Abstract All groundwater pumping comes from capture; the greater the intensity of pumping, the greater the capture. Capture comes from decreases in natural discharge and increases in recharge. Natural discharge supports riparian, wetland, and other groundwater-dependent ecosystems, as well as the baseflow of streams and rivers. Capture depends on usage, and it is not related to size or hydrogeological characteristics of the aquifer, or to the natural recharge. The traditional concept of safe yield, which equates safe yield with natural recharge, is flawed and has been widely discredited. It has now been replaced with sustainable yield. Sustainable yield depends on the amount of capture, and whether this amount can be accepted as a reasonable compromise between a policy of little or no use, on one extreme, and the sequestration of all natural discharge, on the other extreme. 1. Introduction
Water occurs both on the surface and under the surface of the Earth. The surface water and
the ground water are both part of the hydrologic cycle. Surface water can become ground water
through infiltration, while ground water can become surface water through exfiltration. Therefore, surface water and ground water are
inextricably connected; one cannot be considered or evaluated without regard to the other.
Surface water and ground water can be
shown to differ in two important ways:
(1) surface water is completely renewable, usually within days or weeks, while ground water is not completely renewable, since it
may take decades, centuries, or even longer time to renew; and
(2) fresh surface water is scarce, particularly when compared with the large volumes of fresh ground water which are known to exist
below the surface.
This paper examines the historical development of groundwater use and of the limits placed thereon throughout the years.
The concepts of safe yield and sustainable yield are reviewed. The traditional concept of safe yield, which equates safe yield
to annual recharge, is shown to be flawed because of its narrow focus. Sustainable yield extends beyond the conventional
boundaries of hydrogeology, to encompass surface water hydrology, ecology, and other related subjects.
2. Background
Excessive groundwater pumping can lead to groundwater depletion, and this may have serious social and economic consequences.
Attempts to limit groundwater pumping have been commonly based on the concept of safe yield, defined as the attainment and maintenance
of a long term balance between the annual amount of ground water withdrawn by pumping and the annual amount of recharge. This definition
is too narrow because it does not take into account the rights of groundwater-fed surface water and groundwater-dependent
ecosystems (Sophocleous 1997).
Recently, the emphasis has shifted to sustainable yield (Alley and Leake 2004; Maimone 2004; Seward et al. 2006). Sustainable yield
reserves a fraction of the so-called "safe yield" for the benefit of the surface waters. There is currently a lack of consensus as to what percentage of safe yield
should constitute sustainable yield. The issue is complicated by the fact that knowledge of several earth sciences is required for a
correct assessment of sustainable yield. Additionally, there are social, economic, and legal implications which have a definite bearing on the analysis.
At the outset, a distinction is necessary between pristine and non-pristine groundwater reservoirs. Pristine reservoirs are those that have not
been subject to human intervention; conversely, non-pristine reservoirs have a history of pumping.
In pristine reservoirs, average annual natural recharge, which is a fraction of
precipitation, is equal to average annual natural discharge, which feeds springs, streams, wetlands, lakes, and groundwater-dependent ecosystems.
Average annual recharge is normally taken over the period of record or some other suitably long period. Actual values of annual recharge may differ from the long-term average value.
Thus, net recharge, i.e, average annual recharge minus average annual discharge, is zero.
Three groundwater scenarios are possible:
(1) a pristine groundwater system, in equilibrium or steady state, in the absence of pumping;
(2) a developed groundwater system, in equilibrium or steady state, with moderate pumping at a fixed depth; and
(3) a depleted groundwater system, in nonequilibrium or unsteady state, with heavy pumping at an ever increasing depth.
In the pristine groundwater system, natural recharge is equal to natural discharge, net recharge is zero,
and pumping is zero. Thus, natural recharge equals natural discharge (Fig. 1 a).
In the developed groundwater system, captured recharge is the increase in recharge induced by pumping.
Likewise, captured discharge is the decrease in discharge induced by pumping. Then, residual discharge
is equal to natural recharge minus captured discharge. Net recharge is equal
to the sum of captured recharge plus captured discharge. Net recharge varies with the intensity of pumping; the greater the intensity of
pumping, the greater the net recharge. Pumping in the developed groundwater system is equal to net recharge, i.e., capture (Fig. 1 b).
In addition to captured recharge and captured discharge, the depleted groundwater system also features captured storage.
Net recharge is equal to captured recharge plus captured discharge. Pumping in the depleted
groundwater system is equal to net recharge plus captured storage (Fig. 1 c).
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Fig. 1 Recharge and discharge in groundwater systems.
The greater the level of development, the greater the amounts of captured recharge and captured discharge, and, in the case of a depleted system, captured storage. The greater the captured discharge, the smaller the residual discharge. Since all aquifer discharge feeds surface water and evapotranspiration, it follows that intensive groundwater development can substantially affect local, subregional, or regional groundwater-fed surface water bodies and groundwater-dependent ecosystems. 3. Historical Perspective
Lee (1915) defined safe yield as the limit to the quantity of water which can be withdrawn regularly and permanently without
dangerous depletion of the storage reserve. He noted that water permanently extracted from an underground reservoir reduces
by an equal quantity the volume of water passing from the basin by way of natural channels, i.e., the natural discharge.
To illustrate the existence of this natural discharge, Lee observed that heavy pumping would commonly result in the drying
up of springs and wetlands. Thus, he distinguished between a theoretical safe yield, equal to the natural recharge, and a
practical safe yield, a lower value which takes into account the need to maintain a residual discharge.
Theis (1940) recognized that all ground water of economic importance is in constant movement through a porous rock
stratum, from a place of recharge to a place of discharge. He reasoned that under pristine conditions,
aquifers are in a state of approximate dynamic equilibrium. Discharge by pumping is a new discharge superimposed on a
previously stable system; consequently, it must be balanced by: (a) an increase in natural recharge;
(b) a decrease in natural discharge;
(c) a loss of storage in the aquifer; or
(d) a combination thereof.
Theis distinguished between natural recharge and available recharge.
Available recharge is the sum of unrejected and rejected recharge. The unrejected recharge
is the natural recharge; the rejected recharge is the portion of available recharge rejected by portions of
an aquifer on account of being full (at least part of the time). To assure maximum utilization of the supply,
Theis argued that groundwater development should tap primarily the rejected recharge and, secondarily, the
evapotranspiration by non-productive vegetation. Thus, he defined perennial safe yield as equal to the amount
of rejected recharge plus the fraction of natural discharge that it is feasible to utilize.
Where rejected recharge is zero, the only way to replace the well discharge is by artificial recharge.
Kazmann (1956) argued that the concept of safe yield, when taken independent of considerations
of regional hydrology, is a fallacious one, because it cannot be reconciled with the legal doctrine
of appropriation. All water coming from the ground must be replaced by water coming from the land
surface in order for a perennial groundwater supply to be obtained. When all surface runoff in the
area overlying an aquifer has been appropriated, a perennial supply cannot be obtained from the ground
without encroaching on established rights. Echoing Theis (1940), Kazmann saw artificial recharge as an
effective technological fix to the safe yield quandary.
The concept of sustainable development emerged in the 1980s, forcing a reconsideration of safe yield practices
(World Commission on Environment and Development 1987).
Sustainability refers to renewable natural resources; therefore, sustainability implies renewability. Since groundwater
is neither completely renewable nor completely nonrenewable, it begs the question of how much groundwater pumping is
sustainable. In principle, sustainable yield is that which is in agreement with sustainable development. This definition
is clear; however, its practical application requires the understanding of complex interdisciplinary relationships,
which have only recently been examined.
Alley et al. (1999) defined groundwater sustainability as the development and use of ground water in a manner that
can be maintained for an indefinite time without causing unacceptable environmental, economic, or social consequences.
The definition of "unacceptable" is largely subjective, depending on the individual situation. For instance, what may
be established as an acceptable rate of groundwater withdrawal with respect to changes in groundwater level, may reduce
the availability of surface water, locally or regionally, to an unacceptable level.
The term safe yield should be used with respect to specific effects of pumping, such as water level declines or reduced
streamflow. Thus, safe yield is the maximum pumpage for which the consequences are considered acceptable.
Sophocleous (2000) pointed out that the traditional concept of safe yield ignores the fact that, over the long term,
natural recharge is balanced by discharge from the aquifers by evapotranspiration and/or exfiltration into streams,
springs, and seeps. Consequently, if pumping equals recharge, eventually streams, marshes, and springs may dry up.
Additionally, continued pumping in excess of recharge may eventually deplete the aquifer.
Alley and Leake (2004) recognized the dependence of yield on the amount of capture. Unlike natural
recharge, which tends to be a constant for a given basin, capture is a function of the level of development;
the greater the pumping, the greater the capture. Thus, capture could not be sustainable in all cases. There is
concern about the long-term effects of groundwater development on the health of springs, wetlands, lakes, streams,
and estuaries. Sustainability is seen as all-encompassing, addressing issues across the disciplines.
Maimone (2004) argued that if sustainable yield must be all-inclusive, the idea that there exists a single,
correct number representing sustainable yield must be abandoned. Instead, he proposed a working definition,
coupled with an adaptive management approach, based on the following components:
Seward et al. (2006) found serious problems with the simplistic assumption that sustainable yield should equal
recharge. In many cases, sustainable yield will be considerably less than average annual recharge; therefore, the
general statement that sustainable or "safe" yield equals recharge is incorrect. Natural recharge does not determine
sustainable yield; rather, the latter is determined by the amount of capture that it is permissible to abstract
without causing undesirable or unacceptable consequences.
4. Analysis
The historical perspective confirms that sustainable yield is indeed an evolving concepts.
In assessing groundwater sustainability, issues of surface water hydrology, ecology, and water resources technology are seen to be
intertwined with the issue of social license.
The concepts may be summarized as follows:
The solution is to focus on a water balance that considers both surface water and ground water.
Precipitation, the source of all ground water, separates into several components as follows:
(1) return to the atmosphere via evaporation;
(2) return to the atmosphere via evapotranspiration;
(3) return to the ocean through direct runoff;
(4) return to the ocean through baseflow and, subsequently, streamflow;
(5) return to the ocean through deep percolation.
Of the five components of precipitation, only the third (direct runoff) is totally independent of ground water.
Fractions of evaporation and evapotranspiration may [originate and] be part of ground water. All baseflow originates
and is part of ground water. All deep percolation is part of ground water, but not part of streamflow.
The components vary with climate, scale, and local and regional geologic and hydrogeologic conditions. For the sake of
reference, on a global annual basis, evaporation and evapotranspiration is 58% of precipitation, streamflow is
40% (direct runoff is 28% and baseflow 12%), and deep percolation is 2% (World Water Balance 1978;
L'vovich 1979).
Like precipitation, natural recharge separates into several components as follows:
(1) return to the atmosphere via evaporation from bare soil;
(2) return to the atmosphere via evaporation from bodies of water;
(3) return to the atmosphere via evapotranspiration from vegetation, both natural (ecosystems) and human induced (agriculture);
(4) return to the ocean through the baseflow of streams and rivers; and
(5) return to the ocean through deep percolation.
Of the five components of natural recharge, only No. 5 (deep percolation) is totally independent of the continental surface
waters; therefore, it may be a potential candidate for capture by groundwater systems. Thus, on a global annual basis,
up to 2% of precipitation may be potentially tapped by groundwater systems with minimum encroachment on established
surface water rights. In practice, specific values of deep percolation would have to be established on a local,
subregional, or regional basis. For groundwater basins lying in close proximity to the ocean, the capture of all or
fractions of deep percolation should be examined carefully because of the possibility of salt-water intrusion.
Of the remaining four components (Nos. 1 to 4), it may be readily argued that all or fractions of No. 1
(evaporation from bare soil) may be also a candidate for capture by groundwater systems. It is more difficult to
argue in favor of capturing all or fractions of No. 2 (evaporation from water bodies) and No. 3 (evapotranspiration
from vegetation). It is most difficult to argue in favor of capturing all or fractions of No. 4 (baseflow).
In general, a detailed water balance and related interdisciplinary studies are required to determine whether it is
socially acceptable to set values of sustainable yield to encompass not only fractions of component No. 5 (deep percolation),
but also appropriate fractions of components 1, 2, 3, and 4. Essentially, the goal is to be able to determine an appropriate
yield-to-recharge percentage, and that this percentage be accepted as a reasonable compromise between conflicting interests.
What are typical values of the yield-to-recharge percentage? In this connection, it is instructive to examine examples of
usage-to-recharge percentages. Solley et al. (1998) have estimated that the pumpage of fresh ground water in the United States
in 1995 was approximately 77 billion gallons per day, which is 8.6% of the estimated more than 891 billion gallons per day of
natural recharge to the Nation's groundwater systems (Nace 1960; Alley et al. 1999). Limited experience suggests that
workable yield-to-recharge percentages are likely to be somewhat higher (Miles and Chambet 1995; Prudic and Herman 1996; Hahn et al. 1997).
5. Synthesis
All groundwater reservoirs of economic importance are temporarily holding water in transit from a place of recharge
to a place of discharge. Any amount of water extracted from the ground through pumping
would have to be eventually replaced by the same amount coming from the surface waters. A pristine groundwater reservoir is
in steady state, with inflows equal to ouflows. When a groundwater reservoir is full, it rejects all water, which has
no choice but to augment the surface waters. Conversely, when a groundwater reservoir is not full, it can take more water,
but it will discharge more water too, through natural discharge. The natural discharge supports riparian, wetland, and
other groundwater-dependent ecosystems, as well as the baseflow of streams and rivers.
All pumping comes from capture, and all capture is due to pumping. The greater the intensity of
pumping, the greater the capture. Capture comes from decreases in natural discharge and increases in recharge, the
latter coming either from increased ground surface recharge or from the surrounding areas. In depletion cases, capture
is augmented with decreased storage, i.e., with a permanent lowering of the water table.
The water that seeps below the ground surface can follow one of three paths:
(1) return to the atmosphere via evaporation and evapotranspiration
(2) return to the ocean via baseflow and subsequent streamflow; or
(3) return to the ocean through deep percolation.
Of these three, only deep percolation is completely independent of the continental surface waters. Therefore, it is the only component of
precipitation (or recharge) that may be potentially subject to sequestering (capture) by pumping. Studies are needed on a local,
subregional, and regional basis to determine deep percolation as a percentage of precipitation, or alternatively, as a percentage
of recharge. For groundwater basins in close proximity to the ocean, the possibility of salt-water intrusion must be examined carefully.
A groundwater reservoir is essentially a leaky, porous natural geologic container (Fig. 2). In nature, precipitation P separates
into direct runoff Q, evaporation and evapotranspiration ET, and natural recharge NR. All natural recharge eventually flows out as
either natural discharge ND or deep percolation DP, at various spatial scales, from small to large watersheds. Natural discharge
can return to the atmosphere via evaporation and evapotranspiration ET, or to the ocean via baseflow BF. The deeper the ground water,
the larger the spatial scale of natural discharge, from the local to the regional scale.
Fig. 2 Geometric model of a groundwater reservoir.
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