is defined as:
P
0
G
PS
c
,E
c
ln 1 E
c
,P1 p p
t
1
_ _
56
where, following Rutter (1975), p is the free throughfall coefficient (the proportion of
rain that falls through the canopy without striking a surface), and p
t
the proportion that is
diverted to the trunks as stemflow. If n is a series of rainfall storms, each large enough to
saturate the canopy, and m a series of storms insufficient to saturate the canopy, the total
interception loss I becomes (Gash 1979):
nm
j1
I
j
1 p p
t
n
j1
P
0
G
j
E
c
,P
n
j1
P
G
j
P
0
G
j
1 p p
t
m
j1
P
G
j
57
Hence, gross precipitation P
G
is reduced by the interception loss, and the excess or net
precipitation P
e
reaches the soil surface.
In this schematization of the unsaturated zone the lower boundary conditions can be
defined by a one-dimensional reservoir function described earlier in eqns. (5) through (8).
Conceptual unsaturated zone reservoir model
An example of an unsaturated zone reservoir model is that described by Gehrels (1999),
which is a modified version of the EARTH model developed by Van der Lee and Gehrels
Aquifer dynamics 225
(1997). EARTH is a lumped parametric model for the simulation of soil water content,
actual evapotranspiration, percolation, and groundwater level fluctuations. Similar
models have been developed by Howard and Lloyd (1979), Rushton and Ward (1979),
Das Gupta and Paudyal (1988), and Thiery (1988). In these models the unsaturated zone is
schematically represented by a number of sequential modules or reservoirs, as illustrated
in Figure 6.3.
First, gross precipitation is intercepted by the vegetation canopy. As in the previous
section, gross precipitation P
G
can be reduced by interception loss (ILOSS in Figure 6.3)
according to Gash (1979), and the excess or net precipitation P
e
then reaches the soil
surface. Soil water storage in the root zone (SOMOS in Figure 6.3) is represented by a
reservoir with a depth equal to the root zone depth and a capacity of
s
r
, where
s
and
r
are defined as the saturated and residual soil water contents, respectively. Infil-
trating water P
e
is subject to four main processes: Actual evapotranspiration, percolation,
ponding and runoff. The remainder is the change in soil water storage, calculated from a
mass balance as:
dt
dt
P
e
t E
a
t R
p
t 58
where is the soil water content (0
s
, defined by the volumetric soil water con-
tent 0 and an effective root zone thickness D, such that D0. E
a
represents the actual
evapotranspiration rate and R
p
is percolation flux below the root zone.
E
a
is expressed as a function of potential evaporation E
p
and the actual, saturated and
residual soil water contents ,
s
and
r
, respectively. Actual evaporation is assumed to
ILOS S
ILOSS
SOMOS
SOMOS
TR AFUN
TRAFUN
S ATFLOW
SATFLOW
SUST
SUST
P
e
Q
s
E
o
P
G
E
a
E
o
ponding,
root water uptake,
soil water storage,
percolation
unsaturated flow,
recharge
groundwater
fluctuations,
drainage
Gash (1979)
Van der Lee & Gehrels (1997)
De Vries (1974)
Zwamborn (1995)
Interception,
evaporation
Figure 6.3. Sequential modules representing specific parts of subsoil, unsaturated zone and aquifer
(from Van der Lee & Gehrels 1997).
226 Understanding water in a dry environment
be a linear function of , by definition less than or equal to potential evaporation. With S
e
defined as in eqn.(53), E
a
is formulated as:
E
a
t E
p
t
t
r
s
r
_ _
E
p
tS
e
t 59
If the amount of water in SOMOS reaches saturation, and the infiltration rate exceeds
percolation rate R
p
, surface ponding and runoff may occur. Surface ponding or surface
storage is accounted for via a separate module (SUST in Figure 6.3). This reservoir has
a maximum capacity C
m
, such that the amount of surface ponding greater than C
m
will
bring about runoff Q
s
, which is considered to be lost for infiltration. If
s
and
0 C C
m
, the water balance of the surface storage reservoir is:
dCt
dt
P
e
t E
p
t R
p
t E
o
t 60
where E
o
represents open water evaporation from the pond, being restricted to the
amount of water actually present at the surface. When the actual capacity C equals C
m
,
runoff Q
s
becomes equal to or greater than zero.
The downward flux after passage through the root zone is described by Darcys law:
R
p
K
dh
p
dz
1
_ _
61
where K denotes the hydraulic conductivity as a function of , and dh
p
/dz is the
hydraulic head gradient, taken positive downward. Below the root zone, especially for
deep unsaturated zones, the movement of soil water is governed mainly by gravity.
Capillary gradients usually play a relatively minor role because the water content is near
to the soils field capacity, with little variations. It is therefore assumed that the pressure
head remains constant with depth, so that eqn. (61) reduces to R
p
K. Functional
relationships commonly used to evaluate K are:
K K
s
t
fc
s
fc
_ _
r
62
for K ! 0, where r is a characteristic soil constant, usually fixed at r 1 for reasons of
model parsimony, and
fc
is soil water content at field capacity.
Van der Lee and Gehrels (1997) solve the water balance eqn. (58) implicitly
(numerically forward), and E
a
and R
p
are calculated as a function of t. It is assumed
that the water fraction leaving the SOMOS module is beyond the range of roots, and
therefore equals the amount of recharge. However, before reaching the water table this
pulse is subject to dispersion and delay due to transfer through the vadose zone.
The redistribution of downward percolation flux in time is dealt with in the TRAFUN
module (Figure 6.3). Van der Lee and Gehrels (1997) used a two-parameter linear
reservoir (LINRES) identical to the well-known Nash (1959) catchment runoff cascade
model of n reservoirs with reservoir factor f . Similar response functions have also been
applied to the unsaturated zone by Neuman and de Marsily (1976), Besbes and de Marsily
(1984) and Morel-Seytoux (1984). A drawback, however, of a black-box reservoir is the
absence of a physical background for the fitting parameters. Gehrels (1999) therefore used
a more physically-based transfer function developed by Zwamborn (1995) to be able to
Aquifer dynamics 227
derive the parameters from soil characteristics. The method combines the advantages of
simple calculation and physical reality. The transfer function is derived by linearization of
the Richards equation, so that the parameters are directly related to the unsaturated zone
hydraulic properties. The temporal attenuation and delay of the percolating soil water can
then be expressed in terms of available soil data. The concise description given below is
based on Zwamborn (1995), to which the reader is referred for further information.
The percolation zone transfer function is based on the general form of a convolution
integral that describes the output of a dependent variable in time (groundwater recharge
R
g
t as a result of a variable input (percolation below the root zone R
p
t, through a
system (the percolation zone) that is represented by a transfer function F:
R
g
t
_
1
0
R
p
t tFtdt 63
where F is defined at time lag t, and R
g
is described in terms of R
p
at time t t. The
Richards equation is used in order to arrive at an expression for F in terms of water
content 0, pressure head h and hydraulic conductivity K0. The non-linear Richards
equation is linearized around an average value of soil water content 0
"
0. Pressure head
h and conductivity K are rewritten in a Taylor expansion using only the first two terms h
0
and K
0
, and the first derivatives with respect to 0, h
1
and K
1
. The terms h
0
, K
0
, h
1
and K
1
are constants around 0
"
0, so that the Richards eqn. (51) can be rewritten as:
00
0t
K
0
h
1
0
2
0
0z
2
K
1
00
0z
64
This expression is analogous to the linear convectiondispersion equation and valid only
around the average water content
"
0. Instead of 0, eqn. (64) can also be written in terms of
the downward flux R
g
as a function of depth and time. Maas (1994) used the method
of moments to derive a solution for the transfer function F(t). F(t) is considered as a
probability density function, and the response of the out-flowing recharge then coincides
with the probability density of a stochastic variable.
The first three moments for R
g
are derived from the convectiondispersion equation.
The first moment represents the average response time between the departure of perco-
lation from the root zone and reaction of the flux at the water table. The second moment
(the standard deviation) is a measure for the damping or attenuation, and the third moment
(the skewness) for the temporal distribution of the attenuation.
The three moments are determined from the soil physical parameters h and K, and the
depth of the unsaturated zone z. The soil parameters can be derived from the soil water
retention characteristics and z is known for every location. The average response time, the
first moment M
1
, appears to be proportional to depth z according to a straightforward
relation:
M
1
z
K
1
65
The transfer function F(t) can now be determined by assuming that the moments of the
convectiondispersion equation are equal to those of a known probability density
function. Maas (1994) proposed a Pearson Type III distribution because it appeared to be
228 Understanding water in a dry environment
almost equal to the exact solution of the convectiondispersion equation. Groundwater
recharge can thus be calculated using the Pearson Type III distribution.
The lower boundary of the model below the percolation zone (SATFLOW in Figure
6.3) can be formulated in the same way as in the previous section. The different modules
together form a lumped, parametric reservoir model in which the parameters have a semi-
physical meaning. If both soil water and groundwater level data are used to calibrate the
model, and surface runoff is negligible, about ten parameters need to be determined by
measurement or optimization.
Van der Lee and Gehrels (1997) illustrate an example of application of the EARTH
model for a situation in Botswana. Gehrels (1999) additionally shows an example of
applying the transfer function according to Zwamborn (1995) to a deep unsaturated zone.
In the discussion section, Figure 6.17 compares the model performance of SWAP and
EARTH to the other methods treated in this chapter.
6.2.4 2D/3D numerical groundwater flow modelling
This section briefly describes dynamic aquifer response from a perspective of the
saturated zone using numerical groundwater flow modelling. The reason for restricting
comment to a very short overview is that numerical modelling of groundwater flow is
perhaps the most widely applied activity for many hydrogeologists, and therefore already
commonly known to much of the hydrological community. This section is included for
completeness, because groundwater flow modelling is a perfectly suitable technique to
analyze and simulate the dynamic behaviour of an aquifer. Useful references for more
rigorous theoretical discussion on numerical modelling are, for example, Wang and
Anderson (1982), Huyakorn and Pinder (1983) and Bear and Verruijt (1987). More
general textbooks such as Schwartz and Zhang (2003) also contain chapters on ground-
water flow modelling. Other useful resources are USGS user manuals on the various
MODFLOW package releases.
The reason for the popularity of numerical groundwater models is that most
groundwater systems are too complex to adequately describe with analytical expressions.
For example, many groundwater problems are non-linear, hydraulic conductivity is a
heterogeneous field, and boundary conditions are variable in space and time. Analytical
solutions to differential flow equations are useful as a first estimate, but lack the pos-
sibility of a spatially and temporally distributed, detailed estimation of groundwater flow
and hydraulic head that can be achieved using a numerical model.
Several numerical techniques have been developed, of which the finite difference and
finite element methods are the most important. The continuous differential equation
describing groundwater head is replaced by a finite number of algebraic equations that
define groundwater head at a specific set of locations in the flow domain. The most easily
understandable of the two techniques is probably the finite difference method. In this, the
partial differential equations describing groundwater flow are solved with a numerical
scheme in which the differentials are replaced by finite differences. For example, the
differential of h with respect to x is discretized by assuming:
dh
dx
lim
x!0
h
x
%
h
x
66
Aquifer dynamics 229
The change in time of groundwater head can be discretized in the same manner as:
dh
dt
lim
t!0
h
t
%
h
t
67
If, for example, the one-dimensional version of eqn. (4) is considered:
0
2
h
0x
2
S
T
0h
0t
68
this expression can be discretized by introducing a number of intervals in space (i 1, i,
i 1, . . .) and in time (t, t t. Rewriting gives:
h
n
i1
2h
n
i
h
n
i1
x
2
S
T
h
tt
i
h
t
i
_ _
t
69
For n t, eqn. (69) gives the forward difference or explicit solution, and for n t t
the backward difference or implicit solution.
Considering the widespread use and availability of the numerical codes, numerical
modelling has proven to be a powerful way of analyzing, simulating, forcing, or modelling
groundwater systems. The seemingly unlimited capabilities of present-day computers has
removed the drawbacks that were felt several decades ago in the initial development
stages. In principle, every imaginable hydrological process can be incorporated into
numerical models, from the interaction of groundwater flow with surface water, complex
recharge processes, heterogeneous aquifers, to complex geological structures. In this way,
a numerical model can become much more realistic, but also more complex than an
analytical solution.
Numerous computer codes for groundwater flow in two or three dimensions have
been developed over the last decades but, as Schwartz and Zhang (2003) formulate it,
MODFLOW has emerged as the de facto standard code for simulating groundwater flow
in saturated zones. The standard for finite element model codes is probably the MicroFEM
code (Hemker & Nijsten 1997).
The Fortran 77 version of MODFLOW was published in 1988 (McDonald & Harbaugh
1988). An updated version of the model was released in 1996 (Harbaugh & McDonald
1996) and in 2000 (Harbaugh et al. 2000). Several pre- and post-processing software
packages are marketed, such as PMWIN, Visual MODFLOW, Groundwater Modelling
System, and Groundwater Vista. Calibration has improved tremendously with the devel-
opment of inverse modelling codes such as MODFLOWP (Hill 1992, 1998), PEST
(Doherty 2000), UCODE (Poeter & Hill 1998), MODFLOW-2000 (Hill et al. 2000), and
recently developed sophisticated techniques such as the representer method (Valstar 2001).
As far as quantitative groundwater flow modelling is concerned, data availability
usually forms the bottleneck rather than process knowledge (this is different from solute
transport, for which not only are data limited, but process knowledge is, to date, also
incomplete). Data are needed for the top boundary system and hydraulic aquifer
parameters (cf. Figure 6.1). New sources of data are becoming available with improved
remote sensing techniques. For example, extremely detailed information on ground
surface height can be obtained from laser altimetry. Land use classification, usually based
on LANDSAT, is also becoming better and more widely available, and there is progress in
determining soil water content from microwave and laser remote sensing techniques.
230 Understanding water in a dry environment
These sources of information, combined with the ever increasing computational power,
make it possible to model the top boundary system with increasing levels of detail. In this
way regional scale models can be constructed that incorporate local-scale top boundary
processes.
Characterization of the subsurface improves as more drillings become available, but
also as a result of improved geophysical interpretation techniques. However, the most
important improvement has probably come from new stochastic techniques, enabling
realistic incorporation of aquifer heterogeneity in the models. Aquifer heterogeneity
strongly determines groundwater flow, but is obviously very difficult to incorporate
in great detail. In a stochastic approach subsurface heterogeneity is described by geo-
statistical concepts that account for the variation and spatial structure of hydraulic para-
meters. In this way groundwater flow is simulated considerably more realistically than by
assuming homogeneity, as was the case in many deterministic models. However, many
drillings are still necessary in order to infer the stochastic parameters required for
describing the spatial structure.
One way of understanding the degree of uncertainty that results in simulated hydraulic
heads is by adopting a Monte Carlo approach. This is in fact the numerical alternative for
the approach of stochastic forcing described in Section 6.2.2. The influence of uncertainty
in one of the input variables is evaluated with regard to the variability in output variables;
for example, the influence of hydraulic conductivity on hydraulic head. Hydraulic
conductivity is considered as a stochastic field with a known probability distribution and
spatial structure (Deutsch & Journel 1998). These characteristics are used to generate
a large number of equally likely conductivity fields. After running the models, the
variability in the calculated hydraulic head field is evaluated as a function of uncertainty
in the input parameter. A good example is the work presented by Van Leeuwen (2000).
This chapter does not contain a separate example of a numerical model study, but
Figure 6.17 in the discussion section again compares the performance of a groundwater
model with other methods treated here.
6.3 EXAMPLES OF APPLICATION
6.3.1 Transfer function-noise modelling of groundwater head
This example is taken from Gehrels et al. (1994) and Gehrels (1999), in which TFN
modelling is applied to an area called the Veluwe; an extensive unconfined infiltration
area located in the middle of The Netherlands. The groundwater regime ranges from high-
frequency fluctuations with small amplitude and shallow water tables, to low-frequency
fluctuations with large amplitude and very deep water tables. The natural groundwater
level fluctuations are relatively undisturbed by surface water control. The area is therefore
a good test for evaluating and comparing models that simulate groundwater level
fluctuations, irrespective of climate regime.
Characterization of groundwater level fluctuations
Groundwater level fluctuations can be very different at different locations in the same
groundwater system, even if the precipitation surplus at these locations is essentially the
same. This is illustrated in Figure 6.4 for two piezometers in the same area. The ground-
water level response to precipitation surplus is rather direct along the edges of the
Aquifer dynamics 231
groundwater system, as illustrated by the shallow groundwater table in Figure 6.4a. The
same high-frequency precipitation surplus results in a slow, delayed response of the deep
groundwater level in the centre of the groundwater system (Figure 6.4b). In the centre,
groundwater levels only slightly reflect the succession of wet and dry seasons, and are
more susceptible to longer-term variations in average rainfall.
An initial controlling factor that determines the groundwater response is the thickness
of the unsaturated zone. In the central Veluwe the short-term rainfall events are buffered
in the thick unsaturated zone and do not show up in the deeper groundwater level records.
A second controlling factor is the drainage resistance, which increases with increasing
distance from the drainage base in the large aquifer system (cf. eqn. 8). As a result,
groundwater levels in the central Veluwe exhibit long-term fluctuations with periods in
the order of 510 years and an amplitude of several metres. However, despite the strong
signal modification from precipitation surplus to groundwater level fluctuations, Figure
6.5 demonstrates a remarkable relationship between the two, when comparing a moving
average of precipitation with groundwater level in the central Veluwe.
The typical slow responseor the high temporal correlationof groundwater level in
the central Veluwe can be quantified with the autocorrelation function (ACF) calculated
according to eqn. (37). The ACFs for both piezometers are shown in Figure 6.6. The
seasonal component of precipitation excess is clearly present in the shallow groundwater
1945 1950 1955 1960 1965 1970 1975 1980 1985 1990 1995
25
26
27
28
29
30
g
r
o
u
n
d
w
a
t
e
r
l
e
v
e
l
(
m
)
2.0
3.0
4.0
g
r
o
u
n
d
w
a
t
e
r
l
e
v
e
l
(
m
)
(a) 26hp0039
(b) 33ap0065
Figure 6.4. Example of time series for (a) a shallow level (26hp0039) near the NW boundary of the
Veluwe area, and (b) a deep groundwater level (33ap0065) in the central Veluwe.
232 Understanding water in a dry environment
level, but is practically absent at the deep level. The shallow groundwater level is
correlated over only a few years, whereas the deep water level is correlated over a period
of more than a decade. The strong seasonal correlation present in the shallow groundwater
levels is also reflected in the correlation structure of precipitation excess. Figure 6.6 also
shows the ACF for precipitation excess PE, calculated as PE P 0.8E
o
, where P is
precipitation and E
o
is Penman open water evaporation. PE has a persistent seasonal
correlation of about 0.6 over the entire period.
1960 1965 1970 1975 1980 1985 1990
0.85
0.90
0.95
1.00
1.05
1.10
1.15
n
o
r
m
a
l
i
z
e
d
d
e
v
i
a
t
i
o
n
(
-
-
-
)
Figure 6.5. Moving average of precipitation over seven years (dashed) compared with the fluc-
tuations of groundwater level at 33ap0015 (solid); both signals have been normalized, i.e. divided by
the mean; the precipitation record was shifted 3.5 years back in time.
0 5 10 15 20
time lag (y)
1.0
0.5
0.0
0.5
1.0
a
u
t
o
c
o
r
r
e
l
a
t
i
o
n
(
-
-
)
0 5 10 15 20
time lag (y)
26hp0039
33ap0065
Figure 6.6. ACFs for precipitation excess (left), and for groundwater level recorded for the shallow-
(26hp0039) and deep (33ap0065) piezometers (right).
Aquifer dynamics 233
The different response to precipitation excess in different regions of an aquifer system
is best illustrated by the cross correlation function (CCF) between precipitation excess and
groundwater level. The CCF quantifies the response, delay and dampening in terms of
time to peak, average delay and tailing of the reaction. The CCFs in Figure 6.7 indicate
that the shallow water level reacts immediately on precipitation, whereas it takes some 18
months for the deep water level to rise to a maximum.
Model diagnostics
Box and Jenkins (1970) state that no matter what type of stochastic model is to be fitted to
a given data set, it is recommended to follow the identification, estimation, and diagnostic
check stages of model construction. These steps were also followed in the present study.
Transfer function-noise models were constructed for a range of about 100 piezometers.
Different model forms were adopted, and to identify the most suitable model form
standard techniques were applied using the CCFs between input and output time series,
and the ACFs of the output time series. For a more detailed description of parameter
identification the reader is referred to the paper by Hipel et al. (1977). After identifying a
range of possible model forms, parameters were estimated using the method of maximum
likelihood. The calculations were carried out using software from the GENSTAT
statistical programming library (GENSTAT 1988). After testing several models, the best
model was chosen by considering a number of diagnostic checks.
First, the autocorrelation of the resulting innovations was examined, as the innovation
series is expected to be white noise. Next, the correlation matrix of the estimated para-
meters was analyzed in order to verify independence of the individual model components:
Correlation between parameters of different model components should be minimal. The
cross-correlation between residuals and precipitation excess was analyzed to verify
independence between input series and residuals. Furthermore, the estimated significance
of parameter estimates was evaluated. Parameters with values not significantly different
fromzero were omitted, thus avoiding model redundancy. Finally, the variance of residuals
0 5 10 15 20
time lag (y)
1.0
0.5
0.0
0.5
1.0
a
u
t
o
c
o
r
r
e
l
a
t
i
o
n
(
-
-
-
)
0 5 10 15 20
time lag (y)
CCF 26hp0039 CCF 33ap0065
Figure 6.7. CCFs between precipitation excess and recorded groundwater level for the shallow
(26hp0039) (left) and deep piezometers (33ap0065)(right).
234 Understanding water in a dry environment
and innovations was considered, as this is an expression of the extent to which a model is
capable of explaining the total variance of the measured time series.
Figure 6.8 is an example of a model for the piezometer shown in Figure 6.4b. This is
a model with only precipitation excess as input. Figure 6.8a shows the component of
precipitation excess and 6.8b the residual series. The fluctuations and trends in the
residuals are thus assumed to be caused by other sources than precipitation excess. Figure
6.9 shows an example of a double-input model in which groundwater abstraction is also
taken into account.
Table 6.2 summarizes the identified model forms for the piezometers shown in Figures
6.8 and 6.9. Model orders and parameter estimates are given for both the single- and
double-input transfer models, and noise models. Some of the diagnostic criteria are given
in the lower part of Table 6.2, viz: coefficient of determination r
2
, total variance of the
actual time series, residual and innovation variance, and the one-step-ahead forecast error
(given by the standard deviation of the residual series). Comparison of r
2
for the single-
and double-input models shows the improvement that is obtained by applying a second
model component. The same holds for the single- and double-input residual variances
and forecast errors. Comparison of the total variance, residual variance and innovation
variance shows the degree to which the model is capable of explaining the total variance
of actual measurements.
26
27
28
29
30
g
r
o
u
n
d
w
a
t
e
r
l
e
v
e
l
(
m
)
1955 1960 1965 1970 1975 1980 1985 1990
1.0
0.0
1.0
r
e
s
i
d
u
a
l
l
e
v
e
l
(
m
)
Figure 6.8. Single-input transfer model for piezometer 33ap0065 in the central Veluwe area;
(a) outcome of the precipitation excess model; (b) the residuals.
Aquifer dynamics 235
0.5
0.0
0.5
1.0
r
e
s
i
d
u
a
l
l
e
v
e
l
(
m
)
(b) residual of single-input model
2.5
3.0
3.5
4.0
4.5
g
r
o
u
n
d
w
a
t
e
r
l
e
v
e
l
(
m
)
(c) measurements (dots) and simulated effect of groundwater abstraction (solid)
0.5
0. 0
0.5
r
e
s
i
d
u
a
l
l
e
v
e
l
(
m
)
(d) residual of double-input model
1955 1960 1965 1970 1975 1980 1985 1990
2.5
3.0
3.5
4.0
4.5
g
r
o
u
n
d
w
a
t
e
r
l
e
v
e
l
(
m
)
(a) measurements (dots) and simulated precipitation excess (solid)
Figure 6.9. Double-input transfer model for piezometer 26hp0111, where the first input is preci-
pitation excess and the second is groundwater abstraction for the specific location; (a) outcome of
the first transfer model; (b) residual for the single-input model; (c) outcome of the second transfer
model; (d) residual from combining the two models.
236 Understanding water in a dry environment
Correlation matrices (not shown here; see Gehrels et al. 1994) showed very low
correlation between transfer components (c
1
and .
i
and noise components (
1
and 0
1
.
Values were around 0.050.15, indicating independence between precipitation excess
and noise components. The ACFs of the innovation series indicated that autocorrelation
generally falls within the confidence limits, and the innovation series could therefore be
accepted as being white noise.
Conclusions
This example shows that groundwater level fluctuations can be realistically modelled
using single-input and double-input transfer functions to separate natural and
anthropogenic components. The technique is flexible and robust in the majority of cases,
and a wide range of varying types of fluctuations can be simulated. For piezometers
showing a discernible trend in residual series, a significantly better fit is obtained using a
double-input instead of a single-input model. In this way, influences such as groundwater
abstraction can be identified and quantified.
6.3.2 Spectral analysis using the theory of stochastic forcing
The theoretical framework of spectral analysis outlined in Section 6.2.2 can easily be
simulated and illustrated numerically. An example is given from Gieske (1992). Writing
eqn. (6.17) in finite difference form yields:
h
i1
h
i
t
l h
i
yt 70
Table 6.2. Summary of modelling results for piezometers shown in Figures 6.8 and 6.9. The
ARIMA order (b, r, d, s of the first TF model indicates delay time steps (b, AR (r, differencing
(d and MA (s parameters, respectively. The second TF model, a simple MA (1) model, is used for
abstraction. Diagnostic criteria are given for single- and double-input models: Coefficient of
determination r
2
, variance of (1) actual measurements, (2) residuals and (3) innovations. One-step-
ahead forecast error is given by the standard deviation of the residuals.
Piezometer # Fig. 6.8 33ap0065 Fig. 6.9 26hp0111
Single-input model
TF 1 order (b, r, d, s (1,1,0,4) (0,1,0,1)
Noise order (p, d, q (1,0,1) (1,0,0)
Double-input model
TF 2 order (b, r, d, s (0,0,0,1)
r
2
single model 0.79 0.59
r
2
double model 0.85
measured total variance 9091 1173
Residual variance
Single 1857 492.0
Double 169.9
Innovation variance
Single 68.4 78.4
Double 65.1
One-step-ahead error
Single 43.1 22.2
Double 13.0
Aquifer dynamics 237
If recharge occurs every year, then t 1 year, and if yt is given by an exponential
depth distribution with long-term mean recharge
"
R, then eqn. (6.70) can be written as:
h
i1
h
i
1 l
"
R
S
lnrandom 71
where random is a random number between 0 and 1. Figure 6.10 illustrates the
fluctuations resulting from a simple example (Gieske 1992). Note that recharge has been
added instantaneously to water in the reservoir in this model, using percolation events
rather than a more gradual recharge at the water table.
In arid to semi-arid climates recharge events can be very rare, as is illustrated in Figure
6.11. This is an example from arid southern Iran at Sarchahan, about 100 km north of
Bandar Abbas, where rainfall is on average about 212 mmyr
1
. Groundwater recharge
was calculated using the EARTH model (see Section 6.2.3), providing an estimate
of 21 mmyr
1
. In the 16-year period from 1984 to 2000, the modelling shows eight
percolation events. After convolution of the moisture in the unsaturated zone, there are
only six smoothed peaks visible in the recharge history. As an approximation one can say
that recharge occurred in 1987, 1991, 1992, 1993, 1996 and 1997, an irregular sequence of
arrivals. This can be statistically modelled with a Poisson distribution (Eagleson 1978).
Furthermore, the size distribution of the recharge events can also be taken into account.
However, a total of six recharge seasons is too small to reliably determine the parameters
of these distributions.
Recharge events are more frequent in the semi-arid climate of Botswana and South
Africa, and some longer observational sequences are available. As a first example
consider the fluctuations in well 4876 (Kanye, Botswana), which has been modelled and
Figure 6.10. Random fluctuations in a simple reservoir model when annual recharge is exponen-
tially distributed; arrival time t 1 year; an exponential depth distribution was assumed (from
Gieske 1992).
238 Understanding water in a dry environment
described by Gieske (1992) and Van der Lee and Gehrels (1997). The hydrograph in
Figure 6.12 clearly shows the annual recharge peaks as a result of summer rainfall (on
average 600 mmyr
1
; the aquifer has received significant rainfall in five out of ten years.
The figure also shows a clear and almost linear recession in periods without recharge. In
this case it appears a justifiable approximation to consider that annual recharge always
occurs at the same time of the year (if it does occur). Also for this case, the number of
years in the observed sequence is too small to arrive at a reliable estimate of parameters
for the recharge depth distribution. Fortunately, however, there is a long series of observa-
tions available from the Wondergat Sinkhole dating back to 1922 (see Figures 6.13 and
6.14) and described by Bredenkamp (1988), Gieske (1993), and Bredenkamp et al. (1995).
Bredenkamp et al. (1995) applied several methods to assess the recharge in the
dolomite compartment surrounding the aquifer. One of these methods involved separating
the levels in annual rises and declines. When multiplying the annual rises with the storage
coefficient (S 0.028) derived from well tests and aquifer modelling, Bredenkamp et al.
derived a sequence of annual recharge values with a mean of 74 mmyr
1
. Figure 6.15
0
100
200
300
400
R
a
i
n
(
m
m
/
m
o
n
t
h
)
0
20
40
60
80
100
p
e
r
c
o
l
a
t
i
o
n
(
m
m
/
m
o
n
t
h
)
0
2
4
6
8
10
r
e
c
h
a
r
g
e
r
a
t
e
(
m
m
/
m
o
n
t
h
)
684
688
692
696
700
1984 1986 1988 1990 1992 1994 1996 1998
g
r
o
u
n
d
w
a
t
e
r
l
e
v
e
l
(
m
a
s
l
)
2000
measured modelled
Figure 6.11. Recharge calculated with EARTH (Sarchahan, southern Iran, 100 km north of Bandar
Abbas); mean rainfall is 212 mmyr
1
; estimated average recharge is 21 mmyr
1
; precipitation
above 80 mm per month was assumed to be runoff; the figures show six main recharge events (from
Choopani 2000).
Aquifer dynamics 239
g
r
o
u
n
d
w
a
t
e
r
l
e
v
e
l
(
m
)
1246
1244
1242
1240
85 86 87 88 89 90 91 92 93 94 95 96
Figure 6.12. Groundwater level fluctuations in a dolomitic aquifer (Kanye Well 4876, Botswana;
from Van der Lee & Gehrels 1997).
Figure 6.13. The Wondergat Sinkhole in the north of South Africa; the picture shows the sinkhole
where water levels indicate groundwater level in the dolomitic aquifer. The 50 m deep sinkhole is a
popular diving resort.
Time (19221993)
20
18
16
14
12
10
8
6
4
2
0
2
30 40 50 60 70 80 90 100
w
a
t
e
r
l
e
v
e
l
s
(
m
)
Figure 6.14. Groundwater levels in the Wondergat Sinkhole, South Africa (19221993).
240 Understanding water in a dry environment
indicates the recharge values from 19221992, and Figure 6.16 illustrates the cumulative
probability plot of the data together with a fitted exponential depth distribution. The latter
figure shows that the assumption of an exponential depth distribution for the annual
recharge values is reasonable, with T equal to one year. The data further show that the
standard deviation of fluctuations around the mean are 2.6 m (o 2.6 m). Furthermore,
analysis by Bredenkamp (1988) indicates that the recession constant l of the water level in
periods without recharge is ca. 0.63 yr
1
. The specific flow resistance then becomes
56.7 yr (see Section 6.2.2). It is nowpossible to determine the average annual recharge
independently through eqn. (43), giving a value of 82 mm yr
1
. This is remarkably close
to the 74 mmyr
1
found by Bredenkamp et al. (1995).
0
50
100
150
200
250
1
9
2
3
1
9
2
6
1
9
2
9
`
1
9
3
2
1
9
3
5
1
9
3
8
1
9
4
1
1
9
4
4
1
9
4
7
1
9
5
0
1
9
5
3
1
9
5
6
1
9
5
9
1
9
6
2
1
9
6
5
1
9
6
8
1
9
7
1
1
9
7
4
1
9
7
7
1
9
8
0 a
n
n
u
a
l
r
e
c
h
a
r
g
e
(
m
m
)
Figure 6.15. Annual recharge values in the Wondergat Sinkhole (19231983), after Bredenkamp
et al. (1995); (S 0.028,
"
R 74 mmyr
1
; the standard deviation of the water levels is 2.6 m.
0
0.2
0.4
0.6
0.8
1
0 50 100 150 200 250
annual recharge (mm)
c
u
m
u
l
a
t
i
v
e
p
r
o
b
a
b
i
l
i
t
y
Figure 6.16. Cumulative probabilities of the recharge values (Wondergat Sinkhole, 19231983)
shown together with an exponential depth distribution (mean 74 mmyr
1
; y 1 expx,74
(after Gieske 1993).
Aquifer dynamics 241
6.4 DISCUSSION AND CONCLUSIONS
This chapter describes various methods to interpret and simulate aquifer dynamics,
ranging from purely stochastic transfer function-noise models and stochastic differential
equations incorporating aquifer properties, to purely deterministic physically-based 1D
unsaturated zone and spatially distributed 3D groundwater flow models. Examples are
given for two of the less familiar methods. Each has advantages and drawbacks that have
to be taken into consideration when deciding to apply one or other of these methods to a
specific cases.
In general, stochastic time series methods such as the TFN models do not require data
other than the input and output series to drive and calibrate the models. This is a huge
advantage over physically-based models, which require considerable effort to adequately
incorporate the necessary information on the hydrological system.
On the other hand, the possibilities for physically-based models are greater. Groundwater
flow models provide maps with the spatial distribution of hydraulic head, rather than point
values at piezometer locations. Moreover, these models describe groundwater flow, and
unsaturated zone flow models provide the distribution of soil water content. Finally, and
also extremely important, physically-based models enable scenario calculations to analyze
hypothetical changes and measures in the hydrological system (obviously within certain
limits close to the calibrated groundwater flow situation). This is possible to only a very
limited extent with the stochastic TFN models and differential equations.
The performances of the different methods, in terms of capability for simulating the
history and predicting the future, are very difficult to compare as this would require a
comprehensive study in which all techniques are applied to all sorts of conditions. However,
Gehrels (1999) carried out such a study in which he compared some of the methods
described here. In this study, groundwater level fluctuations were simulated with TFN
models, 1Dsoil water flowmodels, and a spatially distributed 3Dgroundwater flowmodel.
The application of the TFN models was described in Section 6.3.1, and the 1D soil water
flow models were the SWAP and EARTH models, the theory for which was described in
Section 6.2.3. The 3D groundwater flow model was a finite-element MicroFEM model,
including a spatially distributed groundwater recharge description in which the arrival of
recharge is spatially dependent on the thickness of the unsaturated zone.
The simulation performance of the models can be intuitively evaluated by considering
Figure 6.17. This shows that groundwater level fluctuations at this piezometer location
are followed most closely by the 1D physically-based SWAP and EARTH models. These
two models result in the smallest residuals, especially in the 1950s and 1980s. The TFN
models produce larger residuals, and the largest residuals are observed for the 3D ground-
water model.
An initial conclusion is that 1D models are not necessarily inferior to 3D models for
simulating groundwater levels or predicting trends. The fact that 1D models perform best
indicates that groundwater response for an unconfined aquifer system, such as the Veluwe
in this study, can be explained almost entirely from the vertical water flux through the
unsaturated zone. As long as the water table response can be described as a uni-modal
distribution, this can be effectively included in a 1D flow model or impulse-response
function.
Both the SWAP and EARTH soil water flow models simulate groundwater level
fluctuations and recharge better than the TFN models. The deviations encountered with
242 Understanding water in a dry environment
1
9
5
0
1
9
5
5
1
9
6
0
1
9
6
5
1
9
7
0
1
9
7
5
1
9
8
0
1
9
8
5
1
9
9
0
1
9
9
5
2
5
.
5
2
6
.
0
2
6
.
5
2
7
.
0
2
7
.
5
2
8
.
0
2
8
.
5
2
9
.
0
2
9
.
5
3
0
.
0
g r o u n d w a t e r h e a d ( m )
3
3
a
p
0
0
6
5
0
2
V
e
l
u
w
e
m
o
d
e
l
t
r
a
n
s
f
e
r
/
n
o
i
s
e
m
o
d
e
l
S
W
A
P
2
E
A
R
T
H
9
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Aquifer dynamics 243
the TFN models are probably explained by the simple formulation of the top boundary
conditions in these models. In the soil water models and the groundwater model, actual
evaporation is calculated as a function of soil water deficits in the root zone, whereas in
the TFN models actual evaporation is represented by potential evaporation as a fixed
proportion of the reference evaporation. In addition, the SWAP and EARTH models use
daily time steps, whereas the TFN models use three-monthly time steps. It is possible,
however, to also include these improvements in the TFN models. Indeed, Berendrecht
et al. (in prep.) found clearly better results when using TFN models with daily time steps,
and including evaporation as a function of soil water status.
An important reason for the larger residuals found with the 3D groundwater flow model
arises from the fact that the model not only generates a temporal, but also a spatial
interpolation. In the 3D model the simulated groundwater head is calibrated by consider-
ing all piezometer locations simultaneously. The spatial coherence in groundwater head
will then give rise to deviations at individual locations. The 1D models are more easily
optimized for a specific location. Furthermore, groundwater head calculated for a 3Dmodel
grid node represents a spatial average over the nodal area. Although a point observation
at the piezometer location is also representative of the immediate surroundings, the extent
of this area will certainly be smaller than the element sizes of the adopted groundwater
model.
With respect to analyzing the effect of groundwater abstraction, Gehrels (1999)
concluded that the groundwater model results provide more insight to the impact of these
measures. Results from the TFN models are restricted to the locations and periods for
which data are available. The spatial extent of the water table lowering needs to be
interpreted qualitatively, whereas this is an explicit result from the groundwater model. In
areas without measurement locations, the groundwater model may show significant water
table declines, whereas TFN models provide no information at all.
In conclusion, stochastic TFN models are especially useful for initial reconnaissance
surveys. In the subsequent phases of water management, in which more detailed spatially
distributed information and scenario calculations are required, physically-based 1D or 3D
models are generally more powerful.
6.5 RECOMMENDATIONS
TFN models are easy to formulate and input data requirements are very limited. These
models are therefore very suitable for a first reconnaissance survey in which the most
important driving forces and trends in groundwater head are identified.
In order to represent precipitation excess and influences such as groundwater
abstraction and lowering of surface water levels, the input time series needed for TFN
models have to be constructed with care. TFN models depend greatly on these series, and
so do the conclusions, with errors, simplifications or trends present in the input series
being linearly transferred to the simulated output. A well-known drawback that may easily
be encountered with TFN models is apparent correlation. It may sometimes be quite
difficult to separate causal relationships, in which case model estimation becomes
troublesome and results unreliable.
Another aspect that one has to be aware of, is that measurement series need to have
a certain minimum length to be able to estimate the model parameters. In TFN models,
244 Understanding water in a dry environment
parameter estimation is based on the autocorrelation and cross-correlation functions
derived from the recorded precipitation and water level data. If the measurement period is
relatively short compared to the correlation length of groundwater head, parameter esti-
mates will be biased by the occasional extremes present in the time series. A rule of thumb
is to use measurement series that include minimally 23 times the correlation length.
The performance of the TFN models illustrated here can be improved considerably
by adapting the state-space approach, as described by Berendrecht et al. (2003). In this
approach the stochastic TFN models, and the physically-based unsaturated zone models,
become increasingly integrated to a point where the principal differences between these
procedures have disappeared.
Methods based on stochastic differential equations provide the possibility of forcing
variability in the input signal through the model into the output signal. For example, a
spectral analysis of recharge events provides insight to the groundwater regime. However,
application of these methods is not straightforward and requires considerable research
effort, and their applicability is therefore limited to more theoretical studies. Nevertheless,
clear links exist between the more general applications of the theory of stochastic
processes as used in other scientific disciplines. In fact, this theory lies at the base of the
more easily applicable TFN models.
1D physically-based models are needed if detailed information is required about soil
water status or solute transport through the unsaturated zone. Chapter 5 provides applica-
tion examples and recommendations on their use. For merely simulating groundwater
levels these models are often more complex than is strictly required.
Groundwater flow models are without doubt the most widely applicable models,
providing the widest range of possibilities and outcome. Given the data requirements,
however, it is often worthwhile considering other possibilities as described above, since
many research questions and practical problems can be resolved with simpler approaches.
6.6 LIST OF SYMBOLS
General
x, y spatial co-ordinates in horizontal direction [L]
z spatial co-ordinate in vertical direction [L]
t time [T]
h hydraulic head or groundwater head with respect to a reference level [L]
"
h average groundwater head above the local drainage base level [L]
b aquifer thickness [L]
v specific discharge [LT
1
]
, density of water
S
s
specific storage [L
1
]
S storativity or storage coefficient defined as S S
s
b []
P precipitation [LT
1
]
E
o
Penman open water evaporation [LT
1
]
PE precipitation excess calculated as PEP 0.8E
o
[LT
1
]
R groundwater recharge through the plane of the water table [LT
1
]
"
Q average discharge [LT
1
]
specific drainage flow resistance [T]
Aquifer dynamics 245
l reaction factor for the water table, equal to l 1,S
L flow path length [L]
K hydraulic conductivity [LT
1
]
T aquifer transmissivity defined as T Kb [L
2
T
1
]
u shape factor []
Section 6.2.1
z
t
observation measured at time t
a
t
white noise term at time t that is identically independently
distributed (IID) with zero mean and variance o
2
a
c
i
ith non-seasonal autoregressive (AR) ARIMA model parameter
0
j
jth non-seasonal moving average (MA) ARIMA model parameter
j mean level of the stochastic process
x
t
time series forming dynamic input to transfer function-noise (TFN) model
y
t
dynamic output time series from TFN model calculated from x
t
,
white noise series a
t
and a constant c
c
i.k
kth non-seasonal AR parameter of the ith transfer model
.
i.l
lth non-seasonal MA parameter of the ith transfer model
B backward shift operator defined as B
k
y
t
y
tk
(B) non-seasonal AR operator defined as B 1 c
1
B c
2
B
2
c
r
B
r
(B) non-seasonal MA operator defined as B 1 .
1
B .
2
B
2
.
s
B
s
n
t
serially correlated error or residual series modelled with an ARIMA model
from the noise series a
t
(B) non-seasonal AR operator for noise model defined similarly to B
(B) non-seasonal MA operator for noise model defined similarly to B
Section 6.2.2
Xt water level at time t
yt stationary stochastic process with a long-term mean given by E yt f g
"
R,S
t. t
0
integrating function
xt transformed water level such that Efxtg 0
zt transformed stochastic recharge process such that Efztg 0
xx
autocorrelation function for xt
S
xx
autospectral density function for xt
(t integrating function expressed as function of lag t t t
0
Hi.) Fourier transform of (t)
c
k
autocorrelation function of a discrete series of observations
c(t delta function, being zero for all t except for t 0
Section 6.2.3
h soil water pressure head [L]
z vertical soil depth [L]
C soil water capacity [L
1
]
0 volumetric soil water content [L
3
L
3
]
0
r
residual soil water content [L
3
L
3
]
0
s
saturated soil water content [L
3
L
3
]
246 Understanding water in a dry environment
D soil water diffusivity defined as D K
dh
d0
[L
2
T
1
]
c constant in Van Genuchten soil water retention curve [L
1
]
n constant in Van Genuchten soil water retention curve []
m constant in Van Genuchten soil water retention curve defined as
m 1 1,n []
S
e
effective degree of saturation or reduced water content (0 S
e
1 []
K
s
saturated hydraulic conductivity [LT
1
]
KS
e
unsaturated hydraulic conductivity [LT
1
]
shape parameter in Mualem expression for unsaturated
hydraulic conductivity []
E
c
evaporation rate for water intercepted by the canopy during rainfall [LT
1
]
I interception loss [L]
S
c
canopy capacity [L]
P
G
gross rainfall [LT
1
]
P
e
excess or net precipitation [LT
1
]
P
0
G
amount of rain necessary to saturate the canopy [L]
p free throughfall coefficient []
p
t
stemflow coefficient []
soil water content defined as D0 [L]
D effective root zone thickness [L]
s
saturated soil water content [L]
r
residual soil water content [L]
fc
soil water content at field capacity [L]
E
p
potential evaporation rate [LT
1
]
E
a
actual evapotranspiration rate [LT
1
]
R
p
percolation rate to below the root zone [LT
1
]
C actual surface storage capacity [L]
C
m
maximum capacity of surface storage [L]
Q
s
surface runoff [LT
1
]
r characteristic soil constant []
F(t) transfer function describing transfer from percolation to recharge []
h
0
first-order approximation of pressure head h [L]
K
0
first-order approximation of conductivity K [LT
1
]
h
1
first derivative of h with respect to 0 [L]
K
1
first derivative of K with respect to 0 [LT
1
]
M
1
first moment of transfer function F(t), i.e. average response time [T]
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250 Understanding water in a dry environment
CHAPTER 7
Hydrogeochemical processes in arid and semi-arid
regionsfocus on North Africa
W. Mike Edmunds
British Geological Survey, Crowmarsh Gifford, Wallingford, Oxon., UK
ABSTRACT: Hydrogeochemical processes in arid and semi-arid zones are described, following
the pathway of water through the hydrological cycle from rainfall via the unsaturated zone to
groundwater. Detailed studies using a combination of chemical and isotopic techniques are recom-
mended to understand the evolution of groundwater quality in arid regions, especially since it is
important to be able to distinguish modern recharge from widespread palaeowaters recharged under
much wetter climate conditions. Once the groundwater system is properly understood it is possible
to monitor changes with simple tools such as Cl, NO
3
and SEC.
The range of methods available for investigation of hydrochemical processes are reviewed, and
are illustrated with various examples from the north African and Sahel region of Africa. The
chemical and isotopic information in the unsaturated zone may be used to estimate recharge and the
build-up of salinity. In the saturated zone the evolution of groundwater chemistry may be under-
stood by following hydrochemical changes along flow lines, especially in confined aquifers. A case
study from Wadi Hawad in central Sudan is used to explain the links between surface and
groundwater quality using a combination of isotopic and chemical studies, which clearly distingu-
ish areas of modern recharge and the identity of palaeowaters.
7.1 INTRODUCTION AND RATIONALE
Groundwater quality issues now assume major importance in semi-arid and arid zones,
since scarce reserves of groundwater (both renewable and non-renewable) are under threat
due to accelerated development, as well as a range of direct human impacts. In earlier
times, settlement and human migration in Africa and the Middle East region were strictly
controlled by the locations and access to fresh water mainly close to the few major per-
ennial rivers such as the Nile, or to springs and oases, representing key discharge points
from large aquifers that had been replenished during wetter periods of the Holocene and
the Pleistocene. This is a recurring theme in writings of all the early civilisations where
water is valued and revered (Issar 1990). The memory of the Holocene sea level rise and
pluvial periods is indicated in the story of the Flood (Genesis 7:10), and groundwater
quality is referred to in the book of Exodus (15:20). More recent climate change may also
be referred to in the Koran (Sura 34:16).
In present times groundwater forms the primary drinking water source in arid and semi-
arid regions, since river flows are unreliable and large freshwater lakes are either ephe-
meral (e.g. Lake Chad) or no longer exist. The rules of use and exploitation have changed
dramatically over the past fewdecades by the introduction of advanced drilling technology
for groundwater (often available alongside oil exploitation), as well as the introduction
of mechanised pumps. This has raised expectations in a generation or so of the availability
of plentiful groundwater, yet in practice falling water levels testify to probable over-
development and inadequate scientific understanding of the resource, or lack of political
will to act on the scientific evidence available. In addition to the issues related to quantity,
quality issues exacerbate the situation. This is because the natural groundwater regime
established over long time scales has developed chemical (and age) stratification in
response to recharge over a range of climatic regimes and geological controls. Borehole
drilling cuts through the natural quality layering and abstraction may lead to deterioration
in water quality with time as water is drawn either from lower transmissivity strata, or is
drawn down from the near-surface where saline waters are commonplace.
Investigations of water quality are therefore needed alongside, and even in advance of
widespread exploitation. The application of hydrogeochemical techniques are needed to
fully understand the origins of groundwater, the timing of its recharge and whether or not
modern recharge is occurring at all. Study is needed of the extent of natural layering and
zonation as well as chemical changes taking place along flow lines due to waterrock
interaction (predicting, for example, if harmful concentrations of certain elements may be
present naturally). The superimposed impacts of human activity and the ability of the
aquifer system to act as a buffer against surface pollution can then be determined against
natural baselines.
Typical landscape elements of (semi-)arid regions are shown in Figure 7.1, using the
example of North Africa, where a contrast is drawn between the infrequent and small
Figure 7.1. Landscape hydrogeology and hydrogeochemical processes in arid and semi-arid
regions. The generalised cross-section illustrates the geological environment found in North Africa,
where sedimentary basins of different ages overstep each other unconformably and may be in
hydraulic continuity with each other.
252 Understanding water in a dry environment
amounts of modern recharge as compared with the huge reserves of palaeowaters
recharged during wetter climates of the Pleistocene and Holocene. Broad wadi systems
and palaeo-lakes testify to former less arid climates. Against this background the main
water quality issues of arid and semi-arid regions can be considered both for North Africa
and other similar regions. Geochemical techniques can be applied for defining and mit-
igating several of the key water issues in (semi-)arid areas. These issues include salinis-
ation, recharge assessment, residence timeestimationandthe definitionof natural (baseline)
water quality, as a basis for studying pollution and human-induced changes more gen-
erally. In this context it is noted that the mainly continental sandstones indicated in the
diagram are highly oxidised and that dissolved O
2
can persist to considerable depths in
many basins. Under oxidising conditions several elements (Mo, Cr, As) or species such as
NO
3
remain stable, and may persist or build up along flow pathways.
This chapter describes the application of hydrogeochemical techniques to under-
standing the water quality problems of semi-arid regions and follows the chemical path-
way of water from rainfall through the hydrological cycle. In this way it becomes possible
to focus on the question of modern recharge, how much is occurring and how to recognise
it. It is vital to be able to recognise the interface between modern water and palaeowaters
as a basis for sustainable management of water resources in such regions. Chemical and
especially isotopic methods have helped to distinguish groundwater of different gener-
ations. In fact, the development of water quality may be viewed as an evolution series over
time: (i) undisturbed evolution under natural conditions; (ii) the borehole development
phase with some disturbance of natural conditions, especially stratification; (iii) devel-
opment with contamination, and (iv) artificially managed systems.
7.2 METHODS OF INVESTIGATION
Hydrogeochemical investigations consist of two distinct steps: Sampling and analysis.
Special care is needed with sampling because of the need for representativeness of sam-
ple, the question of mixtures of water (especially groundwaters which may be stratified),
the need to filter or not to filter, as well as the stability of chemical species. For groundwater
investigations a large range of tools is available, both chemical and isotopic, for investigat-
ing chemical processes and overall water quality in (semi-)arid regions. However, it is
essential that unstable variables such as pH, temperature, Eh and DO be measured in the
field. Some details on field approaches are given by Appelo and Postma (1993) and also
by Clark and Fritz (1997).
A summary of potential techniques for the hydrogeochemical study of groundwaters
in arid and semi-arid areas is given in Table 7.1. Chloride can be regarded as a master
variable. It is chemically inert and is therefore conserved in the groundwater systemin
contrast to the water molecule, which is lost or fractionated during the physical processes
of evapotranspiration. The combined use of chloride and the stable isotopes of water
(d
18
O, d
2
H) therefore provide a powerful technique for studying the evolution of ground-
water salinity as well as recharge/discharge relationships (Fontes 1980; Clark &Fritz 1997;
Coplen et al. 1999). A major challenge in arid zone investigations is to be able to distingu-
ish saline water of different origins including saline build-up from rainfall sources, for-
mation waters of different origins, as well as relict sea water. The Br/Cl ratio is an
important tool for narrowing down different sources of salinity (Rittenhouse 1967;
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 253
Edmunds 1996a; Davis et al. 1998), discriminating specifically between evaporite,
atmospheric, and marine Cl sources. The relative concentrations of reactive tracers,
notably the major inorganic ions, must be well understood, as they provide clues to the
waterrock interactions which give rise to overall groundwater mineralisation. Trace
elements also provide an opportunity to fingerprint water masses; several key elements
such as Li and Sr are useful tools for residence time determinations. Some elements such
as Cr, U, Mo and Fe are indicative of the oxidation status of groundwater. The isotopes of
Cl may also be used:
36
Cl to determine the infiltration extent of saline water of modern
origin (Phillips 1999), and d
37
Cl to determine the origins of chlorine in saline formation
waters. The measurement precision (better than 0.09) makes the use of chlorine
isotopes a potential new tool for studies of environmental salinity (Kaufmann et al. 1993).
In addition, several other isotope ratios: d
15
N (Heaton 1984), d
87
Sr (Yechieli et al. 1992)
and d
11
B (Bassett 1990; Vengosh & Spivak 1999) may be used to help determine the
Table 7.1. Principal geochemical tools for studies of water quality in (semi-)arid zones. Examples
and references to the literature are given in the text.
Geochemical/
isotopic tool
Role in evaluating water quality and salinity
Cl Master variable: Inert tracer in nearly all geochemical processes, use in
recharge estimation and to provide a record of recharge history.
Br/Cl Use to determine geochemical source of Cl.
36
Cl Half-life 3:01 10
5
years. Thermonuclear productionuse as tracer of
Cl cycling in shallow groundwater and recharge estimation. Potential
value for dating over long time spans and also for study of long-term
recharge processes. However, in situ production must be known.
37
Cl/
35
Cl Fractionation in some parts of the hydrological cycle, mainly in saline/
hypersaline environments, may allow finger printing.
Inorganic tracers:
Mg/Ca Diagnostic ratio for (modern) sea water.
Sr, I, etc. Diagenetic reactions release incompatible trace elements and may
provide diagnostic indicators of palaeomarine and other palaeowaters.
Mo, Cr, As, U, NO
3
, Metals indicative of oxidising groundwater. Nitrate stable
under aerobic conditions.
Fe
2
Indicative of reducing environments.
Nutrients:
NO
3
,K, PO
4
also DOC Nutrient elements characteristic of irrigation return flows and pollution.
d
18
O, d
2
H Essential indicators, with Cl, of evaporative enrichment and to quantify
evaporation rates in shallow groundwater environments. Diagnostic
indicators of marine and palaeomarine waters.
87
Sr,
11
B Secondary indicators of groundwater salinity source, especially in
carbonate environments.
d
34
S Indicator for evolution of sea-water sulphate undergoing diagenesis.
Characterisation of evaporite and other SO
4
sources of saline waters.
3
H Recognition of modern recharge (half-life 12.3 years).
14
C, d
13
C Main tool for dating groundwater. Half-life 5730 years. An
understanding of carbon geochemistry (including use of
13
C) is
essential to interpretation.
254 Understanding water in a dry environment
origins and evolution of salinity. Accumulations of
4
He may also be closely related to
crustal salinity distributions (Lehmann et al. 1995).
For most investigations it is likely that conjunctive measurement by a range of methods
is desirable (e.g. chemical and isotopic; inert and reactive tracers). However, several of the
above tools are only available to specialist laboratories and cannot be widely applied,
although it is often found that the results of research using detailed and multiple tools can
often be interpreted and applied so that simple measurements then become attractive. In
many countries advanced techniques are not accessible and so it is important to stress that
basic chemical approaches can be adopted quite successfully. Thus major ion analysis, if
carried out with a high degree of accuracy and precision, can prove highly effective; the
use of Cl mass balance and major element ratios (especially where normalised to Cl) are
powerful investigative techniques.
7.3 RAINFALL CHEMISTRY
Information on the conservative chemical components of rainfall is required by hydro-
logists in order to perform chemical mass balance studies of river flow and recharge.
Rainfall may also be considered as the titrant in hydrogeochemical processes, since it
represents the initial solvent in the study of waterrock interaction. A knowledge of
rainfall chemistry can also contribute to our fundamental understanding of air mass
circulation, both from the present day synoptic viewpoint as well as for past climates. In
fact, very little information is available on rainfall composition. This is particularly true
for Africa, where only limited rainfall chemical data are available. However, a reasonable
understanding of the isotopic evolution of rainfall in (semi-)arid areas is emerging, for
example within the African monsoon using isotopes (Taupin et al. 1997, 2000). The stable
isotope (d
18
O and d
2
H) composition of precipitation can aid identification of the origin of
the precipitated water vapour and its condensation history, and hence give an indication of
the sources of air masses and the atmospheric circulation (Rozanski et al. 1993). Several
chemical elements in rainfall (notably Cl) behave inertly on entering the soil and unsatur-
ated zone and may be used as tracers (Herczeg & Edmunds 1999). The combined geo-
chemical signal may then provide a useful initial tracer for hydrologists, as well as
providing a signal of past climates from information stored in the saturated and unsatu-
rated zones (Cook et al. 1992; Tyler et al. 1996; Edmunds & Tyler 2002). In fact, over
much of the SaharaSahel region rainfall-derived solutes, following concentration by
evapotranspiration, forma significant component of groundwater mineralisation (Andrews
et al. 1994).
Rainfall chemistry can vary considerably in both time and space, especially in relation
to distance from the ocean. This is well demonstrated in temperate latitudes for North
America (Junge & Werby 1958); the basic relationship between decreasing salinity and
inland distance has also been demonstrated for Australia (Hingston & Gailitis 1976). The
chemical data for Africa are very limited and it is not yet possible to generalize on rainfall
chemistry across the continent. The primary source of solutes is marine aerosols dissolved
in precipitation, but compositions may be strongly modified by inputs from terrestrial dry
deposition. Because precipitation originates in the ocean, its chemical composition near
the coast is similar to that of the ocean. Aerosol solutes are dissolved in the atmospheric
moisture through release of marine aerosols near the sea surface (Winchester & Duce
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 255
1967). This initial concentration is distinctive in retaining most of the chemical signature
of sea water, for example the high Mg/Ca ratio as well as a distinctive ratio of Na/Cl. As
rainfall moves inland towards the interior of continents, sulphate and other ions may
increase relative to the Na and Cl ions.
The more detailed studies of African rainfall have used stable isotopes in relation to the
passage of the monsoon from its origins in the Gulf of Guinea (Taupin et al. 2000) towards
the Sahel, where the air masses track east to west in a zone related to the position and
intensity of the Inter-tropical Convergence Zone (ITCZ). While the inter-annual vari-
ations and weighted mean compositions of rainfall are rather similar, consistent variations
are found at the monthly scale which are related to temperature and relative humidity.
This is found from detailed studies in southern Niger, where the isotopic compositions
reflect a mixture of recycled vapour. This is illustrated by similarities in Figure 7.2, for
which rainfall amount and isotopic content are compared for two seasons (1993 and 1994)
when the monsoon advance and intensity were considerably different (Taupin et al. 1995).
Chloride may be regarded as an inert ion in rainfall, with distribution and circulation in
the hydrological cycle taking place solely through physical processes. A study of rainfall
chemistry in northern Nigeria has been made by Goni et al. (2001). Data collected on an
event basis throughout the rainy seasons from 1992 to 1997 showed weighted mean Cl
values ranging from 0.6 to 3.4 mg L
1
. In 1992, Cl was measured at five nearby stations
in Niger with amounts ranging from 0.3 to 1.4 mg L
1
. The spatial variability at these
locations is notable. Cumulative rainfall is plotted against cumulative Cl for 1992 rains for
both Nigerian and Niger stations in Figure 7.3. The pattern for Kaska (Nigeria) 1992 rain
is distinctly different and probably indicates local dust input. However, it seems that apart
from occasional localized convective events, the accumulation pattern for Cl is temporally
and spatially uniform during the monsoon; chloride accumulation is generally propor-
tional to rainfall amount over wide areas. This is an important conclusion for the use of
chloride in mass balance studies.
Bromide, like chloride, also remains relatively inert in atmospheric processes, though
there is some evidence of both physical and chemical fractionation in the atmosphere
relative to Cl (Winchester & Duce 1967). The Br/Cl ratio may thus be used as a possible
Figure 7.2. Rainfall amount and isotopic composition on an event basis for seasons 1993/1994,
Niger (Taupin et al. 1997).
256 Understanding water in a dry environment
tracer for air mass circulation, especially to help define the origin of the Cl. The ratio Br/Cl
is also a useful palaeoclimatic indicator (Edmunds et al. 1992b), since rainfall ratio values
may be preserved in groundwater in continental areas. Initial Br enrichment occurs near
the sea surface with further modifications taking place over land. The relative amounts of
chloride and bromide in atmospheric deposition result initially from physical processes
that entrain atmospheric aerosols and control their size. A significant enrichment of Br
over Cl, up to an order of magnitude, is found in the Sahelian rains (Goni et al. 2001) when
compared to the marine ratio (Figure 7.4). Some Br/Cl enrichment results frompreferential
concentration of Br in smaller sized aerosol particles (Winchester & Duce 1967). How-
ever, the significant enrichment in the Nigerian ratio is mainly attributed to incorporation
of aerosols from the biomass as the monsoon rains move northwards, either from bio-
degradation or from forest fires. What is clear is that atmospheric dust derived from halite
is unimportant in this region, since this would give a much lower Br/Cl ratio.
7.4 TIME SCALES AND PALAEOHYDROLOGY
Isotopic and chemical techniques are diagnostic for time scales of water movement and
recharge, as well as in the reconstruction of past climates when recharge occurred. In this
way the application of hydrogeochemistry can help solve essentially physical problems
and can assist in validating numerical models of groundwater movement.
A palaeohydrological record for Africa has been built up through a large number of
palaeolimnological and other archives, which demonstrate episodic wetter and drier inter-
ludes throughout the late Pleistocene and Holocene (Servant & Servant-Vildary 1980;
Gasse 2000). The late Pleistocene was generally cool and wet although at the time of the
Last Glacial Maximum much of North Africa was arid, related to the much lower sea
Cumulative rain (mm)
0 100 200 300 400 500 600
C
u
m
u
l
a
t
i
v
e
w
e
i
g
h
t
e
d
C
l
(
m
g
l
1
)
0
1
2
3
Berkiawel
Sameday
Fandouberi
Niamey
Orstom
Kaska
Garin Alkali
Figure 7.3. Cumulative rainfall plotted against cumulative Cl for 1992 rains for Nigerian and Niger
stations (after Goni et al. 2001).
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 257
surface temperatures. The records show, however, that the Holocene was characterized
by a series of abrupt and dramatic hydrological events, mainly related to monsoon
activity, although these events were not always synchronous over the continent. Evidence
(isotopic, chemical and dissolved gas signatures) contained in dated groundwater forms
important and direct proof of the actual occurrence of the wet periods inferred from
the stratigraphic record as well as the possible source, temperature and mode of recharge
of the groundwater. Numerous studies carried out in North Africa contain pieces of a
complex hydrological history.
There is widespread evidence for long-term continuous recharge in the sedimentary
basins of North Africa based on sequential changes in radiocarbon activities (Gonfiantini
et al. 1974; Edmunds & Wright 1979; Sonntag et al. 1980). These groundwaters are also
distinguishable by their stable isotopic composition; most waters lie on or close to the
Global Meteoric Water Line (GMWL), but with lighter compositions than at the present
Cl (mg L
1
)
0 2 4 6 8 10 12 14 16
B
r
/
C
l
0.001
0.01
0.1
Cl (mg L
1
)
0 2 4 6 8
B
r
/
C
l
0.001
0.01
0.1
Marine Reference
Line
Marine
Reference
Line
KASKA
GARIN
ALKALI
Figure 7.4. Bromide/chloride ratios for rainfall from two stations (Kaska and Garin Alkali) in
northern Nigeria (after Goni et al. 2001).
258 Understanding water in a dry environment
day. This signifies that evaporative enrichment was relatively unimportant and that
recharge temperatures were lower than at present. This is also supported by noble gas data,
which show recharge temperatures at this time typically some 57
18
O (per mil)
-5 0 5
Chloride (mg L
1
)
0 20 40 60 80 100 0 20 40 60 80 100
2
H (per mil)
-60 -40 -20 0 20 40
Cl
18
O
2
H
3
H (Tritium Units)
3
H
NO
3
-N (mg L
1
)
NO
3
MC
1963
SAHEL
DROUGHT
40 30 20 10
Figure 7.8. Profiles of tritium, stable isotopes, chloride and nitrate in the unsaturated zone from the
same locationprofile L18, Louga, Senegal.
Figure 7.9. Combined profiles of moisture content, Cl,
3
H and
36
Cl/Cl from Borrika, South
Australia, illustrating the clearance of native vegetation (after Cook et al. 1994).
264 Understanding water in a dry environment
and stable chloride. This is because the two former estimate soil water flux from the soil
surface, whereas the stable Cl is estimating flux below the plant root zone.
7.6.2 Stable isotopes
Stable isotopes have been used in the study of recharge, but in general only semi-
quantitative recharge estimates can be obtained. In (semi-)arid regions, however, the
fractionation of isotopes between water and vapour in the upper sections of unsaturated
zone profiles has been used successfully to calculate rates of discharge (Barnes & Allison
1983) and to indicate negligible recharge (Zouari et al. 1985).
At high rainfall, the recharging groundwater undergoes seasonal fractionation within the
zone of fluctuation (Darling & Bath 1988), but any seasonal signal is generally smoothed
out with the next pulse of recharge and little variation remains belowthe top fewmetres. In
(semi-)arid zones, however, where low recharge rates occur, the record of a sequence of
drier years may be recorded as a pulse of
18
O-enriched water, as recorded for example from
Senegal (Gaye & Edmunds 1996). Isotopic depletion in deep unsaturated zones in North
America has been used to infer extended wet and dry intervals during the late Pleistocene
(Tyler et al. 1996). Extreme isotopic enrichment in the unsaturated zone accompanies
chloride accumulation over intervals when recharge rates are zero (Darling et al. 1987).
7.6.3 Chloride
Numerous studies using Cl as a conservative tracer in recharge calculations have been
reported, and Cl mass-balance methods probably offer the most reliable approach to
recharge estimation for semi-arid and arid regions (Allison et al. 1994). In addition, Cl
analysis is inexpensive and is widely applicable, bringing it within the budgets of most
water resource organizations, although the capacity for accurate measurements at low Cl
concentrations is required. The methods of investigation are straightforward and involve
the recovery of dry samples by augur, percussion drilling, or dug wells followed by the
measurement of moisture content and the elution of Cl. A number of criteria must be
satisfied or taken into account for successful application of the technique: That no surface
runoff occurs, that Cl is solely derived from rainfall, that Cl is conservative with no add-
itions from within the aquifer, and that steady-state conditions operate across the unsatur-
ated interval where the method is applied (Edmunds et al. 1988; Herczeg & Edmunds
1999; Wood 1999). As with tritium, it is important that sampling is made over a depth
interval which passes through the zone of fluctuation. For the example shown in Figure
7.7, from Cyprus, the mean (steady-state) concentrations of Cl in the pore waters (119 and
122 mg L
1
respectively) provide recharge estimates of 56 and 55 mmyr
1
. These esti-
mates are derived using mean Cl data over three years at the site for rainfall chemistry and
the measured moisture contents. Macropore flow is often present in the soil zone, but in
the Cyprus and northern African profiles, in the absence of large trees, this is restricted
to the top 24 m of profile.
7.6.4 Nitrate
Groundwater beneath the arid and semi-arid areas of the Sahara is almost exclusively
oxidising. The continental aquifer systems contain little or no organic matter, and dissolved
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 265
oxygen concentrations of several mg L
1
may persist in palaeowater dated in excess of
20,000 years old (Winograd &Robertson 1982; Heaton et al. 1983). Under these conditions
nitrate also is stable and acts as an inert tracer recording environmental conditions. Nitrate
concentrations in Africa are often significantly enriched and frequently exceed 10 mg L
1
NO
3
N (Edmunds & Gaye 1997; Edmunds 1999). High nitrate concentrations may be
traced in interstitial waters through the unsaturated zone to the water table and are clearly
the result of biogeochemical enrichment. This enrichment is well above concentrations
from the atmosphere, allowing for evapotranspiration, and the source is most likely to be
naturally occurring N-fixing plants such as acacia, though in the modern era some
cultivated species may also contribute. In Senegal (Edmunds &Gaye 1997), the NO
3
N/Cl
ratio can even exceed 1.0. A record of nitrate in the unsaturated zone can therefore be used
as an indicator of vegetation changes, including land clearance and agriculture.
7.6.5 Reactive tracers and waterrock reactions in the unsaturated zone
The main process of groundwater mineralisation takes place by acidbase reactions in the
top few metres of the earths crust. Natural rainfall acidity is between pH 5 and 5.5.
Atmospheric CO
2
concentrations are low, but may increase significantly due to micro-
biological activity in the soil zone. In warmer tropical latitudes the solubility of CO
2
is
lower than in cooler mid-high latitude areas, and weathering rates will be somewhat lower
(Tardy 1970; Berner & Berner 1996). The concentration of soil CO
2
(pCO
2
) is neverthe-
less of fundamental importance in determining the extent of a reaction; an open system
with respect to the soil/atmosphere reservoir may be maintained by diffusion to a depth of
several metres.
Investigation of the geochemistry of pore solutions in the unsaturated zone is usually
hampered by low moisture contents. Elutriation using distilled water is possible for inert
components but not for reactive solutes, since artefacts may be created in the process.
Where moisture contents exceed about 5 wt% it may be possible to extract small volumes
by immiscible liquid displacement (Kinniburgh & Miles 1983). Results for one profile
from Nigeria (see Edmunds et al. 1999) illustrate the trends for some elements in relation
to Cl (Figure 7.10). An increase in Na/Cl above that in rainfall indicates that some reaction
with the rock is taking place (probably feldspar dissolution). Concentrations of Fe and
Al show strong gradients, probably related to low pH in the top 10 m of the profile.
7.6.6 Examples of integrated studies
Two examples where multiple tracers have been used are considered as illustration:
Louga, Senegal
An example of an integrated study from Senegal using tritium, Cl and stable isotopes is
given in Figure 7.8, based on Gaye and Edmunds (1996) and Aranyossy and Gaye (1992).
Samples were obtained from Quaternary dune sands where the water table was at 35 m
and where the long-term (100 year) average rainfall is 356 mmyr
1
(falling by 36% to
223 mm since 1969 during the Sahel drought). The tritium peak clearly defines the 1963
rainfall as well as demonstrating that piston displacement is occurring. A recharge rate of
26 mmyr
1
is indicated, and little if any by-pass flow is taking place.
266 Understanding water in a dry environment
The profile has a mean Cl concentration (23.6 mg L
1
) that corresponds to a recharge
rate of 34.4 mmyr
1
, calculated using a value for rainfall Cl of 2.8 mg L
1
and an average
rainfall of 290 mmyr
1
. This rate is in close agreement with the tritium-derived value,
indicating homogeneous movement with little dispersion of water and solute. Oscillations
in Cl with depth are due to variable climatic conditions, and the prolonged Sahel drought
is indicated by the higher Cl concentrations. These profiles have been used to create a
chronology of recharge events (Edmunds et al. 1992a). The stable isotope values are con-
sistent with the trends in recharge rates indicated by Cl, the most enriched values corres-
ponding to high Cl and periods of drought, but the stable isotopes are unable to quantify
the rate of recharge, unlike Cl and
3
H.
Further profiles from Louga in northwest Senegal (Edmunds & Gaye 1994) illustrate
the spatial variability of recharge within one site (1 km
2
). Average chloride concentration
for seven separate profiles at this site is 82 mg L
1
, giving a spatially averaged recharge
of 13 mmyr
1
. Having established that all Cl in this region is atmospherically derived, it is
therefore possible to extrapolate the unsaturated zone data to determine the spatial vari-
ability of recharge at a regional scale using data from shallow dug wells. Data from 120
shallow wells over an area of 1600 km
2
were used to calculate the recharge distribution.
Regional recharge is shown to vary from <1 to 20 mmyr
1
, corresponding to a renewable
resource of between 1100 and 13,000 m
3
km
2
yr
1
(Edmunds & Gaye 1994).
Central Kalahari, Botswana
Information on sediment composition, chloride and moisture contents, and changes in
isotopic compositions of Cl,
18
O and
3
H have been obtained from three adjacent profiles,
obtained by auguring (Beekman et al. 1999; De Vries et al. 2000; Selaolo 1998). These
profiles are mainly sand, but the silt content increases below 14 m (Figure 7.11); the
moisture contents reflect the sediment compositions. The sediments are slightly calcare-
ous and the presence of macropores was observed in the sediments.
Chloride concentrations range from below 100 to 2100 mg L
1
and the shape of the
profile indicates that recharge must be taking place at low but positive rates. The profiles
are complex and are interpreted as having been influenced by macropore flow, especially
mg L
1
8 0 4 12 16
mMg/Cl
0.0 0.2 0.4 0.6 0.8 1.0
mSr/Ca.10
3
0 5 10 15 0.0 0.2 0.4 0.6
mg L
1
0 5 10 15 20
mNa/Cl
0.0 0.5 1.0 1.5 2.0
NO
3
-N
mMg/Cl
Sr/Ca.10
3
Fe (total)
Al
mg L
1
0 20 40 60 80 100
D
e
p
t
h
(
m
)
0
2
4
6
8
10
12
14
16
18
Cl
water table
mNa/Cl
rain
mg L
1
rain
Figure 7.10. Geochemistry of interstitial waters in the unsaturated zoneprofile MD1 from
northern Nigeria with concentrations and ratios for a number of elements. The molar N/Cl (10) is
also plotted on the nitrate diagram.
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 267
above 9 m, though the fluctuations may also be superimposed on climatic variations (piston
displacement) reflecting variable recharge rates.
The mean Cl concentration for the upper 7.5 m provides recharge estimates of
0.5 mmyr
1
, which contrasts with somewhat higher moisture flux estimates from tritium
of 3.8 mmyr
1
. A significant feature of this profile is the presence of tritium at intervals
down the profile, which suggests the presence of some by-pass flow, though it is also
Figure 7.11. Unsaturated zone profiles (
3
H,
18
O and
2
H) from Botswana.
268 Understanding water in a dry environment
proposed that water movement in the vapour phase has also redistributed the tritium
(Beekman et al. 1999). The tritium peaks also seem to correlate with areas of lower Cl.
The stable isotope profile has been used here to measure recharge rates according to the
method of Allison et al. (1984). This is one of the few examples where this method
appears to be applicable, and a moisture flux of 1.1 mmyr
1
is obtained. Further details of
this Botswana study are presented by Seth (this volume, Section 8.8.1).
7.7 HYDROCHEMISTRY OF GROUNDWATER SYSTEMS IN
(SEMI-)ARID REGIONS
From the foregoing discussion it is evident from geochemical and isotopic evidence that
significant recharge to aquifer systems does not occur at present in most arid and semi-
arid regions. In the Senegal example illustrated above, recharge rates to sandy areas with
long-term average rainfall of around 350 mm are between <1 and 20 mmyr
1
. It is likely
that these results could be extrapolated to other regions with similar landscape, geology
and climate over much of northern Africa, though preferential recharge along drainage
systems is also important, providing areas with small but sustainable supplies (see Wadi
Hawad case study, Section 7.8). These present-day low recharge conditions will have an
impact on the overall chemistry due to lower water-rock ratios and larger residence times,
leading to somewhat higher salinities and evolved hydrogeochemistry.
Africa is characterised by several large overstepping sedimentary basins (Figure 7.1)
which contain water of often excellent quality. Much of this water is shown to be
palaeowater recharged during the late Pleistocene or Holocene pluvial periods. Hydro-
geochemical processes observed in these aquifers have principally been taking place
along flow-lines under declining heads towards discharge points in salt lakes or at the
coast. Present rates of groundwater movement in the large sedimentary basins are likely to
be less than one metre per year; in the Great Artesian Basin of Australia rates as low as
0.25 mmyr
1
are recorded (Love et al. 2000). Piezometric decline has generally been
occurring, since fully recharged and transient conditions are likely to be still operating at
the present day as adjustment continues towards modern recharge conditions. Ground-
water in large basins is never stagnant and waterrock interaction will continue to occur.
The evolution of inorganic groundwater quality is considered here in the light of the
isotopic evidence, which provides information on the age and different recharge episodes
in the sedimentary sequences.
7.7.1 Input conditionsinert elements and isotopic tracers
The integrated use of inert chemical and isotopic techniques provides a powerful means of
determining the origin(s) of groundwater in semi-arid regions. To a large extent these
tracers (Cl, d
18
O, d
2
H) are the same as used in studies of the unsaturated zone and may be
adopted to clearly fingerprint water from past recharge regimes. However, the longer time
scales of groundwater recharge require the assistance of radiocarbon dating and, if
possible, other radioisotopic tools such as
36
Cl,
81
Kr and
39
Ar (Loosli et al. 1999). Noble
gas isotopic ratios also provide evidence of recharge temperatures which are different
from those of the present day (Stute & Schlosser 1999).
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 269
Several elements, especially Br and Br/Cl ratios, remain effectively inert in the flow
system, and may be used to follow various input sources and the evolution of salinity in
aquifers (Edmunds 1996a; Davis et al. 1998). An example is given from the Continental
Intercalaire in Algeria (Edmunds et al. submitted) along a section from the Saharan Atlas
to the discharge area in the Tunisian Chotts (Figure 7.12). The overall evolution is
indicated by Cl, which increases from around 200 to 800 mg L
1
. The sources of salinity
Distance (km)
0 100 200 300 400 500 600 700 800
F
(
m
g
L
1
)
0.0
0.5
1.0
1.5
2.0
I
/
C
l
(
w
t
)
0.0000
0.0001
0.0002
0.0003
0.0004
0.0005
B
r
/
C
l
(
w
t
)
0.000
0.001
0.002
0.003
0.004
0.005
0.006
C
l
(
m
g
L
1
)
0
200
400
600
800
1000
B
r
(
m
g
L
1
)
0
1
2
3
4
5
6
7
8
seawater
halite
(seawater 3.1x10
6
)
ATLAS MTS
(ALGERIA)
CHOTTS
(TUNISIA)
Cl
Br
Br/Cl
I/Cl
F
Figure 7.12. Down-gradient hydrogeochemical profile (west-to-east) in the Continental
Intercalaire aquifer from the Atlas mountains of Algeria to the discharge area in the Chotts of
southern Tunisia. The chloride profile indicates a progressive increase in salinity. The other
halogen elements Br, I, F help to explain the origins of salinity and the general chemical evolution
down-gradient.
270 Understanding water in a dry environment
are shown by the Br/Cl ratio; the increase along the flow-lines for some 600 km is due to
the dissolution of halite from one or more sources, whilst in the area of the salt lakes
(chotts) some influence of marine formation waters is indicated (possibly from water
flowing to the chotts from a second flow-line). Fluorine remains buffered at around
1 mg L
1
controlled by saturation with respect to fluorite and iodine follows fluorine
behaviour, being released from the same source as F, possibly from organic rich horizons.
The Cl and Br concentrations and ratio are related to inputs and differ from F and I, which
are principally controlled by waterrock interaction.
7.7.2 Reactions and evolution along flow lines
The degree of groundwater mineralisation in the major water bodies in semi-arid and arid
zones, recharged during the Holocene and the late Pleistocene, is likely to be a reflection
of atmospheric/soil chemical inputs, the relatively high recharge rates during the pluvial
episodes, the aquifer sedimentary facies and mineralogy. Most of North Africa south of
latitude 28
30
0
(Edmunds 1980). For many of the large basins of the Sahara and Sahel,
away from coastal areas, the groundwater chemistry for inert solutes reflects, to a signifi-
cant extent, inputs from the atmosphere (Fontes et al. 1993). Superimposed on these
inputs, the effects of waterrock interactions in mainly silicate dominated rock assem-
blages are recorded.
Important changes in reactive tracers (major and trace elements) also occur, which can
be followed by (time-dependent) waterrock reactions. In addition to the chemical sig-
nature derived from atmospheric inputs, the chemistry of groundwater is determined to a
significant extent by reactions taking place in the first few metres of the unsaturated or
saturated zone and reflecting the predominant rock type. Any incoming acidity will be
neutralised by carbonate minerals or, if absent, by silicate minerals. In the early stages of
flow the groundwater will approach saturation with carbonates (especially calcite and
dolomite). Thereafter, it will react relatively slowly with the matrix in reactions where
impurities (e.g. Fe, Mn and Sr) are removed from these minerals, and purer minerals are
precipitated under conditions of dynamic equilibrium towards saturation limits with
secondary minerals (e.g. fluorite and gypsum).
During this stage, other elements may accumulate with time in the groundwater and
indicate if the flow process is homogeneous or not; discontinuities in the chemistry are
likely to indicate discontinuities in the aquifer hydraulic connections. An example from
the Continental Intercalaire aquifer in Algeria/Tunisia (Edmunds et al. 2003) shows how
the major elements may vary along the flow line (Figure 7.13). The ratios of reactive
versus an inert tracer are used to indicate the evolution. The very constant Na/Cl ratio
(weight ratio of 0.65) throughout the flow path as salinity increases indicates the
dissolution of halite with very little reaction; at depth a different source is indicated. The
Mg/Ca ratio indicates that saturation with respect to calcite (0.60) is approached after a
short distance but that this is disturbed at depth by water depleted in Mg, probably from
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 271
the dissolution of gypsum. The K/Na ratio increases along the flow-line from 0.05 to 0.18,
suggesting a time-dependent release of K from feldspars or other silicate sources.
7.7.3 Redox reactions
Under natural conditions, groundwater undergoes oxidation-reduction (redox) changes
moving along flow-lines (Champ et al. 1979; Edmunds et al. 1984). The solubility of
oxygen in groundwater at the point of recharge (around 1012 mg L
1
reflects the ambi-
ent air temperature and pressure. The concentration of dissolved oxygen (DO) in newly
recharged groundwater may remain high (810 mg L
1
), indicating relatively little loss of
DO during residence in the soil or unsaturated zone (Edmunds et al. 1984). Oxygen slowly
M
g
/
C
a
(
w
t
)
0.0
0.1
0.2
0.3
0.4
0.5
K
(
m
g
L
1
)
0
20
40
60
80
100
120
889
N
a
/
C
l
(
w
t
)
0.0
0.5
1.0
1.5
2.0
Distance (km)
0 100 200 300 400 500 600 700 800
K
/
C
l
(
w
t
)
0.00
0.05
0.10
0.15
0.20
Figure 7.13. Down-gradient hydrogeochemical profile (west-to-east) in the Continental Inter-
calaire aquifer from the Atlas mountains of Algeria to the discharge area in the Chotts of southern
Tunisia. The ratios of major ions (Na/Cl, Mg/Ca, K/Cl) help to explain the progressive waterrock
interaction taking place.
272 Understanding water in a dry environment
reacts with organic matter and/or with Fe
2
released fromdissolution of impure carbonates,
ferromagnesian silicates or with sulphides. Oxygen may persist, however, for many
thousands of years in unreactive sediments (Winograd & Robertson 1982). Complete
reaction of oxygen is marked by a fall in the redox potential (Eh) by up to 300 mV. This
provides a sensitive index of aquifer redox status. A decrease in the concentration of
oxygen in pumped groundwater therefore may herald changes in the input conditions. An
increase in dissolved iron (Fe
2
) concentration as well the disappearance of NO
3
may be
useful as secondary indicators.
The Continental Intercalaire aquifer is again used to illustrate redox conditions for a
typical continental aquifer system in an arid zone (Figure 7.14). The redox boundary
Redox boundary
N
O
3
N
(
m
g
L
1
)
0
2
4
6
8
F
e
t
o
t
a
l
(
m
g
L
1
)
0.01
0.1
1
10
U
(
g
L
1
)
0
1
2
3
4
5
Distance
0 100 200 300 400 500 600 700 800
C
r
(
g
L
1
)
0
20
40
60
80
M
n
(
m
g
L
1
)
0.001
0.01
0.1
1
10
Figure 7.14. Down-gradient hydrogeochemical profile (west-to-east) in the Continental Inter-
calaire aquifer from the Atlas mountains of Algeria to the discharge area in the Chotts of southern
Tunisia; Eh and changes at the redox boundary.
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 273
corresponds with a position some 300 km along the flow path in the confined aquifer and
in waters of late Pleistocene age (Edmunds et al. submitted). Neither Eh nor O
2
measure-
ments were possible in the study, but the position of the redox change is clearly marked
by the disappearance of NO
3
, the increase in Fe
2
, as well as in the sharp reduction in
concentrations of several redox-sensitive metals (Cr, U for example), which are stabilised
as oxy-anions under oxidising conditions.
7.7.4 Salinity generation
Salinity build up in groundwater in (semi-)arid regions has several origins, some of which
are referred to in the preceding sections. Edmunds and Droubi (1998) and Attia and Salih
(2002) review the topic and discuss the main issues and techniques for studies in such
regions. Three main sources are important: atmospheric aerosols, sea water of various
generations and evaporite sequences, all of which may be distinguished using a cocktail of
chemical or isotopic techniques (Table 7.1).
Atmospheric inputs that slowly accumulate over geological time scales are of great
importance as a source of salinity. The impact on groundwater composition will be
proportional to the inputs (including proximity to marine or playa source areas), climate
change sequences and the turnover times of the groundwater bodies. The accumulation
of salinity from atmospheric sources is most clearly demonstrated from the Australian
continent (Hingston & Gailitis 1976), where the landscape and groundwaters closely
reflect the deposition of aerosols over past millennia.
Formation waters from marine sediments are important as a salinity source in aquifers
near to modern coastlines. Different generations of salinity may be recognised, either
from formation waters laid down with young sediments or from marine incursions arising
from eustatic or tectonic changes. Evaporites containing halite and/or gypsum are an
important cause of quality deterioration in many aquifers in present day arid and semi-
arid regions. Formation evaporites are usually associated with inland basins of marine or
non-marine origin. The different origins and generations of salinity in formation waters
may be characterised by a range of isotopic and chemical tracers, such as d
87
Sr and d
11
B
(Table 7.1).
7.8 WADI HAWAD, SUDANA CASE STUDY OF SURFACE
GROUNDWATER RELATIONSHIPS IN SEMI-ARID ZONES;
RELATIONSHIPS BETWEEN MODERN AND PALAEOWATERS
7.8.1 Regional setting
Wadi Hawad is an ephemeral tributary of the river Nile in Sudan, which it joins some
20 km downstream of Shendi. This major wadi (or khor) is joined in turn by a series of
smaller khors which are fed by monsoon rains. Wadi Hawad lies in the Butana region of
Sudan between the Nile and the Atbara rivers, and is underlain by an embayment of the
Nubian Sandstone Series (Cretaceous). Abu Delaig lies almost on the boundary between
the Nubian Sandstone and the Basement Complex, which is encountered at shallow depth
(26 m) in wells south of the town. Much of the area is grazed by local or nomadic farmers
who rely on the shallow groundwater resource exploited by hand-dug wells (to 26 m). This
274 Understanding water in a dry environment
system has been the subject of extensive regional water resource assessment (for details
see Kotoub 1987; Darling et al. 1987; Edmunds et al. 1992a; Edmunds 2002), within which
geochemical and isotopic studies illustrate the relationship between the wadi system and
the underlying groundwater, as well as the river Nile. Some of these studies are focused on
Abu Delaig, a small town some 200 km northeast of Khartoum (Figure 7.15) lying on the
Figure 7.15. Area of Wadi Hawad case study, Sudan. The radiocarbon ages (uncorrected) and
13
C
are shown.
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 275
banks of a small khor, which normally flows for short periods several times per year. It is
typical of many settlements on the Sahel margin which rely on water from shallow dug
wells (up to 26 m) in alluvium and the Nubian Sandstone, and on several deep (to 150 m)
pumped boreholes drilled further north in the Nubian Sandstone. This case study shows
how, using hydrogeochemical techniques, the local groundwater has evolved from rainfall
and from surface waters of the wadi and, most importantly, its sources of recharge and
how it can be protected as a valuable and sustainable natural resource. Results are sum-
marised in the delta-diagram and trilinear plots of Figures 7.16 and 7.17.
Figure 7.16. Stable isotope plot for all waters in the Wadi Hawad region in central Sudan. The
corresponding areas are shown schematically in the cross-section from the Nile to Abu Delaig.
276 Understanding water in a dry environment
7.8.2 Rainfall chemistry
The period 19821985 proved to be one of the most arid since records began. The Sahel
drought from 1969 onwards produced a weighted mean average annual rainfall of
154 mm, against a longer term average (19381968) of 225 mm. The years 1983 and 1984
each produced only 15 mm of rain. The most significant feature of the rainfall chemistry is
the relatively high total mineralisation for a continental site (Abu Delaig is about 700 km
from the Red Sea and over 2000 km from the Indian Ocean). Rainfall at Abu Delaig has
chloride concentrations in the range 0.918.4 mg L
1
, with a weighted mean value of
4.6 mg L
1
over the four year period 19821985. In general, the lightest rains (i.e. the
smallest storms) have the highest chlorinity.
Rainfall analyses closely reflect the total annual deposition for most parts of the area.
There is considerable cycling of dust throughout much of the dry season, though this is
considered to be a close to steady-state process with little or no net deposition in the very
open landscape of the Wadi Hawad basin. During rain storms, however, the situation is
different and rainout of soluble and particulate material takes place and there is the
opportunity for solutes to enter the soil. The heavier rains are quantitatively more
Figure 7.17. Trilinear diagram showing the compositional ranges of shallow groundwaters (Abu
Delaig) and deep Nubian groundwater compared with rainfall and Wadi Hawad floods. The
composition of the Blue Nile and White Nile are shown and compared with Nile Valley
groundwater; this indicates the dominance of the latter in the recharge from the river.
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 277
important in determining the solute loading and isotopic inputs; the rainfall cation
composition is shown in Figure 7.16.
Stable isotope data for rain collected during the period 19821985 are shown, relative
to the world meteoric line (Figure 7.16) and the regression line for Khartoum rainfall
measured by IAEA (Vienna) for the nine years between 19621977. Distinction is made
between rain storms of different intensity, and it can be seen that the heaviest rainfall (with
two important exceptions) usually has the lightest isotopic composition. There is no cor-
relation between
2
H and Cl in rainfall, which suggests that there is no evaporative control
on Cl concentrations.
7.8.3 Chemistry of wadi flows and the river Nile
Data for flood water obtained at Abu Delaig in a tributary of Wadi Hawad during 1983 and
1985 are shown in Figure 7.17. These data represent only two floods in 1983 and five in
1985, with no flood recorded at all in 1984. Chloride concentrations are lower in the flash
flood waters than in the weighted mean rainfall for the whole period, as expected, cor-
relating with the heaviest rains. For 1985 the flood waters have mean chloride concen-
trations of 2.6 mg L
1
, against a weighted mean average of 4.6 mg L
1
for rainfall. Stable
isotope evidence for wadi floods (Figure 7.16) confirms that no significant evaporation
has occurred. During the wadi flow, in addition to a doubling of total mineralisation an
increase in the Mg/Ca ratio is observed (Figure 7.17), which probably indicates the release
of Mg by cation exchange from the weathering of clay minerals or Mg-rich soil
carbonates.
The river Nile at Shendi represents the combined flow of the Blue and the White Niles,
the total mineralisation of the White Nile being higher than that for the Blue Nile. The
compositions of the two rivers are also distinctive (Figure 7.16), the Blue Nile composition
being Ca-dominated. Seasonal changes in the isotopic composition of the combined river
flows are also significant. The White Nile has a composition of 5.4 d
18
O, compared
with flood waters of the Blue Nile which have minimum values of around 5.7 d
18
O.
These isotopic and chemical differences can be used to fingerprint Nile water recharging
the adjacent aquifers.
7.8.4 Wadi recharge and shallow groundwaters
The oxygen and hydrogen stable isotope results (Figure 7.16) from shallow groundwater
found within a few km of the wadi in the vicinity of Abu Delaig all group near the
Khartoum meteoric line and show only slight evidence of evaporation from rainfall, all
samples overprinting the weighted mean value for Khartoum. Many well waters are
isotopically slightly lighter than any of the rainfall measured. It is likely that wadi
recharge would not reflect the same seasonss rainfall. In 1983 the wadi at Abu Delaig did,
however, containing water with isotopic values similar to the dug wells. Like rainfall,
wadi flood events can vary significantly in isotopic content, but unlike rainfall appear to
be relatively consistent within a particular wet season (Darling et al. 1987).
Tritium was measured for ten samples of shallow water at a distance of up to 1 km from
the wadi line, all of which indicated a large component of recent recharge (2476 TU).
Samples fromdeep wells north of the area, away fromWadi Hawad, all gave values 9 TU.
278 Understanding water in a dry environment
Despite the lack of significant evaporation, the salinity of the dug well samples is much
higher than in rainfall, with a specific electrical conductance (SEC) of between 3001700
mS cm
1
. Chloride and sulphate concentrations are higher in water samples further fromthe
wadis and SO
4
/Cl ratios are generally in excess of 2.75 in the shallow groundwaters,
compared with about 1.0 in the rainfall, indicating a net addition of sulphate to groundwater
subsequent to recharge. The cation distribution in water from the shallow wells is highly
variable (Figure 17). Although the ionic ratio of the rainfall, or wadi flood, is preserved in
three wells close to the wadi, the trend is for an increase in Mg and Na relative to Ca, so that
most of the wells contain Mg/Ca ratios near to 1.0 and with sodium the dominant cation
(Figure 7.17). Calculations using PHREEQC(Parkhurst 1995) showthat all the Abu Delaig
groundwater is saturated or slightly supersaturated with respect to calcite, indicating that
carbonates must be present in the soils or sandstones as a primary or secondary interstitial
mineral. The high Mg/Ca ratios of the shallow groundwater are distinct fromthe chemistry
of deeper palaeowater, and offer one way to identify modern recharge to the deeper aquifer.
Nitrate concentrations are also high; up to 52.4 mg L
1
NO
3
N. The distribution of
nitrate is irregular and high values are often, but not always, correlated with proximity to
Abu Delaig town and must partly represent an anthropogenic source. High potassium con-
centrations (or high K/Na ratios), being additional contaminant indicators, are not found
and it is therefore difficult to apportion the source of nitrate.
7.8.5 The unsaturated zone
Chloride concentrations in elutriate samples from twelve unsaturated zone sites at Abu
Delaig were used to compare possible direct recharge in the interfluve areas with that in
the wadis, and to study the evolution of groundwater quality in the shallow water cycle.
Chloride concentrations reach plateau concentrations within 11.5 m. The upper metre
contains consistently low salinities, indicating that atmospherically-derived solutes are
being washed into the profile during rainfall events and do not accumulate as salts on the
surface.
Mean chloride concentrations in four of these profiles lie between 1350 and 4600 mg L
1
(Figure 7.18). These concentrations indicate that there is a negligible direct (diffuse)
recharge component, which lies in the range of 0.21.3 mmyr
1
. Accumulated chloride in
the top 10 mof the unsaturated zone therefore represents storage in the order of 2000 years.
Very high nitrate concentrations of up to 2800 mg L
1
NO
3
N are found in several
interstitial solutions from profiles drilled south of wadi Abu Delaig (e.g. E, G, Q), but in
profiles to the north (e.g. A, C) background values are found to be as low as 10 mg L
1
NO
3
N. Under strongly oxidising conditions (see above) nitrate concentrations must be
related to variable inputs, possibly from different cycles of vegetation or settlement over
periods of hundreds of years.
The stable isotope compositions (Figure 7.16) of the unsaturated zone moisture for
shallow profiles (020 m) in this area all show a strong evaporative increase derived from
local rainfall, in line with the Cl increase (Darling et al. 1987).
7.8.6 Shallow and deep groundwaters
The major cation chemistry of groundwater from shallow dug wells in the area of Abu
Delaig and that for deeper water from boreholes in the unconfined Nubian Sandstone in
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 279
the Butana are compared in Figure 7.17. All groundwaters are fresh, with low chloride
(generally below 50 mg L
1
in most waters in both shallow and deep aquifers). There is a
net increase in the Mg/Ca and Na/Ca ratios in all the groundwaters compared with the
rainfall, indicating the extent of waterrock interaction with the detrital mafic minerals
and mainly alkaline suite of minerals derived from the basement rocks. The deeper paleo-
water has a narrow compositional range, but a much wider variation is shown by the
shallow groundwater. Groundwater chemical composition in the Nile valley is closer to
that of the White Nile base flow than the Blue Nile flood waters.
7.8.7 Overall recharge sources in Wadi Hawad
The palaeoclimatic history of the region (Williams & Adamson 1980) shows that during
the early Holocene at least 400 mmyr
1
rainfall occurred, but that by 4500 BP the region
became arid (<100 mmyr
1
, or even below that at present). It is likely that the regional
water table has declined steadily over historical times. Over large interfluve areas cover-
ing the Butana plain and typified by the results from Abu Delaig, diffuse recharge is
currently taking place on only an intermittent basis. The long-term diffuse or direct
recharge is likely to be no more than about 1 mmyr
1
, under conditions typical of the
average rainfall of around 220 mmyr
1
during the past century. The presence of clay soils
and the clay matrix (on sand or gravel surfaces) effectively restricts infiltration in this type
of terrain, though more sandy areas may permit additional recharge.
Cl (g L
1
)
10 0 1 2 3 4 5 6 7 8 9
D
e
p
t
h
(
m
)
0
2
4
6
8
10
12
Profile A - 1357 mg L
1
Profile G - 1364 mg L
1
Profile Q - 1782 mg L
1
Profile N - 4684 mg L
1
Water table
(Approx)
Figure 7.18. Unsaturated zone profiles near Wadi Hawad, showing high salinity in the unsaturated
zone of the interfluve areas.
280 Understanding water in a dry environment
The overall situation may be summarised using the isotopic compositions of the
different water types in this region (Figure 7.16). The shallow aquifer serving Abu Delaig
is likely to be a perched aquifer created by clay horizons in the basal Nubian Sandstone.
This is demonstrated hydraulically by the relatively shallow permanent water table in the
vicinity of the town, compared with outlying wells which have water levels tens of metres
lower than near the wadi at Abu Delaig. The chemical and isotopic evidence from shallow
wells in the vicinity of the wadi and in outlying areas indicates only local modern water,
and there is no evidence from the isotopic signatures that significant recharge on a regional
scale is taking place to the Nubian Sandstone aquifer.
The main groundwater body beneath the Butana plain has a radiocarbon age of 5500
8000 years, indicating regional replenishment during the Holocene and possibly earlier
perods of recharge during the late Pleistocene. Only one well shows a composition
intermediate between the shallow groundwater and the isotopically much lighter and
distinct palaeowater. Other outlying wells sampled at the water table by traditional
methods gave palaeowater signatures indicating that neither direct recharge nor wadi
recharge had been effective regionally for several millennia. It is unlikely, however, that
present day recharge beneath the wadi system is zero, but a dedicated programme of
drilling beneath and adjacent to the wadi would be necessary to demonstrate this
adequately.
Groundwater sampled from the Nubian Sandstone aquifer in the Nile valley indicates
that the river Nile is a source of modern recharge for several kilometres distant. The Nile
valley groundwaters all group around a regression line for the river, with values near to
3 d
2
H and 1.5d
18
O. This value is intermediate between the White Nile base flow and
flood waters from the Blue Nile, indicating a contribution from both sources.
The only effective source of water supply for the Wadi Hawad basin, as exemplified by
the area around Abu Delaig, is recharge which takes place during the few annual flash
floods occurring in the wadi system. Surface runoff saturates the wadi sediments and then
infiltrates the shallow, perched, aquifer system. This infiltration is rapid and, without any
significant evaporation (as shown by the stable isotope evidence), is sufficient to sustain
lateral flow for up to at least 1 km from the wadi source, as shown by tritium. The annual
water table oscillations saturate the lowest horizons of the interfluve sediments. This
allows leaching of solutes from the lower unsaturated zone which have accumulated and
drained during the much slower recharge process, and imparts the main chemical char-
acteristics to the shallow groundwater.
This case study of one small town in Sudan, representative of the Wadi Hawad
catchment, is probably typical of the water resource situation in many other regions of the
African Sahel. Direct recharge is insignificant, due to the highly weathered nature of
superficial sediments containing clays which restrict rapid infiltration of rain. These wadi
systems contain ephemeral fresh water bodies which may, under favourable geological
conditions, recharge the regional aquifer system. They represent linear recharge sources,
which offer possibilities for sustaining and stabilising the local population. The recharge
rates will vary according to wadi flow, and thus evaluation of these rates will be closely
linked to rainfall intensity as opposed to rainfall amount. Many wadi systems cease to
flow in Sudan and elsewhere before they reach the Nile, so that headwater regions may be
favourable for development. This is the only alternative to depletion and mining of the
deeper palaeowater resource in such areas.
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 281
7.9 RECOMMENDATIONS
This chapter has focused on water quality from a number of different viewpoints: (a) as a
diagnostic tool for understanding the occurrence evolution of groundwater; (b) as a means
for determining the recharge amounts; and (c) as a means for studying the controls on
groundwater quality dependent on geology and time scales. Emphasis has been placed on
natural processes rather than direct human impacts such as pollution. Nevertheless, in arid
regions the deterioration of groundwater quality due to human activity, such as excessive
pumping, may lead to loss of resources through salinisation, and the approach adopted
here will assist in a better understanding of what may be going on. Salinity increase is also
a consequence of point source (single well/village) or regional (town and city) pollution,
and any overall quality deterioration may be monitored using simple parameters such as
specific electrical conductance (SEC) or chloride.
The approach adopted here has been to recognise that water contains numerous items of
chemical information that may be interpreted to aid water management. Measurement in
the field and in the laboratory of the basic chemistry can inexpensively provide additional
information during exploration, development and monitoring of groundwater resources.
Too often only physical parameters are seen as important. For example, it is important
to understand not only that water levels are falling, but why they are falling. Some key
recommendations that emerge from this chapter are summarised as follows:
7.9.1 Data requirements
Useful information may be obtained through the measurement and careful interpretation
of a few key parameters. In the field, the measurement of T, pH and SEC are thus
recommended. Temperature is essential, since it provides a proxy for the depth of sample
origin in cases where details of production are unknown. Field measurement of pH is
essential if meaningful interpretation of the results is to be made, since loss of CO
2
will
take place between the well head and the laboratory, leading to a pH rise; laboratory pH is
therefore meaningless. SEC is a key parameter in both surveys and monitoring, enabling
the hydrogeologist to quickly detect spatial or temporal changes in the groundwater. In the
field, two filtered (0.45 mm) samples (one acidified and the other not acidified) can then be
taken for laboratory analysis (Edmunds 1996b).
In hydrochemical studies the measurement of chloride is particularly important, since
Cl behaves as an inert tracer which allows it to be used as a reference element to follow
reactions in the aquifer and to interpret physical processes such as groundwater recharge,
mixing, and the development of salinity. Chloride should always be measured, and it is
recommended that rainfall Cl also be measured in collaboration with meteorologists.
Most central laboratories are able to cope with at least major ion analyses and these
should be measured as the basic data set for water quality investigations, after first
establishing that there is an ionic balance (Appelo & Postma 1993). Minor and trace
elements described earlier are helpful in the diagnosis of processes taking place in the
aquifer, as well as in determining potability criteria. The more detailed measurements
described in this chapter are desirable, but are not essential for routine investigations.
Nevertheless, the implications of case studies where combined isotopic and chemical data
have been used should be digested and extrapotated for local studies. The results from
expensive and specialised case studies are often of considerable value, since at practical
282 Understanding water in a dry environment
and local level these then allow simple tools such as nitrate or chloride to be subsequently
used for monitoring.
7.9.2 Groundwater resources assessment
In (semi-)arid regions the main resources issue is the amount of modern recharge. In this
chapter stress has been placed on how to determine whether modern recharge is taking
place and, if so, how much. In sandy terrain, or other areas with unconsolidated sediments,
it is recommended that attention be paid to information contained in the unsaturated zone.
The use of Cl to measure the direct recharge component is recommended. However, the
distribution of Cl on a regional scale is also important, since salinity variations will be
proportional to the amount of recharge. The use of isotopes and additional chemical para-
meters will then be needed to help confirm whether this recharge belongs to the modern
cycle or is palaeowater.
7.9.3 Groundwater exploration and development
Important information can be obtained during the siting and completion of new wells
or boreholes. Chemical information obtained at the end of pumping tests provides the
initial baseline chemistry against which subsequent changes may be monitored. It is
recommended that analyses of all major ions, minor ions, and also stable isotopes of
oxygen and hydrogen if possible, be carried out during this initial commissioning phase.
In more extensive groundwater development it is recommended that exploration of the
quality variation with depth be made. One or more boreholes should be regarded as
exploration wells for this purpose. Depth information can be obtained during the drilling
using packer testing, air-lift tests or similar, which can then help determine the optimum
screen design or well depth, for example to minimise salinity problems. Alternatively,
single wells can be drilled to different depths in a well field for purposes of studying the
stratification in quality or in age (e.g. whether modern groundwater overlies palaeowater).
It should be remembered that subsequent pumped samples are inevitably going to be
mixtures in terms of age and quality, and this initial testing will enable assessment of
changes to be made as the wells are used.
7.9.4 Groundwater quality and use
Most water sampling programmes are heavily oriented towards suitability for drinking
use, having regard to health-related problems. In this chapter emphasis has been placed on
understanding the overall controls on water quality evolution. Natural geochemical reac-
tions taking place over hundreds or thousands of years will thus give rise to distinctive
natural properties. It is important to recognise this natural baseline, without which it will
be impossible to identify if pollution from human activity is taking place. It has also been
shown how salinity distribution is related to natural geological and climatic factors. In
addition, the oxidising conditions prevalent in many (semi-)arid regions may give rise to
enhanced concentrations of metals such as Cr, As, Se and Mo. Prolonged residence times
may also lead to high fluoride and manganese concentrations. Under reducing conditions,
high Fe concentrations may occur.
Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 283
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Hydrogeochemical processes in arid and semi-arid regionsfocus on North Africa 287
CHAPTER 8
Human impacts and management issues in
arid and semi-arid regions
S.M. Seth
Former Director, National Institute of Hydrology, Roorkee (Uttaranchal), India
ABSTRACT: Societies in arid zones have historically evolved using traditional farming methods,
involving rain-fed agriculture and limited withdrawal of groundwater. However, the introduction of
modern farming methods, irrigation canals, electric pumps and the growth of towns and cities have
completely changed this environmental balance. The variability of precipitation and high potential
evapotranspiration are the most crucial factors in these regions. In planning, developing and
managing water resources the quantity of water available is not the only important variable. Quality
is equally important, particularly in arid zones where the natural input to the system from rainfall is
small. There is greater risk of salt accumulation in the soil and groundwater from fertilizers and
other agricultural inputs, and from urban and industrial wastes.
There are instances of flash floods causing heavy damage. For water supply purposes, however,
groundwater storage helps compensate the impacts of runoff variability. The assessment of surface
and groundwater resources therefore needs to be carefully carried out, and their interaction under-
stood for optimal development and conjunctive use. Several methods and technologies for rain
water harvesting, artificial recharge of groundwater, conjunctive use, waste water reuse and recycl-
ing hold good potential in arid areas. However, due care is needed to ensure proper protection of
water quality. The knowledge and understanding of hydrological processes discussed in previous
chapters provide essential insight for practitioners as well as researchers involved in water
resources management issues in arid and semi-arid regions under changing scenarios of population
pressure and the possibility of climate change. For effective and sustainable management in arid
and semi-arid regions there is thus a need for proper understanding, continuous monitoring, and a
structured scientific assessment of the effects of human activities on land and water resources.
8.1 INTRODUCTION
Aridity is generally defined as a lack of moisture on the basis of average climatic
conditions over a region and is manifest through the soils, vegetation and topography. The
latter are often used as non-climatic criteria for identifying arid lands. Nevertheless, there
is great diversity of physical environments and patterns of human occupation in these
areas. Agricultural activities include: endurers (pastoralists who inhabit the most arid
parts), avoiders (dry-land farmers who are only active in wet seasons) and escapers
(irrigation farmers who create an artificial environment).
Soil degradation by salinization and alkalinization is an age-old problem of irrigated
agriculture and is a serious and growing problemfor sustainability. Overuse and exhaustion
of groundwater resources and contamination of water with harmful substances are equally
important concerns. Arid and semi-arid lands are in a somewhat disadvantaged situation
due to a number of environmental constraints. These include low and erratic rainfall,
frequent droughts, high evaporation demands, erosive winds in summer and frosts in
winter. The soils are also not conducive to intensive crop production due to poor soil
fertility and low water retention, shallow depth and excess of salts. Groundwater is often
saline and, when used for irrigation, causes secondary salinization. Both high livestock
and human population growth are increasing the pressure on land, the former leading to
degradation of grazing lands and the latter to degradation due to mining, deforestation,
soil salinization, water logging, rising/lowering of water tables and land fragmentation
leading to decreased land holding (Faroda 1998).
During the course of history humanity has learned to adapt its life and activities to the
arid and semi-arid conditions in these regions. In recent times, however, with the growth
of science and engineering and greater populations, there is increasing movement away
from this environmental balance. There is hardly any difference between a city in an arid
region and one in a humid area. Arid and semi-arid regions are therefore likely to face
growing demands for water due to increases in population and urbanization, industrializa-
tion and rising standard of living. Correspondingly, there will be an increasing impact of
human activities on the hydrological regime of these regions.
Although arid lands contain some of the worlds largest river systems, the distribution
of these fresh water resources is uneven (Agnew & Anderson 1992). Many arid countries
are presently consuming more water annually than is naturally replenished. Occurrences
of surface water flow in the natural water courses of arid areas are unpredictable, are often
of short duration and are highly variable. These, in turn, can be the primary source of
recharge to shallow, unconsolidated aquifers and the processes involved need to be properly
understood. However, the limited availability of meteorological, hydrological, hydro-
geological and hydrochemical data, short records and sparse networks, are handicaps in
characterizing hydrological processes in arid and semi-arid environments for arriving at
realistic management decisions.
The scarce water resources in arid and semi-arid regions are very obviously under
increasing stress from growing populations and are the focus of many challenges. There is
thus a need for proper understanding, continuous monitoring and scientific assessment of
the effects of human activities on land and water resources in these regions to support
effective, sustainable management of supply and demand. Arid area development cannot
be and should not take the same form as that for humid areas. This chapter therefore
addresses human impacts and some important management issues, with emphasis on the
application of hydrological knowledge and scientific principles to operational solutions
for these ongoing problems.
The chapter is structured to cover hydrological and management issues relating to: (i)
surface water development; (ii) urbanization, industrial pollution and waste water reuse;
(iii) irrigation, drainage, dryland salinity and land cover change; (iv) water harvesting and
artificial recharge; (v) groundwater over-exploitation; and (vi) climate variability, drought
management, and conjunctive use of surface- and groundwater. Summary case studies are
added to each section to illustrate the specific challenges and, where possible, the course
of action adopted for a local/regional solution. Additional case studies, from the Arab
region in particular, are presented by Al-Weshah (2002), Attia and Salih (2002), Khater
and Al-Weshah (2002) and Wheater and Al-Weshah (2002).
290 Understanding water in a dry environment
8.2 SURFACE WATER DEVELOPMENT
The surface hydrology of arid regions is not fully understood. Flow measurements
present problems and, wherever these are made, the irregular occurrence of runoff in both
time and space constitutes a serious handicap in determining parameters of the hydro-
logical regime. In arid regions runoff only occurs when conditions are favourable, such
as on soils of low permeability and on steep slopes, and only on a few days in a year.
Runoff generally comprises one or more flood flows, between which events the river bed
is often dry.
As example, Mengxiong (1995) focuses on the impacts of human activities on the
hydrological system in relation to the ecological environment in the Gobi desert, an arid
area of northwest China. He clearly shows that surface water resource development has
caused an extensive decline in the groundwater table. This, in turn, has resulted in serious
deterioration of the ecological environment, including worsening water quality, depletion
of springs and lakes, disappearance of vegetation and an extension of desertification. In
irrigated areas rising groundwater tables have led to the extension of soil salinization. The
author advocates a revised policy for water development in arid areas: Developing
groundwater, including the use of overflowing springs, and limited construction of
reservoirs in the upper river reaches. He also suggests that the great thickness of gravel
beds in the Gobi plain be used as a natural underground reservoir, since these have a great
storage capacity and no evaporation. In order to deal with the negative ecological effects
of the many reservoirs already built in arid northwest China, artificial groundwater
recharge is proposed as a means to protect the original irrigation system.
8.2.1 Examples of arid zone surface water development impacts
Pilbara region, Western Australia
The Pilbara region of Western Australia experiences hydrological extremes with droughts
of over three years on the same rivers that have floods equivalent to world peak flows. The
region is also characterized by a transition from small winter and larger summer flows in
the west to only summer flows in the east. The high spatial variability of rainfall in such
regions indicates the need to incorporate this aspect in any rainfall-runoff modelling.
Average annual rainfall varies from 200 to 350 mm, with a coefficient of variation ranging
from 0.4 to 0.7.
Ophthalmia dam was constructed by a mining company in 1981 on the Fortescue river
in the Pilbara region. Ng et al. (1991) have since made an assessment of the hydrological
impact of this dam, which provides water for an artificial recharge system in a nearby bore
field for town and mining water supply. The catchment behind Ophthalmia dam is
2960 km
2
; local long-term mean annual precipitation is about 250 mm with a range from
60 to 700 mm, occurring principally between December and March. The flood plain of the
Fortescue river downstream of Ophthalmia dam has experienced long-term, severe
degradation in the form of almost complete loss of vegetative cover and soil erosion due
to historical overgrazing. Since about 1987, however, there has also been widespread
stress and death of trees (mainly Eucalyptus coolabah) and loss of perennial grasses.
Hydrological understanding was thus essential in order to determine whether these
stresses were due to natural climate variability or to water abstraction and flooding from
Ophthalmia dam.
Human impacts and management issues in arid and semi-arid regions 291
The reservoirs maximum storage capacity is 30.6 million cubic metres (Mcm), while
mean annual flow for the Fortescue river at Ophthalmia dam is 29.9 Mcm (mean annual
runoff 10 mm). Based on gauged and modelled data, annual flows over the past 90 years
have ranged from 0 to 200 Mcm. Annual stream flow variability is thus high, with a
standard deviation of 47.7 Mcm and a coefficient of variation of 1.6; extreme events have
principally been caused by large cyclones.
Rainfall data analysis indicated that although post-dam average annual totals were not
significantly different from pre-dam values, mean stream flow volumes were less in the
post-dam period. The water supply to the flood plain downstream of Ophthalmia dam
depends on direct rainfall and stream flow. An assessment of the changes to this supply
thus involved analysis of rainfall and stream flow at specific points along Fortescue river.
Although changes in the rainfall regime are a result of natural variations, stream flow
changes can be due to either flow restriction by the dam, or natural rainfall variation over
runoff generation areas upstream of the point of interest.
The post-dam period from 1982 to 1990 has had 14% less annual stream flow compared
to the longer term average. In addition, there were no large floods; the last major flow year
was 1980. In the study by Ng et al. (1991) the relative causes of the lower flows down-
stream of Ophthalmia dam were partitioned into impacts due to climate variability and
those due to the dam (Table 8.1).
Closer analysis of the rainfall data indicated that since the dam construction there has
been a lack of large cyclone-generated storm events. 30 km downstream of the dam, in the
absence of the structure, over-bank flooding would have occurred three times and bank-
full capacity very nearly reached on another three occasions in the nine years since the
dam was built. However, with the dam present and from 1982 to 1990, there have been no
over-bank flows and bank-full capacity was nearly reached only once in the nine years. At
150 km downstream of Ophthalmia dam the dam effects are low. The average reduction in
flooded width because of the effects of the dam is about 200 m for the post-dam modelled
events. The lower impact at this site is primarily due to the addition of unregulated flow to
Fortescue river from Jiggalong creek.
Small farm reservoirs and urban water supply in Botswana
Meigh (1995) describes a study in Botswana of the impact of small farm reservoirs on
urban water supplies which are largely dependent on surface water sources. Three major
reservoirs have been constructed to supply the urban centres. However, in eastern
Botswana there are many small farm reservoirs within the catchments of these major
water supply reservoirs, and there is increasing demand for more small reservoirs. This
development has an impact on the availability of water for the major reservoirs and creates
a conflict between the needs of the rural, urban and industrial water users.
Table 8.1. Relative impact of dam and climate variability on stream flow reductions downstream
of Ophthalmia dam (Ng et al. 1991).
Location Impact due to
dam
Impact due to
climate variability
30 km downstream of Ophthalmia dam 49% 51%
150 km downstream of Ophthalmia dam 31% 69%
292 Understanding water in a dry environment
The catchments of these three major reservoirs lie close to the eastern border of
Botswana where the majority of population is concentrated. The climate of the area is
semi-arid, with an annual rainfall of 450550 mm, which falls almost exclusively from
October to April and generally as short intense storms that are often localized. The soils of
the catchments are mostly sandy. Significant runoff usually occurs only after several days
of rain, the rivers being dry much of the time even in the rainy season. Runoff events
typically occur in events lasting up to a week, 75% or more of annual runoff being
concentrated in the period December to March, with a very high flow variability from year
to year. Annual open water evaporation is about 2000 mm. This pattern of runoff and
evaporation has significance when considering the effect of small dams. At the beginning
of the rainy season almost all dams are dry and have their greatest impact at this time as
they fill with the first few runoff events. If more runoff follows fairly soon it tends to pass
through the dams little changed but if, as often happens there is a longer dry period,
subsequent flows will again be considerably affected as the dams fill once more.
The small dams are typically between 1000 and 100,000 m
3
in size, with a fewsomewhat
larger, compared with the three major dams that range from 19 to 144 Mcm. A total of 320
small dams were identified in the catchments; the majority are used for stock watering, with
a lesser number for small-scale irrigation schemes and other purposes. A numerical model
of the system has been developed for the Botswana Department of Water Affairs, which
allows quantification of the effects of existing small dams and the possible effects of future
proposed dams. This was constructed and calibrated for the catchments of the three existing
major water supply reservoirs (Figure 8.1), but provision has been made for it to be easily
reconfigured to run for other catchments when additional major dams are developed.
The model was required to simulate daily flows into the major water supply reservoirs
over a period of several years. This needed to be carried out for each of the conditions of
no small dams, existing small dams only and existing plus proposed dams in the upstream
catchments. It was necessary to allow any combination of proposed small dams to be
examined and to provide facilities for comparisons with observed data to permit model
calibration.
Daily time steps were used because it was necessary to examine the effects of dams on
short-period flows as well as on monthly totals. This choice was a compromise, viz: to
represent the temporal variability of processes as fully as possible hourly or even shorter
time intervals would be required, but considerations such as computation time and lack of
suitable data mean that a daily time step was the shortest practicable. The model comprises
a number of modules for rainfall-runoff transformation, routing through dams, channel
routing and transmission losses. The overall structure (Figure 8.2) can best be visualized
by following the processes involved in a typical model run. Each sub-catchment is
processed in turn working in a downstream direction. The steps are:
(1) The dams in the sub-catchment are divided into a number of different categories and
within these they are amalgamated into composite dams.
(2) A rainfall-runoff model generates a flow series for the local sub-catchment.
(3) A proportion of these flows is routed through the composite dams that are on side
branches of the main channel, and non-routed flows are then added to the routed
flows.
(4) The next part of the process is only carried out when there are other sub-catchments
upstream of the current one. The summed flows from the upstream sub-catchments
Human impacts and management issues in arid and semi-arid regions 293
are passed through a channel routing and transmission loss model to account for time
delay, attenuation of the flood wave, and for any significant transmission losses.
(5) The flows are routed through the dams on the main channel. Again, this is only
applied when there are upstream sub-catchments.
(6) Dams can also be defined as special dams that can only be at the downstream end
of a sub-catchment. The total flow from upstream plus the local sub-catchment run-
off are routed through this special dam.
27E 27.5E
26.5E
21E
20.5E
Bokaa
dam
Gaborone
dam
Gaborone catchment
26E
24.5S
25S
25.5S
Major water supply dam
Small dam
KEY
Shashe catchment
Shashe dam Bokaa catchment
Figure 8.1. Location map (Meigh 1995).
294 Understanding water in a dry environment
At this point the processing for a single sub-catchment is complete and the flows are
saved to provide inputs to other downstream sub-catchments. Each remaining sub-
catchment is processed in the same manner.
Processing of the system is carried out for the three cases of no dams, existing dams
only and existing plus proposed dams. The final results are thus the flow series for these
Dam module (dams on side branches only):
route appropriate proportion of local flows
through the dams and add the unrouted part
Loop for EX,EX + P dams
Loop for each
sub-catchment Yes No
START
If necessary sum flows
from upstream sub-catchment(s)
Channel routing and transmission
loss modules
Dam module: route flows from upstream sub-
catchment(s) through dams on main channel
Add flows from local sub-catchment
Loop for No,EX,EX + P dams
Loop for EX,EX+P dams
Is there a special dam?
Dam module: special dams
Store flows for this sub-catchment
If in calibration mode, compare to observed flows
Summary and plots of results
KEY
EX = Existing dams
EX + P = Existing + proposed dams
FINISH
Is there an upstream sub-catchment?
Yes
No
Create composite dams
in separate catagories
Rainfall-runoff module: generate flows
for the local sub-catchment
Figure 8.2. Simplified overall structure of the model (Meigh 1995).
Human impacts and management issues in arid and semi-arid regions 295
three cases. Summary statistics are then calculated and a range of plotting options are used
to allow the flow series to be compared. An additional option allows the model to be run in
calibration mode; in this case the flow series for existing plus proposed dams is not
computed. Instead, the flows for no dams and for existing dams only are compared with
observed flows at a river recording station.
There are three separate modules within the overall model (to describe the processes of
rainfall-runoff conversion, dam routing and channel routingtransmission losses), and the
model was calibrated for three study catchments upstream of Gaborone, Bokaa and Shashe
reservoirs. Since very few data on construction dates were available for the purpose of
calibration it was assumed that all dams existed for the whole period. The model generally
tended to overestimate observed flows in the earlier part of the calibration and under-
estimate them in the later period (Figure 8.3), whereas if significant numbers of small
dams had come into use during this period the opposite would have been expected.
Figure 8.3. Model calibration for Gaborone catchment; comparison of monthly flows (Meigh
1995).
296 Understanding water in a dry environment
The model allows assessment of the impacts of existing small dams and a range of
proposed small dams within major water supply reservoir catchments. It provides a
planning tool, enabling guidelines to be determined for future small dam development. It
is a generalized model that can also be reconfigured to other catchments with a similar
semi-arid climate. By using a semi-distributed approach the model accounts for the spatial
variability of hydrological processes and, to a reasonable extent, allows the high temporal
and spatial variability of rainfall in Botswana to be represented. Methods have also been
developed to estimate the physical characteristics of small dams using only the surface
area shown on maps. This means that the majority of dams, for which detailed information
is lacking, can still be included in the model without the need to carry out extensive field
surveys.
Results from the three study catchments show that the total capacity of small dams is
the overriding factor causing decline in catchment runoff. Dams having a total capacity of
10% mean annual runoff (MAR) cause approximately the same decline of between about
8 and 10% in catchment MAR.
This decline in MAR is affected by other factors which are of secondary importance but
still significant. These include dam location; for example, the same total capacity of small
dams has a greater effect if they are placed further downstream. This is because flows
entering the dams are greater. The dams are therefore likely to fill more frequently and
will thus tend to lose more water. A further factor is size of the proposed small dams;
a small number of large dams has a relatively smaller effect than a large number of small
dams with the same total capacity. This is because larger dams tend to have a smaller
surface area in relation to their capacity. Larger dams thus have a more efficient shape
which produces lower evaporation losses. Another factor, the use to which the dams are
put, whether for stock watering or for irrigation, also has an effect. In addition, it was
found that small dams have a greater impact in dry years and at the start of the hydro-
logically active period.
8.3 URBANIZATION, INDUSTRIAL POLLUTION, WASTE WATER REUSE
Population expansion and industrial development in urban areas have proved disastrous to
the quality of both groundwater and surface water. Receiving waters have often become
waste receptacles, subject to increasing flow volumes and effluents harmful to both
quality and ecology. Furthermore, the expansion of urban areas is now greater in less
developed countries having the lowest Gross National Product than in developed regions.
In most cities in these less developed countries municipal and industrial wastes are
generally disposed of without adequate treatment. A further aspect of this problem is the
poor condition of traditional sewage systems designed and built in the late 19th century.
Many major environmental issues have emerged with the dramatic expansion of urbanized
areas in all climatic regions (Foster et al. 1999). These include:
(1) Disruption of the natural hydrological cycle due to reduced infiltration and
groundwater recharge, and increase in volume and rate of runoff due to change in
land use and growth of impermeable surface areas.
(2) Decline in groundwater levels and possible land subsidence due to groundwater
mining.
(3) Increased pollutant loads to water courses and surface water bodies.
Human impacts and management issues in arid and semi-arid regions 297
(4) Leakage to groundwater from old and poorly maintained sewers.
(5) Extensive soil and groundwater contamination from industrial leakages or spills of
hazardous chemicals, or poorly planned solid and liquid waste disposal practices.
(6) Increased artificial surface water infiltration and recharge from polluted sources
leading to poor groundwater quality.
Urban areas affect the behaviour and characteristics of groundwater below and around
them. Water abstraction increases when the urban area grows, producing a progressive
groundwater level draw down with corresponding effects on the whole groundwater
system. In situations where groundwater abstraction decreases or recharge is increased,
this leads to groundwater level recovery and sometimes water logging and inundation
problems. Urbanization also has a series of effects on groundwater quality due to changes
in the source of recharge water, and modifications to the way groundwater is mixed in the
abstraction wells.
Groundwater pollution may be serious in some areas due to rain water flushing of
soluble salts, heavy metals and organic material (mostly oils) deposited on buildings and
streets. Point sources caused by subsurface disposal of contaminated water and solid
wastes or stored substances are also important, as are leakages from service areas, work-
shops, storage tanks and pipes. Hydrocarbons, chlorinated organic solvents and heavy
metals are common occurrences in groundwater below urban areas. Quality changes also
take place due to degradation of organic matter in the soil.
8.3.1 Examples of urbanization impacts
Barcelona metropolitan area
Barcelona occupies a relatively small, sloping area between a coastal range and the sea on
the Mediterranean side of the Iberian Peninsula, and is confined on each side by two
riversthe Besos to the northeast and the more important Liobregat to the southwest.
Both rivers cross the mountain range through deep canyons and have developed coarse
alluvium filled valleys that end in fans and eolian deposits partly covering a former land
surface. These recent formations contain a two-layer aquifer as an extension of the valley
alluvium. Near the coast there are infilled old marshes.
In early times the urban water supply system was mostly based on groundwater. In the
1950s, however, it was decided to further develop the surface water resources. Some of
the consequent changes in the groundwater body were (Custodio 1997):
Groundwater level changes: Intensive groundwater abstraction in the valleys and delta
produced a general water table and piezometric level draw down. As a result, the water
table in some areas dropped below sea level inducing seawater penetration, and a series of
former swampy and shallow water table areas dried up. The consequences have been
progressive abandonment of salinized wells, or using them for only cooling purposes. The
increased cost of groundwater abstraction for factories requiring large water quantities
promoted the creation of a groundwater users association to protect the aquifer. At the
same time, groundwater abstraction for urban supply has been drastically reduced when
treated surface water was available for drinking purposes. The result has been ground-
water level recovery in many areas, especially in wet years, initiating water-logging
problems. Current difficulties are inundation of subway tunnels, underground parking
lots, domestic cellars and entrenched parts of roads. Some underground spaces have now
298 Understanding water in a dry environment
been abandoned due to the cost of pumping and the danger of creating geotechnical
problems. In the Barcelona plain leakage from the water distribution network has added to
groundwater level recovery. Subway tunnels and entrenched motorways have probably
also contributed to the rise in water table in some coastal areas by reducing aquifer
transmissivity.
Groundwater quantity changes: Intensive water exploitation of alluvial aquifers and
deltas means that the principal recharge component in a water balance is often river water
infiltration. In the Liobregat area, however, infiltration occurs both from the river bed and
on the irrigated lands. Large water depths are applied to the latter, not only as a con-
tinuation of traditional practices, but also to control grasses and pests by periodic land
inundation in order to reduce the need for agrochemical applications. River flow has been
progressively regulated by means of dams and the river has been channelled to control
flood damage. This has resulted in less frequent and less intense floods which, together
with increased water turbidity and pollution, has led to a decrease of in-bed infiltration
which is only partly compensated by recharge from irrigation. In addition, the area
irrigated is being progressively decreased by construction of new motorways and urban
and industrial settlements. Local recharge from creeks in the delta and valley sides has
also been drastically reduced by channelling, and hence aquifer replenishment is being
progressively impaired.
Groundwater quality changes: Two main groundwater quality changes have been
induced in the alluvial and delta aquifers. The first is the result of seawater intrusion, which
has penetrated most of the Besos delta and affects a large part of the Liobregat delta. In the
Liobregat area some industrial wells exploiting saline water are nowprotecting other wells
placed further inland. Effort is being made to maintain this situation until a groundwater
management plan is adopted. The other main change arises from the poor river water
quality; the Besos is heavily polluted and the Liobregat suffers from brine disposal and the
previously indicated pollution problems.
Delhi, Iran, China, Gaza, Yemen, Patagonia, Arabian peninsula
Delhi represents a typical example of accelerated urbanization in a semi-arid environ-
ment, with disposal of urban waste into water bodies, unregulated open waste dumping
and poorly designed landfills. Singh (1999) reports high levels of groundwater con-
tamination by industrial and domestic effluents.
Khazai and Riggi (1999) discuss the impact of urbanization on the Khash aquifer in the
arid region of southeast Iran. They clearly indicate that groundwater management in an
urban area requires a systematic approach for investigations of the quantitative and
qualitative impacts of urbanization.
Gengxu and Guodong (1999) highlight influences on the eco-environment in the arid
zone of northwestern China due to exploitation of land and water resources over the last
50 years. These have resulted in drastic reductions in river discharge, shortening of river
courses and contraction/drying up of terminal lakes. The authors advocate more effective
use of water resources, with harmonization of the eco-environmental and economic
benefits.
Al-Agha (1999) describes the impact of waste water management practices on
groundwater quality in the Gaza strip, Palestine, located on the eastern coast of the
Mediterranean sea. Nitrate concentrations in groundwater are relatively high in drinking
and agricultural wells over almost the entire area; the maximum reported value of around
Human impacts and management issues in arid and semi-arid regions 299
637 mg L
1
between 1987 and 1989 has an increasing trend because of pollution due
to waste water and population increases. The author emphasizes the need to provide
adequate sewage and sludge treatment and disposal facilities.
Urban recharge forms a significant component of the water balance in semi-arid areas
and is also a potential source of groundwater pollution. Sanaa in the Yemen, with a
population of 972,000 as per 1994 census, is situated at an altitude of 2200 m and has an
annual rainfall of 200300 mm. Alderwish and Dottridge (1999) report stable or rising
groundwater levels in the Sanaa city area, especially in shallow wells, in contrast to a
regional trend of falling water levels. The authors also report contamination of the alluvial
aquifer, indicated by high conductivity values, accompanied by downward leakage from
the alluvium to the underlying sandstone. The need for continuous monitoring is
emphasized.
The city of Trelew is located in the northeastern coastal region of the Argentine
Patagonia and lies in the lower valley of the Chubut river, about 500 km east of its source
in the Andes. Population is about 90,000 and the urban area is in the order of 20 km
2
. The
climate is arid, with 163 mm mean annual precipitation and an average potential evapo-
transpiration of 1240 mmyr
1
. Urbanization has significantly affected the natural geo-
logical and geotechnical conditions in the area. Ichazo (1999) highlights the effects of
artificial recharge due to urban growth, expansion of the industrial area, lack of urban
planning, cycles of economic adjustment and internal migration. The study clearly
illustrates the need for proper consideration of hydrological impacts in urban planning and
development, even for small and medium sized cities.
Urbanization, industrialization and rapid population growth in developing countries on
the Arabian Peninsula are placing increasing pressure on water authorities and planners to
satisfy growing urban water and sanitation demands in this arid region. When discussing
urban water management issues, Abderrahman (2000) indicates that fragmented legisla-
tion, institutional arrangements and low water charges have indirectly resulted in over-
usage of domestic water, production of excessive quantities of waste water, significant
leakage, and enhancement of shallow water table formation and rises in some cities. In
addition to appropriate legislative and regulatory mechanisms, the author stresses the
introduction of new technologies to reduce water demands and losses, and to enhance
waste water recycling and conservation.
Industrial pollution in western Rajasthan, India
In arid western Rajasthan, unlike other parts of the country, industrial development due to
the harsh climate, difficult physiographic conditions, scarcity of raw material and skilled
labour, has been very limited until the 1970s. Since this time many industries based on
local raw materials have been developed; for example, in Jodhpur, Pali and Balotra
numerous dyeing and printing works have started. In Pali town there are 767 dyeing and
printing units and about 36 10
3
m
3
domestic and industrial effluent containing high pH,
COD, BOD, TDS, TSS, chlorides, sulphate and sodium is generated and discharged every
day to the Bandi river. In Jodhpur there are 632 industries, including 183 dyeing and
printing works and 65 steel rolling units. About 1517 10
3
m
3
day
1
polluted waste
water generated from these industries is discharged to the Jojri river along with municipal
sewage. Similarly in Balotra and Jasol, the waste water emanating from 399 textile units
is about 11 10
3
m
3
day
1
, which is mainly discharged to the Luni river (Singh &
Ram 1997).
300 Understanding water in a dry environment
Industrial effluent discharged from these industries largely contains alkalis, residual
dyes, starches and cellulose, soluble salts with mainly sodiumand calcium, silicate, oils and
other impurities. The effluent is discharged untreated due to the lack of economically
viable technologies for its treatment. As a result, groundwater quality and potential for
other biophysical resources along the Jojri, Bandi and Luni rivers are rapidly deteri-
orating. The continuous use of polluted groundwater for irrigation has also sharply reduced
cropping intensity, crop production and density, and the biomass of trees, shrubs and
grasses. The soils have become compact, impervious and hard, resulting in the formation
of a surface crust. Due directly to the increasing impact of industrial effluent, large numbers
of wells have now been abandoned and a large area of cultivated land has been degraded
and turned into waste land. The use of polluted water for growing food and fodder crops,
and for drinking purposes, has also created health hazards for the human and livestock
populations.
Realizing the seriousness of this problem, the District Rural Development Agency,
Government of Rajasthan, Jaipur assigned the Central Arid Zone Research Institute,
Jodhpur the task of mapping the extent of the areas affected by industrial effluent along
the Bandi, Jojri and Luni rivers. Accordingly, a multi-disciplinary team of soil, vegetation,
hydrology, groundwater and land use specialists has conducted a field survey along these
rivers using Survey of India topographical maps and 1995 IRS LISS-II Geocoded FCC at
1:50,000 scale. The extent and impact of industrial effluent on soil physio-chemical
characteristics, vegetation degradation, chemical and hydrogeological characteristics of
surface and groundwater, and changes in cropping pattern, yield, intensity and crop
residue were recorded in the field. Secondary information from various departments was
also collected, and the farmers affected by the hazards were contacted and their opinions
recorded.
Maps showing severity of degradation were prepared at 1:50,000 scale and the extent of
various categories of degradation severity (very severe, severe, moderate and slight) was
calculated. These maps were then overlain to show the impact of industrial effluent on the
integrated natural resources of water, soil, vegetation and land use. Results for the Jojri,
Bandi and Luni rivers are summarized in Table 8.2. Based on this information, recom-
mendations have been made for improved land use planning and management.
Aquifer storage and recovery of storm water runoff in Adelaide, Australia
Reuse of reclaimed water via aquifer storage can lead to more environmentally sensitive
urban design, with lower requirements for imported water, reduced exports of sewage and
Table 8.2. Impact assessment of industrial effluent on integrated natural resources (Singh & Ram
1997).
Severity of degradation Jojri river Bandi river Luni river Total
Area (ha) % Area (ha) % Area (ha) % Area (ha) %
Very severe Nil 4463 20.4 2226 31.3 6689 19.4
Severe 1983 36.1 3633 16.6 2830 39.9 8446 24.5
Moderate 1805 32.8 8499 38.8 1332 18.8 11,636 33.7
Slight 1712 31.1 5305 24.2 712 10 7729 22.4
Total 5500 21,900 7100 34,500
Human impacts and management issues in arid and semi-arid regions 301
storm water to potentially sensitive ecosystems, and lower water supply costs than would
otherwise be possible. Such water does not necessarily have to be of potable quality.
Clogging of the recharge system, protection of existing beneficial uses of groundwater,
and the quality of recovered water all have to be considered. New guidelines for the
quality of water to be injected into aquifers that take these objectives into account have
recently been developed in Australia.
The cost of expanding water supplies is an important factor in favour of Aquifer Storage
and Recovery (ASR) of storm water and treated effluent in arid, semi-arid and monsoonal
areas, where there is a surplus of water for part of the year and long, dry periods when
water demand is high. Because this increases the water resource value, the value added
cost by storage of otherwise wasted water can be considerable, and artificial recharge may
be the lowest cost option for incremental expansion of water supplies. Another major cost
driver for water reuse via aquifers is the need to protect the marine and fresh water
ecosystems into which storm water and treated waste water are disposed. With improved
quality treated waste water becoming available, large-scale commercial ventures
involving reuse on food crops are being developed. However, some form of wet season
storage for treated waste water is needed.
Dillon et al. (1997) describe a typical pilot project for evaluating the technical viability
and environmental sustainability of injecting urban storm water into a brackish confined
aquifer for storage of irrigation quality groundwater. Results from the first four seasons of
monitored variables related to water quality, movement and mixing, and well clogging for
the period August 1993 to March 1997 are discussed.
The study site is located in a new suburban development known as Andrews Farm on
the northern fringe of Adelaide metropolitan area. The water source for injection is storm
water runoff derived from a semi-urban surface water catchment (residential and sheep
grazing), which covers an area of 55 km
2
. The uppermost 19 m of a confined Tertiary
aquifer situated 105 m below ground surface were targeted for injection. Three observ-
ation wells were drilled at distances of 25, 65 and 325 m down gradient from the injection
well. The aquifer comprises variably cemented fine carbonate and sand material with a
transmissivity of 180 m
2
day
1
, and a storage coefficient of 5 10
4
(determined by
aquifer pumping tests).
Ephemeral storm water runoff is held in a detention basin and pumped via a screen and
the injection well into the aquifer. In the period August 1993 to March 1997 there were
five major injection events, the first being mains water and the reminder storm water.
A total of approximately 250 10
3
m
3
of water was injected, with a recharge rate which
varied from 15 to 20 L sec
1
.
Storm water and groundwater were analyzed for the physical, chemical and micro-
biological parameters pH, DO, turbidity, TDS, ammonia-N, nitrate nitrite-N, iron, DOC
and faecal coliforms. Movement and mixing of injected waters in the ambient ground-
water were traced by relying on their contrasting electrical conductivity (EC); Figure 8.4
shows the EC time distribution for injection and groundwater wells at each observation
level. Increases in EC at the injection and 25 m wells between injection events suggest that
mixing with ambient groundwater remains in pore spaces around the injection well.
However, this form of mixing becomes less apparent in successive seasons as the less
mobile ambient groundwater is displaced by injected storm water.
Various forms of clogging have been encountered as a result of storm water injection.
These can be effectively overcome by air lifting for injection redevelopment. Monitoring
302 Understanding water in a dry environment
of suspended sediment load, along with the particle size distribution of sediments
extracted during air lifting, shows that a very small proportion of these (<1%) are derived
from storm water (Figure 8.5 shows the distribution after 11 minutes of air lifting). The
earliest and most easily recognizable clogging was by zooplankton.
The Andrews Farm pilot study was the first well-instrumented and monitored ASR site
in Australia to use passively treated storm water. Results show that the facility is capable
of providing water suitable for irrigation. It is also possible that, with the treatment
provided in the aquifer, a drinking water supply could ultimately be developed. As with
many pilot experiments, technical problems have been encountered but these have been
largely overcome. Research at the site continues and includes:
(a) Measuring the survival of pathogens in the groundwater;
(b) Inferring geochemical interactions between the storm water, ambient groundwater
and the aquifer matrix;
(c) Quantifying and predicting the rates of physical clogging;
(d) Modelling the mixing of waters in the aquifer, and the fate of contaminants.
The authors suggest that in arid and semi-arid regions planners should allowfor innovat-
ive water management when designing new developments. This may mean allocating
open space near creeks, urban drains and sewers to provide for passive treatment systems
or engineered treatment plants before injection. An understanding of the hydrogeology of
the area will be essential to determine the potential for aquifer storage and recovery.
0
4 storm water injections
1 mains
water
injection
5000
4000
3000
2000
1000
S
/
c
m
May-93 Nov-93 Jun-94 Jan-95 Jul-95 Feb-96 Aug-96 Mar-97
Injectant
Injection well
25 m well
65 m well
325 m well
300
200
100
0
N
e
t
r
e
c
h
a
r
g
e
(
M
L
)
Figure 8.4. Electrical conductivity in storm water and groundwater (Dillon et al. 1997).
Human impacts and management issues in arid and semi-arid regions 303
If information such as the type, thickness and depth of aquifers, current groundwater
quality and storage and transmissivity is taken into account when planning, this can have a
marked impact on the water imports and storm water and effluent exports required for a
new development. Aquifer storage and recovery can provide a useful means for develop-
ing new water resources at a competitive price, and enables more efficient use of all water
resources in urban and suburban settings.
8.4 IRRIGATION, DRAINAGE, DRYLAND SALINITY,
LAND COVER CHANGE
Arid and semi-arid lands are frequently inhospitable regions due to a number of
environmental constraints. These include low and erratic rainfall, frequent droughts, high
evaporative demands, intense heat, erosive winds in summer and frosts in winter. The
soils are also not conducive to intensive crop production due to poor soil fertility and low
water retention, shallow depth and excess of salts. In the arid and semi-arid regions of
India, for example, high livestock and human populations are increasing the pressure on
land resources. The former is leading to degeneration of grazing lands and the latter to
land degradation due to mining, deforestation, soil salinization, water logging, rising/
lowering of water tables, and land fragmentation leading to decreased land holdings.
Salt affected soils are important ecological entities in the landscape of arid and semi-
arid regions. The process of soil salinization is due to increases in concentrations of
soluble salts to the point where plant growth is adversely affected. Secondary salinity is
human-induced and is commonly related to irrigation of poorly drained soils. Salinization
may also result from elevation of a saline groundwater body to within one metre of the
root zone. Dryland salinity can occur in non-irrigated areas due to disturbance of the water
and salinity balance by activities such as land clearance and cover changes. It can be a
hydrological response to the replacement of deep rooted crops by those that use less water,
Extracted sediments (t = 11 mins.)
Storm water sediments
0
20
40
60
80
100
Particle diameter (m)
P
e
r
c
e
n
t
Aquifer sediments
>1000 3001000 100300 30100 1030 310 13 0.31 0.10.3
Figure 8.5. Particle size distribution of aquifer, storm water and extracted groundwater sediments
(Dillon et al. 1997).
304 Understanding water in a dry environment
leading to an increase in groundwater recharge and water table rise. Such shallow water
table situations induce increased evapotranspiration or direct evaporation and a conse-
quent increase in soil and stream salinity.
Irrigation, or the controlled supply of water to biologically productive soils, is one of
the most ancient arts whose modes of operation have been gradually transformed by the
introduction of new and more efficient technologies and methodologies. The introduction
of irrigation to arid and semi-arid lands with sizeable human and animal populations
adapted to markedly less water leads to significant environmental disturbances. The
introduction of irrigation water to deserts has also led to groundwater tables rising at an
alarming rate, resulting in water logged areas. With the continuance of water logging over
a long period under high evaporative demands, dissolved salts are brought to the surface
where, on accumulation, they turn the soil saline and sometimes alkaline. Salinity or
sodicity lowers productivity because of chloride and sodium toxicity, or through its
adverse effects on the availability of nutrients and microbial biomass.
Human-induced salinization of land and water sources is thus a serious and growing
problem in arid and semi-arid regions of the world. In India, various salts affect soils over
nearly 86,000 km
2
and represent a serious threat to increased food production efforts. The
establishment in 1969 of the Central Soil Salinity Research Institute (CSSRI) gave
significant impetus to reclamation of Indias salt affected soils. Indias share of world land
resources is only 2%, on which survive 18% of the world population and over 15% of the
worlds livestock. The chemical deterioration of Indian soils occurs mainly as a result of
nutrient or organic matter loss and the accumulation of salts or pollutants. Prasad and
Biswas (1998) conclude that soils which accumulate soluble salts in excess, sometimes
only temporarily, can evolve in the following ways:
(a) High salt deposits inherited from the parent material during soil forming processes;
(b) Salts contained in irrigation water applied or water lost in conveyance through irrig-
ation distribution systems;
(c) Additional salts in water inflows (seepage) from upslope;
(d) Salts arising from upward movement (capillarity) of water close to the soil surface;
(e) High water table, aridity and poor drainage;
(f) Backwater flow or intrusion of sea water in coastal areas.
Faroda (1998) recommends rehabilitation of degraded lands by adopting integrated
watershed management. For degraded sodic soils, reclamation practices include the
application of gypsum, iron pyrite and sulphur. Gypsum has been found to be the most
suitable because of its gradual release of soluble calcium, low cost and local availability.
The CSSRI (1997) has developed a reclamation strategy for alkaline soils by applying
50% of the gypsum requirement to the surface 15 cm soil only, and agronomic and cultural
practices based on a rice cropping system. Application of higher doses of nitrogen, reduc-
ing volatilization losses through split application and green manuring without allowing a
decomposition period, omitting phosphorus applications in initial years, and zinc fertili-
zation to each crop are some additional specific recommendations. About 0.7 million ha of
alkaline lands have been reclaimed by adopting CSSRI technology, this area contributing
nearly 3 million tonnes of paddy rice and wheat annually in addition to creating on and
off-farm jobs.
Arab countries are also facing critical problems of environmental degradation. Irrigated
agriculture receives the major share of water resources in the Arab region, with nearly
Human impacts and management issues in arid and semi-arid regions 305
87% for the region as a whole; industry and domestic supply consume 7% and 6% respect-
ively. Nevertheless, the Arab region now imports more than 50% of its food requirements
and this gap is likely to increase in the coming years. Groundwater is withdrawn from
shallow aquifers which can be highly vulnerable to pollution, or from deep aquifers which
are mostly fossil (non-renewable resource). Agricultural activities are the main source of
negative impacts on groundwater, such as deterioration in water quality due to over-
exploitation of aquifers, salinity increases, soil salinization and water logging.
Salinization is one of Australias most serious environmental problems, with about
50,000 km
2
of land showing degradation. The Murray-Darling basin is in large part
affected by both secondary and dryland salinization. George et al. (1997) discuss the
problem of salinity in Western Australia, where an abundance of salt within the deeply
weathered soil profiles and clearing of native vegetation have resulted in large hydro-
logical changes and extensive salinization. Groundwater levels have risen by more than
30 m and aquifers now occur where none existed before clearing. The authors estimate
that the current salt affected area (around 18,000 km
2
, or 9.4%) of cleared farm land in
Western Australia will double in size within the next 25 years. This is also leading to
increases in stream salinity. There is an urgent need for proper understanding of the
complex hydrogeology and hydrological processes, and the introduction of cost-effective
farming management methods.
Bradd et al. (1997) describe a new method for mapping dryland salinity hazards based
on relationships between the occurrence of dryland salinity and particular combinations of
land attributes, including the clearing of native vegetation and increased groundwater
recharge. The impact of agricultural land use on the sustainability of inherent soil quality
has been examined by Eilers et al. (1997), with emphasis on the extent, severity and
dynamics of soil salinity. A salinity risk map was developed to assess this impact and was
applied to the agricultural region of the Canadian prairies using 1981 and 1991 land use
data sets.
8.4.1 Examples of irrigation, drainage, dryland salinity and
land cover change impacts
Irrigation in arid lands of India
The state of Rajasthan occupies 10% of the total area of India and has 5% of its popul-
ation, but has only 1% of the countrys water resources. Of the entire area of the State
(342,239 km
2
), nearly two thirds is desert. The western and adjoining parts of Rajasthan
have an annual rainfall of between 100 and 500 mm; the number of rain days per year with
a catch of 0.3 mm or more per day varies between 10 and 50. More than 90% of this annual
rainfall occurs during the short period of two and a half months from the end of June to
mid-September. Rajasthan experiences high temperatures and moderate to strong winds
during summer, and rather dry conditions during winter. As a result, annual average
potential evapotranspiration varies from 1600 to 2000 mm, causing a considerable water
deficit. There are also large inter-annual variations in the rainfall, with a coefficient of
variation exceeding 0.5.
The arid parts of Rajasthan cover 11 districts with a total area of 208,747 km
2
, presently
supporting a human population of 19.8 million and 29 million livestock. Due to the
continuous increase in these human and animal pressures land use has undergone marked
changes: agriculture has extended into marginal lands and animal husbandry has become
306 Understanding water in a dry environment
more intense. Although the net area sown has increased from an earlier 41%, pasture land
has decreased from 26 to 22% over the last 40 years. These factors have led to soil
becoming poorer, decreasing vegetation cover due to overgrazing, and top soils being lost
by wind and water erosion. The only possible alternatives for water resources manage-
ment appear to be: (i) restricting the basin outflow and enhancing soil storage through
improved, ecologically sound rain water harvesting techniques; (ii) exploration and
tapping new groundwater sources which could be annually recharged; and (iii) application
of improved technologies for crop growth.
It has been observed that natural factors governing land degradation have remained the
same in this region, with the present manifestations being solely the result of increased
human intervention during the past few decades. The introduction and expansion of
irrigation has increased crop production, but has also led to water logging and salinization
problems. The exploitation of groundwater for irrigation has also led to a decline in the
water table. In the absence of a corresponding increase in recharge the present rate of
groundwater extraction is not sustainable. Land use is also in need of restructuring, in
order to take areas with less than 275 mm rainfall out of cultivation and using these instead
for animal rearing and dairying after revegetation with grasses and shrubs (Dhir 1993).
The Luni and its tributaries (34,866 km
2
) form the only complete drainage basin in
northwest arid India, most of it lying in the state of Rajasthan. Annual precipitation is
highly variable (600 mm in the southeast and 300 mm in the northeast), 93% of which is
received during the summer months June to September; the coefficient of variation ranges
from 0.49 to 1.24. Mean pan evaporation is 2640 mmyr
1
. The Luni river is an ephemeral
flow system, conveying runoff only in response to the torrential monsoon rainfall. Flash
floods and water shortages are permanent hazards.
Numerous studies have emphasized the need for an integrated approach to development
and management of land and water resources in this basin. Tahal Consulting Engineers
(1998), for example, have carried out comprehensive water resources planning studies for
various catchments in the state, considering present population and projected totals for the
years 2005, 2015 and 2045. They recommend sewage reclamation as an essential develop-
ment for the irrigation sector and artificial recharge schemes at some selected locations in
the Luni basin, with due attention to groundwater salinity problems.
Irrigation has been responsible for increased crop production and many social benefits.
However, the introduction of irrigation to arid lands where human and animal life styles
are adapted to a prevailing low moisture regime has significant environmental and social
consequences. As further example, the Indira Gandhi Nahar project has been in operation
since 1958, with the objective of using 9400 Mcm of Ravi Beas water for converting
15,400 km
2
of semi-arid and arid desert waste land in western Rajasthan into a cultivat-
able area. Water from the Indus system is conveyed to the project area through a 204 km
feeder canal, and for stage-I is distributed through a 189 km lined main canal and 3075 km
of lined distribution systemfor a cultivatable area of 5250 km
2
. With the availability of this
irrigation facility the desert has been transformed into fields of food grains and commer-
cial crops such as oil seeds, sugar cane, cotton and pulses (Mathur 1990, 1994).
However, the groundwater table in the irrigated area has been rising at an alarming rate
and is rated highest among all the canal command projects in India. Prior to the release of
canal water, depths to water table ranged from 6090 m in Bikaner district. In some areas
the water table has now risen to <2 m below the surface causing water logging, which now
requires immediate remedial and preventive measures such as reduction in water supply,
Human impacts and management issues in arid and semi-arid regions 307
provision of suitable vertical/horizontal drainage, and popularization of bio-drainage
techniques.
Groundwater quality in the Saq aquifer, Saudi Arabia
Most of Saudi Arabia can be considered a typical arid region and has an average annual
rainfall which varies between 50 and 100 mm. Higher amounts are restricted to the Red
Sea escarpment and to the north of Riyadh, where annual values average 600 and 200 mm
respectively. Evaporation rates exceed 3000 mm per year.
The country may be divided geologically into the Arabian shield and the Arabian shelf.
The shield is essentially composed of elevated PrecambrianCambrian igneous and meta-
morphic complexes with volcanic flows of TertiaryQuaternary/Recent age. The shelf is
principally a sedimentary sequence lying unconformably on the shield rocks and dipping
towards the Arabian Gulf. This sequence begins with detrital deposits of the Cambro
Ordovician Saq Formation and ends with QuaternaryRecent deposits of the Gulf. The
Saq Formation is one of the main aquifers in the Arabian shelf. Studies show that it stores
significant amounts of groundwater (280,000 Mcm) which is some 1030 thousand years
old. Present recharge to the Saq is estimated to be 310 Mcm and the aquifer has been
heavily pumped since the early 1970s, especially at Tabuk, Hail, Al Qasim and As Sirr.
Sharaf and Hussein (1996) describe the general composition and spatial variability of
groundwater in the Saq aquifer and discuss processes controlling these. Water chemistry
and groundwater movement indicate three possible hydrochemical scenarios, viz: (1) the
only water presently entering the Saq aquifer as recharge is derived from the edge of the
basement complex in wadis crossing aquifer outcrops; (2) water is flowing through
fractured and faulted zones where the media are heterogeneous and anisotropic, resulting
in differential dissolution of aquifer material; and (3) downward leakage through other
adjacent overlying aquifers of the Arabian shelf sedimentary sequence, especially in the
Al Qasim and As Sirr areas.
It was concluded that groundwater in the Saq aquifer is generally good with an average
TDS of 300800 mg L
1
(Figure 8.6). Poor quality water is restricted to basalt covered
areas near the edge of the basement complex and at wadi outlets. Chloride and sulphate
are the principal anions, and calcium and sodium the dominant cations. The aquifer is
under-saturated with respect to gypsum and over-saturated with quartz and calcite. Dolo-
mitization increases from west to east and from southwest to northeast as the groundwater
becomes older and attains equilibrium with the aquifer material. The dominant processes
are evaporation and dissolution; salinity decreases down gradient due to mixing. The Saq
groundwater is classified into six water types, the most common being Ca(HCO
3
2
or
NaHCO
3
and NaCl types. Na
2
SO
4
-type water is restricted to basalt areas and in
palaeovalleys.
California groundwater degradation
The population of California is close to 32 million and total annual water use is about
43,000 Mcm. Of this, 33,000 Mcm (77%) is for agriculture, 7500 Mcm (17%) for urban
use and 2500 Mcm (6%) for recreation, wildlife and power plant cooling (Marino 1998).
In an average year groundwater provides about 40% of the State water supply, but in a
drought year pumping increases and groundwater provides about 60% of large, public
drinking water systems and 80% of small water supplies. The California Department of
Water Resources has estimated that groundwater pumping, 65% of which occurs in the
agricultural southern San Joaquin Valley, exceeds average long-term recharge by about
308 Understanding water in a dry environment
2500 Mcm per year. In addition to the depletion of groundwater in storage, overdraft can
have other adverse effects such as increased pumping costs, land subsidence (which raises
the cost of maintaining roads, bridges, canals and other facilities), the movement of poor
quality water towards wells, and sea water intrusion. Groundwater resources in California
are also threatened by chemical contamination, with a principal concern being the potential
risk to human health. Agricultural practices are the largest non-point source of pollution,
three-quarters of the groundwater being already degraded by salts, nitrates and pesticides.
Marino (1998) discusses management strategies to control problems associated with
saline groundwater, nitrates and pesticides. Salinity is a significant problem for much of
Californias irrigated agriculture, though the concerns are primarily economic since crop
yields decrease as salt in the irrigation water increases beyond the optimal ranges specific
to individual crops. The occurrence of nitrate in groundwater is important because of its
potential health effects, and approximately 1000 public wells have been closed due to high
nitrate levels. Pesticides occur most frequently in Californias Central Valley, a region of
intensive farming. Current irrigation water management plays a major role in this transport
of pesticides.
Forested eco-systems in Rajasthan, India
The hydrology of a forested catchment is influenced by tree species, canopy architecture,
stormsize and intensity and catchment size. Nutrient cycles, in turn, involve the movement
of nutrients from the forest canopy to the soil through litter fall. A significant quantity of
nutrients is also transferred from vegetation canopies to the soil as precipitation is caught
and adds directly to the soil nutrient pool. The chemistry of precipitation varies greatly in
different agroclimatic zones. In general, however, the amount leached per unit quantity of
Saq Sandstone
Basalt
Basement
Boundary of surface catchments
Major runoff directions
Total dissolved solids contour (mg/L)
0 20 40 60 80 100 km
36 37 38 39 40 41 42 43 44 45
30
29
28
27
26
25
24
J
O
R
D
A
N
3
0
0
3
0
0
5
0
0
3
0
0
3
0
0
5
0
0
C
O
A
S
T
A
L
B
A
S
I
N
S
1
0
0
0
1
0
0
0
2
0
0
0
A NNA F UD
1
0
0
0
1 0 0 0
5 0 0
1 0 0 0
5 0 0
5
0
0
1
0
0
0
1 0 0 0
1
5
0
0
500
5
0
0
1
0
0
0
1
0
0
0
1
5
0
0
5
0
0
W
A
D
I
R
I
S
H
A
B
A
S
I
N
1 0 0 0
Figure 8.6. Areal distribution of total dissolved solids in the Saq aquifer (Sharaf & Hussein 1996).
Human impacts and management issues in arid and semi-arid regions 309
rain is greater during low intensity falls than during heavy rain. This is a function of water
residence time on the leaf surface, as nutrient leaching from the leaf into the intercepted
water increases with the greater residence time that occurs during low intensity rains.
It is clear that the role of land cover in the hydrological cycle can best be understood by
systematic investigation of the various component processes. This is particularly so in
(semi-)arid regions, where forested eco-systems typically possess characteristics which
reflect an erratic rainfall, high potential evapotranspiration and particular soil types. Khan
(1999) offers an example by way of results from a study on the water balance and
hydrochemistry of precipitation, throughfall and stem flow for a forested ecosystem in the
arid zone of Rajasthan, India. The study sites are located on a research farm of the Central
Arid Zone Research Institute (CAZRI), Jodhpur (20
0
0
E, 224 m elevation). Two planta-
tion sites (Acacia tortilis and Chlorophospermum mopane) are situated within 1 km of
each other; both are exotic species, introduced to the region during the 1950s. The average
planting density (trees ha
1
) for A. tortilis is 490 and for C. mopane it is 1800. Average
tree height (m), crown diameter (m) and basal cover (m
2
ha
1
) are 6.7, 7.3 and 1270
respectively for A. tortilis and 2.9, 3.2 and 380 respectively for C. mopane.
The catchments are well drained with an average slope of 0.3% and the soil is loamy
with sand, silt and clay contents of 85, 5 and 10%, respectively. The soil profile moisture
storage capacity to 0.9 m depth at 0.3 and 15 atm tension is respectively 145 and 50 mm,
and the available moisture is 95 mm. The average soil pH and electrical conductivity (EC)
are 8.1 and 0.16 dS m
1
respectively, indicating that it does not possess any extraordinary
soluble salt concentrations.
The average monthly rainfall at CAZRI weather station ranges from 0.4 mm in
December to 133 mm in July, with an average annual catch of 379 mm; over 90% of rains
are received between July and September during the southwest monsoon. Mean minimum
temperature varies from 8.6
C in January to 26.1
C in January to 42.5
C are occasionally
reached in the hottest months (April and May). Average daily pan evaporation varies from
2.8 mm in January to 13.9 mm in May, and the average annual wind speed, sunshine and
relative humidity are 8.9 kmh
1
, 8.5 h and 49%, respectively.
Rainfall and throughfall were measured for each rainfall event during the monsoon
season (JuneSeptember) using, respectively, an automatic rain gauge and 96 graduated
containers. Stem flow was measured on twelve trees in each forest type, varying in breast
height diameter from 2896 cm for A. tortilis and 1738 cm for C. mopane. Rainfall,
throughfall and stem flow samples were collected for chemical analysis from each rain
event. Weighted mean bulk precipitation was 423 mm. Interception losses were 22 and
13% respectively for the A. tortilis and C. mopane forests. For A. tortilis throughfall was
78% and stem flow 0.7% of bulk rainfall, whereas for C. mopane the totals were 86% and
1.3%. In only 4% of the rainfall periods recorded was net precipitation higher than the
bulk value, suggesting that horizontal interception is not an important water source for
forest cover in this region. Nutrient inputs in bulk rainfall varied from 3.6 kg ha
1
yr
1
organic carbon to 38 kg ha
1
yr
1
chloride. In general there was significantly greater total
nutrient deposition per unit area under large trees and 1256% of total soil nutrient input
was accounted for by precipitation. Enrichment in throughfall relative to incident
precipitation was higher for potassium than for other elements in both forests.
The results from this Rajasthan study indicate that forests in (semi-)arid regions have
relatively high interception losses, a broad distribution of throughfall values and low stem
310 Understanding water in a dry environment
flow. Additionally, annual fluxes of calcium, magnesium, potassium, sodium and chloride
in precipitation lie in the lower ranges of values reported for many other tropical forests.
8.5 WATER HARVESTING, ARTIFICIAL RECHARGE
The need to consider indigenous practices is being increasingly recognized by all con-
cerned with soil and water conservation projects. Water harvesting techniques, in parti-
cular, relate to the collection and concentration of rainfall runoff and sediment for
improved plant growth in drier areas. The various techniques applied are common in arid
and semi-arid regions where surface and sub-surface flows are intermittent and some form
of storage is essential, and depend on local water supplies such as surface runoff, stream
flow and springs. Water harvesting technology is especially relevant where problems of
environmental degradation, drought and population growth are most evident.
Critchley et al. (1994) review the state-of-knowledge regarding indigenous soil and
water conservation practices. The use in different countries and locations of techniques
such as vegetative strips, trash lines and wooden barriers, pits and basins, earth/stone
bunds and terraces and protection ditches is discussed. Rainwater harvesting involves the
collection and concentration of runoff from small catchments, whereas for flood water
harvesting the source of runoff is stream flow, and includes the capture of runoff and
fertile sediment. The authors identify conditions where indigenous soil and water con-
servation (ISWC) systems have survived and where they have fallen into abeyance.
Favourable conditions for ISWC are:
Where moisture limits the production of crops or fruits and plant performance is
improved by moisture conservation;
Where there is a historical need to produce crops on hillsides and mountain slopes,
especially where the soil cover is thin and there is a pressing need to preserve the
growing medium;
Where population pressure and/or land shortage are a stimulus for conservation.
The causes for ISWC systems falling into abeyance include:
Exodus of labour from areas where terracing requires a high level of maintenance;
A reduction in the annual rainfall;
Land preparation has evolved away from the hoe towards oxen (or tractor) ploughing;
Where projects have ignored existing traditions and constraints and superimposed
new structures over the old.
Mengistie (1997) describes low cost water harvesting planning and design techniques
used to construct water reservoirs in north Ethiopia under the Sustainable Agricultural
Environmental and Rehabilitation Programme (SAERP). Various major water harvesting
techniques or practices based on surface water include:
(a) Contour terracing;
(b) Contour, graded and field bunding;
(c) Strip cropping, contour furrowing, contour grassed strips accompanied by tillage and
cultivation along contours;
(d) Construction of check dams, gully plugs, shrub checks and materials for water
spreading;
Human impacts and management issues in arid and semi-arid regions 311
(e) Construction of farm, livestock and stocking ponds;
(f) Runoff collection from micro- or small watersheds using micro-dams.
These techniques should be designed within a drainage basin approach and form part of
comprehensive watershed planning.
An alternative or supplementary activity to water harvesting is artificial rechargea
process of induced groundwater replenishment. The process may be either planned by way
of storing water in pits, tanks, etc., or unplanned as a result of human activities such as
irrigation and leakage from pipe lines. Traditional techniques for recharging aquifers or
for groundwater conservation include:
(a) Water spreading techniques using infiltration basins or catchment runoff;
(b) Construction of percolation or recharge tanks;
(c) Construction of trenches, pits or small storage facilities along contours in range lands
or forest areas;
(d) Underground check dams.
Artificial recharge techniques are normally intended to provide: enhancement of sus-
tainable yield in areas where over-development has de-watered an aquifer, conservation
and storage of excess surface water for future requirements, improving the quality of
groundwater by dilution, preventing saline water intrusion, removal of bacteriological and
other impurities from sewage and waste water to make it suitable for reuse, and prevention
of land subsidence through an increase of hydrostatic pressure in artesian aquifers.
Some common features which can influence the success of an artificial recharge scheme
are listed by Rushton (1997) as: (i) availability of water, (ii) clogging of the aquifer surface,
(iii) water quality, and (iv) available aquifer storage. The artificial recharge technique of
injection wells or boreholes is similar to a pumped borehole, but operates in reverse with
water injected under pressure. However, the efficiency of an injection borehole is much
lower compared to a pumping borehole except in the case of a highly permeable aquifer.
Alternatively, spreading channels act like canals and can be effective in recharging an
aquifer, particularly in permeable areas. However, they are susceptible to clogging due to
low flow velocities with resultant sediment deposition. Percolation tanks (reservoirs) are
also used for artificial recharge, though normally there is a significant water loss through
surface evaporation. For all artificial recharge schemes Rushton (1997) suggests monitor-
ing groundwater heads in the vicinity of the structure, as an increase in head can lead to a
decrease in recharge rate. Since the quality of water in the reservoir or spreading channel
may be different from that in the aquifer, changes in observation well and borehole water
quality can be used to estimate the extent of area influenced by the artificial recharge.
Kruseman (1997) describes recharge from intermittent flows, categorizes artificial
recharge techniques under the two broad groups of water spreading and well injection, and
discusses physical and economic factors, site requirements and recharge methodologies.
As example, for a study area in Aden, Yemen, leaky spreader dikes were recommended as
a means to retard flood flows in intermittent streams for increasing groundwater recharge.
Annual rainfall varied from 300 mm in mountains exceeding 2500 m to 100 mm in areas
approximating 1000 m and 5075 mm near the coast. The study showed that care must be
exercised to ensure that groundwater does not rise to undesirable levels, with subsequent
soil salinization because of high evaporation.
The success of artificial recharge structures depends largely on locating them on a
scientific basis. Direct methods for evaluating artificial recharge efficiency include the
312 Understanding water in a dry environment
application of isotope and tracer techniques. Indirect methods may be based on monitoring
water levels in downstream observation wells and in the recharge structure (e.g.
percolation tank). The analysis of well hydrographs gives a clear idea of the zone of benefit.
Mehta and Jain (1997), for example, describe a study for evaluating artificial recharge
efficiency for a percolation tank located near the village of Jeur in the Ahmednagar district
of Maharashtra State, India. The area has a semi-arid climate, lies in basaltic formations
and the tank has fractured basalt as bed rock. Catchment area is 0.82 km
2
and the tank has a
maximum submergence volume of 160 10
3
m
3
. In 1990 the total monsoon rainfall was
689 mm, of which 210 10
3
m
3
(37%of rainfall) was stored in the percolation tank during
multiple filling (131% of its storage capacity). Using a water balance approach, artificial
recharge from the percolation tank during the 1990 monsoon season was estimated to be in
the order of 121 10
3
m
3
(about 58% of the total volume stored).
The efficiency of this recharge was examined on the basis of detailed hydrograph
studies, yields from dug wells and current irrigation practices. It was established that the
effective zone of influence covers an area of about 0.34 km
2
. The efficiency of the
percolation tank was 58% of the total water volume entering the tank, or 76% of its
maximum storage capacity. In this study the tanks effectiveness for aquifer recharge
enhancement was due to its location on vesicular basalt.
8.5.1 Examples of water harvesting and artificial recharge studies
Water harvesting techniques in the Arabian peninsula
The Arab region covers some 14 million km
2
, extends between latitudes 4
S and 37
22
0
N,
and occupies an important part of southwest Asia and north Africa. Most of the 22 Arab
countries use significant amounts of groundwater, resulting in depletion of aquifer
storage, and the associated problems of deteriorating groundwater quality and salt water
intrusion (Khouri et al. 1995).
The Arabian peninsula is devoid of rivers and natural lakes and usually receives only
meager rainfall. The area is considered to be extremely arid with severe hot weather,
sparse natural vegetation and fragile soil conditions. Hydrometeorological parameters
exhibit great variation. Temperatures range from 546
C.
Humidity is generally low in the interior varying from 1030% in winter to 48% in
summer, while in the coastal areas it may vary between 60 and 95%. The low percentage
of cloudy days and high incidence of radiation over the region result in high evaporation
rates; total annual values range from 2500 mm in the coastal areas to more than 4000 mm
inland. Water resources comprise surface water generated from sporadic runoff events and
groundwater in both shallow and deep aquifers. Surface runoff and groundwater from
shallow aquifers represent the only immediately renewable resources. Rainfall and runoff
constitute the main source of recharge to the shallow alluvial and deep aquifers, taking
place through wadi beds and outcrop areas (see Table 8.3; Attia & Salih 2002; Khater &
Al-Weshah 2002; Wheater & Al-Weshah 2002).
Rain is the main source of water and the peninsula is generally characterized by low
values with a considerable temporal and spatial variability. Average annual rainfall ranges
from 70130 mm, except in the Asir, Sarat and Omani mountain ranges located in Saudi
Arabia, Yemen and Oman, respectively, where totals may reach 3001000 mmyr
1
.
Human impacts and management issues in arid and semi-arid regions 313
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Average rainfall values have little meaning, however, since many areas receive no rainfall
for months or even years due to the extremely random storm patterns. In some areas the
rain is relatively abundant and can be utilized for rain fed agriculture. Flood water
resulting from intense rainfall in some areas directly recharges the alluvial aquifers, or is
either diverted for flood irrigation or stored behind dams.
Water harvesting offers an effective means for managing the limited water resources in
arid regions such as the Arabian peninsula, and is a relatively simple and inexpensive
water management approach. While it is used mainly on a small scale in rural areas, it
could be used for large-scale development in some areas. Disadvantages of the system are
associated with the climatic uncertainty, unavailability of a labour force, the need for
continuous upkeep and maintenance, and site design requirements.
Three types of rainfall-runoff water harvesting techniques are currently practiced
in Arabian peninsula countries where adequate rainfall and runoff potential allow (Saudi
Arabia, Yemen, Oman, United Arab Emirates, Qatar): storage facilities such as dams,
terracing and water spreading.
Storage facilities include the construction of dams of various sizes. Runoff is impounded
behind these, thereby enhancing recharge to the underlying alluvial aquifers. Recharge to
alluvial aquifers also takes place in downstream channels when water is released from the
dam. In addition to enhancing the recharge process, dams trap the majority of sediment load
and reduce the magnitude of peak discharge, thereby reducing flood damage downstream.
The recharge efficiency of two small dams located in the central part of Saudi Arabia
was investigated through field and theoretical analysis by Khouri et al. (1995). Results
of reservoir water budgeting were checked against infiltration values and groundwater
budgeting approaches. The study confirmed that significant volumes of water infiltrated
through the dam reservoir, even in the presence of silt deposits. Upstream and downstream
recharge was determined through observation well hydrographs as shown in Figure 8.7.
The efficiency of recharge from the two dams ranged from 6894%, while the evaporation
losses ranged from 414%.
Terracing is known to be an efficient water conservation method. It also helps prevent
soil erosion and enables farmers to grow crops in mountainous regions. A number of
different forms of terracing have evolved to serve specific purposes such as soil con-
servation and efficient use of water under various climatic and topographical conditions.
Types of terracing systems practiced in arid and semi-arid regions such as the Arabian
peninsula include weir terraces across narrow wadis, barrage terraces, linear dry field
terraces and staircase terraces.
Water spreading, also known as flood or spate irrigation, is the simplest type of water
harvesting when cultivated areas lie within and immediately adjacent to an ephemeral
stream or wadi. In many areas of the Arabian peninsula the direct use of flood water for
irrigation or groundwater recharge is small compared to the amount of available surface
runoff. Water spreading involves the use of small cultivated basins adjacent to the main
wadi channel, where flood water is diverted to meet crop water requirements. Excess
water percolates to shallow alluvial aquifers.
Although groundwater recharge activities are promoted in Arab countries, they are not
yet fully integrated into comprehensive water resource development plans. Further
emphasis needs to be placed on conjunctive use of surface and groundwater, especially in
ephemeral wadis, and the use of artificial recharge as a tool to attain this objective (see,
for example, Attia & Salih 2002; Khater & Al-Weshah 2002). A more extensive regional
Human impacts and management issues in arid and semi-arid regions 315
artificial recharge program should be developed to enhance research activities, to
exchange knowledge, and to strengthen national capacities in planning and implementing
artificial recharge projects. A comparative study should be conducted to assess the
viability of various artificial recharge methods under different hydrological conditions,
and the potential for their use to deal with concerns such as water supply, salt water
intrusion, aquifer depletion and environmental protection.
Artificial groundwater recharge practice in Cyprus
The island of Cyprus has a typical semi-arid climate with an average annual rainfall of
about 500 mm. Due to a traditional inclination towards agriculture, water resource
exploitation has reached a high level. With dams built not far from the coast, groundwater
replenishment has been modified in most areas and aquifers depend increasingly on
artificial recharge through either controlled releases from dams directly on the down-
stream river beds, or through purpose-built spreading grounds at strategic points on the
aquifers. Artificial recharge has been practised on the island for many years and has
become routine since 1982 as a means of treating surface water which is subsequently
pumped and supplied for domestic needs. This leads to building up reserves in aquifers
during wet years (when controlled spills from the dams occur) for use during dry years.
Iacovides (1997) describes artificial groundwater practice in Cyprus, and defines this as a
planned activity in which surface water from streams or reservoirs is used to infiltrate the
ground, commonly at rates and quantities many times in excess of annual recharge, thus
giving a corresponding increase in the safe yield. The author also demonstrates that
20
10
0
0
5
10
15
20
25
30
R
a
i
n
f
a
l
l
(
m
m
)
Flood I
10.4
5.7
Flood II
15.1
16.2
26.4 Flood III Flood IV
18.6
10.4 9.1
S4 + 2.58
Reservoir water surface
S1 - 5.61
S2 - 6.29
S3 - 7.42 7.60 Reservoir bottom Release
Spillway crest 0.0 (El 725.00 m)
Well S4
S1
S2
S3
Well S4
S1
S2
S3
D
e
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d
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a
t
e
r
t
a
b
l
e
(
m
)
Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep
Figure 8.7. Weekly values of recharge volume, runoff and rainfall depth at Al-Amalih dam in
central Saudi Arabia (Khouri et al. 1995).
316 Understanding water in a dry environment
artificial recharge can be considered as a means of treating surface water stored in reservoirs
for domestic supply. In such cases the recharge of water into an aquifer, followed by pump-
ing, transforms the aquifer into a natural treatment plant. Such an approach is illustrated
by the river bed aquifer downstream from Yermasoyia dam (capacity13.5 Mcm).
The Yermasoyia aquifer has a length of 5.5 km and an average width of about 350 m. It
is phreatic and consists of sandy gravels with low silt content, except towards the coast
where an increase in finer material is observed. The thickness in deeper parts varies from
35 m near the dam to 50 m near the coast. Permeability in the upstream part of the aquifer
approximates 300 m day
1
, reducing to 100 m day
1
near the delta; specific yield varies
from 13 to 22%. Active fresh water storage is in the order of 3.5 Mcm, increasing to
5.0 Mcm with high water tables. The complete exclusion of natural replenishment and
proximity to the sea, coupled with increasing extraction from the aquifer, called in 1982
for artificial recharge using controlled releases from the dam. This conjunctive use of
surface and groundwater reservoirs allowed a dramatic increase in extraction from the
aquifer. The total extraction of 4.09 Mcm in 1982, with an artificial recharge of 1.98 Mcm,
increased to 8.7 Mcm in 1992 with artificial recharge of 8.80 Mcm. It is relevant to note
that with regular releases of water from the dam and the resulting recharge, annual
extraction from the aquifer became about three times the active river bed storage.
Iacovides (1997) additionally promotes the use of environmental isotopes (
3
H,
18
O and
2
H) to determine the interstitial tracer velocity and hence permeability. Borehole ground-
water samples were also analyzed for water quality, demonstrating that 1020 mof unsatu-
rated alluvial sediments provides an efficient protection against bacteriological pollution.
Ponds and injection wells have also been used for artificial recharge in Cyprus; ponds
since the early 1960s. Phassouri pond is a typical example. This has a storage capacity of
54,000 m
3
, a surface area of 17,500 m
2
, and is located in a zone where significant ground-
water pumping for irrigation has resulted in water levels often dropping to 12 m below
mean sea level. The general water level is about 78 m below surface and the aquifer
comprises alluvial sediments of mainly sandy gravels. During the period 19841985 to
19911992, a total of 11 Mcm of water has been recharged at an average rate of 7700 m
3
day
1
. The infiltration rate varied throughout this period, being rather high in the early
years (0.350.80 m day
1
), though dropping to about 0.2 m day
1
during the last two
years. This is probably due to the fact that the pond had not been cleaned of vegetation and
sediment since 1988.
Recharge through wells or boreholes is a necessary option when impervious or semi-
pervious layers of sediment lie between the surface and the aquifer, or when the depth to
water table is so great that it would take large water quantities and a long time for any effect
on the water table to occur. Iacovides (1997) further describes a pilot scheme in Cyprus for
borehole injection, comprising a central 25 cm diameter borehole to 125 m depth equipped
with inlet pipes of 7.5 and 5.0 cm diameter. These inlet pipes can be operated
independently, thus giving the possibility for at least three recharge rates. Monitoring
was carried out through three satellite boreholes at 10, 25 and 50 m distance from the
recharge borehole. Pumping tests carried out before and after the recharge experiment
suggest that the injection borehole underwent some development during the recharge/
pumping procedure. A step injection test carried out before and after the main recharge
experiment indicated that air entrapment could be a problem for well intake capacity. It
was clear that borehole recharge is a complex practice, and considerable site information is
required before establishing a routine recharge program at a particular location.
Human impacts and management issues in arid and semi-arid regions 317
8.6 GROUNDWATER OVER-EXPLOITATION
Groundwater resources in (semi-)arid regions tend to be more susceptible to over-
exploitation than in other climatic regimes due to the variability and paucity of recharge.
The proper development and management of these resources depends on adequate early
knowledge of the spatial and temporal variability of the aquifer systems to be replenished.
However, groundwater management decisions in these regions are usually based on
limited information and tend to use hydrogeological and management techniques from the
humid-temperate, mid-latitude and industrialized countries with different natural condi-
tions. There is an obvious need for increased emphasis on the development of appropriate
indigenous techniques for specific situations, including suitable adaptation of techniques
developed elsewhere.
Definitions of groundwater over-exploitation have generally referred to only the
adverse effects resulting from groundwater extraction. A broader view was introduced by
Custodio (1993, 2002). This includes consideration of the technical and socio-economic
benefits, and is closely related to the safe yield concept used to quantify the exploitable
resource for a given aquifer. Over-exploitation concepts are highly dependent on the form
of adverse effects, their timing, and who pays for the inconvenience and perturbation.
Definitions of over-exploitation which compare abstraction with recharge are not
straightforward and are often not feasible due to the uncertainty of recharge calculations,
the importance of long transfer times, changes in recharge due to human activities, and the
possibilities of modifying this by artificial methods. Water quantity considerations must
also be accompanied by water quality aspects. In many cases these are the most limiting
factors and are those which appear with greater delay and less reversibility. Proper
management techniques are needed in order to reduce detrimental effects while preserving
the benefits from groundwater abstraction. Most situations with undesirable effects of
groundwater over-exploitation reflect the following long-term trends (Custodio 1992):
(a) Lowering of groundwater levels, either continuously or with fluctuations due to
changes in recharge and/or exploitation;
(b) Reduced spring and river flows and/or wetland area reduction;
(c) Degradation of groundwater quality, either as a salinity increase or an increase in
other undesirable constituents in the water;
(d) Land surface changes in the form of general or local subsidence.
Any change in aquifer input or output produces a transient situation until a new steady-
state is attained. The transient stage ends when no further changes in mean groundwater
level or interface positions occur. Piezometric level evolution after a perturbation is
dependent on the parameter , defined as L
2
S=T, where L is a measure of the
dimension of the aquifer, T/S aquifer hydraulic diffusivity, T transmissivity and S
storage coefficient. A perturbation disappears after time t , in which varies from
0.5 to 2.5 under most practical circumstances. Figure 8.8 shows how aquifer size affects
the duration of the transient stage for unconfined and confined aquifers with high and low
transmissivities.
The hydrological impact of these changes is reflected by decreased groundwater level,
leading to a reduction in transmissivity for unconfined aquifers and the (specific) yield
of wells. This is more acute in thin, heterogeneous aquifers and in fractured rock
aquifers. Wells have to be deepened or re-drilled, pumping machinery becomes
318 Understanding water in a dry environment
inadequate, and energy supply facilities must be enlarged. Deteriorating groundwater
quality affects agriculture, the soil, vegetation, animal husbandry and industry. It is
important to note that the effects of aquifer exploitation not only depend on the volume of
water being abstracted, but also on the time distribution of withdrawals and the well field
design.
8.6.1 An example of groundwater over-exploitation impacts
The Arab region
The Arab region comprises four sub-regions, namely: (i) the Arabian peninsula (Saudi
Arabia, Kuwait, Bahrain, Qatar, U.A. Emirates, Oman and Yemen); (ii) the Mashrek
T = 100
T = 5000
T = 100
T = 5000
Unconfined S = 0.1
Confined S = 10
4
10
6
10
5
10
4
10
3
10
2
10
1
10
4
10
3
10
2
10
1
T
i
m
e
f
o
r
s
t
a
b
i
l
i
z
a
t
i
o
n
(
y
e
a
r
s
)
1 10 100 1000
Aquifer size (km)
Figure 8.8. Time for stabilization of draw down (years) in an aquifer after a change in the water
balance, according to size (L km) as a function of transmissivity (T m
2
day
1
) and storage
coefficient (S). The time is proportional to L
2
S/T (Custodio 1992).
Human impacts and management issues in arid and semi-arid regions 319
(Iraq, Syria, Jordan, Lebanon and Palestine); (iii) the Nile valley (Egypt, Sudan, Somalia
and Djibouti); and (iv) the Maghreb (Morocco, Algeria, Tunisia, Libya and Mauritania).
Over-abstraction from groundwater basins, at rates exceeding the natural rate of recharge,
has a direct impact on the sustainability of water production and can also result in salt
water intrusion in coastal aquifers (ACSAD 1995; Al-Weshah 2002; Custodio 2002;
Khater & Al-Weshah 2002). Factors leading to groundwater over-exploitation mainly
originate from attitudes and behaviour at public and private levels. These include: The
policy of encouraging private agricultural development, concepts of land and water owner-
ship, diversity of the organizations responsible for water management and the pricing
of water.
In eastern Saudi Arabia extraction rates increased from 250 Mcm in 1976 to about
750 Mcm in the late 1980s. In Kuwait large-scale exploitation of the Tertiary carbonate
aquifer took place during 19601988. Annual abstraction from Dammam and Umm Er
Radhuma aquifers in Bahrain increased from 63 Mcm in 1990 to about 220 Mcm in 1992,
which is more than double the recharge of 90 Mcm annually; about 130 Mcm is therefore
being taken annually from storage. Qatar is another area where intensive development of
the regional Tertiary carbonate aquifer has produced serious adverse effects. With an
estimated average depletion in aquifer storage at a rate of 20 Mcmyr
1
, the reserve is
likely to be exhausted in 2030 years.
Major aquifers in the UAE lie in shallow alluvial deposits of Quaternary age. The most
important of these extends along the western side of the Oman mountains from Ras El
Khayamah to Al Ain; a less extensive aquifer occurs on the eastern side of the mountains.
Most recharge to these western and eastern systems is received at the heads of alluvial fans
by infiltration from wadi flows which originate in the mountain zone. In the main western
aquifer groundwater mining of 1000 Mcm was taking place in 1985, with an estimated
total storage in the gravel plain of only 8000 Mcm. This has resulted in a water table
decline of about 2 m per year. In the Ras El Khaymah and eastern region, intensive
development of the coastal aquifers has lowered the water table below sea level and the
fresh/salt water interface has moved inland. On a positive note, however, conjunctive use
of surface and groundwater resources in Syria, Jordan and Iraq has minimized the negative
impacts of groundwater development in these countries (ACSAD 1995).
The western desert which covers extensive areas of Egypt, Libya, Sudan and Chad
represents a groundwater region comprising a number of water-bearing formations. The
Nubian groundwater basin is the most important of these. This basin is known to have
limited or possibly zero recharge, but contains huge water reserves. Intensive groundwater
exploitation began in 1956 at some local oases, resulting in a continuous decline of
piezometric levels (ranging from 0.5 to 2 myr
1
according to the rate of exploitation).
A majority of artesian wells have now stopped flowing (ACSAD 1995).
The deterioration of groundwater basins is due to either depletion with regard to
permissible exploitable discharge and/or water levels, or to contamination of groundwater
either chemically, biologically or by radioactivity. Agricultural expansion and the con-
tinuous need for establishing irrigation facilities are particularly responsible for both
depletion and contamination of groundwater, whereas industrial, domestic and commer-
cial activities are the main reasons for contaminating both groundwater and surface water.
There remains a need for proper understanding of the hydrogeology and hydrochemistry,
adequate assessment of groundwater, and proper design, planning and management of
groundwater basins in the Arab region (ACSAD 1995).
320 Understanding water in a dry environment
8.7 CLIMATE VARIABILITY, DROUGHT MANAGEMENT, SURFACE
AND GROUNDWATER CONJUNCTIVE USE
One of the most pernicious events that mankind has always suffered is drought, defined as
a severe fresh water deficit over a period during which the natural availability is
significantly below that normally recorded. This notion should not be confused with
aridity, where water is always in short supply and permanent drought is a normal feature.
Droughts may occur over large areas (to sub-continental scale) and, by their very nature,
extend in time lasting from months to years or decades. A drought manifests itself by low
values of such hydrological variables as precipitation, river flow, river and lake level, soil
moisture and groundwater level.
Droughts have been considered and treated in different ways. Time intervals of no rain
or persistently low precipitation are typically referred to as meteorological drought. A
hydrological drought implies low flows and low levels of surface waters (rivers, lakes)
and groundwater. An agricultural drought refers to low soil moisture and its effect on
cultivated vegetation. The term environmental drought is used to emphasize adverse
consequences of water deficits on ecosystems. To an economist a drought would mean
losses in production values, while for a social scientist it refers to impacts on society.
A combination of adverse climatic conditions and human activities may lead to
desertification of vulnerable arid, semi-arid and dry sub-humid areas. In this process the
soil structure and soil fertility is degraded and bio-productive resources decrease or
disappear. Desertification affects about one sixth of the world population and one quarter
of the total land area of the globe. Drought may trigger desertification but human factors
can play a significant role. Over-cultivation, over-grazing, deforestation and poorly
drained irrigation areas can destroy the soil at a very rapid rate. It takes a long time for the
soil to form but little time to be destroyed; the present annual rate of global soil loss
approximates 24 billion tonnes.
Sehmi and Kundzewicz (1997) review tasks for the hydrological community, both
scientific and operational, and the management of water resources to mitigate the impacts
of desertification and drought. Strengthening the water resources knowledge base is
essential for assessment of their availability and characteristics. For this purpose the
authors recommend revitalizing the declining hydrological observation station networks.
The necessary knowledge base should extend beyond classical water sciences and also
embrace the economic, political and social systems that are intimately interlinked.
8.7.1 Examples of climate variability, drought management and
conjunctive water use impacts
Climate change and rainfall variability in the Sahel region, Africa
The African continent has experienced significant precipitation fluctuations on both recent
and historical time scales. Droughts and floods in Africa have become a common feature.
They rank among the most devastating natural tragedies in recorded human history, and
have claimed thousands of lives as well as causing massive population displacements and
economic disruption. Inter-decadal rainfall variability in the Sahel during the course of the
present century has been large and, on occasions, its impacts on environment and society
have been catastrophic. Of the worlds major dryland regions, the Sahel is unique in that
it displays substantial multi-decadal desiccation during the period of instrumental
Human impacts and management issues in arid and semi-arid regions 321
measurements. Since the 1960s annual rainfall in the Sahel has averaged between 300 and
500 mm, compared to values of 400600 mm recorded in earlier decades of this century.
This represents a rainfall reduction in the order of 20%, sustained over two to three
decades (Hulme 1998).
Understanding the reasons for this substantial change in Sahelian rainfall remains a
major challenge for climate science. Various hypotheses remain unresolved including
those pertaining to large-scale oceanic circulation, regional land cover changes and
regional atmospheric aerosol concentrations. It has also been speculated that changing
atmospheric composition due to greenhouse gas and sulphate aerosol precursor emissions
may be important.
The observed Sahel rainfall record presents an unique problem for anthropogenic
climate change scenario construction and application. Substantial desiccation observed
over recent decades may either be natural in origin, or related to human forcing of the
regional or global climate system. If it is natural, then such a change in rainfall conditions
could again occur in the future; towards wetter conditions if the pre-1960s period was the
norm, or towards either wetting or further drying if the post-1960s period is the norm.
On the other hand, if the desiccation is related to human forcing of the climate system,
then a return to wetter conditions seems unlikely given that regional land cover changes
are unlikely to be reversed, and that future greenhouse gas concentrations are unlikely to
fall. The last 30 years of observed climate change in the Sahel provides a powerful
analogue for understanding the way in which dry land ecosystems and human societies are
impacted by major climate change, and how they attempt to adapt to such change. The
20% change in annual rainfall sustained over three decades in the Sahel is larger than that
predicted in most scenarios of greenhouse gas-induced regional rainfall change.
Due to the high inter-annual rainfall variability, droughts recur at irregular intervals in
the Sahel. Mobile, flexible animal husbandry systems can react quickly to such fluctua-
tions in the water resources and biomass. Akhtar (1998) discusses the impact of abolishing
exclusive land use rights in the eastern Sahel in 1971, and the unilateral promotion of land
cultivation which triggered resource mismanagement in the core areas of agro-pastoral
activities. Field investigations in the Butana region in the northeast Republic of Sudan
were carried out to determine the long-term ecological and socio-economic effects of the
open access regime in a region with an inter-annual rainfall variability of up to 60%.
Vegetation mapping in the Butana region over several successive years enabled
differentiation between human induced changes to the herbaceous layer, and the short-
term floristic fluctuations in Sahelian pastures which were induced by annually alternating
rainfall amounts. The identification of increasers and decreasers (i.e. species which are
spreading and species that are becoming rare) in the herbaceous layer, and their specific
characteristics (e.g. palatability, nutrients, biomass production) were indispensable for
assessing the vegetal condition, i.e. the degree of plant cover degradation caused by
regular biomass exploitation. Analyses of multi-temporal satellite data (MSS, TM,
NOAA) and aerial photographs supplemented the regular field surveys. Combined with
rainfall data sets, which were analyzed on a daily basis, the remote sensing information
permitted estimation of the annual biomass production and the identification of core areas
of agro-pastoral activities in the eastern Sahel.
Traditional land use rights guaranteed exclusive common property access to water,
vegetal resources, soils and cultivable lands in the wadis. Amendments to the land laws in
19691971 culminated, in 1971, in abolition of these traditional land use rights and
322 Understanding water in a dry environment
resources regulation mechanisms in the Butana. The state declared the Butana region
an open access system. This enabled outsiders to enter former tribal areas and use the
resources without any seasonal or other restrictions. As the state failed to enact new
resource control rules, exploitation of the natural pastures drifted into the unrestrained and
individual maximization of utility.
Annual rainfall characteristics in the Butana from 1978 to 1993 and mapping of the
pasture distribution pattern in different years, indicated that in at least eight years the bulk
of biomass production was totally confined to an area south of 15
latitude the plant cover was ultimately restricted to topographically favourable sites
(depressions, wadis), and the floristic diversity declined due to the increase in aridity.
Field investigations showed that dry periods are not the initiators of desertification.
Rather, the elimination of common property rights is the key factor for rapid degradation
of pasture in the eastern Sahel, thus triggering desertification. In order to guarantee a
sustained pasture use, it was propsed that exclusive common rights over the water and
plant resources be reintroduced during years with sub-optimal rainfall.
Meteorological and hydrological droughts in Chile
Periods of one to several consecutive months of precipitation scarcity or low flow rates in
rivers and streams frequently occur in arid and semi-arid regions. In these regions scarce
precipitation has a significant impact on rangeland grazing activities, irrigation agricul-
ture and the flora and fauna of stream environments. The northern part of central Chile
corresponds with a transition zone between the arid climate of the Atacama desert to the
north and the Mediterranean climate south of Santiago. Water resources are generally
scarce in this semi-arid transition zone and exhibit considerable variability. Periods of
several months without precipitation frequently occur, along with a prolonged hot and dry
season each summer. Stream flows are also highly variable, with intermittent streams a
frequent occurrence. Agricultural activities on non-irrigated land, in particular the grazing
of goat herds on rangeland in the area, are severely affected by prolonged conditions of
water scarcity and minimum river flows.
Fernandez and Vergara (1998) quantify the occurrence probabilities for meteorological
droughts, defined on the basis of monthly precipitation series, and for hydrological
droughts using series of monthly flow rates. When compared with typical cases for floods
the situations examined involve relatively complex events, characterized by a succession
of scarcity periods when based on non-stationary and statistically independent monthly
precipitation series and statistically dependent stream flow time series. Estimating
drought return periods is difficult in that droughts are represented by a succession of
values rather than a single value as in the case of floods. Furthermore, when monthly
values are considered droughts also involve the need to account for the periodicity (i.e.
seasonality) of water supply. The non-stationary case is of particular interest in the
Fernandez and Vergara (1998) paper; i.e. the situation in which the probability that a
certain variable may adopt a particular value is time dependent, such as occurs when
monthly hydrological data are considered and periodicity is important. The approach is
applied to the case of monthly rainfall events, which may be considered statistically
Human impacts and management issues in arid and semi-arid regions 323
independent, and to monthly stream flows events, or hydrological droughts, which are
considered time dependent.
It is of interest to estimate the return period for events comprising several continuous
months with no appreciable precipitation at meteorological stations located in this semi-
arid zone; located 27
to 34
S) Long. (
21
0
70
21
0
380 13.9 17
Vallenar 19501994 28
34
0
70
47
0
469 32.8 35
La Serena 19151994 29
54
0
71
15
0
132 96.1 63
Ovalle 19541994 30
36
0
71
12
0
220 117 77
Illapel 19531994 31
36
0
71
11
0
310 181 106
San Felipe 19501994 32
45
0
70
44
0
636 214 117
Santiago 19151994 33
27
0
70
42
0
520 329 140
Figure 8.10. Probability of monthly precipitation (<2 mm) at selected stations (Fernandez &
Vergara 1998).
Table 8.5. Basins selected for stream flow analysis (Fernandez & Vergara 1998).
River Station Area
(km
2
)
Location Annual flow (m
3
s
1
) Q
e
(m
3
s
1
)
Lat. (
S) Long. (
48
0
70
08
0
758 2.27 1.78 1.16
Transito Junta Carmen 4153 28
45
0
70
29
0
812 3.20 3.18 0.97
Elqui Almendral 6681 29
58
0
70
53
0
430 9.17 7.15 3.73
Choapa Pte.Negro 3725 31
42
0
70
16
0
226 11.0 9.94 2.91
Aconcagua Chacabuquito 2400 32
50
0
70
34
0
930 32.7 14.6 19.1
Mapocho Los Almendros 620 33
23
0
70
28
0
1024 6.43 3.51 3.28
Maipo El Manzano 4968 33
36
0
70
24
0
850 108 39.5 71.2
Human impacts and management issues in arid and semi-arid regions 325
(r 1, 2, . . . , 10) in which the minimum ecological flow in each basin is not attained.
Table 8.7 shows the risk of occurrence of at least one such run of r months over a 10-year
period in each basin.
The existence of a long dry period of stream flow recession lasting about six months in
all the basins is responsible for the high risk of having runs of one to six months of flow
below the ecological limit. The occurrence of such events is almost certain even during
relatively short periods of observations, such as five to 10 years. The risk decreases
rapidly if the run duration is increased, though it is still high for a run of 10 months in
almost all the rivers considered.
Sustainable water resources development in Namibia
In an arid to semi-arid country such as Namibia, water is probably the single most
important limiting resource for sustainable development. Namibia is the driest country in
sub-Saharan Africa. Rainfall is low, varying from 600 mmyr
1
in the northwest to less
than 50 mmyr
1
at the coast and its occurrence, which is limited to convective showers
during the rainy season from October to April, is extremely variable both in space and
time. This is coupled with high evaporation rates, resulting in a deficit in surface water
resources over most of the country. River flow occurs only as a result of direct surface
runoff during and after rainfall events and all streams in the interior are ephemeral,
showing no flow at all during drier years. Rivers flowing through the Namib desert in the
west of the country reach the Atlantic Ocean only in some years, and most other interior
river systems are endoreic.
Table 8.6. Return period (years) for runs of r-months with stream flow below the ecological flow
(Fernandez & Vergara 1998).
River Station r 2 r 3 r 4 r 5 r 6 r 10
Copiapo La Puerta 1.9 2.8 3.9 5.0 6.4 18
Transito Junta Carmen 1.7 2.4 2.9 3.8 4.8 23
Elqui Almendral 1.5 2.0 2.6 3.3 4.3 17
Choapa Pte. Negro 0.7 1.2 1.6 2.2 3.5 24
Aconcagua Chacabuquito 0.2 0.4 0.6 0.9 1.6 183
Mapocho Los Almendros 0.3 0.7 1.3 2.4 4.4 49
Maipo El Manzano 0.3 0.5 0.8 1.1 1.8 45
Table 8.7. Risk of having a run of r-months with low flow during a 10-year period (Fernandez &
Vergara 1998).
River Station Risk of an r-months run
r 2 r 3 r 4 r 5 r 6 r 10
Copiapo La Puerta 0.99 0.98 0.93 0.78 0.80 0.42
Transito Junta Carmen 0.99 0.99 0.98 0.94 0.89 0.35
Elqui Almendral 0.99 0.99 0.99 0.96 0.91 0.43
Choapa Pte. Negro 1.00 1.00 1.00 0.99 0.96 0.33
Aconcagua Chacabuquito 1.00 1.00 1.00 1.00 0.99 0.05
Mapocho Los Almendros 1.00 1.00 1.00 0.99 0.91 0.18
Maipo El Manzano 1.00 1.00 1.00 1.00 1.00 0.20
326 Understanding water in a dry environment
The only perennial rivers are those on the northern and southern borders of the country,
fed from drainage basins with more favourable rainfall and runoff characteristics in
Namibias neighbouring countries. Some comparative statistics in Table 8.8 illustrate the
unreliable features of the interior rivers and the apparent lower flow regimes during the
past 15 years. Groundwater provides a substantial part of the water resources in Namibia
with a large artesian aquifer in the southeast, alluvial sand beds in many ephemeral rivers,
karstified groundwater systems in the north, and relatively small fractured aquifers
throughout the country.
Increasing pressure on the limited water resources results from a population growth rate
of 3%, as well as the uneven spatial distribution of the population relative to these
resources. As such, the planning and operation of surface water supplies must take into
account the natural variability and unpredictability of the rainfall and river flow (Bruine &
Rukira 1997). In 19941995, for example, the bulk water supply was 101 Mcm, of which
the major share was for human consumption (56.8 Mcm) and irrigation (32.7 Mcm).
Groundwater resources meet approximately 57% of the water demand, with the remaining
43% being supplied from surface water sources. In much of Namibia, however, ground-
water is the only likely source. As such, conjunctive use of surface and groundwater is
essential for sustainable development. The feasibility of using alternative sources such as
recycling and reuse of waste water, and desalination of sea water and saline groundwater
is being explored.
The Omaruru River Delta aquifer (OMDEL) provides a typical example of conjunctive
use in the central Namib desert. This aquifer extends 35 km inland to the Namib plain
at 230 m elevation, with less than 50 mmyr
1
precipitation. The Omaruru River catch-
ment covers 15,700 km
2
and rises to 2100 m. The aquifer safe yield is estimated to be
4.5 Mcmyr
1
, though groundwater abstraction is 6.58.5 Mcmyr
1
. To offset this deficit
the OMDEL infiltration dam was brought into operation in 1993 to enhance groundwater
recharge; an artificial recharge rate of about 3.5 Mcmyr
1
is expected (Geyh & Ploethner
1995).
Bruine and Rukira (1997) further recommend that consideration be given to the
environmental water requirements of wetlands at the mouths of the internationally shared
rivers before any further development is undertaken. Historically, the westward flowing
rivers were opportunistically used by nomadic people and their cattle, though increases in
Table 8.8. Flow characteristics of Namibian rivers (Bruine & Rukira 1997).
River/site Mean
annual
runoff
(Mcm)
Median
annual
runoff
(Mcm)
Ratio
median/
mean
Coefficient
of
variation
Mean
over last
15 years
(Mcm yr
1
)
Ratio
mean
15 years/
long-term
mean
Kunene at Ruacana 5053 4448 0.88 0.469 4618 0.91
Okavango at Mukwe 9753 9440 0.97 0.231 8452 0.87
Kwando at Kongola 1052 795 0.76 0.640
Zambezi at Katima Mulilo 36,744 33,193 0.90 0.401 268,501 0.73
Ugab at Sebraskop 19 9 0.49 1.432 19 1.00
Swakop at Okahandja 16 9 0.57 1.409 11 0.65
Fish at Hardap 164 80 0.49 1.582 76 0.46
Ephemeral rivers total <1000
Human impacts and management issues in arid and semi-arid regions 327
population have resulted in added pressure on the limited resources. In the event of dam
construction on the ephemeral rivers careful thought must be given to the possible effects
on downstream sites in these linear oases. There is also a need for improved hydrological
monitoring and modelling in zones with inherently uncertain hydrological regimes.
Evaporation control studies in Gujarat State, India
Loss of water by evaporation constitutes a major portion of losses from storage reservoirs
in arid and semi-arid regions. The significance of this loss is not generally felt during
normal rainfall years, but during drought years this is crucial, particularly in rural areas.
Patel et al. (1989) detail a series of evaporation retardant field studies on a small
irrigation tank (dam) and a farm pond at the Gujarat Engineering Research Institute
laboratory, with a view to evaluating these losses. The chemicals used were cetylstearyl
alcohol (ACILOL TA-1618) and ethoxylated alcohol (LINOXYD CS-40) for the tank and
farm pond, respectively. Pan evaporimeter experiments using ACILOL TA-1618 were
also carried out. A meteorological station was installed for observation of pan evaporation
and meteorological parameters.
A survey of the irrigation tank showed that the capacity and water area of the tank at a
full supply level of 19.9 mwas found to be 0.31 Mcmand 22.3 ha, respectively. Emulsified
ACILOL TA-1618 was diluted 1:20 with water, uniformly spread over the tank water
surface at a rate of 500 g ha
1
day
1
, and the daily reduction in water level measured. One
pan evaporimeter was also treated with the chemical; the other was left untreated and daily
evaporation was observed for both pans. Estimation of the tank evaporation loss required
that assumptions be made for seepage loss and water withdrawals. The percentage
reduction in evaporation and cost of treatment per cubic metre are given in Table 8.9.
Studies for the farm pond (1000 m
3
capacity, with dimensions 20 25 m at top,
10 15 m at bottom and a depth of 3.25 m) using LINOXYD CS-40 in emulsion form
also indicated significant water savings (Table 8.10). Results from the evaporation pans
gave similar reductions in evaporation (Table 8.11).
Table 8.9. Reduction in evaporation and cost of treatment (Jambvai tank) (Patel et al. 1989).
Site
No.
Period Withdrawal
(m)
Seepage
(m)
Evapn loss
treated (m)/
untreated (m)
Saving (m
3
)/
saving (%)
Spreading
cost of
chemical
(Rs m
3
)
1 24.2.861.5.86 0.157 0.201 0.361/0.489 3193/26 1.80
2 24.12.8621.2.87 0.120 0.183 0.207/0.271 598/24 3
Table 8.10. Reduction in evaporation (farm pond) (Patel et al. 1989).
Period Seepage
(m)
Evaporation
loss treated
(m)/untreated (m)
Saving (m
3
)/
saving (%)
1.2.8631.3.86 0.228 0.343/0.420 25/18
1.4.8631.5.86 0.089 0.506/0.639 38/20
328 Understanding water in a dry environment
The Saurashtra region of Gujarat State experienced acute drinking water scarcity for
three years due to successive droughts from19851986 to 19871988. During 19851986,
cetylstearyl alcohol in powder form was used in eight reservoirs and in emulsion form in a
further three. The percentage water saving ranged from 225% (0.040.38 Mcm). It was
concluded that: (a) when using the chemical in either powder or emulsion form the
percentage reduction in evaporation remained the same, provided the active ingredient in
emulsion is equal to that in powder form; (b) the percentage reduction is not significantly
affected by change in season; (c) the application of chemical or dosing method vary
dependent on the site conditionsreservoir size is the major factor; and (d) during periods
of acute scarcity the drinking water requirement for humans and animals can to a certain
extent be met using evaporation control measures. The water thus saved is very
economical when compared to that brought from elsewhere by water tankers and trains to
deal with drought disasters.
8.8 SYSTEMS APPROACH TO WATER MANAGEMENT
Water resources in arid and semi-arid regions are clearly limited and in some areas even
decreasing, whilst the demand for water is increasing due to expanding industrialization
and population growth. This combination of disparity in supply and demand makes the
distribution and efficient use of limited resources very difficult. Conventional water
project planning usually implies a decision for optimum use of available resources for
both present and forecast water demands. Sustainable development, however, requires
consideration of the interaction of a planned system with nature and society under present
and long-term future conditions.
There have been several developments in recent decades involving the use of a systems
approach and physically-based distributed hydrological models, along with remote sensing
data input and analysis techniques based on a Geographical Information System(GIS). The
SHE model is often quoted as a prototype for the distributed, physically-based group of
models. Refsgaard et al. (1995) summarize the features of MIKE-SHE, which simulates
water flow, water quality and soil erosion processes for the entire land phase of the
hydrological cycle. Hardisty et al. (1996) describe use of the MAPINFO-GIS system as a
data management presentation and analysis platform for groundwater resource assessment
and development in a remote part of Yemen. Kunkel and Wendland (1996) present GIS
embedded stochastic modelling of groundwater residence times for the supra-regional
analysis of hydrogeological problems. GEOFEST, an integrated GIS and visualization
environment for the development of three-dimensional hydrogeological models, is
described by Williams et al. (1996); this provides features for interactively viewing and
dissecting the three-dimensional model and for visualizing modelling results.
Table 8.11. Reduction in evaporation (pan evaporimeter) (Patel et al. 1989).
Period Dosage of chemical
(g ha
1
day
1
Evaporation loss
treated (mm)/untreated (mm)
Saving (%)
18.12.8612.1.87 500 63.5/80.8 22
13.1.8713.03.87 375 260/317 18
14.3.8716.4.87 250 211/236 11
Human impacts and management issues in arid and semi-arid regions 329
Shultz (1997) and Bastiaanssen (1998) present several applications of remote sensing to
water management. A hydrological GIS appraisal and management system is proposed
by Baban (1997) for maximizing the use of water resources in the Middle East, using Iraq
as a case study. The application of a customized GIS, which incorporates the results of a
groundwater flow model as a decision support tool for the protection of groundwater
resources in the RabatKenitra area of Morocco, is demonstrated by Witt et al. (1997).
Water resources managers and decision makers, particularly in arid and semi-arid regions,
are required to take measures which cope with extreme conditions and variability in both
supply and demand. The application of a systems approach assists in identifying manage-
ment options in order to optimize limited water resources. The use of remote sensing and
GIS provide accessibility, synoptic viewing, uniformity of collected information, repetit-
ive coverage and cost effectiveness. Water resources can then be studied as an integrated
system. This holistic approach which uses a GIS for data and information analysis thus
allows managers to observe, study, and monitor the effects and consequences of a parti-
cular decision on water resources over a large geographical area concurrently, and over
chosen time periods. Decision makers are hence able to extrapolate, predict, update, plan,
evaluate, simulate and compare the various management options.
Water resources analysis in a systems framework therefore includes several features
such as the analysis and forecasting of future water resources requirements and avail-
ability, harmonization between resource supplies, interactions with other related resources
such as land and finances, and socio-economic development. A systematic approach and
the use of physically-based models also provides a means for studying and predicting the
likely effects of human activities and climatic change on water resources quantity and
quality. In order to realize the goal of sustainability, rational plans for water resource
development can then be made after carefully considering the effects of an expanding
population and economy on increases in water requirements and water pollution.
8.8.1 An example of a systems approach to water management
Botswana groundwater resources assessment
The 19871997 Groundwater Recharge and Evaluation Studies (GRES) project in semi-
arid Botswana represents an example of groundwater resources evaluation in a systems
framework, and was initiated in response to drought conditions in the 1980s. Specific aims
were to:
(a) Identify the relationship between geological/geomorphological structures and ground-
water occurrence;
(b) Study groundwater and recharge processes in a geomorphological context;
(c) Evaluate replenishment amounts in relation to rainfall events, and to reconstruct past
recharge in the context of climatic change in order to understand long-term aquifer
behaviour;
(d) Develop appropriate methods to monitor recharge, and to determine future
fluctuations in groundwater resources.
GRES-I focused on the Precambrian shield area in the eastern part of Botswana and is
reported by Gieske (1992). GRES-II concentrated on the Kalahari, and is detailed in
Beekman et al. (1997) and Selaolo (1998). Overviews of the total project are given by
Beekman et al. (1996, 1999), De Vries et al. (2000) and De Vries and Simmers (2002).
330 Understanding water in a dry environment
General hydrological conditions: The Republic of Botswana is a land-locked country,
situated on the southern African plateau at an elevation of about 1000 m. It covers an area
of 560,000 km
2
and has a population of slightly over one million. 80% of the country lies
in the Kalahari semi-desert; the remaining eastern part is dominated by outcrops of the
Precambrian African Shield.
Botswana has very limited water resources. The erratic rainfall is restricted to the hot
season and varies from 250 mm per year in the southwest to 550 mm in the northeast.
Perennial water is restricted to the far north of the country where the Okavango and Chobe
Rivers bring water from catchments in Angola and Zambia (Figure 8.11). Surface water is
ephemeral in the rest of Botswana and reservoirs are subject to high evaporation losses
(ca. 2000 mmyr
1
). Groundwater is therefore of paramount importance and extensive
exploration programs have been carried out in recent decades to meet the growing
demands. Aquifers are generally poor and replenishment is meager in most of the country.
The generally flat topography with sandy soils causes most of the precipitation to infil-
trate, but the moisture retention capacity and the high transpiration of the dense savannah
vegetation impede deep percolation and most, if not all the precipitation surplus even-
tually evaporates.
Conditions for groundwater accumulation are locally more favourable in the eastern
part of Botswana, which is underlain by older rocks of Precambrian age. Here, rapid
percolation through fractures and weathered material prevent infiltrating rain water from
evaporating, given the more suitable geomorphological and geological structures. Aqui-
fers are formed along synforms and fracture zones, and constitute groundwater basins of
limited size; in the order of 10 km
2
. These basins often form topographic depressions
because of the structural control over geomorphology.
Groundwater resource evaluation in Botswana clearly involves a spectrum of depth
dependent physiographic elements and associated hydrological processes. Figure 8.12
illustrates the approach used in the GRES investigations. With respect to recharge, unsatu-
rated zone flux rates were considered to represent present day values, which were then
compared with the longer termaverage areal recharge rates determined fromchloride mass
balances, groundwater and aquifer hydrochemical/isotope models for the saturated zone.
There are evident differences in groundwater recharge characteristics between (semi-)
arid and humid regions, due to recharge in (semi-)arid areas being more susceptible to near-
surface conditions. Deep percolation in humid areas is mainly controlled by the potential
precipitation surplus (rainfall minus potential evapotranspiration), the infiltration capacity
of the soil and the storage and transport capacity of the subsurface. In (semi-)arid areas,
however, potential evapotranspiration generally exceeds rainfall, so that groundwater
recharge is dependent not only on the properties of the subsurface but also on the ability of
rain water to escape evapotranspiration. This means that thick alluvial soils which allow
high retention storage during the wet season, and vegetation which subsequently extracts
soil water in the next dry season, hampers recharge. In contrast, a poor vegetation cover on a
permeable soil, or fractured and porous bedrock near the surface, creates favourable
conditions for recharge. Moreover, accumulation of water in depressions will stimulate
infiltration under arid conditions, whereas depressions in humid areas often form areas of
discharge (De Vries & Simmers 2002).
Groundwater circulation and replenishment in the Kalahari: The Botswana Kalahari is
rather densely vegetated and is classified as a bush and tree savannah with alternating
grassland. Groundwater is mainly restricted to Karoo (Paleozoic-Mesozoic) and
Human impacts and management issues in arid and semi-arid regions 331
Precambrian bedrock underlying the Kalahari sand; aquifer properties are influenced by
horst and graben structures. Groundwater flow and recharge were determined by tracer
studies, groundwater modelling and groundwater dating. The Kalahari beds do not form
extensive aquifers at the present time. Locally perched water bodies are found in
Okwa
M
m
o
n
e
0 100 200 km
550
550
450
450
350
350
350
550
550
A N G O L A
Z A M B I A
Z I M B A B W E
S O U T H A F R I C A
N A M I B I A
Okavango
Z
a
m
b
e
s
i
Okavango
Delta
N
o
s
o
p
M
o
l
o
p
o
L
i
m
p
o
p
o
250
Victoria
Falls
21E 29E
18S
26S
G
M
L
Limit of Kalahari cover,
bedrock on ticked site
Mean annual rainfall (mm)
Depression
International boundary
LB = Letlhakeng-
Botlhapatlou
350
350
C
h
o
b
e
L = Lobatse
M = Molepolole
G = Gaborone
CK = Central Kalahari
250
450
Makgadikgadi
pans
4
5
0
CK
9
5
0
1
0
5
0
9
5
0
1
1
5
0
950
1050
Hydraulic head
(m above m.s.l.)
LB
Figure 8.11. Botswana physiographic features and locations (De Vries et al. 2000).
332 Understanding water in a dry environment
depressions, however, notably when underlain and surrounded by duricrust precipitates.
The accumulation of water in these pans and dry valleys after high rainfall events,
followed by rapid infiltration through cracks and solution holes in the duricrust, facilitate
local recharge.
Results from the GRES-II project revealed the existence of significant recharge at the
eastern fringe of the Kalahari (Beekman et al. 1997; Selaolo1998). Detailed studies in
a smaller area also showed that chloride values often decrease below the root zone,
indicating that part of the infiltration bypasses this zone of strong evapotranspiration by
way of root channels, cracks and unstable wetting fronts. Distributed, finite element
groundwater flow modelling results were comparable to those from the chloride mass
balance approach (Nijsten & Beekman 1997). Overall Kalahari results gave an average
annual recharge in the order of 5 mm for the fringe area, with an annual rainfall of
450 mm, decreasing to <1 mm in the central Kalahari where average rainfall is $350 mm.
Preferential flow paths dominate the recharge processes, contributing on average about
50% of the estimated total values (De Vries et al. 2000).
Since no clear change in morphological conditions occurs, it is likely that the decrease
in recharge from the fringe to central areas reflects lower average rainfall and becomes
highly reduced below 400 mm. It is also plausible that part of the subsurface flux in the
fringe area and depressions is depleted by Acacia species; known to have rooting depths of
more than 50 m. An average recharge in the order of 1 mm for the whole of the Kalahari
RECHARGE ESTIMATION IN THE BOTSWANA KALAHARI
Saturated zone
Long-term average areal recharge
Unsaturated zone
Present-day recharge
Precipitation
Evapotranspiration
Rainwater chemistry (Cl)
Isotopes (
3
H,
2
H,
18
O)
Chloride/ isotope profiling
(Cl,
3
H,
2
H,
18
O)
Moisture transport
Groundwater modelling
Isotope/chemical modelling
Cl and soil moisture
mass balance
Noble gases
(isotopes)
Recharge mechanism
and quantification
Figure 8.12. Approach and techniques used for recharge estimation in the Botswana Kalahari
(Selaolo 1998).
Human impacts and management issues in arid and semi-arid regions 333
therefore seems quite likely. A remaining uncertainly with regard to recharge estimation
relates to total chloride deposition, which varies between years from 300700 mg m
2
.
The Precambrian shield area: GRES-I studies on the eastern Precambrian shield
included geological structure and groundwater occurrence investigations, pumping tests
to determine aquifer characteristics, water balance calculations, and tracer studies to
determine a chloride balance and unsaturated zone transport mechanisms. Details of these
studies are reported by De Vries and Gieske (1990) and Gieske (1992). Chloride is an
excellent tracer because of its conservative nature. A chloride mass balance for steady-
state conditions means that the total input of chloride by wet and dry deposition should
equal chloride output by transport through the unsaturated and saturated zone. The only
source in the study area, with its predominantly arenitic sediments, is dry and wet
atmospheric deposition. Variations in soil moisture and groundwater chloride concentra-
tions in a downstream direction can thus be attributed to changes in water flux.
Groundwater occurrence in the Precambrian Shield area coincides with regional
synform structures. The distribution of permeability and porosity in these groundwater
basins is controlled by local fracturing and lithology. Groundwater flow processes were
analyzed by groundwater modelling and tracer application, special emphasis being given
to the recharge timing and areal distribution. The recharge processes and rate are shown to
be controlled by seasonal rainfall characteristics and the geomorphology. Average areal
groundwater replenishment for the Precambrian basins varies from 10 mmyr
1
in loamy
alluvial soils to 30 mmyr
1
through coarse grained sediments and fractured outcrops,
though can be much higher in localized areas as a result of concentrated runoff. Average
annual rainfall was $550 mm.
Computer simulation of groundwater flow: Infiltration characteristics derived from the
mixing cell chloride mass balance calculations were further used as input to a transient
groundwater model for the area based on the MODFLOW code. Hydraulic parameters
were obtained from pumping tests, long-term abstraction hydrographs, and from water
table recession curves after a recharge event. The model was calibrated using hydraulic
gradients, and the resultant areal distribution of transmissivity and storativity values from
this inverse model coincided well with the parameter set given by field observations.
A lumped parameter model (EARTH) was also developed to simulate infiltration and
transport of rainfall excess through the unsaturated zone (Van der Lee & Gehrels 1997;
see also Gehrels, Ch. 6, this volume). The model uses a simplified Richards equation for
unsaturated transport, and a linear reservoir approach to account for moisture redis-
tribution and transport delays. Actual evapotranspiration is calculated as a function of
potential evaporation and soil moisture content. Groundwater level fluctuations could be
simulated from the modelled recharge when combined with a linear reservoir model for
discharge through the saturated aquifer. Notably good results were obtained when the
model was calibrated with field soil moisture observations. EARTH thus proved very
suitable for simulating recharge events from climatic records and groundwater level
observations, especially when combined with measured soil moisture data.
After calibrating the EARTH site parameters from observed groundwater level fluctua-
tions, the series was modelled backwards in time using historical rainfall data and a simple
empirical seasonal evaporation function. The reconstruction indicated 26 years with
recharge events during the past 68 years, with an average replenishment of 55 mm for each
recharge year, and an overall annual average of about 22 mm for the total period. Linear
regression between rainfall and recharge produced an annual effective rainfall threshold
334 Understanding water in a dry environment
value at about 400 mm, below which no recharge takes place (Gieske 1992). This
threshold agrees remarkably well with results from South Africa for different geological
conditions (Bredenkamp et al. 1995).
Some general observations: There is no unambiguous relation between groundwater
occurrence, geological structure, and lithology. The forming of secondary permeability
and subsequent aquifer development depend on the geological history, including paleo-
climatic and hydrological evolution, and are more or less unique for any region (De Vries
1997).
It is evident that a clear insight to the physiographic context of the occurrence and
dynamics of groundwater, and notably information on recharge, is indispensable for
adequate groundwater resources assessment and prevention of over-exploitation. More-
over, information on recharge event recurrence intervals and amounts is a prerequisite
for conjunctive surface and groundwater use development plans. To be sustainable, such
a plan should be based on a strategy of partly depleting groundwater reservoirs in dry
periods when surface reservoirs fall dry and shifting to surface water supply in wet
periods, allowing the aquifers to become replenished. In addition, artificial recharge and
artificially enhanced infiltration can be important tools for reducing water resource losses
by runoff and evaporation.
8.9 CONCLUDING REMARKS
Increasing pressure on the limited water resources in arid and semi-arid regions
results from a high population growth rate, and an uneven spatial distribution of the
population relative to these resources. Conjunctive use of surface and groundwater is
necessary for sustainable development, though use of a surface water supply must
take into account its natural variability and unpredictability. It is also of value to
prepare quantitative estimates of probability and occurrence risk of water scarcity
periods for several consecutive months during which water availability under natural
flow conditions does not match minimum ecological demands. The difficulties in
obtaining regular observations of intermittent surface water flows are a major
handicap to the understanding and analysis of hydrological processes in rivers, and
systematic data collection is essential.
Development is needed on the use of artificial recharge in ephemeral wadis as a
means for enhancing conjunctive use. To this end a more extensive regional artificial
recharge program should be established to exchange knowledge, and to strengthen
national capacities in planning and implementing artificial recharge projects. Such a
program should assess the viability of the various methods under different hydro-
logical conditions, and the potential for their use to deal with concerns such as water
supply, salt water intrusion, aquifer depletion, and environmental protection. The
feasibility of using alternative sources such as recycling and reuse of waste water, and
desalination of sea water and saline groundwater should also be further explored.
Environmental water requirements of wetlands at the mouths of internationally shared
rivers need to be considered before development is undertaken, and when dams are
constructed on ephemeral rivers attention must be given to the possible impacts on
downstream sites. There is a need for enhanced systems modelling in arid zones with
their inherently uncertain hydrological regimes.
Human impacts and management issues in arid and semi-arid regions 335
An interdisciplinary approach is required when preparing basin-wide operational
plans for sustainable development and management of water resources. The effects of
interventions such as lining, intra- and inter-seasonal canal water delivery schedule
changes, provision of auxiliary storage and water supply cooperatives, all need to be
evaluated. Other aspects include:
(a) Efficient management of shallow water tables;
(b) Development and application of a deficit irrigation concept;
(c) Different drainage technologies for the various agro-climatic zones;
(d) Development of methodologies for quantifying water logging and soil salinity;
(e) Operational research on drainage methods for reclaiming water logged and salt
affected agricultural lands;
(f) Recognition of regional and local economic, political and social systems.
Groundwater resources are threatened by excessive exploitation and chemical conta-
mination, with agricultural practices being the largest non-point source of ground-
water pollution. Alternatives for water resource management are: (i) restricting basin
outflow and improving soil storage through ecologically sound rain water harvesting
techniques; (ii) tapping new groundwater sources which could be annually recharged;
and (iii) application of improved farming techniques. The continued use of polluted
groundwater for irrigation results in health hazards, and a sharp decline in crop
production and the biomass of trees, shrubs and grasses. Soils become compact,
resulting in the formation of surface crusts, with large areas of cultivated land becom-
ing degraded and reduced to wasteland.
In order to optimize limited water resources, the use of remote sensing and GIS pro-
vide accessibility, synoptic viewing, uniformity of collected information, repetitive
coverage and cost effectiveness. This holistic approach allows managers to observe,
study, and monitor the consequences of a water resources decision over large areas
concurrently, and over chosen periods of time.
Rational use of urban groundwater requires regular monitoring, innovative manage-
ment, technical expertise, public and private cooperation, and political will. Focused
hydrochemical surveys and a balance between shallow and deep groundwater
abstractions are also required to minimize downward migration of high anthropogenic
contaminant concentrations.
Reuse of reclaimed water via aquifer storage can lead to more environmentally sen-
sitive urban design, with reduced requirements for imported water, reduced exports of
sewage and storm water to potentially sensitive ecosystems, and lower water supply
costs. Appropriate guidelines for the quality of water to be injected into aquifers,
which account for these objectives, should be developed.
Salinization poses a challenge, and can occur in non-irrigated areas due to water and
salinity balance disturbances caused by, for example, land clearing or cover changes.
It is a hydrological response to the replacement of deep-rooted crops by those which
use less water, leading to greater groundwater recharge and water table rise. Under
these shallow water table conditions evapotranspiration or direct evaporation can
increase, with consequent increases in soil and stream salinity.
The introduction of irrigation to arid and semi-arid land where human and animal
populations were historically adapted to less water induces significant environmental
disturbance. It can also lead to rising groundwater tables, thus converting many parts
336 Understanding water in a dry environment
of the irrigated area into a wet desert. Continued water logging over extended periods
under high evaporative demand allows dissolved salts to be brought to the surface,
creating elevated soil salinity or alkalinity. Such areas with an annual rainfall of
<275 mm are in need of land use restructuring, using these instead for animal rearing
and dairying after re-vegetation with grasses and shrubs.
Understanding the reasons for significant changes in Sahel rainfall remains a major
challenge, though field investigations now show that dry periods are not the initiators
of the regional desertification. Rather, the elimination of common property rights is
the key factor for rapid degradation of pasture in the eastern Sahel. This deregulation
of an open access system has had a severe impact on the plant cover, especially in dry
years, thus triggering desertification.
8.10 RECOMMENDATIONS
Natural land and water resources in arid and semi-arid regions are limited, are often in a
delicate environmental balance, and are under increasing pressure from a growing
population. The general lack of systematic studies and conservation planning in these
regions has resulted in an increasing risk of destroying or depleting the resources beyond
recovery. This chapter clearly indicates that water resource management issues, in
particular, need appropriate focus and attention. The problems of urbanization, industrial
and agricultural pollution, soil degradation, soil salinization, over use and exhaustion of
groundwater, and contamination of water resources require careful study. However,
limitations of meteorological, hydrological, hydrogeological and hydrochemical data
availability, short records, sparse networks, a lack of qualified manpower and proper
coordination, are serious handicaps to characterizing hydrological processes in these
regions. Furthermore, arid and semi-arid areas cannot be treated in the same way as humid
regions. There is an immediate and pressing need to establish adequate networks for
continuous data monitoring, and to create a coordinated mechanism for scientific
assessment, development, operation and management of land and water resources in a
systems framework.
For optimal and sustainable development of water resources it is therefore necessary to
create appropriate national and basin level water resource organizations with appropriate
infrastructure, manpower and legal/political authority. Basin level hydrological informa-
tion systems have also to be established for observation, storage, analysis and modelling,
using all relevant information including spatial and temporal data from both ground-based
and remotely sensed observation systems.
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Human impacts and management issues in arid and semi-arid regions 341
IAH International Contributions to Hydrogeology
Volume 18 Shallow Groundwater Systems
Dillon, Peter/Simmers, Ian (eds)
ISBN: 90 5410 442 2
Volume 19 Recharge of Phreatic Aquifers in (Semi-) Arid Areas
Simmers, Ian/Hendrickx, J.M.H./Kruseman, G.P./Rushton, K.R.
ISBN: 90 5410 694 8
Volume 20 Karst Hydrogeology and Human ActivitiesImpacts, consequences and
implications
Drew, David/Heinz Hotzl (eds)
ISBN: 90 5410 463 5 (Hardbound), ISBN: 90 5410 464 3 (Paperback)
Volume 21 Groundwater in the Urban EnvironmentSelected city profiles
Chilton, J. (ed.)
ISBN: 90 5410 924 6 (Hardbound), ISBN: 90 5809 120 1 (Paperback)
Volume 22 Managing Water Well Deterioration
McLaughlan, R.G.
ISBN: 90 5809 247 X
Volume 23 Understanding Water in a Dry EnvironmentHydrological
processes in arid and semi-arid zones
Simmers, Ian (ed.)
ISBN: 90 5809 618 1