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  <front>
    <journal-meta>
<journal-id journal-id-type="publisher">HESS</journal-id>
<journal-title-group>
<journal-title>Hydrology and Earth System Sciences</journal-title>
<abbrev-journal-title abbrev-type="publisher">HESS</abbrev-journal-title>
<abbrev-journal-title abbrev-type="nlm-ta">Hydrol. Earth Syst. Sci.</abbrev-journal-title>
</journal-title-group>
<issn pub-type="epub">1607-7938</issn>
<publisher><publisher-name>Copernicus Publications</publisher-name>
<publisher-loc>Göttingen, Germany</publisher-loc>
</publisher>
</journal-meta>

    <article-meta>
      <article-id pub-id-type="doi">10.5194/hess-20-3631-2016</article-id><title-group><article-title><?xmltex \hack{\vspace*{4mm}}?>Drought in a human-modified world: reframing drought definitions,
understanding, and analysis approaches</article-title>
      </title-group><?xmltex \runningtitle{Drought in a human-modified world}?><?xmltex \runningauthor{A. F. Van Loon et al.}?>
      <contrib-group>
        <contrib contrib-type="author" corresp="yes" rid="aff1">
          <name><surname>Van Loon</surname><given-names>Anne F.</given-names></name>
          <email>a.f.vanloon@bham.ac.uk</email>
        <ext-link>https://orcid.org/0000-0003-2308-0392</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff2">
          <name><surname>Stahl</surname><given-names>Kerstin</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-2159-9441</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff3">
          <name><surname>Di Baldassarre</surname><given-names>Giuliano</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-8180-4996</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff4">
          <name><surname>Clark</surname><given-names>Julian</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Rangecroft</surname><given-names>Sally</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff5">
          <name><surname>Wanders</surname><given-names>Niko</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-7102-5454</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff6">
          <name><surname>Gleeson</surname><given-names>Tom</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff7">
          <name><surname>Van Dijk</surname><given-names>Albert I. J. M.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-6508-7480</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff8">
          <name><surname>Tallaksen</surname><given-names>Lena M.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-8480-7842</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff9">
          <name><surname>Hannaford</surname><given-names>Jamie</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff10">
          <name><surname>Uijlenhoet</surname><given-names>Remko</given-names></name>
          
        <ext-link>https://orcid.org/0000-0001-7418-4445</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff10">
          <name><surname>Teuling</surname><given-names>Adriaan J.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0003-4302-2835</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Hannah</surname><given-names>David M.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0003-1714-1240</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff5">
          <name><surname>Sheffield</surname><given-names>Justin</given-names></name>
          
        <ext-link>https://orcid.org/0000-0003-2400-0630</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff11">
          <name><surname>Svoboda</surname><given-names>Mark</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff12">
          <name><surname>Verbeiren</surname><given-names>Boud</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-4545-0051</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff13 aff14">
          <name><surname>Wagener</surname><given-names>Thorsten</given-names></name>
          
        <ext-link>https://orcid.org/0000-0003-3881-5849</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff10">
          <name><surname>Van Lanen</surname><given-names>Henny A. J.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0001-9226-3921</ext-link></contrib>
        <aff id="aff1"><label>1</label><institution>Water Science Research Group, School of Geography, Earth, and Environmental Sciences, University of Birmingham, Edgbaston, Birmingham, UK</institution>
        </aff>
        <aff id="aff2"><label>2</label><institution>Hydrology Department, Faculty of Environment and Natural Resources, University of Freiburg, Freiburg, Germany</institution>
        </aff>
        <aff id="aff3"><label>3</label><institution>Department of Earth Sciences, Uppsala University, Uppsala, Sweden</institution>
        </aff>
        <aff id="aff4"><label>4</label><institution>Human Geography Research Group, School of Geography, Earth, and Environmental Sciences, University of Birmingham, Birmingham, UK</institution>
        </aff>
        <aff id="aff5"><label>5</label><institution>Civil and Environmental Engineering, Princeton University, Princeton, NJ, USA</institution>
        </aff>
        <aff id="aff6"><label>6</label><institution>Department of Civil Engineering, University of Victoria, Victoria, Canada</institution>
        </aff>
        <aff id="aff7"><label>7</label><institution>Fenner School of Environment &amp; Society, the Australian National University, Canberra, Australia</institution>
        </aff>
        <aff id="aff8"><label>8</label><institution>Department of Geosciences, University of Oslo, Oslo, Norway</institution>
        </aff>
        <aff id="aff9"><label>9</label><institution>Centre for Ecology and Hydrology, Wallingford, UK</institution>
        </aff>
        <aff id="aff10"><label>10</label><institution>Hydrology and Quantitative Water Management group, Wageningen University, Wageningen, the Netherlands</institution>
        </aff>
        <aff id="aff11"><label>11</label><institution>National Drought Mitigation Center, University of Nebraska, Lincoln, NE, USA</institution>
        </aff>
        <aff id="aff12"><label>12</label><institution>Department of Hydrology and Hydraulic Engineering, Vrije Universiteit Brussel, Brussels, Belgium</institution>
        </aff>
        <aff id="aff13"><label>13</label><institution>Department of Civil Engineering, University of Bristol, Bristol, UK</institution>
        </aff>
        <aff id="aff14"><label>14</label><institution>Cabot Institute, University of Bristol, Bristol, UK </institution>
        </aff>
      </contrib-group>
      <author-notes><corresp id="corr1">Anne F. Van Loon (a.f.vanloon@bham.ac.uk)</corresp></author-notes><pub-date><day>8</day><month>September</month><year>2016</year></pub-date>
      
      <volume>20</volume>
      <issue>9</issue>
      <fpage>3631</fpage><lpage>3650</lpage>
      <history>
        <date date-type="received"><day>20</day><month>May</month><year>2016</year></date>
           <date date-type="rev-request"><day>31</day><month>May</month><year>2016</year></date>
           <date date-type="rev-recd"><day>23</day><month>August</month><year>2016</year></date>
           <date date-type="accepted"><day>26</day><month>August</month><year>2016</year></date>
      </history>
      <permissions>
<license license-type="open-access">
<license-p>This work is licensed under a Creative Commons Attribution 3.0 Unported License. To view a copy of this license, visit <ext-link ext-link-type="uri" xlink:href="http://creativecommons.org/licenses/by/3.0/">http://creativecommons.org/licenses/by/3.0/</ext-link></license-p>
</license>
</permissions><self-uri xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016.html">This article is available from https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016.html</self-uri>
<self-uri xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016.pdf">The full text article is available as a PDF file from https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016.pdf</self-uri>


      <abstract>
    <p>In the current human-modified world, or Anthropocene,
the state of water stores and fluxes has become dependent on human as well
as natural processes. Water deficits (or droughts) are the result of a
complex interaction between meteorological anomalies, land surface
processes, and human inflows, outflows, and storage changes. Our current
inability to adequately analyse and manage drought in many places points to
gaps in our understanding and to inadequate data and tools. The Anthropocene
requires a new framework for drought definitions and research. Drought
definitions need to be revisited to explicitly include human processes
driving and modifying soil moisture drought and hydrological drought
development. We give recommendations for robust drought definitions to
clarify timescales of drought and prevent confusion with related terms such
as water scarcity and overexploitation. Additionally, our understanding and
analysis of drought need to move from single driver to multiple drivers and
from uni-directional to multi-directional. We identify research gaps and
propose analysis approaches on (1) drivers, (2) modifiers, (3) impacts, (4) feedbacks,
and (5) changing the baseline of drought in the Anthropocene. The most
pressing research questions are related to the attribution of drought to its
causes, to linking drought impacts to drought characteristics, and to
societal adaptation and responses to drought. Example questions include
<?xmltex \hack{\newpage}?>
<list list-type="custom"><list-item><label>(i)</label><p>What are the dominant drivers of drought in different parts of the world?</p></list-item><list-item><label>(ii)</label><p>How do human modifications of drought enhance or alleviate drought
severity?</p></list-item><list-item><label>(iii)</label><p>How do impacts of drought depend on the physical
characteristics of drought vs. the vulnerability of people or the
environment?</p></list-item><list-item><label>(iv)</label><p>To what extent are physical and human drought processes
coupled, and can feedback loops be identified and altered to lessen or
mitigate drought?</p></list-item><list-item><label>(v)</label><p>How should we adapt our drought analysis to
accommodate changes in the normal situation (i.e. what are considered
normal or reference conditions) over time?</p></list-item></list>
Answering these questions requires exploration of qualitative and quantitative data as well as mixed
modelling approaches. The challenges related to drought research and
management in the Anthropocene are not unique to drought, but do require
urgent attention. We give recommendations drawn from the fields of flood
research, ecology, water management, and water resources studies. The
framework presented here provides a holistic view on drought in the
Anthropocene, which will help improve management strategies for mitigating
the severity and reducing the impacts of droughts in future.</p>
  </abstract>
    </article-meta>
  </front>
<body>
      

<sec id="Ch1.S1" sec-type="intro">
  <title>Introduction</title>
      <p>The hydrological system is intrinsically intertwined with the climate
system, the environmental/ecological system and the social system (Fig. 1).
These links are dynamic and interdependent. Natural water inflows and
outflows vary and change in time and space, as do human water exploitation
and associated activities, leading to what some have called a mutually
co-evolving hydrosocial cycle (Linton and Budds (2014), p. 170). All these
complex interlinked processes define the state of the hydrological system
and the amount of water stored in the soil, groundwater, lakes, rivers, and
reservoirs. When there is (much) less water in the hydrological system than
normal, as manifested in below-normal soil moisture levels, river discharge,
groundwater, and/or lake/reservoir levels, the system is perceived to be in
drought, whether by natural causes (meteorological anomalies) or
anthropogenic causes such as groundwater abstraction (Van Loon et al.,
2016). Droughts can have severe consequences for water use in various
sectors, for instance agriculture, drinking water supply and hydropower
production, as well as adverse impacts on ecosystems (Ciais et al.,
2005; Lake, 2011; Sheffield et al., 2012; Grayson, 2013; Mosely, 2015; Stahl
et al., 2015, 2016).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F1"><caption><p>The water system linking physical, biological, and human components
through natural and anthropogenic water flows (adapted from Winter et al.,
1998; Vörösmarty et al., 2004; copyright: AGU).</p></caption>
        <?xmltex \igopts{width=241.848425pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f01.png"/>

      </fig>

      <p>In recent decades, droughts have received increasing attention from policy
makers and society, while drought research has made significant progress.
Examples of this progress are the continuous development of drought indices
(Shukla and Wood, 2008; Bloomfield and Marchant, 2013; Stagge et al.,
2015b); the improved understanding of the link between drought and
atmospheric and ocean drivers (Fleig et al., 2010; Kingston et al., 2015);
the influence of evapotranspiration (Teuling et al., 2013), snow (Staudinger
et al., 2014) and geology (Stoelzle et al., 2014; Kumar et al., 2016) on
drought severity; drought monitoring and forecasting (Sheffield et al.,
2014; Trambauer et al., 2015); and the effects of climate change on drought
(Prudhomme et al., 2014; Trenberth et al., 2014; Wanders et al., 2015).</p>
      <p>Still, many challenges remain. For example, the attribution of a groundwater
or surface water deficit to its natural and human causes and the prediction
of such a drought remain very difficult (Van Dijk et al., 2013; Diffenbaugh
et al., 2015). For the recent multi-year drought in California this has led
to discussion about the role of groundwater abstraction (AghaKouchak et al.,
2015a). Additionally, observed trends in measured low flows and drought are
influenced by human activities (Sadri et al., 2016), probably even when only
unregulated catchments are selected (as noted by Hisdal et al., 2001;
Stahl et al., 2010). This undermines our understanding of the effects of
climate change on low flows and droughts and increases the uncertainty in
projections for the future (Forzieri et al., 2014). Similar difficulties
arise when attempting to link physical (i.e. climate or hydrological)
indicators with societal or environmental impacts (Stanke et al., 2013;
Bachmair et al., 2015; Gudmundsson et al., 2014; Blauhut et al., 2015;
Stagge et al., 2015a), with this link being a crucial step in enabling societies
to prepare for drought risks. In many big cities, for example, coping with
drought is very complex, because vulnerability is high and factors such as
the urban heat island effect, poor water supply, and water quality issues
play an additional role (Güneralp et al., 2015). In drought management,
the connections within the hydrological cycle are often overlooked, for
example, when unsustainable groundwater abstraction is used as adaptation to
drought (e.g. Castle et al., 2014; Foster et al., 2015), or when
restrictions are imposed for using surface water, but not for groundwater,
leading to enhancement of the hydrological drought (as during the recent
California drought and previous droughts in the Netherlands).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F2"><caption><p>Drought propagation including natural and human drivers
and feedbacks; black arrows indicate direct influences and grey arrows
indicate feedbacks (modified from Van Loon et al., 2016).</p></caption>
        <?xmltex \igopts{width=241.848425pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f02.png"/>

      </fig>

      <?xmltex \floatpos{p}?><fig id="Ch1.F3" specific-use="star"><caption><p>Examples of why humans are integral to drought and we should not focus on natural drought causes only.</p></caption>
        <?xmltex \igopts{width=497.923228pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f08.pdf"/>
        <?xmltex \hack{\def\figurename{Box}\setcounter{figure}{0}}?>

      </fig>

      <p><?xmltex \hack{\setcounter{figure}{2}}?>These examples point out a number of issues (see Box 1). Firstly, recent
(drought) research is not always picked up by water managers and policy
makers. There exists a lack of two-way communication between stakeholders
and researchers, with proper ontology and semantics. Secondly, drought
research itself has some important gaps related to the interplay between
drought and humans, which prevent us from completely understanding the
complex interdisciplinary issue that is drought. Thirdly, these examples
also highlight the unsuitability of current methods and data to address
these gaps. For successful drought risk management, our understanding must
include the processes leading to drought (causes) and the impacts of
drought (consequences). In this way, drought predictions can be made and
effective measures taken to mitigate drought severity and to reduce drought
impacts.</p>
      <p>The growing human impact on the earth system has led to numerous calls to
recognize a new, distinct geological epoch: the Anthropocene. While debate
continues about the definition of the Anthropocene (Crutzen, 2002; Lewis and
Maslin, 2015; Hamilton, 2016), it provides a useful framework for
considering the present era, when human activity plays a fundamental role in
water, energy, and biogeochemical cycles. In the Anthropocene, society
actively shapes water availability, and the feedbacks between physical and
social aspects are particularly important during periods of water deficit.
This means we cannot see drought as an external natural hazard and treat the
consequences separately from the causes. Van Loon et al. (2016) argued that,
for successful drought management in the Anthropocene, natural and human
processes need to be fully integrated into drought definitions, process
understanding, and analysis approaches. This paper builds on that argument
and elaborates on research questions, data, and methodology that are needed
to reframe and extent drought research in the Anthropocene.</p>
</sec>
<sec id="Ch1.S2">
  <title>Drought definitions in the Anthropocene</title>
      <p>It is known that human activities can create a drought situation or make an
existing one worse (e.g. Wilhite and Glanz, 1985; Tallaksen and Van Lanen,
2004), but these processes are rarely ever explicitly included in drought
definitions. Much has been said about the need for objective drought
definitions and the difficulties related to that aim (e.g. Yevjevich, 1967;
Wilhite and Glantz, 1985; Lloyd-Hughes, 2014), which we will not repeat
here. We do, however, need to have a closer look at identifying the role of
human processes in the definition of drought. In this section, we therefore
revisit drought definitions and make suggestions for robust use in the
Anthropocene.</p>
<sec id="Ch1.S2.SS1">
  <title>Drought as a lack of water</title>
      <p>Drought is defined as a lack of water compared to normal conditions which
can occur in different components of the hydrological cycle (Palmer, 1965;
Tallaksen and Van Lanen, 2004; Sheffield and Wood, 2011). It is commonly
subdivided into meteorological drought (rainfall deficit), soil moisture
drought (below-normal soil moisture levels), and hydrological drought
(below-normal (sub)surface water availability). The normal is often taken as
a percentile of the climatology of the variable of interest, and severity
(e.g. deficit volume) and duration of drought events can be calculated (Van
Loon, 2015).</p>
      <p>In the natural sciences, there is a fair understanding of the propagation of
drought from meteorological drought to soil moisture drought and
hydrological drought (Fig. 2, left side), influenced by catchment
properties such as geology and vegetation cover. For example, many
hydrological drought types have been recognized, e.g. the classical
rainfall-deficit drought, but also hydrological droughts caused by
temperature anomalies in snow-dominated areas (Van Loon and Van Lanen, 2012;
Van Loon et al., 2015). This is typically regarded as a uni-directional
propagation with human receptors at the downstream end. However, in reality,
human processes are interlinked with natural processes in various ways (Fig. 2,
right side). Soil moisture and hydrological drought (hereafter called
drought) are the result of low inputs to the hydrological system (e.g. lack
of rain, snow/glacier melt, irrigation, sewage return flows), high outputs
(e.g. evapotranspiration, human water use), and limited storage (in soil,
groundwater, lakes, and reservoirs). Human activities influence water input,
output, and storage and therefore modify the propagation of drought and can
even be the cause of drought in the absence of natural drivers of drought.
The drought typology based on natural processes should therefore be
complemented with drought types based on human processes.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F4"><caption><p>Drought types: climate-induced drought, human-induced
drought, human-modified drought (modified from Van Loon et al., 2016).</p></caption>
          <?xmltex \igopts{width=241.848425pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f03.png"/>

        </fig>

      <p>The natural drought types can be grouped together as “climate-induced”
droughts and drought types based on human processes can be termed
“human-induced” or “man-made” drought (Fig. 3; Van Loon et al., 2016).
This parallels an existing widely referenced typology of floods, which
includes man-made flood alongside natural floods such as flash flood,
snowmelt flood, and ice jam flood (e.g. Yevjevich, 1994; De Kraker, 2015).
The distinction between climate-induced and human-induced drought is useful
in studies of the attribution of drought to its causes. To further
acknowledge the possibly large influence of human activities modifying
drought (Fig. 2), we additionally propose the term “human-modified
drought” for a drought that is enhanced or alleviated as the result of
anthropogenic processes (Fig. 3). For this terminology, we focus on direct
human influences on the hydrological cycle such as water abstraction and
land use change, although we recognize that anthropogenic climate change
indirectly affects the meteorological drivers of drought (e.g. Williams et
al., 2015).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F5" specific-use="star"><caption><p>Conceptual figure of drought, aridity, and water scarcity.
Average water availability (water levels or fluxes in rivers, lakes,
reservoirs, or groundwater aquifers) are lower in arid climates <bold>(b)</bold> than in
humid climates <bold>(a)</bold>, resulting in a lower threshold under natural conditions.
In both regions, climate-induced droughts are defined relative to this
threshold (<bold>a</bold> and <bold>b</bold>; green areas). The region experiences water scarcity
when the long-term water demand is higher than the long-term water
availability (<bold>a</bold> and <bold>b</bold>; red areas). In human-influenced catchments
(<bold>c</bold> and <bold>d</bold>), human-induced and human-modified droughts can be determined relative to
a natural threshold (light green) or a human-influenced threshold
(dark green), resulting in different drought events (green areas vs. dashed
areas). For simplicity of this figure, we assumed a similar water demand in
humid and arid climates and under natural and human-influenced conditions.
Often, however, water demand is higher in arid climates and under
human-influenced conditions leading to even more severe water scarcity and
drought. NB: both the drought threshold and water demand can also be
seasonally variable (e.g. Van Loon, 2015; Mekonnen and Hoekstra, 2016).</p></caption>
          <?xmltex \igopts{width=341.433071pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f04.png"/>

        </fig>

      <p>With these terms, we actively include humans as drivers and modifiers of
drought in the definition. There is no need for rephrasing the general
drought definition, in which human processes are implicitly included.
Furthermore, the terms we propose are not new (climate-induced drought:
Sheffield and Wood, 2011, p. 30; human-induced drought: Wilhite and
Buchanan-Smith 2005, p. 10 and Falkenmark and Rockström, 2008, p. 93)
and they match well with the flood terminology (Yevjevich, 1994).</p>
</sec>
<sec id="Ch1.S2.SS2">
  <title>Drier than normal: timescales of drought in the Anthropocene</title>
      <p>Drought is a lack of water compared to a certain normal situation, but
what constitutes this normal situation in the Anthropocene? A drought occurs
when actual water availability (indicated by water levels or fluxes) is
below normal (Fig. 4). In a natural catchment, undisturbed by human
activity, both actual and normal water availability are governed by natural
processes in response to climate. Normal water availability is determined by
the climate (long timescales), for example, a (semi-)arid climate results in
low average water availability (aridity; Table 1) and low threshold
levels (Fig. 4c). Actual availability is determined by climate variability
(here used as term for a combination of weather events; short timescales);
for example, a rainfall deficit leading to a climate-induced drought
(Table 1; Fig. 4a, c). Even though drought is defined on shorter
timescales than aridity, very short periods of below-normal water
availability are often not regarded as drought, e.g. drought is defined as
“sustained” by Tallaksen and Van Lanen (2004, p. 4), which means it lasts
for longer than few days. This makes droughts generally occur on longer
timescales than, for example, floods.</p>
      <p>In a human-influenced catchment, actual and normal water availability are,
besides by climate, also influenced by human activities (Fig. 4b, d).
The actual situation is influenced by water use and water management (short
timescales), leading to lower or higher water levels, whereas the normal
situation is influenced by long-term actions such as groundwater depletion
and anthropogenic land use change (long timescales; Table 1). There are
different ways to account for this different normal. If we have a long-enough
time series to determine the normal situation as influenced by human
activities, we can use that as our reference or threshold and only determine
our droughts as extreme events relative to this human-influenced normal
(Fig. 4b, d: disturbed drought threshold). For example, in the Júcar
Basin in Spain drought measures are based on thresholds in measured
reservoir levels, groundwater levels, and river flow, which are all heavily
influenced by abstraction for irrigation (Andreu et al., 2009).
Alternatively, we can use a threshold determined from an undisturbed period
or a naturalized model scenario, so using the situation that would have
occurred without human activities as reference, as a natural normal (Fig. 4b, d:
natural drought threshold; e.g. Van Loon and Van Lanen, 2013). The
latter allows for a better identification of human-modified drought, both
droughts enhanced and alleviated by human activities (Van Loon and Van
Lanen, 2015). Because drought is an extreme event, the normal situation is
not characterized by long-term average water levels or fluxes. Instead, a
drought threshold (Fig. 3) is used that is calculated as a percentile(s) of
a long time series (commonly, the value that is exceeded 80–95 % of the
time) or return periods representing rare occurrence (for example, a 50-year
drought). Some studies use a variable threshold calculated on daily,
monthly, or seasonal timescales to represent seasonality and identify
differences between droughts in different seasons (Van Loon, 2015). This is
very relevant in the Anthropocene, because humans interact differently with
droughts in different seasons. Water abstraction for irrigation, for
example, also follows a seasonal pattern and has different effects on summer
drought vs. winter drought. On the other hand, in monsoon climates, drought
characterized by a prolonged dry season causes different socio-economic
impacts than a below-normal wet season.</p>
</sec>
<sec id="Ch1.S2.SS3">
  <title>Confusion between terms in the Anthropocene</title>
      <p>Drought is often confused with water scarcity and water shortage, which are
defined as “less water than needed”, i.e. where demand is greater than
supply (Table 1). The demand, or desired level, is included in Fig. 4 to
illustrate the difference. In an unpopulated natural region, the desired
situation is related to ecosystem requirements. Often these are not
different from the normal situation because of the co-evolution of ecosystem
and landscape. However, in a human-dominated region, the desired situation
or water demand is dependent on population, standard of living, water
efficiency, but also on climate. In many areas, the desired situation is out
of balance with the normal situation, i.e. average water demand is higher
than average water availability, because of rapid population growth, changes
in diet, etc. This long-term imbalance leads to water scarcity (see
Rijsberman, 2006, for a good overview of water scarcity definitions) and
when it coincides with short-term drought it leads to acute water shortage
(Table 1 and Fig. 4). If society satisfies its demand by abstracting more
water, human-induced drought can occur in the short term (changing the
actual situation) and overexploitation in the long term (changing the normal
situation; Table 1 and Fig. 4).</p>
      <p>Human-induced drought should also not be confused with the term
“socio-economic drought” (Wilhite and Glantz, 1985, p. 115), which is used
to denote socio-economic impacts of drought. Although socio-economic drought
is often mentioned as a type of drought in scientific papers and on websites
explaining drought to the general public, a clear distinction should be made
between the physical lack of water (drought) and its socio-economic
consequences (impacts of drought). These impacts are sometimes used to
define the drought threshold (Fig. 3), which then reflects the water level
at which ecological or socio-economic impacts are expected to occur, such as
ecological minimum flow or minimum reservoir levels.</p>

<?xmltex \floatpos{t}?><table-wrap id="Ch1.T1" specific-use="star"><caption><p>Drought terminology in relation to drivers and timescales (based on
Wilhite and Glantz, 1985; Tallaksen and Van Lanen, 2004; Rijsberman, 2006;
Sheffield and Wood, 2011; Maliva and Missimer, 2012; Van Loon and Van Lanen,
2013; Lloyd-Hughes, 2014; Oertel et al., 2015; Stahl et al., 2016;  Van
Loon et al., 2016).</p></caption><oasis:table frame="topbot"><oasis:tgroup cols="2">
     <oasis:colspec colnum="1" colname="col1" align="left"/>
     <oasis:colspec colnum="2" colname="col2" align="justify" colwidth="360pt"/>
     <oasis:thead>
       <oasis:row rowsep="1">  
         <oasis:entry colname="col1">Term</oasis:entry>  
         <oasis:entry colname="col2">Definition</oasis:entry>
       </oasis:row>
     </oasis:thead>
     <oasis:tbody>
       <oasis:row>  
         <oasis:entry colname="col1">Drought</oasis:entry>  
         <oasis:entry colname="col2">Temporary lack of water compared to normal conditions</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Climate-induced drought</oasis:entry>  
         <oasis:entry colname="col2">Drought caused by climate variability</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Human-induced drought</oasis:entry>  
         <oasis:entry colname="col2">Drought caused by human influence on water cycle</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Human-modified drought</oasis:entry>  
         <oasis:entry colname="col2">Drought caused by combination of climate variability and human influence on water cycle or<?xmltex \hack{\hfill\break}?>Climate-induced drought enhanced or alleviated by human activities</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Drought impact</oasis:entry>  
         <oasis:entry colname="col2">Impact of drought on socio-economic systems (sometimes called “socio-economic drought”)<?xmltex \hack{\hfill\break}?>and/or ecosystems</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Aridity</oasis:entry>  
         <oasis:entry colname="col2">Long-term dryness as feature of climate, with long-term average precipitation being much lower than<?xmltex \hack{\hfill\break}?>potential evaporation</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Water scarcity</oasis:entry>  
         <oasis:entry colname="col2">Long-term imbalance between water demand and water supply, caused by high average  demand, low<?xmltex \hack{\hfill\break}?>average water availability and/or problems with water supply</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Water shortage/stress</oasis:entry>  
         <oasis:entry colname="col2">Acute lack of water for (social, economic, or environmental)  needs, caused by lower water<?xmltex \hack{\hfill\break}?>supply than demand</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Overexploitation</oasis:entry>  
         <oasis:entry colname="col2">Long-term overuse of water resources resulting in a gradual decrease in water availability <?xmltex \hack{\hfill\break}?>(for overexploitation of groundwater, the term “depletion” is often used)</oasis:entry>
       </oasis:row>
     </oasis:tbody>
   </oasis:tgroup></oasis:table></table-wrap>

      <p>We have to point out that the definitions of drought and its impacts used
here deviate from the definitions used in other scientific disciplines, in
particular in the climate community. For example, in the IPCC SREX report,
drought, as we define it here, is considered an “impact of extreme (weather
or climate) on the natural physical environment” (IPCC, 2012, p. 40 and
167), whereas we see drought as a state of the natural physical environment
that can cause ecological and socio-economic impacts. Similar confusion can
arise for the terms “attribution”, “mitigation”, and “adaptation”, which are
often assumed to be synonymous with attribution, mitigation, and adaptation
of (anthropogenic) climate change, but can also be used for the attribution,
mitigation, and adaptation of drought.</p>
</sec>
</sec>
<sec id="Ch1.S3">
  <title>A framework for understanding and analysing drought in the
Anthropocene</title>
      <p>The traditional view of drought propagation is uni-directional: climate
variability causes drought, which propagates through the hydrological system
and subsequently leads to impacts (Fig. 2, left side). Because of the
complex relationships in the water cycle (Fig. 1) there are other drivers
and modifications of drought and influences working in the opposite
direction (Fig. 2). Therefore, the understanding of drought propagation
needs to move from single driver to multiple drivers, and from
uni-directional to bi-directional or even multi-directional.</p>
      <p>For characterization of this complete multi-directional system,
unfortunately, our understanding and observation of drought processes have
important gaps and the modelling and prediction tools at our disposal are
therefore inadequate. The gaps are in the areas of (1) drivers of drought,
(2) modifications of drought, (3) impacts of drought, (4) feedbacks of drought,
and (5) changing the normal situation. The framework presented in this section allows us to
acknowledge what has been done in these areas, highlight where our
understanding of drought processes in the Anthropocene is lacking, and
discuss the data, approaches, and tools that are needed to address these
gaps.</p><?xmltex \hack{\newpage}?>
<sec id="Ch1.S3.SS1">
  <title>Drivers of drought</title>
      <p>Drought is often seen from a meteorological perspective (Van Lanen et al.,
2016), driven only by meteorological anomalies that disturb the normal water
balance in a catchment (Fig. 2, left side). Given the significant human
modifications of the terrestrial hydrological cycle, this is too simplistic
a perspective (Box 1). If we take a hydrological perspective on drought, a
lack of water compared to normal conditions can have a range of drivers
(Fig. 2). There are many reasons for adopting a hydrological, rather than
meteorological, perspective on drought. Firstly, people mainly use
(sub)surface water, not rainfall directly (except for rainwater harvesting),
so socio-economic impacts of drought are more related to a lack of
(sub)surface water. Secondly, water on and beneath the land surface can be
managed and manipulated, in contrast to rainfall, so that hydrological
drought can be mitigated. Finally, the direct anthropogenic influences
on hydrological drought are probably much larger than climate change
influences in many areas of the world. If we adopt a hydrological
perspective on drought, it is important to distinguish between the different
drivers of drought. This distinction leads to more accurate drought
prediction and helps to direct attention and allocate investments between
adaptation to climate-induced drought and reduction of human-induced
drought. However, distinguishing between climate-induced and human-induced
drought is a major scientific challenge.</p>
      <p>Human-induced droughts are recognized (Wilhite and Buchanan-Smith, 2005),
but there is a large gap in our understanding of the development of
human-induced and human-modified drought. We do know that human drivers principally
influence soil moisture drought and hydrological drought and generally do
not cause meteorological drought (Fig. 2; excluding relatively small-scale
land surface feedback, e.g. due to irrigation (Tuinenburg et al., 2014), or
the global, indirect effects of anthropogenic climate change). We can also
hypothesize that the main process underlying human-induced and
human-modified drought is abstraction from groundwater and surface water.
There are many scientific studies on the long-term effects of abstraction
(decades to centuries) but few on the temporal variability of abstraction
on drought timescales (months to years). It is therefore still unclear how
important human-induced and human-modified droughts are compared to
climate-induced droughts for different areas around the world.</p>
      <p>Research questions about drought drivers include
<list list-type="bullet"><list-item><p>To what extent can observed historic drought events be attributed to different drivers?</p></list-item><list-item><p>What are the dominant drivers of drought in different parts of the world?</p></list-item><list-item><p>Do human-induced and human-modified droughts follow the same development as
climate-induced drought and what are the implications for management?</p></list-item></list></p>
      <p>Answering these questions requires quantification of the direct human
drivers of soil moisture drought and hydrological drought, in absence of
meteorological anomalies, for historical drought events. The approach would
be to identify droughts in time series of observed hydrological variables
and compare those to time series of climate-induced drought (represented by
meteorological drought, observed droughts in an undisturbed nearby
catchment, or simulated naturalized droughts). This last approach was used
successfully in Australia (Van Dijk et al., 2013) and Spain (Van Loon and
Van Lanen, 2013) and could be applied in other areas around the world to
understand the variability in how human drivers impact drought.
Naturalization of disturbed time series is challenging, being very much
dependent on accurate modelling or regionalization approaches and data of
human disturbances at a sufficiently high spatial and temporal resolution.
Many international hydrological databases and data-sharing initiatives,
however, have deliberately focused on near-natural systems (e.g. Hannah et
al., 2011; Whitfield et al., 2012) in order to discern climate-driven
processes from the noise of various human disturbances. We argue for more
analysis of the disturbed catchments already included in hydrological
databases and promote the extension of these databases with more
human-influenced catchments, as suggested previously by Gustard et al. (2004).
Perhaps the greatest obstacle to achieving this is the lack of
metadata indexing the type and degree of human impact in any one catchment,
which is often not known or poorly quantified. There is a pressing need for
a bottom-up approach to transfer such knowledge, where it exists, from
catchment-, regional- or national-scale archives to the international research
community. We also call for more experimental catchments in human-influenced
areas in which particular human influences on the hydrological cycle can be
isolated and controlled, for example, within the Euromediterranean Network of
Experimental and Representative Basins (ERB), the network of Critical Zone
Observatories in the USA, and the TERestrial ENvironmental Observatories
(TERENO) in Germany. Alternatively, we can make more use of satellite data
of hydrological variables, which have become more widely available on the global
scale, although still with high uncertainties (AghaKouchak et al., 2015b).
Useful satellite products are soil moisture missions (SMAP, SMOS, AMSR-E II,
ASCAT) for soil moisture information on high spatial and temporal resolution
and NASA's Gravity Recovery and Climate Experiment (GRACE) for total water
storage. If these are compared with global precipitation estimates (from
satellites, TRMM and GPM, or from re-analysis), human-induced droughts might
be identified in the absence of natural drought drivers.</p>
</sec>
<sec id="Ch1.S3.SS2">
  <title>Modifications of drought</title>
      <p>The severity of droughts is strongly modified by catchment storage and
release processes. In the natural situation these modifiers are determined
by factors such as soil type, geology, and land cover (Fig. 2, left side). In
the Anthropocene, human activities change storage and land properties
influencing propagation processes, and modify drought severity directly
through anthropogenic inflows or outflows of water (Fig. 2, right side).
Just like natural modifiers, human modifiers can have both positive
(enhancing) and negative (attenuating) effects on drought severity. The
processes underlying direct modification of drought severity by human-influenced
inflows or outflows of water are most recognized and understood,
whereas the effects of human modification of storage and land properties,
although recognized as potentially important, are more elusive.</p>
      <p>There are ample examples of how human changes in land properties influence
the hydrological cycle. Urbanization, for example, results in less
infiltration and more runoff in some cases and in more recharge in others
(due to leakage of water supply and sewage systems; Lerner, 1990).
Deforestation, afforestation, agricultural practices, and desertification
influence evapotranspiration and consequently soil moisture. Some studies
focused on the effects of land use change on low flows (Tallaksen, 1993;
Hurkmans et al., 2009), but there is very little quantitative research on
how these processes influence drought severity and contrasting results are
reported between modelling studies (Tallaksen, 1993; Hurkmans et al., 2009)
and observation-based studies (Price et al., 2011; Eng et al., 2013).</p>
      <p>Research questions about human modifications of drought include
<list list-type="bullet"><list-item><p>How do human modifications of drought enhance or alleviate drought severity?</p></list-item><list-item><p>How do we predict drought development, severity and recovery in
human-influenced areas, taking into account relevant human drought
modifiers?</p></list-item></list>
Direct inflows or outflows of water are relatively easy to quantify with a
water balance approach that explicitly takes into account human water flows
(Lloyd-Hughes, 2014). However, this approach requires data of human
influences on the water system, such as surface water and groundwater
abstraction, inter-basin water transfers (Van Loon and Van Lanen, 2015), and
irrigation return flows (De Graaf, et al., 2014). These data are usually not
measured or collected, and if they are, there are often privacy issues in
sharing the data, even for research. Additionally, there are many illegal or
undocumented human influences on the water system that remain unknown (e.g.
Pérez Blanco and Gómez, 2014). National statistical databases can be
a good source of information, but their spatial resolution is often coarse,
so downscaling might be needed. Examples of methods for downscaling
information on water demand and water use can be found in Wada et al. (2011)
and Nazemi and Wheater (2015a, b). More qualitative and local-scale
information on the human influences in a catchment can be gathered by a
range of methods, including interviews with local water users, participant
diaries, oral recollections, community histories, participant observation,
photographs and other visual materials, satellite-derived land use maps, and
novel methods such as unmanned aerial vehicles (also known as drones).</p>
      <p>Besides new data, new methods are needed to disentangle human modifiers from
natural modifiers of drought and quantify how large their effect on drought
severity has been for historical drought events and might be for future
events. When sufficient data are available, statistical methods, such as
multiple regression analysis, can be useful in finding the statistical
relationships between drought severity and multiple influencing factors.
This approach was used by Van Loon and Laaha (2015) for natural drought
modifiers, but can easily be extended to include human modifiers. Paired
catchment statistical approaches (as applied to urbanization impacts on
floods by Prosdocimi et al., 2015) or upstream (natural) – downstream
(disturbed) comparisons (Fig. 5a; López-Moreno et al., 2009;
Rangecroft et al., 2016) are other data-driven approaches, although these
have yet to be applied extensively for drought and low flows. Another
large-scale data analysis method that has great potential for use in drought
research is comparative analysis (Wagener et al., 2007), which aims to find
patterns by analysing a large set of catchments with a wide range of
characteristics, both in terms of natural and human processes (e.g. Price et
al., 2011; Eng et al., 2013; Sadri et al., 2016). This method is especially
valuable if it is combined with qualitative data to explain the patterns
found.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F6"><caption><p>Example of the approaches to investigate drought
modification by reservoirs, based on <bold>(a)</bold> observations of discharge upstream
and downstream of a reservoir in Chile (Rangecroft et al., 2016),
<bold>(b)</bold> theoretical effect of reservoirs on drought (Martinez et al., 2016),
<bold>(c)</bold> simulated effect of reservoirs on drought deficit on global scale (adapted
from Wanders and Wada, 2015).</p></caption>
          <?xmltex \igopts{width=241.848425pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f05.png"/>

        </fig>

      <p>For scenario testing, conceptual models of human-water systems (Di
Baldassarre et al., 2013, 2015) are a useful tool. Natural flows are altered
by the presence of reservoirs and the resulting outflows depend on
(changing) operational rules, i.e. optimized for flood or drought (Fig. 5b;
e.g. Mateo et al., 2014). The conceptual model (Martinez et al., 2016)
simulates how the occurrence of a flood event might lead to changes in
operational rules (e.g. shifting from the “optimized for drought” to
“optimized for flood” scenario in Fig. 5b), which will eventually enhance
the next drought event (Di Baldassarre et al., 2016).</p>
      <p>Modelling tools are also indispensable for prediction of drought under human
modification. There are many types of models and many options to use these
models for drought in the Anthropocene. Large-scale hydrological models are
being adapted to include more anthropogenic processes (e.g. WaterGAP and
PCR-GLOBWB; Wada et al., 2011; Döll et al., 2012; Nazemi and Wheater,
2015a; Veldkamp et al., 2015). Analysing these models specifically during
drought periods has given some encouraging results (Fig. 5c; e.g. Van Lanen
et al., 2004; Verbeiren et al., 2013; Wada et al., 2013; De Graaf, et al.,
2014; Forzieri et al., 2014; Wanders and Wada, 2015), although model
uncertainties during low flow and drought remain high. Since many human
influences on the hydrological cycle are on the local scale, hyper-resolution
modelling might be needed to explicitly represent all relevant human
activities (Wood et al., 2011). For parameterization of these models,
however, a thorough understanding of the processes is essential (Beven and
Cloke, 2012). Most predictions on the local scale, however, are done with lumped
or semi-distributed hydrological models. It is often not straightforward to
incorporate dynamic human processes into these models and more work is
needed to adapt these lumped hydrological models for use in the
Anthropocene. An example of a new lumped hydrological model that
incorporates man-made extraction and supply of water to both surface and
subsurface water is WALRUS by Brauer et al. (2014). Current physically based
models are better fitted to simulate human responses to drought, e.g. SIMGRO
(Querner et al., 2008; Van Lanen et al., 2004). Once again, an important
limiting factor is availability of data and metadata on the human modifiers.
If information on human pressures is available, modelling can be a key tool
in separating human and natural drivers (thus paving the way to attribution)
through a multiple working hypotheses approach (see, for example, the work
of Harrigan et al., 2014).</p>
</sec>
<sec id="Ch1.S3.SS3">
  <title>Impacts of drought</title>
      <p>On the other side of the propagation diagram are the environmental and
socio-economic impacts of drought (Fig. 2). Drought impacts, compared to the
impacts of other hazards, are mostly non-structural and difficult to
quantify. Drought impacts also have a high diversity, ranging across
agriculture, water supply, industry, energy production, human health,
aquatic ecology, forestry, and other sectors (Stahl et al., 2016). Impacts
are sometimes characterized into direct and indirect or tangible and
intangible impacts (Wilhite and Vanyarko, 2000). Thus, the quantification of
drought impacts depends on the affected sector and on the level of impact
(direct or indirect, and perhaps cumulative). Direct impacts on the
agricultural sector are often documented as losses or reductions in crop
yields. However, associating indirect economic losses directly to drought is
not always straightforward (Ding et al., 2011). Indirect negative
consequences are often quantified by the number of people affected or by
number of people who died as a result of related food security or health
issues, but factors other than a direct association to drought may play an
important role as well. Especially drought impacts on (mental) health are
complex and dependent on a multitude of factors (Stanke et al., 2013; Obrien
et al., 2014).</p>
      <p>Whether a drought event has negative consequences on one of these sectors
also depends strongly on people's perception and thus on the vulnerability
of affected sectors (Knutson et al., 1998; Iglesias et al., 2009).
Understanding a particular sector's vulnerability can benefit from specific
information and quantification of drought impacts in addition to knowledge
on the general vulnerability factors that describe the sensitivity and
adaptive capacity of the considered community or region.</p>
      <p>For drought characteristics, ample data sources exist. However, as noted
before, they rarely specify the level of human modification to the drought
signal.</p>
      <p>Research questions that need to be addressed thus include
<list list-type="bullet"><list-item><p>How should drought impacts be monitored and quantified?</p></list-item><list-item><p>How do they depend on the physical characteristics of drought vs. the vulnerability of people
or the environment?</p></list-item></list>
For drought impacts, the US Drought Impact Reporter (DIR)
(<uri>http://droughtreporter.unl.edu/</uri>) and the European Drought Impact report
Inventory (EDII) in Europe (<uri>http://www.geo.uio.no/edc/droughtdb/</uri>)
collect and categorize textual
drought impact reports, whereas Lackstrom et al. (2013) and others suggest
the development of a more targeted impact monitoring. A survey of
operational monitoring and early warning systems by Bachmair et al. (2016a)
found that many regional systems do monitor impacts, however, not in a
systematic way and thus they do not consider them for the drought warning
and other management in a quantitative manner. Hence, impact monitoring is an
important starting point for improvement. For vulnerability analysis,
likewise many useful data on the sensitivity or adaptive capacity from
community to country to international levels are lacking (De Stefano et al.,
2015). Where data are available, however, research can target to find a
useful and applicable functional link between these aspects of drought.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F7" specific-use="star"><caption><p>Scheme of the three approaches to investigate
impact-related drought index values: <bold>(a)</bold> correlation of drought index to crop
yield (from unpublished work), <bold>(b)</bold> drought index values at the time of impact
occurrence (based on Bachmair et al., 2015), and <bold>(c)</bold> logistic regression model
predicting the likelihood of impact occurrence by the drought index (as in
Stagge et al. (2015), but for drought index SPI instead of SPEI).</p></caption>
          <?xmltex \igopts{width=341.433071pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f06.pdf"/>

        </fig>

      <p>Retrospective analysis of the physical characteristics of past droughts
(through some drought indicator) and the impacts that they have triggered
have moved this search for a link function forward, especially if compared
across different societal contexts, in particular different degrees of
vulnerability. However, methods to link physical indicators and societal
impacts have only recently been explored more in depth and still require
more systematic appraisal. Figure 6 gives an overview of the different
methods. The most widely adopted approach to relate drought
indicators to impacts is to link commonly used hydrometeorological drought
indicators to agricultural yield (Lobell et al., 2008; Vicente-Serrano et
al., 2012, 2013; Bachmair et al., 2016a). Most of these studies are based on
correlation and as summarized by Stagge et al. (2015a), thus are useful for
screening relationships, but they measure the response of a variable, such
as crop yield, across its entire range of values including typical or even
productive years. A further complicating factor is the non-linearity of the
climate-yield relation, which can show ambiguous relations with positive
effects during drought or threshold behaviour for reductions in yield (Fig. 6a).
Report-based impact data cover a wider range of impact types, but are
tedious to gather and have many biases. So far, they have mostly been
converted to binary or counts of “impact occurrences” for
indicator-to-impact studies (Fig. 6b). Data-driven statistical models have
used time series or spatial variability of these impact occurrences as a
response variable in regression and classification tree models (Fig. 6c;
Stagge et al., 2015a; Bachmair et al., 2016b; Blauhut et al., 2015). These
studies have also shown that impact generation is more complex than
previously assumed and may be caused by the co-occurrence of several
extremes, lagged effects, and seasonality (Stagge et al., 2015a). A useful
outcome of these modelling exercises was the objective determination of
“best-indicators” for impacts in particular sectors that are strongly
influenced by human factors. For example, when using the Standardized
Precipitation Index (SPI) or Standardized Precipitation Evapotranspiration
Index (SPEI) the best accumulation period suited to predict agricultural
impacts clearly differs for irrigated and rain-fed agriculture (Stagge et
al., 2015a); similarly, the best accumulation period to predict drought
impact on public water supply differs depending on the relative
contributions of groundwater vs. surface water resources and the type of
reservoirs available (Bachmair et al., 2016b). These examples show that
human perception of drought impacts can differ from the occurrence of
drought in the natural hydrological system, depending on the prevailing
water management framework and thus the vulnerability. Future analysis could
use impact information to better characterize impacts of human-modified or
human-induced drought.</p>
</sec>
<sec id="Ch1.S3.SS4">
  <title>Human feedback of drought</title>
      <p>The interaction between natural hydroclimatological processes and human
influences is not a simple addition of both effects, but instead comprises
complex and dynamic feedbacks resulting in a strongly non-linear response of
the hydrological system (Fig. 2). There are negative feedbacks, when human
management responses to drought (impacts) lessen drought; and positive
feedbacks, where management responses exacerbate drought. There is growing
knowledge of climate feedbacks (also called land–atmosphere feedback), in
which drought influences evapotranspiration rates positively or negatively
(Teuling et al., 2013), dependent on geographic situation and time frame.
There is, however, only very limited understanding of human feedbacks during
drought.</p>
      <p>Short-term human feedbacks are responses to drought situations (whether
observed, or at least perceived, or predicted) that influence water storages
and fluxes within a particular water system in a catchment over timescales
of days to years. These influences can include reductions in water use,
implementation of water-saving technologies, planting of less
water-demanding crops, using other water sources (e.g. from surface water to
groundwater; from clean to grey water), short-term increases in groundwater
abstraction because of surface water shortage, and water transfer from
wetter areas or areas where water demand is lower (e.g. Andreu et al.,
2005).</p>
      <p>There is strong non-linearity in the reaction of the water system to these
short-term influences (Sivapalan et al., 2012). Timescales often do not
match; for example, the societal response might be in the order of weeks,
but the reaction of groundwater can be in the order of years (Gleeson et
al., 2010; Castle et al., 2014). Consequently, there is a difference between
short- and long-term droughts, where longer droughts show a more complex
interaction of natural and human processes (Van Dijk et al., 2013).
Societies can also learn from historic droughts and adapt drought policy in
the long-term to be more proactive, rather than reactive, when the next
drought comes (McLeman et al., 2014). Crucially, however, human activities
are not only influenced by climate and the drought state of the system but
are also strongly dependent on domestic water behaviours (Pullinger et al.,
2013), national policy styles (Gober, 2013), existing public policies
(particularly for agriculture; Campos, 2015), water law and governance
(Maggioni, 2015), and even indirectly by international food markets and
geopolitics.</p>
      <p>Research questions about human feedbacks include
<list list-type="bullet"><list-item><p>Are there commonalities in the response of different societies to different drought
events?</p></list-item><list-item><p>To what extent are physical and human drought processes coupled, and
can feedback loops be identified and altered to lessen or mitigate drought?</p></list-item><list-item><p>What are the links between discourses and practices of drought mitigation
and alleviation?</p></list-item></list>
Additionally, more information is needed on past histories
of water use and the role of technology in current routines of water
practice (Pullinger et al., 2013), tipping points in human water use (Mera
et al., 2014), and the reasons for a lack of public awareness of
environmental water demands (Dessai and Sims, 2010). Understanding the
relationship between these factors is crucial to enhancing our understanding
of drought.</p>
      <p>Qualitative data are essential in our quest for increased understanding of
this topic. One novel type of qualitative data is the use of drought
narratives (i.e. stories of historic drought events), which can give new
insights into societal responses and feedbacks (e.g. Daniels and Endfield,
2009). This is an example of how citizen science can help harvest data. It
is especially interesting to study paired drought events, i.e. drought
events of similar magnitude that occurred in the same region, to investigate
whether societies learn from drought events and what the effect of this
learning is on the next drought. Despite the obvious uncertainties of such
an approach, it can provide information on drought responses and feedbacks
from one drought event to the next, as was shown for paired flood events
by Kreibich et al. (2016).</p>
      <p>For quantitative prediction of the effect of feedback on drought, water
management models could be adapted to include more hydrology and feedbacks.
The modelling tools that are used in water management generally take water
availability as external forcing and do not include the feedbacks of the
water use on the hydrological system (e.g. Higgins et al., 2008; Borgomeo et
al., 2014). Like some global and lumped hydrological models mentioned
before, many water management models are capable of simulating the effect of
the allocation of water on hydrological processes also during drought, as
was shown by Querner et al. (2008) and Van Oel et al. (2012), or simulating
the influence of water management decisions on the evolution of a given
drought scenario (e.g. Watts et al., 2012).</p>
      <p>Socio-hydrology models aim to account explicitly for the two-way feedbacks
between social and hydrological processes (e.g. Sivapalan et al., 2012). Di
Baldasarre et al. (2013, 2015) have applied this approach to flooding, and
the development of a similar modelling framework for drought is underway
(Kuil et al., 2015). As the interplay between water and people is still
poorly understood, socio-hydrological theory is still to be developed via an
iterative process of empirical study, comparative analysis, and process-based
modelling. Thus, while the current studies do contribute to improve the
current understudying of water–society interactions, their predictive power
is still very limited (Viglione et al., 2014). Modelling approaches are most
successful when people themselves are actively involved in the modelling
process; stakeholders can, for example, guide scenario analysis (Loucks,
2015). In contrast to modelling studies, environmental social science
epistemologies, such as grounded theory building, offer alternative means of
understanding water resource use and human behaviour (Pearce et al., 2013),
potentially enabling more holistic insights into the role of drought
feedbacks in the hydrosocial cycle (Linton and Budds, 2014, p. 170).</p>
</sec>
<sec id="Ch1.S3.SS5">
  <title>Changing the normal situation</title>
      <p>We now live in a fast-changing environment; both climate change and
long-term human influences on the water cycle are changing the reference
normal situation, even within 30-year time blocks that are traditionally
being used to determine a climatology or a drought threshold. This is
important from a drought perspective because the normal situation is our
reference to determine the occurrence and severity of drought events (Fig. 4).
There are many uncertainties in dealing with extreme events like drought
under conditions of change. Some model studies of future hydrological
drought commented on the assumption of using the same threshold for the
historic and the future period (e.g. Giuntoli et al., 2015; Wanders et al.,
2015). Two aspects should be mentioned. Firstly, regime changes trigger
methodological considerations, because they can result in detection of
drought events that should otherwise not be classified as drought, such as
earlier snowmelt resulting in a drought in the normal snowmelt period
(Lehner et al., 2006; Van Huijgevoort et al., 2014). Secondly, ecological
and societal systems might adapt to a changing normal situation, but it is unclear how
fast these adaptations will take place and whether tipping points will be
passed (Mera et al., 2014).</p>
      <p>Research questions related to a changing normal situation include
<list list-type="bullet"><list-item><p>Is the normal situation actually changing or do we not have the data or
understanding of natural variability to say anything about what is normal?</p></list-item><list-item><p>How do long-term human influences on the water cycle change the normal
situation?</p></list-item><list-item><p>Do societies adapt to changes in the normal situation so that
more severe droughts might lead to less impact in the future?</p></list-item><list-item><p>How should we adapt our drought analysis to accommodate changes in the normal situation?</p></list-item></list>
The most straightforward solution to regime shifts is analysing different
seasons separately, as was done by Hisdal et al. (2001) and Feyen and
Dankers (2009) with respect to a snow season and non-snow season. In
historical drought analyses, long-term climate change effects are often
excluded by taking a short-enough period to neglect climate change or by
detrending the time series. For a changing normal situation, due to future climate
change, Vidal et al. (2012) and Wanders et al. (2015) have suggested to
include adaptation by changing the drought threshold for the future. Mondal
and Mujumdar (2015) followed a similar approach by estimating changes in
return levels of drought under similar probability of occurrence in observed
and projected streamflow. These methodologies should be evaluated more
thoroughly and should also be applied to account for long-term human
influences, alongside climate change effects. Important long-term human
influences to consider are anthropogenic land use change (urbanization and
deforestation; Verbeiren et al., 2016), continuous increases in abstraction,
and step changes in storage by dam building (e.g. Wisser et al., 2010;
Pokhrel et al., 2012).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F8"><caption><p>A changing normal situation due to climate change changes
drought occurrence and severity (after Smit et al., 2000). Will society
adapt to changing normal situation or in response to one/two extreme events?</p></caption>
          <?xmltex \igopts{width=241.848425pt}?><graphic xlink:href="https://hess.copernicus.org/articles/20/3631/2016/hess-20-3631-2016-f07.png"/>

        </fig>

      <p>These methodological explorations on how to deal with changes of the normal
situation in drought analysis are urgently needed, but we should also get a
better understanding of long-term changes in the perception of drought
impacts and vulnerability. This perception drives adaptation to extreme
events like drought and influences feedbacks between the physical and social
system. Societies might be able to adapt to a changing mean, but they are
more likely to be triggered by extreme impacts of a severe drought,
resulting in long-term adaptations aiming to reduce impacts of drought in
the future (Fig. 7; Smit et al., 2000; Dillehay and Kolata, 2004). More
research is needed to understand trajectories of social development that
lead to adaptation to drought.</p>
      <p>We can benefit from the work done on long timescales, regarding
long-term climate change, long-term human influence on the water cycle
(overexploitation), and long-term water demand and scarcity (Table 1).
Research on groundwater depletion (Aeschbach-Hertig and Gleeson, 2012) and
water scarcity (Rijsberman, 2006) has been carried out on large temporal and
spatial scales (annual and country level), because that is the level of
relevance and the level of available data. Accounting for temporal
variability and increasing spatial resolution can close the gap with drought
research (Savenije, 2000; Hoekstra et al., 2012; Hering et al., 2015;
Vörösmarty et al., 2015). Veldkamp et al. (2015) and Mekonnen and
Hoekstra (2016) were the first to explore sub-annual timescales of water
scarcity.</p>
</sec>
</sec>
<sec id="Ch1.S4" sec-type="conclusions">
  <title>A broader scope on drought in the Anthropocene</title>
      <p>The framework proposed here is in line with suggestions for hydrological
research in general, for example, with the call by Wagener et al. (2010) for
a paradigm shift to study hydrology under change, with the research agenda
set by Thompson et al. (2013) for hydrological prediction in the
Anthropocene, with the new decade of the International Association of
Hydrological Sciences (IAHS) Panta Rhei (Montanari et al., 2013; McMillan
et al., 2016), and with the propositions for hydrological research and water
management by Vogel et al. (2015). Complementary to these visions on the
future of hydrology in general, we think that a focus on drought is needed
to cope with complex future water challenges.</p>
      <p>The challenges mentioned here are, however, not unique to drought. We can
learn from other fields that have struggled or are still struggling with
similar issues. The parallels with flood research have already been
mentioned above in relation to definitions and socio-hydrology. Flood
research is further advanced than drought research in including human
influences on catchments and rivers in flood analysis (e.g. Vorogushyn and
Merz, 2013) and many studies exist that focus on attribution of flood to
different drivers and modifications, the complex interaction between natural
and human processes, and flood response and adaptation.</p>
      <p>There is also an interesting parallel between society and ecology, because,
just like people, plants are simultaneously dependent on and shape water
availability (e.g. Rodriguez-Iturbe, 2001). The field of ecohydrology has
evolved in the last 15 years to a quantitative understanding of the
interrelated dynamics of plants and water (e.g. Hannah et al., 2007;
Asbjornsen et al., 2011; Jenerette et al., 2012). The importance of
including vegetation feedback in future drought modelling was, for example,
highlighted by Prudhomme et al. (2014). Similar approaches can be applied to
the interrelated dynamics of people and water, especially during drought. In
addition, the field of hydroecology has been grappling for several decades
with the same issue of how to capture reference natural conditions in
order to compare impacted conditions against them. Again, this is hampered
because there are so few extant examples of natural conditions in observed
hydrological data sets; the same challenges of how to naturalize flows have
been at the core of the environmental flow paradigm (e.g. Acreman and
Dunbar, 2004).</p>
      <p>Societies have always had to cope with drought, so water management and
governance have a long history. Especially interesting are the stories of
civilizations that collapsed due to a combination of water overexploitation,
drought, and other factors (e.g. Lucero, 2002). But there are many examples
of successful water management in the past that have reduced drought
severity or led to successful adaptation (e.g. Dillehay and Kolata, 2004;
Garnier, 2015), which can help to understand feedbacks between society and
the water system. In this light, it is also very informative to understand
how people deal with uncertainties in drought prediction (Kasprzyk et al.,
2009; Wagener et al., 2010), which are partly caused by the gaps in our
understanding and unsuitability of data and tools to quantify the
interaction between people and drought in the Anthropocene (Vogel et al.,
2015). The use of drought predictions by society plays an important role in
the impacts and feedbacks of drought. For improved drought management in the
Anthropocene, a better two-way communication between scientists,
stakeholders, policy makers, and the general public is needed. There are often
social, psychological, and organizational barriers that prevent optimal use
of scientific understanding in decision making. They are not our primary focus
here, but clearly they can play an important role.</p>
      <p>Although water scarcity is very different from drought, and water demand is
not the focus of this article, regions with high water demand often
influence the water cycle more drastically, possibly resulting in more
human-induced drought and human-modified drought compared to regions with
low water demand. Additionally, high-demand regions will be more severely
impacted by drought than low-demand regions. Since increases in global water
demand are projected for the future, enhancing water scarcity, collaboration
between drought research and water scarcity research is urgently needed.</p>
      <p>In focussing on human aspects of drought, we should not forget the other
parts of the complex interlinked system (Fig. 1). Ecological and
environmental requirements are recognized but are often neglected during
drought (Vörösmarty et al., 2010). For example, in the
Murray–Darling Basin (Australia) water management mitigated the water supply
and economic impacts of drought, but at the same time strongly amplified the
negative environmental impacts of drought (Van Dijk et al., 2008).
Deterioration of water quality during drought can mean that water is
available but cannot be used, for example, due to algal blooms or salt water
intrusion in deltas (Van Vliet and Zwolsman, 2008). Although water quality
was not discussed in this article, we stress that there are many challenges
related to water quality and drought in the Anthropocene that require
further research (e.g. Mosely, 2015).</p>
      <p>In this article, we have argued that drought in the Anthropocene is
not an external natural hazard. Instead, the natural hazard is intertwined
with human influences on the water cycle and feedbacks of society on
drought. We, therefore, explicitly include human processes in drought
definitions and clarify previous confusion with related terms such as water
scarcity. We present a multi-driver and multi-directional drought framework,
in which human drivers, modifications, impacts, feedbacks, and changing the
normal situation of drought are included in drought research. This framework
highlights gaps in our understanding and indicates the tools and data
needed. The elements of the framework have increasing complexity, from
relatively straightforward aspects, like human drivers and modifications of
drought, to the more complex impacts of drought, to compound feedbacks and
changing the normal situation that integrate across all other elements.</p>
      <p>The framework can be used to focus on a specific point or research question
with the aim to solve part of the puzzle, or to study the entire
interrelated system with the aim to put the pieces of the puzzle together.
In the end, both approaches will hopefully result in a more holistic view of
drought in the Anthropocene and consequently better drought management, in
which the appropriate understanding and data and tools are used to take
effective measures to mitigate drought severity, and to reduce drought
impacts in the Anthropocene (Van Loon et al., 2016). This is of crucial
importance now that the world is facing increasing human influence on the
hydrological system, increasing dependence of society on water availability,
combined with significant population growth and climate change, possibly
leading to an increasing frequency of extreme hydroclimatological events
(Vörösmarty et al., 2000; Oki and Kanae, 2006).</p>
</sec>

      
      </body>
    <back><notes notes-type="authorcontribution">

      <p>Anne F. Van Loon initialized the ideas presented
in this paper with Henny A. J. Van Lanen,
Tom Gleeson, Remko Uijlenhoet, and Adriaan J. Teuling. All authors contributed to the
discussions that shaped the paper. Anne F. Van Loon prepared the manuscript with
parts written by Julian Clark and Kerstin Stahl, and contributions from all
co-authors. Figures were prepared by Anne F. Van Loon, Sally Rangecroft, Giuliano Di
Baldassarre, Niko Wanders, Kerstin Stahl, Boud Verbeiren, and Tom Gleeson.</p>
  </notes><?xmltex \hack{\newpage}?><ack><title>Acknowledgements</title><p>The present work was (partially) developed within the framework of the Panta
Rhei Research Initiative of the International Association of Hydrological
Sciences (IAHS). It draws from discussion in (amongst others) the EU FP7
Project DROUGHT-R&amp;SPI (282769), supports the work of the UNESCO-IHP VIII
FRIEND-Water programme, and is partly funded by the Dutch NWO Rubicon project
“Adding the human dimension to drought” (reference number: 2004/08338/ALW).
We want to thank the editor Hilary McMillan, two anonymous reviewers, and
Marc Bierkens for their constructive comments on our paper.<?xmltex \hack{\\\\}?>
Edited by: H. McMillan<?xmltex \hack{\\}?>
Reviewed by: two anonymous referees</p></ack><ref-list>
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    <!--<article-title-html>Drought in a human-modified world: reframing drought definitions,
understanding, and analysis approaches</article-title-html>
<abstract-html><p class="p">In the current human-modified world, or Anthropocene,
the state of water stores and fluxes has become dependent on human as well
as natural processes. Water deficits (or droughts) are the result of a
complex interaction between meteorological anomalies, land surface
processes, and human inflows, outflows, and storage changes. Our current
inability to adequately analyse and manage drought in many places points to
gaps in our understanding and to inadequate data and tools. The Anthropocene
requires a new framework for drought definitions and research. Drought
definitions need to be revisited to explicitly include human processes
driving and modifying soil moisture drought and hydrological drought
development. We give recommendations for robust drought definitions to
clarify timescales of drought and prevent confusion with related terms such
as water scarcity and overexploitation. Additionally, our understanding and
analysis of drought need to move from single driver to multiple drivers and
from uni-directional to multi-directional. We identify research gaps and
propose analysis approaches on (1) drivers, (2) modifiers, (3) impacts, (4) feedbacks,
and (5) changing the baseline of drought in the Anthropocene. The most
pressing research questions are related to the attribution of drought to its
causes, to linking drought impacts to drought characteristics, and to
societal adaptation and responses to drought. Example questions include

<ul class="itemize"><li class="item nobullet">(i)<p class="p">What are the dominant drivers of drought in different parts of the world?</p></li><li class="item nobullet">(ii)<p class="p">How do human modifications of drought enhance or alleviate drought
severity?</p></li><li class="item nobullet">(iii)<p class="p">How do impacts of drought depend on the physical
characteristics of drought vs. the vulnerability of people or the
environment?</p></li><li class="item nobullet">(iv)<p class="p">To what extent are physical and human drought processes
coupled, and can feedback loops be identified and altered to lessen or
mitigate drought?</p></li><li class="item nobullet">(v)<p class="p">How should we adapt our drought analysis to
accommodate changes in the normal situation (i.e. what are considered
normal or reference conditions) over time?</p></li></ul>
Answering these questions requires exploration of qualitative and quantitative data as well as mixed
modelling approaches. The challenges related to drought research and
management in the Anthropocene are not unique to drought, but do require
urgent attention. We give recommendations drawn from the fields of flood
research, ecology, water management, and water resources studies. The
framework presented here provides a holistic view on drought in the
Anthropocene, which will help improve management strategies for mitigating
the severity and reducing the impacts of droughts in future.</p></abstract-html>
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