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102 FLOW-DURATION CURVES

Geological Survey, Water Resources Investigations Report, 38. Aeby, P. et al. (2001). Fluorescence imaging of tracer
97-4018. distributions in soil profiles. Environ. Sci. Technol. 35:
22. Imes, J.L. and Fredrick, B.S. (2002). Using Dye-Tracing and 753–760.
Chemical Analyses to Determine Effects of a Wastewater 39. Kanwar, R.S., Baker, J.L., and Singh, P. (1997). Use of
Drainage to Jam Up Creek on Water Quality of Big Spring, chloride and fluorescent dye as tracers in measuring nitrate
Southeastern Missouri, 2001; U.S. Geological Survey, USGS and atrazine transport through soil profile under laboratory
Fact Sheet, FS-103-02, Rolla, MO. conditions. J. Environ. Sci. Health, Part A 32: 1907–1919.
23. Gooseff, M.N., Wondzell, S.M., Haggerty, R., and Aderson, J. 40. Reife, A. and Freeman, H.S. (1996). Carbon adsorption of dyes
(2003). Comparing transient storage modeling and residence and selected intermediates. In: Environmental Chemistry of
time distribution (RTD) analysis in geomorphically varied Dyes and Pigments. A. Reife and H.S. Freeman (Eds.). John
reaches in the Lookout Creek basin, Oregon, USA. Adv. Water Wiley & Sons, New York, pp. 3–31.
Resour. 26: 925–937. 41. Sabljić, A. (1989). Quantitative modeling of soil sorption for
xenobiotic chemicals. Environ. Health Perspect. 83: 179–190.
24. Sutton, D.J., Kabala, Z.J., Francisco, A., and Vasudevan, D.
(2001). Limitation and potential of commercially available 42. Nendza, M. (1998). Structure Activity Relationships in
Rhodamine WT as a groundwater tracer. Water Resour. Res. Environmental Sciences. Chapman & Hall, London, UK.
37: 1641–1656. 43. Sabljić, A. (2001). QSAR models for estimating properties of
25. Vasudevan, D., Fimmen, R.L., and Francisco, A.B. (2001). persistent organic pollutants required in evaluation of their
Tracer-grade Rhodamine WT: Structure of constituent environmental fate and risk. Chemosphere 43: 363–375.
isomers and their sorption behavior. Environ. Sci. Technol. 44. Worrall, F. (2001). A molecular topology approach to predict-
35: 4089–4096. ing pesticide pollution of groundwater. Environ. Sci. Technol.
35: 2282–2287.
26. Field, M.S. (2002). Efficient hydrologic tracer-test design for
tracer-mass estimation and sample-collection frequency, 1. 45. Schulthess, C.P. and Dey, D.K. (1996). Estimation of Lang-
Method development. Environ. Geol. (NY) 42: 827–838. muir constants using linear and nonlinear least squares
regression analyses. Soil Sci. Soc. Am. J. 60: 433–442.
27. Field, M.S. (2003). A review of some tracer-test design
46. Sekusak, S. and Sabjlić, A. (1992). Soil sorption and chemical
for tracer-mass estimation and sample-collection frequency.
topology. J. Math. Chem. 11: 271–280.
Environ. Geology (NY) 43: 867–881.
47. Hall, L.H., Kier, L.B., and Hall, L.M. (2002). The Guide for
28. Field, M.S. (2003). Tracer-Test Planning Using the Efficient
Development of QSAR with MDL QSAR. MDL Information
Hydrologic Tracer-Test Design (EHTD) Program; Office of
System, San Leandro, CA.
Research and Development, U.S. Environmental Protection
Agency, EPA/600/R-03/034, Washington, DC. 48. Merck. (1996). The Merck Index. An Encyclopedia of
Chemicals, Drugs, and Biologicals, 12th Edn. Merck & Co,
29. Bouma, J., Jongerius, A., Boersma, O., Jager, A., and Inc., Whitehouse Station, NJ.
Schoonderbeek, D. (1977). The function of different types of
macropores during saturated flow through four swelling soil
horizons. Soil Sci. Soc. Am. J. 41: 945–950.
FLOW-DURATION CURVES
30. Germann, P.F., Edwards, W.M., and Owens, L.B. (1984).
Profiles of bromide and increased soil moisture after ROBERT M. HORDON
infiltration into soils with macropores. Soil Sci. Soc. Am.
Rutgers University
J. 48: 237–244. Piscataway, New Jersey
31. Flury, M., Flühler, H., Jury, W.A., and Leuenberger, J.
(1994). Susceptibility of soils to preferential flow of water:
A field study. Water Resour. Res. 30: 1945–1954. The flow-duration curve is a cumulative frequency curve
32. Hu, Q., Kneafsey, T.J., Trautz, R.C., and Wang, J.S.Y. (2002). that shows the percentage of time that specified stream’s
Tracer penetration into welded tuff matrix from flowing discharges were equaled or exceeded during a period
fractures. Vadose Zone J. 1: 102–112. of record (1). It combines in one curve all of the flow
33. Nobles, M.M., Wilding, L.P., and McInnes, K.J. (2004). Path- characteristics of a stream, ranging from flood flows to
ways of dye tracer movement through structured soils on a drought situations.
macroscopic scale. Soil Sci. 169: 229–242. In sharp contrast to a hydrograph where time is on the
34. Vanderborght, J., Gähwiller, P., Wydler, H., Schultze, U., x axis, chronology is not shown in flow-duration curves.
and Flühler, H. (2002). Imaging fluorescent dye concentra- If the period of record on which the curve is based is
tions on soil surfaces: Uncertainty of concentration estimates. sufficiently long, it may be considered a probability curve
Soil Sci. Soc. Am. J. 66: 760–773.
and therefore, is used to estimate the percentage of time
35. Öhrström, P., Hamed, Y., Persson, M., and Berndtsson, R. that a specified stream’s discharge will be equaled or
(2004). Characterizing unsaturated solute transport by exceeded in the future.
simultaneous use of dye and bromide. J. Hydrol. (Amsterdam)
289: 23–35.
36. Zinn, B. et al. (2004). Experimental visualization of solute INTRODUCTION
transport and mass transfer process in two-dimensional con-
ductivity fields with connected regions of high conductivity. The temporal sequence of flows is not included in the
Environ. Sci. Technol. 38: 3916–3926. preparation of flow-duration curves, so one cannot tell
37. Forrer, I., Papritz, A., Flühler, H., and Luca, D. (2000). from the curve itself whether periods of low or high flow
Quantifying dye tracers in soil profiles by image processing. occurred during one dry or wet period or were scattered
Eur. J. Soil Sci. 51: 313–322. over several years (2). However, the curve is very useful
 FLOW-DURATION CURVES 103

for studying the flow characteristics of a stream for the the geohydrologic characteristics of watersheds. Steeply
entire range of discharge that can vary across several sloping curves indicate ‘‘flashy’’ streams where the flow
orders of magnitude. is largely from direct runoff and where there is limited
Although flow-duration curves can be based on weekly groundwater storage. For example, the flow-duration
or monthly averages, the greatest accuracy is reached in curves for the South Branch Raritan and Great Egg
using the day as the unit of time. Therefore, it is rec- Harbor Rivers in New Jersey for the 1931–1960 time
ommended that flow-duration curves used in hydrologic period are shown in Fig. 2. The South Branch Raritan
analysis be based on mean daily discharges for the period River in North Jersey drains consolidated rock formations
of record. such as Precambrian granites and Paleozoic limestones.
As streamflow generally has a log-normal distri- In contrast, Great Egg Harbor River in the unconsolidated
bution, flow-duration curves are usually plotted on formations of the Coastal Plain of South Jersey is
logarithmic probability graphs where the x axis rep- underlain by thick seaward-dipping deposits of sand (3).
resents the percentage probability that a given dis- The geohydrologic differences between the consolidated
charge was equaled or exceeded during a given period rocks of North Jersey and the unconsolidated sedimentary
and the y axis indicates discharge in either cubic
formations of the Coastal Plain are illustrated by the
feet/second or cubic meters/second. A sample flow-duration
different slopes in Fig. 2. First, discharge on the y axis for
curve for Bowie Creek near Hattiesburg, Mississippi
both rivers has been equilibrated by using cubic feet per
is shown in Fig. 1. Note that the x axis ranges from
second/square mile values to make the flow independent
0.05 to 99.99% and the y axis is scaled logarithmi-
of watershed size (4). Second, note in Fig. 2, that the
cally from 100 to 10,000 cubic feet/second (two orders
discharge values are higher for the South Branch Raritan
of magnitude).
River at high flow conditions (0.01–20% exceedance
THE RELATIONSHIP BETWEEN CURVE SHAPE AND values) and lower at low flow conditions (80–99.5%
GEOHYDROLOGY exceedance values). This difference is to be expected as
the groundwater storage is much greater in the Coastal
It is widely recognized that the shape of the flow- Plain than in the consolidated rock formations of northern
duration curve provides very useful information about New Jersey.

Manual of hydrology: part 2, low-flow techniques

10,000
9000
8000
7000
6000
5000
4000

3000
Discharge in cubic feet per second

2000

1000
900
800
700
600
500
400

300

200
Minimum observed
flow

100
0.050.1 0.2 0.5 1 2 5 10 20 30 40 50 60 70 80 90 95 98 99 99.5 99.8 99.9 99.99
Percent of time indicated discharge was equaled or exceeded

Figure 1. Duration curve of daily flow, Bowle Creek near Hattiesburg, Mississippi, 1939–1948.
104 FLOW-DURATION CURVES

Flow duration curves (1931−1960)

99.99 99.999.8 99.5 99 98 95 90 80 70 60 50 40 30 20 10 5 2 1 0.5 0.2 0.1 0.05 0.01
10.0

South branch raritan near high bridge

Discharge (cfs /sq. ml)

Great egg
harbor river

1.0

0.1
0.01 0.05 0.1 0.2 0.5 1 2 5 10 20 30 40 50 60 70 80 90 95 98 99 99.5 99.8 99.9 99.29

Figure 2. Percentage of time indicated discharge was equaled or exceeded.

An even better example of differential geohydrology is the anthropogenic factor as exemplified by the effects of
and its effect on flow-duration curves is shown in Fig. 3. urbanization on the hydrologic cycle. Streams are subject
Both the South Branch Raritan River and Stony Brook to more regulation in the form of water supply diversions,
at Princeton in New Jersey are underlain by consolidated interbasin transfers of both raw water and treated efflu-
rock formations. However, the geologic formations within ent, and low flow release requirements, so the natural
the Stony Brook watershed include a large proportion of flow of a stream may become very difficult to measure,
Lockatong argillite, a very tight, poorly fractured rock that particularly in heavily urbanized smaller basins.
is notorious for its poor groundwater yields and limited One quantitative measure of streamflow variability is
water storage. As in Fig. 2, discharge on the y axis has been the slope of the flow-duration curve itself. The steeper
equilibrated, in this case by using (mgd) million gallon per the slope, the greater the variability. A numerical index
day/square mile values.
of variability was introduced by Lane and Lei (5) that is
Note the precipitous decline of the slope of the curve for
defined as the standard deviation of the logarithms of
Stony Brook in Fig. 3, indicating the strong effects of the
stream discharge at 10 points on the curve between the
minimal amounts of groundwater in storage in the argillite
5% and 95% exceedance values (5, 15, 25, . . . 95%).
formation. The flow-duration curve data were plotted on
Miller (6) noted that many flow-duration curves tend to
log-probability graphs, so the decline in expected flow is
even more pronounced. be nearly straight lines on log-probability paper between
the 20 and 80% exceedance points. The curves above and
below these points depart strongly from a straight line
VARIABILITY INDEXES
and would not be suitable for a numerical index. Thus,
One of the major characteristics of streamflow is its Miller (6) suggested using a simple index by dividing the
variability. This variability reflects the variability in discharge at the 20% point on the curve by the discharge at
precipitation as modified by the physical characteristics the 80% point. Flashy streams have high indexes, whereas
of the watershed. These physical characteristics include streams of relatively uniform flows (such as those in the
the differential geohydrology of consolidated and uncon- Coastal Plain) have low indexes. One additional benefit
solidated rock formations and the water storage available of this easily calculated index is that the resulting ratio
in lakes, swamps, and wetlands. Another factor that will is dimensionless, thereby facilitating the comparison of
become of increasing importance in streamflow variability streamflow variability in varied locations.
 FLOW-DURATION CURVES 105

99.99 99.9 99.8 99.5 99 98 95 90 80 70 60 50 40 30 20 10 5 2 1 0.5 0.2 0.10.05 0.01

10.0

1.0 South branch raritan

near high bridge
mgd/sq.mi.

0.1 Stony brook

at Princeton

0.01

0.001
0.01 0.05 0.1 0.2 0.5 1 2 5 10 20 30 40 50 60 70 80 90 95 98 99 99.5 99.8 99.9 99.99
Discharge which was exceeded for indicated percent of time

Figure 3. Flow-duration curves; Stony Brook at Princeton, 1954–1975; South Branch Raritan near High Bridge, 1919–1975.

SUMMARY indicative of basins that have large amounts of groundwa-

ter in storage that result in flows of higher constancy.
A flow-duration curve is a graph, usually plotted on
log-probability paper, that shows the percentage of time
BIBLIOGRAPHY
that streamflow at a gaging station is either equaled or
exceeded. Important information about the hydrologic and 1. Searcy, J.K. (1959). Flow-Duration Curves. U.S. Geological
geologic characteristics of a watershed is revealed in the Survey Water-Supply Paper 1542-A, Washington, DC.
shape of the curve. Curves that slope steeply represent 2. Gillespie, B.D. and Schopp, R.D. (1982). Low-Flow Charac-
streams of very variable flows that reflect large inputs of teristics and Flow Duration of New Jersey Streams. U.S.
overland runoff. Conversely, curves of gentler slopes are Geological Survey Open-File Report 81–1110, Trenton, NJ.
106 ENVIRONMENTAL FLOWS

3. Watt, M.K. (2000). A Hydrologic Primer for New Jersey The chosen species exhibits preferences within a range of
Watershed Management. U.S. Geological Survey Water- habitat conditions that it can tolerate; these ranges can be
Resources Investigation Report 00-4140. West Trenton, NJ. defined for each species; and the area of stream providing
4. Fetter, C.W. (1994). Applied Hydrogeology, 3rd Edn. Prentice- these conditions can be quantified as a function of
Hall, Englewood Cliffs, NJ. discharge and channel structure. In the majority of cases,
5. Lane, E.W. and Lei, K. (1950). Stream Flow Variability. these methodologies developed instream-flow guidelines
Transactions of the American Society of Civil Engineers 115: that focused on the needs of a single species, usually
1084–1134. a salmon or trout, although more advanced approaches
6. Miller, E.G. (1966). Flow Probability of New Jersey Streams. considered the needs of different life stages. More recent
New Jersey, Division of Water Policy and Supply, Water advances of these approaches include, for example,
Resources Circular 15. (Prepared in cooperation with the U.S.
assessment of flows (1) to encourage the upstream
Geological Survey).
migration of salmon from the estuary to the spawning
grounds, (2) to provide good quality habitat for spawning,
and (3) to maintain the intragravel environment for egg
ENVIRONMENTAL FLOWS development over winter for fry at emergence in late
GEOFFREY PETTS winter and for juvenile fish in spring and summer.
University of Birmingham
By the early 1990s, the science and management of
Birmingham, United Kingdom regulated rivers had expanded from the determination of
instream flows to environmental flows. Many schemes now
applied more complex flow–habitat models to address
The ecological integrity of riverine ecosystems depends wider issues than the instream needs, for example,
on their natural dynamic character (1). Sustaining the the hydraulic habitats of a single species. These new
natural functioning of aquatic and water-dependent approaches address the sustainability of communities and
ecosystems in the face of growing human demands is a ecosystems. They address the access of aquatic biota
major challenge (2). Its solution requires the allocation to seasonal floodplain and riparian habitats as well as
of water to protect aquatic ecosystems from the impacts the need for high flows to sustain the geomorphological
of abstraction and river flow regulation (see Regulated dynamics of the river corridor and floodplain habitats (6).
Rivers), and this is one of five facets to freshwater They provide more sophisticated approaches to setting
management for the twenty-first century (see Water in minimum flows and enable advancement of an ecologically
History). It also requires acceptance of a multiuse ethic acceptable flow regime concept (7,8), which recognizes
to provide flexible water budgets to support ecological that a set of minimum flow constraints does not provide
functions in both dry and wet years (3). sufficient protection for river ecosystems. Different life
Rivers are the arteries of fluvial hydrosystems compris- stages and different species benefit from different flows at
ing the river itself, riparian zone, floodplain, and alluvial different times of the year, and in different years. Rivers
aquifer. These four-dimensional systems are influenced must be protected in wet years as well as drought years
by longitudinal processes, vertical and lateral fluxes, because high flows provide optimum conditions for some
and strong temporal changes. Flow is the driver. Flow species and are also responsible for sustaining the quality
defines the environmental domains within which biologi- and diversity of in-channel and riparian habitats.
cal communities develop, including the vertical exchanges The basic environmental principles needed to formulate
between surface and groundwater. High flows interact policy decisions and management approaches on environ-
with the sediment load, and also with downed trees and mental flows have been summarized by Naiman et al. (9).
driftwood (4), to shape the channel and floodplain mor- These focus on the need to sustain flow variability that
phology and to structure the complex mosaic of physical mimics the natural, climatically driven variability of flows
habitats that comprise a river corridor. at least from season to season and from year to year, if not
A major constraint to the advancement of tools for from day to day. The two fundamental general principles
allocating flow to meet in-river needs was the lack of are:
scientifically based models (5). In the 1960s and 1970s, 1. The natural flow regime shapes the evolution of
early attempts to set instream flows for rivers focused aquatic biota and ecological processes.
on the annual minimum flow expressed as a hydrological
2. Every river has a characteristic flow regime and an
statistic, commonly as either a flow duration statistic (such
associated biotic community.
as the 95th percentile flow) or as a fixed percentage of the
average daily flow (ADF), with several studies proposing From these were developed four specific principles for
20% ADF to protect aquatic habitat in streams. advancing the provision of environmental flows (10):
From the early 1980s, more complex approaches to
determine instream flows were introduced that make the 1. Flow is a major determinant of physical habitat in
assumption that physical habitat attributes provide an rivers, which in turn is a major determinant of biotic
index of suitability for biota. The most well known of these composition.
flow–habitat methodologies, Physical Habitat Simulation 2. Maintenance of the natural patterns of connectivity
(PHABSIM), integrates the changing hydraulic conditions between habitats along a river and between a river
with discharge and the habitat preferences of one or more and its riparian zone and floodplain is essential to
selected species. The method relies on three principles: the viability of populations of many riverine species.
 EUTROPHICATION (EXCESSIVE FERTILIZATION) 107

3. Aquatic species have evolved life history strategies nitrogen and phosphorus, from natural and anthropogenic
primarily in response to the natural flow regime and sources. Although natural eutrophication takes place
the habitats that are available at different times of over geologic time, activities of people that increase the
the year and in both wet and dry years. aquatic plant nutrient inputs to waterbodies can rapidly
4. The invasion and success of exotic and introduced accelerate this process and cause cultural eutrophication.
species along river corridors are facilitated by Thus, the term ‘‘eutrophication’’ has become synonymous
regulation of the flow regime, especially with the with ‘‘excessive fertilization’’ or the input of sufficient
loss of natural wet–dry cycles. amounts of aquatic plant nutrients to cause the growth of
excessive amounts of algae and/or aquatic macrophytes in
In addressing the issues of environmental flows, water a waterbody such that beneficial uses of the waterbody
managers must become water-and-habitat managers, and (i.e., water quality) are impaired. Beneficial uses of
holistic management strategies are being developed to waterbodies that stand to be impaired by the presence
support their activities (6). However, a continuing failure of excessive amounts of aquatic plant life include domestic
by policymakers to give due recognition to the array of and industrial water supply, recreation, and fisheries.
goods, services, and other benefits provided by aquatic Because of the public health and environmental
ecosystems (9), to the complexity of ownership and rights quality significance of these water quality impairments,
of access to these, and of how to integrate livelihood issues myriad strategies have been advanced to evaluate and
into water and ecosystem resource-management decisions regulate excessive fertilization and nutrient input to
remains a major issue. waterbodies, with varying degrees of technical validity
and demonstrated effectiveness. This chapter reviews
BIBLIOGRAPHY what should be considered in assessing the impacts of
nutrients that are added to a waterbody on the waterbody’s
1. Poff, N.L. et al. (1997). The natural flow regime. BioScience eutrophication-related water quality. References are
47: 769–784.
provided to more detailed discussions of the issues covered.
2. Postel, S.L. and Richter, B. (2003). Rivers for Life. Island
Press, Washington, DC.
3. Stalnaker, C.B. (1994). Evolution of instream flow habitat IMPACTS OF EXCESSIVE FERTILIZATION ON WATER
modelling. In: Rivers Handbook. P. Calow and G.E. Petts QUALITY
(Eds.). Vol. 2, Island Press, Washington, DC, pp. 276–288.
4. Gurnell, A.M. and Petts, G.E. (2002). Changing riverine The excessive fertilization of waterbodies is a long-
landscapes. Freshwater Biol. 47: 581–600. standing, well-recognized water quality problem through-
5. Petts, G.E. and Maddock, I. (1994). Flow allocation for in- out the United States and other countries. It is manifested
river needs. In: Rivers Handbook. P. Calow and G.E. Petts as excessive growths of planktonic (suspended) algae,
(Eds.). Vol. 2, Island Press, Washington, DC, pp. 289–307. attached algae, and aquatic macrophytes (water weeds).
6. RRA. (2003). Environmental flows for river systems. River Aquatic macrophytes can be floating forms such as water
Res. Appl. Special Issue 19(5–6), 375–681. hyacinth or duckweed or attached-emergent forms. Water
7. Petts, G.E. (1994). Water allocation to protect river ecosys- quality problems caused by these growths, discussed in
tems. Regulat. Rivers 12: 353–365. detail by Lee (1), are summarized below.
8. Petts, G.E. et al. (1999). Flow management to sustain
groundwater-dominated stream ecosystems. Hydrol. Proc. 13: Domestic Water Supplies
497–513.
When raw water supplies contain large amounts of algae
9. Naiman, R.J. et al. (2002). Legitimizing fluvial ecosystems as
users of water: an overview. Environ. Manage. 30: 455–467.
and some other aquatic plants, the cost of treatment
increases and the quality of the product may be
10. Bunn, S.E. and Arthington, A.H. (2002). Basic principles and
the ecological consequences of altered flow regimes for aquatic
diminished. Planktonic algae can shorten filter runs. They
biodiversity. Environ. Manage. 30: 492–507. can also release organic compounds that cause tastes and
odors and, in some instances, serve as trihalomethane
(THM) and haloacetic acid (HAA) precursors. THMs are
EUTROPHICATION (EXCESSIVE chloroform and chloroform-like compounds; HAAs are
low-molecular-weight chlorinated organic acids. These
FERTILIZATION) compounds are produced when the precursors react with
G. FRED LEE chlorine during the disinfection process and are regulated
as human carcinogens.
ANNE JONES-LEE
G. Fred Lee & Associates
Violations of Water Quality Standards
El Macero, California
Excessively fertile waterbodies can exhibit marked diel
INTRODUCTION (over a 24-hr day) changes in pH and dissolved oxygen
concentrations that can result in repeated short-term
‘‘Eutrophication’’ is the process of a waterbodys becoming violations of water quality standards. During daylight,
increasingly rich in aquatic plant life such as algae and algal photosynthesis removes CO2 from the water, which
aquatic macrophytes (water weeds). It is driven by the increases the pH; algal respiration in the night releases
increasing input of aquatic plant nutrients, principally CO2 and lowers the pH. In late afternoons, the pH
108 EUTROPHICATION (EXCESSIVE FERTILIZATION)

of excessively fertile water can be found to exceed eutrophication. Waterbodies with high degrees of clarity
the water quality standard for pH. Similarly, algae (i.e., the bottom can be seen at depths of 20 or more
produce oxygen during photosynthesis, but they consume feet) have low planktonic algal content; in more eutrophic
it during respiration. Just before sunrise, after sufficient waterbodies, the sediments can only be seen at a depth of
nighttime algal, bacterial, and other organism respiration, a few feet. The greenness of water, which contributes to
dissolved oxygen concentrations can be below water diminished water clarity and is caused by the presence of
quality standards for protection of fish and other aquatic algae, can be quantified by measurement of planktonic
life. Excessively fertile waterbodies that thermally stratify algal chlorophyll. Inorganic turbidity also diminishes
(develop a thermocline) often exhibit dissolved oxygen water clarity and can influence the perception of greenness
depletion below the thermocline because of bacterial of a waterbody. Often, high levels of planktonic algal
respiration of dead algae. Richards (2) showed that one chlorophyll can be present in a shallow waterbody or river
phosphorus atom, when converted to an algal cell that without the public’s perceiving it to be excessively fertile,
subsequently dies, can consume 276 oxygen atoms as part if the water is brown because of inorganic turbidity.
of the decay process.
Impact on Fisheries
Toxic Algae
As illustrated in Fig. 1, fertilization increases total fish
One major stimuli for the U.S. EPA’s recently increased production (biomass). However, as Lee and Jones (4)
attention to excessive fertilization is the Pfiesteria problem discussed, it can adversely affect the production of
in Chesapeake Bay (3); fish kills occurred there because desirable types of fish, especially at high fertilization
of the presence of toxic algae. Fish kills associated with levels. In stratified waterbodies, algae grow in surface
toxic algae have occurred in various waterbodies around waters, die, and settle to the hypolimnion (bottom layer)
the world, including off the west coast of Florida, for many where they are decomposed. As noted above, the oxygen
years. In addition, blue-green algae at times excrete toxins demand created by algal decomposition can be sufficient
that are known to kill livestock and other animals that in eutrophic waterbodies to deplete the hypolimnetic
consume the water. oxygen, which means that the desirable coldwater fish
(e.g., salmonids, trout) that normally inhabit the cooler
Impaired Recreation and Aesthetics hypolimnion cannot survive there because of insufficient
Excessive growths of attached algae and aquatic macro- oxygen. Thus, the higher fish production characteristic
phytes can impair swimming, boating, and fishing by of highly eutrophic waterbodies is typically dominated by
interfering with water contact. Severe odor problems can rough fish, such as carp, which can tolerate lower dissolved
also be caused by decaying algae, water weeds, and algal oxygen levels.
scums.
Water clarity—defined by the depth of the waterbody Shallow Water Habitat
at which the bottom sediments can be seen from the Emergent aquatic vegetation in shallow waters provides
surface—is an aesthetic quality that is compromised by important habitat for various forms of aquatic life. As

10
Based on data from Oglesby
5 Based on data from hanson and leggett
4
3
2
Fish yield (g wet wt/m2 /yr)

0.5
0.4
0.3
0.2

0.1

0.05
0.04
0.03
0.02

0.01
1 2 3 4 5 10 20 304050 100 200 300 500 1000 5000
Figure 1. Relationship between nor- Normalized P loading (mg P / m3)
malized P load and fish yield [from
(L(P) / qs) / (1 + √tw)
Lee and Jones (4)].
 EUTROPHICATION (EXCESSIVE FERTILIZATION) 109

discussed by Lee (1), increased planktonic algal growth Relationship between nutrient concentration
reduces light penetration (water clarity), which in turn and algal biomass
inhibits the growth of emergent vegetation. This process
can result in loss of significant aquatic life habitat.

Overall Impacts

Algal growth
Excessive fertilization is one of the most important causes
of water quality impairment of waterbodies. In its last
National Water Quality Inventory, the U.S. EPA (3) listed
nutrients as the leading cause of impairment of lakes and
reservoirs.

CONTROLLING EXCESSIVE FERTILIZATION

Nutrient-limited Not nutrient-limited
Algae and other aquatic plants require a wide variety
Available nutrient concentration
of chemical constituents, light, and appropriate temper-
atures to grow. Of those factors, however, only nutrient Figure 2. Relationship between nutrient concentration and algal
input is amenable to sufficient control to effect a meaning- biomass [from Lee and Jones-Lee (4)].
ful decrease in algal and aquatic plant biomass to reduce
the adverse impacts of excessive fertilization. The issues of either has been decreased by its utilization to below
of which nutrient(s) should be controlled, sources of the growth-rate-limiting concentration, reasonable certainty
nutrient, what type of and how much control is needed, exists that that nutrient is limiting algal growth.
and the positive impacts of the control must be addressed Typically, growth-rate-limiting concentrations for phos-
in a eutrophication management program. phorus are on the order of 2 to 8 µg/L available P, and
for nitrogen, 15 to 20 µg/L available N. It is important to
Limiting Nutrient recognize, however, that even growth rate-limiting concen-
For managing algal populations, the primary focus should trations can support appreciable algal biomass if sufficient
be on control of the nutrient that is present in the least time is available for algal growth to occur. Furthermore,
amount compared with algal needs, i.e., the limiting in many highly fertile waterbodies, neither nitrogen nor
nutrient. Increasing or reducing the amount of that phosphorus is limiting algal growth. Both can be present
nutrient available to algae will affect an increase or a above growth-rate-limiting concentrations—i.e., on the
decrease in the algal biomass that can be sustained. plateau of the algal growth-nutrient concentration rela-
This process is illustrated in Fig. 2, which shows that tionship in Fig. 2.
additional growth occurs in response to additional input
of the limiting nutrient up to the point at which it is AVAILABILITY OF NUTRIENTS
present in greater amounts than can be used. Nitrogen
and phosphorus are the nutrients that typically limit Nitrogen and phosphorus exist in aquatic systems in many
algal growth. Phosphorus is more often the limiting different forms, only some of which can be used by algae
nutrient in freshwater waterbodies, whereas nitrogen is and aquatic plants. Therefore, in assessing the limiting
often the limiting nutrient in marine waters. Although the nutrient in a waterbody or evaluating the control of
potassium content of some soils can limit the growth of nutrient input to a waterbody, it is essential to consider the
terrestrial plants, potassium is not an element that limits forms in which the N and P exist in the loading sources and
aquatic plant growth. waterbody. Algal available forms of nitrogen are nitrate,
To determine which nutrient is limiting algal growth nitrite, ammonia, and after conversion to ammonia, some
in a particular waterbody, some have relied on the com- of the organic nitrogen. The fraction of the organic nitrogen
parison of the concentrations of nitrogen and phosphorus that is available is site-specific and depends on its source
to the ‘‘Redfield’’ stoichiometric ratio of these elements in and age. Under limited circumstances, some blue-green
algae (16:1 atomic basis or 7.5:1 mass basis) shown in algae can fix (utilize) atmospheric nitrogen gas (N2 )
Eq. 1. that is dissolved in water and use it as a source of
nitrogen for growth. Soluble orthophosphate is the form
106 CO2 + 16 N + 1 P + trace elements ⇒ algae + O2 of phosphorus that is available to support algal growth.
(1) Most particulate phosphorus and organophosphorus
It is presumed that if the ratio is smaller than this, N would compounds, and oxygen-phosphorus polymer chain and
be limiting, and vice-versa, which can give misleading ring compounds (condensed phosphates), do not support
results and lead to unreliable nutrient control measures algal growth.
because whatever the ‘‘ratio,’’ either or both could be In developing nutrient criteria, the U.S. EPA (6,7)
present in ample amounts for algal growth (5). Rather, has been focusing on total phosphorus rather than on
it is the concentration of algal-available forms of nutrients algal-available forms. This approach can misdirect control
at peak biomass—when the algal growth is being programs to sources whose control will not result in cost-
limited—that should be assessed. If the concentration effective improvements in eutrophication-related water
110 EUTROPHICATION (EXCESSIVE FERTILIZATION)

quality. For example, it was well established many years Land Runoff
ago that most of the particulate phosphorus in agricultural
Another source of nutrients for waterbodies is runoff from
and urban stormwater runoff is not available to support
land. Based on the U.S. Organization for Economic Coop-
algal growth. Lee et al. (8) reported on their extensive eration and Development (OECD) Eutrophication Study
research as well as on the findings of others on this data for about 100 waterbodies’ watersheds located across
topic in a review of these issues for the International the United States, Rast and Lee (11) determined nutrient
Joint Commission for the Great Lakes. From both short- export coefficients for the main categories of land use.
term and long-term (one-year) tests, they found that the Shown in Table 1, these coefficients define the mass of N
algal available P in agricultural and urban runoff can be and P that runs off a unit area of watershed land annually.
estimated as the sum of soluble ortho-P and about 20% of Although the export coefficients for a given watershed
the particulate P. Thus, most particulate P in agriculture depend on the particular setting, the values in Table 1
and urban stormwater runoff from a variety of sources is have shown reliability in several areas for estimating
not available for algal growth. the potential significance of various types of land
The lack of availability of much phosphorus in soils use in contributing nitrogen and phosphorus from a
is well known to the agricultural community, which watershed. More specific nutrient export coefficients for
finds that total P in soils is not a reliable measure agricultural lands should be evaluated based on soil
of plant-available P. As discussed by Lee and Jones- characteristics, types of crops grown, and other factors
Lee (9), nutrient criteria for regulating agricultural and that tend to influence the amount of nitrogen and
urban stormwater runoff should be based on soluble phosphorus exported from the land. Although these
orthophosphate and nitrate plus ammonia plus about 20% coefficients are for total N and total P, when used in the
of the particulate P and N. However, if the source of the P Vollenweider–OECD eutrophication modeling approach
and N is algae, then most of the total N and total P will be discussed subsequently, the availability of the loading is
mineralized and in time will become available to support taken into account.
algal growth.
Nutrient Runoff Control BMPs
Controlling nitrogen and phosphorus in runoff from
SOURCES AND CONTROL OF ALGAL NUTRIENTS rural land has not been highly successful. Sharpley
(12) reviewed the experience in trying to achieve a
40% reduction in nitrogen and phosphorus loads from
Domestic Wastewater Discharges agricultural lands in the Chesapeake Bay watershed. He
indicated that limited progress has been made toward
Lee and Jones (10) reviewed the North American experi-
achieving that goal after about 15 years of effort. Similarly,
ence in controlling the excessive fertilization of waterbod-
Logan (13) reported that little progress has been made in
ies. They reported that domestic wastewater discharges
effectively controlling phosphorus from agricultural runoff
are one of the most significant and controllable sources of
in the Lake Erie watershed.
available nutrients contributing to eutrophication. To con-
Sprague et al. (14) reviewed factors that affect nutrient
trol phosphorus from this source, tertiary treatment of the
trends in major rivers of the Chesapeake Bay watershed.
wastewaters is commonly practiced. Chemical treatment
They noted the difficulty discerning major changes in the
using alum (aluminum sulfate) typically costs a few cents
contribution of nutrients from agricultural lands in the
per person per day for the population served by the treat-
watershed caused by year-to-year variability in nutrient
ment plant. Enhanced biological treatment of domestic
export. This variability is related to several factors,
wastewaters may also significantly reduce the phospho- including climate. They indicated that one of the principal
rus content of domestic wastewaters. Typically, either methods for nutrient reduction from agricultural lands
chemical or enhanced biological treatment can reduce the has been land retirement, i.e., termination of agricultural
phosphorus concentration in domestic wastewater effluent activities on the land.
by 90% to 95%. The authors estimate that the domestic Various ‘‘best management practices’’ (BMPs) have
wastewaters of more than 100 million people in the world been implemented to control nutrient export from
are treated for phosphorus removal to reduce the excessive
fertilization of the waterbodies receiving the wastewater
discharges. Table 1. Watershed Nutrient Export Coefficients
Nitrogen can also be removed from domestic wastew- [from Rast and Lee (11)]
aters although not as readily as phosphorus. Nitrogen Export Coefficients (g/m2 /y)
removal generally involves nitrification of the ammonia
Land Use Total Phosphorus Total Nitrogen
and organic nitrogen to nitrate, followed by denitrifica-
tion. The cost is typically five to ten times greater than Urban 0.10 0.5 0.25∗
for phosphorus removal. Although phosphorus control in Rural/Agriculture 0.05 0.5 0.20∗
domestic wastewaters is widely practiced, nitrogen control Forest 0.01 0.3 0.10∗
has only been implemented to a limited extent because of Other:
the higher cost and because for most freshwater waterbod- Rainfall 0.02 0.8
Dry Fallout 0.08 1.6
ies, phosphorus control is the more effective way to control
∗
excessive fertilization. Describe nitrogen loadings for waterbodies in Western United States.
 EUTROPHICATION (EXCESSIVE FERTILIZATION) 111

agricultural activities, including grassy strips, buffer and the desired eutrophication-related water quality
lands, altering fertilizer applications, and so on. The U.S. characteristics. Next, the limiting nutrient during the
EPA (15) discussed the current information on BMPs period of concern and the primary sources of that nutrient
to control potential pollutants derived from agricultural should be determined. Each source should be evaluated
lands. Although claims are made as to their effectiveness, for the availability of nutrients, the controllability of
it is evident from the U.S. EPA review and the the available nutrients, and the cost of implementing
authors’ experience that there is a lack of quantitative and maintaining the control strategy. Finally, a reliable
understanding of the cost-effectiveness of BMPs for control modeling approach needs to be applied to estimate the
of nutrients from agricultural activities (16). Quantitative improvement in eutrophication-related water quality that
studies are urgently needed to determine how various would be effected by the estimated expenditures for the
BMPs influence phosphorus and nitrogen export from potentially viable control options.
the land, efficacy for controlling eutrophication, as well
as costs associated with controlling phosphorus export Desired Nutrient-Related Water Quality
to various degrees (e.g., 25%, 50%, and 75%). This
information then needs to be viewed in the context of The first step in developing appropriate nutrient load
what agricultural interests of various types can afford criteria is to identify the eutrophication-related water
relative to market prices, including issues of foreign quality problem as well as the desired outcome of
competition. Maintaining agriculture through subsidies management for the waterbody. Types of problem/solution
is a long-standing tradition in the United States. The goals that may be identified include, as discussed above,
control of nutrients from agricultural lands for the benefit preventing violations of average or worst-case-diel DO or
of downstream waterbody users may also become one of pH standards, controlling algae-caused domestic water
the subsidy issues that will need to be considered to keep supply raw water quality problems (e.g., controlling tastes
agriculture viable (although subsidized) in many parts of and odors, lengthening filter runs, reducing THMs, etc.),
the United States. or increasing water clarity (Secchi depth). This evaluation
should be done through a public process conducted by
Importance of Light Penetration the regulatory agency because the public’s perception of
eutrophication-related water quality can be site-specific.
Algal growth in almost all waterbodies is light-limited In those areas where there are numerous waterbodies with
to some extent. Turbidity and natural color diminish the marked differences in lake water clarity, for example, the
penetrability of light into a waterbody, which affects the public has the opportunity to compare waterbodies that
extent to which algae can use available nutrients. In fertile are green with those that are clearer. There, the public’s
waterbodies, where the presence of abundant planktonic perception of high water quality is different from that in
algae reduces the penetration of light further by self- areas where all waters have the same general greenness
shading, algae can photosynthesize only in the upper few because of planktonic algae.
feet of water. It is important to understand the influence Nutrient control must be undertaken with appropriate
of inorganic turbidity and natural color on the coupling consideration of factors that govern how the nutrient load-
between nutrient loads and eutrophication-related water ing is used within the specific waterbody. Eutrophication
quality. Although erosion from a waterbody’s watershed modeling can integrate these factors to relate nutrient load
may increase the nutrient load, it also increases the to eutrophication-related water quality response. Basically
turbidity in the waterbody, which in turn decreases light two types of eutrophication models exist:
penetration and thereby slows algal growth. Thus, control
of erosion in a waterbody’s watershed can result in greater • An empirical, statistical model, such as the Vollen-
algal growth for the same nutrient concentration than weider–OECD eutrophication model discussed sub-
would occur if the waters were still turbid from erosion in sequently herein, developed from a large database
the watershed. quantifying how nutrient concentrations or loads
relate to the nutrient-related water quality charac-
Issues That Need to be Considered in Developing teristics of the waterbody.
Appropriate Nutrient Control Programs
• Deterministic models, in which differential equations
Several key issues need to be considered and evaluated can describe the primary rate processes that relate
in formulating nutrient control programs, the most nutrient concentrations/loads to algal biomass.
important of which is the relationship between nutrient
load and eutrophication-related water quality in the Deterministic models have several drawbacks for use in
waterbody of concern. Each waterbody has its water eutrophication management. Because of the number of
quality-related load—a response relationship that needs equations incorporated into a deterministic model, no
to be defined. unique solution exists to the model. ‘‘Tuning’’ the model to
First, the nature of the water quality impairment needs match the nutrient loads and eutrophication condition in
to be defined, which includes defining what the problem is the waterbody of interest at the outset may not properly
(e.g., recreation impairment, aesthetics, tastes, and odors), represent the conditions and response after nutrient load
when the water quality problems occur (e.g., summer, fall, alteration. Thus, its ability to reliably meet the goal of
winter, and spring), how eutrophication is manifested management evaluation, i.e., predicting the benefit to be
(planktonic algae, attached algae, and macrophytes), gained by management options, is limited.
112 EUTROPHICATION (EXCESSIVE FERTILIZATION)

100 10

50 5
40 4

Hypolimnetic oxygen depletion rate (g O2/m2/d)

30 3
Mean summer chlorophyll a (mg/L)

20 2

10 1

5 0.5
4 0.4
3 0.3
2 0.2
xxx
1 xxx 0.1
xxxx
0.5 xxxxx 00.5
0.4 00.4
0.3 00.3
0.2 00.2

0.1 00.1
1 2 3 45 10 20 304050 100 200300 400 1000

(L(P)/qs)/(1+√tw)
100
Normalized annual areal phosphorus loading (mg P/m3)

50
40
30
20
Mean summer secchi depth (m)

10 Key
L(P) = Areal annual phosphorus
5 load (mg P/m2/yr)
4
3 qs = Mean depth ÷ hydraulic
residence time = z/tw
2 (m/yr)

1 tw = Hydraulic residence
time (yr)
0.5 xxx
0.4 xxxx
0.3 xxxxx
0.2

0.1
(L(P)/qs)/(1+tw1/2)
Normalized annual areal P loading (mg P/m3)
Figure 3. Relationships between normalized P load and eutrophication-related water quality
response—U.S. OECD Eutrophication Study Results [after Rast and Lee (17)].

If the water quality problem is related to planktonic and eutrophication response had been measured for at
algae, the Vollenweider–OECD eutrophication modeling least a year to generate the model point. Jones and Lee
approach is the recommended approach for determining (19) updated this model with data for more than 750
the reduction in nutrient loads/concentrations necessary to waterbodies in various parts of the world (Fig. 4). The use
achieve the desired nutrient-related water quality in many of this modeling approach and its reliability for predicting
lakes and reservoirs. Described by Rast and Lee (17) and the changes in response parameters after a change in
amplified by Jones and Lee (18,19), this model empirically nutrient loading has been described by Rast et al. (22).
relates normalized phosphorus loading to eutrophication-
related water quality parameters of chlorophyll, water Rate of Recovery
clarity, and hypolimnetic oxygen depletion rate through
relationships formulated by Vollenweider (20). These One of the issues of particular concern in eutrophication
relationships take into account the influence of the key management is the rate of recovery of a waterbody after
factors of the waterbody’s mean depth, hydraulic residence reduction in the nutrient/phosphorus loads. Because large
time, and surface area on the utilization of phosphorus by amounts of phosphorus are stored in lake sediments, some
algae within a waterbody. These models, based on the have incorrectly concluded that reducing the phosphorus
OECD (21) and post-OECD Eutrophication Study data, load from the watershed would result in little improvement
are shown in Fig. 3. Each point in each figure represents in water quality, especially in a waterbody with a long
a lake, reservoir, or estuary for which the nutrient load hydraulic residence time. However, Sonzogni et al. (23)
 EUTROPHICATION (EXCESSIVE FERTILIZATION) 113

170

100

50
40
30
20

10
Chlorophyll (mg/L)

5
4
3
2

0.5
0.4
0.3
0.2

0.1

A Figure 4. Updated relationship be-

0.05
0.1 0.5 1 2 3 4 5 10 20 30 4050 100 200 300 1000 tween normalized P load and
planktonic algal chlorophyll response
Normalized P loading (mg P/m3) (L(P)/qs)/(1 + √tw)
[after Jones and Lee (18)].

demonstrated that the rate of response in eutrophication- 3. U.S. EPA. (2000). National Water Quality Inventory. EPA
related water quality to reduction in phosphorus loading 841-R-00-001, U.S. Environmental Protection Agency, Office
is governed by the phosphorus residence time in the of Water, Washington, DC.
waterbody. The P residence time in years is the total mass 4. Lee, G.F. and Jones, R.A. (1991). Effects of eutrophication on
of phosphorus in the waterbody water column divided by fisheries. Reviews in Aquatic Sciences 5: 287–305. Available:
the annual load, which is typically much shorter than the http://www.gfredlee.com/fisheu.html.
hydraulic residence time. 5. Lee, G.F. and Jones-Lee, A. (1998). Determination of Nutri-
ent Limiting Maximum Algal Biomass in Waterbodies.
G. Fred Lee & Associates, El Macero, CA. Available:
CONCLUSIONS AND RECOMMENDATIONS http://www.gfredlee.com/nut limit.html.
6. U.S. EPA. (1998). National Strategy for the Development of
Regional Nutrient Criteria. EPA 822-R-98-002, U.S. Envi-
Excessive fertilization, eutrophication, is a major cause of
ronmental Protection Agency, Office of Water, Washington,
water quality impairment. Domestic wastewaters, urban
DC.
stormwater runoff, and agricultural runoff/discharges
7. U.S. EPA. (1999). Protocol for Developing Nutrient TMDLs.
are significant sources of nutrients that contribute to
EPA 841-B-99-007, U.S. Environmental Protection Agency,
excessive fertilization of some waterbodies. Site-specific Office of Water, Washington, DC.
investigations are needed to determine the contribution
8. Lee, G.F., Jones, R.A., and Rast, W. (1980). Availability of
of algal-available nutrients from these sources and the phosphorus to phytoplankton and its implication for phos-
extent to which they can be controlled. Using the phorus management strategies. In: Phosphorus Manage-
Vollenweider–OECD eutrophication modeling approach, ment Strategies for Lakes. Ann Arbor Press, Ann Arbor,
the expected improvement in beneficial uses that could MI, pp. 259–308. Available: http://www.members.aol.com/
be achieved in many lakes or reservoirs by affecting a duklee2307/Avail-P.pdf.
given load reduction and the expected recovery time can 9. Lee, G.F. and Jones-Lee, A. (2002). Developing nutri-
be estimated. ent criteria/TMDLs to manage excessive fertilization of
waterbodies. Proc. Water Environment Federation, TMDL
2002 Conference, Phoenix, AZ, November. Available:
BIBLIOGRAPHY http://www.gfredlee.com/WEFN.Criteria.pdf.
10. Lee, G.F. and Jones, R.A. (1988). The North Ameri-
1. Lee, G.F. (1973). Eutrophication. Transactions of the North- can Experience in eutrophication control through phos-
east Fish and Wildlife Conference, pp. 39–60. Available: phorus management. Proc. Int. Conf. Phosphate, Water
http://www.gfredlee.com/pexfert2.htm. and Quality of Life, Paris, France, February. Available:
2. Richards, F.A. (1965). Anoxic basins and fjords. In: Chemical http://www.gfredlee.com/pexfert2.htm.
Oceanography. Riley and Skirrow (Eds.). Academic Press, 11. Rast, W. and Lee, G.F. (1983). Nutrient loading estimates for
New York. lakes. J. Env. Eng. 109: 502–517.
114 CULTURAL EUTROPHICATION

12. Sharpley, A.N. (Ed.). (2000). Agricultural and Phosphorus resulting from human activities. Humans, through their
Management—The Chesapeake Bay. CRC Press, Boca Raton, various cultural activities, have greatly accelerated this
FL. process in thousands of lakes around the globe. Cultural or
13. Logan, T. (2000). Nonpoint sources of pollutants to the Great anthropogenic ‘‘eutrophication’’ is water pollution caused
Lakes: 20 years post PLUARG. In: Nonpoint Sources of by excessive plant nutrients. Increased productivity in
Pollution to the Great Lakes Basin. Great Lakes Science an aquatic system sometimes can be beneficial. Fish and
Advisory Board, International Joint Commission Workshop
other desirable species may grow faster, providing a wel-
Proceedings, February.
come food source (1). Eutrophication produces ‘‘blooms’’ of
14. Sprague, L.A., Langland, M.J., Yochum, S.E., Edwards, R.E.,
algae or thick growths of aquatic plants stimulated by
Blomquist, J.D., Phillips, S.W., Shenk, G.W., and Pre-
ston, S.D. (2000). Factors Affecting Nutrient Trends in Major
elevated phosphorus or nitrogen levels. There has been
Rivers of the Chesapeake Bay Watershed. U.S. GS Water- some uncertainty as to whether algal blooms result from
Resources Investigations Report 00–4218, U.S. Geological increased concentrations of nitrate or phosphate or from
Survey, Richmond, VA. some other cause. It is now commonly accepted that algal
15. U.S. EPA. (2000). National Management Measures to growth in fresh waters is generally restricted by phosphate
Control Nonpoint Source Pollution from Agriculture. U.S. concentrations, whereas in marine waters, it is restricted
Environmental Protection Agency, Office of Water, Nonpoint by nitrate concentration (2). In freshwaters, the nitrate
Source Control Branch, Washington, DC. concentration might, however, influence the kinds of algae
16. Lee, G.F. and Jones-Lee, A. (2004). Assessing the water qual- that grow, some of which taint in drinking water or are
ity impacts of phosphorus in runoff from agricultural lands. toxic to animals.
In: Environmental Impact of Fertilizer on Soil and Water. Bacterial populations increase due to larger amounts of
W.L. Hall and W.P. Robarge (Eds.), American Chemical Soci- organic matter. The water becomes cloudy or turbid and
ety Symposium Series 872, Oxford University Press, Cary, has unpleasant tastes and odors. Cultural eutrophication
NC, pp. 207–219. Available: http://www.gfredlee.com/ag p-
can accelerate the ‘‘aging’’ of a waterbody enormously over
1 012002.pdf.
natural rates. Lakes and reservoirs that normally might
17. Rast, W. and Lee, G.F. (1978). Summary Analysis of the North
exist for hundreds or thousands of years can be filled in a
American (US Portion) OECD Eutrophication Project: Nutri-
ent Loading-Lake Response Relationships and Trophic State
matter of decades.
Indices. EPA 600/3-78-008, U.S. Environmental Protection Cultural eutrophication also occurs in marine ecosys-
Agency, Corvallis, OR. tems, especially in near-shore waters and partially
18. Jones, R.A. and Lee, G.F. (1982). Recent advances in enclosed bays or estuaries. Partially enclosed seas, such as
assessing the impact of phosphorus loads on eutrophication- the Black, Baltic, and Mediterranean Seas, tend to be in
related water quality. J. Water Res. 16: 503–515. especially critical condition (1). During the tourist season,
19. Jones, R.A. and Lee, G.F. (1986). Eutrophication model- the coastal population of the Mediterranean, for example,
ing for water quality management: An update of the swells to 200 million people. Of the effluents from large
Vollenweider-OECD model. World Health Organization’s cities, 85% go untreated into the sea.
Water Quality Bulletin 11(2): 67–74, 118. Available:
http://www.gfredlee.com/voll oecd.html.
SOURCES OF NUTRIENTS
20. Vollenweider, R.A. (1976). Advances in defining critical
loading levels for phosphorus in Lake Eutrophication. Mem.
Ist. Ital. Idrobiol. 33: 53–83. Humans add excessive amounts of plant nutrients
21. OECD. (1982). Eutrophication of Waters, Monitoring, Assess-
(primarily phosphorus, nitrogen, and carbon) to streams
ment, and Control. Organization for Economic Cooperation and lakes in various ways. Runoff from agricultural fields,
and Development, Paris. field lots, urban lawns, and golf courses is one source of
22. Rast, W., Jones, R.A., and Lee, G.F. (1983). Predictive these nutrients. Untreated or partially treated domestic
capability of US OECD phosphorus loading-eutrophication sewage is another major source. Sewage is a particular
response models. J. Water Pollut. Control Fed. 55: 990–1003. source of phosphorus to lakes when detergents contain
Available: http://www.gfredlee.com/pexfert2.htm. large amounts of phosphates. The phosphates act as water
23. Sonzogni, W.C., Uttormark, P.C., and Lee, G.F. (1976). A softeners to improve cleaning action, but they also are
phosphorus residence time model: Theory and application. powerful stimulants to algal growth when they are washed
Water Res. 10: 429–435. or flushed into lakes.

Agricultural Runoff
CULTURAL EUTROPHICATION
The enrichment material in agricultural runoff is derived
from fertilizers applied to crops and from farm animal
NITISH PRIYADARSHI
houses. Nitrogen used as fertilizer may be converted to
Ranchi University
nitric acid in soil and solubilize calcium, potassium and
Ranchi, Jharkhand, India
other ions, which become highly liable to leaching.

Domestic Sewage
INTRODUCTION
Sewage is the most common source of nutrients and
The phrase ‘‘cultural eutrophication’’ (= cultural enrich- organic matter and undoubtedly, the greatest contributor
ment) is becoming widely used to denote organic pollution to the eutrophication of lakes and ponds. Large quantities
 FISH CELLS IN THE TOXICOLOGICAL EVALUATION OF ENVIRONMENTAL CONTAMINANTS 115

of nitrogen and phosphorus excreted by humans and the dominance of algal groups is taken over by blue-
animals enter into sewage. Phosphatic detergents in greens and the edible or game fish are replaced by
sewage (without tertiary treatment) may contain 15 hardy species of very little economic value.
to 35 mg/L of total nitrogen and from 6–12 mg/L of
phosphorus (3). Untreated sewage, besides nutrients, also
BIBLIOGRAPHY
adds large quantities of nitrogenous organic matter.
1. Cunningham, W.P. and Cunningham, M.A. (2002). Principles
Industrial Wastes of Environmental Science Inquiry and Applications. Tata
The nutrients in industrial effluents are variable in quality McGraw-Hill, New Delhi, pp. 234–235.
and quantity, depending on the process and type of 2. Wild, A. (1996). Soils and the Environment: An Introduction.
industry. The wastes from certain industries, particularly Cambridge University Press, New York, p. 255.
fertilizers, chemicals, and food, are rich in nitrogen and 3. Hume, N.B. and Gunnerson, C.E. (1962). Characteristics and
phosphorus. Organically held phosphorus is more soluble, effects of Hyperion effluent. J. Water Pollut. Control Fed.
34: 15.
and there is concern that it will leach into surface waters,
giving concentrations of 1 mg pL or more, when large
amounts of cattle and pig slurries are applied to sandy
FISH CELLS IN THE TOXICOLOGICAL
soil, as in the Netherlands (2).
EVALUATION OF ENVIRONMENTAL
Urban Runoff CONTAMINANTS
Urban runoff contains storm water drainage with organic
LEONARD I. SWEET
and inorganic debris from various paved and grassed
Environmental Energy Group,
surfaces and fertilizers from gardens and lawns.
Engineering Labs Inc.
Canton, Michigan
EFFECTS OF CULTURAL EUTROPHICATION

1. The excessive growth, or ‘‘blooms,’’ of algae promoted INTRODUCTION

by phosphates changed the water quality in Lake
Erie and many other lakes. These algal blooms led Aquatic life at risk to modulation by environmental con-
to oxygen depletion and resultant fish kills. Many taminants include fish and their organs, tissues, cells,
native fish species disappeared and were replaced and subcellular processes. Through branchial, dermal,
by species more resistant to the new conditions. and oral absorption, as well as biomagnification, it is
Beaches and shorelines were fouled by masses of highly probable that fish are exposed to many chemical
rotting, stinking algae. species, their metabolites, and their mixtures (e.g., aro-
2. Decomposition of algal bloom leads to oxygen matic hydrocarbons, carbamates, heterocyclic compounds,
depletion in water. This with a high CO2 level and heavy metals, organophosphates, and halogenated com-
poor oxygen supply, aquatic organisms begin to die, pounds). Sources of toxicant exposure include primary
and the clean water turns into a stinking drain. anthropogenic emissions, municipal and hazardous waste
landfills, incinerators, episodic and diffuse loadings, as
3. Algae and diatoms attain a high degree of dominance
well as global secondary sources that involve complex
due to overfertilization. Algae and rooted weeds
cycling across air–water (e.g., deposition, rain, snow),
interfere with hydroelectric power, clog filters,
sediment–water, and biotic interfaces (e.g., vegetation,
retard water flow, and affect water quality and
fish, birds).
water works.
Environmental contaminants of concern require
4. Macrophytes, particularly Hydrilla, Potamogeton, research into their accumulation potential, toxicological
Ceratophyllum, and Myriophyllum, assume high potency, and heath effects, because they can adversely
population densities and make near-shore and affect aspects of fish life histories through direct effects
shallow regions unsuitable for any purpose. (e.g., on developing eggs and larvae) or by more indi-
5. Filamentous green algae, such as Spirogyra, rect means (e.g., immunosuppression, and enhanced skin
Cladophora, and Zygnema, form a dense floating and liver disease). Chemical contaminant exposure can
mat or ‘‘blanket’’ on the surface when the density interfere with critical phases of the cellular response by
of the bloom becomes sufficient to reduce the inten- destroying, sensitizing, or otherwise altering the functions
sity of solar light below the surface. These blankets of cells.
often give shelter to several undesirable insects, Fish models are increasingly recognized as useful for
including mosquitoes. basic research, biomedical (e.g., carcinogenicity, pathol-
6. Eutrophication of a moderate level may be beneficial ogy) and biotechnological applications (e.g., functional
to fish production as it increases the food supply and comparative genomics, DNA isolation), and toxic-
for fish in the form of algae. Fish ponds are often ity/environmental safety testing (e.g., lethality, endocrine
fertilized with nutrients to accelerate algal growth and androgen modulation, developmental and immuno-
and increase fish productivity. But because the level toxicity). Within these disciplines, fish cells are recognized
of eutrophication increases due to human activities, as an important model because fish are among the oldest
116 FISH CELLS IN THE TOXICOLOGICAL EVALUATION OF ENVIRONMENTAL CONTAMINANTS

and most diverse vertebrates known, are an ecologically Biomarkers are increasingly employed to evaluate
critical and pervasive species, are abundant and widely chemically induced alterations in fish at the molecular, bio-
distributed, play a major role in the energetics of trophic chemical, cellular, or organismal level. These techniques
levels, have feasible and practical considerations as test that detect cellular departures from homeostasis may be
organisms (e.g., small size, economical maintenance and applied in experimental effect studies or field monitoring
use, fecundity, smaller volume of test chemical use and and may be destructive or nondestructive to the fish test
disposal), and often as top predators are at additional risk organisms. However, many of the classical biomarkers of
of bioaccumulating chemical contaminants. exposure such as enzyme induction and tissue residue
Fish species that are increasingly being used in fail to identify toxicological hazards and clinical implica-
toxicity testing include the following: rainbow trout, lake tions adequately that can impact exposed individuals and
trout, fathead minnow, bluegill, zebrafish, guppy, carp, populations.
barbels, mummichog, yellow perch, and medaka. Trends in In all cases, good laboratory practice and appropriate
microbiotesting and high volume/throughput testing will methods for analgesia, anesthesia, and euthanasia must
lead to further developments in cost-effective microscale be employed. Standard operating procedures for tissue
aquatic toxicity testing that use fish cells. Fish cells are harvesting and cell isolation must be designed to minimize
also becoming recognized as more relevant toxicologically; handling time prior to preservation or assay testing.
recent evidence suggests that bloodborne environmental
contaminants may be more bioavailable for transport
Importance and Policy Relevance
inside the cell, versus transport to circulating binding
proteins, than previously suspected. Surrogate tissues Fish, such as the lake trout in the Great Lakes, can
such as blood may also serve as an indication of target be designated sentinel species of ecosystem health and
tissue exposure and cellular stress. The use of fish cells are useful indicators for assessing chemical contaminant
also enables investigations that seek to characterize the stress. Fish cells in toxicology research can delineate
mechanisms of toxic effects. the magnitude of adverse effects of environmental
contaminants and one can also extend the relevance of
Trends in Toxicity Testing the data to understanding in situ, in vivo, and ecosystem
Prominent trends in toxicity testing include more in vitro end points.
tests and especially in vitro mechanistic assays, aimed at With regard to assessing aquatic ecosystem health,
appreciating the importance of the molecular and cellular toxicological end points at the cellular level can attempt
bases for the effects of chemical toxicants. For example, the to evaluate the structural integrity and functional
assessment and role of cellular apoptosis in immunotoxi- competency of specific organ systems and individuals
cological methods is gaining recognition. Characterizing and attempt to address both quantitatively (e.g., internal
xenobiotic-induced or inhibited apoptosis provides the and biologically effective dose) and qualitatively (e.g.,
opportunity to detect subtle and reversible changes in the early biological effect, altered structure/function) the more
normal activity of cells and aids in explaining fish stress subtle toxic effects of low level contaminant exposure.
and time from exposure to toxicity. Other popular end The fish cell toxicity end point is important because it is
points include heat shock proteins, signal transduction, rarely possible to predict the effects of urban, industrial,
endocrine modulation, oxidative stress, enzyme induction, and agricultural pollutants on aquatic biota based solely
influence of inflammatory mediators and endotoxin expo- on the composition and concentrations of contaminants.
sure, and cholinesterase activity. Further, cells harvested Thus, employing fish cells in the toxicological evaluation
from hepatocytes and gills remain prominent choices for of environmental contaminants is important because
toxicity testing. These toxicological end points at biolog- it provides a potentially valuable risk assessment
ical and biochemical cellular levels attempt to evaluate component, as well as tools for policy-makers and
the functional competence of specific organ systems and environmental, epidemiological, and fishery scientists.
individuals. Although the fish cells are important models of investi-
In vitro response tests are often selected for the gation independently, there is comparative evidence that
following reasons: primary cell exposures provide the fish cells and those of higher vertebrates are function-
necessary dose–response and mechanistic toxicity data; ally similar. Further, ambient exposure routes for fish
in vitro tests require minimal sacrifice of whole fish may approximate chronic inhalation tests in mammalian
and minimal use of chemicals; tests are subject to and vertebrate models. However, there are important dif-
less ethical scrutiny when using cells versus whole ferences between fish and human cells (e.g., the greater
animals; and in vivo exposure response tests are often membrane rigidity, volume, surface area, and presence of
impractical because the fish are collected some distance a large nucleus in fish red blood cells).
from the laboratory and are only available infrequently In addition, there are potential challenges and obsta-
and seasonally. The measured end points for assays with cles in the interpretation and extrapolation of in vitro
fish cells lines often include detection by flow cytometry studies of fish, including (1) relevance of in vitro dose
and fluorescence microscopy. With regard to fish systems, levels employed in the laboratory compared to in vivo
in vitro immune cell toxicity studies have focused on environmental exposures; (2) ability to rule out concur-
the reduction of viability (e.g., assays such as trypan rent exposure to other chemical, biological, or physical
blue, neutral red differential uptake) or reactivity (e.g., stressors; and (3) ascertaining clinical/environmental sig-
phagocytic indexes). nificance based on statistical significance.
 FISH CELLS IN THE TOXICOLOGICAL EVALUATION OF ENVIRONMENTAL CONTAMINANTS 117

Nonetheless, in vitro investigations of this type have cell competence, induced or inhibited normal cell pro-
advantages over in vivo and field studies for the following liferation, altered hematology, altered ion balance and
reasons: control over environmental exposure conditions, metabolism, and enhanced susceptibility to disease states.
potentially reduced variability between experiments, the Certainly mechanistic investigations in ecotoxicology and
ability to evaluate thousands of individual cells readily, etiopathogenesis have gained increasing importance espe-
and the requirement of a small quantity of test chemicals cially with regard to prophylactic measures.
to complete the exposure–response studies.
From an institutional viewpoint, some environmental Uncertainty Analysis
policies state that contaminant-induced cellular changes
By definition, uncertainties are inherent in ecological
are to be considered in decision making because they may
risk assessments and must be addressed in toxicological
directly influence ecologically important parameters, as
evaluations using fish cells. The sources of uncertainty
well as human welfare. The science as applied to fish
include measurement or estimation of variables, natural
cells may not be sufficiently developed to allow rigorous
variability/environmental stochastic over time and space
hazard assessments, but there remains growing scientific
(e.g., rainfall, wind velocity, temperature), and use of
and policy understanding of the subtle yet adverse effects
models that do not accurately reflect the environment
of persistent contaminants on fish physiology.
or exposed populations of concern.
During toxicity testing, there is potential for notable
Bioavailability and Mode/Mechanism of Action
individual variations in sensitivity and response. Cer-
In the aquatic environment, it is important to distinguish tainly, it should be noted that overall in vitro toxic effects
between the forms of toxicant exposure especially with on fish do not necessarily also lead to in vivo toxicity.
regard to bioactivity, biodistribution, and potential toxic- Many in vitro systems lack cell-to-cell contacts that may
ity. Speciation and bioavailability are strongly dependent make them behave differently, as well as the influence
on environmental factors (e.g., pH, redox state, dissolved of regulation by other physiological systems (e.g., nervous
oxygen, humic content, selenide and sulfide levels, mineral or immune). In vitro toxicology and mechanistic models
content, mercury content), physicochemical factors (e.g., are only as good as the level of in vivo understanding,
solubility, partitioning, metal–ligand complexing, ioniza- and both must be considered in characterizing a chemical
tion), and biological factors (e.g., presence of methylating hazard. Further, subtle perturbations in cell function fol-
or demethylating microbes). In teleost species, some of lowing in vitro exposure may not in every instance result
the bioavailability is determined by the pH and chloride in a relevant clinical effect, especially given the functional
concentration of the stomach; at low pH and high chloride reserve, complexity, and adaptive responses. Other con-
concentration, stomach conditions favor the formation of siderations for explaining differences in sensitivity can be
species more readily transported into the blood stream. attributed to genetics (e.g., expression of metallothionein),
There are also a number of intrinsic and extrinsic factors metabolism (although Phase I and II metabolism is similar
that may interact with toxic end-point parameters under to that of mammals), DNA repair, as well as the varying
investigation (e.g., reproductive status, age, stress, nutri- complexity of teleost fish tissue (e.g., for the immune sys-
tion, toxicant mixtures, previous exposure, predation, food tem, the absence of lymph nodes, tonsils, bone marrow,
chain effects, habitat, density, environmental stochastic- and the presence of the pronephros).
ity, concurrent infections, stress, species, and genotype). Other sources of uncertainty are inherent and include
Knowledge of chemiometabolic enzyme and receptor experimental design and conduct, variability in chem-
systems in fish may prove useful in improving the ical composition and purity, variability between sexes,
interpretation of toxicological studies. Fish can clear select variability across experiments, experimental uncertainty,
chemical toxicants via metabolic routes to a minor degree animal to human extrapolation, higher dose to lower
(e.g., feces, extraction from gill membranes, urine, bile, dose extrapolation, difference between commercial and
eggs, and mucus). It should be noted that in fish, as environmental chemical species, persistence and exposure
in mammals, the most important enzymes of chemical duration, and human variability in exposure and sensitiv-
biotransformation include cyt-P450, UDP-, glucuron-, ity. Finally, there is a fundamental assumption in toxicity
glutathione-, and sulfotransferases; and they are found testing that may lead to uncertainty—that lab tests of
most appreciably in the liver, although activity is found single individuals and relatively constant exposures are
in the gills, intestines, and kidney. Interestingly, research predictive of field-based intermittent exposures.
evidence supports the presence of the aryl-hydrocarbon
(Ah) receptor in teleost fish.
Characterizing the mechanisms of action of chemi- SUMMARY
cal toxicants is important for physiological, toxicological,
and therapeutic reasons. For instance, once incorporated In the end, the significance of studying fish cells in
into biological tissues, the physiological and toxicological environmental toxicology and hazard assessment research
effects of metals are regulated by binding to specific ligands is twofold: first, it provides comparative results of a
and excretion, involving competition for transport and cel- battery of potential in vitro assays as an alternative
lular sites and inhibition of enzyme systems. Chemically system to in vivo toxicity tests and for screening and
induced toxicity may involve cell volume changes, alter- evaluating chemicals of concern; and second, it provides
ations in cell permeability, and phospholipid structure. methods for diagnosing and predicting modulation and
These chemically induced changes may lead to suppressed toxicity from low level exposure to environmental
118 FISH CONSUMPTION ADVISORIES

chemical agents that will aid in defining the mechanisms subsistence anglers was not fully recognized until the early
responsible for the observed effects. More investigations 1990s. Thus, mercury contamination in fish was treated
into the cellular responses of fish when given equally similarly to biological contamination, and was addressed
relevant and equitoxic doses are an important avenue through regulatory control of permissible mercury levels
for further study. A battery of available toxicity test in commercial fish. By the mid-1990s, recognition that
methods on fish and fish cells will remain a backbone mercury in fish posed health risks more subtle than frank
of environmental safety testing and chemical/biological poisoning led to the adoption of consumption advice to
risk analyses, especially given economic, logistical, and recreational and subsistence anglers based on maintaining
ethical concerns. exposure below a ‘‘virtual’’ safe level and, at the same
time, advising fish consumption up to the maximum safe
exposure level. The intent of this approach is to maximize
FISH CONSUMPTION ADVISORIES the nutritional benefits to be derived from safe levels of fish
consumption while avoiding the health risks associated
GARY A. BUCHANAN with contaminant exposure. More recently, this approach
ALAN STERN has been applied to commercial fish, with the federal
GLORIA POST government (i.e., U.S. Food and Drug Administration,
Division of Science, Research, FDA) and various state governments issuing consumption
and Technology advise for fish whose contaminant levels are nonetheless
Trenton, New Jersey within regulatory limits for sale.
In general, the first major fish consumption advisories
were issued for PCBs (polychlorinated biphenyls). In 1973,
INTRODUCTION the FDA established a tolerance (i.e., a regulatory limit)
of 5 parts-per-million (ppm) PCBs for fish in interstate
Fish consumption advisories can be defined as government commerce. The FDA subsequently lowered this tolerance
health advice issued to the public concerning deleterious to 2 ppm in 1984. Initially, many states used FDA action
substances in fish and/or shellfish (e.g., crabs). These levels or tolerances in setting fish consumption advisories.
advisories typically provide advice on avoiding or limiting However, unlike mercury, PCBs were recognized as
the consumption of certain types or sizes of fish, or on carcinogens. Historically, noncarcinogens are considered
the number of fish meals to consume over a period of to have a threshold level of exposure, below which
time in order to limit health risks. Fish consumption no adverse effects are anticipated, whereas carcinogens
advisories were first issued in the United States in the have been considered to pose some risk at any level of
mid-1970s (1). exposure. Thus, rather than the all-or-nothing regulatory
approach initially adopted for mercury, the presumption
of some risk at all levels of consumption raised the need
HISTORY
for advice that attempted to balance low risk against
continued consumption. The FDA’s tolerance limit was not
Occasional contamination of shellfish and, to a lesser
established with such a goal in mind, and thus, starting in
extent, finfish with pathogens and parasites has long
the late 1980s and early 1990s, some states began issuing
been recognized as a potential public health hazard.
consumption advise to recreational and subsistence
Prior to fish consumption advisories addressing risks from
anglers that was designed to keep lifetime cancer risk
environmental chemical contaminants, biological (e.g.,
from consuming PCBs in fish within an ‘‘acceptable’’
bacterial) contamination resulted in the closure of shellfish
range. Based on historical concepts of ‘‘acceptable’’ cancer
beds and the removal of contaminated harvests from
risk, this range generally extended from a risk of one-
commerce. Such actions tend to be legally enforceable and
in-a-million (1 × 10−6 ) to one-in-ten-thousand (1 × 10−4 )
function through the exercise of public health law. As such,
of developing a PCB-attributable cancer over the course
they are not technically advisories, which, by their nature,
of a 70-year lifetime. This approach was subsequently
are provided as guidance and rely on voluntary adherence.
applied to known or suspected carcinogenic pesticides
Nonetheless, experience with such actions paved the way
(e.g., chlordane).
for governments to consider fish consumption advisories
as part of their larger public health responsibility. The
recognition of environmental mercury poisoning through SCOPE
fish consumption in the Minimata Bay area of Japan
in the 1950s raised the public consciousness about the Advisories are issued by local, tribal, state, and national
potential for anthropogenic chemical contamination of (e.g., U.S. EPA) agencies. Typically, most advisories are
dietary fish. However, at that time, and for several decades issued by the state health department or environmen-
afterwards, concerns about mercury in fish focused on tal/natural resource agency. Based on data compiled
frank poisoning resulting from highly elevated levels. by the U.S. EPA (2), 48 states had issued a total of
In addition, the impact of the Minimata contamination 3,089 advisories in 2003, including species-specific, water
on an entire community consuming a common source of body-specific, and statewide advisories. These advisories
fish tended to focus attention on commercial fish. The covered 35% of the nation’s total lake acres and 24%
indirect sources of mercury contamination of otherwise of the nation’s total river miles, and included coastal
pristine waterbodies and its impact on recreational and waters. Together, mercury and PCBs account for the great
 FISH CONSUMPTION ADVISORIES 119

majority of advisories, with chlordane, dioxin, and DDT or an ‘‘acceptable’’ level of risk. As the contaminant level
accounting for nearly all of the remaining advisories (2). A in any given fish is not known, advisories are derived by
listing of all state advisories can be found on the U.S. EPA extrapolating contaminant data from a limited sample of a
website (http://www.epa.gov/ost/fish/). In 2004, the U.S. given species of fish from a specific water body. Sometimes
FDA together with the U.S.EPA (3) issued a national mer- regional or statewide advisories are constructed by
cury advisory for commercial and recreationally caught generalizing sample data from a group of representative
fish. This advisory included a ‘‘do not eat’’ advisory for waterbodies. Various statistical approaches are used for
shark, swordfish, king mackerel, or tilefish for the sen- this extrapolation, including averaging concentration and
sitive population (women of childbearing age, pregnant selecting a concentration representing a given percentile
and breastfeeding women, and children). It also advised of the distribution of sampled fish.
this sensitive population to check local fish advisories, or Advisories are generally constructed using common,
if no advice is available, to limit intake to one (6 ounce) default assumptions for factors such as body weight and
meal per week of locally caught fish. Australia and New portion size. For contaminants to which one subgroup
Zealand have offered similar advice for higher trophic in the population is more sensitive than the general
level commercial species (e.g., marlin, shark, swordfish). population (such as methylmercury, which effects fetal
The European Food Safety Authority (4) has also issued neurological development at levels below those causing
a mercury advisory to this sensitive subpopulation in the neurotoxicity in adults), advisories may provide separate
European Union concerning consumption of fish. Mem- advice to the sensitive group and the general population,
ber countries in the European Union, other countries, which includes using different default body weights
and regional governments also issue fish advisories (e.g., appropriate to each group
British Food Standards, Health Canada, Ontario Ministry
of the Environment) (5).
METHODS

THEORY Sampling

Fish consumption advisories seek voluntary reduction of Fish tissue contaminant data are needed in order to
risk through modification of fish consumption behavior. develop fish advisories. Sampling methods vary by region
Regulatory restrictions are generally applied when and target species. Collection methods include traps, gill
fish enter into commerce or when the risk posed nets, trawls, electrofishing, hook and line fishing, as well
by consumption is clear and immediate. In contrast, as purchase from recreational or commercial fishermen.
advisories tend to be predicated on the notion that Fillet samples are typically analyzed, as these are often
government has, at most, limited authority to regulate the target tissue for consumption, but some cultures do
individual behaviors like fish consumption. At the same cook whole fish. Specialized tissues can also be targeted
time, government operates under a mandate to protect the for certain species (e.g., hepatopancreas or ‘‘green gland’’
public health, which is generally seen as a responsibility to for crabs and lobster) in addition to the muscle. Individual
advise, inform, and educate. Nonetheless, occasions exist fish samples or composite samples (i.e., multiple fish per
where health risks are imminent or sufficiently elevated sample) can be collected depending on needs and budget.
as to justify regulations closing specific waterbodies to Information on monitoring strategy, field procedures,
fishing for some or all species. Often no clear a priori target species, and target analytes are detailed by the
dividing line exists between conditions requiring advisory U.S. EPA (6).
and regulatory actions, and decisions are often made on
a case-by-case basis. Advisories are most appropriate Analysis
when the risk is low to moderate, and are potentially A variety of methods are used to measure contaminants
balanced by associated benefits such as nutrition and the in fish species. Analytical methods and instrumentation
continuation of cultural practices. The most basic type have improved dramatically over the past few decades,
of advisory is dichotomous—eat/don’t eat. This approach allowing lower detection limits and compound discrim-
is simple to communicate, but offers little opportunity ination (e.g., PCB congeners). For mercury, the cold
to consider benefits as well as risks. More sophisticated vapor atomic absorption spectrophotometry is typically
advisories provide consumption frequency advice (e.g., no used (7). For organic contaminants (e.g., PCBs, pesti-
restriction, eat once per week, eat once per month. . . don’t
cides, dioxins/furans, and polycyclic aromatic hydrocar-
eat). Which frequency of consumption is recommended
bons), the methods vary, but gas chromatography/electron
depends on the concentration of the contaminant in the
capture detection (GC/ECD) or GC/mass spectrometry
particular species of fish such that eating a typical size
(GC/MS) techniques are normally used (7). Additional
serving with the specified frequency will not result in
information on sample handling, analytical methods, qual-
exceeding the maximum acceptable risk level. Thus, a fish
ity assurance, quality control, and data analysis are
for which an eat-once-per week advisory is issued would
available (e.g., 6).
generally have about 25% of the concentration of the same
contaminant as a fish for which an eat-once-per month
Risk Assessment
advisory is issued. Consumption frequency approaches
allow consumers to eat the maximum amount of fish that Risk-based advisories may be based on carcinogenic effects
is consistent with remaining within a safe level of exposure or noncarcinogenic effects. A toxicity factor (slope factor
120 FISH CONSUMPTION ADVISORIES

or reference dose, as described below) is based on toxicity population, paraesthesia (tingling of the extremities) is
data, usually from experimental animals and, less often, the endpoint of concern for methyl mercury and cancer is
from humans. Advisories based on carcinogenic effects the endpoint of concern for PCBs.
generally assume that no threshold exists below which Fish consumption advisories that do not rely directly
there is no risk, so that any exposure to the contaminant on the risk-based approach described above have also been
poses some risk of cancer. Therefore, a target lifetime issued. For example, a general advisory has been issued
risk level (typically 10−4 to 10−6 , or 1 in 10,000 to 1 in by some states (e.g., Pennsylvania), advising consumption
1,000,000) is chosen based on policy rather than scientific no more than one meal per week of freshwater sport fish.
considerations. A carcinogenic potency factor (also called This approach is based on the precautionary principal
a slope factor) that relates daily dose to risk is developed that can be stated as: in the absence of specific data
from the toxicity data and is used to determine the daily and given the tendency for bioaccumulative contaminants
dose of the contaminant (7). to be present in freshwater fish, it is prudent to limit
consumption.
Lifetime Risk Another possible approach, for chemicals for which
(unitless)
Daily Dose (mg/kg body weight/day) = background dietary exposure from sources other than fish
Potency factor
−1 results in considerable risk, is to base the advisory on
(mg/kg/day)
(1) permitting a fractional increase above the background
Advisories based on noncarcinogenic effects use the level. For example, background exposure to dioxin,
assumption that a threshold exists below which adverse primarily from dietary sources including meat and dairy
effects other than cancer, such as organ toxicity, product, have been estimated to result in a lifetime
developmental effects, or reproductive effects are unlikely. cancer risk of 1 in 1000 or 10−3 (8). This risk level is far
A reference dose (in units of mg/kg body weight/day), above the risks typically used as the basis for risk-based
below which no adverse effects are expected in the consumption advisories. In such a case, the risk-based
overall population, is developed by applying appropriate advisory approach would limit the consumption of fish,
uncertainty factors to the dose at which effects occur in which is a beneficial part of a healthy diet, without actually
animals or humans, which is the daily dose that generally providing any substantial reduction in risk from dioxin and
forms the basis for risk-based consumption advisories for related compounds.
noncarcinogenic effects.
Consumption advisories for fish with a given ADVISORY EXAMPLE
contaminant concentration can be derived as follows:
Local or state advisories are typically more specific in
Daily Dose
terms of fish size, water body, and/or population as
(mg/kg/day, see above) ×
compared with national advisories. For example, in New
Consumption Body Weight (kg)
= (2) Jersey, mercury advisories for largemouth bass list an
Rate (meals/day) Contaminant advisory of ‘‘one meal per month’’ in Newton Lake
Concentration (mg/kg) × for the general population and ‘‘do not eat’’ in Cooper
Meal Size (kg/meal) River Lake for children and women of childbearing age
(Table 1). Whereas, dioxin (2,3,7,8-tetrachlorodibenzo-p-
Assumptions must be made for meal size (typically 8 dioxin) advisories in the Passaic River, NJ are ‘‘do not eat’’
ounces or 227 grams) and body weight (typically 70 kg for all fish species for all consumers (9).
for an adult male and 62 kg for a pregnant female).
Equation 2 provides the consumption rate in meals/day.
If the consumption rate is calculated to be sufficiently COMMUNICATION
large (e.g., 1 meal/day or greater), the advisory can
be given as ‘‘unlimited consumption.’’ If the resulting A very important aspect of fish consumption advisories is
consumption rate is less than the frequency corresponding outreach to the public. Advisories result in public health
to ‘‘unlimited consumption,’’ the advisory can be expressed protection only if their message is received, understood,
in a convenient unit, such as meals/week, meals/month, and acted on. Outreach activities involve identifying
meals/3 months, or meals/year. If the consumption rate populations at risk, developing an effective communication
is less frequent than a reasonable minimum (e.g., less strategy, and implementation of that strategy using a
frequent than once per year), the advisory may be variety of methods. For example, government agencies
given as ‘‘Do not eat.’’ The equations given above are a have used a variety of techniques, both traditional and
generalized form of the approach given by the EPA (6), unique, to get the advisory message to the public.
which provides separate equations for carcinogens and Examples include publications (e.g., brochures), listing of
noncarcinogens. advisories with fish regulations, posting on web pages,
Separate fish consumption advisories may be developed issuing press releases, public service announcements,
for a contaminant to protect the general population videos, posting of warning signs at boat ramps and
and sensitive subpopulations. For example, for methyl other public access points, direct outreach efforts using
mercury and polychlorinated biphenyls (PCBs), neurologic local community groups, and toll-free numbers. Risk
development is the endpoint of concern in the developing communication guidance is available from government
fetus, nursing infant, and young child. For the general sources (e.g., 1).
 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT 121

Table 1. Example of Fish Consumption Advisory (8)

Advisory/Prohibition
General Populationa,b
Range of Recommended Meal Frequency High-Risk Individualb,c
Lifetime Cancer Risk of 1 in Lifetime Cancer Risk of 1 in Recommended Meal
10,000 100,000 Frequency
Do Not Eat More Do Not Eat More Do Not Eat
Location Species Than Than More Than
Cooper River Lake Largemouth Bass
(Camden Co.) Four meals per year Do not eat Do not eat
Common Carp

Brown Bullhead
One meal per week One meal per month One meal per month
Bluegill Sunfish

Newton Lake Bluegill Sunfish

(Camden Co.) One meal per week One meal per month One meal per month
Brown Bullhead

Largemouth Bass Four meals per year Four meals per year
One meal per month
Common Carp One meal per year Do not eat
Passaic River downstream of
Dundee Dam and streams All fish and shellfish∗ Do not eat Do not eat
that feed into this section
of the river.
a
Range of Recommended Meal Frequency corresponds to a cancer risk of 1 in 10,000 to 1 in 100,000 over a lifetime.
b
Eat only the fillet portions of the fish. Use proper trimming techniques to remove fat, and cooking methods that allow juices to drain from the fish (e.g.,
baking, broiling, frying, grilling, and steaming). One meal is defined as an eight-ounce serving.
c
High-risk individuals include infants, children, pregnant women, nursing mothers, and women of childbearing age.
∗
Selling any of these species from designated waterbodies is prohibited in New Jersey (N.J.A.C. 7:25-18A.4).

BIBLIOGRAPHY 9. New Jersey Department of Environmental Protection and New

Jersey Department of Health and Senior Services. (2004).
1. U.S. EPA. (1995). Guidance for Assessing Chemical Contam- A Guide to Health Advisories for Eating Fish and Crabs
inant Data for Use in Fish Advisories. Risk Communication. Caught in New Jersey Waters. Trenton, NJ, p. 21. Available:
Vol. 4. Office of Water, EPA 823-R-95-001. http://www.state.nj.us/dep/dsr/njmainfish.htm.
2. U.S. EPA. (2004). National Listing of Fish Advisories, Fact
Sheet. Office of Water, EPA-823-F-04-016, p. 6. Available: READING LIST
http://www.epa.gov/waterscience/fish/advisories/factsheet.pdf.
3. U.S. FDA and U.S. EPA. (2004). FDA and EPA Announce
U.S. EPA. (1996). Guidance for Assessing Chemical Contaminant
the Revised Consumer Advisory on Methylmercury in
Data for Use in Fish Advisories. Overview of Risk Management.
Fish. Press release P04-33, March 19, 2004. Available:
Vol. 3.
http://www.fda.gov/bbs/topics/news/2004/NEW01038.html.
4. European Food Safety Authority. (2004). Press release issued
March 18, 2004. Available: http://appl.efsa.eu.int/. FISHERIES: HISTORY, SCIENCE,
5. Ontario Ministry of the Environment. (2003). Guide to
Eating Ontario Sport Fish 2003–2004, 22nd Edn. Queen’s
AND MANAGEMENT
Printer for Ontario, Toronto, Ontario, p. 219. Available:
ROBERT T. LACKEY
http://www.ene.gov.on.ca/envision/guide/index.htm.
United States Environmental
6. U.S. EPA. (2000). Guidance for Assessing Chemical Contam-
Protection Agency
inant Data for Use in Fish Advisories. Fish Sampling and
Corvallis, Oregon
Analysis. Vol. 1. 3rd Edn. Office of Water, EPA 823-B-00-007.
7. U.S. EPA. (2000). Guidance for Assessing Chemical Contam-
inant Data for Use in Fish Advisories. Risk Assessment and
The overall goal of fisheries management is to produce
Fish Consumption Limits. Vol. 2. 3rd Edn. Office of Water, EPA
823-B-00-008. Available: http://www.epa.gov/ost/fishadvice/ sustainable biological, social, and economic benefits from
volume2/index.html. renewable aquatic resources. Fisheries are classified
8. U.S. EPA. (2000). United States Environmental Protec- as renewable because the organisms of interest (fish,
tion Agency. Exposure and human health reassessment of shellfish, reptiles, amphibians, and marine mammals)
2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) and related com- usually produce an annual biological surplus that, with
pounds. SAB Review Draft, EPA/600/P-00/001 Bg. Available: judicious management, can be harvested without reducing
http://cfpub.epa.gov/ncea/cfm/part3.cfm. future productivity. In contrast, nonrenewable resources
122 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT

(oil, coal, iron, and copper) are available in fixed quantities FISH VERSUS FISHERIES
and are not replaced except over geologic time.
The benefits that humans gain from a fishery are The words ‘‘fish’’ and ‘‘fisheries’’ have several meanings,
diverse and may be enumerated in several ways. Most com- and these terms often cause confusion. As traditionally
monly, benefits are computed as commodity output—the used in fisheries management, fish typically includes the
weight or number of fish produced. Commodity output may entire suite of aquatic organisms that are harvested
be further split between the animals harvested by capture (mackerel, tilapia, tuna, guppies, sea turtles, seals,
(fishing for wild animals) or culture (produced as captive whales, sea urchins, clams, squid, and frogs), or could be
animals)—commonly called the capture fisheries and the harvested if their numbers permitted. Thus, the term fish
culture fisheries, respectively. is not solely the fin fish (fish that have fins), so a fisheries
manager may work with turtles, squid, or sponges, rather
FISHERIES MANAGEMENT than fin fish. Shellfish (clams, crabs, lobsters) are also
included under the broad definition of fish. In contrast to
The benefits are commonly measured as wholesale or fisheries managers, wildlife managers generally deal with
retail economic value of the commodity output. Such terrestrial mammals and birds (deer, wolves, bears, ducks,
benefits are easily calculated for commercial fisheries hawks, and whooping cranes).
because the products are usually sold, but for sport or A fishery is defined generically as a system composed
recreational fisheries, the quality of the fishing experience of three interacting components: the aquatic biota, the
is very important, so measures of catch in weight, aquatic habitat, and the human users of these renewable
number, or value only partially measure the benefits natural resources. Each of these components influences the
provided to fishermen or to society. Measurements of the fishery’s performance. Understanding the entire system
indirect economic value of recreational fishing that include and its parts is often essential to successful management
the quality of the fishing experience, however, remain of a fishery.
controversial. Even in commercial or subsistence fisheries, There are many different types of fisheries and they
substantial benefits may be associated with cultural or may be classified in several ways:
religious aspects. Although such benefits are difficult to
measure, they may be very important to the participants. • Type of environment (freshwater habitats—lakes,
Beyond the direct benefits derived from harvested reservoirs, rivers, streams, and ponds; saltwater
fish or the fishing experience, benefits are also derived habitats—estuarine, coastal, and open ocean).
by individuals and society from simply knowing that a • Method of harvest (seining, trolling, trawling, fly
particular natural resource exists (often called existence casting, spearing, and dip netting).
value). Society and individuals receive intangible benefits • Type of access permitted (open access to fishing,
from preserving species and habitats, especially those in open access with regulation, limited or purchased
danger of extinction. Such benefits are often significant, access, private property).
but, like the benefits from recreational fishing, they are
• Organism of concern (salmon, shrimp, bass,
also exceedingly difficult to quantify in economic terms.
turtles, squid, cod, sharks, sea horses, whales,
The whale fishery is an example for which the value of
and swordfish).
leaving the animals unharvested currently is of greater
benefit (primarily intangible) in most societies than the • Purpose of fishing (commercial fishing for a product
value (economic) of the harvested animals. to sell, subsistence fishing for direct food consump-
Whether or not measurable, fisheries management is tion, or recreational fishing for sport and leisure).
increasingly being guided by ecological benefits mandated • Degree of wildness of the target animals (totally
in treaties, laws, and government policies. For example, wild and free-roaming animals, totally captive
the Convention on Biological Diversity obligates signatory animals grown in ponds, or animals spawned in
nations to preserve their biological diversity to the captivity, but released in the wild to be captured
maximum possible extent. Many nations also have laws to when they mature).
protect species at risk of extinction, and these laws may
be important constraints on the scope, type, and intensity HISTORY OF THE HUMAN/FISH RELATIONSHIP
of fishing that will be permitted.
In practice, the overarching management policy goal Fish have occupied an important place in human society
for managing a nation’s fisheries is often stated in general for thousands of years. Early humans obtained fin fish,
terms such as: shellfish, and other aquatic life along the shores of lakes,
rivers, and oceans. Archeological records document the
To ensure the attainment and continued satisfaction of human use of fish spears 90,000 B.P. (90,000 years before present),
needs for present and future generations in an environ-
nets 40,000 B.P. and fish hooks 35,000 B.P. The earliest
mentally non-degrading, technically appropriate, economically
documented human communities dependent on fishing
viable, and socially acceptable manner, and such that land,
water, plant, animal, and genetic resources are maintained. were in the vicinity of Lake Mungo (Australia) 30,000 B.P.
and Crete 8,000 B.P. The Egyptian aristocracy fished as a
The challenge for the fisheries manager is to translate leisure activity at least 4,000 B.P. Fish have been raised in
such a general policy goal into a practical, effective captivity for several thousand years.
program to maximize the benefits of specific fisheries As better preservation techniques developed (drying,
to society. smoking, and salting) and transportation improved,
 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT 123

commercial fishing in the Middle Ages began shifting (fish caught by nets, trawls, hooks) and culture fisheries
from local, small-scale activities to commercial, large- (fish grown in ponds, cages, hatcheries), generally called
scale enterprises. Boat design and construction advanced, aquaculture. The harvest tonnage from capture fisheries
along with corresponding improvements in fishing gear quadrupled between 1950 and 1990, but has leveled off
and preservation techniques, especially the advent of or even declined since 1990. Harvest from aquaculture
canning. Canning represented a particularly important continues to increase. Fisheries harvest data are often
advancement because it permitted long-term storage and of questionable accuracy, but the most recently available
large-scale distribution of fishery products. data on the combined capture and culture harvest suggest
Cod fishing off eastern North America began in earnest that China is the world’s leading fish producer (32.5%),
in the early 1500s. By the 1600s, whaling was a prominent followed by Japan (5.1%), India (4.5%), United States
activity in many high seas locations. In the late 1800s, (4.4%), and Russia (3.9%).
steam-powered ships, along with mechanized fishing Aquacultural production continues to increase in impor-
techniques and refrigeration, enabled development of tance worldwide and now accounts for approximately
the large-scale industrial fisheries that still exist today. one-fifth of the total fish produced. Atlantic salmon, cul-
During the past 100 years, the global level of fishing has tured in cages and pens, are raised in Norway, Scotland,
expanded continuously, a trend disrupted only briefly Chile, Canada, United States, and elsewhere and provide
during the two world wars. After World War II, the fresh fish to the retail market year-round. Catfish, grown
intensity of commercial fishing especially increased. in ponds in the southern United States, and trout, grown
Today, commercial fishing continues as a major in hatcheries in the northern United States, provide high
economic sector in many countries. In addition to the large quality, reliable, year-round products to the national retail
worldwide value of the catch, approximately 36 million market. Carp and tilapia are produced in large numbers,
people (15 million full-time, 13 million part-time, and especially in Asia and Africa, and provide the primary
8 million occasional) are employed in the capture and source of animal protein for humans in those areas.
culture fisheries. Worldwide annual per capita consumption of fish
Although documented for thousands of years, recre- and shellfish is approximately 34 pounds (15 kg), but
ational fishing only relatively recently has become an this varies considerably among regions and individual
activity enjoyed by large numbers of people. The sport countries. Per capita consumption of fish has nearly
surfaced during the Renaissance as a socially accept- doubled since the 1960s. Europeans and Asians tend
able leisure activity and received broad visibility from the to have the highest per capita consumption. Annual per
1653 publication of The Compleat Angler by Izaak Walton. capita consumption in the United States is approximately
By the mid-1800s, recreational fishing was an important 15 pounds (7 kg); tuna, shrimp, pollock, salmon, and
and common activity, particularly in North America and catfish are the top five.
Europe. The scale of recreational fishing expanded greatly In North America, the economic vitality of some
after World War II, especially in North America. rural communities depends on catering to the needs
Millions of people fish recreationally, and they support of recreational fishermen (fishing equipment, outdoor
a multibillion-dollar sport fishing industry worldwide clothing, boats, motors, trailers, food, and lodging). In
(fishing gear and equipment, bait, boats, motors, outdoor 1996, the estimated 35 million American adults (age 16
clothing, lodging, and food). Recreational angling ranges and older) who fished recreationally spent more than
in extremes from the serenity of fly-fishing in a remote US$37 billion for goods and services related to the sport.
alpine stream, to the noise and excitement of a bass fishing The indirect economic impact of this direct expenditure
tournament held in a large reservoir, to the excitement of totaled more than US$108 billion.
a child catching its first fish from the bank of a pond. The market for aquarium and ornamental fish is
Beyond the widespread pursuit of wild fish for important worldwide and continues to increase. Fish
commercial or recreational purposes, many aquatic species to supply this market are obtained from both wild
are now successfully raised in aquaculture facilities. and captive stocks. The live fish department is one of
Raising fish in captivity (especially various carp species) the most popular and profitable in many pet stores.
for food has been practiced in China for at least Accompanying the sale of live fish is a market for aquaria,
4,000 years. The Chinese also developed effective means aquarium supplies, and, of course, fish food and medicine.
to breed and raise fish for ornamental purposes, an early Approximately 10 million ornamental saltwater fish are
precursor to today’s vast aquarium market. By the mid- imported annually throughout the world. The number of
1900s, carp, tilapia, catfish, trout, salmon, and shrimp freshwater fish imported is much higher and includes more
were widely raised for the food market; several of these than 5,000 species worldwide. The value of the U.S. retail
and other species such as pike, sunfish, bass, and walleye ornamental fish market (live animals for aquaria and
were raised for stocking to enhance recreational fishing ornamental ponds only) is approximately US$3 billion.
opportunities.
CHARACTERISTICS OF AQUATIC ENVIRONMENTS
CURRENT USES OF FISHERIES RESOURCES
Lakes, streams, ponds, oceans, and estuaries are biolog-
More than 4,000 species of aquatic animals are harvested ically productive, but their productivity has ecological
worldwide, totaling approximately 120 million metric tons constraints, and these constraints can be reduced by
annually. The total harvest includes capture fisheries human actions. Many aquatic habitats have been altered
124 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT

by human actions (dredging, filling, damming, road build- aquaculture would be a solution to nature’s limitations
ing, pollution, and introduction of nonindigenous species), was not fully realized.
and their potential for producing sustained fish harvests By the early 1900s, the limitations of aquaculture as
has been reduced. a tool to supplement or replace wild fish were being
Variability is a pervasive characteristic of all ecosys- recognized and harvest regulation was considered the
tems. Even in the total absence of human activity, aquatic more effective way to ensure sustained harvests. However,
ecosystems exhibit considerable fluctuations in the abun- because the scientific underpinnings for many harvest
dance of individual species. Fish species may vary in regulations were poor and public pressure to continue
abundance several fold between years. In some years, heavy fishing was great, regulations were often modest,
there may be tremendous spawning success. In other poorly enforced, and produced disappointing results in
years, the same species may have little or no reproduction. limiting harvests to sustainable levels.
Variability in the aquatic environment makes it challeng- As the recognition increased the need for regulations to
ing to assess the likely biological consequences of fisheries control overfishing, an appreciation emerged that habitat
management options such as adjusting harvest levels, was a limiting factor in fish yields, especially in inland
changing gear regulations, or even placing a moratorium and coastal waters. Thus, efforts to improve stream, lake,
on fishing. and estuarine habitats became more common throughout
Climatic changes also alter the productive capacity of North America and continue today.
aquatic environments over the long term. Subtle shifts in By the mid-1900s, scientific fisheries management
ocean currents may cause some fish populations to collapse was the dominant paradigm. The idea underlying this
and others to thrive. Some changes in fish abundance approach was that every fish population had the potential
caused by climatic or ocean shifts may happen over to produce a harvestable surplus and the largest surplus
centuries and are not apparent without data sets of a that could be harvested annually from that population
century or more. Droughts, so apparent in their ecological (maximum sustainable yield) could be estimated by
effect on the terrestrial landscape, are also important to rigorous scientific analysis (stock assessment). The job
the aquatic environment, but their effects are usually of the fisheries manager was to control fishing pressure,
much less visible. Major regional droughts, for example, using various regulations, at a level such that sustainable
are often correlated with increased upwelling of deeper, catch levels could be achieved in perpetuity. However,
nutrient-rich ocean waters that stimulate increases in fish fishing pressure, as always, was very difficult to control;
production. Even in the absence of all human activity, many fisheries ended up being overharvested, and yields
climate shifts cause the size of salmon runs to vary year- eventually declined.
to-year and decade-to-decade. In the 1970s, the concept of optimum sustainable yield
became popular, primarily in response to concerns that
EVOLUTION OF FISHERIES MANAGEMENT CONCEPTS efforts to maximize the catch in recreational fisheries
management overlooked, or at least undervalued, many
The history of fisheries management reflects the conven- important benefits that fishermen and society received.
tional wisdom of the day. During the past two centuries, Less commonly, it was also used in managing commercial
the level of ecological understanding has greatly increased. fisheries. Management goals using this approach tended
Prior to the 1800s, most people presumed that biological to weigh more heavily the quality of the fishing experience
resources from inland and marine waters were inex- or the socioeconomic aspects of fishing and to place less
haustible, given the level of harvest possible by the modest emphasis on the actual catch. Maximum benefits to society
number of people who fished and the limited effectiveness were usually achieved at catch levels below the maximum
of their fishing gear. sustainable yield.
By the mid-1800s, the idea of unlimited natural riches By the late 1900s, the trend in recreational fisheries
from inland waters and the ocean was no longer credible. management was toward species and habitat protection,
One popular approach to overcoming nature’s constraints especially in inland and coastal waters. The widespread
on sustainable harvest was to apply animal husbandry recognition that some aquatic species were at risk of
concepts, including the idea that ‘‘seeding nature’’ with fish extinction led to public pressure to reverse such trends.
produced in captivity would permit much greater levels of The main causes of the decline of fish species was habitat
fishing. Conventional wisdom held that aquaculture could alteration and introduction of nonnative fish species. Only
produce a nearly unlimited supply of fish of superior rarely was overfishing the primary cause of precipitous
quality and according to a predictable schedule, just declines in fish abundance. In fact, most endangered fish
as farmers had long achieved for domestic livestock. In species have never been fished. ‘‘Endangered species’’
captivity, fish could be fed a high quality diet, protected and ‘‘species at risk’’ legislation directed government
from predation, and the quality of the product improved agencies and fisheries managers to emphasize protecting
by selective breeding. If aquaculture performed as hoped, species above catch. Under such legislation, fishing
fisheries managers would no longer have to depend on the may be permitted only if it does not jeopardize legally
vagaries and limitations of nature for fisheries products. protected species.
For many species in many situations, aquaculture A recent trend in recreational and commercial fisheries
has worked well. Culture techniques greatly improved in management has been the emergence of the stakeholder
the late 1800s. Selective breeding created animals better approach. A stakeholder is any citizen or group potentially
adapted to life in captivity. However, the expectation that affected by, or having a vested interest in, an issue,
 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT 125

program, action, or decision. The idea behind involving hours when fishing is permissible), and gear (type of fishing
stakeholders in fisheries management is that society equipment and bait that may be used).
has a wide range of conflicting views on what fisheries Reservoirs often present additional challenges to
management goals should be; therefore, it is desirable fisheries managers because they are built for other
to include input from the full range of stakeholders in primary purposes (e.g., flood control, electricity generation,
the process of defining goals and selecting management irrigation, water storage, transportation), and these uses
measures. Fisheries management plans developed with often conflict with secondary purposes, such as achieving
stakeholder involvement, it is assumed, therefore, have a fisheries benefits for society. Water level fluctuations
higher likelihood of garnering widespread support. in many reservoirs, both daily and seasonally, which
Comanagement represents a further development of often result from electricity generation, flood control,
the stakeholder approach where some of the authority and irrigation practices, have profound consequences for
to manage the fishery is vested in the fishermen reservoir fish populations. In practice, fisheries managers
themselves or in organizations such as Indian or tribal must work collaboratively with many other groups to
governments. There are many current and proposed achieve a mix of societal benefits. Only a few of the benefits
variants of comanagement, but they all transfer a degree of from most reservoirs are associated with fish, fishing, and
regulatory authority from government fisheries agencies environmental quality.
to fishermen, associations, or other organizations. In some Management of many small lakes tends to be the
fisheries, a market is created for individual, transferable, responsibility of a single governmental or nongovern-
fishing rights. In such situations, the right to fish may be mental entity, greatly simplifying fisheries management.
purchased in an open market. Large lakes, on the other hand, tend to have more complex
A widely accepted development in fisheries manage- managements, involving multiple agencies. Such inter-
ment has been the precautionary principle. The basic jurisdictional decision-making greatly compounds fish-
concept is that decision-makers (e.g., fisheries managers) eries management problems. For example, because five
ought to err on the side of caution in managing natural nations surround the Caspian Sea, managing the stur-
resources. Often the scientific basis for fisheries manage- geon fishery (which produces highly valued caviar) sus-
ment decisions contains considerable uncertainty. Given tainably has been difficult due to the lack of a single,
the highly unpredictable future environmental and social enforceable management plan. As a result, Caspian Sea
conditions, it is wise for managers to use caution in man- sturgeon populations have dropped 90% during the past
aging fisheries. several decades.

LAKE FISHERIES MANAGEMENT RIVERINE FISHERIES MANAGEMENT

Lakes (including reservoirs formed by man-made dams) Riverine systems describe a continuum of aquatic
vary from large (Great Lakes, Caspian Sea) to small (farm systems ranging from small creeks a few miles long to
ponds, minuscule alpine pools). rivers the size of the Amazon, Mississippi, McKenzie,
Maintaining at least reasonable good water and habitat Yukon, and Columbia. One important characteristic is
quality is absolutely essential to nourishing healthy fish that many riverine systems pass through, or form
populations. Pollution control and abatement, although the boundaries between, different political jurisdictions.
typically outside the direct purview of fisheries managers, Multiple political and management jurisdictions often
are essential if management goals are to be achieved. result in unsatisfactory management of riverine fisheries
For large lakes, fisheries management involves primar- when agencies fail to cooperate toward achieving common
ily assessing, then selecting, fishing or harvest levels that societal goals.
are sustainable. Other management techniques include Rivers, especially larger ones, commonly undergo exten-
intentional introduction of nonnative species (e.g., Pacific sive habitat alteration resulting from human activities
salmon to the Great Lakes), or control of unintentional such as building dams, dikes, bridges, shipping channels,
and undesirable introductions (e.g., sea lampreys in the and waste treatment plants. Also, because of dikes and
Great Lakes). other structures, it is common to lose the connections
There are more management options for small lakes between rivers and their productive flood plain chan-
and reservoirs. Small lakes may be manipulated by nels and backwaters, habitats that often provide essential
altering water levels or habitats (e.g., improving spawning spawning and nursery areas for fish. In many cases, fish-
areas, adding brush piles to provide hiding places for fish) eries managers must work with highly altered ecosystems
or altering water quality (e.g., fertilizing low nutrient that are no longer suited for the fish species most valued
lakes, reducing the flow of nutrients into lakes that by the public.
have excessive nutrients) to increase the productivity of Harvest regulations are important in river fisheries,
desirable species. In some circumstances, improving access but habitat protection and improvement are especially
to the lake may promote greater use by fishermen. In important. Many rivers, both large and small, are severely
extreme cases, small lakes may be chemically rehabilitated polluted or altered by domestic, farm, and industrial
(e.g., all fish are removed by complete poisoning and a waste, agricultural and urban runoff; water withdrawal
desirable mix of fish species reintroduced). Regulation of for domestic, agricultural, and industrial use; siltation;
lake fishing usually involves limits on the catch (species, and riparian (streamside) alterations. Poor water quality
number, and size that may be kept), time (season and caused by pollution and lack of habitat diversity are
126 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT

often the limiting factors in developing successful fisheries Surf fishermen, crabbers, shrimp trawlers, oil extractors,
management programs in rivers. The effects of pollution shippers, boaters, swimmers, and sightseers all use the
may be very subtle and indirect. Certain pollutants, for coastal environment in ways that often conflict with each
example, may make fish more vulnerable to predation by other. Use can be intensive. There are more than 9 million
slightly reducing their ability to sense the presence of salt water recreational anglers in the United States.
a predator. A major change in coastal fisheries management
Unlike lakes, streams and rivers are flowing systems began in the 1970s as some nations extended their
that have a notable self-cleansing ability. Rapid turnover offshore management jurisdiction in an attempt to control
of water can lead to faster recovery of water quality fishing by foreign nations. In 1982, most nations adopted
than that in lakes or wetlands, where nutrients and the United Nations Law of the Sea Convention, which
pollutants may remain trapped in sediments for many recognized the 200-mile line separating the high seas
years. However, the lower, coastal sections of rivers are from waters in the exclusive economic zone of the adjacent
often slow-moving and are often long-term repositories for nation. If desired, individual nations could extend their
contaminants. exclusive economic zone to 200 miles under international
Habitat alterations that adversely affect fish are law. The United States did so in 1983. In spite of the Law of
common in riverine systems. The Colorado River of the the Sea Convention, overall fishing pressure has generally
southwestern United States, for example, is subject to remained heavy, especially in exclusive economic zones,
numerous flow diversions and is reduced to a mere trickle because domestic fleets soon replaced foreign fleets.
by the time it reaches the Gulf of California. The Columbia
River and its tributaries, arguably the most regulated
OPEN OCEAN OR HIGH SEAS FISHERIES MANAGEMENT
river system in the world, contain 250 ‘‘large’’ dams
and several thousand ‘‘small’’ ones. Such highly altered
Open ocean fisheries are those that operate away from the
habitats no longer favor native fish species, many of which
coasts and often outside of any nation’s territorial waters.
are migratory. Under these altered habitat conditions,
The two general categories of fish that are targeted in
certain nonnative fish species may prosper, and many
such fisheries are the pelagic, or open-water-dwelling, fish
native species are reduced in number or even extirpated.
and the demersal, or bottom-dwelling, fish. Pelagic fish
Small riverine systems (streams, brooks, and creeks)
species tend to feed and travel near the ocean surface.
are especially vulnerable to overfishing, habitat destruc-
Demersal fish species tend to live on the continental
tion, and the effects of land-use practices such as farming
shelves closer to shore. Tuna and swordfish are examples
and urbanization. In extreme cases, management may
of commercially important pelagic species; cod, hake,
include prohibition of fishing or, at least, highly restric-
flounder, and toothfish are important demersal species.
tive fishing regulations. At the other extreme, some large
The inadvertent capture of nontarget species (called
riverine systems, especially in their lower reaches, may
bycatch) is a serious management challenge in many
be managed similarly to large lakes and coastal fisheries.
fisheries but especially for open ocean and coastal fisheries.
Commercial fishing may be the dominant type of fishing
Perhaps a third (sometimes much more) of the catch
in many large rivers, especially in tropical areas.
is discarded by fishermen as not marketable. Bycatch
may be the young of valued sport or commercial fish
COASTAL FISHERIES MANAGEMENT species or important food sources for sport or commercial
fish species. Shrimp trawlers, for example, catch and
The marine environment immediately adjacent to land discard large quantities of small fish while pursuing the
supports coastal fisheries and includes nearshore marine, much more valuable shrimp. Various types of fishing gear
estuarine, and intertidal ecosystems. An estuary is a used by commercial fishermen can injure, and often kill,
coastal waterbody that has a free connection to the ocean, protected animals such as seabirds, marine mammals,
and alternately with the tides, exhibits characteristics of and sea turtles. For example, the indirect catch of
both fresh- and saltwater environments. Because marine dolphins in tuna fishing has led to consumer boycotts
biota move into coastal rivers, the lower, intertidal reaches and a demand for ‘‘dolphin-safe’’ tuna products. Likewise,
of rivers are often included as coastal fisheries. Intertidal devices that effectively exclude turtles from capture have
environments are particularly important as nursery areas been incorporated into the trawls used by commercial
for the juveniles of many valuable saltwater fish species. shrimp fishermen.
Coastal fisheries present an array of challenges to the Habitat alteration caused by certain fishing gear is
fisheries manager. Human population density tends to also a concern in some locations. Trawling (trawls are
be higher along the coasts, and this means that aquatic large, heavy nets dragged by fishing boats) may alter
coastal habitat is likely to be substantially altered (e.g., the physical and biological characteristics of the seabed,
sea walls, dredging, draining, and buildings) or polluted in particular sea grass beds and coral reefs, in ways
(e.g., from municipal and industrial waste, ship discharge, detrimental to the well-being of target fish populations.
and runoff). One of the greatest challenges in managing Thus, fisheries managers may have to balance how to
coastal fisheries is the loss of coastal wetlands. These minimize the habitat alteration of sea floors caused by
wetlands provide habitat for many adult fish and shellfish trawls while still permitting capture of the target species.
and are also essential breeding and rearing areas. Serial depletion of fish populations is another challenge
Coastal fisheries are also often heavily harvested, and to managers of open ocean fisheries. Typically, this means
there tend to be serious conflicts among user groups. that fishermen move to new fishing grounds as those closer
 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT 127

to home are depleted. A related type of serial depletion oceanic shifts. Runs in the northern half of the range (e.g.,
is that caused by the development and use of improved Russian Far East, Alaska, Yukon, and northern British
fishing gear that allows fishermen to exploit new fishing Columbia) are in much better condition. The northern
grounds as the old ones are depleted. A recent trend has runs have been abundant for the past several decades, but
been for open ocean fishermen to move into fishing more are likely to decline somewhat for several decades because
deep water environments as more accessible nearshore ocean conditions in the North Pacific tend to shift on such
stocks decline. a several-decade time cycle.
Open ocean fisheries management is currently in a state Striped bass, native to the East and Gulf coasts of North
of flux; intense international efforts are being exerted to America, have been introduced to the Pacific Coast and
make them economically and ecologically viable within are now found from Baja California to British Columbia.
a framework of producing sustainable, but profitable Overall, the species in its original range is less abundant
catches. For example, one challenge for fisheries managers than it was historically, but, nevertheless, catches are still
is the heavy subsidies many nations provide to commercial substantial. Some runs on the west coast of North America
fishermen which creates excess fishing capacity. In many do very well. The causes of the decline in its original range
cases, fishing would not otherwise be profitable, but are similar to those that precipitated the drastic declines
subsidies in the form of tax incentives or cash payments in salmon runs (i.e., dams, water diversions, pollution
make it cost-effective for fishermen to continue fishing. problems, and overfishing).
Thus, in many cases, the laws of supply and demand that American shad are found from the Gulf of Mexico
would tend to prevent overfishing do not come into play. up the Atlantic coast and as far north as New
Brunswick. Generally, in their native range, shad runs
are much reduced from historic times due to dams,
DIADROMOUS FISHERIES MANAGEMENT
pollution, and overfishing. American shad have been
introduced to the west coast of North America and have
Diadromous fish are those characterized by a life cycle of
done well in some rivers, especially the Columbia and
either spawning in freshwater environments and spend-
Sacramento—San Joaquin.
ing their adulthood in marine environments (anadromous
Several species of anadromous sturgeon are also of
species) or spawning in marine environments and spend-
particular concern. Some are highly prized for their
ing adulthood in freshwater environments (catadromous
roe (eggs often sold as caviar) and must be carefully
species). Diadromous fisheries represent unique chal-
managed to avoid overfishing. Other sturgeon species are
lenges to fisheries managers because target species often
at risk of extinction, and drastic national and international
cross multiple jurisdictions. Unless management efforts
measures may be required to protect these species.
are well coordinated, the combined effect of decisions by
Many other species have anadromous forms (e.g., smelt,
different jurisdictions can result in serious depletion of
alewife, blueback herring, and cutthroat, rainbow, brown,
these resources.
and brook trout) that support substantial fisheries in
Anadromous fish (e.g., salmon, American shad, striped
certain locations. In other locations, they are important
bass, smelt, and sturgeon) are important species commer-
in fisheries management because they are at risk of local
cially and recreationally. Many rivers no longer support
extinction. Like salmon, all of these anadromous fishes
major spawning runs of anadromous fish.
are extremely vulnerable to dams and other impediments
Until the 1800s, large runs of Atlantic salmon were
to migration; they are also sensitive to water diversions
found in many coastal rivers of both western Europe
and pollutants.
and eastern North America. By the middle to late 1800s,
A few species, such as American eels, are catadro-
salmon runs in the eastern United States and western
mous—they spawn in the ocean, but live their adult lives
Europe had been drastically reduced by the effects of
in freshwater. Eels are important commercial species in
overfishing, dams, and pollution. Overall, runs continue to
certain regions. They occur in rivers, lakes, estuaries,
be much reduced on both sides of the Atlantic. The largest
coastal areas, and open ocean. Their distribution ranges
remaining runs, although small by historic standards,
from the southern tip of Greenland, along the coast of
occur in eastern Canada, Iceland, Ireland, Scotland, and
North America, the Great Lakes, the Gulf of Mexico, the
the northern rivers of Norway. Aquaculture has largely
Caribbean, and as far south as northern South America.
replaced harvested wild fish as the source of Atlantic
Most of the catch is exported to Europe and Asia.
salmon for the retail market.
The seven species of Pacific salmon found on both
sides of the North Pacific also have, overall, declined AQUACULTURE
significantly from historic levels, but not as dramatically
as Atlantic salmon. Hatchery production has been used to Aquaculture continues to expand its importance in both
maintain some runs in the southern region of the range commercial and recreational fisheries management. The
(e.g., Japan, Korea, California, Oregon, and Washington). growth of aquaculture has been especially rapid during
In California, Oregon, Washington, Idaho, and southern the past decade.
British Columbia, runs have been depleted by past Food production is the most common objective in
overfishing, dam construction, water withdrawal for aquaculture. Commonly raised species are carp, Atlantic
irrigation, competition with hatchery-produced salmon, salmon, rainbow trout, catfish, tilapia, shrimp, oysters,
competition with various nonindigenous fish species, mussels, and seaweed. Currently, one-third of the total
predation by marine mammals and birds, and climatic and world food fish supply is obtained from aquaculture, and
128 FISHERIES: HISTORY, SCIENCE, AND MANAGEMENT

this portion is increasing. The amount of farmed fish fisheries managers and continue to enjoy widespread
produced worldwide has more than doubled since 1989. public support. Among the most widely introduced fish
Producing fish in captivity for subsequent stocking to species in North America are Pacific salmon; rainbow,
enhance, maintain, or initiate fishing is also important, brown, and brook trout; striped bass; walleye; small- and
especially in North America. Trout are commonly raised in largemouth bass; and bluegill. Recent trends in fisheries
the United States and Canada to support fisheries subject management have been away from introducing fish outside
to intensive recreational fishing, the so-called ‘‘put-and- their native range.
take’’ fisheries. On the Pacific coasts of North America Legislation to protect species from extinction also has
and Asia, commercial enterprises operate hatcheries to affected the management priorities of fisheries agencies.
maintain runs of salmon artificially to meet market For example, the U.S. Marine Mammal Protection Act
demand, a practice called ocean ranching. After being (1972) and the U.S. Endangered Species Act (1973) are
hatched and reared from eggs, juvenile salmon are now the legal drivers for management of some fisheries
released to migrate to the ocean, spend several years (e.g., over much of the range of Pacific salmon in the
growing to adult size, then return to the hatchery of origin United States, the primary management goal is to prevent
to spawn. At the hatchery, they are captured, and some extinction, not to increase catch).
are then spawned artificially to obtain eggs for the next Internationally, the Convention on Biological Diversity
generation. The rest are processed for market. (1992) imposes legal obligations on all signatory countries
A fairly recent development in fisheries management, to conserve their biodiversity, manage their fisheries
conservation aquaculture, uses aquacultural techniques resources in a sustainable manner, and promote fair
to produce fish threatened by extinction. These ‘‘captive and equitable distribution of the benefits of each nation’s
breeding’’ efforts may be the only hope of preserving or genetic and biological resources.
recovering certain fish species or populations when natural
reproduction is compromised.
ECOSYSTEM MANAGEMENT

SPECIES AND HABITAT PRESERVATION Beginning in the 1980s, a widespread view emerged
that managing fisheries should be broadened in scope to
By the 1990s, management objectives for many freshwater include the entire ecosystem; hence, the rise of ecosystem
fisheries in North America had shifted from optimizing management. A precise, universally accepted definition
commodity output to protecting habitat or preserving of ecosystem management has yet to emerge, but it is
imperiled species. Concerns about loss of biological generally seen as the application of ecological, economic,
diversity and biological heritage often eclipsed concerns for and social information, options, and constraints to achieve
sustaining commercial or recreational catches. This was desired social benefits within a defined geographic area
especially true for the Pacific coast salmon fisheries and and for a specified period.
fisheries in more remote, pristine areas such as national Part of the appeal of ecosystem management is that
parks and wilderness areas. it may better balance the suite of benefits (e.g., food
Overall, alteration of aquatic habitat (e.g., dam fish, recreational fish, preserving endangered species,
construction, flood control structures, dredging to facilitate and preserving ecosystems) that society values. To
water transportation, filling to create useable land, date, ecosystem management has been most commonly
sediment and pollution runoff, and acid rain) is one implemented in public forests in North America. Efforts
important cause of the tenuous status of many fish species. are now under way to apply the same concept to large
Thus, protecting fish habitat has become a prime focus of lakes and open ocean ecosystems.
many fisheries management agencies. Adaptive management, the process of improving
Nonindigenous fish species (those not native to the management effectiveness by learning from the results
area) include both exotic species (those from a foreign of carefully designed decisions or experiments, is often
land), and nonnative species (those that have expanded included in ecosystem management frameworks. The
beyond their native range), and they often adversely philosophy underlying adaptive management is the
affect valued native fish populations. Nonindigenous recognition that the ecological consequences of many
species often compete with or prey upon commercially fisheries management decisions are too uncertain to
or recreationally important fish species. They may also predict with confidence. Therefore, management decisions
hybridize with closely related native species and cause a ought to be tentative and used to learn how the ecosystem
distortion in the gene pool. Nonindigenous species have responds. The information derived from such decisions
contributed to the decline of approximately two-thirds of allows the manager to adapt future decisions to reflect
the threatened or endangered fish in the United States. what has been learned from past decisions.
Many nonindigenous fish introductions have been the Another trend in fisheries management, now commonly
result of intentionally releasing bait fish after a day’s practiced in Europe, is using the river basin as the
fishing, unintended releases from international shipping management unit. River basins, or watersheds, have
activities, and releases and escapes from the aquaculture long been used in water management and pollution
and aquarium trades. abatement but have only recently been adopted in
Not all nonindigenous fish species are perceived as fisheries management. River basins tend to be the
management problems. Many highly valued and heavily preferred geographic level of fisheries management that
harvested fish species were intentionally introduced by international organizations use.
 FACTORS AFFECTING FISH GROWTH AND PRODUCTION 129

FUTURE OF FISHERIES MANAGEMENT Cowx, I.G. (Ed.). (2000). Management and Ecology of River
Fisheries. Fishing News Books, Ltd., Osney Mead, Oxford, UK,
p. 444.
In the future, fisheries management will continue to Gullucci, V.F., Saila, S.B., Gustafson, D.J., and Rothschild, B.J.
reflect the overall values and preferences of the society (Eds.). (1996). Stock Assessment: Quantitative Methods and
within which it operates. Fisheries managers will strive to Applications for Small-Scale Fisheries. Lewis Publishers, Inc.,
produce sustainable benefits from renewable biological Boca Raton, FL, p. 527.
resources, but society’s needs will continue to evolve, King, M. (1995). Fisheries Biology: Assessment and Management.
resulting in different, and often conflicting, management Fishing News Books, Blackwell Sciences, Ltd., Osney Mead,
goals. Efforts to maintain or increase the catch are likely Oxford, UK, p. 341.
to be tempered by society’s growing interest in protecting Knudsen, E. E., Steward, C.R., MacDonald, D.D., Williams, J.E.,
the environment and preserving imperiled species. and Reiser, D. W. (2000). Sustainable Fisheries Management:
Fish and fishing will remain important factors in the Pacific Salmon. Lewis Publishers, Boca Raton, FL, p. 724.
daily lives of many people but especially so in those areas Kohler, C.C. and Hubert, W.A. (Eds.). (1999). Inland Fisheries
where animal protein from agriculture is in relatively Management in North America, 2nd Edn. American Fisheries
Society, Bethesda, MD, p. 718.
short supply. Overall, harvest pressure on most aquatic
environments will continue to increase in concert with Lichatowich, J.A. (1999). Salmon Without Rivers: A History of the
Pacific Salmon Crisis. Island Press, Washington, DC, p. 352.
rising demand for animal protein for use as human and
Murphy, B.R. and Willis, D.W. (Eds.). (1996). Fisheries Tech-
animal food and for recreation opportunities.
niques, 2nd Edn. American Fisheries Society, Bethesda, MD,
Harvest restrictions in many fisheries are likely to
p. 732.
become more constraining as fisheries managers attempt
Quinn, T.J. and Deriso, R.B. (1999). Quantitative Fish Dynamics.
to maintain sustainable yields and avoid fishery collapses. Oxford University Press, New York, p. 542.
International trade in fisheries products is likely to
Ross, M.R. (1997). Fisheries Conservation and Management.
be scrutinized to a greater degree in response to Prentice Hall, Upper Saddle River, NJ, p. 374.
perceived environmental damage caused by excessive or
Royce, W.F. (1996). Introduction to the Practice of Fishery Science,
inappropriate fishing. To counter past overfishing in the Revised Edn. Academic Press, San Diego, CA, p. 448.
ocean, for example, there is likely to be increasing public
Scalet, C.G., Flake, L.D., and Willis, D.W. (1996). Introduction to
pressure to create legally protected areas where fishing is Wildlife and Fisheries: An Integrated Approach. W. H. Freeman
forbidden (e.g., fish parks, marine reserves, and marine and Company, New York, p. 512.
sanctuaries). Sigler, W.F. and Sigler, J.W. (1990). Recreational Fisheries:
Protecting fish habitat will continue as a primary Management, Theory, and Application. University of Nevada
management goal in the future. There will be a continuing Press, Reno, NV, p. 418.
emphasis on protecting the environment in general and Templeton, R.G. (1995). Freshwater Fisheries Management.
water quality in particular. The emphasis in enhancing Fishing News Books, Blackwell Scientific, Ltd., Osney Mead,
water quality is likely to shift from controlling specific Oxford, UK, p. 241.
sources of pollution to reducing pollution from large- Welcomme, R.L. (2001). Inland Fisheries: Ecology and Manage-
scale runoff. Fisheries managers will increasingly be ment. Fishing News Books, Blackwell Scientific, Ltd., Osney
focusing on water quality enhancement and pollution Mead, Oxford, UK, p. 358.
abatement. Introduction of nonindigenous species and
genetically altered fish will be of increasing concern to
fisheries managers. FACTORS AFFECTING FISH GROWTH AND
In the future, aquaculture will likely provide a larger PRODUCTION
percentage of the total worldwide production of fisheries
products. Domestication, genetic selection, genetic engi- ROGER C. VIADERO
neering, and other technological developments are likely West Virginia University
to be employed to enhance aquacultural production. Morgantown, West Virginia

The health and subsequent growth of fish are directly

READING LIST
related to the quality of water in which the fish are raised.
In general, factors affecting fish growth and production
Arrignon, J. (1999). Management of Freshwater Fisheries. Science in freshwater aquatic systems can be classified as
Publishers, Inc., Enfield, NH, p. 582. physical, chemical/biochemical, or a combination thereof.
Avault, J.W. (1996). Fundamentals of Aquaculture. AVA Publish- The physical properties of water that are important to
ing Company, Inc., Baton Rouge, LA, p. 889. fish production and growth include temperature and
Boon, P.J., Calow, P., and Petts, G.E. (1992). River Conservation the concentrations of suspended and settleable solids;
and Management. John Wiley & Sons, New York, p. 470. important chemical parameters include pH, alkalinity,
Boyd, C.E. and Tucker, C.S. (1998). Pond Aquaculture Water hardness, and metals (e.g., iron, aluminum, calcium, etc.)
Quality Management. Kluwer Academic Publishers, Boston, The solubility of oxygen and ammonia gases, which vary
MA, p. 700. as a function of other parameters such as temperature,
Clay, C.H. (1995). Design of Fishways and Other Fish Facilities. are also key parameters in maintaining fish health.
Lewis Publishers, Ann Arbor, MI, p. 248. Recommended water quality criteria for salmonids are
130 FACTORS AFFECTING FISH GROWTH AND PRODUCTION

Table 1. Summary of General Recommended Water Table 2. Representative Optimum Temperature Ranges
Quality Criteria for Salmonidsa for Common Freshwater Fish Speciesa
Analytic Parameter Water Quality Criteria Optimum Temperature
Name Range, ◦ C
pH 6.5–8.0 standard units
Total hardness and alkalinity 10–400 mg/L as CaCO3 Coho salmon (Oncorhynchus kisutch) 11–17
Calcium <160 mg/L Rainbow trout (Oncorhynchus mykiss) 13–21
Magnesium <15 mg/L Smallmouth bass (Micropteur dolomieui) 18–24
Iron <0.1 mg/L Walleye (Stizostedion vitreum vitreum) 20–23
Aluminum <0.01 mg/L Channel catfish (Ictalurus punctatus) 25–30
Manganese <1.0 mg/L Talapia (T. mossambicia) 28–30
a
Bluegill (Leptomic machrochirus) 29–32
Reference 1.
a
Reference 1.

presented as typical chemical requirements of freshwater

fish in Table 1 (1). However, note that specific water Table 3. Dissolved Oxygen Concentration Over a Range
quality requirements are highly species dependent and of Temperaturesa,b
further references should be consulted. Dissolved Oxygen Concentration,
Water Temperature, ◦ C mg/L

TEMPERATURE AND DISSOLVED OXYGEN (DO) 0 14.62

5 12.80
Water temperature is one of the most important phys- 10 11.33
ical factors affecting fish growth and production. Fish 15 10.15
20 9.17
are cold-blooded animals which assume approximately
25 8.38
the same temperature as their surroundings. Typi- 30 7.63
cally, fish are classified broadly as cold, cool, or warm
a
water, depending on their tolerance for particular tem- Reference 8.
perature ranges. Within each temperature classification,
b
Under standard conditions in fresh water (Cl− concentration = 0 mg/L).
fish survival is bounded by an upper and lower tem-
perature, between which an optimum temperature for
growth exists. When temperatures vary outside the opti- waters via aeration systems can aid in reducing the toxicity
mum range, decreased tolerance to changes in water of un-ionized ammonia by driving the volatile gas off
quality constituents (particularly metabolites such as through mixing/aeration (9). Due to the toxicity of ammo-
ammonia) and a decrease in immunological response nia to fish, nitrogen species are presented and discussed
can occur. Consequently, decreased growth/productivity later in a separate section.
and in some cases, mortalities, may result, depending
on the magnitude of the deviation from the optimum
temperature. For example, the survivable temperature SOLIDS
range for rainbow trout (Oncorhynchus mykiss) is ∼1
to 26 ◦ C. However, depending on the reference source, Solids in water can be in either suspended or settleable
the ‘‘optimum’’ temperature range for growth is 13 ◦ C to form; each can have both direct and secondary effects
21 ◦ C (1). on the ability of water to support fish. High suspended
Representative optimum temperature ranges for com- solids concentrations, measured in the field as turbidity,
mon freshwater fish species are presented in Table 2. can irritate fish gills and thus, lead to respiratory
The survivable and optimum temperature ranges vary deficiencies in fish. Further, suspended solids can decrease
among species, so readers are referred to the comprehen- water clarity and thus photosynthesis, which can lead to
sive enumerations of temperature limitations for many adverse affects on aquatic vegetation and consequently,
freshwater fish species presented by Colt and Tomasso (2), on herbivorous fish species. High sedimentation in
Boyd and Tucker (3), Tomasso (4), Barton (5), Meade (1), natural waterways can smother fish eggs. Similarly,
and Andrews and Stickney (6). sedimentation can degrade benthic macroinvertebrate
Water temperature can also affect the solubility of gases habitats and thus have substantial adverse impacts on
which are important to fish health (e.g., dissolved oxygen insectivorous fish species (10).
and ammonia). In general, the solubility of gases decreases Organic matter is also often associated with the solid
when water temperature increases because the chemical phase; thus, high suspended and/or settleable solids
species have a greater affinity for the gas phase than concentrations can indicate sources of increased oxygen
the aqueous phase (7). For example, the dissolved oxygen demand in the water which may then lead to oxygen
concentration over a range of temperatures is presented deficiencies for fish. Further, a direct linkage between
in Table 3 (8). organic solids loading and bacterial gill disease, as
Dissolved oxygen concentrations near saturation (≥95% well as amoebae gill infestation, has been reported (11);
saturation) are recommended for fish health and produc- solid-phase organic matter serves as a host site for
tivity (1). Further, the addition of oxygen to fish culture opportunistic pathogens.
 FACTORS AFFECTING FISH GROWTH AND PRODUCTION 131

To control the effects of solids adequately on fish Table 4. Prioritized List of USEPA ‘‘Priority
growth and productivity, it is recommended that total Elements’’ and other Metals of Concern for
solids concentration be maintained at ≤80 mg/L. A Effects on Fish Growth and Productiona
comprehensive overview of solids removal technologies is Water Quality Criteria,
presented in Metcalf and Eddy (12) and Wedemeyer (13). Analytic Parameter Listed in Order of Importance
Additional representative works related to specific solids
High Mercury, cadmium, selenium
management technologies in fish culture systems include
Medium Arsenic, lead
Viadero and Noblet (14), Kristiansen and Cripps (15), Low Chromium, copper, zinc,
Summerfelt (16), and Chen et al. (17). antimony, nickel, silver,
beryllium, thallium
a
pH Reference 18.

In general, a pH of 6–9 is needed to support

instance, both ferrous and ferric iron (Fe2+ and Fe3+ ,
aquatic flora and fauna (7), though specific require-
respectively) can be toxic to fish. Ferrous iron was
ments are species-dependent. For instance, rainbow trout
reportedly more toxic to fish than ferric iron, though
(Oncorhynchus mykiss) are relatively intolerant to acidic
in well-aerated waters, Fe3+ is the dominant form of
conditions, whereas green sunfish (Lepomis cyanellus) and
dissolved iron. Ferrous iron, however, may be detrimental
Rhinichthys atratulus (black nose dace) are often found
to fish health if precipitated in large quantities as
in waters recovering from impairment related to acid
Fe(OH)2 (s), as it may ‘‘clog’’ fish gills (18).
drainage (10). Other concerns related to fish growth as
Aluminum is toxic to rainbow trout (Oncorhynchus
a function of pH include increases in toxicity of aluminum
mykiss) at lower concentrations than those of other metals
and ammonia at elevated pH (18,19).
because it can accumulate on the gills as aluminum
hydroxide and cause respiratory impairment (18). In
ALKALINITY AND HARDNESS addition, aluminum is highly toxic to trout in both
dissolved and suspended forms; however, the symptoms
of poisoning are different, depending on the form/phase
Carbonate alkalinity is a measure of water’s ability to
of aluminum. Dissolved aluminum tends to cause acute
neutralize strong acids due to the presence of carbonate
mortalities, and suspended aluminum results in more
species and is thus an important factor in buffering
chronic effects such as respiratory difficulties indicated
waters against abrupt changes in pH (7). In natural
by gill hyperplasia (26). It has been recommended that
waters, carbonate alkalinity is derived mainly from the
concentrations of total aluminum (both dissolved and
dissociation of CaCO3 (s) and is consequently, directly
suspended) be maintained at less than 0.01 mg/L for
related to water hardness. Further, elevated water
normal growth and survival of trout. However, the
hardness decreases the toxicity of metals such as copper
effects of complexation between aluminum and inorganic
and zinc through the formation of soluble metal–inorganic
ligands may abate the effect of high dissolved aluminum
ligand complexes which are typically not as readily
concentrations by rendering a fraction of aluminum less
bioavailable to fish as free metal ions (7,18,20–23). A
bioavailable than free Al3+ ions (27).
definitive recommended limit for total hardness in fish Criteria for calcium and magnesium concentrations
culture waters is not clear (22), though Heath (24) and in trout waters are based on limited data (18); com-
Meade (1) noted positive effects on fish health in waters mon recommendations include calcium concentrations
with hardness in excess of ∼400 mg/L as CaCO3 . In ≤160 mg/L (22) and magnesium concentrations ≤15 mg/L,
contrast, low alkalinities generally only contributed to though an alternative limit of 28 mg/L Mg has also been
fish stress when concentrations of CO2 , a weak acid often suggested by (28).
found in groundwater, were elevated.

NITROGEN SPECIES
DISSOLVED METALS
Total ammonia nitrogen (TAN) is comprised of two species:
The metals of greatest concern for fish growth and (1) un-ionized ammonia (NH3 ), which is highly toxic to fish
production include copper, zinc, tin, cadmium, mercury, and (2) ionized ammonia (NH4 + ), which is not believed to
chromium, lead, nickel, arsenic, and aluminum (24). The be toxic to fish (29). The widely accepted TAN limit for ‘‘no
USEPA (25) has listed several of these elements as priority effect’’ is 0.0125 mg/L NH3 -N (29–31).
water quality pollutants for human consumption of fish, Long-term exposure to subacute un-ionized ammonia
including mercury, cadmium, and selenium. Heinen(18) concentrations can decrease productivity (29,32) and
synthesized the USEPA ‘‘priority elements’’ along with change gill structure which may result in death from
other metals of concern for effects on fish growth and oxygen deficiency (11,33,34). Reduced growth of rainbow
production, as presented in Table 4. trout was observed at a concentration of 0.0166 mg NH3 -
In addition to the priority pollutants listed in Table 4, N/L. However, fish may be able to maintain sufficient
other metals, including iron and aluminum, can have oxygen uptake by changing cardiovascular and respiratory
adverse effects on fish productivity and growth. For behaviors, though activity would decrease (35,36).
132 FACTORS AFFECTING FISH GROWTH AND PRODUCTION

Water chemistry can also impact ammonia toxicity. 13. Wedemeyer, G. (2001). Fish Hatchery Management, 2nd Edn.
For example, it has been widely reported that increased American Fisheries Society, Bethesda, MD.
salinity and divalent cation concentrations may reduce the 14. Viadero, R. and Noblet, J. (2002). Membrane filtration for
toxicity of NH3 -N by altering the osmoregulatory systems removal of fine solids from aquaculture process water.
of fish and decreasing membrane permeability (29,37,38). Aquacultural Eng. 26(3): 151–169.
Soderberg and Meade (29) studied acute and chronic 15. Kristiansen, R. and Cripps, S. (1996). Treatment of fish farm
toxicity to determine the effect of calcium and sodium wastewater using sand filtration. J. Environ. Qual. 25:
545–551.
on the toxicity of un-ionized ammonia to Atlantic salmon
(Salmo salar) and lake trout (Salvelinus namaycush) and 16. Summerfelt, S. (1996). Engineering design of a water reuse
system. In: Walleye Culture Manual. S. Summerfelt (Ed.).
found that ionic strength was important in determining
NCRAC Culture Series 101, Ames, IA.
the effect of NH3 -N exposure on different species and
17. Chen, S., Timmons, M., Aneshansley, D., and Bisogni, J.
sizes of fish. Temperature and pH were also significant
(1993). Suspended solids characteristics from recirculating
water quality parameters because they affect the solubility aquaculture systems and design implications. Aquaculture
and speciation of ammonia in solution. Methodologies 112: 143–155.
to account for the effects of pH, temperature, and ionic 18. Heinen, J. (1996). Water Quality Criteria, Uptake, Bioaccu-
strength are presented in Soderberg (9) and Soderberg mulation, and Public Health Considerations for Chemicals of
and Meade (39). Possible Concern in West Virginia Mine Waters Used for Cul-
Nitrite (NO3 − ) is produced by Nitrosomonas sp. through ture of Rainbow Trout. The Conservation Fund’s Freshwater
the biochemically mediated oxidation of ammonia. Nitrate Institute, Shepherdstown, WV.
concentrations in excess of 0.55 mg/L can result in 19. Alabaster, J. and Lloyd, R. (1980). Water Quality Criteria for
methemoglobinemia, a condition in which the iron in blood Freshwater Fish. Butterworths, London.
cannot transport oxygen. As a consequence, oxygen uptake 20. Klontz, G. (1993). Environmental requirements and environ-
by fish becomes limited. mental diseases of salmonids. In: Fish Medicine. M. Stoskopf
(Ed.). Saunders, Philadelphia, PA, pp. 333–342.
21. Sorensen, E. (1991). Metal Poisoning in Fish. CRC Press,
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Agency, Office of Water, Washington, DC. 32. Smith, C. and Piper, R. (1975). Lesions associated with
11. Bullock, G. (1972). Studies on Selected Myxobacteria chronic exposure to ammonia. In: The Pathology of Fishes.
Pathogenic for Fishes and on Bacterial Gill Disease of W.E. Ribelin and G. Migaki (Eds.). University of Wisconsin
Hatchery-Reared Salmonids. Technical Paper 60, U.S. Press, Madison, WI, pp. 497–514.
Bureau of Sport Fisheries and Wildlife, Washington, DC. 33. Flis, J. (1968). Anatomicohistopathological changes induced
12. Metcalf & Eddy. (2003). Wastewater Treatment, Disposal, and in carp, Cyprinus carpio, by ammonia water. II. Effects of
Reuse, 4th Edn. McGraw-Hill, Boston, MA. subtoxic concentrations. Acta Hydrobiologica 10: 225–233.
 WATER NEEDS FOR FRESHWATER FISHERIES MANAGEMENT 133

34. Larmoyeux, J. and Piper, R. (1973). Effects of water reuse on or precipitation can be lethal. Freshwater fish vary in their
rainbow trout to sub-lethal concentrations of ammonia. Water tolerance of salinity; some species can survive in seawater,
Res. 35: 2–8. but others can tolerate less than 10% seawater. Many
35. Hughes, G. (1972). Morphometrics of fish gills. Respir. heavy metals and pesticides and their derivatives are toxic
Physiol. 14: 1–26. to fish, but some chemicals, such as mercury and PCBs,
36. Smart, G. (1976). The effect of ammonia exposure on gill are accumulated by fish to levels toxic to other animals,
structure of the rainbow trout (Salmo gairdneri). J. Fish particularly mammals and birds. Ammonia and nitrite
Biol. 8: 471–475.
can be toxic at less than 2 mg/L. Some evidence is now
37. Potts, W. and Fleming, W. (1970). The effects of prolactin available that hormones in discharge water can disrupt
and divalent ions on the permeability to water of Fundulus
endocrine function and interfere with fish reproduction.
kansae. J. Exp. Biol. 53: 317–327.
Tolerances of fish to water quality variables may vary
38. Lloyd, R. and Orr, L. (1969). The diuretic response by rainbow
among life stages; for example, eggs or larvae may tolerate
trout to sub-lethal concentrations of ammonia. Water Res. 3:
much lower salinity or concentrations of a toxic chemical
335–344.
than adults.
39. Soderberg, R. and Meade, J. (1991). The effects of ionic
strength on un-ionized ammonia concentration (technical
Point-source pollution, although not abated, is rela-
note). Progressive Fish-Culturist 53: 118–120. tively well controlled in most developed countries com-
pared with nonpoint pollution—in essence, runoff from
the watershed. Inputs of otherwise nontoxic and biologi-
READING LIST cally essential chemicals, such as nitrates and phosphates,
can have beneficial or benign effects on aquatic sys-
Bullock, G., Herman, R., Heinen, J., Nobel, A., Weber, A., and
tems. However, excessive levels of these chemicals that
Hankins, J. (1994). Observations on the occurrence of bacterial
gill disease and amoebae gill infestation in rainbow trout result from agriculture, confined animal rearing facilities,
culture in a water recirculation system. J. Aquatic Anim. Health and domestic and municipal development have dramatic
6: 310–317. effects on receiving waters and cause undesirable shifts in
aquatic ecosystem structure and function. In this regard,
it is important to recognize that many chemical inputs
WATER NEEDS FOR FRESHWATER FISHERIES to aquatic systems are not directly injurious to fish but,
MANAGEMENT by altering the composition and abundance of other biota,
indirectly influence the health and survival of fish pop-
HAROLD L. SCHRAMM, JR ulations. A common example is oxygen depletion that
U.S. Geological Survey results from planktonic algae blooms or excessive growth
Mississippi State, Mississippi of aquatic plants (macrophytes). Although the plants usu-
ally produce the oxygen needed to sustain fish and other
aquatic life, dense macrophytes or algae blooms fueled by
THE SCOPE OF FISHERIES MANAGEMENT high phosphorus concentrations can consume oxygen at
night and during reduced-light conditions and cause fish
‘‘Fishery management’’ is variously defined, but common to kills. Oxygen depletion can also occur at the end of the
all definitions is manipulating fishery resources to produce growing season when excessively abundant plant material
sustainable benefits for people. Fishery management relies dies and decomposes.
on principles of aquatic ecology but focuses on the use of
fishery resources.
WATER QUANTITY
A ‘‘fishery’’ has three components: the fish, the habitat,
and the users (people). Effective fishery management
It is obvious that fish need water, but there are aspects
embraces all three components. It is important to recognize
about water quantity that are far from obvious and
that ‘‘the users’’ often are people who catch fish for
are often overlooked by managers. In standing water
sale or recreation, but the users are not necessarily
systems, the amount of water impacts fish by affecting
consumptive. The thrust of this article, the dependency of
the types and amounts of habitats available and may
fishery management on water, necessitates a focus on the
alter thermal conditions. Declines in water level generally
habitat component of fisheries. However, no component
result in reduced areas of desirable aquatic habitat, and
is completely independent of the others, and the linkage
reduced water volume, in turn, impacts physicochemical
between people and habitat is especially influential on
conditions. Most freshwater fish spawn in relatively
fishery management.
shallow water, and drawdowns at that time can cause
spawning failures. The young of many fish find both shelter
WATER QUALITY and food in shallow water, littoral zones (the nearshore
area where rooted aquatic plants grow); dewatering these
Good water quality is essential to fish survival, growth, habitats reduces fish growth and survival and may result
and reproduction. Most fish require dissolved oxygen in year class failures. However, seasonal declines in
concentrations above 5 mg/L (parts per million), and water level can be desirable in shallow lakes where
3 mg/L is considered stressful for many warm-water fish. periodic drying of littoral zones is necessary to oxidize
Brief periods of hypoxia can be lethal. Fish survive over a accumulated organic matter and consolidate soft, detritus-
pH range of 4.5–10, and acidic inputs from mine drainage rich bottom sediments.
134 WATER NEEDS FOR FRESHWATER FISHERIES MANAGEMENT

Rivers and streams are dynamic systems in terms of Thermal enrichment, usually resulting from discharge of
amount (discharge) and level (stage) of water, but the cooling water from electric generating plants or industry,
fish endemic to these systems are adapted to the annual can benefit fish production by lengthening the growing
cycle of fluctuations. Although peak and low flows and season and may benefit users by lengthening the fishing
stages may vary from year to year, the annual cycle season. Unfortunately, adverse impacts usually outweigh
of rise and fall (the hydrograph) is rather predictable. benefits. Elevated temperatures can stress kill fish,
Alteration of the annual hydrograph, such as may occur alter their metabolic requirements, alter predator–prey
when a river is dammed for flood control or water dynamics, cause out-of-season spawning, and result in
supply, can interfere with spawning and recruitment by replacement of cool- and cold-water fish with species
decoupling river elevation and thermal cycles, preventing tolerant of warmer water. Water temperatures lower
access to essential habitats for floodplain-spawning fishes, than natural thermal conditions can also be problematic.
or failing to provide necessary current velocity for fish Coldwater, hypolimnetic discharges from reservoirs can
that require flowing water for successful reproduction. reduce aquatic production downstream, impact fish growth
River fluctuations are also important to adult stages and recruitment, and alter the fish assemblage in favor of
of many fishes. Seasonal inundation of the floodplain cold-tolerant species.
provides access to rich food supplies for many fish,
and receding waters flush nutrients, organic material,
BIOTIC POLLUTION
and biota, including small fish, into the river. As such,
this ‘‘flood pulse’’ strongly influences fish production
Introduced aquatic species are an expanding and insidious
in river–floodplain ecosystems. High river stages also
form of pollution. Introduced species arrive in waterways
connect the river to floodplain lakes that were former
by various means, including intentional but ill-advised
river channels. Connection with the river can supply
introductions. The greatest source of aquatic nuisance
nutrients to the lake and allow in and out movements of
species is intercontinental shipping. More than 160
fish. This connectivity, even if brief, unites the numerous
nonnative species have been documented in the Great
different habitats in rivers necessary to sustain the diverse
Lakes. Most, if not all, arrived in the ballast water of
fish assemblage.
large ships. These alien species can alter water quality,
change the pathways of energy and nutrient flow, alter
ALTERATION OF AQUATIC HABITATS habitats, prey on or compete with native species, hybridize
with native species, and introduce diseases and parasites.
Water is essential to fish, but it is also essential to Rarely are the effects beneficial; and most introduced
society and economic development. Natural river flows species, once established, cannot be eliminated.
are altered for flood control, navigation, hydropower
generation, water supply, and other anthropocentric
COORDINATED MANAGEMENT
purposes. Most of these purposes are accomplished by
constructing dams to impound water and regulate flows.
Most public-access waters are multiple-use resources. As
Dams are barriers to fish migrating to upstream spawning
such, fishing is just one use of a waterbody, which is
habitats and often curtail or even eliminate spawning.
especially true for the more than 10 million acres of large
Further, the lake conditions created by dams eliminate
impoundments in the United States. These systems were
habitats and flowing water essential to part or all of
built to accomplish one or more purposes—hydropower,
the life cycle of many native riverine fish. Reservoirs,
flood control, water supply, and navigation—invariably
by serving as sediment and nutrient traps and biological
directed at achieving social or economic benefits. Fishing,
filters, can reduce the nutrients and sediments available
although typically included in benefit analysis, was not
to downstream systems. The resulting oligotrophication
a primary purpose for constructing large reservoirs.
results in reduced fish production in downstream waters, a
Fulfilling the primary purposes for which the reservoir
rather ironic reversal of escalating nutrient accumulation
was built dominates reservoir operation, often diminishing
(eutrophication) common to many lakes and reservoirs.
fishery values. In the last two decades, resource managers
Sedimentation is probably the greatest threat to river
have become more sensitive to fishery needs.
and stream fisheries resources. Although sedimentation
is a natural process, excessive sediment input into
waterways results from poor land management on the SHIFTING TO MORE HOLISTIC MANAGEMENT
watershed. Sediment covers hard and rough bottoms
essential for spawning and juvenile or adult stages of The study of inland waters (limnology) is only a
many fishes. The sediment smothers bottom-dwelling little more than a century old, and modern fishery
invertebrates; many are important food sources of fish; management has been developing for only half that long.
others are important to energy cycling in the stream. As knowledge grows, perspectives and paradigms shift.
Sediment also provides an unstable substrate; thus, Fishery managers now recognize the value of managing
aquatic vegetation and bottom-dwelling animals that live fish assemblages rather than single species. Furthermore,
in and on these soft substrates are often washed away managers are realizing that lakes and rivers are not
during floods. isolated microcosms but rather part of larger watersheds
Natural thermal cycles are important to fish production, or ecosystems, and what happens on the watershed or
and ‘‘thermal enrichment’’ can be a form of pollution. in a land-water ecosystem affects what happens in the
 AN OUTLINE OF THE HISTORY OF FISHPOND CULTURE IN SILESIA, THE WESTERN PART OF POLAND 135

water. Future management of fishery resources requires Kingdom (Fig. 2). From the fifteenth century the southern
coordination and cooperation among diverse interests. part (Teschenensis and Oppoliensis-Ratiboriensis) was
called Upper Silesia and the northern (Wratislawiensis),
Acknowledgments Lower Silesia. In 1526, Silesia became a part of the
Helpful reviews of earlier versions of this manuscript were Habsburg Empire; in 1763 the entire Silesian territory
provided by Wayne A. Hubert, Robert T. Lackey, L. Esteban was incorporated into Prussia; in 1918, it was partly
Miranda, and David W. Willis. affiliated with Poland, and in 1945, Silesia became part of
Poland. Political, social, economic, and climatic variations
READING LIST distinctly affected the history of Silesian fishponds, which
for ages played a manifold role in alleviating freshets and
Dodds, W.K. (2002). Freshwater Ecology: Concepts and Environ- floods of rivers during wet periods and served as water
mental Applications. Academic Press, San Diego, CA. resources during dry years.
Hall, G.E. and Van Den Avyle, M.J. (Eds.). (1986). Reservoir This outline is based on secondary sources, chiefly
Fisheries Management: Strategies for the 80s. Reservoir the Polish literature including Czech, German, and
Committee, Southern Division. American Fisheries Society, Moravian citations. The historical data are derived from
Bethesda, MD. Encyclopedia PWN (1983–1987) (3).
Kohler, C.C. and Hubert, W.A. (Eds.). (1999). Inland Fisheries
Management in North America, 2nd Edn. American Fisheries
Society, Bethesda, MD. THE FIRST PERIOD
Lackey, R.T. and Nielsen, L.A. (Eds.). (1980). Fisheries Manage-
ment. Halsted Press, John Wiley & Sons, New York. The first development and breakdown of fishpond
Miranda, L.E. and DeVries, D.R. (Eds.). (1996). Multidimensional culture occurred between the twelfth and middle of
Approaches to Reservoir Fisheries Management. American the fifteenth century. Probably, Cistercians began to
Fisheries Society Symposium 16. American Fisheries Society, breed fish in ponds in the eleventh or twelfth century.
Bethesda, MD. Fishpond farming developed after the rivers and natural
Murphy, B.R. and Willis, D.W. (Eds.). (1996). Fisheries Tech- waterbodies had been wastefully exploited owing to the
niques, 2nd Edn. American Fisheries Society, Bethesda, MD. increasing population and strict observance of fasting.
Welcomme, R.L. (2001). Inland Fisheries: Ecology and Manage- The highest progress in fish farming occurred in the
ment. Fishing News Books, Blackwell Scientific, Oxford, UK. fourteenth century and resulted from a rapid economic
progress accompanying the growing mining industry and
developing trade. Numerous fishponds as well as the
AN OUTLINE OF THE HISTORY OF FISHPOND introduction of the carp, probably from Czech and Moravia,
CULTURE IN SILESIA, THE WESTERN PART OF allowed people to meet the religious demands. Devastating
and depopulating wars, chiefly the incursion of the Tatars,
POLAND
obstructed fishpond development. The Hussite and Polish-
Czech-Hungarian wars for the Czech throne ended the
MARIA A. SZUMIEC first period of development of fishpond culture in Silesia.
Polish Academy of Sciences Unfavorable climatic events were also responsible for this
Chybie, Poland
situation (4–6), although the outstanding development of
fishpond culture might point to the fourteenth century as
the warm climate phase.
The need for pond construction in Silesia arose from the
lack of large natural waterbodies and the long distance to
the sea. The abundance of water, benign climate, fertile THE SECOND PERIOD
soils, the growing demand for fish in the developing towns;
and the possibility of transporting fish along the rivers In the middle of the fifteenth century, pond culture
favored the development of fish farming. revived and developed till the end of the sixteenth century
The Silesian territory (Fig. 1) situated on the junction although some authors point to the sixteenth century as
of Slavonic and German nations was affected by numerous the beginning of the Little Ice Age (7). It resulted from
wars, but at the same time, it was a center where a fairly peaceful time, warmed climate, popularization of
various cultures existed (2). The political position of carp culture and also due to privileges bestowed, mostly
Silesia changed several times. From 990 to 1327–1329, upon the oligarchy, by Ladislau of the Polish royal dynasty
it belonged to Poland. The foundation of the Wratislawia of Jagiellon, the king of Czech and Hungary.
bishoprics by Bolesław the Brave, the Polish king of the Numerous ponds belonged to principalities and nobility,
Piast dynasty, in 1000 was an important moment in the also to burghers, monasteries, and peasants. At the time of
history of fishpond culture because monasteries were the the highest development of pond fish culture, some places
first to play an important role in fish culture in the Middle in the Silesian territory had the character of a lake district.
Ages. In the twelfth century, division among the sons of a Imagining the landscape at that time gives a map of a part
Polish prince from the royal dynasty of Piast gave rise to of Upper Silesia elaborated in 1725 after a significant
many Silesian principalities. reduction in pond area in this territory (Fig. 3).
In 1327–1329, the different political orientation of The fish from Upper Silesian ponds were transported
the Silesian princes caused it to affiliate with the Czech by the River Vistula to Cracovia the capital of Poland
136 AN OUTLINE OF THE HISTORY OF FISHPOND CULTURE IN SILESIA, THE WESTERN PART OF POLAND

Figure 1. Silesia from a part of Venceslaus Grodec-

cius’ map 1558–1562 (1).

where the king’s court and an increasing number of pond farming in Silesia, highlighting the abundance of
citizens created high demand for fish. In some estates, inexpensive fish in comparison with Czech, Moravian, or
the income from pond farming was estimated at 50–60% Austrian (8,10).
of total income. Pond complexes also alleviated and prevented frequent
The fish caught were distinguished as white and black freshets and floods in mountainous regions where forests
fish; pike and carp were mentioned separately (Fig. 4). disappeared owing to developing ferrous metallurgy. In
The separate rearing of fish fry in small ponds, chiefly by periods of drought, pond waters were used to irrigate
peasants, points to the high level of fish culture at that fields. Ponds were also built to reclaim marshy sites and
time. The need for the development of technologies for pond to increase the area of cropland and meadows.
construction and water leveling found response in one of
the first technical books in Polish written by Olbrycht THE THIRD PERIOD
Strumieński and printed in Cracow in 1573 (Fig. 5).
In towns, fishers’ guilds were organized to preserve the At the beginning of the seventeenth century, the fish
acquired rules of fishing in rivers and of fish trading. A farming economy collapsed, and this lasted to the middle
Czech annalist, J. Dubravius, in 1600 highly appreciated of the nineteenth century. This was above all due to
 AN OUTLINE OF THE HISTORY OF FISHPOND CULTURE IN SILESIA, THE WESTERN PART OF POLAND 137

Figure 2. Partition of Silesia in

the middle of fourteenth century.
Semkowicz, W., Szkolny Atlas Histo-
ryczny. 1932, 2nd ed., 8, Ksia̧żnica—
Atlas, Lwów—Warszawa.

the Thirty Years’ War (1618–1648) waged on a religious eighteenth century (12). However the area of ponds still
background. The war severely affected Upper Silesia. The reached 30,000 ha in Silesia, about 30% of the whole water
behavior of foreign armies passing through the territory, surface area in the region at the turn of the nineteenth
for whose protection they had been called, had the most century (Fig. 7).
devastating effects. The majority of soldiers treated this In the nineteenth century, the abolition of villein
province as enemy terrain causing enormous violence and service made the renewal of pond farming very difficult
the devastation made all inhabitants of numerous villages in Upper Silesia because the work was based chiefly
flee. The breakdown of agriculture due to depopulation on the serf system. In Lower Silesia, the area and
created hunger and pestilence. Together with a very number of ponds was reduced to a smaller degree;
high contribution paid by the regent on behalf of the they were reconstructed by hired specialists, although
Austrian Empire, these events accounted for the poverty the regulation and canalization of the River Odra by
of the region (11). The religious repression was a further Prussian authorities decreased the groundwater level and
unfavorable stress on this country. The reconstruction contributed to the disappearance of numerous irrigated
of devastated ponds was impeded by the depopulation; territories, also fishponds.
however, the centers of large pond farms were renovated A probable reason for the breakdown of the fishpond cul-
with the help of the villein service. A decrease in the level ture might also have been the cold weather that prevailed
of groundwater due to the development of coal mining in from the midseventeenth to the midnineteenth centuries
Upper Silesia dried up shallow peasant ponds (Fig. 6). whose maximum was in the midseventeenth (4,14–16).
The strengthening of the feudal social system and the The cooling, called the Little Ice Age, was also confirmed
excessive burden of villein service also affected peas- by decreasing carp sales and an increasing price of this
ant fish farming unfavorably. The primitive ineffective fish species in the Plesnensis Principality from 1690–1810
method of rearing all generations of fish in one pond (Fig. 8).
returned (12,13). In Upper Silesia, the area of ponds
decreased by 60% after the Thirty Years’ War. A further
reduction of about 20% occurred in the eighteenth cen- THE FOURTH PERIOD
tury owing to the devastating Austrian–Prussian wars
(1740–1742 and 1744–1745) (8). The high profit from A period of continuous development in pond carp culture
cereal cultivation contributed to the decline of the fish- began from the middle of the nineteenth century and
pond economy and further reduced the area of ponds in the was maintained till the present. It resulted from a fairly
138 AN OUTLINE OF THE HISTORY OF FISHPOND CULTURE IN SILESIA, THE WESTERN PART OF POLAND

Figure 3. Numerous fishponds in a part of the

Upper Silesia. (from a Jonas Nigrini map 1725,
copyright by Macierz Ziemi Cieszyńskiej, 2000).

Two groups of freshwater fish distinguished in the sixtennth century

“whitefish” “blackfish”

Bream - Abramis brama (probably also Tench - Tinca tinca

A. sapa, A. ballerus, Blicca
Crucian carp - Carassius carassius
bjoerkna)
Burbot - Lota lota
Roach - Rutilus rutilus (probably also Loach - Misgurnus fossilis (probably also
Scardinius erythrophthalmus) spined loach - Cobitis taenia)

Perch - Perca fluviatilis (probably also Wels - Silurus glanis

Stizostedion lucioperca)
Carp - Cyprinus carpio
Gudgeon - Gobio gobio
Ruffe - Gymnocephalus cernua
Figure 4. Two groups of freshwater fish distinguished Pike - Esox lucius
in the sixteenth century (elaborated by M. Kuczyński).

peaceful time at the end of the nineteenth and the an accidental transfer of larvae during a freshet from
beginning of the twentieth centuries. The expansion of spawning ponds to nursery ponds, previously plowed and
numerous studies on carp physiology and diet played an sown with clover (Fig. 9) (18).
important role, but the main impulse for the culture The observation caused him to introduce a new method
development was observations by Tomas Dubisz of of carp rearing, which ensured the abundance of food for
 AN OUTLINE OF THE HISTORY OF FISHPOND CULTURE IN SILESIA, THE WESTERN PART OF POLAND 139

carp fry and shortened the rearing period of the market

carp from 6–7 to 3 years. The effects of the fishpond culture
also increased due to the warm period from the middle of
nineteenth century (4,13). In Upper Silesia, most large
fishponds were reconstructed by making them smaller
and shallower; this created beneficial conditions for an
increase in food resources for the carp and facilitated
fish culture technology. However, during this time, large
areas of ponds that vanished were turned into land
ecosystems.
In the twentieth century, further steps in the inten-
sification of fish culture consisted of the introduction of
nitrogen–phosphorus fertilization in ponds. The applica-
tion of this method in the 1950s increased yields from
several kilograms to several hundred kilograms from 1
hectare of pond. A new intensified method of carp rear-
ing introduced in fishery practice in the 1970s was based
on greater stock densities and feeding fish pellets which
covered the requirements of fish. By this method, yields
rose to several thousand kilograms from 1 hectare. The
polyculture of carp and herbivorous fish and the aeration
of pond waters maintain proper environmental condi-
tions (19).
In recent years, great attention was paid to the
fishponds as ecosystems integrated with a catch-
ment. Methods of the semi-intensive carp production,
introduction of the polyculture with herbivorous fish
species, and limited pond fertilization should ensure the
Figure 5. Cover of the book ‘‘About Managing, Pond Building and
sustainable functioning of carp ponds in river drainage.
Stocking, Also About Digging, Water Levelling and Conducting,
Book Useful for Every Farmer’’ by Olbrycht Strumieński, 1573 (9).
Moreover, these ecosystems enrich the river drainage in
many ways (20).

Pszczyna - town
Ledziny village
- Pond
Figure 6. Numerous pond dikes in
- Pond dyke
the Principatus Plessenemsis in the
second half of the eighteenth cen-
tury (from Schlenger’s map elabo-
rated by Janczak, Nyrek, and Wia-
trowski 1961) (14).
140 AN OUTLINE OF THE HISTORY OF FISHPOND CULTURE IN SILESIA, THE WESTERN PART OF POLAND

Figure 7. Water net and fishponds in Silesia

in the first half of the eighteenth century (from
Wieland-Schubbart’s map 1736 elaborated by
Nyrek (8).

Treescore/ha Florins × 1000

3 60

52
2

44
2
36

1
28

Figure 8. Average 10-year produc-

tion and income from carp culture 0 20
1690 1710 1730 1750 1770 1790 1810 1690 1710 1730 1750 1770 1790 1810
in ponds of Principatus Plessenemsis
between 1690 and 1810. Decades of years Decades of years

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Narodowy Imienia Ossolińskich. Wydawnictwo Polskiej w Polsce Południowej. (History of the river and pond
Akademii Nauk. Wrocław-Warszawa-Kraków. fishery in southern Poland). Materiały Konferencji: Aktualne
12. Szczygielski, W. (1967). Zarys dziejów rybactwa śródla̧dowego zagadnienia gospodarki stawowej w Polsce, Ustroń-Gołysz
w Polsce (An outline of the history of inland fisheries in 1966, marzec 11–13, 19–30. Papers of the Conference:
Poland). PWRiL, Warszawa. Current problems of pond culture in Poland. Ustroń-Gołysz
13. Nyrek, A. (1992). Kultura użytkowania gruntów uprawnych, March 11–13, 19–30.
lasów i wód na Śla̧sku od XV do XX wieku. (Land use culture 18. Brzozowski, S. and Tobiasz, M. (1964). Z dziejów rybactwa
of the arable land, forests and waters in Silesia from the małopolskiego. (From the history of Małopolska fishery).
fifteenth to twentieth century), Wyd. Uniw. Wrocł., Seria Studia i materiały z dziejów nauki polskiej. PWN B 9: 1–99.
Historia, Vol. 47. 19. Szumiec, J. (1995). Effects of the diversified pond carp
14. Nyrek, A. and Wiatrowski, L. (1961). Gospodarka rybna w culture. Impact of different feeding and stock density on
ksiȩstwie pszczyńskim od końca XVII do pocza̧tku XIX w. fish production. Acta Hydrobiol. 37(Suppl. 1): 131–138.
(Fish culture in Principatus Plessenensiş from end of the 20. Szumiec, M.A. (1996). The role of carp pond ecosystem
seventeenth to beginning of nineteenth century). Zeszyty management in wetlands conservation. Acta Hydrobiol.
Nauk. Uniw. Wrocł. A 3: 6–128. 37 (Suppl. 1): 13–20.
142 FLOODS

FLOODS Wohl (2000) identifies four primary challenges in reducing

escalating flood damages. These are (1) estimating flood
STEVEN JENNINGS magnitude for a given recurrence interval, (2) accurately
EVE GRUNTFEST forecasting floods based on rapidly evolving weather con-
(from The Handbook of Weather, ditions, (3) effectively operating flood-warning and evacu-
Climate, and Water: ation procedures, and (4) establishing and enforcing land-
Atmospheric Chemistry, zoning regulations. This chapter first discusses the con-
Hydrology, and Societal texts and causes of flooding, the first two points addressed
Impacts, Wiley 2003) by Wohl (2000). The second topic is the complex human
responses to floods, points 3 and 4 of Wohl (2000). Many of
these topics are illustrated with examples of floods.
INTRODUCTION

The interface between humans and hydrologic features DEFINITION OF FLOODS

across Earth’s surface has helped shape human culture.
From the earliest agricultural, complex societies estab- Streams are linear water features that flow under the
lished along some of the great rivers of the world to the impetus of gravity. The amount of water contained
bustling seaports of today, humans have gained from the in a stream is usually regulated by contributions of
myriad advantages of living in proximity to water. Fertile groundwater and surface runoff to the stream channel
soil, ease of transportation, and availability of resources (Zaslavsky and Sinai, 1981; Knighton, 1998). Much of
(both materials and energy) have allowed for the develop- the time water in a stream flows within the confines of
ment of complex material and intellectual cultures. The its channel. When inputs of water increase sufficiently,
relationship between water and humans also brings a stream discharge leaves the stream channel and covers
great deal of risk. Flooding is one of these risks. The all or parts of the adjacent floodplain. Since the floodplain
impact of floods on humans has been evident from Genesis surface is usually a virtually flat surface and near the
to tonight’s evening news. Early Mesopotamian maps may elevation of the stream channel, water can easily spread
have been drawn to facilitate the reestablishment of prop- over the floodplain once water exceeds the elevation of the
erty lines after flooding. While the impacts of flooding on stream’s banks. Most floods develop over a period of days
humans have been positive in the case of fertile floodplains or months as discharge increases gradually (Hirschboeck,
that support much of the world’s agricultural productiv- 1987, 1988). Flash floods by contrast occur suddenly with
ity, there is the potential for a great deal of negative little warning and are of short duration. Semiarid and
impact (Brown, 1984; Clark et al., 1985). Losses of life and arid areas are likely to experience flash floods (Reid and
property have focused the efforts of scientists, engineers, Frostick, 1987; Hassan, 1990). Flooding is not always
and government agencies on the prediction, control, and associated directly with stream channels. Flooding occurs
mitigation of floods and flood damage. any time when water covers a surface that is normally not
In spite of efforts to deal with flooding problems, under water. Flooding can occur in coastal areas, low lying
monetary losses continue to rise at an alarming rate. areas with poor drainage, or locations with inadequate
In Venezuela in December 1999, two weeks of heavy rain urban drainage systems.
resulted on December 15th in flash floods laden with
soil, vegetation, and debris. Damages of US$3.2 billion,
FACTORS THAT LEAD TO FLOODING
or 3.3% of the country’s gross domestic product were
reported. At least 20,000 people were killed. Generally,
Floods have a multitude of causes. Some causes are related
the number of lives lost due to flooding remains high.
to what would be considered natural processes that would
However, improvements in flood warnings particularly for
occur whether humans are present or not. Many causes
major large-scale storms such as cyclones and typhoons
have been affected by human activities. In some cases
have had dramatic effects. The severe 1991 cyclone in
the severity of floods and the types of damage are a
Bangladesh resulted in 140,000 dead and property losses
direct result of agriculture, urbanization, and the areas
of US$2.0 billion. A cyclone of similar intensity in 1993
selected for development. In all cases flooding is related to
resulted only in the loss of 126 lives. The early warnings
increased discharge in stream channels.
and cyclone shelters accounted for the major improvement
(www.ndndr.org). China has also witnessed a reduction in
Saturated Soil
the number of lives lost to floods. While 3000 people died
in 1998 floods, the 1998 floods were as great as those of Much of Earth’s surface is covered by a weathered
1931 and 1954 where the loss of lives was 145,000 and cover of regolith. Whether forming a true soil with well-
33,000, respectively (www.ndndr.org). In October 1998 developed horizons or a weakly developed detrital cover,
hurricane Mitch was the worst in the eastern Caribbean the regolith is composed of a mix of mineral particles,
since 1780 when a hurricane killed 22,000 people. The organic fragments, and pore space. Commonly, much of
death toll from Mitch is reported as 11,000. More than 3 the pore space is filled with air and to a lesser extent
million people were left homeless or were severely affected water. When large amounts of precipitation are received
(www.ncdc.noaa.gov/ol/reports/mitch/mitch.html). in a region, the pore space fills with water as the input
Floods take a variety of forms with the interplay of sev- of water from precipitation exceeds the output of water
eral factors leading to the inundation of normally dry land. from the soil column to the water table. Decreases in
 FLOODS 143

(a) (b)

Figure 1. Quebrada San Julián

upstream of Caraballeda showing
evidence of recent debris flows and
flash floods. Note the high slope
angles, large numbers of debris flow
scars, and abundance of new allu-
vium and colluvium in the channel
bed and fan surface.

infiltration lead to increases in runoff. The lag time River in China has led to increased flooding. Half a bil-
between the precipitation event and the arrival of water lion people, or 45% of China’s total population, reside
to stream channels decreases significantly when soil on the banks or floodplains of the Yangtze and the area
saturation occurs. As a result, peak discharge increases produces about 42% of China’s gross domestic product.
significantly and the likelihood of overbank flow is high In 1998, 79.6 million people in three Chinese provinces
(Smith and Ward, 1998). Spatially, soil saturation may were affected by repeat flooding on the Yangtze. The
occur over large-scale basins, which leads to flooding in floods killed more than 3000 people. Fourteen million
large areas. The peak discharge flows downstream and people were evacuated and 21 million were made homeless
becomes concentrated in higher order streams causing (Weather.ou.edu/spark/AMON/v2 n3/News/DR 980819-
flooding. In many cases saturation follows a period of high China12.html).
amounts of precipitation over a prolonged time period,
possibly weeks or months (Wolman and Gerson, 1978; Topography
Ward and Robinson, 1990).
Topography will influence the rate at which precipitation
will be incorporated as stream discharge (Patton, 1988).
Basin Characteristics Steep, rocky canyon walls have low infiltration rates as
well as a great deal of potential gravitational energy that
Surface characteristics influence infiltration and runoff leads to the concentration of discharge during a short
rates (Roberts, 1989; Kuhnle et al., 1996). Impervious period of time (Strahler, 1964). Alluvial plains usually
surfaces such as exposed bedrock or a paved road acceler- have a much longer lag time between a precipitation
ate surface runoff, thus decreasing lag time between the event and the introduction of runoff water into a stream
precipitation event and entrance of water into a nearby channel. When land cover on steeper slopes is affected
channel. Urbanized areas, therefore, with large percent- by perturbations such as wild fire or building-related
ages of impervious surface such as roofs, streets, and oversteepening of slopes, the likelihood of mass movement
parking lots coupled with an engineered drainage system events is greatly increased. These events are usually
designed to move water quickly to stream channels greatly related to unstable regolith on steep slopes, which is
increase the chances that some flooding will occur after a susceptible to failure when sufficient precipitation is
significant precipitation event (Wolman, 1967; Hammer, received. For example, see Fig. 1.
1972; Roberts, 1989; Newson, 1992). Conversely, rural
areas with large areas of soil, natural vegetation, and
High Amounts of Precipitation
the potential for a faster infiltration rate are less likely
to have significant flooding resulting from a single pre- Flooding is created by the delivery of larger than normal
cipitation event. Removal of as much as half the forest amounts of runoff into stream channels (Smith and
cover and a decrease of marsh land along the Yangtze Ward, 1998, p. 67). Periods of above-average precipitation
144 FLOODS

lead to floods. In some cases seasonal variability leads be conveyed in the channel but is spread across the
to great fluctuations in stream discharge. Wet–dry floodplain. Wet periods are related to synoptic conditions
subtropical or monsoonal climates with distinctive seasons such as the position of the polar front that delivers
of precipitation lead to fluctuations from dry stream cyclonic storms in quick succession. Poleward migration of
channels to potential flooding events. These cyclical events subtropical air masses over continental areas such as the
are related to large-scale atmospheric circulation patterns Mississippi River Basin help to supply large amounts of
that operate through an annual or longer period. In the water to be precipitated by frontal activity. For example,
midlatitudes, the annual migration of subtropical high see Fig. 2. In some locations rainfall may fall on snow-
pressures and the polar front lead to distinct precipitation covered or frozen ground (Thomas and Lamke, 1962).
patterns. In the tropics, monsoonal flow can lead to These waters are unavailable to the hydrologic cycle as
large precipitation events (Milne, 1986). On longer time long as they remain in a solid form. In the case of
scales El Niño and La Niña events are persistent over the former, rainfall may accelerate the introduction of
several years and can lead to wet or dry conditions over water into the stream network as snowmelt augments the
large areas of Earth’s surface from the Equator to the precipitation already being received (Kattelman, 1990;
midlatitudes (Waylen and Caviedes, 1987; Pearce, 1988; Naef and Bezzola, 1990; Caine, 1995). The latter will
Ely et al., 1994). greatly decrease the infiltration capacity of the soil causing
most of the precipitation to quickly enter the stream
Extended Wet Periods network (Horton, 1933).
In many cases flooding is caused by the reception of
Decaying Tropical Cyclones
precipitation over an extended time period, on the order
of weeks to months, that leads to the saturation of soils Some of the largest precipitation amounts received as
in a large-scale region (Rodda, 1970b; Smith and Ward, the result of a single meteorological event have been
1998). This saturation leads to increased runoff at a time associated with the movement of tropical cyclones (e.g.,
when streams are at capacity (Ward and Robinson, 1990). hurricanes, cyclones, and typhoons) poleward and over
Additional water introduced to stream channels cannot continents. These powerful cyclonic storms carry large

(a) (b)

(c) (d)

Figure 2. These scenes show various sections of the Mississippi River near St. Louis before and
just after the 1993 floods, which peaked in late July/early August. The images show the area
as seen by the LandSat Thematic Mapper (TM) instrument. The short-wave infrared (TM band
5), infrared (TM band 4), and visible green (TM band 2) channels are displayed in the images
as red, green, and blue, respectively. In this combination, barren and/or recently cultivated land
appears red to pink, vegetation appears green, water is dark blue, and artificial structures of
concrete and asphalt appear dark gray or black. Reddish areas in the scenes during the flood
show where water had started to recede, leaving barren land. See online version for color.
 FLOODS 145

Figure 4. Arizona flash flood, Wenden, Arizona. This community

was flooded twice in late October 2000 when waters from
Centennial Wash swept into the town. (Photo courtesy of U.S.
Figure 3. Water and sand washed inland to make travel difficult Small Business Administration).
in North Topsail Island, North Carolina, after hurricane Fran.

precipitation concentrated in a small geographical area

amounts of warm moist air over land surfaces. While wind can have catastrophic results.
speeds associated with these storms decrease quickly after
landfall, these decaying storms are capable of delivering Quick Snowmelt
precipitation over wide areas during a relatively short The storage of water in the form of snow temporarily
period of time, on the order of days to weeks. In some removes that water from the hydrologic cycle. In many
cases cyclonic storms associated with the polar front may cases this sequestration of water is short term. Snow
exacerbate conditions by introducing a lifting mechanism accumulates during winter especially at higher elevations
that leads to increased condensation and precipitation. and latitudes. With the onset of warmer spring and
The relatively low-lying coastal plain of eastern North summer conditions, snowmelt supplies water to streams.
America is especially susceptible to damage from these A typical early warming may mean that snowmelt may be
types of storms (Bailey and Patterson, 1975; Hirschboeck, accelerated with large amounts of runoff entering stream
1988). For example, see Fig. 3. In 1998 hurricane Mitch channels. Mountain ranges in mid-latitude coastal regions
produced as much as 50 to 75 inches of precipitation in such as the Coast Ranges and Sierra Nevada of California
some areas of Central America. At least 11,000 deaths receive a significant portion of their annual precipitation in
were associated with hurricane Mitch and more than 3 the form of snow. It is possible for warm early spring rains
million people were left homeless or were severely affected to fall on the snowpack, causing much faster runoff than
(www.ncdc.noaa.gov/ol/reports/mitch/mitch.html). normal (Bolt et al., 1975; Church, 1988). Another source
of snowmelt is the subsurface introduction of heat from
Intense Thunderstorms volcanic activity. Large volcanoes can be high enough to
support permanent snow and ice cover. High temperatures
Thunderstorms are usually intense, short-lived storms
associated with volcanic activity lead to the instantaneous
that produce high winds, hail, and heavy rainfall.
melting of snow and ice. The melt water is commonly mixed
These storms can be caused by convection in moist
with pyroclastic debris to form lahars (Smith, 1996).
tropical air masses over continental surfaces or fast-
moving cold fronts that displace those moist air masses
Failure of Flood Control Structures
(Hirschboeck, 1987). When these storms develop over
mountainous areas where the precipitation is concentrated A variety of humanly constructed structures are used
by the topography the potential for large, catastrophic in an effort to limit the extent and severity of flooding
floods is great (Hall, 1981). For example, see Fig. 4. (Gregory, 1995). Dams and levees are common flood
The eastern slope of the Rocky Mountains and the control structures designed to contain water within
southwestern deserts of North America are common designated areas (Brookes, 1985, 1988). These structures
locations for the development of thunderstorms. As moist can fail because of construction errors, poor design, and
air encounters higher elevations in these locations, it overtopping by water (Biswas and Chatterjee, 1971; Costa,
is forced to rise. Unstable atmospheric conditions are 1988). Flood control structures can fail because of the
created as mountain slopes heat and in turn heat the failure of a key component. For example, a spillway that
atmosphere. Adiabatic cooling causes condensation and erodes away has the potential to lead to the catastrophic
the development of large cumulonimbus clouds that can failure of the entire dam as the water cuts downward.
reach the upper altitudes of the troposphere. Sometimes Sound structures may fail when the water retained by
there is little movement associated with a thunderstorm or the structure exceeds the height of the structure. Large
thunderstorm complex, with respect to the ground; heavy precipitation events or the displacement of water in a
146 FLOODS

reservoir have the potential to send water flowing over the flooding. Half of these communities have been developed
flood control structure (Kiersch, 1964). This may lead to since the early 1970s (Burby, 1985; Montz and Gruntfest,
the failure of the structure through erosion. Flooding may 1986; Alexander, 1993).
be exacerbated by these structures since a feature such Many of the people at risk do not understand the
as a levee tends to raise the stream level well above the potential consequences of the hazards they face. In the
floodplain. When a levee fails, a large amount of fluvial United States, flood damages exceed $2 billion annually.
energy is concentrated through that break and a great Only 20 to 30% of eligible structures are insured against
deal of damage can occur near the break. flooding. Federal and state disaster assistance accounts for
most of the difference. In the United States, almost two-
Cyclonic Storm Created Surges thirds of the residential flood losses result from events that
occur once every 1 to 10 years, even though the 100-year
In low-lying coastal locations a temporary increase in sea
floodplain regulation is standard (Alexander, 1993).
level associated with the approach and landfall of storms
In the United States, floods tend to be repetitive
with significantly high winds and low central pressure can
phenomena. From 1972 to 1979, 1900 communities were
cause significant damage. Sea level rises in response to low
pressure as it passes over ocean surfaces. Additionally, the declared disaster areas by the federal government more
upper portion of the water column is pushed into waves by than once, 351 were inundated at least three times, 46 at
the high winds. Storm surges can be more than 5 m above least four times and 4 at least five times. As of 1993, the
the normal high tide (Rappaport, 1994). In some areas United States was said to spend $9 billion a year on flood
such as bays coupled with low-lying deltas, like the Bay of control and $300 million on flood forecasting (Alexander,
Bengal and the mouth of the Ganges, where storm energy 1993; Conrad, 1998).
is concentrated, storm surges can reach high levels causing
significant flooding (Frank and Husain, 1971; Murty and Definitions of Structural and Nonstructural Measures
Neralla, 1992). Barrier islands are also susceptible to Adjustments to floods can be broadly classified into
flooding by storm surges. Development on barrier islands structural and nonstructural measures. Nonstructural
along the southeastern coast of North America has led to approaches involve adjustment to human activity to
rising property damage related to storms. accommodate the flood hazard (White, 1964; James, 1975;
White, 1974) whereas structural methods are based on
Mass Movement Events flood abatement or the protection of human settlement
A variety of mass movement events, while strictly not and activities against the ravages of inundation.
fluvial events, behave in a similar way to floods (Carson, Structural change involves modification to the built
1976). The gravitationally fueled downhill movement of environment to minimize or eliminate flood damage
poorly consolidated regolith results from the introduction directly or flood channel construction changes. For
of meteoric water that adds weight and decreases hillslope example, see Fig. 5. Structural measures are expensive.
cohesion. These events can do significant damage. Several They may give the illusion of security but the record
types of mass movement events are composed of a larger shows otherwise (Alexander, 1993). The security can be
percentage of sediments than a typical stream. Events temporary. A flood can occur that is bigger than the design
such as mudflows, or lahars, commonly may approach the of the channel or levee, and changing priorities in flood
viscosity and velocity of streams. Valleys can be filled with control projects that require higher reservoir levels for
fine-grained sediments as the deposits dewater following recreation or water supply can diminish the efficacy of
the initial surge of water and sediment. A variety of factors structural measures (Williams, 1998).
lead to mass movement events. The removal of plant cover The failure of structural flood control works poses a
by fire may expose soil surfaces so that infiltration rates significant threat to the lives of the people who live
may increase and lead to the accumulation of water along
failure planes in the regolith. In areas with a subtropical
wet–dry climate, such as the Mediterranean climate type,
the burning of plant cover during the dry season and
a subsequent wet season before the reestablishment of
plant cover leads to mass wasting events (Rice et al., 1969;
Campbell, 1975).

Human Responses to Flooding

There are no accurate estimates of the population in
the world’s floodplains. Even in the United States, only
broad estimates are available, but the trends to increased
vulnerability are clear. In 1955 U.S. floodplains had 10
million occupants. Thirty years later the number doubled
to 20 million and by the mid-1990s about 12% of the
national population lived in areas of periodic inundation.
One sixth of the nation’s floodplains are urbanized, and Figure 5. Elevated home in West Virginia is a mitigation success
they contain more than 20,000 communities susceptible to story. Risk is greatly reduced to homes elevated before a flood.
 FLOODS 147

downstream from a massive structural project such as Rating System, established by the Federal Emergency
a dam. More than 2000 people died in 1969 in Italy Management Agency (FEMA), that allows them to show
when the Vaiont Dam collapsed (Blaikie et al., 1994). innovative strategies to reduce flood losses in return for
Because of stringent engineering standards and a system lower insurance premiums for floodplain residents.
of inspections, the United States has seen few major Before a community can participate in the flood
failures. However, many structures are at the end of their insurance program, the flood hazard must be recognized,
design lives of 50, 75, or 100 years. assessed, and mapped. These assessments include flood
Structural flood control is still the dominant idea in history, cost and types of past flood damages, maps of
many parts of the world. Following the 1927 Mississippi the limits of the 100-year flood (or other designated flood)
River floods, when river levees collapsed and 200 people on a topographic map, compilations of profiles and cross
died, 700,000 were displaced, and more than 135,000 sections of the river to show the levels of past floods,
buildings were damaged (Moore and Moore, 1989), the and compilations of flood frequency curves and locally
Army Corps of Engineers did not abandon its dream of representative hydrographs.
controlling all floods. Rather, it proposed building large FEMA works with the state and community govern-
dams upstream to reduce flood peaks to the capacity of the ments to identify their flood hazard areas and publishes
floodway between the levees (Williams, 1998). a Flood Hazard Boundary Map of those areas. When a
Until the 1970s, most flood loss reduction efforts community joins the NFIP, it must require permits for
involved structural solutions. Although nonstructural all construction or other development in these areas and
measures were discussed as alternatives, they were rarely ensure that the construction materials and methods used
implemented. The shift from mostly structural to mixed will minimize flood damage. However, there is not careful
structural/nonstructural measures began in the 1970s and monitoring to be sure that reducing flood hazard in a par-
continues today. The mix of adjustments varies for each ticular area does not increase flood potential elsewhere.
situation. In Europe almost all measures that are taken Often, the problems are just shifted to different locales.
have elements of combined structural and nonstructural In return the federal government makes subsidized flood
measures. There has also been a move to be antistructural. insurance available to those whose structures were in the
Some dikes are being removed in favor of nonstructural flood hazard area prior to issuance of the flood maps. All
or more environmentally sensitive techniques (Smith and others are eligible for flood insurance at actuarial rates.
Ward, 1998). FEMA issues a Flood Insurance Rate Map after the Flood
Nonstructural measures include floodproofing, land- Insurance Study of risk zones and elevations has been
use planning, soil bioengineering, warning systems, prepared (http://floodplain.org/Jan32.htm).
preflood mitigation efforts, and insurance. The simplest
nonstructural measure is to accept the loss. Another Acquisition and Relocation
nonstructural measure is to provide postflood relief.
Protection of floodplain residents and users, and the The most effective measure to reduce losses is to keep the
supply of relief when they suffer damage, are forms of floodplains free of development. However, in many river
hidden subsidy (Alexander, 1993). This category includes valleys in the world, it is too late for that option. One
aid provided by the Red Cross, voluntary organizations, of the most promising strategies for reducing flood losses
and governmental agencies. is the public acquisition of developed land susceptible to
Nonstructural measures include flood insurance and flooding (Conrad, 1998; www.fema.gov/mit/homsups.htm).
land-use management, acquisition and relocation, flood- The authorization for U.S. federal cost sharing for
proofing, preflood mitigation preparedness, outdoor warn- relocation is more than 30 years old. However, only
ing systems, and soil bioengineering. recently have communities, tired by chronic flooding,
taken advantage of funding packages and relocated. In
one case, the entire town of Valmeyer, Illinois, was
DISCUSSION OF NONSTRUCTURAL MEASURES relocated. The town had a long history of floods. In
1943, 1944, and 1947 unusually high levels of the
Flood Insurance, Floodplain Mapping, and Land-Use Mississippi caused flooding in the nearby bottomlands
Ordinances affecting Valmeyer. After the 1947 floods, the U.S. Army
Corps of Engineers raised the levees protecting the reach
In 1968 the U.S. National Flood Insurance Program of the flood-plain to 47 ft. On August 1, 1993, the flood
(NFIP) was launched. It made affordable insurance overtopped the levees inundating Valmeyer, prompting its
available to residents in flood-prone areas. In 1999 ultimate relocation. Since 1993 nearly 20,000 properties
more than 18,000 communities belonged to the program. in 36 states and one territory have been bought out
Participating local governments require developers to and over 25,000 families have moved from floodplains
meet minimum standards designed to avoid damages that (http://www.nwf.org/nwf/pubs/higherground/intro.html).
might be inflicted by a catastrophic 100-year flood. The
program also requires property owners to purchase flood
Floodproofing
insurance to receive a federally insured mortgage (Myers,
1996). Flood insurance is a means for placing some of the Floodproofing is a range of adjustments aimed at reducing
burden of losses onto the people who take (or make) the flood damages to a structure or to the contents of buildings.
risk, namely the floodplain users and residents (Alexander, There are three categories: (1) raising or moving the
1993). Communities can participate in a Community structure; (2) constructing barriers to stop floodwater from
148 FLOODS

entering a building; and (3) wet flood proofing (U.S. Army many agencies and users find the data useful for
Corps of Engineers, 1997). alternative purposes.

Detection and Response Warning Systems Soil Bioengineering

Anchored plantings along stream banks serve as the basis
New technological advances in stream and rain gage net-
for this technique. Soil bioengineering and biotechnical
works and the increased regional floodplain management
engineering are cost-effective and environmentally com-
efforts have led to the adoption of thousands of local flood-
patible ways to protect slopes against surficial erosion and
warning systems. Many are simple detection systems and
shallow mass movement. These approaches provide alter-
do not provide any mechanism for alerting the population
natives to structural channel ‘‘improvements.’’ They raise
at risk. In the United States until the 1990s warning or
questions about the notion of why engineers ever consid-
detection systems were planned and administered primar-
ered that concrete-lined channels should be considered
ily at the local level.
‘‘improved’’ (Gray and Sotir, 1996). Generally, bioengi-
Since then, the federal government including the
neering solutions must also include a strategy to carry
Bureau of Reclamation, the U.S. Army Corps of Engineers, floodwaters away.
the National Oceanic and Atmospheric Administration, The bioengineering technique is gaining support
and the Federal Emergency Management Agency have throughout the United States and Europe. It is less
actively participated in the installation and maintenance expensive to install and less expensive to maintain as
of detection and warning systems. Many systems are still well. The broader adoption of soil bioengineering may
managed by regional or local entities, but the percentage radically alter floodplain management.
of federal dollars has increased substantially. Standards
have also been established to help make the systems Combined Structural and Nonstructural Measures to Reduce
more compatible across regions (U.S. Department of Flood Losses
Commerce, 1997).
An automated integrated network of stream and rain From the first attempts to reduce flood losses in the United
gages is being used in more than 1000 communities in the States, structural measures were preferred for three main
United States to help provide lead time for floods. Most of reasons: (1) their benefits appeared to be relatively easy to
the systems are developed through collaborative efforts of measure, (2) they did not require extensive and politically
many agencies. These ALERT systems (automated local controversial land-use planning, and, (3) the federal cost-
evaluation in real time) have performed many functions sharing agreements encouraged communities to select
other than flood warning, including helping in water the most expensive engineering projects. These reasons
supply decision making, fire weather forecasting, pollution were supported by a faith in the technology of structural
monitoring, and providing data for river recreationists measures to protect people and property from floods.
(Gruntfest and Huber, 1991). The availability of real- The record now shows that in spite of massive
time data on the Internet also has increased interest in expenditures, flood losses have continued to rise. Since
these monitoring systems (Gruntfest and Weber, 1998). the 1960s, especially in the United States, there has been
The State of Arizona is developing a network for flood a call for a shift from primarily structural measures to
warning throughout the state. More than 30 agencies and control floods to nonstructural measures (Galloway, 1994;
communities are working together on the comprehensive Larson, 1996; Williams, 1998). Land-use control is one of
ALERT system (http://www.alertsystems.org/saas/). the most effective ways of reducing flood hazards. Statutes,
Warning systems may be nothing more than ‘‘cheap ordinances, regulations, and compulsory purchases can be
payoffs of the raingods.’’ Too often communities install employed and relocation can be subsidized. A floodway left
rain gage/stream gage monitoring systems without a plan undeveloped through the city can become beautiful public
for getting the warning message disseminated. A warning open space.
system is only necessary once poor land-use decisions
have been made, allowing people to settle in harm’s way. CONCLUSION
Many of the systems being built are not being adequately
maintained to be reliable (Gruntfest and Huber, 1991; Floods are generally caused by the combination of large
Parker and Fordham, 1996). Public education encouraging amounts of precipitation and basin topography. For
people to heed environmental cues is also being used. It example, saturation of soils caused by large amounts
is particularly difficult to provide adequate lead times for of precipitation can lead to flooding. Urbanization of a
flash floods. Some communities do have drills to test the drainage basin increases the amount of runoff reaching a
reliability and completeness of their systems to be sure channel and decreases the lag time between a precipitation
the systems will operate when the conditions warrant. event and peak flow. A variety of weather events lead to
As of 2001 a combination of factors increase the flooding, including extended wet periods, decaying tropical
likelihood that automated detection systems may become cyclones, intense thunderstorms, and quick snowmelt. In
more popular and more valuable. More powerful, less some cases humanly constructed structures designed to
expensive computers, and World Wide Web access prevent flooding collapse, causing flooding or accentuating
provide opportunities for inexpensive real-time weather flooding. In low-lying coastal areas storm surges may cause
data. While real-time stream and rain gage networks significant flooding. Mass movement events are similar to
may be originally installed for flash flood forecasting, flooding, although the proportion of sediments to water
 FLOODS 149

is larger than an alluvial flood with the outcome just People at Risk, Taxpayers and the Environment. National
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Washington, DC, June 1994.
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P.C. Patton (Eds.). John Wiley & Sons, New York, pp. 51–64. http://www.usace.army.mil/inet/functions/cw/cwfpms/
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STEFANO PAGLIARA
Smith, K. (1996). Environmental Hazards: Assessing Risk and
Reducing Disaster, 2nd Edn. Routledge, London. PIETRO CHIAVACCINI
Strahler, Alan N. (1964). Quantitative geomorphology of drainage Universitá di Pisa
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Hydrology. V.T. Chow (Ed.). McGraw-Hill, New York, pp.
440–474.
Thomas, C.A. and Lamke, R.D. (1962). Floods of February 1962 INTRODUCTION
in southern Idaho and northeastern Nevada. US Geological
Survey Circular 467: 30. Flood control structures are necessary to diminish
U.S. Army Corps of Engineers. (1997). Flood Proofing Techniques, the effects of excess water in streams. They can be
Programs and References. Available from Corps at CECW-PF, distinguished in structures that provoke a reduction of
20 Massachusetts Avenue, NW, Washington, DC, p. 26. peak flows and in structures that divert floodwaters
U.S. Department of Commerce, National Oceanic and Atmo- through flood bypasses. Sometimes levees can also be used
spheric Administration, National Weather Service, Office of to control flood events.
Hydrology. (1997). Automated Local Flood Warning Systems
Handbook, Weather Service Hydrology Handbook No. 2, Febru- STRUCTURES ABLE TO REDUCE PEAK FLOWS
ary, Silver Spring, MD, unpaged.
Ward, R.C. and Robinson, M. (1990). Principles of Hydrology, 3rd They can be divided into retarding basins and reservoir
Edn. McGraw-Hill, Maidenhead. flood storage.
Waylen, P.R. and Caviedes, C.N. (1987). El Nino and annual
floods in coastal Peru. In: Catastrophic Flooding. L. Mayer and
Retarding Basins
D. Nash (Eds.). Unwin Hyman, pp. 57–77. The purpose of a retarding basin is to prevent flooding by
Williams, P. (February, 1998). Inviting trouble downstream. Civil controlling peak flows from storms to a level that could be
Engineering, pp. 50–53. safely carried by the downstream system (1).
 FLOOD CONTROL STRUCTURES 151

It consists of a dam placed immediately upstream from

Inlet flow Qmax in
the reach to be protected, preferably in an area where a
great water volume is obtained with a small dam (2). The Qmax out
outlet discharge is generally regulated by valves or gates.
The effect of a storage reservoir can be described with the Q Outlet flow
equation of continuity:
dV
Qin (t) − Qou (t) = (1)
dt
where Qin is the inlet discharge, Qou the outlet discharge, t
and V the stored volume of water. Generally, the outlet Figure 2. Effect of a retarding basin on flood discharge.
discharge is a function of the water depth in the reservoir.
A schematic draw of a storage reservoir is shown in Fig. 1,
whereas the effect of water discharge is illustrated in reservoirs, or where a reservoir site immediately upstream
Fig. 2. It is evident by a reduction of the peak flow and a from one damage center provides more economical
modification of the duration of the flood event. protection than local protection works, reservoir flood
The type of the outlet should be chosen with respect storages should be considered. These structures permit
for the storage characteristics of the reservoir and the storage of a portion of the flood flow in a selected area,
nature of the flood problems. An ungated sluiceway is generally placed laterally to the river. The reservoir is
more preferable than a spillway operating as a weir, even fed with a lateral weir (Fig. 3). The release of the volume
if the latter is necessary for emergency discharge of a flood of the stored water is ensured by gates or valves and
exceeding the design magnitude of the outlets. regulated in a way that the emptying happens after the
flood has passed.
Reservoir Flood Storage The effect of a storage reservoir is a diminution of peak
flow without a modification of the duration of the flood
Where flood damage at a number of locations on a river
(Fig. 4). The weir is dimensioned for the difference between
can be significantly reduced by construction of one or more
the peak inflow (Qmax upstream) and the maximum
discharge allowable downstream (Qmax downstream). Its
Stored volume height should be determined by evaluating the cost of the
structure, because the taller it is, the longer it is. Besides,
the height influences the point in which storage begins
Inlet flow (point A of Fig. 4).
h

Outlet flow DIVERSION STRUCTURES

Gate
Flood bypasses ensure the diversion of floodwaters, which
Figure 1. Schematic representation of a retarding basin. permits reduction of the flow passing in the original stream

Controlled release

Lateral weir

Fl
ow
di
re
ct
io
n

River

Storage reservoir

Figure 3. Storage reservoirs.

152 FLOOD CONTROL STRUCTURES

Volume stored in the reservoir overtopped, is washed out, and full discharge capacity
Upstream flow
is developed into the bypass. In other cases, a sill or a
Qmax upstream weir is used so that overflow occurs at a definite river
Qmax downstream stage. This last solution is suggested when overflow occurs
Downstream flow frequently and the need for replacement of the levee
Q section exists.
A B

LEVEES

Levees represent a barrier preventing overtopping (4).

t
Levees are longitudinal dams erected parallel to a river
Figure 4. Effect of storage reservoir on flood. and can be earth dikes or masonry construction. In the
last case, they are called flood walls.
Levees are more used because their cost is low and
to the allowable value (3). The diversion may return the material is easily available. They are generally built of
water to the same channel at a point downstream or deliver material excavated near the river and placed in layers and
it to another channel or different watershed. Besides, it compacted (Fig. 6). To increase the impermeability of the
not only conveys water in another reach, but also stores levee, a core of clay or sheetpile septa can be used. A drain
a substantial volume temporarily, thus serving as a large ditch or tile line along the back toe of the line is advisable
shallow reservoirs. and the back slope should be flat enough to contain the
The diversion can be a second river working perma- seepage line.
nently (Fig. 5a) or if floodwater leaves the river at a The width of the top should be enough to permit the
controlled point, it works only during flood events (Fig. 5b). movement of maintenance equipment with a minimum
In the first case, modification to river morphology happens of about 3 m. Bank slopes are usually very flat because
because there is a variation of the water tractive force the low cost of the material, and they should be protected
in the original stream because of the diminution of the against erosion by sodding, planting of shrubs and trees,
discharges. In the second case, the diversion remains dry or use of riprap. Global stability should be verified during
for a long time and maintenance is necessary. the design of the levee.
Admission of water to the bypass is achieved in different When dimension of leaves are not compatible with
ways. In many cases, a low spot in the natural bank or available area flood walls can be used to reduce the space.
a gap in the levee line is used. In some cases, a low They are designed to withstand the hydrostatic pressure
section of the levee is created in a way that, when once (including uplift) exerted by the water when at flood level.
Sometimes flood wall is backed by an earth fill, and in case
of low discharges, it works as a retaining wall.
(a) Upstream flow (b) Upstream flow
CONCLUSION
Weir
Diversion flow Diversion flow
Flood control structures ensure a reduction of risk
Allowable flow and damage in case of a flood event. The commonly
Allowable flow
used structures for mitigation of flood damage have
been investigated, pointing out the difference and the
significant characteristics to proceed in a correct design.

BIBLIOGRAPHY

1. Mays, L.W. (1999). Hydraulic Design Handbook. McGraw-Hill,

New York.
2. Novak, P. Moffat, A.I., Nalluri, C. and Narayanan, R. (1990).
Figure 5. Diversion of flow. Hydraulic Structures. Spoon Press.

3 m min
Banquette Design flood
1:4-1:7 1:3-1:5

Drainage
Sheet pile
Topsoil stripped (if necessary)
before construction
Figure 6. Typical levee cross section.
 FLOODS AS A NATURAL HAZARD 153

3. Linsley, R.K. Franzini, J.B., Freyberg, D.L., and Tchobanou- Economic and insured losses with trends
glus, G. (1992). Water Resources Engineering. McGraw-Hill, 80 157 bn.
Economic losses US$
New York. 70 (1999 values)
Insured losses
4. CECW-EG. (2000). Design and Construction of Levees. EM- 60 (1999 values)
1110-2-1913. Trend economic
losses
50

US$ bn
Trend insured
losses
40
 Munich Re 2000
FLOODS AS A NATURAL HAZARD 30

LUIS BERGA 20
ETSIn Caminos 10
Barcelona, Spain 0
1950 1955 1960 1965 1970 1975 1980 1985 1990 1995
Figure 2. Natural disasters. Economic and insured losses
The natural hazards suppose an important impact for with trends.
human life and produce serious social effects and grave
economic losses. Natural disasters constitute a constraint
on the sustainable development, affecting its three basic
mainstays: economics, social, and environmental. The greatest natural disasters of the last decades that
In spite of the efforts made by the International Decade have produced economic damages greater than $10 billion
for Natural Hazard Reduction of the United Nations (1–3), are shown in Table 2. It can be observed that of the 19
the natural disasters in the world have experienced disasters, 8 are big floods, such as those of 1993 in the
an increasing evolution during the last decades of the United States; 2002 in Central Europe; 1991, 1996, and
twentieth century, producing, at present, a mean of some 1998 in China (Fig. 3); those of North Korea in 1995;
40,000 victims per year and mean economic losses of and those of the year 1999 in Venezuela, with more than
more than $60 billion per year. The number of major 30,000 victims.
natural disasters during the period between 1950 and The floods constitute the most important disaster
1999 has been multiplied by 4.4, and by more than 15 among the natural hazards. Floods represent about 30%
times with relation to the economic damages (Fig. 1 and of the total number of natural disasters and economic
Table 1) (4,5). damages, and almost 25% of the fatalities produced by
The economic losses because of natural disasters are the natural disasters (Fig. 4). The extensive and enhanced
increasing with an exponential trend, having tripled statistical data show that, in the period 1975–2001, some
during the last decade of the 1990s, with a current 95 significant floods per year have been produced, which
evaluation of more than $60 billion per year, as is shown have caused a mean of some 11,000 fatalities per year,
in Fig. 2 (5). and have affected some 150 M people per year, which
signifies that in the last decade of the twentieth century,
25% of the world population has been affected by the
Great natural disasters 1950 – 1999 floods (6).
16
Others In recent decades, the impact caused by floods has been
14 Flood very important, and Table 3 refers to the most catastrophic
Storm
12 Earthquake floods that have occurred in the last fifteen years.
10 So then, experience shows that the impact caused
Number

8
by natural disasters and floods continues to increase
progressively and, in many countries, constitutes a
6 veritable restraint to sustainable economic development.
4 For this, the UN decided in 1987 to create the International
2 Decade for Natural Disaster Reduction (IDNDR) for the
period 1990–2000 with the objective of reducing, by way of
0
concerted international action, especially in the developing
1950 1955 1960 1965 1970 1975 1980 1985 1990 1995
countries, the loss of lives, material damages, and the
Figure 1. Number of natural disasters 1950–1999 (5). social and economic disorders caused by the natural

Table 1. Evolution of Number and Economic Losses of the Natural Disasters 1950–1999 (5)
Great Natural Disasters 1950–1999
Decade Comparison Losses in US$ Billion—1999 Values

Decade Decade Decade Decade Decade Factor Factor

1950–1959 1960–1969 1970–1979 1980–1989 1990–1999 80s:60S 90s:60S

Number 20 27 47 63 87 2.3 3.2

Economic Losses 39.6 71.1 127.8 198.6 608.5 2.8 8.6
154 FLOODS AS A NATURAL HAZARD

Table 2. Major Natural Disasters in Relation with the Economic Damages

Economic
Country Date Disaster Victims Damage (M $)

Japan 17.1.1995 Earthquake 6,348 100,000

United States 17.1.1994 Earthquake 61 44,000
China May–Sep.1998 * Floods 3,656 30,700
United States 23–27.8.1992 Hurricane Andrew 62 26,500
China 27.6–13.8.1996 * Floods 3,048 24,000
Europe Aug. 2002 * Floods 230 18,500
United States 27.6–15.8.1993 * Flood 50 16,000
Venezuela 13–16.12.1999 * Flash floods, landslides 30,000 15,000
Korea (North) 24.7–18.8.1995 * Floods 68 15,000
China May–Sep.1991 * Floods 3,074 15,000
EUROPE 25.1–1.3.1990 Winter storms 230 14,800
Taiwan 20.9.1999 Earthquake 2,474 14,000
Armenia 7.12.1988 Earthquake 25,000 14,000
United States 1.4–27.6.1988 Drought 13,000
Turkey 17.8.1999 Earthquake 17,200 12,000
Italy 23.11.1980 Earthquake 2,914 11,800
China 21.6–20.9.1993 * Floods 3,300 11,000
America 20–30.9.1998 Hurricane Georges 4,000 10,000
Japan 26–28.9.1991 Typhoon Mireille (N◦ 19) 62 10,000

% Of significant disasters by type, based on: damage, persons affected, deaths

Floods 32.0% Drought 33.0%

Tropical storms Other disasters Floods

30.0% 6.0% 32.0% Other disasters 7.0%

Earthquakes 10.0% Famine/Food shortage 4.0%

Earthquakes 4.0%
Drought Tropical storms
22.0% 20.0%
Significant damage Persons affected

Tropical storms 19.0% Floods 26.0%

Epidemics 17.0%
Other disasters 9.0%
Drought 3.0%
Storms 6.0%
Earthquakes 13.0% Landslides
7.0%
Number of deaths
Figure 3. Major disasters around the world 1963–1992. Percentage of significant disasters by
type, based on damage, persons affected, deaths.

hazards. Among the essential elements of the activities 4. Development of a social conscience of the necessity of
of the IDNDR, the following points stand out (3,7): the reduction of the impacts.

In order to continue the activities developed by the

1. Greater emphasis in planification and preven-
IDNDR and promote international cooperation, the UN
tive measures.
has implanted the International Strategy for Disaster
2. Adoption of integrated actions (structural and Reduction (ISDR), resolution of the General Assembly
nonstructural) for the reduction of the disasters. 54/219 of the year 2000 (8). Among the principal objectives
3. Establishment of forecasting and alarm systems of the ISDR, the urgent need to develop further
compatible with the technology and culture of and make use of the existing scientific and technical
the countries. knowledge to reduce the vulnerability to natural disasters,
 FLOOD SOURCE MAPPING IN WATERSHEDS 155

Table 3. Most Important Catastrophic Floods 1990–2002

Economic
Losses
Country Year Victims (US M$)

China Jul.–Aug. 1991 3,074 15,000

China Jun.–Sep. 1993 3,300 11,000
USA Jul.–Aug. 1993 38 15,600
Netherlands Jan.–Feb. 1995 5 1,650
Norway May.–Jun.1995 1 240
Korea (North) Aug.–Sep. 1996 68 15,000
Korea (South) July 1996 99 600
China Jun.–Aug. 1996 3,048 24,000
China Jul.–Aug. 1998 4,150 30,000
Bangladesh Aug.–Sep. 1998 1,655 13,000
Central America Oct. 1998 20,000 4,000
(Hurricane Mitch)
America Sep. 1998 4,000 10,000
(Hurricane Georges)
Venezuela Dec. 1999 20,000 15,000
Mozambique Feb–Mar 2000 929 1,000
Central Europe Aug. 2002 230 19,000
Korea Sep.2002 150 800

the world. This report discusses current disaster trends,

assesses policies at mitigating the impact of disasters,
and offers examples of successful initiatives. It also rec-
ommends that flood risk reduction be integrated into
sustainable development at all levels—global, national
and local’’ (6).

BIBLIOGRAPHY

1. IDNHR. (1987). Confronting Natural Disasters. National

Academy Press, Washington, DC.
2. Housner, G.W. (1989). An international decade of natural
disaster reduction: 1900–2000. Natural Hazards. 2: 45–75.
3. IDNHR. (1994). Yokohama Strategy and Plan of Action for a
Safer World, World Conference on Natural Disaster Reduction.
Yokohama, Japan.
4. Zupka, D. (1988). Economic Impact of Disasters. Undro News.
5. Munich, R.E. (2002). Topics. Annual Review of Natural
Disasters. Munich Re Group, Munich, Germany.
6. ISDR. (2004). Living With Risk. United Nations, Geneva.
7. UN. (1987). General Assembly. International Decade for
Natural Disaster Reduction. A/Res/42/169.
8. UN. (1987). General Assembly. International Strategy for
Disaster Reduction. A/Res/56/195.

FLOOD SOURCE MAPPING IN WATERSHEDS

BAHRAM SAGHAFIAN
Soil Conservation and
Figure 4. China’s 1998 flood. Watershed Management
Research Institute
Tehran, Iran
stands out bearing in mind the particular needs of
developing countries.
The ISDR has recently published a global review of dis- INTRODUCTION
aster reduction initiatives ‘‘Living with Risk,’’ which is ‘‘the
first comprehensive effort by the United Nations system Flood control projects are designed to protect people
to take stock of disaster reduction initiatives throughout and properties against floods’ adverse effects. No unique
156 FLOOD SOURCE MAPPING IN WATERSHEDS

methodology exists, however, to identify flood source subwatershed unit may not cause the largest impact on
areas and to evaluate their contribution to the flood the outlet flood peak. These issues are studied later when
characteristics at any downstream point of interest. The a case study is presented. Particular emphasis will be
number of nested hydrometric stations and the amount put on the routing in the stream network that connects
of available flood data measured simultaneously at the subwatershed areas because storage is a key factor in
stations are usually insufficient for ranking flood source how flood source areas influence the outlet flood response.
areas. This constraint leads us to take advantage of It is expected that the effect of stream routing is more
hydrologic simulation models. pronounced for more frequent floods.
Lumped modeling approach in flood studies precludes The flood source mapping procedure starts with
spatial prioritization with respect to downstream flood collection of watershed data and historic rainfall-runoff
response. Thus, semi- or fully distributed modeling data recorded at rain and stream gauges located inside or
approaches are appropriate for flood control studies outside the watershed. A semidistributed rainfall-runoff
in large watersheds. However, the main issue is how model with stream routing capability is selected, and the
to identify and prioritize watershed flood source areas model is properly calibrated and validated against the
based on their contribution to the flood response at the flood data of at least one hydrometric station located near
main outlet. The proposed methodology is also useful to the outlet of the watershed. Then the model is setup for
determine source erosion and pollution areas. the watershed of interest, if different from the watersheds
bounded at hydrometric stations for which the model
was calibrated.
UNIT FLOOD RESPONSE APPROACH
Subwatersheds’ flood hydrographs are simulated for a
selected design storm, and flood routing is performed in the
In this section, the approach proposed by Saghafian channel network connecting the outlets of subwatersheds
and Khosroshahi (1) for flood source mapping is briefly to the watershed’s main outlet. The routing results in a
described. This approach enables identification and base outlet hydrograph. Then, in successive runs, each
ranking of flood source areas within a watershed. subwatershed unit is singly removed, and the resultant
Although the approach can be extended to a fully hydrographs at the main outlet are simulated (Fig. 1).
distributed discretization scheme, we consider delineated The changes in flood peak of the generated hydrographs
subwatersheds to represent homogeneous unit areas. Unit relative to the peak of the base hydrograph are computed.
areas that produce the largest contribution to the flood The procedure may be repeated for other design storms,
peak at a given point subject to flooding (usually the and the sensitivity of the results could be examined.
outlet of the watershed draining the area of interest) are We may now define a flood index to measure
given highest rank among all source area units. One must unit area contribution to the flood peak at the main
note that ranking of subwatershed units based on their watershed outlet:
contribution to the discharge at the main outlet is not
necessarily equivalent to the ranking based solely on the
magnitude of peak discharge produced at the outlet of Qp,all − Qp,all−k
FIk = × 100 (1)
each unit. Another issue is that the nearest or largest Qp,all

(a) (b)
4 4
5 5
1
2 1 2
6 6

3
7 7 3

(c)

QP,all-QP,all-3 Qa
Discharge

Qb

Figure 1. Unit flood response application on a watershed:

(a) subwatershed units, (b) unit 3 removed, and (c) simulated
flood hydrographs corresponding to cases (a) and (b). Time
 FLOOD SOURCE MAPPING IN WATERSHEDS 157

where FI is the gross flood index of the kth subwatershed in a geographic information system (GIS). Maps of digital
(in percent), Qp,all is the peak discharge of the base elevation model (DEM) and land slope were generated
hydrograph (in m3 /s), Qp,all−k is the peak outlet discharge by the GIS. Figure 2 shows subwatershed boundaries
when the kth subwatershed is removed (in m3 /s), and Ak on the DEM background. Table 1 summarizes some of
is area of the kth subwatershed (in km2 ). the physiographic characteristics of the subwatersheds. A
A different flood index can also be expressed in terms land-use map was produced through processing a Landsat
of contribution per unit area of subwatersheds as follows: satellite image of the area and field inspection. SCS
curve number layer was generated by overlaying maps
Qp,all − Qp,all−k of land use and hydrologic soil groups (Fig. 3). Then,
fik = (2)
Ak average subwatersheds’ CN values were determined (see
Table 1).
where fi is the flood index of the kth subwatershed based HEC-HMS hydrologic model (3) is applied in this case
on unit subwatershed area (in m3 /s/km2 ). study. Specifically, SCS unit hydrograph method and
The approach outlined above is entitled ‘‘unit flood Muskingum technique were applied to simulate rainfall-
response,’’ abbreviated by UFR, based on its similar- runoff transformation at subwatershed scale and stream
ity to the unit response (UR) approach in groundwater routing, respectively. Rainfall intensity corresponding to
management. In the UR approach, a groundwater model the design storm of 50-year return period with duration
simulates the influence of a unit change in sink/source equal to the watershed concentration time was drawn from
rates at selected well locations on design variables, such as the intensity-duration-frequency (IDF) curve of a local
hydraulic head or velocity, at specified locations (2). Suit- station. Average rainfall temporal pattern was developed
able groundwater quantity/quality management scenarios at the same station, but no particular spatial pattern was
may be studied based on the UR application. Although considered in this case study.
nonlinearity can be preserved by the model used in the
unit flood response approach, the UR in groundwater stud-
ies assumes linearity by superimposing the individual unit
responses at given locations.

A CASE STUDY
4
5
Damavand watershed with an area of 758 km2 lies at
51◦ ,46 ,40 to 52◦ ,12 ,05 E longitude and 35◦ ,32 ,48 to 1
2
35◦ ,51 ,39 N latitude. High and low elevations in this
relatively steep watershed are 4003 m and 1250 m above
sea level, respectively. Rangeland, mostly in poor condition 6
because of overgrazing, is the dominant vegetation
cover. Agricultural areas are concentrated in the middle 3 Elevation (m)
and outlet parts of the watershed. Average annual 1200-1400
precipitation is reported as 443 mm. Although most 7 1400-1600
1600-1800
precipitation occurs in the winter and early spring, severe
1800-2000
floods in the region are often caused by high-intensity 2000-2400
summer storms. The region is generally categorized as a 2400-2800
flood prone area. As a result of limitations imposed by 2800-3200
gradual availability of funds, one of the primary aims of 3200-3600
flood control studies in this watershed is to identify and >3600
rank areas with higher impact on the outlet flood peak. 0 15 km
Boundary of Damavand watershed and its seven Figure 2. Subwatersheds of Damavand watershed on digital
subwatersheds along with the contour map were digitized elevation model background.

Table 1. Damavand Subwatersheds Characteristics

Land Max Stream Distance Stream Curve
Subwatershed Area Slope Length to Outlet Slope Number
Unit (km2 ) (%) (km) (km) (%) II
[1] [2] [3] [4] [5] [6] [7]

1 97 47 16.8 32.1 10.5 81

2 46 27 12.3 32.1 5.3 71
3 253 19 36.2 4.8 5.1 78
4 96 37 19.3 18.6 8.2 80
5 70 35 14.8 20.7 6.7 80
6 112 12 24.9 4.8 6.7 78
7 84 13 16.4 0 6.0 86
158 FLOOD SOURCE MAPPING IN WATERSHEDS

is noted that the nearest (to the outlet) or largest and the
CN
most distant or smallest subwatersheds do not necessarily
49
generate the highest and lowest contribution to the flood
59
peak at the outlet, respectively. Similarly, subwatersheds
68 producing the highest and lowest discharges at their own
69 outlet may not rank first and last in FI or fi. Subwater-
74 sheds’ absolute and specific discharges are compared in
79 (Fig. 4), whereas FI’s and fi’s are shown in (Fig. 5).
82 One can observe, from (Fig. 5), that the rankings
84 of absolute discharge contribution (FI) generally differ
from those of per unit area discharge contribution (fi).
86
Subwatersheds 5 and 4 rank first and second in the
89
unit area discharge contribution, whereas subwatershed 2
>90 attains the lowest rank. Subwatershed 3, with the highest
ranking in the absolute discharge contribution (FI), ranks
0 15 km

Figure 3. Map of curve number.

1.2 120
q
1 Q 100
FLOOD INDEX ANALYSIS
q (cms/km2)
0.8 80

Q (cms)
HEC-HMS model was calibrated and validated for a 0.6 60
number of rainfall-runoff events recorded at the outlet
of the watershed. Calibration parameters were SCS 0.4 40
initial loss and lag time. The 50-yr, 12-hr storm was 0.2 20
simulated with peak discharge at the outlet of each
0 0
subwatershed shown in Column 2 of Table 2. A peak 1 2 3 4 5 6 7
discharge of 371.9 m3 /s was produced at the watershed
Subwatershed
outlet. The simulated outlet peak discharges after
removing each subwatershed are reported in Column Figure 4. Comparison of absolute and specific subwatershed
4 of Table 2. For example, the peaks corresponding to peak discharges.
cases with and without subwatershed 3 are 371.9 m3 /s
and 270.0 m3 /s, respectively. Therefore, the peak is
reduced by 101.9 m3 /s when subwatershed 3 is completely 0.7 30
fi
removed. Subwatershed 3’s FI and fi flood indices 0.6 FI 25
are equal to 101.9/371.9 = 27.4% (Column 5, Table 2) 0.5
fi (cms/km2)

and 101.9/253 = 0.40 m3 /s/km2 (Column 7, Table 2), 20

FI (%)
0.4
respectively. The priorities based on the absolute peak 15
discharge contributions (FI) and per unit subwatershed 0.3
10
area peak discharge contributions (fi) are respectively 0.2
listed in Columns 6 and 8 of Table 2. 0.1 5
The overall mixed ranking of subwatersheds in
0 0
Columns 3, 6, and 8 in Table 2 highlights the complex 1 2 3 4 5 6 7
interdependent effect of subwatershed area, subwater- Subwatershed
shed characteristics, channel routing, and the location of
flood source areas within a relatively large watershed. It Figure 5. Comparison of subwatersheds’ FI and fi flood indices.

Table 2. Simulated 50-yr Peak Discharges and the Results of UFR Application
Subwatershed Priority Outlet Peak Flood Priority Flood Priority
Peak Based on Discharge Index Based Index Based
Discharge Subwatershed Without FI on fi on
Subwatershed (m3 /s) Peak Discharge Subwatershed (m3 /s) (%) FI (cms/km2 ) fi
[1] [2] [3] [4] [5] [6] [7] [8]

1 77.9 3 316.8 14.8 4 0.57 3

2 19.6 7 363.0 2.4 7 0.19 7
3 112.2 1 270.0 27.4 1 0.40 5
4 69.1 4 310.0 16.6 2 0.64 2
5 52.3 6 325.8 12.4 5 0.66 1
6 63.7 5 313.3 15.8 3 0.52 4
7 81.3 2 348.1 6.4 6 0.28 6
 URBAN FLOODING 159

Table 3. Flood Index (fi) Matrix for Pairs of Subwatershed.

Subwatershed 1 2 3 4 5 6 7

1 0.568 0.439 0.426 0.593 0.596 0.558 0.472

2 0.439 0.193 0.366 0.499 0.474 0.436 0.273
3 0.426 0.366 0.403 0.456 0.448 0.450 0.396
4 0.593 0.499 0.456 0.645 0.649 0.585 0.481
5 0.596 0.474 0.448 0.649 0.659 0.580 0.456
6 0.558 0.436 0.450 0.585 0.580 0.523 0.399
7 0.472 0.273 0.396 0.481 0.456 0.399 0.283

fifth in the unit area contribution (fi). Use of flood index N

(fi) is recommended in the analysis of spatial flood source
prioritization required for optimum planning flood control
measures at subwatershed scale.
The effect of spatial aggregation of unit source
areas could also be examined by removing a pair of
subwatersheds at each simulation run. The flood index
matrix is shown in Table 3. The fi values in nondiagonal
cells, say jth row and kth column, correspond to removing
the jth and kth subwatershed simultaneously. When j = k
in diagonal cells, the results correspond to the case
when a single subwatershed j has been removed (as
50-yr flood index
already reported in Table 2). Clearly, the combination of
(cms/km2)
subwatersheds 4 and 5 accumulated the highest impact
on outlet flood peak. Conversely, the combination of <0.20
subwatersheds 7 and 2 indicates the lowest impact. 0.20-0.30
0.30-0.40
SUMMARY 0.40-0.60
>0.60
A technique, abbreviated by UFR, was described in this
chapter for mapping flood source areas within a watershed.
0 25 km
Subsequent elimination of subwatershed units in the
rainfall-runoff modeling process allows separation of the Figure 6. Map of 50-yr flood source units.
effect of individual watershed area. Thus, contribution of
each subwatershed unit may be quantified and its priority
determined. The technique can be effectively applied in
3. Hydrologic Engineering Center. (2000). Hydrologic Modeling
flood source area mapping at the desired spatial scale. System HEC-HMS: Technical Reference Manual. US Army
The UFR technique was applied in a case study, and Corps of Engineers, Davis, CA.
the map of a 50-yr flood index was prepared (Fig. 6).
Based on the results of this case study, it may be
concluded that because of the complex nature of flood URBAN FLOODING
hydrograph propagation within the stream network, use
of the UFR approach can be considered as the optimal way OLE MARK
for prioritization of flood source areas. Asian Institute of Technology
Another issue is that implementing flood abatement Hørsholm, Denmark
measures in subwatersheds with low flood index may
actually result in delaying peak arrival of such areas
and could cause a more synchronized response with other Flooding in urban areas is an inevitable problem in
subwatersheds, which is the case with subwatershed 7 in many cities, and it causes huge costs to the society in
the presented case study. structural and nonstructural damage. The problems that
arize from urban flooding range from minor ones such
BIBLIOGRAPHY as water getting into the basement of a few houses, to
major incidents, where large parts of cities are inundated
1. Saghafian, B. and Khosroshahi, M. (in press). Unit response for several days. Most modern cities in the industrialized
approach for priority determination of flood active areas. J part of the world usually experience smaller scale local
Hydrologic Engineer ASCE. problems due mainly to insufficient capacity in their
2. Gorelick, S.M. (1983). A review of distributed parameter sewer systems during heavy rainstorms. Cities in other
groundwater management modeling methods. Water Resources regions, including those in South/Southeast Asia, often
Res. 19(2): 305–319. have more severe problems because of much heavier local
160 URBAN FLOODING

rainfall and lower drainage standards. This situation is

continuously getting worse because many cities in the
developing countries are growing rapidly these days but
do not have the necessary funds to extend and rehabilitate
their existing drainage systems.

CAUSES OF URBAN FLOODING

Urban flooding may be caused by a river or by local rainfall

over a city. River-induced flooding is flooding of a city due
to high water levels in rivers adjacent to the city. River
water flows to lower lying areas, and floods them. Rainfall-
induced flooding is flooding of a city due to local rainfall in
the built-up areas of the city. Examples of rainfall-induced
flooding in Bangkok can be seen in Figs. 2 and 3. This
may occur several times a year on various scales. Mainly,
inadequate existing drainage paths and their improper
operation and maintenance cause these floods. Figure 3. Flooding in Bangkok, 2002. (Photo by Mr. Ebbe Worm).
An interaction often exists between the drainage
capacity of an urban drainage system and the water level
capacity from the city to the river. The condition in the
in a recipient. For example, Bangkok was flooded from
river was caused by a combination of very high runoff
local rainfall during October 2002 due to reduced drainage
from the upstream river basin and a spring tide in the
Gulf of Thailand, resulting in a very high water level in
the river and hence drastically reduced drainage capacity
from Bangkok to the river. No drainage by gravity could
take place, and only drainage to the river by pumping
was feasible.
Individual streets in a city may flood due to numerous
causes (1). Frequently, rainfall runoff starts as an overland
flow on the street before entering the underground pipe
system through catch pits. The water in the pipe system is
then conveyed downstream but may return to the surface
if the capacity of the pipes is exceeded. The duration of
flooding on the street depends on the ground elevation,
the intake capacity of the catch pits, and the capacity of
the underground pipes. If the intake capacity of the catch
pits is limited, large volumes of runoff will be transported
along the surface during large rainstorms, even if there
Figure 1. Flooding in a suburb of Dhaka City, 1996. (Photo by is sufficient capacity in the underground sewer network.
Terry Van Kalken). Insufficient drainage capacity locally in the sewer system
may then, in turn, cause surface flooding, even if the catch
pit intake capacity is adequate.

THE EXTENT OF URBAN FLOODING

In Asian cities subject to regular flooding, people seem

to have adjusted their daily lives to smaller flooding.
However, major incidents have grave consequences.
Jakarta, Indonesia, was flooded from an overnight
rain during February 2002. During that flood, five
people were killed and approximate 200,000 people
were forced from their homes. Another urban flood
occurred in Bangkok, Thailand, in 1983, which inundated
the city for 6 months. The flood caused damage of
approximately US$149 million. In 2000, an urban flood
in Mumbai, India, claimed at least 18 lives, made
hundreds of slum dwellers homeless, and plunged
large areas of the city into darkness. In Dhaka City,
Figure 2. Flooding in Bangkok during a minor premonsoon rain Bangladesh, moderate rain can inundate parts of the
in April 2002. (Photo by Dr. Ole Mark). city for several days. The situation was highlighted in
 URBAN FLOODING 161

September 1996, when the residents of Dhaka experienced regularly. Moist soil provides a good environment for worm
ankle to knee-deep water on the street (Fig. 1). Heavy eggs to flourish, and flooded open drains spread eggs
traffic jams occurred because of stagnant water on to new victims (1). Today, anthelmintica is available to
the streets, and daily activities in parts of the city kill parasites, but the parasites may gradually develop
were almost paralyzed. At present, other major cities resistance to the drug and create new and more severe
in Southeast Asia facing problems from regular urban problems. The best way to manage parasite problems is
flooding are Ho Chi Minh City, Hanoi, Vietnam, and to interrupt the life cycle of parasites, that is, to remove
Phnom Penh, Cambodia. their natural environment by reducing the frequency and
Examples of places outside South/Southeast Asia that duration of flooding. For example, Moraes (7) found that
suffer from urban flooding are Fukuoka and Tokyo, reduced flooding decreased the prevalence of roundworm
Japan (2); Playa del Gandia, Spain (3); and Houston, and hookworm by a factor of 2 and hookworm alone by a
Texas, U.S.—where the storm ‘‘Allison’’ in June 2001 factor of 3.
caused urban flood damage of the order of $2 billion at the
Texas Medical Center in the Harris Gully watershed (4). WHAT CAN BE DONE TO UNDERSTAND AND REDUCE
URBAN FLOODING?
THE IMPACT OF URBAN FLOODING ON SOCIETY
The water-related infrastructure in cities consists of drink-
The costs of urban flooding are often very difficult to ing water treatment facilities, water supply networks,
estimate precisely. Urban flood damage may be divided sewer systems, and wastewater treatment plants. Many
into three groups (5): cities are old, and they have developed according to vary-
ing historical needs and visions. The sewer and drainage
systems play the key role in efficient removal of storm
• direct damage—typically material damage caused by
water after rainstorms and prevention of urban flooding
water or flowing water
and its consequences. These systems, therefore, represent
• indirect damage—traffic disruptions, administra- an important part of the urban infrastructure which was
tive and labor costs, production losses, spreading put in place through more or less continuous investments
of diseases during the period of modern city development. This means
• social consequences—negative long-term psycholog- that the layout and design of the infrastructure have grad-
ical effects, due to decrease of property values in ually developed into rather complex systems. Inadequate
frequently flooded areas and slowed down economic planning and design as well as bad maintenance of these
development. systems may cause severe economic and environmental
damage in the cities, as many urban flooding cases prove.
One way to quantify the cost of urban flooding from The problem is often aggravated if rainstorms coincide
structural damage is to collect information about damage with high water levels in the sea or adjacent rivers during
costs from insurance companies, as has been done in the monsoon season.
Norway (5). This process is not likely to be applicable Many cities in the Western world manage local
to developing countries, where few families in flood-prone and minor flooding problems by using computer-based
areas have insurance. solutions. This involves building computer models of the
During urban floods in developing countries, it is often drainage/sewer system, for instance, by using software
the poorer people who suffer the most, as they often live such as MOUSE (8) and SWMM (9). Both of these software
in areas of cheap or free land, which are more exposed to packages have been applied successfully to modeling major
natural disasters and have no or only primitive drainage urban flooding events. The models are used to understand
and a drinking water infrastructure. Open drains of the often rather complex interaction between rainfall and
insufficient capacity in such areas are often flooded causing flooding. Once the existing conditions have been analyzed
material damage and danger of epidemics. The water and understood, alleviation schemes can be evaluated and
depth in some inundated city areas may typically be up to the optimal scheme implemented.
the order of 40 to 70 cm, which creates considerable traffic At present, there are few studies on urban flooding
congestion, infrastructure problems, and huge economic that deal with both the conditions in the surcharged
loss in production, as well as significant damage to pipe network and extensive flooding on the catchment
property and goods. surface. However, it is feasible to model urban flooding
Diseases spread when sewage is mixed with surface based on the interaction between the pipe system and
flood water which, in turn, may reach and contaminate surface flooding, and this raizes new possibilities for
local drinking water sources. This unfortunate interaction managing urban flooding problems. Examples of this kind
between drinking water, groundwater, and floodwater of modeling are Bangkok, Thailand (10); Dhaka City,
causes severe health problems and calls for an integrated Bangladesh (11); Fukuoka and Tokyo, Japan (2); Harris
water management policy. Examples of diseases are Gully, Texas, U.S. (4) and Playa del Gandia, Spain (3).
diarrhea or leptospirosis, which are spread by bacteria in To model urban flooding, a hydrodynamic model must
the urine of rats. In the September 2000 flood in northeast be applied, and the flow and water levels in the major
Thailand, 6,921 cases of leptospirosis were reported; 244 system (the street network and surface storage between
of these resulted in loss of human life (6). Last, but not the houses) and the minor system (the pipe network) must
least, parasites seems to thrive when urban flooding occurs be described accurately. The major and minor systems
162 URBAN FLOODING

H_max
0.1–15
15–30
30–45
45–60
60–75
75–90
90–105
105–120
120–135 [cm]
No data
DEM (m)
−0.337– −0.025
−0.025–0.287
0.287–0.6
0.6–0.912
0.912–1.224
1.224–1.536
1.536–1.849
1.849–2.161
2.161–2.473
No data

W E

0 1 2 3 4 Kilometers
S

Figure 4. A flood inundation map for Bangkok (10).

route the rainfall runoff simultaneously in the pipes and In the future, problems related to urban flooding
on the streets. An exchange of water from the pipes to the will expand, as the cities in the developing countries
streets (and vice versa) takes place, depending on the local are growing rapidly. So urban flooding must be seen
hydraulic conditions in the catchment. in a broader perspective. An example is Dhaka City,
GIS plays a key role in data management for modeling which relies heavily (up to 97%) on groundwater for its
urban flooding. A digital elevation model (DEM) is a water supply. During the last 25 years, the groundwater
powerful GIS tool for defining the catchment delineation table has dropped by about 25 m (12). If this drop in
and the storage of water on the surface. The DEM the water table continues, it may generate problems
serves the dual purpose of input generation and result for the city’s water supply, and surface waters may
presentation of model simulations in terms of water depths need to be considered as additional resources. This is
in streets and between houses. An example of a flood complicated by the growth of Dhaka City—areas that
inundation map for Bangkok (10) is shown in Fig. 4. used to have permeable soils are being transformed into
The handful of successful urban flood modeling hard, impermeable surfaces. Such impermeable surfaces
applications carried out by computer models, which have prevent replenishing groundwater storage and further
traditionally been used to address local flooding problems aggravate groundwater problems. In turn, the runoff
in the industrialized part of the world, is very encouraging. from the new impermeable surfaces generates additional
The methodology is generic and can easily be transferred surface runoff, which again increases the flooding in Dhaka
to other cities, if they have data available on the sewers City. Water supply pipes may be under low pressure
and streets, as well as topographical maps. during a period of flooding (e.g., due to power cuts), and
polluted floodwater may enter the water supply network.
FUTURE PERSPECTIVES AND CHALLENGES IN RELATION This poses an additional health risk to the population on
TO URBAN FLOODING top of the diseases spread by floodwater. In addition, there
are considerable losses from the water supply network,
In 1997, the European Union (EU) passed a new and so quite a large amount of drinking water is lost. This
common set of directives, EN 752, for all EU member means that when dealing with urban flooding, one must
countries. This new standard calls for a new approach remember that it involves not one problem, but a group of
to the design of sewer systems in Europe. The old strongly interrelated problems, which have major impacts
design criterion—design based on the return period of on the quality of life of people who live in flood-prone cities.
the rainfall—is replaced by a criterion based on the return
interval of flooding. This new directive has boosted interest BIBLIOGRAPHY
in understanding, research, and subsequent alleviation of
urban flooding. Hence, it is foreseen that many urban flood 1. Kolsky, P. (1998). Storm Drainage. Intermediate Technology
applications will appear in the near future. Publications, London.
 FLOODWATER SPREADING 163

2. Ishikawa, Y., Morikawa, H., and Ilda, M. (2002). Flood Flood spreading is a practical water and soil conserva-
Forecasting and Management of Underground Spaces. 9th tion technique that, if designed and maintained properly,
International Conference on Urban Drainage, Portland, OR, can address one or a combination of water-related issues
September 8–13. on local scales. Such issues may involve reduction of flood
3. Tomicic, B., Mark, O., and Kronborg, P. (1999). Urban damage downstream by diverting a portion of the flood
Flooding Modelling Study at Playa de Gandia. 3rd DHI volume, controlling sheet and gully erosion over the land
Software Conference, June 7–9.
by maintaining vegetation cover, storing water in the soil
4. Holder, H.W., Stewart, E.J., and Bedient, P.B. (2002). Mod- profile or in underground aquifers for future use, improv-
elling an Urban Drainage System with Large Tailwater Effects
ing soil fertility through sediment deposition, leaching
under Extreme Rainfall Conditions. 9th International Confer-
saline soils, and irrigating cultivated and cropped lands
ence on Urban Drainage, Portland, OR, September 8–13.
where the rainy period and the growing period nearly
5. König, A., Sægrov, S., and Schilling, W. (2002). Damage
coincide. The suitability and success of a flood spreading
Assessment for Urban Flooding. 9th International Conference
on Urban Drainage, Portland, OR, September 8–13.
system depends on the project objective(s), nature of the
soil, amount and temporal distribution of precipitation,
6. Bangkok Post. (2000) September 20, 2000.
land topography, and water demand.
7. Moraes, L.R.S. (1996). Health Impacts of Drainage and
Although flood spreading has been practiced widely
Sewerage in Poor Urban Areas in Salvador, Brazil. PhD
Thesis, London School of Hygiene and Tropical Medicine,
with diverse objectives, the aim of this article is to present
London. an overview of flood spreading schemes designed mainly
8. Lindberg, S., Nielsen, J.B., and Carr, R. (1989). An Integrated
for groundwater recharge and/or flood irrigation. ‘‘Water
PC-Modelling System for Hydraulic Analysis of Drainage spreading’’ and ‘‘flood spreading’’ are used interchangeably
Systems. The first Australian Conference on technical in most literature, and we focus mainly on systems
computing in the water industry: Watercomp ’89, Melbourne, designed to operate on spate floodwater.
Australia.
9. Huber, W.C. and Dickinson, R.E. (1988). Storm Water Man- BACKGROUND
agement Model—SWMM, Version 4 User’s Manual. US Envi-
ronmental Protection Agency, Athens, GA.
According to the former Soil Conservation Service (USDA,
10. Boonya-Aroonnet, S., Weesakul, S., and Mark, O. (2002). undated): ‘‘Water spreading is a specialized form of
Modelling of Urban Flooding in Bangkok. 9th International
surface irrigation accomplished by diverting flood runoff
Conference on Urban Drainage, Portland, OR, September
8–13.
from natural channels or watercourses and spreading
the flow over relatively level areas. The diversion
11. Mark, O., Apirumanekul, C., Kamal, M., and Praydal, P.
(2001). Modelling of Urban Flooding in Dhaka City. UDM
and spreading is controlled by a system of dams,
May 20–24, Orlando, FL. structures, dikes or ditches, or a combination of these,
designed to accommodate a calculated rate and volume
12. Khan, H.R. and Siddique, Q.I. (1999). Urban water man-
agement problems in developing countries with particular of flow.’’ Bennett (1) believes that water spreading has
reference to Bangladesh. Int. J. Water Resour. Dev. Special been limited largely to arid and semiarid areas used for
issue. ISSN 0790-0627. range rehabilitation and crop production. He considers
flood spreading a simpler and less expensive irrigation
method than indirect irrigation with the aid of water
FLOODWATER SPREADING stored in reservoirs.
Stoddart et al. (2) reported that spreading water
BAHRAM SAGHAFIAN schemes helped to increase forage production in the U.S.
Soil Conservation and Great Plains and Southwest. The schemes consist of dams
Watershed Management and dikes to divert and convey water to the land where it is
Research Institute absorbed. Heady (3) considers water spreading systems for
Tehran, Iran
spreading floodwaters to irrigate land, reduce and store
sediment, or store water underground. For irrigation, a
1:20–30 ratio of spreader land to watershed area was
INTRODUCTION suggested based on the work in Israel on the basis of 15%
runoff, an average annual rainfall of 100 mm, and a 400-
Providing usable water resources, especially in arid mm crop water demand. The rainfall threshold to generate
and semiarid regions, is going to be one of the runoff is increased for larger watersheds, thus, favoring
major challenges of the twenty-first century. Therefore, small spreader systems. But the sediment per square area
alternatives in water resources development must be of watershed tends to increase for smaller watersheds.
studied thoroughly as population growth increases the Heady (3) indicates that many such systems have failed
pressure on renewable and nonrenewable water resources. due to inadequate design and the lack of maintenance.
Most of the precipitation and surface runoff in areas Gupta et al. (1995) studied different water harvesting
subjected to water scarcity usually occur in seasons that and conservation techniques. Their findings indicate
do not coincide with periods of high water demand. On that the benefit of water harvesting is high and shows
the other hand, growth in drinking and irrigation water a considerable increase in total biomass, tree height,
demand has caused overuse of more reliable resources, root mass, and water use efficiency compared with the
such as groundwater, and has degraded their quality. control plot.
164 FLOODWATER SPREADING

HISTORY Implementation of flood farming practices, both in

large- and small-scale experiments, have been also
The origin of flood spreading systems is not transparent reported in some parts of Sudan, Morocco, Syria, Yemen,
in the literature. Bennett (1) states that floodwater use for Australia, Jordan, Brazil, and Iran. The FAO (13) reports
crop production probably originated in arid regions where that the irrigated area under floodwater harvesting (spate
river overflow was used to water crops planted in adjacent irrigation) totals about 2 million hectares in North Africa
lands. Writings and remains of irrigation dikes show that and the Middle East.
western South America, Mexico, and southwestern United
States were some of the places where floodwater was used
SUITABILITY CRITERIA FOR FLOOD IRRIGATION
for farming.
Hudson (5) provides an overview of the traditional
Bennett (1) numbers a few criteria for the suitability
use of runoff in areas where rainfall amount does not
of land in flood irrigation projects. The criteria include
meet crop demand. In parts of Arizona where the annual
rich fertile soil that has favorable permeability, gentle
rainfall is 300 to 400 mm, Indian tribes used runoff from
and smooth slopes, and sufficient rainfall. Annual rainfall
sandstone outcrops to water crops such as maize, squash,
of less than 8 inches (200 mm), or rainfall less than 4
and melons planted at the base of hills (6). The Hopi tribe
to 5 inches during the growing season, may preclude
also applied flood farming in southwest North America
installation of flood spreading systems. Range forage
and still continues this practice in smaller areas (7).
or supplemental feed may be produced by using flood
Kovda (8) reported the use of natural runoff in arid
spreading schemes where rainfall ranges from 8 to
areas of the former Soviet Union to crop on flood terraces
14 inches (200 to about 350 mm).
of large rivers. The technique is called ‘‘kair’’ farming.
The moisture stored in the soil must be sufficient
‘‘Khaki’’ farming practiced in Turkmenistan allows runoff
to supply the crops until the next rainy season.
from mountain slopes to inundate the plains. After the
Therefore, soils of high storage capacity, ideally medium to
plains have dried out, the land is cultivated and planted.
moderately fine texture of sufficient depth are preferable.
Carr (9) reported similar evidence in Ethiopia. In a mainly
Coarsely texture soil is not suitable because of its high
pastoral community in Kenya where annual rainfall is less
drainage rate and low water holding capacity. Prinz (14)
than 200 mm, small patches of sorghum are grown using a
suggests a range of annual rainfall between 150 and
variety of runoff farming (10). Farming on valley bottoms
600 mm and a catchment to spreading area ratio between
is an ancient practice in Tunisia and the Negev desert (5),
100:1 and 10,000:1 and more for flood irrigation. Land
where annual rainfall is low, and in the level pans of one
slopes between 1 and 2 percent are suitable, and the water
to three hectares formed in broad valleys of gentle slopes
should not carry a high sediment load.
in Colorado, United States, where rainfall is 400 mm (11).
Runoff farming on level fields surrounded by earth
banks has been carried out in the Khost plain, Paktia FLOOD SPREADING FOR ARTIFICIAL RECHARGE
province in Afghanistan, where the runoff from stony hills
is collected and led down to the fields. In two experimental Storing water underground has the benefits of no or slight
small-scale projects in Kenya, water from a catchment area evaporation loss, large storage capacity and no need to
is diverted into the cultivated area, partitioned by earth construct structures, and less vulnerability to drought and
bunds, into gently sloped terraces to prevent erosion (5). contamination. Besides augmenting groundwater storage,
Stone spillways are built into the bunds to pass water one of the primary objectives of artificial recharge may
to lower terraces. Construction of large-scale inundation be to conserve and dispose of floodwaters. As a major
spreading schemes, called ‘‘ahars,’’ have been reported source of water, storm runoff and floods overflowing the
in semiarid regions of India, namely, in Bihar and Uttar river banks or diverted by canals may be spread and
Pradesh. Runoff during monsoon season is retained on very stored underground for future use. Water (flood) spreading
gentle slopes by low earth bunds such that the moisture is perhaps the most widely used man-made system of
stored can support a 5-month crop grown following the end artificial groundwater recharge. Water is spread over the
of monsoon. Weirs are built to allow excess storm water ground, so it infiltrates into the soil and recharges the
to pass. An advantage of this system is regular leaching aquifer. The efficiency of the spreading system depends
of saline soil in semiarid areas. Other forms of inundation on several factors such as the spreading area, duration
farming are also reported in the Jaisalmer district of of recharge, soil hydraulic properties, volume of spread
Rajasthan (12), where an earth bund is constructed across water, and topography.
the valley plain to store water from surrounding hills. Todd (15) classifies water spreading methods into
The catchment ratio is at least 15:1 where annual rainfall stream, ditch and furrow, pit, basin, and flooding, out
is 165 mm. of which the last two methods are briefly mentioned here.
In India and Pakistan, a canal that has an elevated bed Basin, the most favored and widely practiced method,
compared to the river, may be excavated in the river bank is formed by dikes or levees or by excavation. Water is
with a flatter slope than that of the river (5). The canal is normally diverted from a stream and led to a single or
filled by the flood overflow and runs dry during low flow series of basins, where water spills to lower basins. Large
periods. Maintenance of the canal entry is necessary for lands with gentle slopes are required for basin spreading.
removal of deposited sediment. The water carried by the Sedimentation and sealing is likely to occur when turbid
canal is then distributed over irrigation fields. water is used, so the upper basins act as settling areas.
 FLOODWATER SPREADING 165

Periodic scraping, disking, or scarifying may be performed

to restore recharge rates.

Ma
In the flooding method, suitable for a low 1–3% gradient

in s
topography, water (flood) is diverted from a stream to the
Dike

tr e a
spreading area. Erosion must be avoided as the shallow

m
water flows over the area. The preferable texture of the
soil is as coarse as possible to allow a high recharge
rate. The cost of construction and maintenance is usually Spreader
low for this method, but sediment, evaporation, and Dike ditch

Trail
high floods are major problems. The former problem

dike
decreases the system efficiency, and the latter causes
damage to canals, embankments, and spillways. The Contour dike
flooding method applied for groundwater recharge is
generally similar to the flood spreading systems designed
for irrigation.

FLOOD SPREADING SCHEMES

Many different flood spreading systems have been con-

structed in different countries. Flood spreading systems,
mainly for irrigation, may be divided into two types:
flow type and detention type (16). Free drainage and
flow of water occurs in the first category thanks to a Excess water
gentle land slope, whereas water is retained in the sec- Figure 1. A typical syrup-pan flow system (modified from
ond type systems for infiltration. The flow type system is Reference 16).
further divided into syrup-pan, spreader ditch, and dike
and bleeder. The detention type is also classified into
manual inlet control and automatic inlet control. The fol-
lowing describes different flow type systems, as stated
by Jensen (16).
In the syrup-pan flow system, a single spreader ditch at
the upper end of the field picks up the water from the main
watercourse. Water spills over the sides of the spreader
into the field divided into some sections by contour dikes.
While flowing down the field, it partly infiltrates and partly
runs off to the next section downstream. Contour dikes are
broken at one end to allow water to proceed to the next
section. At the end of the last section, there is a waste
way or a channel leading excess water, if any, back to the
main channel. Figure 1 presents a typical sketch of the
system. In Fig. 2, a spillway along a contour dike is shown
during operation.
In a spreader ditch flow system, a number of ditches Figure 2. A spillway along a contour dike during operation
(Ghareh Baygon Flood Spreading Station, Fars Province, Iran).
divert water from a stream. The slope of the ditches
decreases toward the lower end. Dikes and bleeder flow
systems are a modified type of a syrup-pan system. Water studied. The major factors considered in the design of
flows through dikes to lower sections of the fields via tubes efficient spreading systems are diversion sites, slope of
or weirs installed at intervals along the dikes. Emergency the spreading land, soil infiltration and water holding
waterways connect each section to the main stream in capacity, the area available for spreading, and economic
case the tubes are blocked. Detention type systems are considerations such as maintenance costs. Although a
designed to divert and spread long duration flows with standard and widely practiced procedure for design of
control over the depth of water. spreading systems does not exist, some irrigation and soil
and water conservation books may include a chapter for
DESIGN FACTORS designing them (16).

Several factors must be considered in the design of flood ADVANTAGES AND PROBLEMS
spreading systems. The meteorology and hydrology of
the watershed, which produces the runoff for spreading, Flood spreading systems have the advantages of generally
is of particular importance. Flow duration curves as low construction and maintenance costs and adaptability
well as flood values and the sediment load are to be to rural areas because of their simple technology. By
166 MINIMUM ENVIRONMENTAL FLOW REGIMES

storing floodwater that would have been otherwise lost, MINIMUM ENVIRONMENTAL FLOW REGIMES
local water demands can be partially met and flood damage
downstream may be reduced. Other indirect benefits PEYMAN DANESHKAR ARASTEH
include environmental diversity, people migration control, Soil Conservation and
and desert rehabilitation in arid areas. Watershed Management
The major problem of flood spreading projects is Research Institute (SCWMRI)
Tehran, Iran
sedimentation. This decreases soil infiltration, which is
a serious consequence in artificial recharge and flood
irrigation systems. Efforts to maintain the efficiency of
INTRODUCTION
the system include growing vegetation, adding chemical
soil conditioners, scarification, and leaving upper fields A growing demand exists for water by humans that not
for siltation. only reduced the amount of water available for future
industrial and agricultural development but also has a
profound effect on aquatic ecosystems and their dependent
BIBLIOGRAPHY species (1).
Every inland, coastal, fresh, or brackish water ecosys-
tem has specific water requirements for the maintenance of
1. Bennett, H.H. (2001). Soil Conservation. Agrobios, Jodhpur,
ecosystem structure, function, and the dependent species.
India.
For river-dependent aquatic ecosystems, normally referred
2. Stoddart, L.A., Smith, A.D., and Box, T.W. (1975). Range
to as environmental water requirements (EWR), environ-
Management. McGraw-Hill, New York.
mental flow, or a new branch of hydrology, ecohydrol-
3. Heady, H.F. (1975). Rangeland Management. McGraw-Hill, ogy, (1) there is no universal definition of environmental
New York.
flows. Flow is the governing influence in rivers, con-
4. Gupta, G.N., Bala, N., and Choudhary, K.K. (1995). Effect trolling many aspects of the physical environment and
of run-off harvesting and conservation techniques on growth
significantly affecting the biota of a riverine system. It is
and biomass production of Prosopic cineraria. Indian Forester
essential that adequate water be provided for the purpose
121: 702–710.
of protecting the physical and ecological processes and
5. Hudson, N.W. (1987). Soil and Water Conservation in Semi-
features. Such flows are defined as EWR (2).
Arid Areas. FAO, Rome.
EWR are also defined as: ‘‘The water regimes
6. Billy, B. (1981). Water harvesting for dryland and floodwa-
needed to sustain the ecological values of aquatic
ter farming on Navajo Indian Reservation 3–7. In: Rainfall
ecosystems at a low level of risk’’ (3). Given that some
Collection for Agriculture in Arid and Semi-Arid Regions.
G.R. Dutt, C.F. Hutchinson, and A. Garduno (Eds.). Work-
systems are overallocated and unable to provide the
shop at Tucson, AZ. Commonwealth Agric. Bureau, Fanham full EWR, negotiation between stakeholders leads to the
Royal, Bucks., UK. establishment of flows for the purpose of environmental
7. UNEP. (1983). Rain and Storm Water Harvesting in Rural protection. Such flows are defined as environmental water
Areas. Tycooly International, Dublin. provisions, meaning: ‘‘The part of EWR that can be
8. Kovda, V.A. (1961). Land use development in the arid regions met’’ (3).
of the Russian plain, the Caucasus, and Central Asia. In: A An environmental flow is the water regime provided
History of Land Use in Arid Regions. Arid Zone Research, within a river, wetland, or coastal zone to maintain
Vol. XVII, UNESCO, Paris. ecosystems, and their benefits, where competing water
9. Carr, M.K.V. (1979). Land Use and Irrigated Agriculture in uses exist and where flows are regulated. Environmental
Woito and Lower Omo River Valleys. UNDP/FAO Project flows provide critical contributions to river health,
ETH/78/013, Development of Irrigated Agriculture. economic development, and poverty alleviation. They
10. Morgan W.T.W. (1974). Sorghum gardens in south Turkana. ensure the continued availability of the many benefits
Geogr. J. 140: 80–93. that healthy river and groundwater systems bring to
11. Mickelson, R.H., Cox, M.B., and Musick, J. (1965). Runoff society (4).
water spreading on levelled cropland. J. Soil and Water Balancing the needs of the aquatic environment and
Conserv. 20(2): 57–60. other uses are becoming critical in many of the world’s
12. Kolarkar, A.S., Murthy, K.N.K., and Singh, N. (1983). river basins as population and associated water demands
Khadin—a method of harvesting water. J. Arid Environ. increase (1).
6: 59–66. In order to sustain the ability of freshwater-dependent
13. FAO. (1997). Irrigation in the Near East Regions in Figures. ecosystems to support food production and biodiversity,
Water Report No. 9, FAO, Rome. environmental flows must be established scientifically,
14. Prinz, D. (1996). Water harvesting: Past and future. In: made legitimate, and maintained.
Sustainability of Irrigated Agriculture. L.S. Pereria (Ed.). In recent years, a number of local and global
Proc. NATO Advanced Research Workshop, Vimeiro, March assessments of water resources, current and future
21–26, 1994, Rotterdam, pp. 135–144. water use, water and food security projections, and
15. Todd, D.K. (1980). Groundwater Hydrology. John Wiley & water poverty analyses have been completed (1,2,5–10).
Sons, New York. Assessment of water availability, water use, and water
16. Jensen, M.E. (1981). Design and Operation of Farm Irrigation stress at the global scale has also been the subject of
Systems. Monograph No. 3, ASAE, St. Joseph, MI. increasingly intensive research over the course of the past
 MINIMUM ENVIRONMENTAL FLOW REGIMES 167

decades. However, the requirements of aquatic ecosystems have the characteristic of being holistic, they clearly
for water have not been considered explicitly in such have the advantage of covering the whole hydrological-
assessments (1). ecological-stakeholder system. The disadvantage is that it
is expensive to collect the relevant data.
For a review of these methods, reading of Kin-
OBJECTIVES OF ENVIRONMENTAL FLOW
hill (13), Arthington and Pusey (14), Arthington and
Zalucki (15), and Arthington et al. (16) articles are sug-
The following environmental flow objectives apply specif-
gested. The determination of environmental flow require-
ically to the management of flow volumes in a river
ments requires consideration of the entire flow regime.
basin (5):
However, a key distinction in how environmental flow
a. Maintain appropriate minimum environmental requirements are determined exists between low flows
flows (MEF) during low flow periods. and high flows including floods.
When determining environmental flow requirements,
b. Provide appropriate ‘flushing flow’ and ‘high
it is important to understand the tolerance of stream biota
flow’ regimes.
to certain volumes, timing, and duration of flows, which
c. Maintain, enhance, or restore species diversity, can be achieved by comparing the current flow regime with
population structure, and community assemblages the natural flow regime.
of aquatic biota and associated wildlife dependent
on the instream environment.
d. Ensure identified populations of significant biota REQUIRED DATA
are adequately protected through provision of
appropriate environmental flows. a. Physical description of basin
e. Maintain and improve aquatic habitat, river struc- b. Water quality conditions in basin
ture, riparian vegetation, and water quality through
provision of adequate environmental flows. c. Description of key biota or environmental values
(fauna and flora)
f. Provide a flow regime that preserves and, where pos-
i. Fish
sible, reinstates important riffle and pool habitats.
ii. Other vertebrates
g. Minimize sedimentation and smothering of aquatic
habitats through protection, maintenance, and iii. Aquatic macroinvertebrates
restoration of indigenous riparian vegetation. iv. Vegetation
d. Water resource development and hydrology
METHODS OF DETERMINING EWR i. Licensed water use
ii. System operation
A range of environmental flow determination techniques iii. Stream flows
exist and have been variously applied all around the
world (4,11,12). Possible methodologies for calculating
environmental flow requirements include: SOME RECOMMENDATIONS

Hydrological Methods Harby et al. (17) used a river system simulator analysis
These methods are based on historical records and to optimize the environmental flow requirement of
are simplest and the least data intense for estimating regulated river Maana in central southern Norway. The
instream flows. They include the look up tables and analysis recommended an environmental flow release
desktop analysis. of around 345 MLD (million liters per day). Zampatti
and Lieshke (18) recommended 1.5 MLD as MEF for
Habitats Methods Diamond Creek Catchment, Australia. Zampatti and
Close (6) recommended a MEF of 130, 8, and 9 MLD for
They require some fieldwork to quantify the relationship
Kiewa River, Running Creek, and Yackandandah Creek,
between the selected variables describing the physical
Australia, respectively. Lieschke et al. (5) recommended
habitat behaviors and the river discharge. These methods
maximum MEF of Plenty River system about 1.5 MLD.
are based on hydraulic simulations and habitat rating
MDNR (19) recommended a MEF of 380 MLD for Potomac
or modeling.
River system, Maryland. Smakhtin et al. (1) estimated
EWRs needed to maintain a fair condition of freshwater
Holistic Methods
ecosystems range globally from 20–50% of the mean
They are discussion-based approaches. The approaches annual river flow in a basin. These MEFs have been
offer a structured framework to the setting of instream flow determined on the bases of the habitat and hydrologic-
requirements, based on expert opinion and stakeholder hydraulic methods. Arasteh (20) recommended a volume of
requirements. Holistic approaches make use of teams of 3400 million cubic meters per year as the annual minimum
experts and may involve participation of stakeholders, volume of EWR to survive Hamoon, Iran-Afghanistan
so that the procedure is holistic in terms of interested trans-boundary wetlands on the base of a simple water
parties as well as scientific issues. Where methods balance method.
168 FORENSIC HYDROGEOLOGY

SUITABLE SITES 15. Arthington, A.H. and Zalucki, J.M. (1998). Comparative
evaluation of environmental flow assessment techniques:
review of methods. LWRDC Occasional Paper 27/98, Land and
http://www.g-mwater.com.au
Water Resources Research and Development Corporation,
http://www.cgiar.org/iwmi/assessment/index.htm Canberra, Australia.
16. Arthington, A.H., Brizga, S.O., and Kennard, M.J. (1998).
BIBLIOGRAPHY Comparative Evaluation of Environmental Flow Assessment
Techniques: Best Practice Framework. LWRRDC Occasional
Paper 25/98, Land and Water Resources Research and
1. Smakhtim, V., Revenga, C., and Doll, P. (2004). Taking Into
Development Corporation, Canberra, Australia.
Account Environmental Water Requirement in Global-Scale
Water Resources Assessments. Comprehensive Assessment 17. Harby, A. et al. (1999). Application of the river system
simulator for optimizing environmental flow in a Norwegian
Research Report 2, Comprehensive Assessment Secretariat,
regulated river. Proc. of the 28th IAHR Congress. CD-ROM.
Colombo, Sri Lanka.
18. Zampatti, B. and Leishke, J. (1999). An Assessment of Envi-
2. SKM. (2000). Environmental Flow Study of the Yea River
ronmental Flow Requirements for the Diamond River Catch-
System. Final Report Sinclair Knight Merz Pty. Ltd. and
ment. Department of Natural Resources and Environment-
ID&A (SKM), Australia.
Freshwater Ecology, Australia.
3. ARMCANZ/ANZECC. (1996). National Principles for the Pro-
19. MDNR. (1981). The Potomac River low flow allocation
vision of Water for Ecosystems. Agriculture and Resource
agreement. Article 2.C Maryland Department of Natural
Management Council of Australia and New Zealand (ARM-
Resources (MDNR), Annapolis, MD.
CANZ) and Australian and New Zealand Environment and
Conservation Council (ANZECC), Sustainable Land and 20. Arasteh, P.D. (2004). Development of a Distributed Model for
Water Resources Management Committee, Subcommittee on Estimation of Regional Evaporation Using Remote Sensing
Water Resources, Sydney, Australia. Techniques. Case Study: Hamoon Lakes of Iran. Ph.D. Thesis,
Tarbiat Modarres University, Tehran, Iran.
4. Dyson, M., Bergkamp, G., and Scanlon, J. (2003). Flow: The
Essentials of Environmental Flows. International Union for
Conservation of Nature and Natural Resources (IUCN),
Gland, Switzerland and Cambridge, UK. FORENSIC HYDROGEOLOGY
5. Lieschke, J., Grgat, L., and Zampatti, B. (2000). An Assess-
ment of Environmental Flow Requirements for the Plenty
LEO S. LEONHART
River Catchment. Department of Natural Resources and DAVID R. HARGIS
Environment- Freshwater Ecology, Australia. Hargis + Associates, Inc.
6. Zampatti, B.P. and Close, P.G. (2000). An Assessment of Envi- Tucson, Arizona
ronmental Flow Requirements for the Kiewa River. Depart-
ment of Natural Resources and Environment- Freshwater
Ecology, Australia. Forensic hydrogeology is a branch of environmental
7. FAO. (2000). Agriculture: Towards 2015 and 2030. Technical forensics, a relatively new discipline involving the use
Interim Report, Food and Agriculture Organization, Rome, of environmental science to support litigation.
Italy. Forensics is derived from the Latin root forensis, mean-
8. IWMI. (2000). World water supply and demand in 2025. ing ‘‘of a forum,’’ and is the study of formal debate.
In: World Water Scenarios Analyses. F.R. Rijsberman (Ed.). Accordingly, forensics involves arguing a position within
Earthscan Publications, London, UK. any adversarial context. A legal context is not neces-
9. UNESCO. (2003). World Water Development Report. United sarily a requirement, but environmental forensics often
Nations Educational Scientific and Cultural Organization, support the interpretation or establishment of technical
Paris, France. facts related to litigious matters. Generally, the product
10. STORM. (2003). Feasibility of water sensitive urban design of a forensic hydrogeologic investigation is an opinion ren-
in Alpine areas. Draft Discussion Paper STORM Consulting dered in writing or orally via various legal vehicles such as
Pty. Ltd., NSW, Australia. affidavits, depositions, or trial testimony. The opinion may
11. Hass, L. (2002). Mediterranean water resources planning be direct or in rebuttal to an opinion proffered by an oppos-
and climate change adaptation. Proc. of Water, Wetlands ing expert. Due to the technical complexities of many legal
and Climate Change. Mediterranean Regional Roundtable,
matters pertaining to environmental issues, hydrogeolo-
Athens, Greece, International Union for Conservation of
gists often find themselves as members of interdisciplinary
Nature and Natural Resources (IUCN).
litigation support teams. These teams may comprise other
12. Symphorian, G.R., Madamombe, E., and van der Zaag, P.
experts in fields such as toxicology, chemistry, microbiol-
(2002). Dam operation for environmental water release: the
case of Osborne Dam Save Catchment Zimbabwe. Proc.
ogy, engineering, industrial hygiene and safety, regulatory
of the 3rd Water Net Symposium. Dar es Salaam, Tan- compliance, and industrial history and standards. Typ-
zania. Available: http://www.waternetonline.ihe.nl/aboutWN/ ical tasks for hydrogeologists include delineation of the
3rdProceedings.htm. source(s) and extent of contamination in subsurface soils
13. Kinhill. (1988). Techniques for Determining Environmental and groundwater, interpretation of subsurface conditions
Flow Requirements—A Review. Kinhill Engineers, Depart- controlling such flow and transport, analysis of ground-
ment of Water Resources, Melbourne, Australia. water flow and contaminant transport, determination of
14. Arthington, A.H. and Pusey, B.J. (1993). In-stream flow risk pathways toward potential receptors, and feasibility
management in Australia: methods, deficiencies and future assessment of various remedial alternatives. The opinions
directions. Australian Biologist. 6: 52–60. rendered by the hydrogeology expert on these matters
 FORENSIC HYDROGEOLOGY 169

may be corroborated or supplemented by the opinion of to human exposure but may also extend to resource
the other experts involved. damage. In such matters, hydrogeologists might be able
There are also forensic applications in hydrogeology to help clarify the timing and fate of contamination from
that involve litigation, but which do not involve contami- the source to the site of exposure using analytical or
nation or toxic tort matters. Examples include settlement numerical models based on conceptualizations of the site
of damages between parties involving water supply issues, hydrogeology.
such as well interference or interruption of baseflow;
flooding, such as watershed or hydrographic modifications
TOOLS AND APPROACHES
resulting in increased runoff; or simply well drilling and
design, involving poor yields or failures.
In theory, the approach of hydrogeologists serving as
experts in litigation is not fundamentally different from
FORENSIC ISSUES IN HYDROGEOLOGY their serving in any other professional capacity. In
other words, the tools of the trade are the traditional
There are a variety of legal issues whose resolution ones, and the approach involves traditional scientific
have required the support of forensic hydrogeologists. methods of investigation. There are, however, issues
Recent cases have involved supporting determinations that arise in contemporary forensic matters that are
of allocation for environmental remediation costs among more interdisciplinary. In matters involving contaminant
multiple responsible parties, circumstances ‘‘triggering’’ liabilities, environmental forensic specialists have been
insurance policy coverage issues, environmental liabilities referred to as ‘‘industrial paleontologists,’’ signifying their
accompanying property transfers, and personal damages proficiency in unraveling the history of events leading to
or tort claims from alleged exposure to contamination present-day conditions at a contamination site (3). Having
released from a site. Other claims have arisen over been trained extensively in geology, hydrogeologists are
performance of contractors working on environmental particularly well suited for such ‘‘after-the-fact sleuthing.’’
cleanup or who were engaged in the construction or As in any traditional investigation, forensic study is
operations and maintenance of facilities that failed and staged. The first stage is the acquisition and organiza-
allegedly resulted in contaminant releases. tion of pertinent data and information. This may involve
Determination of fair and defensible cost allocation simply compiling records, photoarchives, and searching
among parties potentially responsible for groundwa- databases, or it may include actual field data acquisition
ter contamination is a complex undertaking. Various such as drilling, sampling, and analysis. At this stage,
approaches involving allocation on the basis of area-, the hydrogeologist has various traditional and specialized
volume-, and mass-of-contamination, as well as weightings tools available. For example, there are methods tradi-
based on such factors, have been proposed (1,2). Additional tionally employed such as water level measurements and
approaches based on toxicity weighting have also been pro- water and soil sample collection and analysis. Contami-
posed for sites where multiple-groundwater contaminants nant investigations may also incorporate isotopic analysis
are commingled. Such commingled plumes may also give or chemical fingerprinting to assess timing or source issues
rise to issues with regard to selecting alternative remedial to the extent materials released have a unique, detectable
technologies. chemical signature. The basis for chemical fingerprinting
Depending on the period and type of coverage, might be weathering characteristics and composition of
exclusions, and various interpretations of what constitutes petroleum hydrocarbons, proprietary additives, alkyl-lead
an occurrence, insurance claims involving liability for compounds, oxygenates, or isotopic ratios. Hydrogeologists
environmental damage may generate issues requiring might also consider the changing state of industrial tech-
input from hydrogeologists. For example, there may be nology. For example, much information has been gathered
matters related to the timing of releases relative to the on the historical use of organic solvents (4). Some sol-
timing of the policy coverage or to the enactment of certain vents were commercially available and in use at different
‘‘pollution exclusion’’ clauses within the policy. In such times, as indicated in Table 1. Certain solvents were more
instances, the hydrogeologist may be able to opine on prevalent in industrial use than others at different times.
the likelihood that contamination occurred during the Other chemicals were banned for certain usages by reg-
policy period and whether the contamination is persistent, ulatory agencies. A hydrogeologist who is knowledgeable
requiring present-day remedial efforts. about historical chemical usage/availability and can rec-
Property transfer issues may be similar to the allocation oncile such information with chemical use and disposal
and timing considerations considered earlier. Such history of the site can present informed opinions on the
matters require careful research of historical activities timing of releases. Using chemical associations in this
performed on the property. Hydrogeologists might use manner and context is analogous to using index fossils in
record searches, interviews, and review of historical geochronology.
photographic archives to reconstruct chronologies and The next stage involves assessing and analyzing the
thereby form opinions on the likelihood of certain data per the study objectives. This analysis is based on
operations as causes for contamination. both the hydrogeologist’s conceptualization or alternative
Tort claims are often the most complex issues and conceptualizations of the hydrogeologic system and the
require extensive examination of risk factors from the impacts of site operations on the soil and groundwater.
source of the contamination, the transport pathway, and The hydrogeologist assembles information gathered to
the point of exposure. Tort damages may not be limited determine such things as the occurrence, flow direction,
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170 FORESTS AND WETLANDS

Table 1. Year of First Commercial Availability of Selected 1. Is the opinion testable and has it been tested?
Organic Chemicalsa 2. Is the error rate associated with the technique or
Year of opinion acceptable?
First 3. Has the basis for the opinion survived peer review
Commercial and has it been published?
Chemical Availability
4. Is it generally accepted among scientists in the
Carbon tetrachloride 1907 pertinent field?
Trichloroethylene (TCE) 1908
1,2-Dichloroethane (DCA) 1922 Other courts have simply applied a ‘‘general accep-
Tetrachloroethene (PCE) 1925 tance’’ criterion, which originated in the 1923 case of
DDT 1942
Frye v. United States, which dealt with admissibility of a
Chlordane 1947
polygraph-type examination. This court held that the sci-
Toxaphene 1947
Aldrin 1948 entific opinion must have achieved ‘‘general acceptance’’
Dibromochloropropane (DBCP) 1955 in its particular field or context.
Bromacil 1955

Gasoline additives BIBLIOGRAPHY

Tetraethyl lead 1923 1. Graves, B.J. et al. (2000). Allocating responsibility for ground-
Methyl cyclopentadienyl manganese tricarbonyl 1957 water remediation costs. The Trial Lawyer—J. Strategy,
(MMT) Technique, Case Manage. 23: 159–171.
Tetramethyl lead 1966
2. Marryott, R.A. et al. (2000). Allocating remedial costs at
Methyl tert-butyl ether 1980s
Superfund sites with commingled groundwater contaminant
a
Reference 3. plumes. J. Environ. Forensics 1: 47–54.
3. Clarke, J.H., Clarke, A.N., and Smith, J.S. (1999). Environ-
mental forensics: Using science to resolve adversarial situa-
and use of groundwater; interaction with surface water; tions. Environ. Prot. September: 49–54.
geologic cross sections; distribution of contaminants in the 4. Doherty, R.E. (2000). A history of the production and use of car-
soil and groundwater; and other factors related to the bon tetrachloride, tetrachloroethylene, trichloroethylene, and
overall hydrogeologic conditions at and in the vicinity of 1,1,1-trichloroethane in the United States: Part 1—historical
the site. Current and past operational information can background; carbon tetrachloride and tetrachloroethylene and
then be used to interpret the contaminant history of the Part 2—trichloroethylene and 1,1,1-trichloroethane. J. Envi-
site. The approach for this step can vary widely according ron. Forensics 1: 69–81, 83–93.
to the skills and experience of the expert as well as the 5. Faigman, D.L. (2002). Is science different for lawyers? Science
history of site operations and the type and availability of 297: 339–340.
site records. In some cases, the hydrogeologist may want to
apply various models to simulate or project groundwater
flow and solute transport conditions. Other types of FORESTS AND WETLANDS
modeling that are less familiar to traditional hydrogeology,
but which can support interpretations on timing of release, THEODORE A. ENDRENY
might include various geochemical models, degradation EMERA BRIDGER
models of various fuels and components, and corrosion SUNY-ESF
models (for tanks and pipeline leaks). Syracuse, New York

ETHICS AND STANDARDS

Forests and wetlands are landscape features that play
integral roles in the hydrological cycle. Within the
In the process of performing these services, extreme care
landscape, forests and wetlands are inextricably linked.
must be taken to organize and document the information
Wetlands may exist within forest ecosystems, or wetland
used and generated, considering the likely degree of
ecosystems can be characterized as ‘‘forested.’’ This article
scrutiny by both technical and legal adversaries. In
will outline the characteristics of both forests and wetlands
general, this requires strict adherence to professional
and some implications for water resource management.
ethical standards and methods of analysis, systematic
maintenance of records, traceability, and disclosure.
With specific regard to the admissibility of expert FORESTS
opinion in the courtroom, some courts use criteria
or standards to determine the acceptability of expert Forests cover an estimated area of 4.17 × 109 hectares,
testimony. One such precedent was set in the opinion which is roughly 32% of Earth’s surface (1). A forest
of Daubert v. Merrell Dow Pharmaceuticals, Inc., which can be defined as ‘‘a biotic community predominated by
held that judges must function as gatekeepers in assuring trees and woody vegetation that covers a large area’’ (1),
that expert opinion proffered in the courtroom is valid and whereas others define forests by its vegetative character
reliable (5). To this goal, the court suggested criteria based irregardless of area. Forests serve social, economic, and
on the following questions: ecological functions, which impact water resources in