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Forest Ecology and Management 251 (2007) 45–51

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The effect of afforestation on water infiltration in the tropics:


A systematic review and meta-analysis
Ulrik Ilstedt a,b,*, Anders Malmer b, Elke Verbeeten c, Daniel Murdiyarso a
a
Center for International Forestry Research (CIFOR), P.O. Box 6596 JKPWB, Jakarta 10065, Indonesia
b
Department of Forest Ecology and Management, Swedish University of Agricultural Sciences, SE 901 83 Umeå, Sweden
c
Center for International Forestry Research (CIFOR), 06 BP 9478 Ouagadougou 06, Burkina Faso

Abstract
Soil water infiltration influences groundwater recharge and potential top soil loss by erosion, as well as the partitioning of runoff into slow flow
and quick flow. The aim of the work presented here was to critically review studies of the effects of afforestation on infiltrability in the tropics, using
a systematic review approach to select peer-reviewed articles published in English and French. We then applied meta-analysis to test the hypothesis
that afforestation or the use of trees in agriculture increases infiltration capacity. After assessing titles and abstracts, on the basis of specified
selection and quality criteria, four references remained, comprising 14 comparative experiments. The overall result of the meta-analysis was that
infiltration capacity increased on average approximately three-fold after afforestation or planting trees in agricultural fields (95% confidence
interval: 2.4–4.7). For the meta-analysis, the most common problems resulting in exclusion of otherwise relevant experiments were issues with the
experimental design, and the absence of statistics (variances and replicates). Even considering the studies that were excluded in the meta analysis (a
total of six), the low number of studies examining the effects of afforestation is a severe problem with respect to modelling and examining the
underlying processes associated with the full range of different edaphic situations, different species and different methods of establishment.
# 2007 Elsevier B.V. All rights reserved.

Keywords: Afforestation; Agroforestry; Forest; Meta-analysis; Systematic review; Trees; Water conductivity

1. Introduction tropics (Hamilton and King, 1983; Calder, 2002; Bruijnzeel,


2004). In the absence of scientific consensus, it has been argued
In the tropics forests are being planted to achieve a broad that decades of development funds spent on afforestation
range of benefits. Among these are improvements in the campaigns (Calder, 1999; Kaimowitz, 2005), including recent
biological, chemical and physical soil quality with respect to demands for C sequestration (Jackson et al., 2005), have
sustained fertility and water supply quality and quantity. Soil adversely affected scarce water supplies and other local social
water infiltrability is a key variable of the soil’s physical welfare issues.
characteristics, which influences groundwater recharge, poten- The reporting of real and potential famine in the Horn of
tial top soil loss by erosion, and the partitioning of runoff into Africa and the Sahel during the 1980s and 1990s sparked
slow flow and quick flow (Bonell, 1993, 2005; Bonell and interest in investigating the soil processes that can result in
Balek, 1993). erosion and soil degradation following deforestation and/or
As such, an understanding of the relationship between soil intensive land use. The emphasis was on quantifying the risk of
physical properties, such as infiltrability, and changes in forest soil degradation and promoting and assessing soil conservation.
cover is central to the on-going debate about the interactions In contrast, there are few studies confirming whether soil
between forests and the use, delivery and quality of water in the improvement actually does take place as a result of
afforestation or other natural or managed soil rehabilitation
processes (Ilstedt, 2002; Ilstedt et al., 2004). In the realm of
policy, the relationship was taken for granted, and to
* Corresponding author at: Department of Forest Ecology and Management,
Swedish University of Agricultural Sciences, SE 901 83 Umeå, Sweden.
researchers it was neither a very exciting project nor something
Tel.: +46 90 7868390; fax: +46 90 7868163. that often attracted funding. A few authors have considered the
E-mail address: ulrik.ilstedt@sek.slu.se (U. Ilstedt). subject, for example Bruijnzeel (1990, 1997) and Malmer et al.
0378-1127/$ – see front matter # 2007 Elsevier B.V. All rights reserved.
doi:10.1016/j.foreco.2007.06.014
46 U. Ilstedt et al. / Forest Ecology and Management 251 (2007) 45–51

(1998) discussed the lack of knowledge about the effects of (1989–2005) for publications in English and French. On 30
different vegetation types and species litter fall quality on soil November 2005, we conducted the following search:
physical development.
Site-studies confirming the risks of soil physical degradation topic ¼ ððhydraulic conductivit or Infiltra or permeabilit Þ
in the tropics are numerous, early works include those of Van and soil and water andðforest or afforest
der Weert (1974) and Seubert et al. (1977); there are also a or reforest or deforest or agro$forest or oil palm
number of reviews, for example by Bruijnzeel (1990) and Hurni
or palm oil or rubber or tree or shifting$cultivat
and Tato (1992). Reduction in organic matter supply to soils as
a result of intensive land use affects soil structure and reduces or slash$burn or shifting$cultivat or slash
infiltrability. When there is very heavy rainfall this may in turn or logging or clear$felling or clearing or skid
lead to surface runoff, with increased erosion and loss of or burn or hauling or woodland or savanÞÞ:
topsoil, thus exposing subsoils which have even lower
infiltrability (Hudson, 1971; Eckholm, 1976). Repeated wild- ISI Web of Science and BIOSIS have good coverage of peer-
fires in expanding fire climax vegetation and/or intensified reviewed journals, while CAB was included as it has good
shifting cultivation or failed plantation crop schemes may have coverage of land-use issues in the tropics and, in addition, dates
similar negative effects on soil organic matter and soil physical back to 1973. This paper deals with the effects of afforestation,
properties (Malmer et al., 2005). The soil physical process just one aspect of the wider systematic search.
perspective (with its links to fertility management) encouraged From the search results, two of the present authors selected
a positive attitude, in both research and policy, towards forest articles by first excluding papers with titles that clearly did not
cover and organic matter addition as a result of tree based fit the objectives because, for example, they were outside the
agricultural systems. The emphasis in land use related soil tropics, did not measure infiltration in the field or did not
physics research has tended to concentrate on developing and involve growing trees (Fig. 1). Then the same procedure was
optimizing agroforestry systems (Young, 1989), sustainable repeated after reading the remaining abstracts. More than
forest conversion (Lal, 1986) and ways of reducing soil 10% of the references were cross-checked for consistency
disturbance in forestry operations (Malmer and Grip, 1990; independently by the two authors. Articles passing the full
Malmer et al., 1998), including understanding detrimental selection process were obtained through the Swedish
processes such as compaction and crusting (Poesen and University of Agricultural Science and CIFOR libraries.
Nearing, 1993). The same procedure as for titles and abstracts was repeated
Meta-analysis, a technique by which one can test hypotheses for full papers received from the library. Papers with
about treatment effects by combining data from several insufficient information about statistics, design and measure-
experiments, has been extensively used in medical research
(Friedman and Goldberg, 1996; Osenberg et al., 1999), and
there are also a few examples from ecology (Osenberg et al.,
1999). However, it has not been used in forest hydrology. This
approach is more objective than narrative reviews, and by
statistically combining several studies the overall power is
substantially greater than, for example, by ‘vote counting’ of
individual significant studies.
In this article, we aim to synthesise and discuss the facts that
can be drawn from past scientific studies pertaining to the
effects of afforestation in the tropics on one of the key
determining soil processes, namely infiltrability. For published
articles (in English and French), we systematically used quality
criteria to select studies to which we applied meta-analysis
(Osenberg et al., 1999) in order to produce a combined data set.
Our hypothesis was that afforestation or the use of trees in
agriculture increases infiltration capacity in the tropics.

2. Materials and methods

2.1. Systematic literature search and selection process

We constructed a search string to create a repeatable search


for finding studies across a broad spectrum, considering Fig. 1. The algorithm of the search string started with the title and abstract in
order to select research in the tropics dealing with field experiments relating to
conversion both from and to forestry (and agroforest). The specified land-uses. It was then followed by searching in the body of the paper in
search string was applied to the ISI Web of Science (1986– order to select studies that passed specified quality criteria for conducting a
2005), CAB abstracts (1973–2005) and BIOSIS previews meta-analysis using the statistical software.
U. Ilstedt et al. / Forest Ecology and Management 251 (2007) 45–51 47

ment methods were excluded (Fig. 1). We classified studies on 3. Results


the basis of the research design used, and included
randomized treatment studies (e.g. completely randomized 3.1. The search and characteristics of included studies
studies, block designs, fully factorial designs), true time series
and well conducted ‘false time series’. We excluded studies We retrieved 3001 references from the search. After reading
with pseudo replication (e.g. treating measurements on the titles and abstracts according to the selection criteria, four
same sample plot as replicates) or other flawed designs. studies, including 14 comparative experiments, dealing with
Inclusion of robust ‘false time series’ depended on whether different afforestation treatments (two studies; eight experi-
the authors presented non-subjective (random or quasi- ments) or agroforestry (two studies; six experiments) on former
random) strategies for selecting the research plots, or in agricultural land remained (Table 1). Three of the studies (12
other ways tried to ensure that other conditions except experiments) used blocked and/or factorial designs (Hulugalle
treatment effects did not differ. and Kang, 1990; Hulugalle and Ndi, 1993; Chirwa et al., 2003),
Here we present the results for studies dealing with tree while one study used the ‘‘false time series approach’’ (Mapa,
planting (for forest or agroforest). Forest was defined broadly 1995). Three studies were conducted in Africa and one in Asia,
as any area of trees with more than 10% crown coverage and they covered a rainfall range of 850–2500 mm (Table 1). Two
(FAO, 1998). ‘Afforestation’ denoted plantation on open land studies (Mapa, 1995) had been conducted on highly weathered
that had been free from forest cover as a result of prolonged soil (Ultisol) and two studies (Chirwa et al., 2003; Hulugalle and
agricultural use, failed reforestation by active replanting or Kang, 1990) on more fertile soil (Alfisol). All studies were
delayed natural secondary succession. This included pas- conducted on relatively fine textured soil (three on clayey and one
tures, grasslands (non-fallow and fallow) and permanent on loamy soil). The 14 experiments involved 8 different tree
cultivation. All types of methods for measuring saturated species (2 experiments included a mix of 2 species).
steady state infiltrability or conductivity in the surface soil
(0–10 cm) were included and the type of method was 3.2. Result of the meta-analysis
recorded.
The overall results (Fig. 2) from the four studies, and 14
2.2. Meta-analysis experiments, was that infiltration increased approximately
three-fold after afforestation or using trees in agricultural fields
We analyzed the combined data from the selected studies (R = 3.2; 95%CI = 2.4–4.7; d.f. 13). A significant (P < 0.000)
and their respective experiments (comparisons) using the heterogeneity was detected, meaning that there was a variation
statistical software MetaWin (Rosenberg et al., 2000). The between individual experiments which should be considered,
response ratio, ln R = ln(Xc/Xe), was used as standardized effect and that the random model was used. Plantations and
measure. Xe and Xc denoted the vegetation before and after agroforestry systems were not significantly different, but there
conversion, respectively. The variance of ln R was: was a tendency for agroforestry to exhibit less improvement
yln R = ((Se)2/Ne(Xe)2)/((Sc)2/(Nc(Xc)2)), where Se, Sc, Ne and than afforestation: there was a mean of 1.9 for agroforests
Nc denote the standard deviation and number of replicates of Xe compared to 3.8 for afforested sites (Table 2).
and Xc, respectively. We present antilogarithmic values (R) to
facilitate interpretation. For example, an R-value of 0.5 means 3.3. Sensitivity analysis and publication bias
that the infiltration after conversion is half the value it was
before, while a value of 2 indicates that the infiltration is double If the study that did not use factorial or blocking designs
the previous value. (Mapa, 1995) was removed, the overall result changed
All statistical tests were considered significant at the 95%
confidence level. We used non-parametric boot-strapping to
calculate the confidence intervals (CI) for the combined
response ratios. We first used fixed-effect models and tested
for heterogeneity with the x2-test. If heterogeneity was
significant we used random-effects models instead. Given
sufficient availability of data, heterogeneity was then
examined using meta-regression and by categorical analysis
of sub-groups. We intended to test for differences in effect
due to land use, rainfall, soil type, soil texture, time since
treatment and infiltration method. The possible effect of
publication bias was explored by funnel plots and by
calculating the Rosenthal’s fail-safe number. It has been
suggested that a fail-safe value of 5n + 10 (where n is the
Fig. 2. The response ratio and 95% confidence intervals for experiments included
original number of studies) is a reasonable, conservative, in a meta-analysis on the effect on infiltration capacity of afforestation and
critical value against which one can test a fail-safe agroforestry in the tropics. The grand mean is calculated from the fixed effects
calculation (Rosenberg et al., 2000). model. Numbers indicate the individual experiments enumerated in Table 1.
48 U. Ilstedt et al. / Forest Ecology and Management 251 (2007) 45–51

Leucaena leucocephala (8 years) + crops

The mean infiltration, standard deviation and number of replicates (N) before and after treatment is reported, as well as the country of the study, the mean annual rainfall, soil texture, soil type and vegetation before and
Table 2

Alchornea cordifolia (8 years) + crops


Summary of the meta-analysis of the effect (response ratio) on infiltration of

Gliricidia sepium (8 years) + crops


Cassia spectabilis + crops (1 year)
Cassia spectabilis + crops (1 year)
afforestation and agroforestry on former deforested land

Leucaena leucocephala (3 years)

Acioa barterii (8 years) + crops


Gliricidia + Sesbania (3 years)
Acacia angustissima (3 years)
Studies Experiments Response ratio (after/before)

Acacia + Sesbania (3 years)


Tectonia grandis (12 years)
Tectonia grandis (12 years)

Gliricidia sepium (3 years)


Sesbania sesban (3 years)
Mean Lower CI Upper CI
Afforestation 2 8 3.8 2.7 5.5
Agroforestry 3 6 1.9 1.7 2.8
Subtotal 4 14 3.2 2.4 4.7
Means and confidence intervals (CI) are reported for afforestation and agrofor-
After

estry studies combined and separately, as well as the number of studies for each
group and the number of experiments used within each study.
Vegetation
Before

Crops
Crops
Crops
Crops
Crops
Crops
Crops
Crops
Crops
Crops
Crops
Crops
Crops
Grass

marginally (R = 3.7; 95%CI = 2.5–5.4; d.f. 11). However, there


was then a significant difference between agroforests and
afforested sites (R = 1.8; 95%CI = 1.7–2.9 and R = 5.0;
Ultisol
Ultisol
Ultisol
Ultisol
Alfisol
Alfisol
Alfisol
Alfisol
Alfisol
Alfisol
Alfisol
Alfisol
Alfisol
Alfisol
Soil
Description of the data and experiments used for a meta-analysis of the effect on infiltration of afforestation and agroforestry on former deforested land

95%CI = 3.6–6.9, respectively). To consider the possible effect


of using multiple experiments within studies, we considered 10
Texture

Loamy
Loamy
Loamy
Loamy

different analyses with only 1 experiment from each study. The


Clay
Clay
Clay
Clay
Clay
Clay
Clay
Clay
Clay
Clay

95%CI for these tests ranged from 1.7–4.2 to 1.9–7.3 indicating


that the overall results seem robust. Despite our intentions, we
Rainfall (mm)

refrained from undertaking further regression and categorical


analysis because of the limited number of studies. Rosenthal’s
2500
2500
1522
1522

1250
1250
1250
1250
850
850
850
850
850
850

fail-safe number indicated that 225 non-significant, unpub-


lished or missing studies would be needed to change the overall
Latitude

result to being non-significant.


10 N
14 S
15 S
16 S
17 S
18 S
19 S
7N
7N
3N
3N

7N
8N
9N

3.4. Excluded studies


Cameroon
Cameroon
Sri Lanka
Sri Lanka
Country

Zambia
Zambia
Zambia
Zambia
Zambia
Zambia
Nigeria
Nigeria
Nigeria
Nigeria

After applying the selection criteria to titles and abstracts,


343 studies remained for evaluation of the full text. Out of
these, for the full search set, 179 studies were not used for the
After

full meta-analysis. Of these 179, 116 were not relevant in terms


15
15
3
3
3
3
3
3
3
3
3
3
3
3

of latitude, studied variables or vegetation compared. The


Before

remaining 51 of these 179 were rejected on grounds of


after treatment. The age of the trees at the time of study is indicated in parenthesis.
15
15
3
3
3
3
3
3
3
3
3
3
3
3
N

information about and handling of design (37), statistics (7) and


methodology (7). Of the papers specifically about the effects of
1.0
1.0
6.8
6.8
6.8
6.8
6.8
6.8
After
Standard deviation

127
127
127
127
12
12

afforestation, 12 were rejected (6 about afforestation, 6 about


agroforest); they were excluded on grounds of design (7),
statistics (3) and methodology (2).
Before

The most common reason for exclusion from a secure meta-


1.0
1.0
6.8
6.8
6.8
6.8
6.8
6.8
127
127
127
127
12
12

analysis was a non-randomized design (e.g. Nyamadzawo et al.,


2003). Rejection on the basis of statistics was usually because
5.5
5.5
After

of the absence of complete data sets or any indication of


Infiltration (mm/h)

57
57

95
44
37
55
71

95
119
152
118

172

variation within the results. All cases rejected on the basis of


methodology were because only initial/unsaturated infiltration
was measured. Several studies that were rejected met more than
Before

one of these criteria.


3.3
26
29

13
13
13
13
13
13
47
47
47
47
3

4. Discussion
11. Hulugalle and Kang (1990)
12. Hulugalle and Kang (1990)
13. Hulugalle and Kang (1990)
14. Hulugalle and Kang (1990)
3. Hulugalle and Ndi (1993)
4. Hulugalle and Ndi (1993)

10. Chirwa et al. (2003)

4.1. The benefit of tree plantations on soil infiltrability


5. Chirwa et al. (2003)
6. Chirwa et al. (2003)
7. Chirwa et al. (2003)
8. Chirwa et al. (2003)
9. Chirwa et al. (2003)

Our meta-analysis confirms the beneficial effect of tree


1. Mapa (1995)
2. Mapa (1995)

planting on soil infiltrability over a wide range of humidity


levels (Table 1). However, the second most important finding is
Table 1

Source

the scarcity of studies examining the effects of afforestation on


soil physical properties in the tropics generally, and in
U. Ilstedt et al. / Forest Ecology and Management 251 (2007) 45–51 49

particular with a sufficiently robust methodology for a They emphasized that more information was needed to
statistical synthesis. This means that any analysis of the substantiate such claim.
importance of various factors such as planted species, soil and A way to increase the low number of studies would be to
climate can be no more than narrative and hypothetical. include studies from the subtropics. Our search did not
Similarly, the small number of studies underlines the lack of systematically include this region, but there are several studies,
reference data pertaining to infiltration, and the growing for example from Northern India and the Himalayan southern
demand for this in order to model the hydrological effects of slopes (Soni et al., 1985; Gilmour et al., 1987). At a first glance,
land use changes (Ranieri et al., 2004), not least from the studies from this region seem to have cases of insufficient
climate change perspective (Bonell, 1998). On the other hand, quality for meta-analysis. Krishnakumar et al. (1990) reported
the over all result indicating a two- to five-fold increase in on only limited increases in infiltration upon establishment of a
infiltrability underlines the importance of including soil rubber plantation in Northeast India. Within the tropics we were
physical quality in any model of forest water relations. With unable to find a single study the effects on infiltrability of
infiltrability levels before afforestation in the range found in establishing rubber or oil palm plantations. This could be a
this review (3–47 mm h1; Table 1), normal rainfall intensities potential weakness for a complete picture of afforestation, since
(Bonell et al., 2005) provide the potential for both reduced such plantations are often established by the use of radical
surface runoff and increased input to groundwater. clearing and soil disturbance. It is also noteworthy that Latin
Another problem associated with modelling is the wide America and the soil order Oxisols/Ferralsols are completely
range of changes to infiltrability upon afforestation (Table 2). absent from the selected studies.
As stated above, there is insufficient information to explain this
variation. Caution is required even in taking published data at 4.3. Agroforestry versus afforestation
face value for the environments studied. Most studies are
designed to examine and confirm the significance of differences Arguments for both agroforestry and afforestation are often
in effects between different land uses; there is no guarantee of from the perspective of rehabilitating or improving soil
coverage of the total range of variation in each land use or physical properties. Our meta-analysis indicates that there is
vegetation category (Warrick and Nielsen, 1980) or that the greater improvement as a result of afforestation (Table 2). This
measurement technique reflects true infiltrability, e.g. on is logical in the sense that the various potential benefits of
sloping ground (Janeau et al., 2003). Studies aiming to planted trees (e.g. litterfall, deep roots, shade, etc., Young,
describe and explain the soil physical and ecological processes 1989) are likely to be more effective with increased cover. With
that underlie differences in infiltrability in certain ecosystems much shorter crop cycles in agroforestry, one could assume that
(e.g. Bromley et al., 1997) are even more scarce than studies agroforestry experiments are likely to be evaluated after a
investigating land use effects. shorter time period. However, in the studies included in the
meta-analysis this was not the case (Table 1). In agroforestry,
4.2. Overall completeness and applicability of evidence research is concentrated on optimizing the effects of soil
improvement in different settings by using different tree species
Even though some bias might be expected as a result of the (Wallace et al., 2005). This aspect of research is less common in
relative difficulty in publishing non-significant results, the the case of afforestation. O’Connell and Sankaran (1997)
‘‘Rosenthal’s fail-safe number test’’ does indicate that the reviewed litter accumulation and decomposition rates for some
results are fairly robust for such ‘‘publication bias’’. Despite the tropical plantation tree species, but most studies in this area
low number of studies included in the meta-analysis these all deal with nutrient mineralization and dynamics and do not
describe the same trend. Furthermore, looking at the five studies determine the effects on soil physical properties. As an
on afforestation not included in the meta analysis due to lack of exception, Malmer et al. (1998) indicated higher infiltrability in
robustness in design and statistical information (Baconguis and forest succession after fire (Nykvist, 1996) compared to their
Rondilla, 1979; Dagar, 1987; Jaiyeoba, 2001; Godsey and control dipterocarp forest (Sim and Nykvist, 1991). They also
Elsenbeer, 2002; Nyamadzawo et al., 2003) and initial found that the physical properties of soils disturbed by tractors
infiltration (Deuchars et al., 1999), they all report increases rehabilitate more rapidly under young secondary dipterocarp
in infiltrability. forest than under plantation (Acacia mangium) or selectively
To our knowledge this is the first systematic review and logged dipterocarp forest.
meta-analysis on the effect of afforestation on infiltrability.
However, for the tropics Bruijnzeel (2004) reviewed studies on 4.4. Recommendations for future research
forest and water issues generally, Scott et al. (2005) reviewed
hydrological impacts of ‘forestation’, and Bonell (2005) Most of the studies which were excluded during the
reviewed studies on runoff processes in forests. These reviews selection process were excluded because they were not relevant
confirm the general paucity of studies with respect to the effect to the particular research question at hand. For example, they
of afforestation, agroforestry and natural successions. Scott could be situated outside the tropics, or did primarily look at
et al. (2005) considered some published and unpublished other issues and merely discussed infiltrability or afforestation
studies, and stated that ‘tentatively’ a pattern of increased in general terms. Therefore, many studies which were excellent
infiltrability over time seemed to be discernible from the data. with respect to their primary objective could not be used in this
50 U. Ilstedt et al. / Forest Ecology and Management 251 (2007) 45–51

meta-analysis. However, it is also evident that many published Hydrological Research for Integrated Land and Water Management. Cam-
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Bromley, J., Brouwer, J., Barker, A.P., Gaze, S.R., Valentin, C., 1997. The role
changes in methodology and presentation. Too often it was of surface water redistribution in an area of patterned vegetation in a semi-
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