(C) 2012 Berkshire Publishing Group. All Rights Reserved

(c) 2012 Berkshire Publishing Group. All Rights Reserved.
BERKSHIRE
ENCYCLOPEDIA OF SUSTAINABILITY
USTAINABILITY
VOLUME 5
ECOSYSTEM MANAGEMENT AND
SUSTAINABILITY
Editors Robin Kundis Craig, Florida State University; John Copeland Nagle,
University of Notre Dame; Bruce Pardy, Queen’s University, Canada; Oswald J. Schmitz,
Yale University; William K. Smith, Wake Forest University

© 2012 by Berkshire Publishing Group LLC
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Library of Congress Cataloging-in-Publication Data
Berkshire encyclopedia of sustainability: ecosystem management and sustainability / edited by Robin Kundis Craig, John Copeland Nagle,
Bruce Pardy, Oswald J. Schmitz, and William K. Smith.
v. cm.
Includes bibliographical references and index.
Contents: vol. 5. Ecosystem management and sustainability —
ISBN 978-1-933782-16-4 (vol. 5 print : alk. paper)
1. Environmental quality—Encyclopedias. 2. Environmental protection—Encyclopedias. 3. Sustainable development—Encyclopedias.
I. Craig, Robin Kundis. II. Copeland, John. III. Pardy, Bruce. IV. Schmitz, Oswald J. V. Smith, William K.
Berkshire encyclopedia of sustainability (10 volumes) / edited by Ray Anderson et al.

10 v. cm.
Includes bibliographical references and index.
ISBN 978-1-933782-01-0 (10 volumes : alk. paper) — 978-1-933782-00-3 (10 volumes e-book) — ISBN 978-1-933782-15-7 (vol. 1 print :
alk. paper) — ISBN 978-1-933782-57-7 (vol. 1 e-book) — ISBN 978-1-933782-13-3 (vol. 2 print : alk. paper) — ISBN 978-1-933782-55-3 (vol. 2
e-book) — ISBN 978-1-933782-14-0 (vol. 3 print : alk. paper) — ISBN 978-1-933782-56-0 (vol. 3 e-book) — ISBN 978-1-933782-12-6 (vol. 4 print :
e-book) — ISBN 978-1-933782-40-9 (vol. 6 print : alk. paper) — ISBN 978-0-9770159-0-0 (vol. 6 e-book) — ISBN 978-1-933782-69-0 (vol. 7 print :
e-book) — ISBN 978-1-933782-19-5 (vol. 9 print : alk. paper) — ISBN 978-1-933782-74-4 (vol. 9 e-book) — ISBN 978-1-933782-63-8 (vol. 10
print : alk. paper) — ISBN 978-1-933782-75-1 (vol. 10 e-book)
1. Environmental quality—Encyclopedias. 2. Environmental protection—Encyclopedias. 3. Sustainable development—Encyclopedias.
I. Anderson, Ray, et al.
HC79.E5B4576 2010
338.992703—dc22 2009035114

Editors Image Credits
Editors Front cover photo by Carl Kurtz.
Robin Kundis Craig
Inset cover photo (as well as the image for the volume
Florida State University
introduction and index) is of a spider in the Florida
John Copeland Nagle Everglades, USA. Photo by Fred Ward. US National
University of Notre Dame Archives.
Bruce Pardy Engraving illustrations of plants and insects by Maria
Queen’s University, Canada Sibylla Merian (1647–1717).
Oswald J. Schmitz
Photos used at the beginning of each section:
Yale University
William K. Smith A. Plateau and houses, Shangri-La, Yunnan Province,
Wake Forest University China. Photo by Bo Xiaobo.
Associate Editors B. American bison, Yellowstone National Park , Wyoming,
Norman L. Christensen Jr. USA. Photo by Amy Siever.
Duke University C. Koala in the wild, Gunnedah, Liverpool Plains, New
Janet Neuman South Wales, Australia. Photo by Daniel Lunney.
Lewis and Clark College D. Donkey in field, Huaraz, Peru. Photo by Ellie Johnston.
Advisory Board E. Water lily. Photo by Jill Jacoby.
Ray C. Anderson, Interface, Inc.; Lester R. Brown, Earth Policy F. Partially burned forest near Mt. Humphreys, northern
Institute; John Elkington, SustainAbility; Eric Freyfogle, Arizona, USA. Photo by Bill Siever.
University of Illinois, Urbana-Champaign; Luis Gomez-
G. View from Olana looking south, Hudson Valley, New
Echeverri, United Nations Development Programme; Brent
Haddad, University of California, Santa Cruz; Daniel M. York, USA. Photo by Larry Lederman.
Kammen, University of California, Berkeley; Ashok Khosla, H. Water lilies, Innisfree Garden, Millbrook, New York,
International Union for Conservation of Nature; Christine Loh, USA. Photo by Amy Siever.
Civic Exchange, Hong Kong; Cheryl Oakes, Duke University I. Invasive Japanese barberry, Bartholomew’s Cobble,
Sheffield, Massachusetts, USA. Photo by Amy Siever.
Production Staff K. Sea stars near Haystack Rock, Cannon Beach, Oregon,
USA. Photo by Marjolijn Kaiser.
Publisher
L. Night sky, Bruce Peninsula, Georgian Bay, Ontario,
Karen Christensen
Canada. Photo by Robert Dick.
Project Coordinator
M. Agapanthus, Cape Town, South Africa. Photo by
Bill Siever
Ellie Johnston.
Copyeditors
N. Cows drinking, Naumkeag Reservation, Stockbridge,
Mary Bagg
Kathy Brock Massachusetts, USA. Photo by Amy Siever.
Elaine Coveney O. Coastline, Cape Town, South Africa. Photo by Ellie
Cindy Crumrine Johnston.
Valerie Fraser Ruud P. Goats in an olive grove, Chaffin Family Orchards,
Carolyn Haley Oroville, California, USA. Photo by Chris Kerston.
Elma Sanders
R. View of US Route 180 and Mt. Humphreys, northern
Stephanie Schwartz Driver
Arizona, USA. Photo by Bill Siever.
Editorial Assistants
S. Arabian oryx, Phoenix Zoo, Phoenix, Arizona, USA.
Ellie Johnston
Ginger Nielsen-Reed Photo by Janet Tropp.
Amanda Prigge T. Aspen forest, Gunnison County, Colorado, USA. Photo
Design by Ellie Johnston.
Anna Myers U. Railscape, High Line, New York City, USA. Photo by
Information Management Steven N. Severinghaus.
Trevor Young V. Olana viewshed, Hudson Valley, New York, USA. Photo
Composition and Indexing by Stan Ries.
Aptara®, Inc. W. Dusk on Hurricane Ridge, Olympic National Park,
Printer Washington, USA. Photo by Ellie Johnston.
Thomson-Shore, Inc. III

Contents
List of Entries v
Reader’s Guide ix
List of Contributors xii
Series List: The Encyclopedia of Sustainability xx
Introduction xxi
“Adaptive Resource Management (ARM)” through “Wilderness Areas” 1–420
Index 421–435
IV

List of Entries
A C
Adaptive Resource Management Carrying Capacity
(ARM)
Catchment Management
Administrative Law
Charismatic Megafauna
Agricultural Intensification
Coastal Management
Agroecology
Comanagement
B Community Ecology
Best Management Practices Complexity Theory
(BMP)
Biodiversity D
Biodiversity Hotspots Dam Removal
Biogeography Desertification
Biological Corridors Disturbance
Boundary Ecotones
E
Brownfield Redevelopment
Ecological Forecasting
Buffers
Ecological Restoration

VI • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Ecosystem Services Human Ecology
Edge Effects Hunting
Eutrophication Hydrology
Extreme Episodic Events

I
F Indicator Species
Fencing Indigenous Peoples and Traditional

Knowledge
Fire Management
Invasive Species
Fish Hatcheries
Irrigation
Fisheries Management
Food Webs K
Forest Management Keystone Species
G L
Global Climate Change Landscape Architecture
Groundwater Management Landscape Planning, Large-Scale
Large Marine Ecosystem (LME)

H Management and Assessment
Habitat Fragmentation Light Pollution and Biological

Systems
Home Ecology

LIST OF ENTRIES • VII
M Pollution, Point Source
Marine Protected Areas (MPAs) Population Dynamics
Microbial Ecosystem Processes

R
Mutualism
Rain Gardens
N Reforestation
Natural Capital Refugia
Nitrogen Saturation Regime Shifts
Nutrient and Biogeochemical Resilience

Cycling
Rewilding
O Road Ecology
Ocean Acidification—Management
S
Ocean Resource Management
Safe Minimum Standard
Outbreak Species (SMS)
Shale Gas Extraction

P
Shifting Baselines Syndrome
Permaculture
Soil Conservation
Plant-Animal Interactions
Species Reintroduction
Pollution, Nonpoint Source

VIII • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Stormwater Management V
Succession Viewshed Protection
T W
Tree Planting Waste Management
Water Resource Management,

U Integrated (IWRM)
Urban Agriculture Wilderness Areas
Urban Forestry
Urban Vegetation

Reader’s Guide:
Articles by Category
Note: most articles appear in Outbreak Species
more than one category
BIODIVERSITY AND SPECIES INTERACTION Population Dynamics
Refugia
Agroecology
Resilience
Biodiversity
Succession
Biodiversity Hotspots
Boundary Ecotones
CONCEPTS AND THEORIES
Community Ecology Administrative Law
Complexity Theory Biogeography
Disturbance Carrying Capacity
Ecological Forecasting Comanagement
Edge Effects Complexity Theory
Fencing Extreme Episodic Events
Food Webs Global Climate Change
Habitat Fragmentation Mutualism
Indicator Species Natural Capital
Invasive Species Nutrient and Biogeochemical Cycling
Keystone Species Regime Shifts
Microbial Ecosystem Processes Resilience
IX

X • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Shifting Baselines Syndrome Road Ecology
Viewshed Protection Shale Gas Extraction
Urban Forestry
HUMAN INTERVENTION AND IMPACT Urban Vegetation
Agricultural Intensification Waste Management
Agroecology
Boundary Ecotones
PRACTICES AND TOOLS
Charismatic Megafauna Adaptive Resource Management (ARM)
Dam Removal Best Management Practices (BMP)
Desertification Biological Corridors
Disturbance Brownfield Redevelopment
Eutrophication Buffers
Fencing Catchment Management
Fish Hatcheries Coastal Management
Habitat Fragmentation Ecological Forecasting
Home Ecology Ecological Restoration
Human Ecology Ecosystem Services
Irrigation Fire Management
Light Pollution and Biological Systems Fisheries Management
Nitrogen Saturation Forest Management
Ocean Acidification—Management Groundwater Management
Ocean Resource Management Hunting
Pollution, Nonpoint Source Hydrology
Pollution, Point Source Indigenous Peoples and Traditional Knowledge
Reforestation Landscape Architecture

READER’S GUIDE: ARTICLES BY CATEGORY • XI
Landscape Planning, Large-Scale Soil Conservation
Large Marine Ecosystem (LME) Management and Species Reintroduction

Assessment
Stormwater Management
Marine Protected Areas (MPAs)
Tree Planting
Permaculture
Urban Agriculture
Rain Gardens
Water Resource Management, Integrated
Rewilding (IWRM)
Safe Minimum Standard (SMS) Wilderness Areas

List of Contributors
Alexander, Karen Bangert, Randy K.
University of New Hampshire Trinidad State Junior College
Shifting Baselines Syndrome Community Ecology (co-authors: Joseph K.
Bailey, Mark A. Genung, Jennifer A.
Allen, Craig R. Schweitzer, and Gina M. Wimp)
US Geological Survey, Nebraska
Cooperative Fish & Wildlife Bartolome, James W.
Research Unit, University University of California, Berkeley
of Nebraska Succession (co-author: Lynn Huntsinger)
Resilience (co-authors:
Ahjond Garmestani and Beavis, Sara Gabrielle
Shana M. Sundstrom) The Australian National University
Hydrology
Anderson, T. Michael
Wake Forest University Bernath Walker, Sean
Plant-Animal Interactions University of Waterloo
Brownfield Redevelopment (co-author:
Anthony, Kenneth R. N. Keith Hipel)
Australian Institute of Marine Science
Ocean Acidification—Management Bidwell, R. G. S.
(co-author: Elizabeth Mcleod) Queen’s University, Canada, Emeritus
Light Pollution and Biological Systems
Bailey, Joseph K. (co-authors: Robert Dick, Peter Goering,
University of Tennessee and David Welch)
Community Ecology (co-authors:
Randy K. Bangert, Mark A. Genung, Biggs, Reinette (Oonsie)
Jennifer A. Schweitzer, and Stockholm Resilience Center,
Gina M. Wimp) Stockholm University
Regime Shifts (co-authors:
Bajracharya, Roshan M. Garry D. Peterson and Juan C. Rocha)
Kathmandu University
Agricultural Intensification (co-author: Blanco-Canqui, Humberto
Bed Mani Dahal) Kansas State University
Soil Conservation
XII

LIST OF CONTRIBUTORS • XIII
Bo Wenjing Conicelli, Bruno Pirilo

Chinese Academy of Sciences University of São Paulo
Urban Vegetation (co-author: Jiang Gaoming) Groundwater Management (co-authors:
Ricardo Hirata and Juliana Baitz
Bode, Michael Viviani-Lima)
University of Melbourne
Biodiversity Hotspots (co-authors: Costilow, Kyle C.
Kerrie A. Wilson, Takuya Iwamura, and The Ohio State University
Hugh P. Possingham) Forest Management (co-authors: Charles E.
Flower and Miquel A. Gonzalez-Meler)
Brinkman, Todd J.
University of Alaska Fairbanks Cumming, Graeme S.
Hunting University of Cape Town
Complexity Theory
Bronstein, Judith L.
University of Arizona Dahal, Bed Mani
Mutualism (co-author: Ginny M. Fitzpatrick) Kathmandu University
Agricultural Intensification (co-author:
Buckley, Lauren B. Roshan M. Bajracharya)
University of North Carolina at
Chapel Hill Dane, Andrew
Ecological Forecasting Short Elliott Hendrickson Inc.
Burroughs, Richard
University of Rhode Island Dawson, Chad P.
Coastal Management State University of New York
Wilderness Areas (co-author:
Bushaw-Newton, Karen L. John C. Hendee)
Northern Virginia Community College,
Annandale Dick, Robert
Dam Removal Royal Astronomical Society of Canada
Light Pollution and Biological Systems
Christensen, Karen (co-authors: R. G. S. Bidwell, Peter
Berkshire Publishing Group Goering, and David Welch)
Home Ecology
Didham, Raphael K.
Christensen, Norman L. Jr. CSIRO Ecosystem Sciences
Duke University Habitat Fragmentation (co-authors: Timm
Fire Management F. Döbert and James P. Ruffell)

XIV • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Dimarco, Romina D. García Latorre, Jesús

University of Tennessee Federal Ministry of Agriculture, Forestry,
Keystone Species (co-author: Martin A. Nuñez) Environment & Water Management,
Austria
Döbert, Timm F. Desertification (co-author: Juan García Latorre)
The University of Western Australia
Habitat Fragmentation (co-authors: García Latorre, Juan
Raphael K. Didham and James P. Ruffell) Association for Landscape Research in
Arid Zones, Spain
Dyball, Robert Desertification (co-author: Jesús García
The Australian National University Latorre)
Human Ecology
Garmestani, Ahjond
Ellwood, Elizabeth R. US Environmental Protection Agency,
Boston University National Risk Management Research
Biodiversity (co-author: Richard B. Primack) Laboratory
Resilience (co-authors: Craig R. Allen and
Fagan, William F. Shana M. Sundstrom)
University of Maryland
Edge Effects (co-author: Leslie Ries) Genung, Mark A.
University of Tennessee
Farley, Joshua Community Ecology (co-authors: Joseph K.
University of Vermont Bailey, Randy K. Bangert, Jennifer A.
Natural Capital Schweitzer, and Gina M. Wimp)
Ferguson, Ken Gimblett, H. Randy

University of Glasgow University of Arizona
Fencing Viewshed Protection
Fitzpatrick, Ginny M. Glibert, Patricia M.

University of Arizona University of Maryland Center for
Mutualism (co-author: Judith L. Bronstein) Environmental Science
Eutrophication
Flower, Charles E.
University of Illinois at Chicago Goering, Peter
Forest Management (co-authors: Kyle C. Muskoka Heritage Foundation (retired)
Costilow and Miquel A. Gonzalez-Meler) Light Pollution and Biological Systems
Global Climate Change (co-authors: Miquel (co-authors: R. G. S. Bidwell, Robert
A. Gonzalez-Meler and Douglas J. Lynch) Dick, and David Welch)

LIST OF CONTRIBUTORS • XV
Gonzalez-Meler, Miquel A. Hill, Deborah

University of Illinois at Chicago University of Kentucky
Forest Management (co-authors: Kyle C. Tree Planting
Costilow and Charles E. Flower)
Global Climate Change (co-authors: Charles Hipel, Keith W.
E. Flower and Douglas J. Lynch) University of Waterloo (co-author:
Sean Bernath Walker)
Grorud-Colvert, Kirsten Brownfield Redevelopment
Oregon State University
Marine Protected Areas (MPAs) (co-author: Hirata, Ricardo
Sarah E. Lester) University of São Paulo
Groundwater Management (co-authors:
Gusset, Markus Bruno Pirilo Conicelli and Juliana Baitz
University of Oxford Viviani-Lima)
Howarth, Robert W.
Gutknecht, Jessica L. M. Cornell University
Helmholtz-Centre for Environmental Shale Gas Extraction
Research—UFZ
Microbial Ecosystem Processes Hund, Andrew J.
Independent scholar, Excursion Inlet,
Gutschick, Vincent P. Alaska, USA
New Mexico State University Reforestation
Huntsinger, Lynn
Haney, Alan University of California, Berkeley
University of Wisconsin—Stevens Point, Succession (co-author: James W. Bartolome)
Emeritus
Ecological Restoration Iwamura, Takuya
The University of Queensland
Heiman, Michael K. Biodiversity Hotspots (co-authors: Michael
Dickinson College Bode, Hugh P. Possingham, and Kerrie
Waste Management A. Wilson)
Hendee, John C. Jacoby, Jill B.

University of Idaho Sweetwater Alliance, Duluth, Minnesota, USA
Wilderness Areas (co-author: Chad P. Dawson) Rain Gardens

XVI • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Jaeger, Jochen A. G. Lunney, Daniel

Concordia University Montréal, Office of Environment and
Québec, Canada Heritage NSW, Australia
Road Ecology Charismatic Megafauna
Jiang Gaoming Lynch, Douglas J.

Chinese Academy of Sciences University of Illinois at Chicago
Urban Vegetation (co-author: Bo Wenjing) Global Climate Change (co-authors:
Charles E. Flower and Miquel A.
Kaak, Paul Gonzalez-Meler)
Azusa Pacific University
Urban Agriculture Lyon, Kimberly
Multilateral Relations at the World
Konijnendijk, Cecil C. Wildlife Fund
University of Copenhagen Ecosystem Services (co-authors: Emily
Urban Forestry (co-authors: Kjell Nilsson McKenzie and Amy Rosenthal)
and Phillip Rodbell)
Majer, Jonathan David
Kricsfalusy, Vladimir V. Curtin University
University of Saskatchewan Indicator Species
Population Dynamics
McBroom, Matthew W.
Lester, Sarah E. Stephen F. Austin State University
University of California, Santa Barbara Best Management Practices (BMP)
Marine Protected Areas (MPAs) (co-author: (co-author: Yanli Zhang)
Kirsten Grorud-Colvert)
McKenzie, Emily
Lidicker, William Z. Jr. Natural Capital Project at the World
University of California, Berkeley Wildlife Fund
Biological Corridors Ecosystem Services (co-authors:
Kimberly Lyon and
Lillington, Ian R. Amy Rosenthal)
Swinburne University
Permaculture Mcleod, Elizabeth
The Nature Conservancy
Lovell, Sarah Taylor Ocean Acidification—Management
University of Illinois, Urbana-Champaign (co-author: Kenneth R. N. Anthony)
Agroecology
Buffers

LIST OF CONTRIBUTORS • XVII
Miller, Jennie R. B. Paritsis, Juan

Yale School of Forestry & Environmental University of Colorado
Studies Disturbance (co-authors: Alan J. Tepley and
Food Webs (co-author: Oswald J. Schmitz) Thomas T. Veblen)
Outbreak Species (co-author: Thomas T. Veblen)
Mitchell, Bruce
University of Waterloo, Ontario, Canada Pattison, Ian
Water Resource Management, Integrated University of Southampton
(IWRM) Catchment Management
Fish Hatcheries
Morrone, Juan J.
National Autonomous University of Peterson, Garry D.
Mexico (UNAM) Stockholm Resilience Center, Stockholm
Biogeography University
Regime Shifts (co-authors: Reinette [Oonsie]
Nævdal, Eric Biggs, Juan C. Rocha)
Ragnar Frisch Centre for Economic Research
Safe Minimum Standard (SMS) Possingham, Hugh P.
Nilsson, Kjell Biodiversity Hotspots (co-authors:
University of Copenhagen Michael Bode, Takuya Iwamura, and
Urban Forestry (co-authors: Cecil C. Kerrie A. Wilson)
Konijnendijk and Phillip Rodbell)
Pregitzer, Kurt S.
Nuñez, Martin A. University of Idaho
University of Tennessee Nitrogen Saturation (co-author:
Keystone Species (co-author: Romina D. Alan F. Talhelm)
Dimarco)
Primack, Richard B.
Pandey, Pramod Kumar Boston University
Iowa State University Biodiversity (co-author: Elizabeth R. Ellwood)
Pollution, Nonpoint Source (co-author:
Michelle Lynn Soupir) Pyšek, Petr
Institute of Botany Průhonice,
Pardy, Bruce Czech Republic
Queen’s University, Canada Invasive Species (co-author: David M.
Administrative Law Richardson)

XVIII • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Richardson, David M. Schmitz, Oswald J.

Stellenbosch University, South Africa Yale School of Forestry & Environmental
Invasive Species (co-author: Petr Pyšek) Studies
Food Webs (co-author: Jennie R. B. Miller)
Ries, Leslie
University of Maryland Schweitzer, Jennifer A.
Edge Effects (co-author: William F. Fagan) University of Tennessee
Community Ecology (co-authors:
Rocha, Juan C. Joseph K. Bailey, Randy K. Bangert,
Stockholm Resilience Center, Stockholm Mark A. Genung, and
University Gina M. Wimp)
Regime Shifts (co-authors: Reinette [Oonsie]
Biggs, Garry D. Peterson) Selman, Paul
University of Sheffield, Emeritus
Rodbell, Phillip Landscape Planning, Large-Scale
US Forest Service
Urban Forestry (co-authors: Cecil C. Sherman, Kenneth
Konijnendijk and Kjell Nilsson) National Oceanic and Atmospheric
Administration (NOAA)
Rosenthal, Amy Large Marine Ecosystem (LME)
Natural Capital Project at the World Management and Assessment
Wildlife Fund
Ecosystem Services (co-authors: Kimberly Smith, William K.
Lyon and Emily McKenzie) Wake Forest University
Boundary Ecotones
Ruffell, James P. Volume Introduction
The University of Western Australia
Habitat Fragmentation (co-authors: Soupir, Michelle Lynn
Raphael K. Didham and Iowa State University
Timm F. Döbert) Pollution, Nonpoint Source
Ryser, Rudolph C. Spiering, David J.

Center for World Indigenous Studies Buffalo Museum of Science
Indigenous Peoples and Traditional Rewilding
Knowledge
Steiner, Frederick
Sayre, Nathan F. The University of Texas at Austin
University of California, Berkeley Landscape Architecture
Carrying Capacity

LIST OF CONTRIBUTORS • XIX
Sumaila, U. Rashid Viviani-Lima, Juliana Baitz

The University of British Columbia University of São Paulo
Fisheries Management Groundwater Management (co-authors: Bruno
Pirilo Conicelli and Ricardo Hirata)
Sundstrom, Shana M.
Nebraska Cooperative Fish & Wildlife Wang, Deane
Research Unit, University of Nebraska University of Vermont
Resilience (co-authors: Craig R. Allen and Nutrient and Biogeochemical Cycling
Ahjond S. Garmestani)
Ward, Evan R.
Talhelm, Alan F. Brigham Young University
University of Idaho Irrigation
Nitrogen Saturation (co-author:
Kurt Pregitzer) Welch, David
International Union for Conservation of
Tepley, Alan J. Nature
University of Colorado Light Pollution and Biological Systems
Disturbance (co-authors: Juan Paritsis and (co-authors: R. G. S. Bidwell, Robert
Thomas T. Veblen) Dick, and Peter Goering)
Teplyakov, Victor K. Wilson, Kerrie A.
Seoul National University The University of Queensland
Pollution, Point Source Biodiversity Hotspots (co-authors:
Michael Bode, Takuya Iwamura, and
Tribsch, Andreas Hugh P. Possingham)
University of Salzburg
Refugia Wimp, Gina M.
Georgetown University
Tuxill, John Community Ecology (co-authors: Joseph
Western Washington University K. Bailey, Randy K. Bangert, Mark A.
Comanagement Genung, and Jennifer A. Schweitzer)
Underwood, Jared G.
Wowk, Kateryna M.
United States Fish and Wildlife Service
Global Ocean Forum
Adaptive Resource Management (ARM)
Veblen, Thomas T.
Zhang, Yanli
University of Colorado
Stephen F. Austin State University
Disturbance (co-authors: Alan J. Tepley and
Best Management Practices (BMP)
Juan Paritsis)
(co-author: Matthew W. McBroom)
Outbreak Species (co-author: Juan Paritsis)

Berkshire Encyclopedia of Sustainability
• Volume 1: The Spirit of Sustainability
• Volume 2: The Business of Sustainability
• Volume 3: The Law and Politics of Sustainability
• Volume 4: Natural Resources and Sustainability
• Volume 5: Ecosystem Management and Sustainability
• Volume 6: Measurements, Indicators, and Research Methods for Sustainability
• Volume 7: China, India, and East and Southeast Asia: Assessing Sustainability
• Volume 8: The Americas and Oceania: Assessing Sustainability
• Volume 9: Afro-Eurasia: Assessing Sustainability
• Volume 10: The Future of Sustainability
XX

Introduction to
Ecosystem Management
and Sustainability
E cosystem management for sustainability in the

broadest, ecological sense is a concept that expresses
a simple outcome—the complete preservation of nonre-
disturbance of minor to cataclysmic portions—is the
foundation of ecosystem sustainability. (These ecosystem
properties are active areas of research today, and many of
newable, natural resources from one generation to the them are presented as separate topics in this volume.) But
next. Fundamental to this quest for sustainable eco- even this simple definition of sustainability requires clari-
systems, as we know them today, is the preservation fication because virtually every natural resource, includ-
of biological diversity. Ecologically, the preservation of ing biological species, could be considered renewable, or
natural ecosystems and their component species is based replaceable, over a long enough timeframe. According to
on theoretical and empirical studies evaluating ecosys- the fossil record, ecosystems today have survived major,
tem stability, including resistance to change, and recovery mass extinctions through the evolution of new species: in
and resilience, both of which are important components fact, well over 90 percent of all species formerly on this
of sustainability. As many of the contributions to this Earth are now extinct. Seemingly irreversible extinctions
volume demonstrate, the loss (or removal) of one seem- of a biological species may become reversible in some sense
ingly inconsequential species has led to devastating eco- if one considers today’s advances in technology for clon-
system impacts and the collapse of whole populations ing and amplifying genes. Moreover, those within some
and communities of organisms in many different habitats circles of societies around the world argue that problems
found worldwide. In the twenty-first century, scientists related to the sustainability of our biosphere will be taken
have now identified and measured overwhelming evi- care of, ultimately, by the actions of a supreme deity, or by
dence for anthropogenic (human-caused) perturbations of as-yet-unknown technological advances. Following that
our Earth’s ecosystem, the biosphere. Carbon dioxide and premise, environmental problems such as global change
other greenhouse gases have led to an increase in global or high species extinction rates might seem less pressing
temperatures with a rate of change unmatched in geologi- to individuals, especially when overwhelming economic
cal timeframes. Moreover, there are frightening scenarios problems require their immediate attention.
for future large-scale changes in the Earth’s landscape If an individual, community, or organization is not
that could have devastating impacts on humankind. Sea extinguishing nonrenewable resources (including bio-
level rise and increases in extreme episodic events are two logical species) from the biosphere, or if our management
impacts predicted for the future (IPCC 2007). Yet little practices are not building toward a future of unforeseen,
is currently known about the specific changes in eco- negative events, a sustainable status (again, by definition),
system properties and services that will unfold in this has been achieved. Yet sustainability in other arenas of
portentous future. society can be interpreted quite differently. For example,
sustainable economics or commercial development can
take on a new dimension when considered in the context
of sustaining an acceptable standard of living for a par-
Maintaining Species Diversity ticular society. Consuming only renewable resources, and
Understanding how to maintain species diversity—a only at a rate that will not diminish the current pool of a
component of which involves the capability for species renewable resource, is one obvious solution to this prob-
to recover following both natural and anthropogenic lem. But because many resources used in common practice
XXI

XXII • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
by humankind are far from being sustainable, this pres- should now involve ideas for lowering global atmo-
ents a monumental challenge for most societies across spheric carbon dioxide content and greenhouse gases
the globe, especially for those economies and standards that generate global warming. Encouraging plantation
of living that are deeply dependent on resources harvested development for biofuels or as sinks for carbon dioxide
excessively from the environment. Unfortunately, societ- absorption from the atmosphere are examples of eco-
ies today with the greatest capabilities for accessing natu- system management techniques that are perceived to
ral resources are also the ones with the highest standard benefit the global community. But is this temptation to
of living and greatest usage. How will sustainability com- manage ecosystems to rectify anthropogenic impacts a
ponents such as biodiversity be accomplished on a global sound strategy considering the complexities and difficult
scale, including all societies regardless of their standard challenges of ecosystem management? Instead, is it not
of living? Th is fundamental question facing the global wiser to understand more comprehensively the potential
community today can only be answered as an orchestrated harm of these impacts and act to eliminate pollution-
effort directing a multidisciplinary, integrated approach point sources altogether? The same can be asked about
that will span virtually all fields of study, including the excessive harvesting that has led to serious declines
the “hard” sciences, the humanities, business, and law. and extinctions of species, plus community/ecosystem
Within this network, research methods and accompa- collapse. Just like common promulgations from the
nying, specific measurements need to be identified, and health sciences field, prevention is much less taxing and
then standardized, as the most accurate indicators of the expensive compared to recovery and restoration. Species
quantitative degree of sustainability. Examples of this reintroduction, especially of those species high in the
could include hidden costs of pollution, depreciation, food web, is an active area of research and a current
ultimate depletion of natural resources, overproduction, example of efforts at ecosystem sustainability. Th is
negative alterations in esthetic value, or effects on health approach is still very much in the experimental phase
care expenses, just to name a few. Any quantitative index and, unfortunately, has evolved in response to major dis-
employed to quantify sustainability success will thus have turbances caused primarily by human alteration of the
to include a wide array of variables that are intertwined in landscape and resulting pollution. Ecosystem Management
a complex network of feedback and feed-forward interac- and Sustainability contains articles covering all of these
tions (see Volume 6, Measurements, Indicators, and Research topics in greater detail.
Methods for Sustainability). In fact, these interactions may
be the most difficult to understand. All of these multi-
disciplinary fields of study must be called upon to pro-
vide for the future, successful management of ecosystems
Predictions and Forecasts
necessary to prevent potentially serious consequences for In the ecological sciences, in general, the capability
our own species. for prediction (forecasting) has been a goal for over a
Effectively, with the current existence of global century. Yet progress has been slow at best. For eco-
change issues such as elevated carbon dioxide in the system management to become a legitimate “hard” sci-
atmosphere and warming temperatures, there are no ence, predictability and forecasting future changes in
habitats on Earth where anthropogenic disturbance ecosystems is a prerequisite. Science areas such as chem-
is absent; that is, purely natural ecosystems (i.e., pris- istry, physics, and math have played a vital role in pre-
tine areas, using the word in its purest sense) no lon- dicting all sorts of events that are driven by physical/
ger exist. Many so-called official wilderness areas are in chemical forces. These predictions involve very rapid
essence legislative constructs, built or restored habitats reactions that occur over a fraction of a second to much
in which government mandates must approve attempts more lengthy astronomical time scales that predict the
to restrict species or reinstate species. We now have to motion of planets and solar systems over millennia and
understand and manage already impacted ecosystems well beyond.
that were being managed previously from a simpler pres- The impact of perturbations due to anthropogenic
ervation approach. That is not to say that protection of forcings such as climate change have elicited a sense of
critical areas will not be important for addressing the urgency among ecosystem managers at all spatial scales,
serious anthropogenic impacts already underway. For and the field actively pursues this capability to predict
example, new management strategies for sustainability and forecast. Legislators want to know how much and

INTRODUCTION • XXIII
how fast ecosystems will be influenced, either negatively interesting look at a case history describing the interac-
or positively, as the result of global change. Ecological tion of science and politics, in particular dealing with
forecasting is problematic, however, because so many the problem of greenhouse gases in the atmosphere and
variables are involved at differing degrees of influence, global warming.) Many experts in ecosystem manage-
and myriad feedforward and feedback interactions could ment believe that the political arena is a crucial target
as well play prominent roles. Even most physical scientists for the ultimate success of ecosystem management in the
admit that biological systems from the cell level to the United States and elsewhere around the world, and that
landscape incorporate an almost overwhelming matrix economic interests instead of the science of sustainability
of variables. Th is complexity impedes the capability for often drive political decisions about ecosystem manage-
predicting the future and, it follows, efficacious management. For example, politicians in the United States are
ment strategies for sustainability. Today’s technological elected and re-elected based upon their membership in
advances, however, especially computer capabilities for and financial support from two major parties, both of
data storage and rapid processing, should make the most which raise huge sums to back their candidates, especially
complex systems understandable and predictable in the those at the highest levels of government. In many cases
future. Acquiring this capability is the ultimate goal for the major contributors to these parties are (or represent)
ecosystem managers. industrial corporations that are responsible for the pollu-
The encyclopedic approach taken with this volume tion driving global change. This realization and the social
and the other nine volumes of the Berkshire Encyclopedia paradox generated are related to the critical regulatory
of Sustainability provides a venue for communication role of governments discussed in several of the articles in
between experts in the field and nonexperts, which in this volume. For instance, in “Administrative Law,” Bruce
turn allows the latter to better appreciate the serious Pardy of Queen’s University, Canada, explains how in
challenges ahead for humankind, especially if plans for Western legal systems with a constitutional separation of
the future lack a sustainability objective. After all, if powers, government officials carrying out and enforcing
only experts are convinced of the value of sustainable ecosystem management directives must operate within
ecosystems, an electorate will rarely vote into office pol- the bounds of a statutory mandate (i.e., authorizing leg-
iticians who are knowledgeable about and supportive islation). This process ensures the protection of individual
of ecosystem management principles. In this volume, rights and will reassure ordinary citizens who see ecosys-
numerous experts in their respective fields examine tem management as coercive, just another case of gov-
basic principles of ecology and ecosystem management. ernment telling them what they can and cannot do, that
Aside from these fundamental ideas, their articles cover checks and balances are in place.
important topics that address specific issues of ecosystem Politicians are the ones who must legislate the rules
management related to pollution impacts, agriculture, driving strategic ecosystem management, a crucial ingre-
hunting and fishing, forestry, water, indigenous people, dient for installing sustainability ideas into a society that
the esthetic value of natural resources, shale gas extrac- can perpetuate the process only by electing the regula-
tion, tree planting, and rain gardens. Because climate tory officials. But, as many articles in this volume attest,
change is projected to bring greater episodic extremes, individual action, as well as interaction between public
such as floods, minimum and maximum temperatures, and private sectors, are powerful catalysts to bring about
droughts, and so forth, one article is dedicated entirely change.
to this topic. William K. Smith
Wake Forest University
Politics and Ecosystem Management

The volume also addresses the growing field of environ- SUGGESTED READING
mental law because much of our future may involve liti- Hansen, James E. (2009). Storms of my grandchildren: The truth about the
coming climate change catastrophe and our last chance to save humanity.
gation and court challenges to federal and state attempts
New York : Bloomsbury.
at regulating anthropogenic pollution and the protection IPCC (Intergovernmental Panel on Climate Change). (2007). Climate
of endangered species. (In his bestselling book Storms Change 20: The Physical Science Basis Report. Cambridge University
of My Grandchildren, James E. Hansen [2009] offers an Report. IPCC: London.

XXIV • BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Acknowledgements
Berkshire Publishing would like to thank the follow- Thomas Straka, Clemson University.
ing people for their help and advice in various matters.
Sara J. Griffen, The Olana Partnership, for her arti-
In a project of this scope there are many to acknowl-
cle review and for gathering photos of Olana and its
edge, of course, but these people deserve our special
surroundings.
thanks:
Sue Reed, landscape architect, Shelburne, Massachusetts.
Chris Lant, Southern Illinois University Carbondale, for
Jane Southworth, University of Florida.
early and helpful feedback on our list of topics to cover
and authors to contact. Terje Oestigaard, The Nordic Africa Institute.
Ann Kinzig, Arizona State University. Gabrielle Gaustad, Golisano Institute for Sustainability,
Rochester Institute of Technology.
Carol Brewer, University of Montana.
Chris Kerston, Chaffin Family Orchards, Oroville ,
David Holmgren and Liz Wade, Holmgren Design
California, for his photos.
Services.
Erika Harvey, Friends of the High Line.
Chad P. Dawson, SUNY College of Environmental Science
and Forestry. Victoria Breting-Garcia, St. Agnes Academy.
John Grim, Yale University. Michael Haley, EcoReefs, Inc.

Adaptive Resource Management
Adaptive resource management is a management strat- actions can be understood and improved through a
egy appropriate for use when there is uncertainty in methodical, cyclic process. (See figure 1 on the next page.)
how the natural resource system would respond to a The process breaks down into three phases: planning,
management action. The goal of adaptive resource implementation, and evaluation.
management is to iteratively improve management
actions by carefully developing, monitoring, and assess-
Planning
ing each management action. Adaptive resource man-
agement is especially important for maintaining The planning phase starts by clearly defi ning a goal.
sustainable resources as environmental conditions alter Managers establish specific, measureable, and attainable
because of climate change or other threats. objectives to help them reach their goal. Once they iden-
tify objectives, the planning phase continues as they
develop management alternatives hypothesized to meet
T he term adaptive resource management describes a
structured method for managing natural resources in
systems or situations with uncertainty in how the system/
these objectives. These management alternatives are indi-
vidual, testable hypotheses. In the formal adaptive man-
agement process, managers develop alternatives that
situation would respond to a particular management
involve modeling so that they can understand the poten-
action. In theory, adaptive resource management is an
tial effects of each management action on the resource
iterative process in which managers learn more about the
and identify an optimal strategy (e.g., most cost effective,
resource and enhance the effectiveness of their manage-
most effective at achieving the goal). For each alternative,
ment strategy by designing management actions as
managers must explicitly predict the effects.
experiments. Adaptive management, which is often
learning by doing, can enhance understanding about the
functioning of the managed resource and thereby Implementation
improve the effectiveness of future management actions.
To apply an adaptive management strategy, managers
Adaptive resource management can be an important
implement alternatives in an experimental framework. A
tool in achieving sustainable ecosystems. In the face of
carefully developed monitoring program to assess the
climate change, habitat modification, and other emerg-
impact of each alternative management action on the
ing threats, an adaptive resource management strategy
resource is central to this phase.
allows management to alter their actions as environmen-
tal conditions change.
Evaluation
The Process Managers synthesize and assess results of the monitoring
program in the evaluation phase. Based on the informa-
Adaptive resource management should not simply be tion obtained, managers can return to the planning phase
management by trial and error; instead, it should involve and identify new goals, objectives, and alternate manage-
an experimental design so that the effects of management ment strategies or make other adjustments. As managers

ADAPTIVE RESOURCE MANAGEMENT • 3
Figure 1. Adaptive Resource Management Diagram
Identify Goal
Make Develop
Modifications Objectives
Review & Develop

Assess Management
Results Alternatives
Monitor
Outcomes
Source: author.
This diagram identifies the major components of the adaptive resource management process and illustrates their
conceptual sequence.
modify their methods, they repeat the adaptive manage- management programs has confused the meaning of what
ment cycle. This process provides new knowledge about constitutes a true adaptive resource management program.
the functioning of the resource and improves future Many resource managers say they are adaptively managing
management actions. their resources, when in reality they are not.
Alternative Definitions Implementation of Adaptive

Resource Management
Despite the formally accepted definition and process of
adaptive resource management described here, managers Since the late 1970s, when policy makers fi rst formally
regularly use the term to describe a wide variety of resource proposed the idea of adaptive resource management, it
management approaches. They often use the term in the has garnered worldwide attention and support. Managers
broadest sense to define any resource management program have attempted adaptive resource management in coastal,
in which actions change over time. These management pro- terrestrial, and marine systems. They have used it as a
grams often lack one or more of the key components strategy to manage ecosystems, the harvest of species,
required for a true adaptive resource management strategy. water resources, and forests across a spectrum of scales
The loose use of this term to describe many different and in geographically diverse places.

4 • THE BERKSHIRE ENCYCLOPEDIA OF SUSTAINABILITY: ECOSYSTEM MANAGEMENT AND SUSTAINABILITY
Adaptive resource management has often proved com- to improve the outcomes. They have also used the results
plicated and difficult to implement in the real world. to advance development of sediment models and aquatic-
Managers have successfully carried out few large-scale ecosystem models for the river.
projects. Difficulties with implementation include flaws
in experimental design or data analysis, high costs of The Future
monitoring, time lags between management actions and
their impacts, difficulties in modeling outcomes, institu- Resource managers are often required to make decisions
tional barriers caused by stakeholders’ confl icting man- based on uncertain or incomplete data. Adaptive resource
agement philosophies, or the difficulty of adapting policy management provides a framework managers can use to
in large bureaucratic organizations with many levels of make more informed decisions as they collect additional
decision making. data to reduce uncertainty. Adaptive resource manage-
ment will continue to play an important role in the man-
Glen Canyon Dam agement of natural resources in the twenty-first century
as climate change and human impacts alter environmen-
In the mid-twentieth century, the US government built tal conditions. Key to its continued use will be whether
Glen Canyon Dam and other dams along the course of policy makers and managers develop novel approaches
the Colorado River in the southwestern United States, and tools to support components of adaptive manage-
significantly altering the river’s hydrology. They built ment that currently impede its full implementation.
these dams to control flooding, store water, and generate
Jared G. UNDERWOOD
electricity. Before the US government built the dams,
United States Fish and Wildlife Service
massive seasonal floods shifted large amounts of sedi-
ment, creating sandbars and protected backwaters and See also Administrative Law; Best Management Practices
altering the temperature of the water. The altered post- (BMP); Complexity Theory; Disturbance; Ecological
dam hydrologic regime lost or endangered many native Forecasting; Extreme Episodic Events; Plant-Animal
species. Interactions; Safe Minimum Standard (SMS)
In the 1990s the US government (Department of the
Interior) created the Glen Canyon Adaptive
Management Program and Working Group with a goal
FURTHER READING
of restoring the Grand Canyon’s riverine ecosystem and
Allen, Catherine, & Stankey, George H. (Eds.). (2009). Adaptive
protecting native fishes. Managers of the Grand Canyon environmental management: A practitioner’s guide. Dordrecht, The
and other interested parties were uncertain about the best Netherlands: Springer.
methods to restore ecosystem function. The adaptive Holling, C. S. (Ed.). (2005). Adaptive environmental assessment and
management. Caldwell, NJ: Blackburn Press.
management strategy focused on restoring sandbars and
Lee, Kai N. (1993). Compass and gyroscope: Integrating science and politics
backwaters through massive water releases that mim- for the environment. Washington, DC: Island Press.
icked pre-dam floods. The management alternatives Stankey, George H.; Clark, Roger N.; & Bormann, Bernard T. (2005).
included the timing, duration, and volume of water Adaptive management of natural resources: Theory, concepts, and man-
agement institutions (Gen. Tech. Rep. PNW-GTR-654). Portland,
released. As of 2011, three iterations (1996, 2004, and
OR: US Department of Agriculture (USDA), Forest Service,
2008) of this management strategy had been completed. Pacific Northwest Research Station.
After each release, managers monitored the program to Walters, Carl J. (1986). Adaptive management of renewable resources.
determine whether the alternative they selected created New York: McGraw Hill.
Williams, Byron K.; Szaro, Robert C.; & Shapiro, Carl D. (2009).
sandbars, created nearshore habitat for the endangered
Adaptive management: Th e US Department of the Interior technical
fishes, and benefited other resources. Managers have guide. Washington, DC: Adaptive Management Working Group,
evaluated the results and adapted each subsequent release US Department of the Interior.

Administrative Law
Administrative law is a branch of law that governs the into effect; the executive carries out these directives, in
actions of the executive branch of government, includ- accordance with the powers and mandate provided in the
ing administrative agencies and government officials. statute; and the judiciary applies the general rules to par-
The principles of administrative law apply to ecosystem ticular cases, including the power to review executive
management conducted by state agencies, including actions. Separation of powers is observed to different
the actions and decisions of officials, scientists, policy degrees in different countries. For example, in the United
advisors, and others involved in its practice. States, there is a generally strict division between
Congress (the legislative branch), the office of the presi-
dent (the executive branch), and the judiciary, while in
F rom the perspective of ordinary citizens, ecosystem

management is a prescriptive phenomenon. It con-
sists of government telling them what to do. As such, it
parliamentary democracies like the United Kingdom and
Canada, the separation of powers between legislative and
executive branches takes a different form, although under
is a coercive process, dependent not upon agreement or both systems, as a general rule, executive power requires
consent of individuals or communities, but upon the legislative authorization.
authority of the agency giving orders. A basic principle of Courts are authorized to scrutinize executive action
administrative law, as it exists in Western legal systems, when aggrieved parties apply for judicial review. In judi-
is that the executive branch of government is empowered cial review, the court assesses whether a state agency has
to do only what statutes grant it the mandate to do. The acted within its jurisdiction, as established by statute;
corollary of this principle is that any executive official whether it has exceeded its discretion, the bounds of
who takes action without a statutory mandate acts with- which also depend to a significant degree upon the word-
out jurisdiction. While science and politics play a large ing of the statute; the degree of deference that the agency
role in ecosystem management, the law defines what the should be afforded; whether its actions are consistent
practitioners of ecosystem management can do. Therefore, with applicable procedural standards, such as providing
officials who carry out and enforce ecosystem manage- notice and a right to respond to those who will be affected
ment directives must find their mandate in authorizing by certain kinds of decisions; whether there was bias,
legislation. confl ict of interest, or predetermination in the decisions
This administrative law principle is a derivative of the reached; and a number of other considerations the court
constitutional separation of powers between the three may consider to determine whether the actions of the
branches of government: legislature, executive, and judi- agency were lawful.
ciary. Separating powers between these branches is a In principle, through the application of administrative
basic feature of the rule of law in Western legal systems. law, courts play an important supervisory role over the
It protects citizens by giving each branch a role in con- practice of ecosystem management. But modern environ-
trolling the actions of the others, thereby preventing mental statutes commonly provide broad discretion to
concentration of power and diminishing the potential for environmental agencies. The language in such statutes
arbitrary measures. Traditionally, the legislature passes tends to be permissive (“the Agency may . . .”) rather than
general rules and authorizes executive action to put them mandatory (“the Agency shall . . .”), and gives officials

authority not simply to execute general rules but also to Latin, Howard. (1991). Regulatory failure, administrative incentives,
establish objectives and the means of achieving them in and the new Clean Air Act. Environmental Law, 21(4), 1647–1720.
Monahan, Patrick J. (2002). Constitutional law (2nd ed.). Toronto:
regulations or policy documents. Since the role of courts Irwin Law.
in judicial review is to compare executive actions with Mullan, David. (2001). Administrative law. Toronto: Irwin Law.
statutory mandates, the grant of broad discretion pro- Pardy, Bruce. (2003). Changing nature: The myth of the inevitability
vides more room for ad hoc and therefore potentially of ecosystem management. Pace Environmental Law Review, 20 (2),
675–692.
arbitrary decision making, thus diminishing the theo- Pardy, Bruce. (2006). Ecosystem management in question: A reply to
retical protections provided by the principles of adminis- Ruhl. Pace Environmental Law Review, 23(1), 209–217.
trative law. Pardy, Bruce. (2008). The Pardy-Ruhl dialogue on ecosystem manage-
ment part V: Discretion, complex-adaptive problem solving, and
Bruce PARDY the rule of law. Pace Environmental Law Review, 25(2), 341–354.
Queen’s University, Canada Pardy, Bruce. (2009). Ten myths of ecosystem management.
Environmental Law Reporter, 39, 10917.
See also Adaptive Resource Management (ARM); Best Plater, Zygmunt J. B. (2002). Environmental law in the political
ecosystem—Coping with the reality of politics: Eighth annual Lloyd
Management Practices (BMP); Comanagement; Safe K. Garrison lecture on environmental law. Pace Environmental Law
Minimum Standards (SMS) Review, 19 (2), 423–488.
Ruhl, J. B. (2004). The myth of what is inevitable under ecosystem
management: A response to Pardy. Pace Environmental Law
Review, 21(2), 315–323.
Ruhl, J. B. (2007). The Pardy-Ruhl dialogue on ecosystem manage-
FURTHER READING ment part IV: Narrowing and sharpening the questions. Pace
Boyd, David R. (2003). Unnatural law: Rethinking Canadian environ- Environmental Law Review, 24 (1), 25–34.
mental law and policy. Vancouver, Canada: UBC Press. Ruhl, J. B. (2009). It’s time to learn to live with adaptive management
Breyer, Stephen G., et al. (2011). Administrative law and regulatory (because we don’t have a choice). Environmental Law Reporter,
policy: Problems, text and cases. Austin, TX: Wolters Kluwer Law & 39, 10920.
Business. Scheuerman, Bill. (1994). The rule of law and the welfare state:
Hogg, Peter. (2005). Constitutional law of Canada. Toronto: Thomson Towards a new synthesis. Politics & Society, 22 (2), 195–213.
Carswell. Sullivan, Kathleen M., & Gunther, Gerald. (2010). Sullivan and
Houck, Oliver A. (2009). Nature or nurture: What’s wrong and Gunther’s constitutional law (17th ed.). New York: Thomson Reuters.
what’s right with adaptive management. Environmental Law Tamanaha, Brian Z. (2004). On the rule of law: History, politics, theory.
Reporter, 39, 10923. Cambridge, UK: Cambridge University Press.

Intensified agricultural production involves the use of available to them has evolved from simple, handheld
land for food or livestock production in a way that tools to large-scale mechanical implements. The devel-
increases output. The rapid increase in human popu- opment and availability of inputs like irrigation water,
lation has made it imperative to meet the demands fertilizers, pesticides, and hybrid seeds have enabled
for food and other natural products. Injudicious and production beyond natural climatic and soil limits. But
uninformed use of agrochemicals and technology an overriding factor causing farmers to intensify produc-
often leads to land, air, and water pollution and deg- tion is population pressure (Boserup 1965). Prior to the
radation. Environmentally sound farming practices industrial and technological revolution of the nineteenth
enhance production while sustainably supporting and early-twentieth centuries, farming communities
future generations. worldwide practiced “low-tech” agriculture using simple
tools made from locally available materials.
A gricultural intensification or intensified farming is

the practice of using farm- and pastureland in a way
to increase production by means of increasing the fre-
As the industrial era progressed into the twentieth
century, advances in technologies, including the tractor
and farm implements for tillage, sowing, harvesting, and
quency of cropping, increasing the use of inputs (tillage, processing crops, along with fertilizer, improved seed,
labor, fertilizer, pesticides, etc.), or grazing higher num- and pest control technologies, led to increased farming
bers of livestock per unit land area (Boserup 1965; WRI intensity. Population growth as well as changes in
2011). Intensification of agriculture is an unavoidable demography and dietary patterns fueled this transfor-
consequence of the growing global human population, mation (WRI 2011).
which demands ever more food, energy, and other An increasing proportion of the human population
resources. Whereas intensive use of land-based resources gradually concentrated in urban areas, and the propor-
is not, in and of itself, a bad thing, lack of careful planning tion of people engaged in agriculture diminished.
and management, vigilant regulation, and judicious use of Increasing mobility, the changing nature of employment,
inputs (especially agrochemicals) could lead to a decline in and a transformation in lifestyles all led to changes in
productive capacity and a degradation of the land along dietary preferences and demand for agricultural products.
with pollution of air, rivers, lakes, and groundwater A shrinking farm-labor force and simultaneous increase
(Matson et al.1997; WRI 2011). Because of the poten- in world food demand during the mid-1900s meant that
tially negative consequences of agricultural intensification fewer people had to produce greater quantities of food
and its adoption, scholars, researchers, and development from smaller areas of land. Mechanized farming and
workers have shown considerable interest in this topic. monoculture production systems thus began in Europe
and North America.
Historical Development During the late twentieth and early twenty-fi rst
centuries, it has become evident that agricultural inten-
In the course of the evolution of agriculture, a number sification will undoubtedly continue well into the future.
of factors have influenced the nature of practices and Intensified farming has now spread to the emerging
tools adopted by farmers. The technological know-how economies of Asia and South America, as well as to the

less-developed countries of the world where population quality and productive capacity of the land, biodiversity
pressures are tremendous (Ali 2007; Kates 1994). In and gene-pool resources, surface and ground water qual-
these developing nations, which are already densely pop- ity, and atmospheric composition. (See figure 1.)
ulated, habitation, infrastructure, manufacturing, and
agriculture compete with farming for land use. Soil Properties
Agricultural production has to come from the existing
farmland. Th is lack of room to expand will require Alteration of soil properties is the most common and
increasing use-intensification of the land already under readily observable environmental effect intensified farm-
cultivation. ing practices cause. Intensified agriculture increases
manipulation of the soil (number of tillage operations
Environmental Impacts and depth of tillage) and produces a higher number of
crops per unit land area per cropping cycle (usually one
Although intensified use of land resources need not nec- year). Th is generally leads to a reduction in the soil
essarily lead to adverse environmental consequences and organic matter content unless high rates of farmyard
degradation, the risks of ecosystem imbalance and dis- manure, plant litter, or compost compensate and substan-
ruption of natural systems are high. Inadequate precau- tial amounts of crop residues are retained. Soil organic
tionary measures and improper management practices on matter is a key component of soils. It maintains soil
intensively cultivated lands invite adverse impacts on the structure, stability, and water-holding capacity, facilitates
Figure 1. Consequences of Sustainable and Unsustainable Approaches to

Increase in human
population and
demand for food and
other natural
resources
Expansion of
agricultural land
and intensified
Excessive use of production Adoption of sustainable
chemical fertilizers crop, soil, water, & pest
and pesticides management practices
Frequent Decline in Maintenance Organic/bio-

tillage and productivity of enhanced fertilizers,
manipulation and output/unit productivity reduced tillage,
of soil area and other
conservation
Vicious cycle Sustainable measures
of agricultural
degradation Sustained
intensification Minimized
Land and air Degradation
pollution; surface of land and natural pollution of
and groundwater other resource land, air, and
pollution natural base water
resources
Adverse ecosystem Minimal impacts to

and human health natural and human
impacts ecosystems
Source: author.

AGRICULTURAL INTENSIFICATION • 9
nutrient release and availability to crops, and enhances ultimately lead to the loss of crop gene-pool diversity.
the soil’s resistance to erosion (Lal 2001). Declining soil Th is loss has implications for the genetic varieties of
organic-matter content has major implications for sus- crops and their ability to adapt to environmental changes,
tained production, loss of soil productive capacity, and which normally operates through the natural selection
land degradation. process.
Pollution and Health Effects The Future

Agricultural intensification affects the environment Production systems will likely intensify to meet the ever-
through pollution from the indiscriminate and excessive growing demands for food, fiber, and basic natural raw
use of chemical fertilizers and pesticides. Because water materials. This trend is likely to persist at least through the
and crop nutrients are commonly the main constraints to twenty-first century, by the end of which the world popu-
production, intensive farming systems inevitably require lation probably will have stabilized and begun to decline.
substantial inputs of fertilizers and supplemental irrigation. This change in human population is
A significant portion of the applied inorganic expected to be a combined conse-
fertilizers leach into the groundwater quence of depletion of available
system, volatilize, or travel long dis- space and natural resources as
tances by air (Matson et al. 1997). our planet approaches and
Fertilizers removed from the farm exceeds its carrying capacity
field contaminate ground- and (Arrow et al. 1995; Cohen 1995);
surface waters, posing a threat to as nation-states take population
human or animal health. growth control measures; and as
Toxic synthetic chemicals climate change brings increasingly
(e.g., organo-chlorine, organo- frequent droughts, famines, floods,
phosphate, and carbamate hurricanes, and severe storms (Forster
compounds) applied to control 2007). Until such a time when popula-
crop pests such as weeds, insects, tion pressure and increasing demand for
and diseases have serious implica- the basic necessities diminish, it is
tions for human health as well as unlikely that intensification of produc-
ecosystem functioning. Many of these tion, whether it be food crops, medici-
toxic compounds, some of which nal plants, fiber, and construction
persist for decades in the environ- materials, will decrease. Faced with
ment, do not reach the intended this scenario, farming communities,
target organisms but rather lead scientists, and conservation workers
to the contamination of soil, must devise lasting and sustainable means
water, and food products. The of intensifying production systems while
persistent compounds, like chlo- avoiding its adverse consequences.
rinated hydrocarbons (DDT, for example) accumulate
in the tissue of organisms like fish and birds. When other
organisms higher up in the food chain, including humans, Sustainable Agricultural
consume them, these compounds can cause health prob- Intensification
lems such as cancer and birth defects
Our quest for sustaining intensified production with
Soil Biota and Agricultural Biodiversity minimal adverse impacts on the environment, natural
ecosystems, and human health will require that we learn
Monoculture—planting a single crop type over large from and work in harmony with natural systems.
areas—and continuous cropping of one type of crop Sustaining intensive agriculture is likely to necessitate
across multiple seasons reduce the diversity of plants in innovative and unconventional approaches to production.
and around the farm fields. This reduction influences the A shift away from excessive application of chemical fer-
diversity and abundance of other biota, such as soil fauna, tilizers and synthetic pesticides with concomitant adop-
weeds, insects, and microbial communities (Matson et al. tion of diversified cropping systems that optimize the use
1997). Outbreaks of unwanted organisms (i.e., pests) and efficiency of water, light, and plant nutrients will be
a reduction in the abundance of their natural enemies essential. Some examples of such systems include mixed,
can result. A reduction in the agro-biodiversity will multiple, and relay cropping, agroforestry and other

permaculture systems, use of biofertilizers and biopesti- Agricultural intensification. (n.d.). Retrieved June 11, 2011, from
cides, hydroponics, and so on. The need for sustainable http://www2.truman.edu/~rgraber/cultev/agint.html
Arrow, Kenneth, et al. (1995). Economic growth, carrying capacity,
intensification of agriculture is even more acute in devel- and the environment. Science, 268 (5210), 520–521.
oping countries because of the continued increase in Boserup, Ester. (1965). The conditions of agricultural growth: The econom-
human population and lack of financial capacity of the ics of agrarian change under population pressure. London: George
farmers for capital investment in advanced technology. Allen & Unwin.
Cohen, Joel E. (1995). Population growth and Earth’s human carrying
The careful selection and adoption of a combination of capacity. Science, 269 (5222), 341–346.
appropriate alternative practices, crops, and pest control Dahal, Bed M.; Sitaula, Bishal Kumar; & Bajracharya, Roshan Man.
measures will be instrumental for ensuring the sustain- (2008). Sustainable agricultural intensification for livelihood and
ability of farming systems (Dahal, Sitaula, and Bajracharya food security in Nepal. Asian Journal of Water, Environment and
Pollution, 5(2), 1–12.
2008). Failing to achieve sustainable agricultural inten- Forster, Piers, et al. (2007). Changes in atmospheric constituents and
sification will mean the further degradation of land, in radiative forcing. In S. Solomon et al. (Eds.), Climate change
water, biodiversity, and other natural ecosystem services, 2007: The physical science basis. Contribution of Working Group I to
which will in turn reduce the Earth’s capacity to support the Fourth Assessment Report of the Intergovernmental Panel on
Climate Change (pp. 129–234). Cambridge, UK: Cambridge
and nurture human society. University Press.
Kates, Robert W. (1994). Sustaining life on the Earth. Scientifi c
Roshan M. BAJRACHARYA and Bed Mani DAHAL American, 271(4), 114–122.
Kathmandu University Lal, Rattan. (2001). Soil degradation by erosion. Land Degradation &
Development, 12 (6), 519–539.
See also Agroecology; Biodiversity; Ecosystem Services; Matson, Pamela A.; Parton, William J., Jr.; Power, Alison G.; &
Fencing; Groundwater Management; Human Ecology; Swift, Michael John. (1997). Agricultural intensification and eco-
Irrigation; Population Dynamics; Soil Conservation; system properties. Science, 277(5325), 504–509. Retrieved June 11,
2011, from www.sciencemag.org
Urban Agriculture; Urban Vegetation Truman State University. (2011). Agricultural intensification.
Retrieved June 11, 2011, from http://www2.truman.edu/~rgraber/
FURTHER READING cultev/agint.html
World Resources Institute (WRI). (2011). Intensification of agricul-
Ali, Abu Muhammad Shajaat. (2007). Population pressure, agriculture. Retrieved June 11, 2011, from http://www.wri.org/publication/
tural intensification and changes in rural systems in Bangladesh. content/8331
Georforum, 38 (4), 720–738.

Agroecology
The environmental impacts of the Green Revolution, that would support production of food and other materi-
which emphasized increasing crop yields often at the als while also protecting the environment and small
expense of the environment, led ecologists to encour- shareholders.
age agroecology, a sustainable approach that protects Charles Francis, a US expert on sustainable agricul-
not only the environment but small shareholders. The ture, and his colleagues expanded the area of agroecology
movement has grown worldwide with positive effects as the “integrative study of the ecology of the entire food
particularly in developing countries, where it has not system, encompassing ecological, economic and social
only ecological impacts but social and economic effects dimensions” (Francis et al. 2003, 100). This broader focus
as well. on food systems establishes agroecology as an integrated
and multidisciplinary field that encourages involvement
from sociologists, economists, regional planners, policy
A groecology is defined most simply as “the applica-

tion of ecology in agriculture.” Whereas many of
the principles of agroecology are as old as agriculture
makers, and public health experts. Interest in agroecol-
ogy is likely to grow because society needs creative and
sustainable solutions to balance the need for greater food
itself, interest in the topic has expanded in response to security with the limited availability of natural resources
industrialized agriculture’s negative environmental and to produce food.
social impacts. The Green Revolution in agriculture that
occurred from the 1940s to the 1970s promoted the
adoption of new technologies for boosting crop yields Historical Context
through monoculture systems, improved crop varieties,
chemical fertilizers, synthetic pesticides, and irrigation. The emergence of agroecology as a unique discipline
Although this strategy increased production in an effort dates to the early part of the twentieth century. Scientists
to feed a growing population, a number of unintended explored early topics such as crop ecology (Klages 1928),
consequences emerged. New high-yielding varieties dis- crop-environment interactions (Papadakis 1970), and
placed traditional varieties that were well adapted to ecology in agriculture (Hanson 1939). Agroecology
local conditions and served as a source for genetic diver- gained a strong foothold in the 1970s, as scientists pub-
sity. The focus on specific grain crops such as corn, licized the impacts of industrialized agriculture. Miguel
wheat, and rice reduced the nutritional quality of the Altieri, a US agroecologist and a sustainable agriculture
human diet because these replaced fruits, vegetables, and advocate, published Agroecology: The Science of Sustainable
traditional crops. Environmental impacts are the most Agriculture in 1987. Steven Gliessman, another US expert
publicized consequences: biodiversity and habitat loss in in agroecology, published his textbook Agroecology:
the landscape; pollution of water resources from pesti- Ecological Processes in Sustainable Agriculture in 1998.
cides, nutrients, and sediment; reduction in water quan- Alexander Wezel (2009), a French agroecologist, and his
tity from irrigation; and others. The growing colleagues chronicled the development of agroecology
environmental movement of the 1960s raised awareness primarily as a scientific discipline in the 1970s and
of these issues. Agroecology emerged as an approach earlier, as a set of practices in the 1980s, and as a social
11

movement in the 1990s. Broader definitions that encour- conserve energy, and protect natural resources such as
age the integration of multiple disciplines have emerged soil and water. Reduced tillage minimizes the regular
in the twenty-first century. disturbance of the system, resulting in lower energy
A number of topics related to agroecology are worth requirements, reduced soil erosion, and conservation of
defining because they have contributed to the develop- soil moisture. Diversification of the agroecosystem
ment of the field and will likely impact directions. through crop rotations and polycultures helps to reduce
Sustainable agriculture seeks to meet the needs of humans pests by disrupting their life cycles, to improve soil fertil-
today without compromising the needs of future genera- ity when nitrogen-fi xing legumes are included, and gen-
tions by integrating goals for environmental stewardship, erally to increase resilience against local disturbances.
economic viability, and social equity. Many of the prac- Cover crops can also contribute to biodiversity and nutri-
tices recommended for sustainable agriculture align with ent cycling while suppressing weeds. Crop species that
those in agroecology, but the concept of sustainable are well adapted to the given environment can reduce the
agriculture is used less in the context of traditional need for irrigation and other inputs. Perennial crops,
agricultural systems, practices, and knowledge. Organic including trees, minimize disturbance of the system
agriculture refers to a very specific set of farming stan- while providing additional benefits such as carbon
dards that limit the use of pesticides, chemical sequestration, soil stabilization, and
fertilizers, and other synthetic inputs. The microclimate control. Integrating
Agricultural Marketing Service of the livestock into the agroecosystem
US Department of Agriculture and improves soil organic matter and
international bodies regulate the enhances nutrient cycling because
marketing term. Products labeled animals process plant material
“organic” often receive a pre- into readily available nutrient
mium price. Multifunctionality forms in their manure. From the
in agriculture developed out of social perspective, agroecology
the recognition that agricultural seeks to support the livelihoods
landscapes can provide multiple of farmers, to protect the welfare
noncommodity outputs including of farm workers, and to
ecological functions (e.g., biodiver- strengthen the rural communi-
sity, water protection, and habitat) ties in which they live.
and cultural functions (e.g., recre- The impacts of agroecology
ation, visual quality, and educa- on the environment are intended
tion) that traditional markets do to be positive when compared
not capture. Policies to encour- with conventional systems.
age multifunctionality often Critics of conventional industrial
promote landscape features and agriculture say it displaces natural
practices that could support habitats, depletes the soil of nutri-
agroecology. Other holistic ents and organic matter, pollutes
approaches such as permaculture and and depletes water resources, and con-
biodynamic agriculture overlap with agro- tributes to greenhouse gas emissions
ecology, drawing in a diverse audience to include (agriculture and food systems globally contrib-
residential gardeners, collective farms, and concerned ute one-third of emissions). Agroecology is one strategy
consumers. Th ese approaches share knowledge on for protecting natural resources through appropriate
the ecology of agriculture in simple and small-scale design and management of a production system.
formats. The approach is not without challenges, however. The
knowledge required to manage such a complex system is
vast. Current institutional support to help build the
Contemporary Approaches, knowledge base through research and extension activities
Impacts, and Challenges is lacking. Farmers themselves, along with some key
advocates, share much of the knowledge. Agroecology
Contemporary agroecology includes a broad set of can also be more labor intensive, particularly in the start-
approaches and methods, most of which seek to mimic up phases. The availability of skilled laborers is limited in
the characteristics of natural ecosystems. In general, the some regions. Finally, profitability can be a challenge in
methods intend to reduce reliance on off-farm resources, countries where government subsidies provide support
avoid synthetic inputs, minimize toxic materials, for commodity crops and associated inputs, but not for

AGROECOLOGY • 13
agroecology production. Farmers of diversified and higher environmental standards from the nearby farmers
small-scale production systems may fi nd it difficult to providing their food.
compete under such conditions. They are often pushed
into high-value markets with a more elite or wealthier Latin America
customer base. The outputs (such as organic foods) are
not equally available to all consumers, particularly the Latin America has played an important role in the devel-
members of disadvantaged communities. opment of the international agroecology scene in two
ways. For one, the region includes a number of sites that
International Distribution have been the focus of research and the source of models
of integrated systems relying on local knowledge. A sec-
The roots of agroecology, as well as current applications, ond role is in the grassroots political movements driven
can be found across the globe. Much of the focus in the by peasant farmers, such as the Campesino a Campesino
literature is on developing countries, but the growing (Farmer to Farmer) movement that Eric Holt-Giménez,
interest in healthy food systems is driving a greater an internationally known researcher in agroecology,
awareness in developed countries. documented. These movements call for agricultural
reform through a return to sustainable agriculture prac-
tices, local knowledge protection, and food sovereignty
United States and Canada
for the poor.
Ecologists led the rise of agroecology in the 1970s in the In some ways, Latin America serves as a nexus of
United States, where the confl ict with industrial agricul- agroecology between the developing and developed
ture was most intense and visible. Several key advocates world. These countries offer innovative solutions, host
have promoted agroecology for decades and continue to development projects, and lead reforms. In Havana,
contribute to the field through writings, research, and Cuba, the transition from reliance on imported foods and
curriculum development: Miguel Altieri at the University agricultural inputs to local, organic food production fol-
of California at Berkeley; Steven Gliessman at the lowing the collapse of the Soviet Union may be one of the
University of California at Santa Cruz; Charles Francis most inspiring examples of widespread transformation to
at the University of Nebraska; and John Vandermeer at agroecology production. The Tropical Agriculture
the University of Michigan. A number of land grant Research and Higher Education Center, or CATIE
institutions provide some curricular offerings in agro- (Centro Agronómico Tropical de Investigación y
ecology or related topics through a dedicated major, a Enseñanza), in Turrialba, Costa Rica, is recognized glob-
specialization within a major, or individual courses. ally for programs and expertise in agroecology, particu-
Increasingly, other institutions throughout the United larly for its emphasis on social issues such as poverty
States and Canada, including liberal arts colleges and alleviation and rural development. A number of current
community colleges, offer programs in agroecology to agroecology experts have trained at the center.
meet the demand growing from greater public awareness
of the role of agriculture in environmental and social
Europe
issues.
Many of the publications on agroecology originate In many European countries, agroecology is being applied
from US authors, yet developing countries (particularly at a broad scale in a comprehensive and integrated manner
those in Latin America) are the target for much of the responsive to local and regional landscape characteristics.
research in the articles. One reason may be that experts Policies to subsidize landscape features that improve eco-
rarely consider the applications of agroecology from the logical and cultural functions while still encouraging pro-
United States and Canada to be transformative. Few ductivity have embraced the concept of multifunctionality
examples exist of whole farms planning to closely mimic of agriculture. Many of the programs emphasize land-
the natural environment. Instead, US agriculture has scape design (i.e., including noncrop habitats), as opposed
focused on implementing individual, specific practices to field-scale management practices. Several European
such as cover cropping, intercropping, and crop rotations, researchers are contributing to the broader conversation
which are often promoted for commercial organic pro- about agroecology. Eduardo Sevilla-Guzman’s research
duction systems. Some of the more aggressive applica- group at Spain’s University of Cordoba focuses on the
tions include integrated crop-livestock systems, urban sociological perspective of agroecology, engaging small-
food production systems, and perennial polycultures for scale farmers and supporting rural development through
grain or biofuels. The growing public interest in local participatory approaches. Alexander Wezel at ISARA-
foods in the United States could have important implica- Lyon in France studies the history and applications of
tions for the future of agroecology as consumers request agroecology around the world. The Nordic Agroecology

University Network (AGROASIS) is a collaboration that agroecology is inconsistent with the need for high
between several institutions to provide education in agro- production to feed the world (Snapp 2010).
ecology. Wageningen University in the Netherlands offers
programs that bridge disciplines through applied research Australia
and education based on a theme of “healthy food and
living environment.” Agroecology has existed in Australia for decades, mostly
through alternative sustainable farming practices. The
Australian ecologists Bill Mollison and David Holmgren
Asia formalized the permaculture approach (or “permanent
In Asia, the most interesting applications of agroecol- agriculture”) in the 1970s as a way to promote ecological
ogy occur in and around urban centers. High popula- principles through productive perennial habitats that are
tion densities require innovative approaches to growing diverse and resilient. Permaculture, which is often imple-
food and reusing resources, in some cases integrating mented as part of the homestead, can become a lifestyle
crops, livestock, and aquaculture. In urban areas, agro- for some advocates. Biodynamic farming, a related holis-
ecology combines with landscape ecology, integrating tic and organic approach focusing on a closed system of
and protecting production functions as part of the urban nutrient cycling, is popular in Australia (see, e.g.,
planning process. Peri-urban zones, which juxtapose Biodynamic Agriculture Australia, a nongovernmental
urban and rural areas, contain agritourism enterprises organization that promotes the concepts). Australia was
that often emphasize sustainability. In rural areas, pro- also an early leader in the organic agriculture movement,
tecting the heritage of traditional practices that relied with the fi rst organic society, the Australian Organic
upon complex nutrient cycling and waste management Farming and Gardening Society.
is the primary focus, providing important lessons for
agroecology today. Water and air quality are specific
issues that could strengthen the importance of agro- Controversy and Debates in
ecology in Asia in the coming years, along with the Agroecology
threat that climate change poses to food security in
densely populated areas. The debates between proponents of industrial agricul-
ture and advocates of agroecology have simmered
Africa throughout the decades. The primary point of contention
has been the extent to which agroecology could actually
For Africa, agroecology offers an opportunity to deal meet the global food needs if implemented on a broader
with human hunger in a more sustainable manner that scale. Governments justifi ed the Green Revolution
could also support self-reliance and community empow- based on the assumption that the growing population
erment. The lack of organized agricultural policy that required high-yielding grain crops that could be stored
could subsidize sustainable approaches has limited the for extensive periods. Critics have brought the sustain-
widespread adoption of agroecology in Africa. Instead, ability of this strategy into question. With the growing
food insecurity has led to exploitation of resources, caus- awareness of the impacts of agriculture on climate
ing a decline in soil fertility and crop yields. To date, change, water quality, and other environmental issues,
most international efforts to assist African communities the controversy has evolved to consider the best strate-
in dealing with the immediate threat of starvation have gies for conserving biodiversity and protecting natural
relied on Green Revolution technologies such as nonlocal resources. The question then becomes whether it is bet-
varieties, irrigation, and synthetic pesticides and fertil- ter to intensify production in an effort to conserve land
izers. Recently, however, results of a countrywide study elsewhere (“land sparing”), or to reduce the negative
in Malawi provided evidence of the benefits of sustain- impacts of agriculture locally (“wildlife-friendly
able approaches, even in terms of food provision. farming”).
Monitoring the impacts of a broad government program The controversy between industrial agriculture and
to provide farmers with improved maize seed and syn- agroecology extends beyond environmental issues to
thetic nitrogen fertilizer, the research team of US ecolo- include societal issues. One debate relates to the impor-
gist Sieglinde Snapp and her colleagues found that tance of protecting local knowledge, conserving local
adding diversity to the system (in the form of rotations genetic resources, and supporting farmer livelihoods in
including legumes) increased yield consistency, grain developing countries. Critics have accused agribusinesses
quality, production profitability, fertilizer efficiency, and of exploiting the diverse crop genetic resources to improve
farmer preference compared with synthetically fertilized the performance of marketable crop varieties. Governments
monoculture systems. Th is study challenges the notion have encouraged indigenous farmers to purchase the

AGROECOLOGY • 15
“improved” varieties. Farmers often abandon local and important contemporary concern is the need to develop
adapted crops, along with the local knowledge to manage appropriate assessment and monitoring strategies in
such systems. Agroecologists, on the other hand, view the order to evaluate the impacts, beyond yield alone, of dif-
genetic resources and local knowledge as an essential part ferent types of farming systems. These assessments will
of the agroecosystem and a contributor to livelihoods of consider “ecosystem services” provided by agroecosys-
small farmers. tems, as well as impacts on food security, human health,
Another debate revolves around the issue of human and farmer livelihoods. The results of these assessments
health related to food consumption. Historically, propo- could help guide agricultural policy.
nents of traditional agricultural systems compared sys- The outlook for the discipline of agroecology is bright.
tems based on metrics of quantity (producing calories, or United Nations Special Rapporteur Olivier De Schutter’s
high grain yields) and not quality (nutritional value). report to the United Nations on the “right to food” spe-
Agroecology advocates argue that much of the grain that cifically identified agroecology as an appropriate strategy
conventional systems produce is destined for livestock to improve food availability for vulnerable groups (De
feed or highly processed foods (particularly in the United Schutter 2010). And since vulnerable groups have been
States with the focus on corn), so the efficiency is low in identified in cities throughout the world, even in devel-
terms of human consumption and food quality. The oped countries, urban agriculture is a particularly
recent concerns about the quality of the interesting application of agroecology to
human diet have fueled this argument, as address food insecurity and obesity while
health experts call for diets with more promoting neighborhood revitalization.
fruits and vegetables to reduce obesity With dense populations, the urban
and related illnesses. environment offers unique opportu-
The controversies related to pro- nities to provide healthy foods,
duction, environmental impacts, reuse organic waste products,
and social implications become reduce transportation and process-
particularly heated when governing, educate consumers about food
ment subsidies and incentives are and nutrition, and create jobs.
considered. In the United States, The future of agroecology will
for example, agroecologists and most certainly be guided by sus-
other critics question policies tainability, as the environmental
originally designed to avoid food implications of agricultural activ-
shortages and support farmers, ities must be balanced with the
for their unbalanced support of need to feed the world. Research
large, commodity-based produc- related to climate change—both
tion systems. Agroecology advo- mitigation and adaption—will be
cates argue governments should critical in the coming years. How
remove or redistribute subsidies and can agroecosystems be designed to
incentives to align with the public bene- sequester carbon? What cropping
fits provided by agriculture. Furthermore, a systems will be adapted to future con-
large portion of the agricultural subsidies go to ditions? To what extent will agriculture
wealthy individuals and corporations that are not based compete for fresh water resources? Answers to
in rural communities where the land is located. Predicting these questions will certainly require collaboration across
the broader implications of an overhaul of these policies, disciplines. Although agroecology initially gained
however, is a great challenge. strength directly from the negative outcomes of indus-
trialized agriculture, this discipline has the potential to
dissolve some of the tensions between agriculturalists
Outlook and environmentalists as we face an uncertain future
dealing with food insecurity, climate change, and limited
Governments are exploring agroecology as a realistic resources.
solution for balancing food production and environmen-
Sarah Taylor LOVELL
tal health, with increasing consideration of the noncom-
University of Illinois, Urbana-Champaign
modity outputs provided by agroecosystems. The
expansion of the definition of agroecology to encompass See also Adaptive Resource Management (ARM);
the entire food system will encourage multidisciplinary Agricultural Intensification; Best Management Practices
approaches that consider social and political issues. An (BMP); Biodiversity; Ecosystem Services; Global

Climate Change; Human Ecology; Irrigation; Nutrient Lovell, Sarah Taylor, et al. (2010). Integrating agroecology and land-
and Biogeochemical Cycling; Permaculture; Soil scape multifunctionality in Vermont: An evolving framework to
evaluate the design of agroecosystems. Agricultural Systems, 103(5),
Conservation; Urban Agriculture 327–341.
Magdoff, Fred. (2007). Ecological agriculture: Principles, practices,
and constraints. Renewable Agriculture and Food Systems, 22 (2),
109–117.
Papadakis, Juan. (1970). Fundamentals of agronomy, compendium of
FURTHER READING crop ecology. Buenos Aires: Libro de edicion Argentina.
Altieri, Miguiel A. (1995). Agroecology: The science of sustainable agricul- Pretty, Jules. (2008). Agricultural sustainability: Concepts, principles
ture (2nd ed.). Boulder, CO: Westview Press, Inc. and evidence. Philosophical Transactions of the Royal Society of
Dalgaard, Tommy; Hutchings, Nicholas J.; & Porter, John R. (2003). London Series B, 363(1491), 447–465.
Agroecology, scaling and interdisciplinarity. Agriculture, Ecosystems Sachs, Jeff rey, et al. (2010). Monitoring the world’s agriculture.
& Environment, 100 (1), 39–51. Nature, 466(7306), 558–560.
De Schutter, Olivier. (2010). United Nations special rapporteur on the Snapp, Sieglinde. (2010). Biodiversity can support a greener revolution
right to food. Retrieved August 26, 2011, from www.srfood.org/ in Africa. Proceedings of the National Academy of Sciences of the United
Francis, Charles A., et al. (2003). Agroecology: The ecology of food States of America (PNAS), 107(48), 20840–20845.
systems. Journal of Sustainable Agriculture, 22 (3), 99–118. Vandermeer, John H. (2011). Th e ecology of agroecosystems. Sudbury,
Gliessman, Stephen R. (2006). Agroecology: Th e ecology of sustainable MA: Jones and Bartlett Publishers.
food systems (2nd ed.). Boca Raton, FL: CRC Press. Wezel, Alexander, et al. (2009). Agroecology as a science, a movement
Hanson, Herbert C. (1939). Ecology in agriculture. Ecology 20, 111–117. and a practice: A review. Agronomy for Sustainable Development,
doi:10.2307/1930733. 29 (4), 503–515.
Klages Karl H. W. (1928). Crop ecology and ecological crop geogra- Wezel, Alexander, & Soldat, V. (2009). A quantitative and qualitative
phy in the agronomic curriculum. Journal of the American Society of historical analysis of the scientifi c discipline of agroecology.
Agronomy, 10, 336–353. International Journal of Agricultural Sustainability, 7(1), 3–18.

Best Management
Practices (BMP)
Best management practices (BMP) are practical mea- Types

sures implemented to reduce the impacts of human
activities on water resources. BMPs identify the best Managers employ a wide range of BMPs based on land
available pollution control technologies for nonpoint use and type of NPS pollution. BMPs can be grouped
(diffuse) source pollution, taking into account practi- into the following general categories.
cal, societal, and economic considerations. Use of
appropriate BMPs can significantly improve runoff Riparian Buffer Strips
water quality from land uses like agriculture, forestry,
and urbanization. A riparian buffer is a zone of vegetation retained along
the banks of a water body. The land immediately adjacent
the water body is the most sensitive part of a watershed.
Th is riparian area may extend from ten to several hun-
N onpoint source (NPS) pollution (diff use sources
resulting from storm runoff or snowmelt) often is
the largest contributor to water quality degradation.
dred meters in width. In this riparian buffer, canopy-
forming vegetation (like trees) is retained, and soils
remain covered with ground vegetation like grasses and
Particularly in developed countries, once government
forbs or by forest leaf litter.
regulates large industries, municipalities, and other
Riparian buffer strips protect water bodies from adja-
direct dischargers of pollution, the remaining sources of
cent and upstream land uses, enhance soil infi ltration,
water pollution are often runoff from land uses like
fi lter overland flows, reduce bank erosion, and provide
urbanization, agriculture, and forestry. These nonpoint
shade along the water course. Pollutants retained in the
sources can be difficult to regulate under discharge-
buffer can be transformed and bioremediated. Vegetation
permitting systems because of the sporadic nature of
also traps eroded soil particles, reducing sediment losses
storm events, the diff use nature of pollution sources, the
(McBroom and Young 2009). Riparian buffers are one of
difficulty separating background sources from anthro-
the most important BMPs for significantly reducing
pogenic sources, and the diverse human activities in a
NPS pollution (McBroom et al. 2008b). These areas can
watershed.
also produce other benefits, including recreation, silvo-
Sustainable water resources management requires
pasture, production of perennial food crops like nuts, and
reduction of all anthropogenic sources of pollution
selective timber harvesting. Riparian buffers also provide
below thresholds that will harm aquatic ecosystems
ecosystem services such as wildlife habitat and enhanced
and human water uses. Water quality regulatory pro-
biodiversity.
grams can signifi cantly reduce water pollution by
changing the management of lands within a water-
Structural BMPs on the Land
shed. Practical measures that nonpoint sources can
implement economically to reduce NPS pollution People have built structural BMPs like terraces for many
below critical thresholds are called best management centuries. Th is type of BMP slows overland flows,
practices (BMP). increases water infi ltration into soils, and reduces soil
18

BEST MANAGEMENT PRACTICES (BMP) • 19
erosion. Depending on soil erodibility (i.e. texture, cohe- Forestry BMPs in particular can reduce NPS pollution
siveness, etc.), slope, climate, and land use, managers can by up to 99 percent (Ice 2004). These rates compare to
design terraces for optimum water retention and minimal pollution reductions that effluent treatment and point
soil erosion. Native soil, organic matter (wood chips, source control programs achieve. The challenge then
straw, etc.), rocks, synthetic fabrics, or other materials becomes to get local communities and land users to
may make up terraces. Managers can add mulches to bare implement BMPs.
soils or use silt fences and hay bales as effective temporary
BMPs in road or building construction. Structural BMPs
include filter beds, retention basins, detention ponds, rain
Implementation
gardens, and constructed wetlands. If these BMPs are
Educating landowners, managers, and regulatory agen-
located downslope from high intensity agriculture, urban
cies about BMP implementation and effectiveness is
areas, and construction, they can effectively reduce a
critical because it increases the perceived benefits of
variety of NPS pollutants (Clayton and Schueler 1996;
BMPs (Husak, Grado, and Bullard 2004). Governments
Zhang, DeAngelis, and Zhuang 2011).
and managers can then offer incentives and cost-share
programs. They can reduce property taxes on riparian
Municipal and Residential BMPs buffers, for example. In addition, environmental certifi-
Because urban stormwater runoff is a significant pollu- cation programs may require BMP implementation.
tion source, managers have developed programs to mini- Particular BMPs may become mandatory, and violations
mize the effects of common daily activities on water may be fined. Implementation rates for mature programs
resources. These BMPs include proper disposal of house- can reach over 90 percent. In the United States, states
hold hazardous wastes, landscaping and lawn care that with voluntary forestry BMP programs generally have
minimize nutrient and pesticide runoff, pet waste man- implementation rates comparable to those with regula-
agement, and trash and debris management. Water con- tory programs (Ice, Schilling, and Vowell 2010).
servation practices such as rainwater harvesting reduce Inadequate funding and staffi ng of organizations and
both urban runoff and demands on municipal water agencies responsible for education, incentive, and cost-
supplies. share programs is a significant challenge to BMP
implementation.
Land Management Decisions
A critical component of BMP implementation is appro-
The Future
priate land use. On steep slopes with highly erodible
Managers and land users will continue to develop inno-
soils, for example, BMPs for row crop agriculture like
vative BMPs, addressing local land uses and emerging
terracing may be expensive and labor intensive; such
water quality problems while protecting water resources
areas may be more effectively managed as forestland or
and allowing economic growth. This protection requires
under some other permanent vegetative cover, as in the
greater coordination among land users. BMP programs
Yangzi (Chang) River basin in China (Zhang, DeAngelis,
are often divided among land-use categories subject to
and Zhuang 2011). On compaction-prone soils, mini-
diverse regulatory jurisdictions. Because different land
mizing traffic results in greater long-term productivity
uses often occur within a watershed, managers need a
and less runoff and erosion (McBroom et al. 2008a).
coordinated, systematic approach. Road surfaces, ditches,
Governments often inappropriately zone urban develop-
and cut-and-fi ll slopes are significant NPS pollution
ments, resulting in floodplain incursion. Floods cause
sources, for example. Roads often fall under several juris-
significant economic and social losses, in addition to
dictions and ownerships, making effective BMP imple-
chronic NPS pollution as urban areas encroach into
mentation on a road network challenging.
riparian zones. The most economically viable and envi-
All land uses that affect water quality must adopt
ronmentally sustainable land use requires significant
BMPs. In the United States, for example, Texas exempts
knowledge of the watershed characteristics and must
oil and gas development from construction BMPs. A gas
have local community involvement.
well built in the middle of a stream resulted in over ten
times more erosion than from a nearby clear-cut forest
Effectiveness without any BMPs and almost twenty times more sedi-
ment than from a clear-cut forest using BMPs (Thomas
Researchers have tested specific BMPs, examining the and McBroom 2009). The area needs a more systematic,
costs of these practices and determining how to effi- coordinated BMP program with significant local com-
ciently implement these strategies on the landscape. munity support.

In A Sand County Almanac, the US scientist and envi- management practices. Water, Air, and Soil Pollution: Focus, 4 (1),
ronmentalist Aldo Leopold stated, “A thing is right when 171–185.
Ice, George G. (2004). History of innovative best management prac-
it tends to preserve the integrity, stability, and beauty of tice development and its role in addressing water quality limited
a biotic community. It is wrong when it tends otherwise” waterbodies. Journal of Environmental Engineering, 130 (6),
(Leopold 1949, 224). By this definition, BMPs are a sus- 684–689.
tainable means of controlling NPS pollution, preserving Ice, George G.; Schilling, Erik; & Vowell, Jeff. (2010). Trends for
forestry best management practices implementation. Journal of
the integrity of aquatic ecosystems, and ensuring the Forestry, 108 (6), 267–273.
availability of clean, contaminant-free water for future Leopold, Aldo. (1949). A Sand County almanac and sketches here and
generations. there. New York: Oxford University Press.
McBroom, Matthew W.; Beasley, R. Scott; Chang, Mingteh; & Ice,
Matthew W. McBROOM & Yanli ZHANG George G. (2008a). Storm runoff and sediment losses from forest
Stephen F. Austin State University clearcutting and stand reestablishment with best management
practices in the southeastern United States. Hydrological Processes,
See also Adaptive Resource Management (ARM); 22 (10), 1509–1522.
McBroom, Matthew W.; Beasley, R. Scott; Chang, Mingteh; & Ice,
Administrative Law; Agroecology; Buffers; Comanagement; George G. (2008b). Water quality effects of clearcut harvesting
Ecological Forecasting; Ecological Restoration; Groundwater and forest fertilization with best management practices. Journal of
Management; Pollution, Nonpoint Source; Pollution, Point Environmental Quality, 37(1), 114–124.
Source; Road Ecology; Shale Gas Extraction; Water McBroom, Matthew W., & Young, J. Leon. (2009). The poultry litter
land application rate study: Assessing the impacts of broiler litter
Resource Management, Integrated (IWRM) application on surface water quality. In Christopher A. Hudspeth
& Timothy E. Reeve (Eds.), Agricultural runoff, coastal engineering
and flooding (pp. 1–25). New York: Nova Science Publishers.
Thomas, Todd N., & McBroom, Matthew W. (2009, September 30–
FURTHER READING October 4). Hydrologic impacts of oil and gas development compared
Berry, Wendell. (1974). Farming: A handbook. New York: Houghton with silviculture (paper, 2009 Society of American Foresters
Miffl in Harcourt. Annual Meeting, “Opportunities in a Forested World”). Orlando,
Clayton, Richard A., & Schueler, Thomas R. (1996). Design of stormwater Florida.
filtering systems. Solomons, MD: Chesapeake Research Consortium. Zhang, Jinchin; DeAngelis, Don L.; & Zhuang, Jaiyau. (2011).
Ertuð, Kudret, & Mizra, Ilker. (Eds.). (2010). Water quality: Physical, Th eory and practice of soil loss control in eastern China . New York:
chemical, and biological characteristics. New York: Nova Science Springer.
Publishers. Zhang, Ru, et al. (2009). Field test of best management practice
Husak, Amanda L.; Grado, Stephen C.; & Bullard, Steven H. (2004). pollutant removal efficiencies in Shenzhen, China. Frontiers of
Perceived values and benefits from Mississippi’s forestry best Environmental Science and Engineering in China, 3(3), 354–363.

Biodiversity
The Earth’s biodiversity comprises the entire range of one of the major goals of conservation biology. A species
living species, the genetic variation that occurs is generally defined in one of two ways:
among individuals within a species, and, at a higher
1. A group of individuals that is morphologically, physi-
level, the biological communities in which species
ologically, or biochemically distinct from other groups
live. It also includes their ecosystem-level interac-
in some important characteristic; this is the morpho-
tions with the physical and chemical environment.
logical definition of species.
Natural and anthropogenic occurrences can alter
2. A group of individuals that can potentially breed
these complex levels of biodiversity with cascading
among themselves in the wild and that do not breed
consequences.
with individuals of other groups; this is the biological
definition of species.
T he protection of biological diversity is central to

conservation biology. Conservation biologists use
the term biological diversity, or simply biodiversity, to
Because the methods and assumptions used are dif-
ferent, these two approaches to distinguishing species
sometimes do not give the same results. Increasingly,
mean the complete range of species and biological differences in DNA (deoxyribonucleic acid) sequences
communities, as well as the genetic variation within and other molecular markers distinguish species that
species and all ecosystem processes. By this defi nition, look almost identical, such as bacteria. To further com-
biodiversity must be considered on three levels, all of plicate matters, individuals of related but distinct species
which are necessary for the continued survival of life as may occasionally mate and produce hybrids, intermedi-
we know it: ate forms that blur the distinction between species.
Sometimes hybrids are better suited to their environ-
• Species diversity. All the species on Earth, including
ment than either parent species, and they can go on to
single-celled bacteria and protists as well as the spe-
form new species. Hybridization is particularly common
cies of the multicellular kingdoms (plants, fungi, and
among plant species in disturbed habitats. Hybridization
animals)
in both plants and animals frequently occurs when a few
• Genetic diversity. The genetic variation within species,
individuals of a rare species are surrounded by large
both among geographically separate populations and
numbers of a closely related species. For example, the
among individuals within single populations
endangered Ethiopian wolf (Canis simensis) frequently
• Ecosystem diversity. The different biological communi-
mates with domestic dogs, and declining British popula-
ties and their associations with the chemical and physi-
tions of the European wildcat (Felis silvestris) are being
cal environment (the ecosystem)
swamped with genetic material due to matings with
domestic cats.
Species Diversity Much more work is needed to catalog and classify the
world’s species. At best, taxonomists have described only
Species diversity includes the entire range of species one-third of the world’s species, and perhaps as little as
found on Earth. Recognizing and classifying species is 1 percent. The inability to clearly distinguish one species
21

from another, whether due to similarities of characteris- greenhouse or gardens, or in grassland plant commu-
tics or to confusion over the correct scientific name, often nities, increasing the number of species growing
slows down efforts at species protection. It is difficult to together generally leads to greater biomass production
write precise, effective laws to protect a species if scien- and resistance to drought. Th e signifi cance of this
tists and lawmakers are not certain what name should be result to the broader range of natural communities,
used. At the same time, species are going extinct before such as forests and coral reefs, however, still needs to
they are even described. Tens of thousands of new species be convincingly demonstrated.
are being described each year, but even this rate is not fast At its simplest level, diversity has been defined as the
enough. The key to solving this problem is to train more number of species found in a community, a measure often
taxonomists, especially for work in the species-rich called species richness. Quantitative indexes of biodiver-
Tropics. sity have been developed primarily to denote species
diversity at three different geographical scales. The num-
The Origin of New Species ber of species in a certain community or designated area
is described as alpha diversity. Alpha diversity comes
The origination of new species—called speciation —is closest to the popular concept of species richness and can
normally a slow process, taking place over hundreds, if be used to compare the number of species in particular
not thousands, of generations. The evolution of new places or ecosystem types, such as lakes or forests. For
genera and families is an even slower process, lasting example, a 100 hectare deciduous forest in New York or
hundreds of thousands, or even millions, of years. Even England has fewer tree species than a 100 hectare patch
though new species are arising all the time, the present of the Amazon rain forest; that is, the alpha diversity of
rate of species extinction is probably more than one hun- the rain forest is greater. More highly quantitative indexes
dred times faster than the rate of speciation and may even such as the Shannon diversity index take the relative
be one thousand times faster. The situation is actually abundance of different species into account and assign
worse than this grim statistic suggests. First, the rate of the highest diversity to communities with large numbers
speciation may actually be slowing down because so of species that are equally abundant and the lowest scores
much of the Earth’s surface has been taken over for to communities in which there are either few species, or
human use and no longer supports evolving biological a large number of species, one or a few of which are much
communities. As habitats decline, fewer populations of more abundant than the others.
each species exist, and thus there are fewer opportunities Gamma diversity applies to larger geographical
for evolution. Many of the existing protected areas and scales. It refers to the number of species in a large
national parks may be too small to allow the process of region or on a continent. Gamma diversity allows us to
speciation to occur. Second, many of the species threat- compare large areas that encompass diverse landscapes
ened with extinction in the wild are the sole remaining or a wide geographical area. For example, Kenya, with
representatives of their genus or family; examples include one thousand species of forest birds, has a higher
the gorilla (Gorilla gorilla), rapidly declining throughout gamma diversity than Britain, which has only two hun-
its range in Africa, and the giant panda (Ailuropoda mela- dred species.
noleuca) in China. The extinction of taxonomically unique Beta diversity links alpha and gamma diversity. It
species representing ancient lineages is not balanced by represents the rate of change of species composition
the appearance of new species that are closely related to along an environmental or geographical gradient. For
existing species. example, if each lake in a region contained different
fi sh species, or if the bird species on one mountain
Measuring Species Diversity were entirely different from the birds on neighboring
mounts, then beta diversity would be high. But if the
Conservation biologists often want to identify loca- species composition along the gradient does not change
tions of high species diversity. In the broadest sense, much (“the birds on this mountain are the same as the
species diversity is simply the number of diff erent spe- birds on the mountain we visited yesterday”), then beta
cies in a place. Ecologists, however, have developed diversity will be low. Beta diversity is sometimes cal-
many other specialized, quantitative defi nitions of culated as the gamma diversity of a region divided by
species diversity as a way to compare the overall diver- the average alpha diversity, though other measures
sity of different communities at varying geographical also exist.
scales. Ecologists have used these quantitative mea- A greater diversity of species provides a larger range of
sures to test the assumption that increasing levels of potential human products, including everything from
diversity lead to increasing community stability and food and medicine to building materials and fuelwood.
biomass production. In controlled experiments in the Species-rich ecosystems are also better able to provide

BIODIVERSITY • 23
ecosystem services that supply us with natural flood con- expression of its genotype in a particular environment.
trol, clean water, and pollution reduction. Some characteristics of humans, such as the amount of
body fat and tooth decay, are strikingly influenced by the
environment, while other characteristics, such as eye
Genetic Diversity color, blood type, and forms of certain enzymes, are
determined predominantly by an individual’s genotype.
At each level of biological diversity—genetic, species, and Sometimes individuals that differ genetically also
community—conservation biologists study the mecha- differ in ways related to their survival or ability to
nisms that alter or maintain diversity. Genetic diversity reproduce—such as their ability to tolerate cold, resis-
within a species is often affected by the reproductive tance to disease, or the speed at which they can run away
behavior of individuals within populations. A population from danger. If individuals with certain alleles are better
is a group of individuals that mate with one another and able to survive and produce offspring than individuals
produce offspring; a species may include one or more sep- without these alleles, then gene frequencies in the popu-
arate populations. A population may consist of only a few lation will change in subsequent generations. Th is phe-
individuals or millions of individuals, nomenon is called natural selection.
provided that the individuals actu- The amount of genetic variability in a popula-
ally produce offspring. tion is determined by both the number of genes
Individuals within a popula- that have more than one allele (polymor-
tion usually are genetically dif- phic genes) and the number of alleles
ferent from one another. Genetic for each of these genes. The existence
variation arises because individ- of a polymorphic gene also means
uals have slightly different that some individuals in the pop-
forms of their genes (or loci), ulation will be heterozygous for
the units of the chromosomes the gene; that is, they will
that code for specific proteins. receive a different allele of the
These different forms of a gene gene from each parent. On the
are known as alleles, and the other hand, some individuals
differences originally arise will be homozygous: they will
through mutations—changes receive the same allele from
that occur in the DNA that each parent. All these levels of
constitutes an individual’s genetic variation contribute to a
chromosomes. The various population’s ability to adapt to a
alleles of a gene may affect the changing environment. Rare
development and physiology of species often have less genetic
an individual organism. variation than widespread species
Genetic variation increases and, consequently, are more vulner-
when offspring receive unique able to extinction when environmental
combinations of genes and chromo- conditions change.
somes from their parents via the recombina- Although most mating occurs within
tion of genes that occurs during sexual reproduction. populations, individuals occasionally move from one
Genes are exchanged between chromosomes, and new population to another, resulting in the transfer of new
combinations are created when chromosomes from two alleles and genetic combinations between populations.
parents combine to form a genetically unique offspring. This genetic transfer is referred to as gene flow. Natural
Although mutations provide the basic material for genetic gene flow between populations is sometimes interrupted
variation, the random rearrangement of alleles in differ- by human activities, causing a reduction in the genetic
ent combinations that characterizes sexually reproducing variation in each population.
species dramatically increases the potential for genetic Genetic diversity allows species to survive in the
variation. face of a changing environment, giving them the great-
The total array of genes and alleles in a population is est number of allele combinations and with it the traits
the gene pool of the population, while the particular necessary to survive and reproduce under new condi-
combination of alleles that any individual possesses is its tions. It also provides the basic material for the
genotype. The phenotype of an individual represents the improvement of domestic species. Without genetic
morphological, physiological, anatomical, and biochemi- variation, improvements in agriculture would be more
cal characteristics of the individual that result from the difficult.

Ecosystem Diversity pattern of succession; for instance, grasslands that have

been overgrazed by cattle and forests from which all the
A biological community is defi ned as the species that large trees have been cut for timber no longer contain
occupy a particular locality and the interactions among certain late-successional species.
those species. A biological community, together with its Successional processes in modern landscapes might
associated physical and chemical environment, is termed represent a combination of natural and human-caused dis-
an ecosystem. Many characteristics of an ecosystem turbances. A grassland and forest community in the Rocky
result from ongoing processes, including water cycles, Mountains of Colorado, for instance, might be affected by
nutrient cycles, and energy capture. natural fires, cycles of drought, and grazing by elk. Now
Within a biological community, species play different succession in such a community is increasingly dominated
roles and differ in what they require to survive. For exam- by human-caused fires, cattle grazing, and road construc-
ple, a given plant species might grow best in one type of tion. Often, the largest number of species occurs in land-
soil under certain conditions of sunlight and moisture, be scapes with intermediate levels of disturbance and a
pollinated only by certain types of insects, and have its mixture of early, mid-, and late stages of succession.
seeds dispersed by certain bird species. Similarly, animal
species differ in their requirements, such as the types of Keystone Species and Guilds
food they eat and the types of resting places they prefer.
Any of these requirements may become a limiting Within biological communities, a particular species or
resource when it restricts population size of the species. groups of species with similar ecological features (guilds)
For example, a bat species with specialized roosting may determine the ability of large numbers of other spe-
requirements—forming colonies only in small grottoes cies to persist in the community. These keystone species
on the ceilings of limestone caves—will be restricted by affect the organization of the community to a far greater
the number of caves with the proper conditions for roost- degree than one would predict, if considering only the
ing sites. If people damage the caves to collect limestone, number of individuals or the biomass of the keystone spe-
then the bat population will probably decline; if the bats cies. Protecting keystone species and guilds is a priority
are able to adapt to human presence and roost under for conservation efforts, because loss of a keystone species
bridges, however, their population might increase. or guild will lead to loss of numerous other species as well.
While we can sometimes identify such keystone spe-
Ecological Succession cies, it is also true that other species may be significant for
ecosystem functioning in ways that are not immediately
As a result of its particular requirements, behaviors, or obvious. Top predators are often considered to be key-
preferences, a given species often ends up appearing in a stone species, because predators can markedly influence
given site at a particular time during the process of herbivore populations. The elimination of even a small
ecological succession. Succession is the gradual process number of individual predators, although they constitute
of change in species composition, community structure, only a minute amount of the community biomass, may
soil chemistry, and microclimatic characteristics that result in dramatic changes in the vegetation and a great
occur following natural and human-caused disturbance loss in biological diversity, sometimes called a trophic cas-
in a biological community. For example, sun-loving but- cade. For example, in Cape Cod (Massachusetts) salt
terfl ies and annual plants are most commonly found marshes, the common plant-eating marsh crab (Sesarma
early in succession, in the months or few years immedi- reticulatum) increased dramatically after populations of
ately following a hurricane or after a logging operation predators such as blue crab were reduced by overharvest-
has destroyed an old-growth forest. At this time, with ing and water pollution. The subsequent increase in graz-
the tree canopy disrupted, the ground is receiving high ing pressure of the Sesarma has denuded 70 percent of the
levels of sunlight, with high temperatures and low salt marsh cordgrass on Cape Cod, leading to soil erosion
humidity during the day. Over the course of decades, the and a loss of protection for other species inhabiting the
forest canopy is gradually reestablished. Different spe- salt marsh (Bertness, Holdredge, and Altieri 2009).
cies, including shade-tolerant, moisture-requiring wild- As should be evident from the discussion thus far, the
flowers, butterfl ies whose caterpillars feed on these identification of keystone species has several important
plants, and birds that nest in holes in dead trees, thrive implications for conservation biology. First, the elimina-
in these mid- and late-successional stages. Similar cases tion of a keystone species or group from a community may
of species fi rmly associated with early, mid-, or late suc- precipitate the loss of other species. Losing keystones can
cession are found in other ecosystems, such as grass- create a series of linked extinction events, known as an
lands, wetlands, and the intertidal zones of oceans. extinction cascade, that results in a degraded ecosystem
Human management patterns often upset the natural with much lower biological diversity at all trophic levels.

BIODIVERSITY • 25
This may already be happening in tropical forests where Beschta, Robert L., & Ripple, William J. (2009). Large predators and
overharvesting has drastically reduced the populations of trophic cascades in terrestrial ecosystems of the western United
States. Biological Conservation, 142, 2401–2414.
birds and mammals that act as predators, seed dispersers, Bruno, John F., & Cardinale, Bradley J. (2008). Cascading effects of
and herbivores. While such a forest appears to be green predator richness. Frontiers in Ecology and the Environment, 6 ,
and healthy at first glance, it is really an “empty forest” in 539–546.
which ecological processes have been irreversibly altered Frankham, Richard; Ballou, Jonathan D.; & Briscoe, David A. (2010).
Introduction to conservation genetics (2nd ed.). Cambridge, UK:
such that the species composition of the forest will change Cambridge University Press.
over succeeding decades or centuries (Redford 1992). Legendre, Pierre; Borcard, Daniel; & Peres-Neto, Pedro R. (2005).
Analyzing beta diversity: Partitioning the spatial variation of com-
munity composition data. Ecological Monographs, 75, 435–450.
Implications Letnic, Mike; Koch, Freya; Gordon, Chris; Crowther, Mathew S.; &
Dickman, Christopher R. (2009). Keystone effects of an alien top-
Ecosystems provide the basic environmental services that predator stem extinctions of native mammals. Proceedings of the
Royal Society, B, 276, 3249–3256.
human societies depend on. Overall, high biodiversity
Myers, Norman, & Knoll, Andrew H. (2001). The biotic crisis and the
can help a species, population, or ecosystem persist, and future of evolution. Proceedings of the National Academy of Sciences of
it is therefore an important consideration for scientific the USA, 98, 5389–5392.
researchers, planners, and managers. Understanding the Primack, Richard B. (2008). A primer of conservation biology (4th ed.).
Sunderland, MA: Sinauer Associates.
dynamic relationships that exist can ensure that the
Primack, Richard B. (2010). Essentials of conservation biology (5th ed.).
actions we take are appropriate and sustainable. Sunderland, MA: Sinauer Associates.
Redford, Kent H. (1992). The empty forest. BioScience, 42, 412–422.
Richard B. PRIMACK and Elizabeth R. ELLWOOD Soulé, Michael E.; Estes, James A.; Miller, Brian; & Honnold,
Boston University Douglas L. (2005). Strongly interacting species: Conservation pol-
icy, management, and ethics. BioScience, 55, 168–176.
See also Biodiversity Hotspots; Biogeography; Biological Th iere, Geraldine, et al. (2009). Wetland creation in agricultural land-
Corridors; Boundary Ecotones; Buffers; Community scapes: Biodiversity benefits on local and regional scales. Biological
Ecology; Ecosystem Services; Edge Eff ects; Food Conservation, 142, 964–973.
Valladares, Graciela; Salvo, Adriana; & Cagnolo, Luciano. (2006).
Webs; Habitat Fragmentation; Marine Protected Areas Habitat fragmentation effects on trophic processes of insect-plant
(MPAs); Population Dynamics; Refugia; Resilience; food webs. Conservation Biology, 20, 212–217.
Species Reintroduction; Succession; Wilderness Areas Wallach, Arian D.; Murray, Brad R.; & O’Neill, Adam J. (2009). Can
threatened species survive where the top predator is absent?
Biological Conservation, 142, 43–52.
Winker, Kevin. (2009). Reuniting phenotype and genotype in bio-
diversity research. BioScience, 59, 657–665.
FURTHER READING Wofford, John E. B.; Gresswell, Robert E.; & Banks, Michael A.
Bertness, Mark D.; Holdredge, Christine; & Altieri, Andrew H. (2005). Influence of barriers to movement on within-watershed
(2009). Substrate mediates consumer control of salt marsh cord- genetic variation of coastal cutthroat trout. Ecological Applications,
grass on Cape Cod, New England. Ecology, 90, 2108–2117. 15, 628–637.

Biodiversity Hotspots
Many different conservation organizations have identi- the financial resources to protect and manage all areas
fied sets of “hotspots,” regions of the planet’s surface that require it.
that they consider to be high priorities for conservation Conservation organizations—both government and
actions. Most are characterized by their high density of nongovernment—are responding in three ways to rapid
endemic species. By protecting these small regions, dis- biodiversity loss: (1) they are attempting to increase the
proportionate amounts of the Earth’s biodiversity can resources available for conservation action by raising
be conserved. Hotspots have therefore been called con- additional funds from donors or influencing the alloca-
servation’s “silver bullet.” tion of resources by governments; (2) they are working
to slow the problem’s growth by reducing the opportu-
nities for, and the drivers of, habitat degradation; and
T he Earth is currently experiencing a mass extinction

event, with species being lost at more than one hun-
dred times the background extinction rate (i.e., long-
(3) they are ensuring that those resources that are avail-
able are being used as efficiently as possible. Th is fi nal
response—conservation resource prioritization—
term, non-anthropogenically influenced rates of species promises to increase the effi ciency of conservation
extinction). The majority of species extinctions are the actions by targeting them where they are most needed.
result of human-caused habitat degradation, climate Its most familiar realization at a global scale is the
change, and invasive species (Mace et al. 2005). The cre- “biodiversity hotspot.”
ation of protected areas has proven to be an effective
method of locally halting the process of degradation in
many locations. Although more than 10 percent of the History of Biodiversity Hotspots
planet’s terrestrial area is currently designated as some
form of protected area, habitats that are underrepresented Hotspots are regions that contain a disproportionately
require greater protection. Historically “protected areas” large amount of biodiversity. If these hotspots are pro-
have been established where lands are not suitable for tected, it is argued, large amounts of the Earth’s bio-
human usage (e.g., the Northeast Greenland National diversity can be conserved for comparatively small
Park) and are therefore unlikely to be degraded in the investments. Their proponents argue that hotspots are
near future; in contrast, many regions that are currently therefore conservation’s “silver bullet”—a solution to
undergoing rapid habitat loss contain very few pro- both biodiversity’s overwhelming problems and conser-
tected areas (e.g., tropical forests in Southeast Asia). vation’s underwhelming resources. The original set of
Unfortunately, global biodiversity conservation has too biodiversity hotspots was proposed by the British ecolo-
few resources to protect all of the habitat at risk of degra- gist Norman Myers in 1988; it consisted of ten tropical
dation. Furthermore, protected areas cannot stop habitat forests. Covering only 0.2 percent of the Earth’s surface,
loss entirely, and much of the degradation that would they contained over thirty-four thousand endemic vas-
have occurred in new protected areas is simply displaced cular plant species, or 13 percent of the world total. But
to unprotected habitat elsewhere. Finally, we do not have these regions were also in immediate risk of losing their
26

BIODIVERSITY HOTSPOTS • 27
many endemic species: less than 10 percent of the origi- of eighteen biodiversity hotspots, including four
nal vegetation remained intact in each area. Hotspots Mediterranean areas. In 2000, Myers and others classi-
were thus identified as regions with high species richness fied an additional seven regions, and in 2004 the set
and high levels of threat (as measured by past habitat of biodiversity hotspots was increased to thirty-four
loss). In 1990 Myers expanded the original set to a total regions. (See figure 1.) The most compelling aspect of
Figure 1. The 34 Biodiversity Hotspots
19 21
2 10 22 24 25
1 5 20
27
28 26
3 17 18 23
6 8 11
27 4
29 31
16 30
33
9 12 15
7 14 32
13
34
Source: Conservation International (2011).

The list of biodiversity hotspots as first proposed by the British ecologist Norman Myers in 1988 has increased over the years. The ten tropical
forests Myers originally identified has since grown to thirty-four regions considered unique in their biological diversity.
Key:
1. The California Floristic Province 18. The Horn of Africa
2. The Madrean Pine-Oak Woodlands 19. The Caucasus
3. Mesoamerica 20. The Irano-Anatolian
4. Tumbes-Chocó-Magdalena 21. The Mountains of Central Asia
5. The Caribbean Islands 22. Eastern Himalaya
6. The Tropical Andes 23. Western Ghats and Sri Lanka
7. Chilean Winter Rainfall-Valdivian Forests 24. The Mountains of Southwest China
8. The Cerrado 25. Japan
9. The Atlantic Forest 26. The Philippines
10. The Mediterranean Basin 27. Polynesia and Micronesia
11. The Guinean Forests of West Africa 28. Indo-Burma
12. The Succulent Karoo 29. Sundaland
13. The Cape Floristic Region 30. Wallacea
14. Maputaland-Pondoland-Albany 31. East Melanesian Islands
15. Madagascar and the Indian Ocean Islands 32. Southwest Australia
16. The Coastal Forests of Eastern Africa 33. New Caledonia
17. The Eastern Afromontane 34. New Zealand

the biodiversity hotspots was their staggering species- (e.g., Australia’s National Biodiversity Hotspots).
to-area ratio. The most recent 2004 set of hotspots Conservationists now consider a broader defi nition of
contained 150,000 endemic vascular plant species hotspots: a set of regions that have been identified as
(50 percent of the world’s total) in just 2.3 percent of the high priorities for conservation action and resources. The
Earth’s land surface. Th is high species-to-area ratio was different hotspot programs can be broadly classified
assumed to be a proxy for a high species-protected-per- according to three features.
dollar ratio. As well as being species rich, biodiversity
1. Biodiversity definition. Some hotspots focus on single
hotspots had experienced extensive habitat loss, with
taxonomic classes (e.g., plants); others combine mul-
each region containing no more than 30 percent of their
tiple biodiversity attributes into a single aggregate
original vegetation.
value or identify areas that meet specific criteria (e.g.,
In 1989, the biodiversity hotspots were adopted by
presence of species on the International Union for
the international nongovernmental organization (NGO)
Conservation of Nature [IUCN] Red List of critically
Conservation International as their institutional blue-
endangered species).
print. After a number of revisions, the program took a
2. Reactive or proactive. “Reactive hotspots” identify tar-
central role in the organization’s conservation strategy.
get regions that have already lost large proportions of
The set of biodiversity hotspots was relaunched in 1999
habitat. “Proactive hotspots” focus on areas that have
with an extensive global review, a scientific analysis, and
endured the least human impact but which may be
an online publication that detailed each of the regions’
threatened in the future.
attributes (Mittermeier et al. 2005). By providing a clear
3. Selectivity. Each program implicitly chooses a dif-
and compelling focus to their global conservation deci-
ferent proportion of the land surface to define as high
sion making, the biodiversity hotspots greatly enhanced
priority by defi ning criteria that are more or less
Conservation International’s fund-raising activities, and
common.
by 2003 it was estimated that the biodiversity hotspots
program had attracted more than $750 million in fund- The new hotspot programs each chose different defi-
ing for the NGO’s global conservation efforts (Brooks nitions of biodiversity. Most moved away from the
et al. 2006). original biodiversity hotspots’ focus on tropical forests
In retrospect, such a prioritization program was long toward more inclusive defi nitions of biodiversity.
overdue. The enormous scale of the threats to biodiversity Th e biodiversity hotspots also broadened through the
made the challenges facing global conservation difficult 1990s toward arid and Mediterranean ecoregions, and
to appreciate. Hotspots provided the NGOs with a plan Conservation International also began to report the
for resource allocation that emphasized the ambitious number of other taxa (e.g., mammals, freshwater fishes,
scope of their actions, and yet it could be easily commu- amphibians) that are endemic to the priority regions.
nicated to the public. Other NGOs and governments Other programs narrowed their focus onto other aspects
quickly appreciated that hotspots had allowed Conservation of biodiversity, such as Birdlife International’s Endemic
International to simultaneously address two of their key Bird Areas. Some sets of priority regions changed the
goals—prioritize their resource allocation while enhanc- focus from reactive hotspots (that had lost large amounts
ing the total amount of those resources—and began to of habitat) to proactive hotspots, which remained almost
devise their own unique (and uniquely branded) hotspot entirely intact (e.g., the Wildlife Conservation Society’s
programs. Last of the Wild). For each new set of hotspots, new
methods were developed for dividing the world’s surface
into high- and low-priority regions. Few retained the
Different Sets of Hotspots threshold criteria of the biodiversity hotspots (i.e., more
than 1,500 endemic plant species; more than 70 percent
The first decade of the twenty-fi rst century consequently of the original vegetation lost), instead following more
saw a number of other global conservation NGOs and complicated systems that amalgamated the various
national governments adopt the formula of the biodiver- regional attributes into a single score for each region.
sity hotspots, adapting and further developing the Some hotspot programs became less selective; for exam-
approach to deliver new methods that focused on their ple, the set of “megadiverse countries” (countries that
particular conservation issues of concern, carried their contain more than five thousand endemic vascular plant
individual organizational branding, and corrected some species) comprise more than one-third of the Earth’s
of the oversights of the original program. Numerous lists surface (Mittermeier, Gil, and Mittermeier 1997).
of global priority regions have been described in the peer- Figure 2 on the next page shows a classification of the
reviewed scientific literature, as well as regional-scale different hotspots programs according to the primary
hotspots typically defined within national boundaries criteria by which they were devised.

BIODIVERSITY HOTSPOTS • 29
Figure 2. Global Programs for Conservation Priorities and Categorical Axes

Vulnerability
reactive CE
Endemism (C)
BH
Endemic
CE EBA
neutral MC G200
(V)
widespread
HBWA
LW FF
proactive
Irreplaceability
low high
Source: authors.
Each circle represents one global hotspots program (described in the Key). The location of the circle on the axes indicates the type of region the
program considers a high priority. The x-axis measures the degree to which a program is focused on factors that are not replicated elsewhere
(high irreplacibility) or are present in a broader range of regions (low irreplacibility). The y-axis indicates whether the program’s focus is
proactive or reactive. Circles have a larger radius if those hotspots consider only endemic species.
Key:
BH: Biodiversity Hotspots (Conservation International) MC: Megadiverse Countries (Conservation International),
prioritize areas that contain more than 1,500 endemic vascular 17 countries each containing more than 5,000 vascular plant
plant species, where more than 70 percent of the original endemics.
habitat has been cleared. FF: Frontier Forests (World Resource Institute) identify the
EBA: Endemic Bird Areas (Birdlife International) prioritize most intact forests with high biodiversity values.
all areas where the distributions of at least 2 restricted-range LW: Last of the Wild (Wildlife Conservation Society) select
bird species (species with ranges of less than 50,000 square the 10 largest contiguous areas in each biome that are least
kilometers) overlap. affected by human impacts.
G200: Global 200 (World Wide Fund for Nature) identify HBDA: High Biodiversity Wilderness Areas (Conservation
areas with high levels of species richness or endemism and/or International) prioritize areas of more than 10,000 square
significant evolutionary/ecological processes. kilometers with human population density less than 5 people
CE (V): Vulnerable Crisis Ecoregions (the Nature Conser- per square kilometer where less than 70 percent of the original
vancy and World Wide Fund for Nature) prioritize areas with vegetation remains intact.
moderate habitat degradation rates and ratios of degraded to Irreplaceability: If a global program prioritizes an area that is
protected habitat. irreplaceable (Yes/No).
CE (C): Critically Endangered Crisis Ecoregions (the Nature Vulnerability: If a program prioritizes area with high human
Conservancy and World Wide Fund for Nature) prioritize impacts (reactive), avoid human impacts (proactive), or
areas with the highest habitat degradation rates and ratios of irrelevant to human activities (neutral).
degraded to protected habitat. Endemism: If a program focuses on endemic species (Yes/No).
Limitations of the Hotspots Idea organizations with distinct objectives routinely and appro-
priately pursue goals in different areas. But by 2006,
The proliferation of new programs highlighted several 80 percent of the Earth’s surface was considered a conser-
problems with the idea of hotspot programs. vation priority by at least one of the major global hotspot
First, conservation organizations could not agree on a sets, voiding the argument that these sets could provide a
common definition of biodiversity, and as a result, different “silver bullet” for global conservation’s funding mismatch.
programs identified different areas as high priority. Second, the methods applied by the different hotspot
Biodiversity is multifaceted, of course, and conservation programs proposed diverging objectives. Some argued

that focusing on the most damaged and threatened eco- Michael BODE
systems would deliver the best conservation outcomes, University of Melbourne
since it was in these regions that species were facing
Kerrie A. WILSON
imminent extinction. Others responded that conser-
vation gains would be maximized by targeting intact
landscapes, as it was only in these regions that viable Takuya IWAMURA
populations of species and ecosystems could be protected The University of Queensland
in the long term. This confl ict exposed unresolved ques-
tions in conservation resource allocation theory about the Hugh P. POSSINGHAM
most effective way to combat ongoing degradation. The University of Queensland
Finally, many critics pointed out crucial aspects of bio- See also Biodiversity; Biogeography; Boundary Ecotones;
diversity conservation that were routinely omitted from Buffers; Charismatic Megafauna; Edge Effects; Keystone
the methods used to identify priority regions. Hotspots Species; Marine Protected Areas (MPAs); Microbial
are almost exclusively defi ned by the distribution of Ecosystem Processes; Refugia; Resilience; Wilderness Areas
species—either their richness, endemicity, or threat
status—but global conservation is interested in objectives The authors highly recommend the “A–Z Guide to Areas
that are much broader and much harder to quantify. of Biodiversity Importance” (UNEP-WCMC 2010) as
Genetic diversity and uniqueness, ecosystem services and an introduction to various conservation programs around
function, and spatially equitable protection are each very the world.
difficult to include in sets of priority regions. As static
maps, hotspots cannot respond to changing threats in a FURTHER READING
manner that theorists consider essential. They also gener- Bode, Michael, et al. (2008). Cost-effective global conservation
ally ignore global variation in the costs of land acquisition spending is robust to taxonomic group. Proceedings of the National
and management, yet these factors will overwhelmingly Academy of Sciences USA, 105, 6498–6501.
Brooks, Thomas M., et al. (2006). Global biodiversity conservation
determine whether a given set of hotspots represents priorities. Science, 313, 58–61.
cost-effective areas for investment. More recent analyses Cincotta, Richard P.; Wisnewski, Jennifer; & Engelman, Robert.
explicitly include cost-effectiveness when identifying (2000). Human population in the biodiversity hotspots. Nature,
hotspots, aiming to preserve those areas where large 404, 990–992.
Conservation International. (2011). Homepage. Retrieved October 26,
amounts of biodiversity can be conserved for relatively 2011, from http://www.biodiversityhotspots.org/Pages/default.aspx
small costs. Forest, Félix, et al. (2007). Preserving the evolutionary potential of
floras in biodiversity hotspots. Nature, 445, 757–760.
Kareiva Peter, & Marvier, Michelle. (2003). Conserving biodiversity
coldspots. American Scientist, 91, 344–351.
The Future of Hotspots Mace, Georgina, et al. (2005). Biodiversity. In Rashid Hassan, Robert
Scoles & Neville Ash (Eds.), Ecosystems and human well-being: Vol. 1.
As these criticisms arose, conservation organizations Current state and trends (Millennium Ecosystem Assessment
took steps to revise their methods for delineating hot- Series, pp. 77–122). Retrieved October 18, 2011, from http://www.
millenniumassessment.org/documents/document.273.aspx.pdf
spots and reduced their reliance on the priority sets. The Mittermeier, Russel A.; Gil, Patricio R., & Mittermeier, Christina G.
focus of conservation organizations was beginning to (1997). Megadiversity: Earth’s biologically wealthiest nations .
shift away from a focus solely on the conservation of Washington, DC: Conservation International.
biodiversity, and toward activities with a dual focus of Mittermeier, Russel A., et al. (2005). Hotspots revisited. Chicago:
University of Chicago Press.
conserving both biodiversity and ecosystem goods and Murdoch, William, et al. (2010). Trade-offs in identifying global con-
services (e.g., biodiversity and carbon storage and seques- servation priority areas. In Nigel Leader-Williams, William M.
tration; or biodiversity and the provision of clean water). Adams & Robert J. Smith (Eds.), Trade-off s in conservation:
Actions that pursue multiple benefits can potentially Deciding what to save (pp. 35–55). Oxford, UK: Wiley-Blackwell.
Myers, Norman. (1988). Th reatened biotas: “Hot spots” in tropical for-
access funding from a diversity of sources, including ests. The Environmentalist, 8, 187–208.
some that are inaccessible to projects that focus only on Myers, Norman, et al. (2000). Biodiversity hotspots for conservation
biodiversity conservation. These include multigovern- priorities. Nature, 403, 853–858.
ment programs and emerging economic markets. For Pimm, Stuart L., & Raven, Peter. (2000). Extinction by numbers.
Nature, 403, 843–845.
example, the United Nations’ Reducing Emissions from Possingham, Hugh P., & Wilson, Kerrie A. (2005). Turning up the
Deforestation and Forest Degradation in Developing heat on hotspots. Nature, 436, 919–920.
Countries program (REDD1) is designed to reduce Roberts, Callum M., et al. (2002). Marine biodiversity hotspots and
atmospheric greenhouse gases while delivering “co-benefits” conservation priorities for tropical reefs. Science, 295, 1280–1284.
UNEP-WCMC. (2011). A–Z guide to areas of biodiversity importance.
of biodiversity conservation and poverty alleviation. Retrieved October 26, 2011, from http://www.biodiversitya-z.org
Hotspots currently play a limited role in identifying pri- Wilson, Kerrie A., et al. (2006). Prioritizing global conservation
ority areas for achieving multiple objectives. efforts. Nature, 440, 337–340.

Biogeography
Biogeography analyzes the geographic distribution of extremes are easily identifiable as “ecological” or “evo-
taxa and their attributes in space and time. lutionary.” It is more difficult to justify such division in
Biogeographic approaches broadly constitute two sub- the middle range. In fact, ecological factors may have
disciplines: ecological and evolutionary biogeography. wide geographic effects, while historical factors may be
Some of the issues addressed by evolutionary and responsible for local distributional patterns. Biogeo-
ecological biogeography include species distribution, graphers have criticized the lack of interaction between
the geography of diversity, the geography of traits, evolutionary and ecological biogeography since the
endemicity, biogeographic regionalization, biotic assem- 1990s. Several authors have discussed the possibility
bly and evolution on islands, biotic history, and conser- of integrating them into a unified discipline (Morrone
vation biogeography. 2009).
Some of the issues addressed by evolutionary and eco-
logical biogeographers include species distribution, the
B iogeography is the study of the geographic distribu-

tion of taxa and their attributes in space and time. A
taxon (plural taxa) is a unit or group of biological organ-
geography of diversity, the geography of traits, endemic-
ity, biogeographic regionalization, biotic assembly and
evolution on islands, biotic history, and conservation
isms that it is considered distinct enough to be formally biogeography.
recognized and assigned to a category, such as a king-
dom, phylum, class, order, family, genus, or species.
Biogeography encompasses the recognition of distribu-
Distribution of Species
tional patterns, the biogeographic regionalization of the
Each plant and animal species occupies a particular
Earth, the identification of the processes that shaped dis-
geographic range. Some species, known as cosmopolitan
tributional patterns, the prediction of global planetary
species, have extensive ranges over several continents.
changes, and the selection of areas for biodiversity con-
Others have more restricted geographic ranges; they are
servation (Morrone 2009).
distributed in a small area on a single continent.
Biogeographic approaches broadly constitute two
There are different ways to represent the geographic
subdisciplines: ecological and evolutionary biogeogra-
range of a species on a map:
phy. Ecological biogeography analyzes patterns at the
species or population level, accounting for distributions • Dot maps represent each locality where a species has
in terms of biotic (living organisms) and abiotic been recorded as a point on a map.
(nonliving physical and chemical elements) interactions • Outline maps depict an irregular area where the species
that happen in short periods of time. Evolutionary is presumably distributed.
biogeography—also known as historical biogeography— • Contour maps illustrate some variation among individ-
analyzes patterns of species and supraspecifi c taxa. uals or populations.
It concerns processes occurring over long periods of • Individual tracks show localities where a species has
time. Th is distinction, however, is rather artificial, been recorded joined by a line graph connecting them
because it implies splitting a continuum, where according to their geographic proximity.
31

• Ecological niche models are predictive maps of species abundance and range size within a supraspecific taxon or
distributions based on known or inferred distributions ask why species that maintain large local population sizes
and data layers summarizing the distribution of some tend to be widely distributed, whereas species that are
environmental parameters (e.g., temperature, altitude, less abundant tend to have restricted ranges.
ocean depth, days of ice cover, etc.).
Areography—also known as chorology—is the quan-
Endemicity
titative analysis of distribution areas (Rapoport 1982).
Endemicity or endemism refers to a taxon restricted to a
Areographers analyze the delimitation of distribution
particular geographical area. It represents a basic feature
areas, the variation in size of distribution areas of differ-
of geographic distributions: species are rarely cosmopoli-
ent species, endemism versus cosmopolitism, the shape of
tan. Most species and even supraspecific taxa are con-
different distribution areas, and population density
fined to restricted regions. Endemism occurs on a variety
within the distribution area of a species.
of spatial scales, from areas as large as continents to small
areas such as islands or mountaintops. Organisms can be
Geography of Diversity endemic on different taxonomic levels; usually the size of
the area depends on the category of the taxon, with gen-
Different measures describe the structure of communi- era having larger areas than species, and families having
ties and regional biotas. Species richness, one of the most larger areas than genera. This situation, however, is not
commonly considered measures, is simply the number of comparable between different taxa: the distribution of a
species in an area. Species richness can be classified into plant family may correspond to the distribution of an
four categories: insect genus.
1. Alpha diversity: the number of species recorded for a Endemic taxa may be classified as follows:
local community • Autochtonous endemics: taxa that evolved in the areas
2. Beta diversity: the change or turnover in species com- where they are currently found
position over a relatively small distance between dif- • Allochtonous endemics: taxa that evolved in a different
ferent communities area from where they are found today
3. Gamma diversity: the total species number of a large • Taxonomic relicts: sole survivors of a once diverse group
area, from a combination of local communities to • Biogeographic relicts: narrowly endemic descendants of a
entire continents once widespread taxon
4. Delta diversity: a broad-scale measure of the richness • Neoendemics: taxa that have evolved relatively recently
between large geographic areas, as biogeographic and may be restricted in their distribution because they
regions have not had yet time to disperse farther
Biogeographers have identified some patterns in spe- • Paleoendemics: taxa that have a long evolutionary history
cies richness. The latitudinal gradient measures increas- and usually are restricted by barriers to dispersal or by
ing species numbers from the poles to the equator. This extensive extinction in the remaining areas where they
pattern has proved to be true for several taxa and has were distributed in the past
been also detected for other measures of diversity. Since Areas where the distributional areas of two or more
the 1990s, biogeographers have proposed different factors taxa overlap are called areas of endemism or endemic
influencing the latitudinal gradient, such as evolution, areas. If biogeographers map the distributional ranges of
immigration, extinction, and ecological interactions. relatively well-known taxa, the substantial overlap in
their ranges determines an area of endemism. With only
Geography of Traits a few taxa, this is an easy task. Difficulties may arise with
a high number of taxa to analyze. Methods have been
Macroecology deals with the study of relationships designed to deal with this, however. An alternative
between organisms and their environment at large spatial approach for analyzing endemicity, known as panbio-
scales to characterize and explain statistical patterns of geography, plots distribution of different taxa on maps,
different traits, such as species abundance and richness, connecting their separate localities together with lines
latitudinal diversity patterns, the species-area curve, called individual tracks (Craw, Grehan, and Heads 1999).
range size, and body size (Brown 1995; Gaston and When different individual tracks are superimposed, the
Blackburn 2000). Macroecological analysts use a top- resulting summary lines are considered generalized
down approach to understand properties of the ecosys- tracks. Generalized tracks indicate the preexistence of
tems as a whole. A typical macroecological question ancestral biotas, which subsequently become fragmented
may analyze, for example, the relationship between the by tectonic and/or climatic changes (Morrone 2009).

BIOGEOGRAPHY • 33
Biogeographic Regionalization outside the equatorial zone, where rainfall is more

seasonal
Ecological biogeographers classify communities on the • Temperate grassland: assemblage in which grasses
basis of structure of the vegetation, assuming that plant predominate, situated biogeographically and climati-
life-forms reflect the influence of climate and soil. Earth’s cally between deserts and temperate deciduous forests,
vegetation can be classified into the following main biomes most extensive in the interior plains of the Northern
(geographical areas classified according to the predominant Hemisphere.
vegetation—or lack thereof—and characterized by adapta- • Desert: assemblage with very sparse plant cover in
tions of organisms to particular environments; see figure 1): which most of the ground is bare, found around the
world at low to intermediate elevation with dry
• Tundra: treeless biome, found between the taiga and the climate
polar ice cap or at high mountainous elevations, in areas • Tropical deciduous forest: tree-dominated assemblage
characterized by harsh winters and short growing with a continuous canopy that occurs in hot lowlands
seasons outside the equatorial zone, where rainfall is more
• Taiga: boreal or swamp forest, occurring in a broad seasonal
band across North America and Eurasia, in cool and • Tropical savanna: nearly continuous layer of xerophytic
moist areas perennial grasses (grasses that do not need water) scat-
• Temperate deciduous forest: tree-dominated assemblage tered among fire-resistant trees or shrubs that occurs
with a continuous canopy that occurs in temperate lati- at low to intermediate elevations along tropical
tudes where there is enough water during the summer latitudes
growing season to support large trees • Tropical rain forest: tree-dominated assemblage with
• Subtropical evergreen forest: tree-dominated assemblage a continuous canopy, found at low elevations along
with a continuous canopy that occurs in hot lowlands tropical latitudes with abundant rainfall
Figure 1. Earth’s Main Biomes
1 1
1 2
1
2
3 4
5
5 3 5
4 7 3
5 5 5 6
4
6
6
7 7
7
6 6
6 7
4 5
4 3
3
5
Source: Lomolino et al. (2010).

Ecological biogeographers divide the Earth’s vegetation zones into the following biomes: 1, tundra and ice; 2, taiga; 3, temperate deciduous
forest and subtropical evergreen forest; 4, temperate grassland; 5, desert; 6, tropical deciduous forest and tropical savanna; 7, tropical rain
forest. Evolutionary biogeographers divide the world up differently than ecological biogeographers do; see figure 2.

Evolutionary biogeographers take a completely differ- paleogeographic viewpoint, it corresponds to the east-
ent approach, basing their regionalizations on endemic- ern portion of the Gondwana paleocontinent. It is
ity. The fact that areas of endemism are nested, with large divided into the Neotropical, Afrotropical, Oriental,
areas including smaller ones, allows proposing a hierar- and Australian Tropical regions.
chic biogeographical classification that parallels the taxo- • Austral realm: Southern temperate areas in South
nomic Linnaean hierarchy, employing the following America, South Africa, Australasia, and Antarctica.
subdivisions: realms (or kingdoms), regions, dominions, From a paleogeographic viewpoint, it corresponds to
provinces, and districts. Based on a consensus of studies the western portion of the Gondwana paleocontinent.
undertaken since the 1980s, evolutionary biogeographers It is divided into the Andean, Antarctic, Cape,
have proposed the following system for the world Neoguinean, Australian Temperate, and Neozelandic
(Morrone 2002; see figure 2): regions.
• Holarctic realm: Europe, Asia north of the
Himalayan mountains, northern Africa, North Biotic Assembly and Evolution
America, and Greenland. From a paleogeographic on Islands
viewpoint, it corresponds to the paleocontinent of
Laurasia. It is divided into the Nearctic and Palearctic Biogeographers fi nd islands particularly interesting.
regions. Their isolation and particular biotas make them natural
• Holotropical realm: Tropical areas of the world, laboratories for studying different biogeographic pat-
between latitudes 30° south and 30° north. From a terns and processes. The first general theory for
Figure 2. Earth’s Biogeographic Realms and Regions
2
1
5
4 9
3
6 10
7 8
11
12
Source: Morrone (2002).
Evolutionary biogeographers, as opposed to ecological biogeographers, instead divide the world into sometimes overlapping biogeographical
realms: 1–2, Holarctic realm: 1, Nearctic region; 2, Palearctic region; 3–6, Holotropical realm: 3, Neotropical region; 4, Afrotropical
region; 5, Oriental region; 6, Australian tropical region; 7–12, Austral realm: 7, Andean region; 8, Cape region; 9, Neoguinean region;
10, Australian temperate region; 11, Neozelandic region; 12, Antarctic region.

BIOGEOGRAPHY • 35
explaining differences in species richness among islands human colonization. One of the major goals of conserva-
was formulated by the US biologists Robert MacArthur tion is the maintenance of as much of the diversity of life
and Edward O. Wilson in the 1960s. Their theory pro- as possible, in order to allow a sustainable use to future
poses that the number of species found on an island is generations. We have to measure and compare priorities
determined by the equilibrium of immigration and regarding areas to be protected, and we need to measure
extinction. The distance of an island from the source of and compare local biodiversity, taking into account not
colonists in the mainland affects the rate of immigra- only the number of species, but also the degree of differ-
tion, while the size of the island affects the rate of ence among them. One criterion for measuring biodiver-
extinction. Larger islands contain larger habitat areas sity is species richness, exemplified by the megadiversity
and opportunities for different habitats and reduce the countries, which are the countries that harbor the major-
probability of extinction due to chance events (Whittaker ity of Earth’s species, namely, Australia, Brazil, China,
and Fernández-Palacios 2007). The countervailing Colombia, Democratic Republic of the Congo, Ecuador,
forces of immigration and extinction result in an equi- India, Indonesia, Madagascar, Malaysia, Mexico, Papua
librium of species richness. New Guinea, Peru, Philippines, South Africa, United
States, and Venezuela. Many important components of
biodiversity may be poorly represented in megadiverse
Biotic History countries, however, and some areas could harbor a large
number of widespread species, with no great conserva-
In order to reconstruct the evolutionary relationships of tion concern.
biotas, cladistic or vicariance biogeography Ecological biogeographers have developed diversity
assumes a correspondence between measures that combine species richness with informa-
phylogenetic relationships and area tion about abundance among species, and information
relationships. A cladistic biogeo- on the vulnerability of those species, including
graphic analysis comprises three the “hotspots” analysis. Some authors have
basic steps. First, biogeographers suggested that endemicity may help
construct taxon-area clado- determine priorities for biodiversity
grams, or evolutionary diagrams, conservation, whereas others
from the cladograms (phyloge- have argued that it is not an
netic hypotheses) of different taxa appropriate measure of diver-
by replacing their terminal taxa sity, and that it is an ineffec-
by the area(s) of endemism where tive means for selecting areas
they are found. Then they con- for conservation. Some evolu-
vert these taxon-area cladograms tionary biogeographers have
into resolved area cladograms, suggested that panbiogeo-
so that each terminal taxon is graphic nodes (areas of overlap of
endemic to a single area and different generalized tracks)
each area has a single taxon. should be considered as prioritary
Finally, they derive a general areas because of their biotic
area cladogram that represents richness.
the most logical solution for all Whatever these diversity measures
the resolved area cladograms may mean, preservation of biodiversity is
analyzed and represents a hypoth- essential for the sustainability of Earth. The
esis on the evolutionary history of the long-term maintenance of areas harboring bio-
analyzed areas. diversity has profound environmental, economical, and
social dimensions, which are a necessary precondition for
human well-being.
Outlook: Conservation
Biogeography Juan J. MORRONE
National Autonomous University of Mexico (UNAM)
Biodiversity is in global crisis. Natural habitats are disap-
pearing at a very high rate, and the numbers of plant and
animal species going extinct are alarming. For example, See also Biodiversity; Biodiversity Hotspots; Biological
about two thousand species of Pacific Island birds (about Corridors; Boundary Ecotones; Buffers; Charismatic
15 percent of the world total) have gone extinct since Megafauna; Edge Effects; Forest Management; Habitat

Fragmentation; Human Ecology; Marine Protected Lieberman, Bruce S. (2003). Unifying theory and methodology in bio-
Areas (MPAs); Population Dynamics; Species geography. Evolutionary Biology, 33, 1–25.
Lomolino, Michael V.; Riddle, Brett R.; Whittaker, Robert J.; &
Reintroduction Brown, James H. (2010). Biogeography (4th ed.). Sunderland, MA:
Sinauer Associates.
MacArthur, Robert H., & Wilson, Edward O. (1967). Th e theory
FURTHER READING of island biogeography. Princeton, NJ: Princeton University
Brown, James H. (1995). Macroecology. Chicago: University of Chicago Press.
Press. MacDonald, Glen M. (2003). Biogeography: Space, time, and life. New
Craw, Robin C.; Grehan, John R.; & Heads, Michael J. (1999). York: John Wiley & Sons.
Panbiogeography: Tracking the history of life. New York: Oxford Morrone, Juan J. (2002). Biogeographic regions under track and cla-
University Press. distic scrutiny. Journal of Biogeography, 29, 149–152.
Crisci, Jorge V.; Katinas, Liliana; & Posadas, Paula. (2003). Historical Morrone, Juan J. (2009). Evolutionary biogeography: An integrative
biogeography: An introduction. Cambridge, MA: Harvard University approach with case studies. New York: Columbia University
Press. Press.
Crisci, Jorge V.; Sala, Osvaldo E.; Katinas, Liliana; & Posadas, Paula. Nelson, Gareth, & Platnick, Norman I. (1981). Systematics and bioge-
(2006). Bridging historical and ecological approaches in biogeog- ography: Cladistics and vicariance. New York: Columbia University
raphy. Australian Systematic Botany, 19 (1), 1–10. Press.
Escalante, Tania. (2009). Un ensayo sobre regionalización biogeográ- Rapoport, Eduardo H. (1982). Areography: Geographical strategies of
fica [An essay on biogeographical regionalization]. Revista species. Oxford, UK: Pergamon Press.
Mexicana de Biodiversidad , 80, 551–560. Whittaker, Robert J. & Fernández-Palacios, José M. (2007). Island
Gaston, Kevin J., & Blackburn Tim M. (2000). Pattern and process in biogeography: Ecology, evolution, and conservation . Oxford, UK:
macroecology. Oxford, UK: Blackwell Science. Oxford University Press.

Biological Corridors
With increasing fragmentation of our planet’s natural to live, some specific resource (for example, a hollow tree
communities, biological corridors are critically impor- or preferred prey), a desirable mate, or a chance to avoid
tant tools for helping us to maintain as much connec- threats of competition, predation, parasitism, or disease.
tivity as possible among the fragments. Fostering Corridors come in many shapes and sizes and can have
connectivity is essential for conserving biodiversity and diverse objectives. The ultimate corridor is a large strip of
for maintaining human welfare and sustainability on habitat much like that of the patches that it connects. This
planet Earth. In conservation planning projects, poten- is the best way to ensure that the entire community of
tial negative effects of corridors must be considered, as organisms found in the fragments or patches can readily
well as their economic, social, and political context. move between them. It is unrealistic, however, to expect
that this kind of supercorridor can be conserved or recon-
A ll parts of the Earth are interconnected to some

degree. Th is means that people cannot isolate them-
selves from the extraordinary assemblage of living crea-
structed very often. Most often, corridors must have more
limited objectives as well as being subject to existing land
use constraints and economic considerations. Rather than
tures with whom they share the planet, and upon which providing for the movements of all species in the frag-
they are dependent for their existence. The challenge is to ments to be joined, a corridor may be useful for certain
sustain a healthy biosphere on Earth so that humanity species that are most harmed by the fragmentation or are
has a chance to thrive into the foreseeable future. That is of special conservation concern, such as rare and endan-
the message of sustainability. gered species. A corridor might simply be a culvert under
The impact (footprint) of humanity on the biota and a highway that can be used by large and mobile species.
nonliving resources of the planet is accelerating, and most Other corridors might be passable only seasonally or
experts believe it already exceeds sustainable levels. One under unusual or extreme conditions such as flooding or
consequence of this predicament is that the distributions of prolonged drought. Corridors may have native vegetation,
living organisms are becoming increasingly fragmented. be dominated by invasive species, be planted with horti-
Th is fragmentation brings reductions in connectivity cultural varieties, or even be an agricultural crop. An
among the fragments, which is one of the important factors essential consideration is that corridors can exist over a
leading to species extinctions, threats of extinctions, and wide range of spatial scales. They range from a few meters
disruptions in the functioning of biological communities. in length, perhaps connecting two patches of grass, to
The question is: are biological corridors useful in helping to continental in extent, such as the entire length of the
achieve sustainability through improved connectivity? North American Rocky Mountains. The critical criterion
for a corridor is that it improves connectivity.
What Are Corridors?
Connectivity
Biological corridors are any real estate, terrestrial, aquatic,
or both, that increases the ability of organisms to move Movements across landscapes have always been an issue
among habitat fragments in search of something they for organisms. Places suitable for each kind of organism
need for their livelihood. They may need a suitable place are not found everywhere. Moreover, there are serious
37

barriers separating continents, ocean basins, lakes and another species becoming extinct, and this in turn to still
rivers, climatic zones, mountain tops, and so on. another, and so on. The chain reaction is the result of the
Organisms are always exploring, searching, and experi- fact that, just like humans, all other living organisms
menting in their attempts to find what they need or to depend for their existence on other species in their
improve their chances for success. community. Extinction of a species that is the favorite
Species, however, differ greatly in their abilities to or essential prey of another will lead to the predators’
move across space, and this movement is complicated by extinction. Loss of a tree species that provides hollows
humans when we convert space to our own needs, add needed by others for nesting will cause the nesting spe-
toxic substances to the environment, introduce alien cies to become extinct as well. Extinction of a predator
species, and co-opt valued resources. Generally, humans may result in higher densities of its prey, which in turn
make it more difficult for species to move successfully might cause the extinction of several rare species that
(disperse), so that we reduce their connectivity. In other successfully competed with the prey species as long as it
cases, we enhance connectivity by transporting organ- was not highly populous.
isms inadvertently in our baggage or by intentionally
bringing them to new places. When Are Corridors Not a
Good Idea?
Extinctions Corridors are a useful, often essential, tool for conserva-
tion and land management. Moreover, this need will be
Why should reduced connectivity be a problem for
increasingly important as humans continue to convert nat-
organisms? Organisms are constantly searching for new,
ural habitats to their own immediate use, and thus inten-
better, or safer places to live. They may also have to move
sify the fragmentation of the world’s biota. Accelerating
in response to seasonal changes, that is, migrate, or to
losses of biodiversity can be confidently predicted as can
adjust to long-term climatic changes. Of special concern
a parallel decline in the Earth’s carrying capacity for
is that isolated populations carry higher risks of extinc-
humans. Does this mean that corridors are always the
tion. Survival is especially precarious if population
solution to conservation problems? They are not.
numbers are low or experience low points regularly or
There are many reasons why a particular corridor may
occasionally. Random catastrophes can readily eliminate
fail to provide the benefits for which it was intended.
a small population, whereas a larger one will usually have
It might even make a bad situation worse. For every con-
some survivors. Small populations also risk genetic dete-
servation effort in which corridors are considered as
rioration through inbreeding that can lead to reduced
connectivity tools, the pros and cons need to be carefully
fitness because of loss of hybrid vigor, or suffer the loss of
evaluated. Moreover, site-specific or context-dependent
genes that are critical for population persistence (poly-
issues enter into the equation for each project. This is the
morphisms). Examples of such critical variants are males
reason no universal formulae apply to solving connectiv-
and females, perhaps, or one type of individual that is
ity problems. Land managers, politicians, and biologists
more fit for winter conditions and another that does bet-
need to be aware of potential causes for failure so that
ter in the summer. Another genetic risk is the loss of the
they can anticipate problems, plan for their mitigation,
population’s ability to adapt to long-term changes.
monitor their results, and prepare to adaptively manage
Small populations of some species face another impor-
their projects accordingly.
tant threat, and that is so-called Allee effects (Lidicker
There are several potential disadvantages of corridors
2010). These occur when some aspect of a species’ envi-
(see Hilty, Lidicker, and Merenlender 2006, chapter 6,
ronment or life history makes it increasingly difficult to
for an expanded discussion).
survive as numbers decline. Generally, these are found in
species with complex social systems that require a certain 1. Edge Effects—Most corridors are relatively narrow, and
minimum number in order for the social group to func- hence, because their edge-to-area ratio is large, they are
tion properly. Th is might be joint protection from pre- likely to be dominated by so-called edge effects. These
dators, for example. It might also take the form of a effects emerge when two types of communities or habi-
flowering plant that requires an insect pollinator. If the tats share a common boundary. Species from one com-
plant lives in only a small, isolated patch, the pollinators munity may invade the other, some species may avoid
may never fi nd the patch, and hence there will be no living in or even moving through edge zones, and spe-
reproduction. cies that live only in edges may appear and even become
Still another threat faced by organisms living in small, abundant. Plants and animals attempting to use a cor-
isolated patches is cascading extinctions. Suppose one ridor may be thwarted by unfamiliar predators, para-
species becomes extinct in the patch. Th is may lead to sites, or competitors, and so may not use what seems to

BIOLOGICAL CORRIDORS • 39
people to be a perfectly appropriate corridor for their 7. Genetic Impacts—Genetic connectedness is generally a
dispersal. There may also be changes in physical factors positive influence in helping populations to avoid the
such as in wind patterns, temperature, fire frequency, or negative effects of inbreeding and of maintaining
human-caused noise and artificial lighting. sufficient genetic heterogeneity to allow adaptation to
2. Exotic Species—Corridors may make it easier for exotic local or changing conditions. Where long-isolated
species to move across a landscape, invading habitat populations are newly connected by a corridor, how-
patches from which they were previously absent. Such ever, negative genetic effects can be anticipated
unwelcome invaders may come from another patch of (Rhymer and Simberloff 1996). Local adaptations can
the same habitat or from the habitat surrounding the be disrupted, lowering the overall fitness of a popula-
corridor (the matrix). tion to its environment. More unusual are instances
3. Unwelcome Native Species—Particularly where rare or where higher taxonomic levels are impacted by new
endangered species are being protected, corridors corridors. Subspecies and even species have disap-
might encourage predators, parasites, pathogens, or peared, and native species have been replaced by exotic
competitors that would negatively impact species of species or hybridized out of existence (Rhymer and
concern before they could recover adequately. Simberloff 1996).
4. Community Drift—This can be anticipated if a corridor
allows passage of some species among the connected
Economic and Social Factors
communities, but not all. Over time, cascading extinc-
tions will result, especially among species not con-
People may preserve, enhance, create, and study corridors
nected by the corridor, and gradually the nature of the
from a strictly scientific perspective, but these activities
habitat patches being protected will change, possibly
are invariably done in an economic, social, and political
in different directions.
context (Hilty, Lidicker, and Merenlender 2006). Costs
5. Demographic Impacts—While corridors are generally
include land acquisition and possibly construction, main-
expected to improve the persistence of populations in
tenance, monitoring, and lost opportunity costs. In addi-
connected habitat remnants, sometimes the reverse
tion, potential costs of negative impacts on adjacent areas
happens. One such scenario occurs when an array of
may be unforeseen or underestimated.
patches are sufficiently connected that the population
The benefits of conservation objectives are rarely mea-
dynamics in the various patches become synchronized.
sured accurately in monetary terms. A new breed of econ-
Under these conditions, a catastrophe that greatly
omist is struggling with trying to improve the economic
reduces population numbers affects all the patches sim-
quantification of conservation activities (Costanza et al.
ilarly, and all, rather than just a few, may become
1997). The reality, however, is that conservation activities
extinct. Long-term success of such an array of patches
address quality of life issues, the sustainability of human
(a metapopulation) is enhanced if there are always dis-
life, and the critical role of Earth’s biota in making both
persers available from successful patches to recolonize
these objectives possible. It may be difficult, but it is
patches where the subject population has become
critically important to keep nonmonetary benefits in the
extinct. A frustrating problem occurs when a corridor is
balance sheets.
made so attractive that numerous dispersers enter it,
and then decide to live in the corridor. If the quality of
this new home is insufficient for adequate reproduction, Outlook
a net loss to the species may occur. Where the species of
interest also serves as human food or trophies, a corridor Although there are many potential negative outcomes of
may provide hunters easy access to dispersing indivi- establishing corridors, they are frequently a good choice
duals. Lastly, Allee effects often produce unexpected in conservation planning. Corridors will continue to be
idiosyncratic results—unanticipated matrix influences, important, even critically necessary, in most situations,
changes in dispersal behavior, and so on. especially if potential pitfalls are carefully considered.
6. Social Impacts—In species with complex social sys-
William Z. LIDICKER JR.
tems, dispersal may be possible only when entire social
University of California, Berkeley
groups move. In such cases, a corridor has to be ade-
quate to support a group in transit rather than just See also Adaptive Resource Management (ARM); Boundary
individuals. Corridors frequently result in dispersing Ecotones; Edge Effects; Habitat Fragmentation; Invasive
individuals establishing residences in the corridors. If Species; Landscape Planning, Large-Scale; Light
the species is aggressively territorial, such corridor res- Pollution and Biological Systems; Outbreak Species;
idents might make it difficult for other dispersers to Plant-Animal Interactions; Refugia; Regime Shifts;
pass through, and thus effectively block the corridor. Rewilding; Road Ecology; Wilderness Areas

FURTHER READING Lidicker, William Z., Jr. (1995). The landscape concept: Something
old, something new. In William Z. Lidicker Jr. (Ed.), Landscape
Becker, Carlos G.; Fonseca, Carlos R.; Haddad, Célio F. B.; Batista, approaches in mammalian ecology and conservation (pp. 3–19).
Rômulo F.; & Prado, Paulo I. (2007). Habitat split and the global Minneapolis: University of Minnesota Press.
decline of amphibians. Science, 318, 1775–1777. Lidicker, William Z., Jr. (1999). Responses of mammals to habitat
Beier, Paul, & Noss, Reed F. (1998). Do habitat corridors provide con- edges: An overview. Landscape Ecology, 14, 333–343.
nectivity? Conservation Biology, 12, 1241–1252. Lidicker, William Z., Jr. (2010). The Allee effect: Its history and
Bélisle, Marc. (2005). Measuring landscape connectivity: The chal- future importance. Open Ecology Journal, 3, 71–82.
lenge of behavioral landscape ecology. Ecology, 86, 1988–1995. McCullough, Dale, R. (Ed.). (1996). Metapopulations and wildlife con-
Chetkiewicz, Cheryl-Lesley B.; St. Clair, Colleen C.; & Boyce, Mark S. servation. Washington, DC: Island Press.
(2006). Corridors for conservation: Integrating pattern and process. Noss, Reed F. (1991). Landscape connectivity: Different functions at
Annual Review of Ecology, Evolution, and Systematics, 37, 317–342. different scales. In W. E. Hudson, (Ed.), Landscape linkages and
Costanza, Robert, et al. (1997). The value of the world’s ecosystem biodiversity (pp. 27–39). Washington, DC: Island Press.
services and natural capital. Nature, 387, 253–260. Rhymer, Judith M., & Simberloff , Daniel. (1996). Extinction by
Damschen, Ellen I.; Haddad, Nick M.; Orrock, John L.; Tewksbury, hybridization and introgression. Annual Review of Ecology and
Joshua J.; & Levey, Douglas J. (2006). Corridors increase plant Systematics, 27, 83–109.
species richness at large scales. Science, 313, 1284–1286. Rosenberg, Daniel K.; Noon, Barry R.; & Meslow, E. Charles. (1997).
Delattre, Pierre, et al. (2009). Influence of edge effects on common Biological corridors: Form, function, and efficacy. BioScience, 47,
vole population abundance in an agricultural landscape of eastern 677–687.
France. Acta Theriologica, 54, 51–60. Saunders, Denis A., & Hobbs, Richard J. (1991). Nature conservation
Downes, Sharon J.; Handasyde, Katherine A.; & Elgar, Mark A. 2: The role of corridors. Chipping Norton, Australia: Surrey Beatty
(1997). The use of corridors by mammals in fragmented Australian & Sons.
eucalypt forests. Conservation Biology, 11, 718–726. Simberloff, Daniel; Farr, James A.; Cox, James; & Mehlman, David
Fábos, Julius G. (2004). Greenway planning in the United States: Its W. (1992). Movement corridors: Conservation bargains or poor
origins and recent case studies. Landscape and Urban Planning, 68, investments. Conservation Biology, 6, 493–504.
321–342. Taylor, Andrew D. (1991). Studying metapopulation eff ects in
Gonçalo, Ferraz, et al. (2007). A large scale deforestation experiment: predator-prey systems. Biological Journal of the Linnean Society, 42,
Effects of patch area and isolation on Amazon birds. Science, 315, 305–323.
238–241. Tilman, David, & Kareiva, Peter. (Eds.). (1997). Spatial ecology: The
Hilty, Jodi A.; Lidicker, William Z., Jr.; & Merenlender, Adina M. role of space in population dynamics and interspecifi c interactions.
(2006). Corridor ecology: The science and practice of linking landscapes Princeton, NJ: Princeton University Press.
for biodiversity conservation. Washington, DC: Island Press.

Boundary Ecotones
Nowhere else can the tenets of ecology and ecosystem forest interior for nesting, bedding down, birthing, pro-
science be studied and tested better than within the tection from predators, and so forth, at different times of
boundary ecotones that separate communities across the day and season. Predators may use one community
the landscape. They can also provide sensitive and early for camouflage while stalking prey in the ecotone and
evaluation of changes in species and community distri- adjacent community. Thus, the importance of ecotones
bution patterns resulting from such disturbances as on ecosystem processes of energy exchange and nutrient
agriculture and climate change. These important zones cycling depends directly on the amount of edge perime-
offer unique challenges that ecosystem managers are ter compared to the total area of the adjoining commu-
only beginning to understand. nities. For these reasons, land management objectives
emphasizing game management and not necessarily eco-
system sustainability often attempt to regulate vegetation
E cological boundary ecotones are most often defined

as the transition areas between two distinct plant
communities, including the overlap of their respective
patterns (e.g., forest timber harvesting) by maximizing
the ratio of edge to total area—a potential benefit to spe-
cies dependent on the ecotone that also favors hunters of
flora and fauna. These same areas may also incorporate those same species.
the concept of edge effects, wherein ecotonal species may Additionally, when species travel across an ecotone to
include more or less individuals of the same species access the advantages of both communities, they may
found in the fl anking communities, and even species also encounter trade-off s such as greater exposure to
unique to the ecotone (i.e., edge species). Common stress factors that are both abiotic (e.g., greater sun
examples of ecotones include the boundaries between exposure, drier soils) and/or biotic (e.g., predators,
desert and shrubland, grassland and shrubland, shru- competition).
bland and forest, forest and alpine or arctic tundra, wet
and dry meadows and forest, and forest and steppe, to
name only a few. Why Study Ecotones?
In addition, there are boundary ecotones separating
both freshwater and saltwater communities from a large Ecotones can provide the most sensitive and earliest indi-
variety of terrestrial communities, such as beach/ocean, cation of potential shifts in the spatial distribution pat-
marsh/estuary, stream/riparian, and bog/forest. Many terns of plant communities. It has been argued that the
species of these ecotones must navigate from the terres- impacts of global change, such as elevated carbon dioxide
trial to the aquatic community, and vice versa, for repro- in the atmosphere, atmospheric warming, and sea level
ductive purposes. rise, may be fi rst recognized within the transitional
Traditionally, ecotones have been of particular interest boundaries between communities. For example, the
to ecologists owing to the abundance of animal species degree of establishment of plant seedlings or vegetative
that utilize these transition zones on a daily basis in order sprouts from either community into the transitional
to complete their life cycles. For example, mammals and ecotone can provide early evidence for the ultimate
birds may utilize a forest meadow for foraging but the movement, expansion, or contraction of community
41

boundaries. These data can also provide estimates of eco- Detecting early changes in this boundary ecotone is
logical encroachment, species extinction potential, and possible through the study of tree seedling occurrence
the possible replacement of one community by another and age class distribution as an indication of which
with consequential losses in biodiversity across the particular year’s seedling germination and establish-
landscape. ment took place. Ultimately, the establishment and
Boundary ecotones are also thought to be the most growth of new seedlings and saplings, along with the
stressful situation for growth and survival of individual distorted mature tree forms, will provide enough pro-
species of either community and, thus, provide an out- tection (facilitation) for trees to grow to maturity,
door experiment evaluating adaptation, or why the indi- forming a new subalpine forest with forest-stature
vidual species of a particular community grows and trees. In other words, forest-like trees will not be
survives at a particular location. The physiological limita- possible until some degree of forest develops that can
tions to growth and the capability of producing viable protect the developing trees.
off spring in the boundary ecotone can explain more Tree seedlings in this ecotone also compete with
mechanistically the spatial distribution pattern observed alpine species such as grasses, sedges, and herbaceous
for a species or community. These limitations may be species for such resources as limited water; at the same
generated by abiotic conditions of the physiochemical time, they may be facilitated by the other species’ effects
environment, or by biotic interactions such as ecological on tree seedling microclimate, for example, shading from
competition and facilitation, or by both. The interaction intense sunlight that can cause high seedling mortality.
between competition and facilitation in boundary Thus, the question of the interplay of competition versus
ecotones is a relatively unstudied research topic (e.g., facilitation seems not to be answered for this ecotone, or
Baumeister and Callaway 2006). virtually all others. To date, most research on ecotonal
interactions among the overlapping species from each
bordering community has been limited. In fact, the
An Ecotone Example majority of alpine treeline studies have involved mature
trees at treeline, not establishing seedlings in the ecotone
One of the more commonly studied ecotones since the between the forest and alpine tundra, a fundamental
1900s is forest treelines on mountains, especially at the determinant of changes in treeline altitude.
upper elevational limit—the alpine treeline. The eco-
physiological and environmental causes of why trees
occur at different elevational limits worldwide has Ecotones and Sustainability
intrigued forest scientists for decades, while more recently Management
the movements of treelines in response to climate change
(elevated carbon dioxide and atmospheric warming) is of Boundary ecotones such as the alpine treeline deserve
interest for validating some predicted climate change particular attention for ecosystem management and the
effects on forest spatial patterns of the future. future sustainability of natural ecosystems. These transi-
These treelines often appear as sharp boundaries from tional areas between two distinct communities are where
a distance (e.g., view from an airplane), although their changes in spatial distribution patterns may be most
transitional nature becomes apparent on the ground. A detectable earliest. If anthropogenic disturbances,
blend of both communities, forest and alpine tundra, including global change factors, occur in ecotones, we
occurs gradually across the treeline ecotone, with fewer may expect almost immediate effects on the spatial sta-
and fewer trees at greater distances from the leading edge bility of the contiguous communities. For example, rising
of the intact forest (Smith et al. 2003, 2009). These trees sea level will submerge great amounts of coastal shoreline
commonly become more and more distorted in growth and shift the intertidal community to higher elevations.
form and are separated by greater and greater distances Similarly, disturbances influencing propagation in the
from one another. Closer to the forest edge, trees may ecotone by either of the adjoining communities will have
cluster into islands and are severely flagged (indicating a potentially strong influence on their spatial stability.
wind direction). These tree islands diminish in size both What ultimate effect this will have on existing spatial
vertically and horizontally with greater distance from the patterns and species composition in terrestrial/oceanic
forest edge, becoming progressively more stunted and ecotones is unknown. What can be expected is the poten-
bush-like in appearance. Ultimately, single trees that are tial loss, and possible extinction, of species that are
found at the upper elevational limit of the species resem- endemic to these ecotones and not found in either of the
ble small shrubs with a strong distortion in form that contiguous communities. Thus, some of the most highly
reflects the prevailing wind direction during winter (sim- adapted organisms may be lost to extinction if sea level
ilar to the flagging of taller trees lower in the ecotone). rise is rapid enough to disallow adaptation and selection

BOUNDARY ECOTONES • 43
of phenotypes and, ultimately, new genotypes and much more research is necessary to achieve a comprehen-
species. sive understanding. Sustaining ecosystems in the future
The inherent nested and hierarchical complexity of will certainly demand attention and focus on the critical
ecotones reflects the kind of complexity observed across importance of ecotones, despite the common practice of
the ecological sciences. Th ere are ecotones within altering the character and abundance of these zones by
ecotones, depending on spatial and temporal scale. As humans.
one reduces spatial scale, such as from the size of the
William K. SMITH
entire ecotone separating the forest from the alpine to a
Wake Forest University
single large boulder within the ecotone, other smaller
ecotones associated with the boulder become apparent. See also Biodiversity; Biodiversity Hotspots; Biogeography;
These smaller ecotones result from varying abiotic fac- Biological Corridors; Buffers; Ecological Forecasting;
tors associated with the microclimate generated by the Edge Effects; Global Climate Change; Habitat
boulder itself (e.g., sunlight exposure, temperature, soil Fragmentation; Hunting; Indicator Species; Invasive
water, wind) as well as biotic factors associated with the Species; Keystone Species; Outbreak Species; Plant-
abiotic variation. Similar problems of scale arise when Animal Interactions; Species Reintroduction; Wilderness
considering changes in this concept of ecotones-within- Areas
ecotones due to seasonal variation (e.g., summer versus
winter), or even variation in abiotic and biotic condi-
tions during a day.
Differences in the abundance and variety of smaller-
FURTHER READING
Baumeister, Dayna, & Callaway, Ragan M. (2006). Facilitation by
scale ecotones found within larger ecotones could have a
Pinus flexilis during succession: A hierarchy of mechanisms benefits
strong influence on such important ecological character- other plant species. Ecology, 87, 1816–1830.
istics as species composition and frequency across an Gosz, James R. (1993). Ecotone hierarchies. Ecological Applications, 3,
ecotone. Comprehensive measurements of scaling effects 369–376.
Hufkins, Koen H.; Scheunders, Paul; & Ceulemans, Reinhart. (2009).
on ecotonal function could be pivotal in estimating the
Ecotones in vegetation ecology: Methodologies and defi nitions
impacts of ecotonal disturbance on species diversity and revisited. Ecological Research, 24, 977–986.
abundance and ecosystem sustainability, as well as for McArthur, E. Durant; Ostler, W. Kent; & Wambolt, Carl L. (Eds.).
designing land management strategies under a future (1999). Proceedings: Shrubland ecotones. Ogden, UT: US
Department of Agriculture, Forest Service, Rocky Mountain
of global climate change. Few such studies have been
Research Station. RMRS–P–11.
attempted to date (see Gosz 1993 for a review), but some Morris, Ashley, & Kokhan, Svitlana. (2007). Geographic uncertainty in
research campaigns have been designed to address the environmental security (NATO Science for Peace and Security
contribution of ecotones to overall ecosystem services Series C: Environmental security). Dordrecht: The Netherlands:
Springer.
and functioning (e.g., Naiman, Decamps, and Fournier
Naiman, Robert; Decamps, Henry; & Fournier, Frederic. (Eds.).
1990; McArthur, Ostler, and Wambolt 1999), and there (1990). Role of land/inland water ecotones in landscape manage-
have been reviews dealing with the conceptual founda- ment and restoration: A proposal for collaborative research. MAB
tions of ecotone ecology (Huf kins, Scheunders, and Digest 4. Paris: UNESCO.
Rhoades, Robert E. (1978). Archaeological use and abuse of ecological
Ceulemans 2009). There have also been attempts at
concepts and studies: The ecotone example. American Antiquity, 43,
characterizing ecotones as “fuzzy sets” in an effort to 608–614.
describe more precisely the landscape distribution and Smith, William K.; Germino, Matthew E.; Hancock, Thomas E.; &
abundance of land area classified as ecotonal (Morris Johnson, Daniel M. (2003). Another perspective on the altitudinal
occurrence of alpine tree lines. Tree Physiology, 23, 1101–1113.
and Kokhan 2007).
Smith, William K.; Geronimo, Matthew J.; Johnson, Daniel M.; &
The influence of ecotones on ecosystem properties Reinhardt, K. (2009). The altitude of alpine treeline: A bellwether
across the landscape has received considerable study. Yet of climate change effects. Botanical Reviews, 75, 163–190.

Brownfield Redevelopment
Brownfields are areas that have been polluted the US geographer Linda McCarthy in her 2002 article
through industrial or commercial use and aban- in Land Use Policy.
doned. Redeveloping such areas to beneficial and sus-
tainable uses involves the often difficult and expensive
process of cleaning up contaminants before new Social, Economic, Environmental,
development can proceed. Reclaiming brownfield and Legal Issues
lands is, however, a significant aspect of long-term
sustainable land use. Brownfields are a widespread problem in North America,
Europe, and the developing world. There are more than
500,000 brownfields in the United States; 360,000
B rownfield redevelopment is a three-step process by

which developers purchase a contaminated property
from its previous, often industrial, owner, remediate it,
brownfields in Germany; 33,000 hectares of brownfields
in the United Kingdom; and over 30,000 such properties
in Canada (NRTEE 2003). Brownfield redevelopment
and finally redevelop it. Though the process itself sounds projects can impact the social, economic, environmental,
simple, it is often difficult to entice investors to purchase and legal sectors. Economic impacts are important to the
blighted land for which they may be liable for future redevelopment of brownfields and can lead to social con-
environmental and health risks. Additionally, the high sequences; for example, the presence of brownfields
cost of remediating the various contaminants on the within a neighborhood can often lower property values of
property, including polluted ground- and surface water, adjacent properties and result in a lower tax base for the
may discourage investment. The benefits, however, of whole community The income reduction may lead to a
reclaiming despoiled sites include improvements to the decrease in services, including policing, fi re protection,
environment, the tax base, and the economic and social hospital facilities, road maintenance, and garbage collec-
well-being of the area. tion (Greenberg and Lewis 2000). This reduction in ser-
The majority of literature on brownfield redevelop- vices results in additional industries leaving the affected
ment quotes the defi nition put forth by the United area. For instance, the US professor of environmental
States Environmental Protection Agency (US EPA management and urban development Christopher De
1997) of brownfields as “abandoned, idled or under- Sousa (2003) notes that many of the brownfields in the
used industrial and commercial facilities where expan- city of Toronto, Canada, are a result of the exodus of
sion or redevelopment is complicated by real or industry in the 1970s from the blighted downtown core.
perceived contamination.” Notably, this defi nition is Because brownfields can lead to a reduction in services
open-ended and suggests that a site need only be per- and property values, the adjacent communities are often
ceived as contaminated in order to be considered a plagued by crime, unemployment, and poor schools. In
brownfield. Similar defi nitions are provided by the some cases brownfields can pose threats to human health
National Round Table on the Environment and the from groundwater contamination. These environmental
Economy in Canada (NRTEE 1998), the United justice challenges associated with brownfields too often
Kingdom Environment Agency (UKEA 2011), and by occur in communities of color and poverty.
44

BROWNFIELD REDEVELOPMENT • 45
Financial risk due to the unknown cost of remediating redevelopment of brownfield properties. The fi rst step
a brownfield site is an important consideration for private is the acquisition of the property, which usually involves
redevelopment investors. De Sousa (2000) found that negotiations among a developer, a local government
two key fi nancial issues—liability concerns and high that wishes to entice the developer to take on the risk
remediation costs—were among the most pressing of a contaminated property, and an owner who may be
obstacles to private brownfield redevelopment. He also either the industrial polluter or another organization
discovered that uncertainty related to a site-specific risk that owns the property. Subsequently, remediation work
assessment, a lack of government incentives, obtaining is carried out to remove or treat contaminants before
financing, and lack of knowledge and negative attitudes redevelopment of the land for a new use, such as a shop-
on the part of the public and stakeholders were pressing ping mall.
financial concerns for the developers. In spite of numer-
ous economic risks taken by the developer, there are Acquisition
many economic benefits to be obtained by communities
whose brownfields are redeveloped, including an One of the greatest difficulties for land owners and local
increased tax base, higher property values, and the attrac- governments is the sale of brownfield property to a suit-
tion of outside investment. able developer. Often, local governments struggle to find
The environmental aspect of brownfield contamina- developers who are fully capable of taking on the many
tion is at the root of most remediation and redevelopment expenses involved in the remediation and redevelopment
work. Subsurface contamination, a common brownfield stages and must offer economic incentives to attract
issue, can infi ltrate into groundwater, which in turn investors. A common enticement used in the United
affects the surrounding ecosystem (Murray and Rogers States is tax incremental fi nancing by which the local
1999). The presence of these contaminants in the ground- government agrees to provide a break in taxation by
and subsurface water is also a human health hazard. increasing the tax level in increments from that of an
Traditionally, environmental management has focused unoccupied property to a full commercial property over
on brownfi eld remediation as the key to successful the course of a number of years. The goal is to provide
projects (Lawrence 2000). taxation savings to compensate the developer for the cost
Due to the widespread impacts of brownfields, most of remediating the property (US EPA 2010b).
countries have a range of laws to deal with them.
Globally, the US EPA has been a leader in developing Remediation
appropriate standards and cataloging known brownfields.
In Canada, Environment Canada and each of the provin- There are currently a number of options available to
cial environmental ministries have followed the lead of developers and engineers to remediate contaminated
the US EPA and often refer to the standards that the lands. Before any of these methods are used, developers
United States has developed. Both the EPA and or their contractors must consider the following: what are
Environment Canada agree that the responsibility of the contaminants on the property; what type of soil is on
future environmental and health concerns belongs to the this property; and how does the water table interact with
property owner who contaminated the land. The 2007 these pollutants? After considering these important
report of the Japanese Ministry of the Environment con- issues, the future land use, and the possibility of exposure
curs out of concern that liability could extend to subse- to contaminants by land users, then the cost of redevelop-
quent property owners. This onus of liability on property ment and any legal restrictions must be taken into
owners is intended to protect future purchasers. A side account so that an appropriate remediation plan can be
effect, however, is that it also encourages some owners, selected. In Canada and the United States, the decision
such as fuel companies, not to sell their contaminated must be between remediating the land to exacting physi-
sites out of fear of future lawsuits (US EPA 2010a). In cal standards laid out by bodies such as the EPA or the
Europe, brownfields remain an important issue, though creation of a site-specific risk assessment, which must be
the extent of the problem is uncertain in many nations approved by the EPA, or, in Canada, by the provincial
(Grimski and Ferber 2001). environmental ministry, to allow a less stringent reme-
diation while still not harming human and environ-
mental receptors.
Stages in Brownfield Redevelopment Remediation methods can generally be classified into
two categories: physical remediation and biological
The Canadian systems design engineers Sean Bernath remediation. Physical methods rely on phase changes or
Walker and Keith Hipel and urban planner Terry physical transport to remove the offending toxin(s). One
Boutilier (2010) have outlined three main stages in the process, for example, is excavation, which involves the

physical removal of contaminated soil. Generally, excava- examples that show how developers have respected the
tion is completed using heavy construction equipment, industrial history of a property while renewing the prop-
and the removed soil is placed in landfi ll sites. If the erty at the same time.
entirety of the contamination is not removed, synthetic
blanketlike fabrics called geotextiles can be used to pro-
vide a protective barrier, which prevents the migration of Brownfield Decision Making:
particular contaminants. An alternative to removing the A Systems Approach
soil to a landfi ll site is to wash the soil; in this process,
the soil is excavated, treated off-site, and then returned Because brownfield redevelopment involves a range of
to the ground. Finally, soil vapor extraction (SVE) can be interconnected physical and social systems elements cou-
implemented to remove volatile chemicals from the soil. pled with deep uncertainty, risk, and confl ict, decision
With SVE, a system of wells and pipes is installed in the making should be carried out within a systems thinking
soil, and air or carbonated water is pumped into the framework. In practice, governance and asso-
soil. Th rough vaporous and liquid trans- ciated decision making should be integra-
port, the chemical leaves the aquifer and is tive to handle interconnections,
collected. adaptive to deal with unexpected con-
If the contamination is biological, sequences caused by complex systems
myriad biological tools are available to interactions and high uncertainty,
break down the contaminants. For and participatory to involve the key
example, microbial remediation stakeholders linked to a given brown-
occurs when microbes are used to field redevelopment problem and its
degrade contaminants into less resolution. The purposeful inclusion of
toxic forms. This technique can all relevant stakeholders in the
be very effective in the treat- responsible governance of
ment of hydrocarbons, polyaro- brownfields ensures that the
matic hydrocarbons, pesticides, principle of environmental jus-
and polychlorinated biphenyls tice will be followed. A rich
(PCBs). To remediate organic range of formal decision mod-
contaminants or toxic metals, els, developed in fields such as
phytoremediation is occasionally systems engineering and opera-
employed through the planting of tional research, and associated
chemical-absorbing plants in the decision support systems (DSSs)
contaminated soil, while fungal (see Hipel, Fang, and Kilgour
remediation can be used to degrade 2008; Sage 1991) for applying these
specific types of hydrocarbons (Dahn decision methods to practical prob-
and Reyes 1992; Hollander, Kirkwood, and lems, are available for addressing
Gold 2010). tough problems that arise in brownfield
redevelopment (see, for example, Hipel et al.
2007; Hipel et al. 2008; Jamshidi 2009; Sage and Biemer
Redevelopment
2007; Sage and Rouse 2009).
The redevelopment of brownfield properties is the final, Brownfield development is complicated by two key
and perhaps most rewarding, stage of the three-step pro- characteristics: a high amount of uncertainty and differ-
cess. At this point, the benefits for the four separate but ent types of stakeholders. From the very definition of
interacting sectors—social, economic, environmental, brownfields put forward by the EPA, there is uncertainty
and legal—can be fully realized (De Sousa 2003; in the extent and existence of contamination at most
Greenberg and Lewis 2000; McCarthy 2002). Where a brownfield sites (Greenberg, Lee, and Powers 1998;
historic building is located on the property, the devel- McCarthy 2002). Additionally, there is uncertainty with
oper may need to work with the community’s historic respect to remediation and legal costs, future liability and
preservationist society to obtain appropriate approvals. legal risk, as well as the amount of time necessary to
Famous redevelopments, such as that of the former undertake the projects. There is even uncertainty as to
Atlantic Steel mill in Atlanta, Georgia (Georgia how many brownfields are present in many communities
Department of Community Aff airs 2011) and the (Coffi n 2003). The implementation of an appropriate
Kaufman shoe factory in Kitchener, Ontario, Canada decision support tool thus requires considerable research.
(Bernath Walker, Boutilier, and Hipel 2010), are Th is means not only researching case studies of similar

BROWNFIELD REDEVELOPMENT • 47
developments but also conducting an inventory of the over the installation of single-walled tanks for gasoline
brownfields and contamination in a given region. Such storage and the creation of the same types of brownfields
research and the adoption of a brownfield information that occurred in the developed world in the middle of the
system, such as a database to track brownfield properties twentieth century (Taylor et al. 2009; US EPA 2010c).
in a given administrative area, are needed for the effective In nations that are developing quickly into global eco-
use of a decision support tool. To deal with uncertainty, nomic powers, such as India and China, there is concern
planners have applied a number of different types of deci- that the growth is coming without environmental aware-
sion support tools to the consideration of brownfield ness and stewardship (Gardner 2007).
redevelopment. In the United Kingdom, for example, the
Environmental Information System for Planners (EISP)
is a helpful online resource that allows planners to exam- Looking Forward
ine development control decisions by making informa-
tion such as flooding risk and possible contamination The redevelopment of brownfields is a multidisciplinary
available to nonspecialists (Culshaw et al. 2006). practice that must balance social, economic, environmen-
Similarly, the EPA operates an online risk management tal, and legal elements. Not only do natural environments
resource for North American brownfield decision mak- need to be restored, but so do properties, communities,
ers. Using the tactical information provided by such and human health. Using a wide range of tools and indi-
online resources, a number of strategic analytical tools cators, policy makers must be proactive in preventing the
can be applied to brownfield decision making. To encour- creation of additional brownfield lands and in rehabilitat-
age more investment in brownfield redevelopment, the ing existing brownfields.
Canadian water quality specialist George Wang and
Professors Keith W. Hipel and D. Marc Kilgour (2011) Keith W. HIPEL and Sean BERNATH WALKER
proposed a fuzzy real options methodology to minimize University of Waterloo (Canada)
investment risks in the presence of environmental and
See also Adaptive Resource Management (ARM);
financial uncertainty. In real options modeling, option
Community Ecology; Dam Removal; Disturbance;
pricing models from the fi nancial market are used to
Ecological Restoration; Groundwater Management;
price real assets within which the concept of “fuzziness”
Hydrology; Microbial Ecosystem Processes; Pollution,
can be utilized to take into account the accompanying
Point Source; Pollution, Nonpoint Source; Urban
high uncertainty and risk.
Agriculture; Urban Forestry; Urban Vegetation
Negotiations among stakeholders take place through-
out the acquisition, remediation, and redevelopment
stages. Effective methods may include using optimiza-
tion techniques to determine who among a property
owner, purchaser, and government body should pay what FURTHER READING
toward the remediation of a property (Sounderpandian, Bacot, Hunter, & O’Dell, Cindy. (2006). Establishing indicators to
evaluate brownfield redevelopment. Economic Development
Frank, and Chalasani 2005). Such strategic problems
Quarterly, 20 (2), 142–161.
lend themselves to the application of systems methods for Bernath Walker, Sean; Boutilier, Terry; & Hipel, Keith W. (2010).
confl ict resolution (Fang, Hipel, and Kilgour 1993) that Systems management study of a private brownfield renovation.
can provide strategic insights and improved brownfield Journal of Urban Planning and Development, 136(3), 249–260.
Coffi n, Sarah L. (2003). Closing the brownfield information gap:
policy solutions (Bernath Walker, Boutilier, and Hipel
Some practical methods for identifying brownfields. Environmental
2010; Hipel and Bernath Walker 2011). Practice, 5, 34–39. doi:10.1017/S1466046603030126
Culshaw, Martin G., et al. (2006). The role of web-based environmen-
tal information in urban planning—the environmental information
Brownfields in the Making system for planners. Science of the Total Environment, 360 (1–3),
233–245.
Dahn, C. James, & Reyes, Bernadette N. (1992). Soil remediation
Given the costs and complexity related to brownfield methods. In Proceedings of the Twenty-Fifth Department of Defense
redevelopment, there is significant reason to avoid creat- Explosives Safety Seminar, Anaheim, CA (pp. 43–59). Alexandria,
VA: Department of Defense Explosives Safety Board.
ing new brownfields. In places like the Oil Sands of De Sousa, Christopher A. (2000). Brownfield redevelopment versus
Alberta, Canada, the in situ and surface mining of bitu- greenfield development: A private sector perspective on the costs
men as well as upgrading processes are causing wide- and risks associated with brownfield redevelopment in the greater
spread pollution of the soil, water, and air, thereby Toronto area. Journal of Environmental Planning Management,
43(6), 831–853.
continuing to create massive brownfields that future gen- De Sousa, Christopher A. (2003). Turning brownfields into green
erations will inherit (Kunzig 2009; Tar Sands Watch space in the city of Toronto. Journal of Landscape and Urban
2011). Throughout the developing world, there is concern Planning, 62 (4), 181–198.

Fang, Liping; Hipel, Keith W.; & Kilgour, D. Marc. (1993). Interactive McCarthy, Linda. (2002). The brownfield dual land-use policy chal-
decision making: Th e graph model for conflict resolution. New York: lenge: Reducing barriers to private redevelopment while connecting
Wiley. reuse to broader community goals. Land Use Policy, 19(4), 287–296.
Gardner, Timothy. (2007, September 13). Russia, China, India top Murray, Kent S., & Rogers, Daniel T. (1999). Groundwater vulnera-
worst-polluted list. Reuters. bility, brownfield redevelopment and land use planning. Journal of
Georgia Department of Community Affairs. (2011). Atlantic Steel Environmental Planning, 42 (6), 801–810.
mill brownfield site. Retrieved August 24, 2011, from http:// National Round Table on the Environment and the Economy
w w w.dca.state.ga.us/toolk it / ProcessExamplesSearch.asp? (NRTEE). (1998). State of the debate on the environment and the
GetExample=197 economy: Greening Canada’s brownfi eld sites. Ottawa, Canada:
Greenberg, Michael; Lee, Charles; & Powers, Charles. (1998). Public Renouf Publishing.
health and brownfields: Reviving the past to protect the future. National Round Table on the Environment and the Economy
American Journal of Public Health, 88 (12), 1759–1760. (NRTEE). (2003). Cleaning up the past, building the future: A
Greenberg, Michael; & Lewis, M. Jane. (2000). Brownfields rede- national brownfi eld redevelopment strategy for Canada . Ottawa,
velopment, preferences and public involvement: A case study of Canada: Renouf Publishing.
an ethnically mixed neighbourhood. Urban Studies , 37 (13), Sage, Andrew, P. (1991). Decision support systems engineering. New
2501–2514. York: Wiley.
Greenberg, Michael; Lowrie, Karen; Solitaire, Laura; & Duncan, Sage, Andrew, P., & Biemer, Steven M. (2007). Process for system
Latoya. (2000). Brownfields, toads, and the struggle for neighbour- family architecting, design and integration. IEEE Systems Journal,
hood redevelopment. Urban Affairs Review, 35(5), 717–733. 1(1), 5–16.
Grimski, Detlef, & Ferber, Uwe. (2001). Urban brownfields in Sage, Andrew P., & Rouse, William B. (2009). Handbook of systems
Europe. Land Contamination and Reclamation, 9 (1), 143–148. engineering and management (2nd ed.). New York: Wiley.
Hipel, Keith W., & Bernath Walker, Sean. (2011). Confl ict analysis Sounderpandian, Jayavel; Frank, Nancy; & Chalasani, Suresh. (2005).
in environmental management. Environmetrics, 22 (3), 279–293. A support system for mediating brownfields redevelopment nego-
Hipel, Keith W.; Fang, Liping; & Kilgour, D. Marc. (2008). Decision tiations. Industrial Management & Data Systems, 105(2), 237–254.
support systems in water resources and environmental manage- Tar Sands Watch. (2011). Homepage. Retrieved May 24, 2011, from
ment. Journal of Hydrologic Engineering, 13(9), 761–770. http://www.tarsandswatch.org/
Hipel, Keith W.; Jamshidi, Mo M.; Tien, James J.; & White, Taylor, Bruce; Hipel, Lloyd; Hipel, Keith W.; Fang, Liping; & Heng,
Chelsea C., III. (2007). The future of systems, man and cyber- Michele. (2009). Preventing future brownfields: Engineering solu-
netics: Application domains and research methods. IEEE Trans- tions and pollution prevention policies. In Science and Technology for
actions on Systems, Man, and Cybernetics, Part C, Applications and Humanity (TIC-STH) IEEE Toronto International Conference,
Reviews, 37(5), 726–743. Toronto, Canada , September 26–27, 2009 (pp. 1030–1035). Elmira,
Hipel, Keith W.; Obeidi, Amer; Fang, Liping; & Kilgour, D. Marc. Canada: Institute of Electrical and Electronics Engineers (IEEE).
(2008). Adaptive systems thinking in integrated water resources Thomas, Michael. (2003). Brownfield redevelopment: Information
management with insights into confl icts over water exports. issues and the affected public. Environmental Practice, 5(1), 62–68.
INFOR , 46(1), 51–69. United Kingdom Environment Agency (UKEA). (2011). Land affected
Hollander, Justin B.; Kirkwood, Niall; & Gold, Julia. (2010). Principles by contamination. Retrieved July 4, 2011, from http://www.
of brownfield regeneration: Cleanup, design, and reuse of derelict land. environment-agency.gov.uk/business/sectors/32707.aspx
Washington, DC: Island Press. United States Environmental Protection Agency (US EPA). (1997).
Jamshidi, Mo M. (Ed). (2009). Systems of systems engineering: Brownfi elds economic redevelopment initiative. Washington, DC:
Innovations for the 21st century. New York: Wiley. Solid Waste and Emergency Response.
Japanese Ministry of the Environment. (2007). Current status of the United States Environmental Protection Agency (US EPA). (2010a).
brownfields issue in Japan: Interim report, March 2007. Tokyo: Brownfields and land revitalization: About brownfields. Retrieved
Japanese Ministry of the Environment. June 29, 2011, from http://epa.gov/brownfields/about.htm
Knee, Daniel; Greenberg, Michael; Lowrie, Karen; & Solitaire, United States Environmental Protection Agency (US EPA). (2010b).
Laura. (2001). Urban parks and brownfield redevelopment: A review Brownfields and land revitalization: Available funding mecha-
and case studies (Report 18). Camden, NJ: National Center for nisms. Retrieved June 29, 2011, from http://www.epa.gov/swerosps/
Neighbourhood and Brownfields Redevelopment, Rutgers bf/funding.htm
University. United States Environmental Protection Agency (US EPA). (2010c).
Kunzig, Robert. (2009). The Canadian oil boom. National Geographic, Underground storage tanks: Petroleum brownfields. Retrieved
215(3), 214–220. July 5, 2011, from http://www.epa.gov/oust/petroleumbrownfields/
Lawrence, David P. (2000). Planning theories and environmental Wang, Qian; Kilgour, D. Marc; & Hipel, Keith W. (2011). Fuzzy real
impact assessment. Environmental Impact Assessment Review, 20 (6), options for risky project evaluation using least squares Monte-
607–625. Carlo simulation. IEEE Systems Journal, 5(3), 385–395.

Buffers
A buffer is a protective barrier that can exist in natural to soil erosion, and new development threatens diverse
or managed systems, such as urban areas or agricul- ecosystems. Buffers, when designed and located appro-
ture. In the latter, buffers often serve as a landscape priately, have considerable potential to address these
design solution to human-made problems like soil ero- problems, offering a solution that could improve the
sion, surface water contamination, habitat fragmenta- health of human-dominated ecosystems.
tion, and biodiversity loss; buffers have the potential to
improve the health of human-dominated ecosystems.
Obstacles to the use of buffers are primarily economic. Background
Historically, features such as riparian forests, wetlands,
B uffers serve important functions in protecting our

natural resources from the negative impacts of
human activities. The term buffer refers to an entity that
and hedgerows were retained and planted in agricultural
landscapes, serving as buffers around cultivated fields and
pastures. With the intensification of agriculture over the
serves as a protective barrier, reducing or eliminating the past 150 years, many of these features were removed and
flow of undesirable substances. In natural systems, veg- replaced with crops. Without noncrop habitats to divide
etated buffer zones can protect rivers, wetlands, and fields and protect water resources, soil erosion from wind
other sensitive features from natural disturbances such as and rainfall became an increasing problem. The 1934
fires and floods. In the context of managed systems, buf- Dust Bowl, a great dust storm that occurred across the
fers represent a landscape design solution that has the farmlands of North America, increased public awareness
potential to reduce the impacts of a number of different of the problem. In the years following that event, new soil
anthropogenic problems such as soil erosion, surface conservation practices were introduced, including vege-
water contamination, biodiversity loss, and habitat tated buffer zones within fields, along waterways, and
fragmentation. beside roadways. Not until the 1970s, however, was the
Agriculture is one type of land use that can have det- term buffer used to describe such features. At that time,
rimental impacts on our natural resources. Pesticides and conservation scientists began to study the effectiveness of
fertilizers used in agricultural systems can be transported buffers in improving water quality.
to rivers, lakes, and oceans, where they contaminate the Today, buffers exist in a wide range of settings, offer-
water and harm aquatic organisms. Intensive soil distur- ing a variety of functions depending on their configura-
bance from agricultural activities contributes to erosion tion in the landscape and the composition of plant
and depletion of valuable topsoil. The expansion of materials. Riparian and wetland buffers consist of peren-
agriculture across the landscape has resulted in a net loss nial vegetation, oftentimes forest communities, located
of biodiversity, as natural habitats rich with a variety of directly along water courses. These habitats can play a
species are replaced by homogeneous cropping systems. critical role in protecting water quality in agricultural
Urban areas, which are also managed systems, are not and urban landscapes. Wetlands can themselves serve as
immune to these problems. In cities, lawns serve as very eff ective buff ers, treating contaminated water
sources of pollutants, building construction contributes before it enters rivers, lakes, or oceans. Field margins or
49

hedgerows are located along the borders of crop fields in improve the safety of drinking water and reduce the deg-
agricultural areas, and they serve an important function radation of recreational waters. Buffers reduce flooding
in reducing soil erosion and offering habitat for wildlife. by infi ltrating water and retaining flood water within
Windbreaks or shelterbelts typically contain trees or shrubs wetlands. The result is a reduced hazard for people and
to reduce wind erosion and protect crops, livestock, or less damage to built structures following flooding events.
homesteads from the harsh weather conditions. Grass Trees and shrubs in buffers can also fi lter dust and
filter strips are designed to intercept contaminants from unpleasant odors from the air, including around large
storm-water runoff before it enters a water body. In urban livestock facilities. When they work as part of a greenway
settings, features such as vegetative swales, rain gardens, system, buffers can serve as corridors for wildlife as well
and constructed wetlands serve as buffers, if they are as for people. They also offer important visual-quality
located between a source of storm-water runoff and a benefits by greening the space, diversifying the landscape
sensitive water body. structure, and screening views of undesirable features. In
addition to protecting recreational features, buffers can
themselves provide recreational opportunities such as
Benefits of Buffers hunting, hiking, and bird-watching.
In the context of managed systems, buffers offer many

benefits for the environment and society in general. They Barriers to Buffer Adoption
have the potential to reduce a number of negative impacts
on our natural resources that result from current farming Despite the extensive benefits of buffers, many obstacles
practices and urban development. Buffers reduce soil loss limit their widespread adoption. First is the cost of lost
resulting from wind and water erosion, because the opportunities from competing land uses, many of which
perennial plants with extensive root systems help to sta- offer greater potential for profit. In rural areas, this is
bilize the soil and infi ltrate water. Taller plantings, par- typically the yield from crops that would be grown on the
ticularly trees, reduce the wind current that can carry area used for a buffer. Some farmers are tempted to use
uncovered topsoil. Buffers also protect water supplies by the buffer area for grazing livestock, but this can reduce
intercepting fertilizers, herbicides, heavy metals, and the integrity of the buffer by compacting the soil, limit-
other contaminants from storm-water runoff from crop ing the growth of vegetation, and allowing nutrient-rich
fields, residential lawns, or impervious surfaces. The manure to be deposited near sensitive sources (i.e., rivers).
mechanisms for treating storm water can include physical In urban areas, the values of competing land uses are
fi ltration of sediment-bound materials, chemical or bio- even greater, with opportunities for residential or com-
logical transformation of materials in soils, and uptake of mercial development. Th is issue is particularly critical in
materials by vegetation. Performance in removing pollut- the areas surrounding scenic lakes and rivers, where land
ants, therefore, varies substantially depending on the values are often relatively high. Even in a floodplain,
chemical structure and soil binding properties of the where development is not practical, nearby residents
material. Research studies have shown buffers to be sometimes oppose the establishment of treed buffers
effective in capturing significant fractions of nitrogen, because they obstruct the scenic view.
phosphorus, heavy metals, soil-bound herbicides, and A second barrier to expanding the adoption of buffers
organic materials. is related to the direct costs of establishing and maintain-
While the primary function of buffers is typically to ing them. Some buffer types require expensive earth-
improve water quality by reducing erosion and intercept- moving equipment to grade the site to convey or retain
ing pollutants, buffers offer many other environmental water. For many buffers (particularly those located in
benefits. The perennial vegetation in buffers, often con- riparian zones), native trees, shrubs, and herbaceous veg-
sisting of many different species, increases the biodiver- etation must be purchased to develop the appropriate
sity of flora and fauna, while also offering habitat for plant community. Initial establishment may also involve
wildlife. With riparian vegetation, wildlife and aquatic labor and materials to install barriers to protect the young
organisms benefit from a more favorable microclimate plants from grazing and browsing by wildlife. After the
(regulation of light and temperature), which provides buffer is established, additional costs may be incurred by
greater access to food and water. Buffers can also serve as the maintenance of mowing, weed control, and sediment
corridors to connect natural habitats and support the dis- removal. The cost of establishing and maintaining a
persal of organisms between fragmented patches. buffer may need to be covered by public funds, through
In addition to the environmental benefits of buffers, subsidies to landowners or some other program.
they provide a range of other benefits for society. The This leads to the third barrier—the role of the govern-
water-quality benefits of buffers, for example, can ment or nongovernmental agencies in allocating funds

BUFFERS • 51
for buffers, which provide public benefits. In much of bird-watching or hunting. Buffers designed to support
North America and Europe, programs have been estab- the visual quality preferences of the landowners, nearby
lished to subsidize buffers (along with other conservation residents, and other stakeholders might be more widely
practices), particularly in rural areas where agriculture is adopted and protected for the long term. Where scenic
the dominant land use. Programs such as the views are important, for example, the buffers might be
Conservation Reserve Program (CRP) in the United designed with openings consisting of short shrubs or
States or agri-environmental programs in Europe are herbaceous plants, allowing taller vegetation to frame the
designed for this purpose. Agri-environmental programs views. In agricultural landscapes, farmers and other
reward farmers for environmentally friendly manage- landowners often prefer buffer designs that demonstrate
ment practices such as establishing riparian zones or an ethic of stewardship, with well-managed vegetation
wetlands, enhancing hedgerows, and conserving areas that reflects the organization of the cropping systems.
with high biodiversity. Landowners, however, are often Educational, artistic, and historic components might be
resistant to allowing the government to play a role in the integrated into the design, particularly in urban areas
land-use decisions, since the programs often involve mul- where it is important to have the support of many user
tiyear contracts. In many other countries, nongovern- groups to establish and maintain buffers. The cultural
mental agencies often play an important role in promoting functions will depend to a great extent on the local land-
buffers to protect natural resources by supplying landowners and residents, as well as the context of the site.
owners with planning tools, providing labor to help with The regional context of buffers can play a very critical
establishment or maintenance, or even purchasing the role in the success of the design, so consideration should
land directly to convert to buffers. Even in that situation, be given to the primary environmental issues, competing
landowners (particularly smallholders) may still be skep- land uses, and preferences of stakeholders. In tropical
tical of strategies that appear to allow another organiza- regions, for example, deforestation drives a very specific
tion to control the land-use decisions. need to reduce erosion and protect water resources, par-
ticularly for vulnerable rural communities. There the
focus is often on reestablishing stream corridor vegeta-
Landscape Design Considerations tion. In Africa, buffers have been used to reverse some
problems created by land degradation from deforestation
The obstacles to expanding the use of buffers may be and improper use of herbicides, while at the same time
partially addressed through landscape design by focusing trying to optimize systems so they do not compete with
on opportunities to optimize buffer performance, while production of valuable food resources. In regions where
also considering the preferences of stakeholders. much of the native vegetation was replaced with intro-
Important factors for buffer design include overall size, duced species, such as parts of New Zealand, the interest
placement within the landscape, and selection of plant in reestablishing native plants along streams and wet-
species. Water quality benefits, for example, will only be lands in urban and urban fringe areas has driven the
incurred if the system is designed to convey water through design and establishment of buffers. Some regions have
vegetation or retain water long enough to allow treatment. tied the establishment of buffers directly to locally impor-
Riparian zones are often considered to be the best loca- tant endangered species. Buffers have been promoted in
tion for treating water before it enters a water course, but the US Pacific Northwest to improve habitat and reduce
if the area of land has been constructed with tile drains, pesticides that harm salmon, which are a highly valued
the water may bypass the buffer treatment system alto- species—both economically and ecologically. In Europe,
gether. If the primary function of the buffer is to fi lter hedgerows and other buffer types have been recognized
odor and dust from the air, the vegetation must be located and promoted for the positive impact they have on the
downwind of the source area. In order to serve as corri- aesthetics of the countryside landscape, which impacts
dors, the buffer should be designed to connect natural agritourism in the region. Around the world, buffers have
habitat areas. Overall, the buffer design will depend to a been used regularly to protect water resources, but their
great extent on the primary functions to be fulfilled. implementation is often more successful when tied to
Not only are the ecological functions important to other specific goals that fit with the interests and prefer-
consider, but cultural and social functions might also be ences of the people living there.
supported by good buffer design. These functions might
include recreation, visual quality, education, artistic Outlook for the Future
expression, and historic preservation. Recreational
opportunities can be supported by integrating trails or Several trends are likely to impact the adoption and design
pathways through buffers, and by establishing vegetation of buffers in managed systems in the future. First is the
that would draw in birds and other wildlife for growing interest in developing landscapes to be sustainable

and multifunctional. Buffers should be considered as a Landscape Planning, Large-Scale; Rain Gardens;
standard layer of rural and urban landscape planning. Stormwater Management; Tree Planting; Viewshed
Even the design of individual buffer features can be con- Protection
ceived in a way that supports many more functions and
synergizes conservation goals. Tree and shrub species in
buffers, for example, might be selected to offer edible fruits FURTHER READING
and nuts that can be harvested by the landowner or users Haycock, N. E.; Burt, T. P.; Goulding, K. W. T.; & Pinay, G. (Eds.).
of the site. Increasingly, the interest in integrating biofuel (1997). Buffer zones: Their processes and potential in water protec-
tion. The Proceedings of the International Conference on Buffer Zones.
production in the more sensitive and less productive areas Harpenden, UK: Quest Environmental.
has been considered. This strategy could be appropriate if Hellmund, Paul C., & Smith, Daniel S. (2006). Designing greenways—
the biofuel crops are native perennial plants with very low Sustainable landscapes for nature and people. Washington, DC:
likelihood of invasiveness, and they would not be replacing Island Press.
Lovell, Sarah T., & Johnston, Douglas M. (2009). Designing land-
another important plant community. scapes for performance based on emerging principles in landscape
A second trend with buffers is to improve their perfor- ecology. Ecology and Society, 14 (1), 44.
mance (typically related to water quality) using advanced Lovell, Sarah T., & Sullivan, William C. (2006). Environmental ben-
technologies such as specialized filters containing materi- efits of conservation buffers in the United States: Evidence, prom-
ise, and open questions. Agriculture, Ecosystems and Environment,
als that have a high capacity for absorbing pollutants. 112, 249–260.
Recycled steel slag, for example, has been used to remove Lowrence, Richard R.; Dabney, Seth M.; & Schultz, Richard. (2002).
high levels of phosphorus through subsurface-flow con- Improving water and soil quality with conservation buffers. Journal
structed wetlands. As new technologies for water treat- of Soil and Water Conservation, 57(2), 37A–43A.
Mayer, Paul M.; Todd, Albert H.; Okay, Judith A.; & Dwire, Kathleen
ment become available, they are likely to be integrated into A. (2010). Introduction to the featured collection on riparian
the design of buffers. Finally, future strategies to increase ecosystems & buffers. Journal of the American Water Resources
the adoption of buffers will probably encourage greater Association, 26(2), 207–210.
participation from a wide range of stakeholders, including Meurk, Colin D., & Hall, Graeme M. J. (2006). Options for enhanc-
ing forest biodiversity across New Zealand’s managed landscapes
coordinated efforts among multiple landowners. based on ecosystem modeling and spatial design. New Zealand
Participatory planning approaches have been shown to Journal of Ecology, 30 (1), 131–146.
encourage commitment from stakeholders, increase satis- Schultz, Richard C.; Kuehl, Amy; Colletti, Joe P.; Wray, Paul;
faction with results, build trust in the process, and create Isenhart, Tom; & Miller, Laura. (1997). Riparian buffer systems
(Publication Pm-1626a). Ames: Iowa State University Press.
more realistic outcomes. These trends, taken together, Sullivan, William C.; Anderson, Olin M.; & Lovell, Sarah T.
could have a significant, positive impact on the contribu- (2004). Agricultural buffers at the rural-urban fringe: An exami-
tion buffers make in protecting our natural resources. nation of approval by farmers, residents, and academics in the
Midwestern United States. Landscape and Urban Planning, 69,
Sarah Taylor LOVELL 299–313.
University of Illinois, Urbana–Champaign United States Department of Agriculture—Natural Resources
Conservation Service. (2000). Conservation buffers to reduce pes-
See also Agroecology; Biodiversity; Biological Corridors; ticide losses. Retrieved May 11, 2010, from http://www.in.nrcs.
usda.gov/technical/agronomy/newconbuf.pdf
Brownfield Redevelopment; Community Ecology; Yuan, Yongping; Bingner, Ronald L.; & Locke, Martin A. (2009). A
Ecological Restoration; Habitat Fragmentation; review of effectiveness of vegetative buffers on sediment trapping
Hydrology; Irrigation; Landscape Architecture; in agricultural areas. Ecohydrology, 2 (3), 321–336.

Carrying Capacity
Carrying capacity has been used to assess the limits of into a single definition probably would be “the maximum
a wide variety of things, environments, and systems to or optimal amount of a substance or organism (X ) that
convey or sustain other things, organisms, or popula- can or should be conveyed or supported by some encom-
tions. Four major types of carrying capacity can be dis- passing thing or environment (Y ).” But the extraordinary
tinguished; all but one have proved empirically and breadth of the concept so defined renders it extremely
theoretically flawed because the embedded assump- vague. As the repetitive use of the word or suggests, car-
tions of carrying capacity limit its usefulness to rying capacity can be applied to almost any relationship,
bounded, relatively small-scale systems with high at almost any scale; it can be a maximum or an optimum,
degrees of human control. a normative or a positive concept, inductively or deduc-
tively derived. Better, then, to examine its historical ori-
gins and various uses, which can be organized into four
T he concept of carrying capacity predates and in many

ways prefigures the concept of sustainability. It has
been used in a wide variety of disciplines and applica-
principal types: (1) shipping and engineering, beginning
in the 1840s; (2) livestock and game management, begin-
ning in the 1870s; (3) population biology, beginning in
tions, although it is now most strongly associated with the 1950s; and (4) debates about human population and
issues of global human population. The idea that Earth “overpopulation,” also beginning in the 1950s. Carrying
has a finite ability to support humans, and that exceeding capacity continues to be used in all these senses, but in all
that limit will result in famine or other cataclysms, is at except the fi rst, it has been forcefully criticized and
least three hundred years old (Cohen 1996). British polit- largely discredited among scholars, often after a lengthy
ical philosopher William Godwin’s estimate of 9 billion, period of enthusiastic use in both research and policy
published in 1820, may seem prescient today. The term making. Its widespread popular use and continuing trac-
carrying capacity was not coined until the middle of the tion in public debates stand in sharp contrast to these
nineteenth century, however, and it was not originally critiques.
conceived in relation to population at all. Rather, it
emerged in the context of international shipping and
subsequently was applied in a series of other fields— Shipping and Engineering
including engineering, range and wildlife management,
agriculture and anthropology, and fi nally biology— The earliest use of carrying capacity is the most literal,
before neo-Malthusians took it up in the second half of and it has been partially supplanted by other terms such
the twentieth century. An understanding of this history as payload. It referred first to the amount of cargo that a
sheds valuable light on the limits of carrying capacity as ship could carry, measured in volume. Th is measurement
a tool for evaluating and managing humanity’s impacts served a specific purpose in the context of international
on Earth. trade in the 1840s, when steam propulsion was overtak-
Intuitively, carrying capacity is a simple relation or ing the older, wind-powered technology of sailing ves-
ratio: the quantity of some X that a given (amount of) Y sels. Previously, tariffs and duties had been imposed on
can “carry.” The myriad uses of carrying capacity distilled cargo ships in terms of their “tonnage,” a measure of
54

CARRYING CAPACITY • 55
volume descended from casks of wine known as tuns. A and object. Livestock, previously a Y that carried an X,
ship’s hull was measured to compute its overall volume, became instead an X “carried” in the sense of “supported
crews’ quarters were deducted, and the resulting figure or sustained by” a new Y: pastures or land. Scientists in
was used to assess levies on all of that ship’s voyages, Australia and New Zealand appear to have been the fi rst
regardless of the amount of cargo it carried on any to use carrying capacity in this way, as they struggled to
particular trip. determine how many sheep and cattle these British pos-
Although somewhat imprecise, this method was a sessions could reliably produce on their recently settled
reasonably accurate way of calculating the volume of frontiers. Carrying capacity helped administrators allo-
cargo a sailing ship could transport, because the hull was cate rangelands to as many settlers as possible while
wholly available for cargo. With the rise of steamships, simultaneously avoiding overstocking. The idea quickly
however, the tonnage system appeared faulty, at least to caught on in the United States, which experienced
those whose interests lay in the newer technology— calamitous episodes of rangeland degradation in the
notably the British, whose steam-powered merchant 1890s, especially on the unclaimed public domain and in
marine fleet led the world. Steamships had to devote areas prone to drought. Between 1905 and 1946, the gov-
much of their “tonnage” to coal and fresh water (to gen- ernment implemented a system of leases for the vast areas
erate steam), and to the huge boilers and engines that of land the Forest Service and the Bureau of Land
propelled them and gave them decisive advantages over Management held, in which carrying capacity served the
sailing ships (e.g., speed, power, and independence from key role of measuring the number of stock and the
the vagaries of the wind). It seemed unfair to pay levies amount of time they could be grazed each year in fenced
on this portion of a ship’s volume, as it could not be used areas known as allotments. These measurements were
to transport cargo. Carrying capacity was invented to averages calculated over periods of years, often extrapo-
capture this distinction and provide an alternative basis lated from study sites to much larger areas of similar
for tariffs and duties. climate, soils, and vegetation.
Around 1880, carrying capacity began to be used to The US conservationist Aldo Leopold, who worked
measure other human constructions, including canals, for the Forest Service’s Office of Grazing in 1914–1915,
railroads, pipelines, irrigation systems, hot air balloons, extended this use of carrying capacity from livestock to
lightning rods, and electrical transmission lines (Sayre game animals. He formalized the concept in his famous
2008). No longer limited to shipping, it served the practi- 1933 textbook, Game Management, the founding work of
cal need of engineers and public planners to know how the discipline now known as wildlife management.
much X a particular Y was designed to carry without Leopold understood carrying capacity as an attribute of
exceeding its tolerances. As in the case of shipping, it was a piece of land (rather than a particular animal species)
possible to determine such limits with reasonable preci- and as a function of multiple variables—including vege-
sion and accuracy; they were static, fi xed by the design tation, weather, predation, competition, and disease—
and materials used; and they were ideal—that is, they that together determined the size of a local wildlife
referred not to the amount of X actually carried by Y at a population by affecting reproduction and survival. By
given point in time, but the amount that could or should identifying the limiting or deficient variable and manipu-
be carried. These features—numerical expression, stasis, lating it to improve the carrying capacity, the game man-
and idealism—gave carrying capacity its analytical power ager could achieve conservation and optimize game
and have persisted in subsequent uses of the term (Sayre populations for human uses such as hunting and fishing.
2008). Leopold’s ideas influenced wildlife management in the
United States and abroad for most of the twentieth cen-
tury, resulting in many notable successes in sustaining
Livestock and Game Management popular species of game and fish, but also many outcomes
that are now regretted by conservation biologists, such as
Carrying capacity was transferred to the measurement of the introduction of non-native species and the loss of
living organisms and natural systems beginning in the biodiversity (Botkin 1990).
1870s: how much X a human or a pack animal could In both range and wildlife management, scholars in
carry; the amount of pollen carried on the legs of bees; the second half of the twentieth century began to critique
the moisture carried by prevailing winds; the floodwaters carrying capacity, due primarily to practical shortcom-
that a river channel could carry. These were not engineer- ings and on-the-ground failures. International develop-
ing questions, but they shared the literal sense of some- ment projects aimed at replicating the US model of range
thing “carrying” another thing from one place to another. leases, fences, and carrying capacities in Africa and other
The second type of carrying capacity emerged from a developing world areas routinely failed, in part because
more figurative notion that transposed the earlier subject fi xed carrying capacities, based on averages of rainfall or

forage production, overlooked the large year-to-year vari- and starlings in the United States. The pattern similarity
ability of many rangelands (Behnke, Scoones, and helped validate the logistic curve empirically, while the
Kerven 1993). The same problem occurred in wildlife difference between values of K in the lab and the field
management: if actual habitat conditions varied from suggested that actual environments imposed restrictions
place to place and year to year, and wildlife populations on population growth, which Odum termed “environ-
both responded and contributed to these changes, then mental resistance.” Second, by expressing population
carrying capacity was merely an ephemeral or local growth as an equation, the logistic curve allowed scien-
descriptor rather than a predictive or prescriptive tool for tists to develop mathematical models of organism-
management. In shifting from engineered to natural sys- environment interactions for single or multiple species.
tems, carrying capacity lost its static and ideal qualities They could test the models in lab experiments or compare
and therefore much of its coherence and usefulness. them to field data, informing both management and
research.
As in range and wildlife management, carrying capac-
Population Biology ity in population biology eventually proved faulty.
Although the sigmoid curve could indeed be found in
The third type of carrying capacity emerged from labora- field settings, the actual value of K varied over time and
tory experiments in which scientists observed population space. Odum had conceded that “one should not use the
growth in carefully controlled environments. Provided sigmoid curve to predict the maximum size of future
with optimal conditions of temperature, food, and so populations of man or organisms unless one is sure that
forth, populations of flour beetles and fruit fl ies grew the carrying capacity of the environment will remain
slowly at fi rst, then accelerated, and then slowed in largely unchanged during the interval” (1953, 125). This
asymptotic fashion toward a stable upper limit at which condition is rarely if ever met outside of the lab, however,
births and deaths balanced each other. When graphed, except over very short time periods and in small or clearly
the line had a sigmoid shape, like a stretched-out S. These bounded settings such as ponds or islands. It follows that
experiments took place in the 1920s, and the US biologist models built on the logistic curve are unlikely to yield
Raymond Pearl, who helped pioneer the research, also robust predictions of actual population dynamics. As the
rediscovered the forgotten work of the nineteenth- US ecologist Daniel Botkin noted, “[L]ogistic growth
century Belgian mathematician Pierre-François Verhulst, has never been observed in nature” (1990, 40), and fifty
who had found a similar pattern in human population years of research has found little or no empirical support
statistics and had quantified it as “the logistic curve” for the concept of carrying capacity (see also Hutchinson
(Hutchinson 1978). 1978).
As population biology grew into a new scientific field,
the logistic curve provided scientists with a way to rede-
fi ne carrying capacity as a core concept that linked Neo-Malthusianism
research, theory, and application. In his famous textbook,
Fundamentals of Ecology, the US ecologist Eugene Odum The fourth type of carrying capacity emerged concur-
(1953) called Pearl’s and Verhulst’s asymptote “carrying rently with the third, and it drew on many of the same
capacity” or, in mathematical language, K. Because sci- scientific developments. It applied the concept to human
entists observed K under ideal environmental conditions, populations, however, and at much larger scales—
they took it as the maximum possible population of an countries, continents, and the world as a whole—with a
organism, independent of the environment. Odum thus view to influencing not scholars but policy makers and
reversed Leopold’s view that carrying capacity was an the public at large. Buttressed by the scientific authority
attribute of particular places or habitats, defi ning it of ecology, this final kind of carrying capacity helped to
instead as a fi xed attribute of species themselves. In a revive the arguments made famous in T. Robert Malthus’s
fi xed, ideal environment, one could observe fi xed, ideal Essay on the Principle of Population (1798).
carrying capacities. Carrying capacity had been applied to human popula-
This new carrying capacity enabled major advances in tions before. In addition to his scientific work, Raymond
applied and theoretical population biology for two rea- Pearl had been active in debates in the 1920s and 1930s
sons. First, it provided a benchmark or baseline against about eugenics, birth control, and the specter of over-
which to evaluate population dynamics in field settings. population—although he had not employed the term
Odum noticed that the logistic curve also approximated carrying capacity. And in the 1940s, the British colonial
patterns observed when a new species arrived (or was administration of Northern Rhodesia (now Zambia) used
introduced) in previously unoccupied habitats: sheep in soils maps, agricultural data, and population statistics to
Tasmania, pheasants on Protection Island, Washington, calculate the carrying capacities of different portions of

CARRYING CAPACITY • 57
the colony for various forms of native farming. It relo- neo-Malthusians such as Garrett Hardin (1968, 1986)
cated some fifty thousand native Africans on the basis of and Paul and Anne Ehrlich (1990).
the results (Allan 1949). The work went on to inform The concept of carrying capacity originated in con-
research by anthropologists studying native agricultural texts in which human control can be effectively wielded
practices elsewhere in Africa and beyond. over discrete objects and bounded systems at small to
Ecologists enlarged and popularized carrying capacity medium scales such as a ship, a city, or a transportation
as a tool for promoting population control beginning with system. In such settings, a quantified, static, and ideal
the US ecologist William Vogt’s popular 1948 book, Road measurement of limits was both desirable and achiev-
to Survival. Vogt was an ornithologist who spent World able. As carrying capacity spread to other applications,
War II doing rural reconnaissance for the US government however, these conditions were difficult or impossible to
in South and Central America. His book sounded a plea meet, except in laboratory experiments. Scholars in a
for conservation and development to improve the lives of wide range of social and environmental sciences con-
poor people throughout the world, both for their own cluded long ago that it is fundamentally fl awed. The US
sake and as a means to support the United States in the anthropologist Stephen Brush (1975, 806) summarized
global struggle against communism. He built his argu- the problem: “the principal empirical weakness of the
ments around what he called a “bio-equation”: C 5 B : E, concept of carrying capacity lies in
in which C stood for carrying capacity, the fact that the theory of homeo-
B for biotic potential, and E for envi- stasis inherent to the concept is
ronmental resistance (Sayre 2008). neither testable nor refutable.”
He applied the equation to the Similarly, the famous Anglo-
world’s continents and concluded American zoologist G. Evelyn
that all but North America and Hutchinson (1978, 21) offered
Antarctica had already exceeded this judgment in 1978: “When
their carrying capacities, as evi- the possible value of K is con-
denced by poverty, malnutrition, stantly increasing, Verhulst’s
soil erosion, and other forms equation loses its value.”
of environmental degradation. The limits of carrying capacity as
Humanity faced a stark choice: a concept have direct relevance to
raise the carrying capacity by debates about sustainability today.
reducing environmental resistance Given its flaws, the question that must
through conservation and agricul- be asked is why the concept of carrying
tural modernization or risk “the sear- capacity has persisted. Th is is due in
ing downpour of war’s death from part, no doubt, to the concept’s intui-
the skies” (Vogt 1948, 16). tive obviousness: everyone can under-
Vogt’s concept of carrying stand the idea that a ship can carry
capacity contained the same only so much cargo, or that a pasture
fl aws as its predecessors’ ideas can support only so many livestock, and
had. As in Odum’s case, the so forth. Also important is the authority
idea of environmental resistance various advocates gave carrying capacity along
was tautological, because it purported the way, before empirical evidence caught up with early
to explain something that arose necessarily from an enthusiasm. Finally, agencies of the state embraced and
ideal, fi xed concept of carrying capacity: namely, the promoted most of the uses of carrying capacity as they
disparity between that ideal and actual empirical cases. sought to measure, regulate, tax, plan, allocate, or other-
The very fact that humans could change their environ- wise control people, commerce, land, wildlife, and natu-
ment, and thereby raise (or lower) the carrying capacity, ral resources of various kinds. But such control is elusive
meant that Vogt’s bio-equation could really produce when sought over large, complex, and unbounded sys-
only ephemeral and local inductive conclusions, just as tems that are poorly understood and difficult or impos-
with wildlife. As the US geographer Nathan Sayre sible to control. The history of the concept of carrying
(2008, 131) concludes, “If carrying capacity is conceived capacity teaches us that ideal, static, quantitative limits
as static, it is theoretically elegant but empirically vacu- are extremely unlikely to exist in such cases; the same is
ous; but if it is conceived as variable, it is theoretically probably true for sustainability.
incoherent or at best question-begging.” These weak-
nesses did not prevent Vogt’s arguments from recurring, Nathan F. SAYRE
in remarkable detail, in the works of subsequent University of California, Berkeley

See also Community Ecology; Complexity Theory; Cohen, Joel E. (1996). How many people can the Earth support? New
Ecosystem Services; Fisheries Management; Global York: W. W. Norton.
Ehrlich, Paul R., & Ehrlich, Anne H. (1990). The population explosion.
Climate Change; Extreme Episodic Events; Human New York: Simon and Schuster.
Ecology; Natural Capital; Population Dynamics Hardin, Garrett. (1968). The tragedy of the commons. Science, 162,
1243–1248.
Hardin, Garrett. (1986). Cultural carrying capacity. Retrieved July 16,
2007 from http://w w w.garretthardinsociet y.org/articles/
FURTHER READING art_cultural_carrying_capacity.html.
Allan, William. (1949). Studies in African land usage in Northern Hutchinson, G. Evelyn. (1978). An introduction to population ecology.
Rhodesia . Rhodes-Livingstone Papers no. 15. London: Oxford New Haven, CT: Yale University Press.
University Press. Leopold, Aldo. (1933). Game management. New York: Charles
Behnke, Roy; Scoones, Ian; & Kerven, Carol. (Eds.). (1993). Range Scribner’s Sons.
ecology at disequilibrium: New models of natural variability and pasto- Odum, Eugene P. (1953). Fundamentals of ecology (1st ed.). New York:
ral adaptation in African savannas. London: Overseas Development W. B. Saunders Co.
Institute. Sayre, Nathan F. (2008). The genesis, history, and limits of carrying
Botkin, Daniel B. (1990). Discordant harmonies: A new ecology for the capacity. Annals of the Association of American Geographers, 98,
twenty-first century. New York: Oxford University Press. 120–134.
Brush, Stephen B. (1975). The concept of carrying capacity for systems Vogt, William. (1948). Road to survival. New York: William Sloane
of shifting cultivation. American Anthropologist (new series), 77, Associates.
799–811.

Catchment Management
A catchment is another term for a watershed or river strategy contrasts with one that addresses and manages
basin. Catchment management recognizes that each of these areas separately on a short-term, site-
the land, water, and ecosystems in the catchment specific basis—an approach that leads to fragmented and
are interconnected and therefore tries to manage often counterproductive treatment of resources. Holistic
these elements as a whole instead of individually. catchment management is a much more sustainable and
This approach to conserving land and water resources effective way to deal with the many factors that need to
is being used more and more, but an “implementa- be considered.
tion gap” presents challenges to more widespread
adoption.
Water Quantity
Incidents of flooding have been increasing because of
A river catchment (also known as a river basin or
watershed) is the land area that drains into a single
river’s system of tributaries. It is the basic unit for study-
climate change and urban encroachment into floodplain
areas. The report Future Flooding (UK Office of Science
ing river systems. A catchment is an open system made and Technology 2004) states that 4 million people and
up of fluxes (areas where elements flow through the sys- £200 billion worth of assets in the United Kingdom are
tem) and stores (areas where elements are stored in the at risk in a once-in-a-hundred-years flood event. In the
system). Water and sediment are the main elements that United Kingdom there are several individual policies,
flow through a catchment area, and they in turn pass which have gone through different phases, directly
through a series of stores, such as clouds, soil, vegetation, focused on flood management. In the 1930s fields were
river channels, and sometimes aquifers. Catchments are drained to aid agricultural intensification (the use of
complex mosaics where all components of the system marginal land and cultivation throughout the whole
are connected to one another, and management of the year), and catchment boards were established to fund and
whole system must consider not only the natural pro- coordinate these programs. During the 1970s and 1980s,
cesses that take place, but also how they interact with flood management was addressed with engineering solu-
human social, economic, and political actions. tions, including channel modification, straightening, and
embanking. These programs employed local fi xes to
address specific problems, and often simply forced flood-
Integrated Management ing to occur in other locations. In more recent decades,
Considerations the flood-control paradigm has shifted from structural
defenses to sustainable flood management (Werritty
Catchment management attempts to manage a river’s 2006). Formal policies in the United Kingdom include
whole system at the watershed level in an integrated and Making Space for Water, which encourages reconnection
holistic way. It is a multi-objective approach to manage- of rivers to their floodplains, as well as Learning to Live
ment that takes into account water quantity (i.e., floods with Rivers, the Floods Directive, and the River Basin
and droughts), water quality, sediment transport, and Management Plans, the last of which is required by the
aquatic and terrestrial biodiversity. Th is comprehensive European Union (EU) Water Framework Directive. All
59

of these policies concentrate on flood risk management at lost to production, however, and so land costs can be a bar-
the catchment scale. rier to establishing these areas.
Water Quality
Expansion of Integrated
The main policy for managing water quality in Europe Management
is the European Water Framework Directive, which
sets a goal of achieving “good” ecological status (as Scientists and policy makers have come to realize that
defi ned by the Water Framework Proposal) by 2015. changes at the local level can have much broader conse-
River pollution comes from either point sources, such as quences, and that different elements of an ecosystem (for
sewage-treatment works and industrial outfalls, or dif- example, sediment delivery and water quality) are nested
fuse (also called nonpoint) sources, such as agricultural and linked. As a result, management that in the past
fields and urban stormwater runoff. Regulation of point would have been limited to certain aspects of rivers is
sources is much easier, and over the past couple of now evolving to include landscapes and multiple land
decades these have been managed stringently with uses. An advantage of this kind of holistic management
agreements (e.g., discharge consents from industry) and is that a plan intended to mitigate one problem can be
laws such as the Clean Water Act in the United States. designed to produce multiple benefits—as opposed to
Diff use pollution, however, remains a widespread prob- unintended negative consequences—for other catchment
lem. Amendments to the Clean Water Act that were functions.
passed in 1987 addressed some nonpoint sources (e.g., Holistic management programs were first used in the
municipal stormwater runoff ), but agricultural runoff is early part of the twentieth century. The Canadian prov-
still mostly exempt from regulation, and in general non- ince of Ontario established catchment-based conserva-
point source pollution control still lags way behind tion authorities as early as the 1940s, and currently there
point-source control. are thirty-eight of them, although their effectiveness has
been impacted by budget cuts and the overlapping
Sediment Issues authority of other government organizations. The US
Sediment aggradation and degradation—situations in government engaged in river-development activities
which the level of a streambed is altered through sedi- (such as dam building, navigation improvements, and
ment deposition or sediment erosion, respectively— power production) at the catchment level in the 1930s
increase the risk of floods, cause bank erosion, and and 1940s as well, but the broader impact of these activi-
impact fish and invertebrate habitats negatively. These ties on the river basin was not considered in a long-term,
problems are particularly prevalent in areas down- sustainable fashion.
stream of dams, where there are sediment deficits due New Zealand began to manage at the catchment
to sediment being stored in reservoirs. The reach down- scale during the International Hydrological Decade
stream of the Hoover Dam in the United States has (1964–1975), establishing distinct hydrological regions
degraded by up to 7.5 meters, with up to 120 kilome- and benchmark catchments. New Zealand’s program
ters being affected (Owens 2005). Sustainable manage- recognized the need to focus management on the source
ment of sediment transport would correct for sediment of the problem rather than trying to cope with the impact
that is lost by helping to achieve a level that is natural downstream. In recent decades catchment-scale manage-
for the river. ment has declined as regional councils have taken over
the responsibility for oversight. Meanwhile, Australia
has adopted “total catchment management” (also known
Biodiversity
as integrated catchment management), which consists
Catchments, especially riparian areas (areas where land of multiple organizations working together to achieve
and water meet), provide a diverse habitat for multiple spe- their separate objectives. Th is arrangement has success-
cies, both aquatic and terrestrial. Therefore, the entire fully addressed some of the problems of fragmented
landscape needs to be managed to maintain this biodiver- management, such as overlapping authority and dupli-
sity. Recent decades have seen steps forward in riparian cation of work.
management. For instance, riparian buffer strips have been Widespread international support for an integrated
established in many watersheds to help slow high runoff, approach to water management came in 1992 with the
thereby helping to prevent floods and limit the transport Dublin Principles and Agenda 21, the latter of which
of contaminants into the river system. Riparian buffers encouraged sustainable management of the whole envi-
also provide good habitats for many species. Farmers and ronment and considered stakeholder participation to be a
other landowners often demand compensation for the land key aspect of successful programs. The World Water

CATCHMENT MANAGEMENT • 61
Council and the Global Water Partnership also recom- management responsibilities for particular parcels, and
mended at that time that governments adopt a more inte- water companies that manage water supplies for human
grated approach to management of both water and land use. China has an administrative structure similar to the
resources. United Kingdom in that different catchment issues are
More recently, the main driver for the adoption of covered under different laws and managed by different
catchment management within the EU has been the organizations—for example, surface water is managed by
Water Framework Directive, which was adopted in 2000. the Ministry of Water Resources, while groundwater is
As discussed previously, it requires participating nations managed by the Chinese Geological Survey and the
to achieve “good” ecological status by 2015. Good eco- Ministry of Land and Resources.
logical status includes the biological, chemical, and The third problem is the “implementation gap”—the
hydromorphological (the shape, boundaries, and content recognition that integrated catchment management is
of a water body) aspects of the river ecosystem. Its River complex conceptually and therefore difficult to convert
Basin Management Plan, whose purpose is to identify all into practice (Watson 2004). Social and institutional
pressures on river catchments, will be updated every six constraints prevent the full application of current
years. For example, the 2009 draft Thames River Basin scientific knowledge, and although stakeholder partici-
Management Plan identified the need to address the pation is an important aspect of catchment manage-
pressures of securing sustainable amounts of water, ment, it currently falls short. Most management
reducing the impact of the built environment, and projects are still top-down, piecemeal, and intended to
addressing point source pollution. fi x specific problems in particular parts of the catch-
ment. Consultation is viewed as important, but it’s time
consuming and leads to confl ict over balancing the
Barriers to Integrated Management priorities of different groups. Moreover, there is still
confusion over exactly what “catchment management”
There are several barriers to widespread adoption of inte- means, and therefore gauging the success of projects is
grated catchment management. First of all, there is a difficult.
mismatch between environmental and political boundar-
ies, with the latter being more important when it comes
to catchment management (Witter, van Stokkom, and Future Outlook for Integrated
Hendricksen 2006). This makes the management of large Management
catchments—which consist of multiple administrative
units and often more than one country—particularly Recent decades have seen an increase in the adoption of
difficult. integrated catchment management, but it’s doubtful that
Second, different organizations are often in charge of it has been achieved fully in any major catchment in the
managing different parts of the catchment system world (Lerner and Zheng 2011). The concept is widely
(Lerner and Zheng 2011). In the United Kingdom, man- accepted and believed to be the best form of manage-
agement at the catchment level has been the norm since ment, but implementation is easier said than done. There
about 1990. The Environment Agency is responsible for is hope for the future however. The EU Water Framework
authorizing uses of water resources and managing flood Directive is still in its first adoption cycle, but it seems to
risk; different departments within the agency oversee be a good legislative tool in achieving holistic catchment
these areas, however, with a lack of coordination and management because it puts the catchment unit at the
integration among them. A second statutory nondepart- forefront of management and takes a multifunctional
mental public body, Natural England, is mainly respon- approach to management. Technological improvements
sible for the agricultural environment. It oversees such as remote sensing, geographical information sys-
agri-environmental stewardship programs, which are tems, and computer models are making catchment-scale
intended primarily to conserve biodiversity, enhance studies and management easier. There also has been an
landscape character, promote access to the countryside, increase in the number of interdisciplinary studies on
and protect natural resources by improving water quality catchment issues, which use the knowledge of researchers
and reducing surface runoff. Flood management is only a from different fields to examine these issues from differ-
secondary objective of Natural England’s programs, even ent angles. All of these developments are helping to
though reducing flood risk would benefit most land- change the status quo, in which users of the catchment
management options. There are also additional groups are isolated from those who manage it.
that control other aspects of catchment management,
including local governmental councils that are responsi- Ian PATTISON
ble for planning, national parks/trusts that have specific University of Southampton

See also Adaptive Resource Management (ARM); Jeff rey, P., & Gearey, M. (2006). Integrated water resources manage-
Agroecology; Best Management Practices (BMP); ment: Lost on the road from ambition to realisation? Water Science
and Technology, 53(1), 1–8.
Coastal Management; Dam Removal; Ecological Kemper, Karin; Blomquist, William; & Dinar, Ariel. (Eds.). (2010).
Restoration; Food Webs; Groundwater Management; Integrated river basin management through decentralization. Berlin:
Hydrology; Irrigation; Landscape Planning, Large- Springer.
Scale; Pollution, Point Source; Rain Gardens; Stormwater Lerner, David N., & Zheng, Chunmiao. (2011). Integrated catchment
management: Path to enlightenment. Hydrological Processes, 25(16),
Management; Water Resource Management, Integrated 2635–2640. Retrieved March 21, 2011, from http://onlinelibrary.
(IWRM) wiley.com/doi/10.1002/hyp.8064/abstract
MacLeod, Christopher J. A.; Scholefield, David; & Haygarth, Philip M.
(2007). Integration for sustainable catchment management. Science
of the Total Environment, 373, 591–602.
FURTHER READING Novotny, Vladimir. (2003). Water quality: Diff use pollution and water-
Bowden, William Breck. (1999, April 21–23). Integrated catch- shed management. Hoboken, NJ: Wiley.
ment management rediscovered: An essential tool for a new Owens, Philip N. (2005). Conceptual models and budgets for sedi-
millennium (paper, Manaaki Whenua Conference). Wellington, ment management at the river basin scale. Journal of Soils and
New Zealand. Retrieved March 21, 2011, from http://www. Sediments, 5(4), 201–212.
landcareresearch.co.nz/news/conferences/manaak iwhenua / Palanisami, K.; Suresh, Kumar D.; & Chandrasekaran, B. (Eds.).
papers/bowden.asp (2002). Watershed management issues and policies for the twenty-
DeBarry, Paul A. (2004). Watersheds: Processes, assessment, and manage- fi rst century. New Delhi: Associated Publishing.
ment. Hoboken, NJ: Wiley. UK Office of Science and Technology, Foresight Flood and Coastal
Downs, Peter W., & Gregory, Kenneth J. (2004). River channel man- Defence Project. (2004). Future flooding vol. 1: Future risks and their
agement: Towards sustainable catchment hydrosystems. London: drivers. Retrieved December 16, 2011, from http://www.bis.gov.
Arnold. uk/foresight/our-work/projects/published-projects/f lood-and-
Downs, Peter W.; Gregory, Kenneth J.; & Brookes, Andrew. (1991). coastal-defence/project-outputs/volume-1
How integrated is river basin management. Environmental Watson, Nigel. (2004). Integrated river basin management: A case for
Management, 15(3), 299–309. collaboration. International Journal of River Basin Management,
Falkenmark, Malin. (2004). Towards integrated catchment manage- 2 (4), 243–257.
ment: Opening the paradigm locks between hydrology, ecology Werritty, Alan. (2006). Sustainable flood management: Oxymoron or
and policy-making. Water Resources Development , 20 (3), new paradigm? Area, 38 (1), 16–23.
275–282. Witter, J. V.; van Stokkom, H. T. C.; & Hendriksen, G. (2006). From
Ferrier, Robert C., & Jenkins, Alan. (Eds.). (2010). Handbook of catch- river management to river basin management: A water manager’s
ment management. Chichester, UK: Wiley-Blackwell. perspective. Hydrobiologia, 565, 317–325.

Focusing public attention and conservation efforts on or becoming endangered, and increasing numbers of
large, popular endangered animals—charismatic species are heading for extinction, as is evident from
megafauna—has been seen as a way of obtaining fund- such sources as the United Nations Millennium
ing for projects and of blazing trails for the conserva- Ecosystem Assessment’s biodiversity report (2005)
tion of less popular species and their habitats. and the frequent reports on the status of the world’s
Detractors argue, however, that this approach diverts wildlife by the International Union for Conservation
resources away from more deserving causes and of Nature. The growing size of the human population
neglects the vast majority of species that are neither is placing demands on the world’s ecosystems, and
large nor popular. wildlife is being hit hard. Media and conservation
organizations often publicize this message through the
examples of a small suite of well-known endangered
T he term ecosystem management implies a holistic

approach to nature conservation—in other words,
managing ecosystems as a whole to achieve the goal of
animals, mostly large mammals—the so-called char-
ismatic megafauna. The question arises: is focusing on
charismatic megafauna helpful to wider sustainability
sustainable living. One might assume that all life efforts?
forms—vertebrate and invertebrate animals, plants,
fungi, and microorganisms—feature in the management
strategies of nature conservation agencies and in govern- What Is Charismatic Megafauna?
ment decisions. But the realities of politics and commu-
nity perceptions often narrow the way public policy The Australian Macquarie Dictionary defines charisma
issues are approached, and in the area of nature conser- (a Greek word, meaning gift) as “the special personal
vation the focus frequently contracts to a few large, well- qualities that give an individual authority over a large
known animal species (such as the koala shown above in number of people; ability to influence or impress people.”
a photograph by Daniel Lunney). What is it about the The same dictionary defines fauna as “the animals of a
nature of ecosystem management that makes it subject given region or period, taken collectively.” Fauna com-
to public preference for so-called charismatic animals, monly refers principally to vertebrates (animals with
and does this mean that it is a popularity contest, pan- backbones), although its meaning clearly includes the
dering to public appeal, and what kind of strictures are vast array of insects, mollusks, and other animals without
ecosystem managers under? These are critical gover- backbones. Because of this slant toward vertebrates, the
nance issues, and if not discussed, they become the term charismatic megavertebrate is also commonly used.
elephant in the room. Zoologists customarily classify vertebrates into fi ve
Th e phrase charismatic megafauna refers to large, groups: mammals, birds, reptiles, amphibians, and fishes.
well-known animal species that gain a disproportion- It follows that megavertebrates are large animals from
ate share of the public’s attention. Th e context for this these groups, such as elephants, whales, eagles, croco-
term is that much of the world’s wildlife is declining diles, bullfrogs, or sharks.
63

Big, Popular Mammals opening paper of that 1998 edition of Oryx , Jeff rey
McNeely makes a plea to find new ways of conserving
An early reference to charismatic megavertebrates mammals beyond research, survey, and anti-poaching,
appears in “Saving ‘Charismatic’ Animals,” an article saying that mammal conservationists need to tackle
published in the 22 April 1985 issue of Newsweek maga- underlying issues such as habitat destruction, overexploi-
zine. It both defi nes the concept, with examples, and tation, and introduced species. Morris thus points to the
presents a case for its use by one of the world’s leading tension of highlighting individual species versus address-
conservation biologists, Edward O. Wilson. Wilson’s ing root causes.
specialty is the study of ants, and thus his support for the Th is theme became the subject of a book by Abigail
concept lends extra weight in those zoological circles that Entwistle and Nigel Dunstone, Priorities for the
complain that popular vertebrates steal the limelight in Conservation of Mammalian Diversity—Has the Panda
the conservation debate. Had Its Day? (2000). The book notes that, since recent
analyses have shown that about a quarter of all mammal
The latest tactic acknowledges that public support species are threatened with extinction, the conservation
cannot be mobilized to save the snake mite—or movement is moving rapidly away from a traditional
thousands of other homely beasts. Instead, within “protectionist” approach to nature toward a more
the past year many wildlife conservationists have integrated view of wildlife and landscape conservation.
forged a policy of preserving and promoting “charis- The British magazine The Economist ran an article on
matic megavertebrates,” the pandas, tigers, okapis 7 January 2008 entitled “Branding Land: Conservation
and other glamorous rarities that rivet public senti- Marketers Choose Land over Beast,” which makes the
ment. If this is a rude repudiation of the conserva- point that although conservation organizations have long
tion purist’s all-or-nothing creed, it’s also a deftly understood the fund-raising value of charismatic mega-
plotted political practicality. “Th ere is a sense of fauna, the money raised to save these animals often can-
mission now, and of encouragement,” says eminent not be spent on broader conservation goals. The article
Harvard zoologist Edward O. Wilson. “Our most discusses an alternative response adopted by the
easily appreciated species can call attention to the Zoological Society of London, which is to focus on
plight of our entire ecosystem.” (“Saving ‘Charismatic’ “evolutionarily distinct and globally endangered”
Animals,” 10) (EDGE) species. These species, the article notes, are
“rarely cuddly” and may “look quite weird,” but they are
In this application of the strategy, the charismatic often the last representative of an entire animal group.
megafauna are employed for the conservation benefit of EDGE species—which include the duck-billed platypus,
all other species and, in fact, entire ecosystems. the long-beaked echidna, the aardvark, and the dugong—
Environmental problems, such as habitat loss and frag- may not be considered endangered, but it can be argued
mentation, pollution, introduced species, and climate that because they are rare from an evolutionary stand-
change impacts, affect all species. Charismatic animals point, conservation action should be undertaken before
allow us to publicize these generic sustainability issues they become endangered.
and to explore, with popular support, ways of countering
their effects, to the benefit of all wildlife that suffer the
same problems and utilize the same geographical areas. All Creatures Great and Small
Furthermore, protecting popular species and their habi-
tats helps us conserve a habitat network across land- While the public presses for iconic species to be pro-
scapes, to the benefit of all fauna. The conservation tected, government resources are often narrowly
zoologist Norman Myers (1996) points out that once focused on threatened species for research and conser-
large vertebrate species are lost, the opportunities for new vation effort, to the neglect of the far greater number of
large vertebrate species to evolve will also be lost in a species that are not listed as threatened. It is important
planet much modified by human activities. for managers working to maintain biodiversity to have
The Newsweek article names three species, describing statistically workable numbers to determine the impacts
them as “glamorous rarities.” The panda is arguably the of change, such as from logging, fi re, and climate
best-known glamorous rarity, a pin-up charismatic mega- change. The animals that provide the most effective
vertebrate. In a 1998 editorial in the journal Oryx, Jacqui answers are the common species, and often the least
Morris observes that mammals make up a relatively small charismatic, such as native bush rats. Few people are
proportion of the world’s fauna, yet over the previous keen to hear about the ecology of rats, even though
decade, half of the papers published in Oryx had mam- they provide insights for conservation of certain ecosys-
mals as their primary focus. Morris notes that, in the tems, such as forests or riparian strips (riverbank

CHARISMATIC MEGAFAUNA • 65
habitats), which rare animals never can. In contrast, an charismatic rodent, but most beavers look like the
investigation on the remediation of rural lands for despised rats and mice. Flying foxes are large fruit-
koala conservation was given detailed television cover- eating bats, with wingspans up to a meter when in fl ight.
age in Australia on 14 April 2011, when the recovery of They are utterly captivating to some people, but they are
the koala population was set back sharply by climate also problematic to propose as charismatic to a broad
change (Lunney et al. 2012). The native rats would not public. They induce fear in some people because they are
have gained the coverage, and they do not attract the bats, and in their vast camps they are seen by some as
funding dollars. pests, particularly so when they raid orchards. Th e
The article in The Economist (“Branding Land” 2008) worry that they potentially carry lethal diseases has fur-
notes the value of so-called flagship areas—that is, entire ther tarnished their image. Public ignorance and fear of
regions identified as threatened and bats reaches back two thousand years (Lunney
worthy of protection. For example, and Moon 2011).
Conser vation International,
based in Arlington, Virginia,
has designated a number of Implications
fl agship areas, including the
tropical Andes, the Brazilian From this overview of
Atlantic forests, and Africa’s charismatic megafauna,
Cape floristic region. The World the conclusion can be
Wide Fund for Nature, based drawn that the term is about
in Gland, Switzerland, has also capitalizing on the preexisting
identified what it calls “global views of the public about their
ecoregions.” Money raised as a concept of “fauna,” which
result of designating flagship areas animals they like, and where
can be used for a variety of conver- people are willing to assist
sation projects, not just to protect conser vation programs
certain well-known species. aimed at conserving nature.
What about conservation of the Does a focus on a few high-
small animals? The vast majority of profi le species reinforce an
animals are invertebrates, and their already constrained agenda
contribution to ecosystem function for those who work to con-
overwhelms the contribu- serve the diversity of species
tion of the vertebrates. and the ecosystems of which
With a few excep- they are vital elements? It
tions, such as the does, but it also facilitates
octopus, invertebrates conservation gains. Given
are not megafauna, the multitude of pressures on
but many are charis- ecosystems and their faunal
matic. Butterf lies are inhabitants through the
one example; coral reefs twentieth century, it is fair
are another. Despite a long to say that all conservation
list of engaging animals, the gains are welcome. Th ere
invertebrates languish in attracting public has been a phenomenal growth
attention. So incensed was the Australian Museum in fauna conservation efforts in
mollusk expert Winston Ponder that he wrote a paper the last four decades, and the rate of loss
entitled “Bias and Biodiversity” (1992) and coedited a of biodiversity has been slowed in many places. Th at
large book on the biology and conservation of inverte- is a great achievement considering the path that
brates entitled The Other 99% (1999). Invertebrates are humanity had been on, and a new generation now has
now commonly referred to as “the other 99 percent.” the challenge of reversing these losses, fortunately
Even within the vertebrates, the large charismatic with most of the charismatic megavertebrates still here
species are an insignificant minority. The two mammal to enjoy.
orders with the most species are the rodents and the
bats, but fi nding charismatic rats or bats is at best a Daniel LUNNEY
matter of individual taste. The beaver qualifies as a Office of Environment and Heritage NSW, Australia

See also Biodiversity; Biodiversity Hotspots; Biogeography; Lunney, Daniel, et al. (2012). Koalas and climate change: A case study
Community Ecology; Complexity Theory; Ecological on the Liverpool Plains, north-west NSW. In Daniel Lunney &
Pat Hutchings (Eds.), Wildlife and climate change: Towards robust
Restoration; Fencing; Food Webs; Habitat Fragmentation; conservation strategies for Australian fauna. Mosman, Australia:
Hunting; Marine Protected Areas (MPAs); Population Royal Zoological Society of NSW.
Dynamics; Species Reintroduction Lunney, Daniel, & Moon, Chris. (2011). Blind to bats. In Brad Law,
Peggy Eby, Daniel Lunney & Lindy Lumsden (Eds.), The biology
and conservation of Australasian bats (pp. 44–63). Mosman,
Australia: Royal Zoological Society of NSW.
FURTHER READING Millennium Ecosystem Assessment. (2005). Ecosystems and human
The Economist. (2008, January 7). Branding land: Conservation mar- well-being: Biodiversity synthesis. Washington, DC: World
keters choose land over beast. Retrieved October 15, 2011, from Resources Institute.
http://www.economist.com/node/10486391 Morris, Jacqui. (1998). Has the panda had its day? Oryx, 32 (1), 1.
Entwistle, Abigail, & Dunstone, Nigel. (Eds.). (2000). Priorities for Myers, Norman. (1996). The biodiversity crisis and the future of evolu-
the conservation of mammalian diversity—Has the panda had its day? tion. The Environmentalist, 16 , 37–47.
Cambridge, UK: Cambridge University Press. Ponder, Winston. (1992). Bias and biodiversity. Australian Zoologist,
Law, Brad; Eby, Peggy; Lunney, Daniel; & Lumsden, Lindy. (Eds.). 28, 47–50.
(2011). The biology and conservation of Australasian bats. Mosman, Ponder, Winston, & Lunney, Daniel. (Eds.). (1999). The other 99%: The
Australia: Royal Zoological Society of NSW. conservation and biodiversity of invertebrates. Mosman, Australia:
Lunney, Daniel; Matthews, Alison; Cogger, Hal; & Dickman, Chris. Royal Zoological Society of NSW.
(2004). The neglected 74%—the non-threatened vertebrates—and Saving “charismatic” animals. (1985, April 22). Newsweek, 105(16), 10.
a reflection on the limitations of the process that fashioned the cur- Taylor, Anja (Producer). (2011, 14 April). Koala heatwave. In Catalyst
rent schedules of threatened species in New South Wales. In Pat [Television series episode]. Sydney: Australian Broadcasting
Hutchings, Daniel Lunney & Chris Dickman (Eds.), Th reatened Corporation. Video retrieved October 15, 2011, from http://www.
species legislation: Is it just an act? (pp. 145–157). Mosman, Australia: abc.net.au/catalyst/stories/3191750.htm
Royal Zoological Society of NSW.

Coastal Management
The conceptual basis for coastal management has the planet. Estuarine food webs rest on phytoplankton,
evolved from sector-based approaches to conflict reduc- detritus, and submerged aquatic vegetation and produce
tion to proactive consideration of trade-offs through very high abundances of benthic organisms per unit area.
spatial management and ultimately to coastal ecosys- The fish community present varies in response to cycles
tem governance, which advances human objectives of spawning, migration, and feeding in addition to year-
with cognizance of limits imposed by natural systems. to-year changes in absolute abundance. The diet of a sin-
Enhancing sustainability may occur through reinterpre- gle species of fish may include twenty food types, and as
tation of actions under the sector-based management a result fish have important impacts on lower trophic lev-
system, through incremental changes to it or, alterna- els through predatory pressure. These linked ecological
tively, through fundamental changes that emphasize systems are both sensitive to anthropogenic changes and
ecosystems and the services they provide to advance important to human well-being through food and a vari-
human welfare. ety of other services.
The land portion of the coastal zone is a highly desir-
able place to live and work. In fact, as of 2004, 53 per-
C oastal ecosystems include land and sea environ-

ments as well as the people who inhabit and use
them. One way to defi ne the geographic extent of this
cent of the US population lived in coastal counties,
which account for only 17 percent of the land area of the
country (Crossett et al. 2004). Th is means that coastal
region is by elevation. Some describe the coastal zone counties contain three hundred people per square mile,
(simply defi ned as the place where the land meets the whereas the national average is ninety-eight individuals
sea) as the area ranging from the 200-meter land- per square mile. In the New York coastal area, densities
elevation contour to its 200-meter-depth equivalent run as high as almost thirty-nine thousand people per
(Crossland et al. 2005). In many areas this zone would square mile (Crossett et al. 2004). The coastal zone also
extend inland 70–100 kilometers and offshore to or just includes the social system of its inhabitants, who bring
beyond the shelf break on the continental margin. values and expectations as well as an elaborate and
Furthermore, for research purposes the extent of the growing system of laws, practices, and behaviors that
zone would be expanded to encompass additional area structure how people relate to the natural systems they
to consider material flows (water, sediments, nutrients, inhabit.
contaminants) and social systems, which do not neatly The political boundaries that are superimposed on this
fit within the elevation contours. In certain settings, land-sea ecosystem vary by country, and the US system
coastal airsheds can be important too. Materials travel- exemplifies the types of jurisdictions that can be estab-
ing by air settle to land and water areas of the coast, lished. Coastal counties are parts of states. Towns and
and attention to their sources becomes a part of research municipalities reside within counties, and this nested
or management activity. system is subject to a variety of federal authorities. These
This land-sea geographic region has important biolog- jurisdictional boundaries are for the most part completely
ical properties (Day et al. 1989). Estuarine habitats show independent of the natural boundaries, such as water-
primary production levels that are among the highest on sheds. Nature thus is working with one set of boundaries
67

while political jurisdictions operate with another ratio- meets the needs of the present without compromising
nale for area delimitation. Coastal management must the ability of future generations to meet their own needs”
address this incongruity if it is to be successful. In the (WCED 1987). The commission thereby established
United States, the federal Coastal Zone Management sustainability over long time periods as a measure on
Act encourages states to designate a management zone which to determine action. For example, actions in a
that extends outward from the land-sea boundary 3 miles coastal region are unsustainable if contaminated runoff
(or in some instances 3 leagues) offshore. Outside of state is allowed to render coastal waters uninhabitable for
waters the federal government manages a 200-mile valued organisms.
exclusive economic zone. The dimensions of coastal management include what
Th is combination of environmental processes— is to be sustained (nature, life support, and human com-
a high and growing density of people, increasing munity), and what is to be developed (people, economy,
anthropogenic alterations of the coast, and multiple and society) as noted by the US National Research
governmental jurisdictions—creates diffi culties for Council (NRC 1999). Furthermore, a time horizon and
the managers of these complex coastal systems and for the linkage between sustaining and developing are
the larger societies. Coastal management as it is practiced implicit in whatever solutions are adopted. In this frame-
today consists of three distinct approaches (Burroughs work, the difficult trade-off for the coast is between
2011). nature and economy. The NRC wisely asks whether the
Sector-based management is managing in response to link should be nature only, nature mostly, nature but,
separate activities (e.g., dredging, waste disposal, sprawl, nature and, or nature or economy; articulating these
oil development) that have an impact on others (e.g., rec- alternatives highlights the difficult choices to be made. In
reation, fi shing, tourism, aesthetics). Th is approach this context the central challenge of coastal management
attempts to retroactively address the effects of one use on is determining the values associated with common inter-
another use. ests as well as creating and implementing coastal pro-
A second approach, known as spatial management, is to grams that implement the type of sustainability most
plan by geographic area either on land or at sea. In this support. Historical records of coastal environments show
process, the planning entity identifies uses that will be this to be difficult.
compatible in the same area or in areas adjacent to one Lotze et al. (2006) demonstrate that anthropogenic
another. This method looks across uses and seeks to avoid transformation of coastal systems can be tracked over
confl ict largely by planning the location of activities. By thousands of years by examining species richness and
virtue of its proactive approach, spatial management can associated indicators. Almost without exception, in the
reduce confl ict, delay, and uncertainty as coastal lands twelve predominantly Atlantic systems examined, the
and waters are developed. researchers found that important species and habitats (sea
A third approach, coastal ecosystem governance, adopts grass, wetland) have declined substantially. Nature in
proactive planning within the context of both human these settings has not been sustained as human societies
needs and ecosystem capacity. Coastal ecosystem gover- moved from hunter-gatherer, to agricultural, and on to
nance promotes sustainable natural and social systems market-colonial periods. Other researchers (Fischer et al.
through diverse management techniques that shape 2007) envision the task of management as returning the
human activity in concert with the limits of the natural biophysical, social, and economic system to a state that is
system. This third approach provides the strongest foun- sustainable, which means that human societies and econ-
dation for sustaining coastal systems. omies fit within the capacity of the Earth to support life
through the foreseeable future.
Since governance systems for coastal regions seldom
Sustaining Coasts through invoke sustainability directly and never provide specific
Ecosystem Management instructions concerning which elements (nature, life sup-
port, human community, people, economy, or society) are
Coastal societies face a continuing conundrum concern- to be given precedence, creating and implementing man-
ing confl icting goals for the land/sea region. The confl ict agement systems remains difficult in the absence of
is aptly captured in the 1972 US legislation for coastal explicit goals and authority.
management that states both the protection and devel- Competing objectives for collective coastal action
opment of the coast as goals. Fifteen years later, the may be viewed in terms of ends and means (Burroughs
Brundtland Commission raised additional challenges 2011). As pressures on resources increase and societal
for coastal managers when it defined sustainable devel- values shift, the end or objective changes. Those values
opment as the ability of humanity “to ensure that it are quite different from the pre-1970s practices of fi lling

COASTAL MANAGEMENT • 69
or draining marshes and dumping wastes in coastal issues related to dead zones because administrators
waters in primary pursuit of development goals. In fact would be empowered to manage agricultural practices
the value shifts ultimately resulted in current discus- with full cognizance of the impacts on marine
sions of ecosystem governance as a means to satisfy new systems.
goals. As summarized by Richard Burroughs (2011), indi-
Managing for long-term sustainability ultimately vidual authors emphasize the value of a common goal
relies on the ability to create, adopt, and provide effective under which multiple sectors of coastal activity may be
ways of governing human behavior. Orchestrating these managed in an integrated fashion. Futhermore, natural
policy elements to achieve sustainable coastal systems, boundaries with management regimes fitted to them (as
both human and natural, results in positive sustainability opposed to political jurisdictions) are important for
trajectories (Burroughs 2012). success. Collaborative planning built on public participa-
tion and equity should lead to flexible and adaptive
program implementation. Ideally ecosystem-based man-
Coastal Ecosystem Governance: agement will account for cumulative impacts, incorporate
The Basis precaution, and promote appropriate trade-offs among
services. As more experience is gained with these con-
For many, ecosystem management has become a way to cepts, they will inevitably be refined.
reconcile the value confl icts discussed above. Ecosystem How much change is really required to implement
principles—properly understood—support sustainability. ecosystem-based coastal management successfully?
Ecosystems include people. This move toward ecosystem- Burroughs (2011) considers three approaches. One
based management as a means of refining both the defi- approach would be to maintain the conventional manage-
nition and implementation of sustainability for coastal ment system, characterized by sectoral management, and
environments is evident in the results of a recent national simply try to improve its techniques to meet the new eco-
commission in the United States. The US Commission system goals. Unfortunately, the record suggests that this
on Ocean Policy (2004) represented many interests and strategy would be difficult. In spite of many enhance-
provided a national perspective. The commission declared ments over the years, important measures of environ-
the need to manage all components of the ecosystem— mental health such as water quality are at best stable or
including people—collectively. This principle has wide- declining. In fact, the increasing size of the low oxygen
spread support but is only zone in the Gulf of Mexico
sporadically ref lected in makes clear that orchestration
current governance or policy of fragmented government ini-
directives. tiatives to control nutrient flow
Nonetheless, the potential have not been adequate. There
for ecosystem-based manage- is also the matter of intent.
ment is great, and many have Some purported trans-
detailed what it would formations are mere
entail (Burroughs 2011). rhetoric, rather than a
Statements about substantive change in
ecosystem-based man- policy. By simply dec-
agement establish a laring current practices a
goal of healthy, produc- form of ecosystem man-
tive, resilient ecosystems agement, officials can
able to provide services avoid making needed
people need and want. changes.
Institutions with the A second approach is
capacity to manage holis- to undertake incremental
tically using the princi- change. This strategy
ples of ecosystem health, involves changing parts of
sustainability, and pre- the existing policy system
caution are required. Such in small ways and then
institutions, if present, evaluating the consequences
would be particularly helpful before contemplating addi-
in resolving management of tional changes (Lindblom

1959). The idea is that by “muddling through” officials are essential” (Pew Oceans Commission 2003, i). Just as
can keep personal risk low and still transform the the early 1970s were a time of rapid and fundamental
system—at least in part. The technique is not fully changes in environmental policy (see the discussion of
rational because managers do not specify all values and the Clean Water Act in the section below), ecosystem-
policy alternatives before selecting one. Rather, analysts based management could inspire similar advances in the
agree on plausible actions but do not explicitly note twenty-first century.
the policy objective or indicate that they have selected
the best means to reach it. In this ambiguous situation
some elements of ecosystem-based management may Coastal Ecosystem Governance:
fi nd a home. The policy solution is selected by consider- The Practice
ing experience with small policy changes that have been
made in the past. An important test for an incremental What would a fundamental shift to ecosystem-based
solution is whether it has moved forward without over- management look like? Issues to consider include the
whelming objections. By muddling through, only part rationale for such a change, the policy elements
of the goal can be achieved, which means that the pro- involved, and an example of a proposed change of this
cess must be repeated endlessly. In an incremental magnitude.
change, officials could utilize ecosystem thinking Rapid and dramatic policy transformation is not
within the confines of existing legal structures and rou- unprecedented. For example, the Federal Water
tines to enhance results. Almost all examples of current Pollution Control Act Amendments of 1972, com-
ecosystem-based management fall under incremental monly known as the Clean Water Act, represented a
change. profound shift from reliance on voluntary pollution-
In fact, incremental change has reshaped coastal and control measures to a “command and control” approach.
ocean management in the past. The arrangements for To protect recreation, fisheries, and the environment,
off shore oil development, originally established in the the new law set up a permitting system to control dis-
1950s, were altered in the 1970s (Juda 1993). Public charge of effluent from pipes, with treatment require-
attitudes about the values of marine waters had shifted, ments based on technological feasibility. The act
and the US legal regime refl ected this change. The specified discharge limits for individual contaminants
National Environmental Policy Act, the Coastal Zone and created a monitoring and enforcement system to
Management Act, and the revised Outer Continental ensure compliance.
Shelf Lands Act instructed government officials to When pursuing change of this magnitude, it is
consider the environmental consequences of decisions. important to consider both the principles driving it and
The growing importance of environmental impacts was the means of implementation. First as Robert Costanza
confi rmed through judicial decisions and, together with et al. (1998) have noted, stakeholders should be involved
changes in the law, altered the collection and use of in formulating and implementing policies, and those
environmental data (Burroughs 1981). After the trans- policies should be ecologically sustainable and socially
formation the government was increasingly charged equitable. Second, institutional scales for decision mak-
with anticipating the detrimental environmental ing should match the ecological setting. Th ird, poten-
impacts of offshore oil development and taking action tially damaging activities should be approached with
to avoid them by suspending part or all of certain caution, and there should be ample opportunity to adapt
developments. and improve policies. Finally, Costanza and his
A third possibility is that change becomes colleagues recognized that sustainable governance of
revolutionary—that is, both rapid and fundamental. oceans rests on full allocation of social and ecological
Fundamental change becomes particularly important costs and benefits. If markets are used as a means of
when the characteristics of the problem demand bold determining best policies, they will have to be adjusted
solutions, or when a shift in goals requires action that is to reflect full costs.
beyond the reach of incremental change (Birkland 2005; Changing to ecosystem-based management to
Cortner and Moote 1999). Responding to the Great enhance sustainability requires a shift in how we con-
Depression, landing a human on the moon, and protect- ceive the process of reaching decisions. In constitutive
ing equal rights required fundamental changes in policy. decision making, basic allocations of authority and con-
Coasts and oceans are receiving similar transformative trol are made (Lasswell 1971; Clark 2002). The ideal
attention by many today. The chair of the Pew Oceans constitutive decision process for ecosystem-based man-
Commission stated that their group found the ocean in agement will give precedence to the common interests
crisis and advocated for “a fundamental change in this that support human and natural systems while produc-
nation’s posture toward its oceans,” noting that “reforms ing adequate authority to ensure implementation. The

reliance on stakeholders in the planning process and pollution permits, government ownership, government
proposals for adaptive management exemplify constitu- regulations, incentive payments, voluntary payments,
tive changes. and other means (Brauman et al. 2007; Ruhl, Kraft,
The central challenge of ecosystem-based manage- and Lant 2007). Ecosystem services require thought
ment is to consider all factors that affect ecological sys- and action based on natural systems, not political juris-
tems and to manage activities so as to sustain the services dictions. Working at the regional scale will almost cer-
provided (Levin and Lubchenco 2008). Ecosystem ser- tainly lead to better understanding of cumulative
vices are defi ned as the “conditions and processes impacts and to actions less likely to jeopardize the eco-
through which natural ecosystems sustain and fulfi ll system services at stake.
human life” (Daily 1997, 3). The Millennium Ecosystem Ecosystem service districts are one way to achieve
Assessment divides ecosystem services into four catego- this new goal (Heal et al. 2001; Lant, Ruhl, and Kraft
ries (UNEP 2010, 8). The products or goods obtained 2008). The United States has many regional organiza-
from ecosystems are known as provisioning services. In tions that manage geographic areas for specific pur-
coastal environments they include fisheries, poses. State law or local initiative can create a
mariculture, genetic diversity, medicines, district to manage human behavior associ-
transportation, minerals, and energy ated with watershed health and services,
from wind, tides, and waves. such as erosion, water supply, or
Ecosystems also provide regu- floods. These serve as prototypes
lating services by controlling for ecosystem service dis-
climate through carbon tricts, which can be linked
storage and land cover, in ways that allow their
water quality through geographic jurisdictions
decomposition, and natu- to match ecosystem pro-
ral hazards through properties, thus ensuring
tective features such as effective oversight. An
marshes and reefs. In addi- ecosystem service district
tion, ecosystems also pro- is a governmental entity
vide spiritual enrichment managing a geographic
and aesthetic and recre- region and empowered to
ational values, which are coordinate, zone, and tax.
known as cultural services. Hypothetically the ecosys-
Finally, the indirect and tem service district would
long-term benefits that select the least costly
are the basis for the pro- means of providing a ser-
duction of all other eco- vice. For example, New
system services are known York City faced a trade-
as supporting services. Water off between managing
or nutrient cycling and photo- its watershed to protect
synthesis are examples. drinking-water quality and
To what extent and how might installing water treatment. By
explicit consideration of ecosystem services establishing a prototypical ecosystem service dis-
advance coastal management? A change of that type trict surrounding the reservoirs, the city could and did
would reorient the discussion of governance techniques benefit from the ability of ecosystem processes to purify
to rely on principles of ecosystem-based management. water in lieu of technology investments to achieve the
Several investigators have laid out a conceptual basis for same results (Heal et al. 2001). Sorting out the advan-
it (Slocombe 1998; Yaffee 1999; Layzer 2008; McLeod tages and disadvantages of different proposals becomes
& Leslie 2009). The Millennium Ecosystem Assessment more complicated as more services and values are con-
(UNEP 2006), among others, proposed that ecosystem sidered, but the objective remains to produce the maxi-
services are an effective means to convert concepts mum possible value.
into practices. Because governmental programs are Managing for the production of desired ecosystem
not designed to protect and enhance ecosystem ser- services is not without liabilities. Managing ecosystems
vices in a direct manner, implementation of this solely on the basis of the monetary advantages they pro-
approach will almost certainly require use of new vide could promote the view that “nature is only worth
tools. Pertinent tools include markets, tradable conserving when it is, or can be made, profitable”

(McCauley 2006, 28). Given this pitfall, proponents Brauman, Kate; Daily, Gretchen; Duarte, T. Ka’eo; & Mooney,
must design tools and facilitate policy-making decisions Harold. (2007). The nature and value of ecosystem services: An
overview highlighting hydrologic services. Annual Review of
with great care to ensure that the broadest reach of eco- Environment and Resources, 32, 67–98.
system functions and biodiversity is protected. Otherwise Burroughs, Richard. (1981). OCS oil and gas: Relationships between
the initiative may result in minimum gains to selected resource management and environmental research. Coastal Zone
services and potential harm to others (Daily and Matson Management Journal, 9, 77–88.
Burroughs, Richard. (2011). Coastal governance. Washington, DC:
2008). In spite of these issues, an ecosystem-services Island Press.
approach provides a new model for coastal and ocean Burroughs, Richard. (2012). Sustainability trajectories for urban
regions, which may presage a fundamental shift in coastal waters. In M. Weinstein & R. E. Turner (Eds.), Sustainability sci-
governance. If effectively implemented, this new ence: The emerging paradigm and the urban environment. New York:
Springer.
approach could provide signif icant gains in Clark, Tim. (2002). Th e policy process: A practical guide for natural
sustainability. resource professionals. New Haven, CT: Yale University Press.
Cortner, Hanna, & Moote, Margaret. (1999). A paradigm shift? In
Hanna J. Cortner & Margaret Moote, The politics of ecosystem man-
Summary agement (pp. 37–55). Washington, DC: Island Press.
Costanza, Robert, et al. (1998). Principles for sustainable governance
The coast, a region of land and sea, is home to rapidly of the oceans. Science, 281(5374), 198–199.
Crossett, Kristen; Culliton, Thomas; Wiley, Peter; & Goodspeed,
increasing human populations. Higher standards of
Timothy. (2004). Population trends along the coastal United States,
living for coastal citizens frequently result in greater 1980–2008. Washington, DC: National Oceanic and Atmospheric
environmental impacts, while at the same time many in Administration.
the populace increasingly value healthy, natural waters. Crossland, Christopher; Kremer, Hertwig; Lindeboom, Han;
Crossland, Janet; & Le Tissier, Martin. (Eds.). (2005). Coastal
As a result, coastal management professionals have con-
fluxes in the Anthropocene. Berlin: Springer-Verlag.
fronted sustainability issues for four decades or more. In Day, John; Hall, Charles; Kemp, W. Michael; & Yanez-Arancibia,
the Coastal Zone Management Act of 1972 administra- Alejandro. (1989). Estuarine ecology. New York: John Wiley &
tors are challenged to both protect and develop the Sons.
Daily, Gretchen. (1997). Introduction: What are ecosystem services?
coast through the goals statement in the legislation. The
In Gretchen Daily (Ed.), Nature’s services: Societal dependence on
1987 Brundtland Commission report added a time natural ecosystems (pp. 1–10). Washington, DC: Island Press.
dimension to the challenge and, while seeking sustain- Daily, Gretchen, & Matson, Pamela. (2008). Ecosystem services:
ability of social and natural systems, noted the impor- From theory to implementation. Proceedings of the National Academy
of Sciences, 105(28), 9455–9456.
tance of managing the present in a way that does not
Fischer, Joern, et al. (2007). Mind the sustainability gap. TRENDS in
jeopardize the future. More recently, coastal manage- Ecology and Evolution, 22 (12), 621–624.
ment analysis and action have been informed by ecosys- Heal, Geoffery, et al. (2001). Protecting natural capital through eco-
tem principles, which provide a means to shape the system service districts. Stanford Environmental Law Journal, 20,
333–364.
discussion about protect-develop-sustain within the
Juda, Lawrence. (1993). Ocean policy, multi-use management, and the
context of environmental limits and human needs. In cumulative impact of piecemeal change: The case of the United
coming years coastal management will continue to test States outer continental shelf. Ocean Development and International
the ability of society to create and implement new gov- Law, 24, 355–376.
Lant, Christopher; Ruhl, J. B.; & Kraft, Steven. (2008). The tragedy
ernance systems matched to the desire for a sustainable
of ecosystem services. Bioscience, 58 (10), 969–974.
future for coasts. Lasswell, Harold. (1971). A Pre-View of Policy Sciences. New York:
American Elsevier.
Richard BURROUGHS Layzer, Judith. (2008). Natural experiments: Ecosystem-based manage-
University of Rhode Island ment and the environment. Cambridge, MA: The MIT Press.
Levin, Simon, & Lubchenco, Jane. (2008). Resilience, robustness,
See also Best Management Practices (BMP); Catchment and marine ecosystem-based management. Bioscience , 58 (1),
Management; Ecosystem Services; Edge Effects; Extreme 27–32.
Episodic Events; Food Webs; Global Climate Change; Lindblom, Charles. (1959). The science of “muddling through.” Public
Administration Review, 19 (2), 79–88.
Large Marine Ecosystem (LME) Management and Lotze, Heike, et al. (2006). Depletion, degradation, and recovery
Assessment; Marine Protected Areas (MPAs); Ocean potential of estuaries and coastal seas. Science, 312, 1806–1809.
Resource Management McCauley, Douglas. (2006). Selling out on nature. Nature, 443 (7),
27–28.
McLeod, Karen, & Leslie, Heather. (2009). State of the practice. In
K. McLeod & H. Leslie (Eds.), Ecosystem-based management for the
oceans (pp. 314–321). Washington, DC: Island Press.
FURTHER READING National Research Council (NRC). (1999). Our common journey.
Birkland, Thomas. (2005). An introduction to the policy process: Theories, Washington, DC: National Academy Press.
concepts, and models of public policy making. Armonk, NY: M. E. Pew Oceans Commission. (2003). America’s living oceans: Charting a
Sharpe. course for sea change. Arlington, VA: Pew Oceans Commission.

Ruhl, J. B.; Kraft, Steven; & Lant, C. (2007). Th e law and policy of findings of the Millennium Ecosystem Assessment. Nairobi, Kenya:
ecosystem services. Washington, DC: Island Press. UNEP.
Slocombe, D. Scott. (1998). Defining goals and criteria for US Commission on Ocean Policy (USCOP). (2004). An ocean blue-
ecosystem-based management. Environmental Management , print for the 21st century: Final report. Retrieved December 13, 2011,
22 (4), 483–493. from http://www.oceancommission.gov/documents/full_color_
United Nations Environment Programme. (2010). Blue harvest: Inland rpt/welcome.html
fisheries as an ecosystem service. WorldFish Center, Penang, Malaysia: World Commission on Environment and Development (WCED).
UNEP. (1987). Our common future. New York: Oxford University Press.
United Nations Environment Programme. (2006). Marine and coastal Yaffee, Steven. (1999). Three faces of ecosystem management.
ecosystems and human well-being: A synthesis report based on the Conservation Biology, 13(4), 713–725.

Comanagement
Comanagement of natural resources, by which govern- North America and western Europe argued that the pro-
ments work in partnership with local groups, has been tection and management of natural resources were the
developing since the nineteenth century around the world responsibility of the state, employing the knowledge and
but did not gain pace until after World War II, initially in wisdom of professional managers and scientists trained in
western Europe. Since the 1970s, comanagement has been forestry, biology, engineering, and other emerging scien-
part of a major global shift in natural resource policy tific disciplines. As societies industrialized and transpor-
making, but implementation challenges continue. tation and economic links improved, the exploitation of
forests, wildlife, and water sources advanced on an
unprecedented scale, involving powerful national and
C omanagement is the process of sharing responsibility
for the management of natural resources between a
government agency (or other formal institution) and local
international economic interests. Conservationists
argued persuasively that a strong and progressive central
stakeholders, such as rural communities, indigenous peo- government was the best way to counterbalance the jug-
ples, and nongovernmental organizations. Also referred gernaut of exploitation and achieve conservation goals, be
to as community-based conservation, collaborative they the preservation of wild lands or the wise manage-
resource management, joint management, or conserva- ment of natural resources. The role of the state was duly
tion partnerships, comanagement has been applied to codified in legislation authorizing government action to
marine and freshwater fisheries, wildlife populations, and protect wildlife and endangered species, establish forest
other natural resources, as well as to national parks, for- reserves and national parks, manage fisheries, and control
est reserves, and many other conservation settings world- environmental contamination.
wide. Although not without its challenges, comanagement Although the scale at which federal and colonial gov-
represents one of the most important innovations in nat- ernments established parks and reserves during the late
ural resource conservation to emerge since the 1980s. nineteenth and early twentieth centuries was impressive,
these accomplishments came with a price. Many units
were superimposed over territory that had been farmed,
Rise of State-Centered Conservation fished, hunted upon, gathered over, grazed, and other-
wise called home by indigenous cultures and traditional
Although comanagement is often touted as a novel communities. For instance, the territory that in 1872
approach to conservation, the concept actually is not became Yellowstone National Park (Wyoming, Montana,
entirely new. Cases in which governments have passed and Idaho) was used seasonally by Shoshone Native
responsibility for managing natural resources to local American bands. Likewise, Yosemite National Park in
communities go back to at least the nineteenth century, California, designated in 1890, was inhabited by Miwok
such as at Lofoten, Norway, where a major cod fishery peoples who gathered a wide variety of plant and animal
has been managed by participating fishers with oversight resources from the Yosemite environment.
for more than a century. As conservationists strove to preserve nature, they
When the modern conservation movement took shape often failed to recognize that many landscapes they per-
in the late 1800s, however, most conservationists in ceived as pristine actually resulted from traditional
74

COMANAGEMENT • 75
habitat modification activities such as regular burning, manage, in conjunction with state agencies, fisheries
seasonal grazing, or shifting cultivation. Local residents resources originally granted to the tribes in treaties
who relied on plants and animals as subsistence resources signed with the US government.
often were forced to abandon or greatly modify their tra- At about the same time, concern over the economic,
ditional harvests. Indeed, in many cases they were physi- social, and environmental costs of centralized, state-
cally evicted from parks and reserves. In some instances, sponsored development models began to spur a shift to
to protest such treatment, communities purposefully more democratic grassroots development approaches.
exploited or overharvested animal and plant resources Th is provided an opportunity for rural communities to
they previously had managed with care. All too often, the claim a greater role in managing natural resources upon
centralized model of conservation that took shape in the which they depended and would prove particularly
nations of the Americas and in European colonial important in developing countries. By the early 1980s
empires produced highly polarized relations between conservation and development in Africa, Asia, and Latin
local residents and natural resource professionals, each America were being discussed as potentially complemen-
with different perspectives on their interaction with the tary rather than opposing concepts, further emphasizing
natural world. the importance of addressing local people’s concerns in
formal conservation and management.
The claims of local communities were also buoyed by
Changing Assumptions, advancements in academic arenas, where a growing body
Changing Policies of research in ecological anthropology, ethnobiology, and
human geography fueled appreciation of the complexity
The fi rst major instance in which modern conservation and sophistication of local and indigenous resource man-
began to chart an alternative course occurred in western agement knowledge and traditions. Rather than mere
Europe when nations such as Great Britain began to opportunists and exploiters of natural resources, local
establish modern protected area networks in the years people were revealed in many studies to be careful
after World War II. Working in rural landscapes that observers and effective stewards of land, fish, forests, and
had been settled and managed by agrarian populations fauna. As early as the 1960s and 1970s, farsighted scien-
for centuries, conservation planners realized from the tists were drawing on these new views of local capacities
onset that a US-style national parks system would not be to argue for the adoption of comanagement approaches,
feasible. The agencies that they ultimately established to as the biologists Raymond Dasmann, from the United
design and manage national parks and reserves, such as States, and David Western, from Kenya, did while study-
Britain’s National Parks Commission (later renamed the ing wildlife populations and nature preserves in eastern
Countryside Commission), did not acquire large exten- and southern Africa.
sions of land for protection. Rather, from the start they By the end of the 1970s it was clear that a major shift
functioned more as regional advisory committees, work- in natural resource policy was taking hold at both
ing closely with local planning authorities inside desig- national and international levels. In the case of protected
nated park boundaries and attempting to provide areas, a systematic attempt to promote comanagement
incentives for land uses that would be compatible with began in 1979 with the establishment of the Man and the
landscape conservation goals. Biosphere Programme within the United Nations
By the 1960s and 1970s a broader consensus had Educational, Scientific and Cultural Organization
begun to emerge that governments needed to give greater (UNESCO). The term biosphere reserve describes a con-
consideration to local people’s concerns when managing servation area where a core protected zone (such as a
natural resources. The more progressive social climate of national park) is surrounded by buffer zones and transi-
the time made it possible for disenfranchised indigenous tion areas allowing traditional land use and economic
communities, native peoples, and minority cultures to activities, such as ecotourism, that are compatible with
consolidate their fundamental human rights. In legal and conservation goals. Th e program has promoted the
political arenas, as well as in the court of public opinion, designation of biosphere reserves by national govern-
indigenous peoples began to press conservation and ments worldwide, with more than 560 designations in
resource management agencies to give them a greater role 110 nations by 2011.
in managing natural resources of traditional importance, By the 1980s even the venerable US National Park
including forest estates, fish stocks, wildlife populations, Service (NPS) was embracing more collaborative
and public lands with religious, subsistence, or culturally approaches to park management, through designations of
relevant historical value. In the United States, for new national parks, national heritage areas, and national
instance, federal court rulings such as US v. Washington trail and river corridors in which the federal government
(1974) reaffirmed the right of Native American tribes to owned little land and management was shared with state

and private partners. At long-established parks, the NPS “bioreserves,” where the organization helps bring
increasingly began to collaborate with volunteer groups together government actors, local residents, and private
and neighboring communities in order to address man- landowners to protect the biological wealth of native
agement issues, such as development pressures on adja- ecological landscapes.
cent lands, that could not be dealt with adequately Natural resource agencies in the United States,
through more traditional administrative channels alone. Australia, Brazil, Canada, India, and other nations have
had mandates to implement comanagement since the
1970s and 1980s. Initially, however, most were reluctant
Putting Comanagement to share decision-making authority that previously had
into Practice been theirs alone and often resorted to court appeals and
bureaucratic foot dragging in an attempt to delay imple-
Amid the lofty rhetoric of collaboration, natural resource mentation. Over time more progressive administrators
professionals have faced an ongoing challenge of trans- began to recognize that comanagement offers the possi-
lating the ideals of comanagement into a new kind of bility of stretching limited agency budgets further and of
conservation on the ground. In practice, comanagement helping satisfy public demands for reforms and change.
can encompass a range of approaches that are likely to By the 1990s natural resource agencies were moving
vary in how well they achieve meaningful collaboration. much more rapidly on implementing comanagement
At one end of the scale, under what is termed “passive agreements for fisheries, forest
collaboration,” natural resource managers may products, wildlife populations,
simply inform local resource users about and public lands. Nearshore
management decisions or seek their fisheries have proven to be par-
input and opinions prior to imple- ticularly suited to the adoption
menting management prescriptions. of comanagement arrange-
At the other end of the scale, self- ments, with the most recent
determinant collaboration may global analysis identifying 130
mean that local residents them- comanaged fisheries in forty-
selves make and implement four countries. One of the larg-
management decisions, with gov- est of these is a lucrative fishery
ernment professionals serving in for Chilean abalone that
an advisory role to help analyze employs twenty thousand fishers
problems and resolve conflicts. in 700 comanaged areas along
Comanagement efforts initially 2,500 miles of Chile’s coastline.
tended to proceed in a piecemeal, Even with clear incentives,
experimental fashion, often begin- many government agencies have
ning at the initiative of dynamic had difficulty accepting local com-
individuals—perceptive local lead- munities as equal partners in natural
ers as well as innovative resource resource management, particularly
management professionals—who when indigenous communities or minor-
advocated collaborative management ity cultures are involved. In New Zealand,
of natural resources particularly Parliament passed the Conservation Act in 1987,
important for local residents. Comanagement authorizing the government to pursue collaborative
of state-owned forestlands in parts of India, for instance, arrangements with native Maori communities for
was spurred initially by concerned villagers and later managing wildlife populations and protected areas, but
expanded with the support of professional foresters. implementation has taken time to develop. Cultural dif-
Nongovernmental organizations (NGOs) have also ferences play a role. For instance, certain Maori concepts
played a prominent role in sparking the implementation of resource stewardship such as those invoked by the
of comanagement, particularly in developing countries. term kaitiakitanga— an intergenerational responsibility
In 1985 a leading conservation NGO, the World Wildlife to safeguard, protect, and shelter—are not easily trans-
Fund, launched a program called “Wildlands and lated into the scientific language of ecology that natural
Human Needs,” which sponsored model comanagement resource professionals are accustomed to using. A lack of
projects in Latin America, Asia, and Africa. Another prior models for collaboration also slowed the transition
major conservation NGO, the Nature Conservancy, to comanagement, along with inadequate funding of new
shifted its emphasis in the early 1990s from establishing institutions on the part of the government and objections
strict nature preserves to one of protecting larger by more preservation-oriented conservation activists.

COMANAGEMENT • 77
Even for the countries and institutions that have gone See also Administrative Law; Best Management
the furthest in embracing comanagement approaches for Practices (BMP); Biogeography; Ecosystem Services;
natural resources, positive results have not been auto- Fire Management; Fisheries Management; Forest
matic. The integration of traditional management prac- Management; Human Ecology; Indigenous Peoples and
tices for flora and fauna populations is no guarantee that Traditional Knowledge; Large Marine Ecosystem (LME)
every group or community will be effective stewards in Management and Assessment; Natural Capital; Ocean
all situations, particularly when cultural belief systems Resource Management; Wilderness Areas
and subsistence patterns are undergoing rapid flux.
Inequities or corruption in governance systems can over-
whelm even the best intentions at collaborative manage- FURTHER READING
ment, as can social or ethnic divisions within local Batisse, Michel. (1982). The biosphere reserve: A tool for environmen-
tal conservation and management. Environmental Conservation ,
communities.
9 (2), 101–111.
In the case of the Dzanga-Shanga forest region of the Berkes, Fikret. (2007). Community-based conservation in a global-
Central African Republic, conservation groups have ized world. Proceedings of the National Academy of Sciences of the
struggled to achieve workable comanagement regimes for United States of America, 104, 15188–15193.
Borrini-Fayerabend, Grazia; Pimbert, Michel; Farvar, M. Taghi;
many years. The region is populated by a variety of ethnic
Kothari, Ashish; & Renard, Yves. (2007). Sharing power: A global
groups, many of whom have emigrated from other parts guide to collaborative management of natural resources. London:
of the country, and communal management traditions for Earthscan.
forest resources are not well developed. While ecotour- Brown, Jessica, & Kothari, Ashish. (Eds.). (2002). Local communities
and protected areas. Parks, 12 (2), 1–96.
ism opportunities that bring greater benefits to local resi-
Gutiérrez, Nicolás; Hilborn, Ray; & Defeo, Omar. (2011). Leadership,
dents are now present on a limited scale, it has been a social capital and incentives promote successful fisheries. Nature,
challenge for conservationists to offer local residents 470, 386–389.
incentives for conservation that are equivalent to the Jentoft, S., & Kristoffersen, T. (1989). Fishermen’s co-management: The
case of the Lofoten fishery. Human Organization, 48(4), 355–365.
profits promised by organized wildlife poaching and log-
Kruse, J.; Klein, D.; Braund, S.; Moorehead, L.; & Simeone, B.
ging companies active over the years in the region. (1998). Co-management of natural resources: A comparison of two
caribou management systems. Human Organization , 57 (4),
447–458.
Future Prospects Olsson, P.; Folke, C.; & Berkes, Fikret. (2004). Adaptive co-
management for building resilience in social-ecological systems.
Environmental Management, 34, 75–90.
The role of local communities in resource conservation Pinkerton, E. W. (1992). Translating legal rights into management
and their capacity to enhance sustainable management practice: Overcoming barriers to the exercise of co-management.
Human Organization, 51(4), 330–341.
approaches are now unquestioned, but examples of suc- Taiepa, T.; Lyver, P.; Horsley, P.; Davis, J.; Bragg, M.; & Moller, M.
cessful comanagement arrangements still remain elusive (1997). Co-management of New Zealand’s conservation estate by
in many settings. Perhaps the single most important fac- Maori and Pakeha: A review. Environmental Conservation, 24 (3),
tor in continuing to refine and improve comanagement 236–250.
Tuxill, Jacquelyn L.; Mitchell, Nora J.; & Brown, Jessica. (2004).
regimes is the commitment of federal and state govern- Conservation and collaboration: Lessons learned from National Park
ments to continue supporting partnerships and collabo- Service partnerships in the western US. Woodstock, VT:
ration with funding and resources. Comanagement is not Conservation Study Institute.
a panacea by itself, but it remains the most viable Wells, Michael P., & Brandon, Katrina E. (1993). The principles and
practice of buffer zones and local participation in biodiversity
approach available to governments, communities, and conservation. Ambio, 22 (2–3), 157–162.
organizations alike for meeting twenty-first century con- Western, David; Wright, R. Michael; & Strum, Shirley C. (Eds.).
servation challenges. (1994). Natural connections: Perspectives in community-based conser-
vation. Washington, DC: Island Press.
Wollendeck, J. M., & Yaffee, S. L. (2000). Making collaboration work:
John TUXILL Lessons from innovation in natural resource management. Washington,
Western Washington University DC: Island Press.

Community Ecology
In an ecological community, species interact in often like a breathable atmosphere, food, water, material for
complex and subtle ways, depending on intricately bal- living, and an environment in which to live—services
anced food webs and energy cycles that maintain the that are mediated by species interactions. For example,
ecosystem. The study of community ecology—examining soil fertility is related to the interaction of plants and soil
the distribution, abundance, and diversity of organisms communities. Plants contribute organic material in the
in an area—provides understanding that people can use form of dead leaves that fall to the ground in autumn or
to prudently manage their own interactions with other roots that grow and die and remain in the soil. Th is
species. organic matter is fragmented into smaller pieces by soil
arthropods and colonized by soil fungal and bacterial
communities; the organic nitrogen from the leaf or root
A n ecological community is generally characterized as

a group of species of interest interacting in a particu-
lar geographic area. Community ecology is thus the study
is converted to an inorganic form of nitrogen by the
microbial communities through the process of mineral-
ization; the inorganic form of nitrogen in the soil can
of species interactions within a particular area. One can then be reused by the plants. Thus the ecosystem process
watch any nature documentary and get some idea of the of nitrogen mineralization is related to aboveground and
complexity of the natural world. The visceral drop of belowground interactions within the community of
blood on the face of a top predator that has recently killed plants and a diverse group of soil organisms (Schweitzer
a grazing herbivore in the grassland savannas of Africa, et al. 2004).
the parasitic microbial infection that causes ants to climb
to the top of plants so they become more visible and
likely to be eaten by birds, or the mutualisms between Species Interactions
plants and root fungi that allow plants to access soil
nutrients via the extended fungal network in exchange Species interactions occur in two major ways: (1) direct
for sugars—these dramatic images highlight the species interactions, where the effects of one species are felt
interactions within and across environments that make immediately by a second species, or (2) indirect interac-
up community ecology. tions, where the effects of one species on another are
Communities can be simple, composed of two or three determined by a third species. Species interactions may
different species, or complex, composed of many hun- result in trophic interactions through patterns of herbivory
dreds or thousands of species that interact in dynamic and predation or may vary along gradients of mutualism to
food webs. (Terms in italics are defined in the accompany- parasitism or competition to facilitation. For example, in an
ing sidebar.) Community ecology is largely focused on experimental setting, the evolutionary ecologist Joseph
how species interactions influence the distribution, abun- Bailey (2011) demonstrated strong trophic interactions
dance, and diversity of organisms within a location across among a common forest tree species, an herbivore, and
scales of space and time. avian predators. He found that leaf size in cottonwood
Understanding community ecology is important to the trees was related to the abundance of a gall-producing
human population because ecosystems provide services, insect herbivore—an example of herbivory and a case of
78

COMMUNITY ECOLOGY • 79
THE LANGUAGE OF COMMUNITY ECOLOGY

The following is a list of terms commonly used in the pollination of crops, water and air purification, and
field of community ecology. Not all of them are used in protection from floods by wetlands.
this article. Food webs—Connections among species in a com-
munity that describe the way in which energy flows
Alpha diversity—The number of species found in a
through a system. As a variety of resources and
small local area.
consumers interact with one another, energy moves
Beta diversity —The differences in species among through a system from primary producers (plants
small local areas. and algae), to herbivores that feed on the plants or
Biodiversity—Usually refers to the total number of algae, to mesopredators that feed on herbivores, to
species found in an area, but may also include top predators that feed on other predators.
genetic diversity within species in an area. Gamma diversity—The total number species found
Community—A group of species found in a particu- in a large area containing several small local areas.
lar space and time. While some ecologists reserve Herbivory—Consumption of living plants to obtain
the term for species that interact with one another resources.
(Whittaker 1975, Price 1984), others simply define
Mutualism —An interaction between species where
a community as the collection of species found in an
both species benefit from the relationship. For
area of interest (Emlen 1977).
example, in the legume-Rhizobium interaction,
Competition—An interaction between organisms Rhizobium bacteria live in the legume’s roots and
sharing similar resource requirements that nega- supply the plant with nitrogen; in return the legume
tively affects the growth, reproduction, or survival supplies the Rhizobium with carbon resources.
of one or both organisms. Competition may result
Parasitism—Partial consumption of a living organism
from a direct interaction where one organism
by another living organism. Unlike predators, par-
actively prevents another from accessing resources
asites usually do not kill their host outright but
(interference competition) or from an indirect
live in intimate association with their host (often
interaction whereby one organism depletes the
inside a single host), feeding in a way that keeps their
resources used by the other organism (exploitative
host alive and provides them with a constant source
competition).
of food.
Detritivory—Consumption of nonliving material Predation—Consumption of a living organism by
(plant or animal) to obtain resources. another living organism in order to obtain resources.
Facilitation—An interaction between species that Carnivores consume other animals, while omni-
positively affects one organism (but not both). For vores consume a mixture of prey (e.g., herbivores
example, many legumes have nitrogen-fixing bacte- and carnivores, or plants and herbivores). Herbivory
ria (Rhizobium) living in their roots that allow them is a type of predation because herbivores consume
to colonize nutrient-poor habitats. Once legumes living plants.
are established, they increase nutrient availability in Trophic interactions—Interactions among species
the soil, which positively impacts the growth of new that acquire energy and resources in different ways.
plants that do not host such terra-forming bacteria. For example, grasses acquire energy from sunlight,
The new plants, however, do not positively affect the whereas deer acquire energy by feeding on the grass.
legumes in turn. While grasses and deer obtain energy in different
Ecosystem service —A service provided by a natural ways, they interact with one another when the deer
ecosystem that benefits humans, such as the feed on the grass.

a direct effect of more gall insects resulting in larger diversity being when more different species are found in
leaves. The abundance of this herbivore was positively the different parks)? Gamma diversity is the total number
correlated with the foraging behavior of avian predators— of species in a larger region; in this example, the total
an example of predation and of trophic interactions, and bird species in all of the parks within the city.
a direct effect of increased bird foraging when gall abun- Understanding patterns of biodiversity on the landscape
dance was high. Moreover, another study has indicated provides important fundamental information that can
that foraging by avian predators on arthropods positively reflect on the ability of an ecosystem to (1) respond to
affected cottonwood tree growth (Bridgeland et al. 2010), environmental perturbation (e.g., a hurricane), (2) resist
resulting in an indirect effect for the trees. The direct invasion by pest species (e.g., the invasive kudzu vine,
effect of birds eating galls indirectly benefited the trees fire ants, brown rats), or (3) provide services such as soil
by reducing herbivory. These interactions among a plant, fertility, pollination, and products. For example, when
herbivore, and predator are a classic example of trophic biodiversity is high there are more species to provide
interactions where energy from the sun is captured by “backup” for different ecosystem services, similar to
plants as carbon; this carbon is consumed by herbivores; backup systems in a factory (Naeem 1998). When one
herbivores are consumed by predators; and thus energy species is no longer able to provide an ecosystem service,
flows through an ecosystem. other species may take over that function.
In a classic example of parasitism and Understanding the factors that lead to the
mutualism, the US ecologist Nancy amazing diversity of living creatures we find
Collins Johnson and colleagues J. H. on our planet is a worthy goal in itself,
Graham and F. A. Smith (1997) but some researchers have found that
showed that there were beneficial such diversity can also affect the sus-
effects of soil fungi on the repro- tainability of ecosystem function and
duction of grasses when the services. In 1994, the US ecologists
grasses were grown in unman- David Tilman and John Dowling
aged soil and received normal were conducting experiments in a
light, suggesting that soil fungi grassland habitat where they
help plants acquire nutrients to planted plots with either a single
grow. When soils were fertil- species of plant (a monoculture) or
ized, however, and the plants multiple species of plants (a polyc-
no longer needed help acquir- ulture). After a severe drought,
ing nutrients, the mutualistic they noticed that plants growing in
benefits disappeared, and the the polyculture plots were more
soil fungi became parasitic and resistant to the drought and also
negatively affected plant fitness. recovered more quickly. There are at
Th is example shows how species least two explanations for the pat-
interactions can shift from parasit- tern Tilman and Dowling found.
ism to mutualism, or vice versa, as First, some species are so successful at
interactions with their hosts or environ- obtaining resources, growing, and
ment change. While we can characterize spe- reproducing that they become the most
cies interactions in many ways, community ecology is abundant (or dominant) species in a habitat. The
primarily concerned with how these interactions influ- odds of finding a hardy, dominant species would increase
ence patterns of biodiversity on the landscape. in a polyculture plot, relative to a monoculture plot.
Second, different species acquire resources in different
ways, creating their own niche in the ecosystem. Niche
Biodiversity differentiation could also explain the patterns found in
Tilman and Dowling’s plots, as polyculture plots would
Measurements of biodiversity within communities have more species acquiring resources each in their own
include alpha, beta, and gamma diversity. Alpha diversity way, which would decrease competition among plants,
is the number of different species within a local area; for relative to monoculture plots. Recent studies have also
example, how many species of birds are found in a local found that genetic differences among plants of the same
city park. Beta diversity is the difference in alpha diversi- species can affect plant growth and productivity, soil fer-
ties of local areas; for example, are the same species of tility, associated species interactions, and also increase
birds found in each of several city parks, or are different resistance to severe weather conditions. One study
bird species found in each different park (greater beta found, for example, that eelgrass plants growing in

COMMUNITY ECOLOGY • 81
genetically dissimilar groups were more productive and Mark A. GENUNG

resistant to spikes in water temperatures and recovered University of Tennessee
more quickly after temperatures declined (Reusch et al.
Jennifer A. SCHWEITZER
2005). Species diversity and even genetic diversity in a
University of Tennessee
community can therefore have important consequences
for many aspects of ecosystems and the services they Gina M. WIMP
provide, including their ability to respond to distur- Georgetown University
bances such as climatic change.
See also Biodiversity; Biodiversity Hotspots; Biogeography;
Buffers; Complexity Theory; Ecosystem Services; Edge
Application Effects; Food Webs; Human Ecology; Indicator Species;
Invasive Species; Keystone Species; Microbial Ecosystem
Community ecology—studying how species interact— Processes; Mutualism; Nutrient and Biogeochemical
gives us insight into how humans interact with other Cycling; Outbreak Species; Plant-Animal Interactions;
humans and other species. From a practical standpoint, Population Dynamics; Refugia; Regime Shifts
understanding how species interact can improve human
activities such as agriculture and economics, or indicate
the importance of natural habitats such as forests and
FURTHER READING
Bailey, Joseph K. (2011). From genes to ecosystems: A genetic basis to
wetlands. For example, a study of Costa Rican coffee ecosystem services. Population Ecology, 53(1), 47–52. doi:10.1007/
farming demonstrated a clear economic incentive for cof- s10144-010-0251-4
fee farmers to preserve natural forests in order to protect Bridgeland, William T.; Beier, Paul; Kolb, Thomas; & Whitham,
a fundamental component of community ecology— Thomas G. (2010). A conditional trophic cascade: Birds benefit
faster growing trees with strong links between predators and
species interaction. Because native bees that pollinate the plants. Ecology, 91(1), 73–84. doi:10.1890/08-1821.1
coffee plants could only persist and pollinate the plants Emlen, John Merritt. (1977). Ecology: An evolutionary approach.
within a small range of preserved forest patches, those Reading, MA: Addison-Wesley.
plants grown far away from forest fragments had less Johnson, Nancy Collins; Graham, J. H.; & Smith, F. A. (1997).
Functioning of mycorrhizal associations along the mutualism-
value to farmers. Approximately 150 hectares of natural parasitism continuum. New Phytologist, 135(4), 575–585. doi:10.
forest provided US$60,000 per year in economic benefits 1046/j.1469-8137.1997.00729.x
to the farmers (Ricketts et al. 2004). Millennium Ecosystem Assessment. (2005). Ecosystems and human
An understanding of community ecology also tells us well being: Synthesis. Washington, DC: Island Press.
Naeem, Shahid. (1998). Species redundancy and ecosystem reliability.
that conserving species interactions and natural habitats Conservation Biology, 12 (1), 39–45. doi:10.1111/j.1523-1739.1998.
is likely to be more effective than focusing on one species. 96379.x
If the survival of an individual species depends on the Price, Peter W. (1984). Insect ecology (2nd ed.). New York: Wiley
presence of another species, then no amount of conserva- InterScience.
Reusch, Thorsten B. H.; Ehlers, Anneli; Hämmerli, August; &
tion effort directed at the focal species will be successful Worm, Boris. (2005). Ecosystem recovery after climatic extremes
unless the other species is also preserved. Community enhanced by genotypic diversity. Proceedings of the National Academy
ecology is of fundamental importance to our understand- of Sciences of the United States of America , 102 (8), 2826–2831.
ing of how species interact, the effects of species interac- doi:10.1073/pnas.0500008102
Ricketts, Taylor H.; Daily, Gretchen C.; Ehrlich, Paul R.; &
tions for whole ecosystems (interactions of communities Michener, Charles D. (2004). Economic value of tropical forests to
with their environment), and the consequences of these coffee production. Proceedings of the National Academy of Sciences of
interactions for sustainability and management of the United States of America , 101(34), 12579–12582. doi:10.1073/
ecosystem services on which humans rely (Millennium pnas.0405147101
Schweitzer, Jennifer A., et al. (2004). Genetically based trait in a domi-
Ecosystem Assessment 2005). nant tree affects ecosystem processes. Ecology Letters, 7(2), 127–134.
doi:10.1111/j.1461-0248.2003.00562.x
Joseph K. BAILEY Tilman, David, & Downing, John A. (1994). Biodiversity and the
University of Tennessee stability of grasslands. Nature, 367(6461), 363–365. doi:10.1038/
367363a0
Randy K. BANGERT Whittaker, Robert Harding. (1975). Communities and ecosystems
Trinidad State Junior College (2nd ed.). New York: MacMillan.

Complexity Theory
Complexity theory deals with systems that exhibit system states that are maintained by different regimes
complex behaviors, such as nonlinear responses, self- (sustained, long-term changes in system controls and
organization, sophisticated information processing, and functions); and the ability to process information and
learning. Complex systems include social-ecological sys- respond to it.
tems (linked systems of people and nature) such as Although complex systems are often built from simple
those associated with agriculture, fisheries, and for- units, they are irreducibly complex—that is, they cannot
estry. These systems may demonstrate rapid and poten- be fully understood by reduction. For example, a single
tially irreversible shifts between states. Understanding ant exhibits relatively simple, predictable behaviors, but
and managing complex dynamics in social-ecological an ant colony is capable of far more sophisticated deci-
systems are of fundamental importance for our long- sion making. According to the Canadian ecologist C. S.
term future. Holling’s “rule of hand” (Holling 2001), systems of
people and nature that exhibit truly complex behaviors
C omplexity theory consists of a set of general prin-

ciples and concepts that relate to the defi nition,
analysis, and prediction of the structure and behaviors
generally have a hierarchical arrangement (Allen and
Starr 1982) with at least three levels and often include
variables that act at three or more different rates.
of complex systems (Simon 1962; Simon 1977; Gell- Nearly all systems exist in a context or environment
Mann 1992). It is particularly focused on phenomena that structures and influences their dynamics and inter-
that are difficult for science to explain and predict by actions. Complex systems are systems precisely because
classical methods. Examples of topics of interest in they show the properties of cohesion (the pieces hang
complexity theory include chaotic behavior, learning together) and spatiotemporal continuity (Cumming and
and adaptation, information processing, the structure Collier 2005). The primary challenge of defining a com-
and function of networks, self-organization, nonlinear plex system is determining boundary conditions. Even
relationships between cause and eff ect, and group apparently well-bounded complex systems, such as indi-
decision-making processes (Mitchell 2009; Norberg vidual people, can have fuzzy boundaries. For example,
and Cumming 2008; Holland 1992; von Neumann and the human stomach is effectively an external chamber
Burks 1966). inhabited by vast numbers of free-living bacteria; the case
Complex systems are defined, somewhat circularly, as for its inclusion as part of a human organism is strong,
systems that exhibit complex behaviors or dynamics. but not without question.
Complex behaviors include, but are not limited to, non- There are many different kinds of complex systems,
linear relationships between cause and effect (a small ranging from avalanches of sand grains to the global cli-
input produces a large output, as in the butterfly effect, mate system to communities of carbon-based life forms.
or vice versa,); the action of feedback loops, which can In natural resource management, researchers are particu-
regulate or amplify trends (such as sweating as a regularly interested in complex adaptive systems, which are
lating response to overheating, or panic buying in capable of responding to environmental change and of
response to fears of scarcity); the potential for alternate permanently modifying their behaviors and/or internal
82

COMPLEXITY THEORY • 83
structure. Adaptation in lineages of organisms arises over localized set of conditions, the basin (attractor). For
evolutionary time from the action of environmental example, if the ball represents the climate system, exact
selection on phenotypic (body form) diversity. Adaptation rainfall patterns (the ball’s trajectory) differ each year,
in complex systems can also occur deliberately over but there is a level of predictability (the ball remains in
shorter time periods. In human societies, for example, the cup) between years. If a force is applied to the sys-
responses to climate change may include active adapta- tem, it may move far enough to fi nd another local
tion (taking deliberate steps to reduce potential impacts attractor, depending on the size of its basin of attrac-
of sea-level rise on low-lying towns) or passive adaptation tion. In the case of the climate, warming due to the
(encouraging a diversity of solutions and adopting those greenhouse effect may permanently alter precipitation
that are most successful). patterns in both space and time. A shift to a new local
The first analyses of complexity in ecological contexts attractor is termed a regime shift; the system crosses a
dealt with the behavior and organization of relatively threshold as it changes.
small, discrete systems, such as ant societies, the human Examples of thresholds and regime shifts are
brain, swarms of bees or flocks of birds, and the immune increasingly being documented in a wide range of
system (Mitchell 2009). These analyses social-ecological systems. Some, such as the possibility
were heavily influenced by models of that Amazonian rain forests may tip into a drier
systems, such as Conway’s game of state (as did the Sahel) or the potential that
life (Gardner 1970), which prom- major oceanic currents may be reversed,
ised to generate complex behaviors carry profound implications for global
from sets of simple rules. The biophysical systems and biodiver-
early focus on understanding the sity (Rial et al. 2004; Scheff er
minimal elements of complexity 2009). Complexity theory is
provided useful theoretical also contributing to a range of
insights and computational related topics of high impor-
tools, as well as a starting point tance for the environment,
for ecologists with interests in such as our understanding
complex systems, but this type of social and ecological
of analysis has not yet been networks (Bodin, Crona,
compellingly linked to many and Ernstson 2006), the
real-world problems in ecology influence of spatial hetero-
or ecosystem management geneity on system dynamics
(although some elements of the (Cumming 2011), and the
original approach are starting rules that best facilitate sus-
to become more inf luential tainable management in com-
through advances in multiagent mon property systems (Ostrom
modeling). 2007).
In recent years, research on
Graeme S. CUMMING
complexity in natural resource man-
University of Cape Town
agement has focused less on understand-
ing complexity itself and more on understanding the See also Adaptive Resource Management (ARM);
properties of social-ecological systems, which are linked Biogeography; Boundary Ecotones; Disturbance;
(complex, adaptive) systems of people and nature Ecological Forecasting; Edge Effects; Food Webs;
(Berkes, Colding, and Folke 2003). One of the most Human Ecology; Large Marine Ecosystem (LME)
relevant concepts in this rapidly expanding body of Management and Assessment; Mutualism; Plant-Animal
knowledge is that of regime shifts, and particularly the Interactions; Regime Shifts; Resilience
idea that a system can quite suddenly cross a threshold
beyond which it undergoes rapid, fundamental, and
possibly irreversible change (Scheffer 2009). A social- FURTHER READING
ecological system can be conceptualized as a ball that Allen, Timothy F. H., & Starr, Thomas B. (1982). Hierarchy:
moves along a three-dimensional surface (state space) Perspectives for ecological complexity. Chicago: The University of
Chicago Press.
that is in turn defined by the range of possible combina-
Berkes, Fikret; Colding, Johan; & Folke, Carl. (Eds.). (2003).
tions of variables. Most complex systems exhibit some Navigating social-ecological systems: Building resilience for complexity
local stability, with the ball (system) being trapped in a and change. Cambridge, UK: Cambridge University Press.

Bodin, Örjan; Crona, Beatrice; & Ernstson, Henrik. (2006). Social Norberg, Jon, & Cumming, Graeme S. (Eds.). (2008). Complexity the-
networks in natural resource management: What is there to learn ory for a sustainable future. New York: Columbia University Press.
from a structural perspective? Ecology and Society, 11(2), r2. Ostrom, Elinor. (2007). A diagnostic approach for going beyond pan-
Cumming, Graeme S. (2011). Spatial resilience in social-ecological sys- aceas. Proceedings of the National Academy of Sciences of the United
tems (1st ed.). London: Springer. States of America, 104 (39), 15181–15187.
Cumming, Graeme S., & Collier, John. (2005). Change and identity Parry, Martin L.; Canziani, Osvaldo F.; Palutikof, Jean P.; van der
in complex systems. Ecology and Society, 10 (1), 29. Retrieved Linden, P. J.; & Hanson, Clair E. (Eds.). (2007). Climate change
March 27, 2011, from http://www.ecologyandsociety.org/vol10/ 2007: Impacts, adaptation and vulnerability. Contribution of Working
iss1/art29/ Group II to the fourth assessment report of the Intergovernmental
Gardner, Martin. (1970). Mathematical games: The fantastic combi- Panel on Climate Change. Cambridge, UK: Cambridge University
nations of John Conway’s new solitaire game “life.” Scientifi c Press.
American, 223(4), 120–123. Rial, José A., et al. (2004). Nonlinearities, feedbacks and critical thresh-
Gell-Mann, Murray. (1992). Complexity and complex adaptive sys- olds within the Earth’s climate system. Climatic Change, 65, 11–38.
tems. In John A. Hawkins & Murray Gell-Mann (Eds.), The evolu- Scheffer, Marten. (2009). Critical transitions in nature and society.
tion of human languages. SFI studies in the sciences of complexity. Princeton, NJ: Princeton University Press.
Proceedings, Vol. XI (pp. 3–18). Reading, MA: Addison-Wesley. Simon, Herbert A. (1962). The architecture of complexity. Proceedings
Holland, John H. (1992). Adaptation in natural and artificial systems: An of the American Philosophical Society, 106(6), 467–482.
introductory analysis with applications to biology, control, and artificial Simon, Herbert A. (1977). How complex are complex systems? In
intelligence (2nd ed.). Cambridge, MA: MIT Press. Frederick Suppe & Peter D. Asquith (Eds.), Proceedings of the 1976
Holling, C. S. (2001). Understanding the complexity of economic, biennial meeting of the Philosophy of Science Association (Vol. 2,
ecological, and social systems. Ecosystems, 4 (5), 390–405. pp. 507–522). Ann Arbor, MI: Edwards Brothers.
Mitchell, Melanie. (2009). Complexity: A guided tour. New York: von Neumann, John, & Burks, Arthur W. (1966). Th eory of self-
Oxford University Press. reproducing automata . Urbana: University of Illinois Press.

Dam Removal
Dams have played important roles in human civiliza- of these dams are on private property, and many are no
tion, providing a variety of services including stable longer used for the original intended purpose (e.g., to
water supply, flood control, and hydroelectricity. In run a mill).
turn, however, dams have altered flowing water ecosys- Historically, building dams has been a means to
tems, and many dams that are no longer needed are increase social, cultural, and economic development by
now being removed to restore the natural flow and harnessing the power of water and converting it to usable
functioning of stream ecosystems. Globally, dams are energy forms (e.g., to cut lumber or grind wheat), by
being individually evaluated in terms of whether they providing a stable water supply for consumption and
are contributing to or detracting from a sustainable
environment and economy.
Table 1. Reasons for Building and

Removing Dams
H umans have been building dams for over five thou-
sand years. Most of the world’s rivers have been
modified through dams and other diversion measures for
Why Build a Dam Why Remove a Dam
reasons including recreation, hydropower, irrigation, and Flood control Restore fish passage
water supply. As scientists have become aware of the Irrigation Restore natural flow and
often far-reaching consequences of altering waterways sediment regime
and landscapes, the removal of existing dams has become
Hydroelectric Improve water quality
a consideration for the sustainability of water resources
and aquatic life. (See table 1.) Water supply Restore stream connectivity
Although the exact number of dams in the world is Recreation Manage floods
not known, according to the World Commission on Mining tailings Eliminate liability
Dams (WCD) there are about forty-fi ve thousand
dams exceeding 15 meters in height with a reservoir Fish and wildlife pond Safety issues
capacity greater than 3 million cubic meters (WCD Fire and farm ponds Abandoned
2000). The number of smaller dams (less than 15 meters Debris Control Maintenance and
in height) is not well known, and worldwide estimates repair costs
are in the millions (Smith 1971; WCD 2000). For
Navigation Cultural
example, in the United States, the National Inventory
on Dams managed by the US Army Corps of Engineers Source: Compiled from Nilsson et al. (2005); McCully (1996); Gleick
has approximately seventy-nine thousand dams on et al. (2009); American Rivers (2011).
record (Gleick et al. 2009), though it is estimated there Many dams are multipurpose (e.g., they provide hydropower as
are over 2 million when dams less than 2 meters in well as recreation and water supply); they may also be removed for
height are included (Shuman 1995; Graf 1999). Many several reasons (e.g., to restore fish passage or to eliminate liability).
86

DAM REMOVAL • 87
irrigation, and by controlling flooding. In turn, many of Why Choose Dam Removal?
the impounded areas (the lakes or reservoirs created)
became areas of recreation and focal points in communi- Consideration of whether to remove a dam must include
ties. In the early to mid 1900s, dam building occurred in examination from a number of viewpoints, including the
many nations, with some of the largest dams being built ecology and environment of the waterway and surround-
from the 1930s to the 1960s (McCully 1996). For exam- ing area, maintenance issues, liability and legal concerns,
ple, Hoover Dam, on the border between the US states and socioeconomic drawbacks and benefits.
of Arizona and Nevada, was built in the 1930s to tame
the floods of the Colorado River but also served to create Environmental Perspectives
a stable water supply (Lake Mead) and generate electric-
ity. In the southern United States beginning in the 1930s, Environmentally, the changes that dams make to stream
several dams were built on the Tennessee River system in systems can be detrimental. Dams degrade rivers by
order to control floods, promote navigation, provide altering the natural flows of water and sediment; by
national defense, and generate electricity by the changing the quality of the water system (e.g., increasing
Tennessee Valley Authority. nutrients such as nitrogen and phosphorus that encour-
Despite the costs of building (tens of billions of US age algae growth, and toxic contaminants such as poly-
dollars), the numbers of large dams is expected to chlorinated biphenyls and heavy metals); by flooding and
increase in the next few decades, as several countries altering terrestrial systems; by changing the temperatures
and regions of the world are developing large-scale dam of the water; by limiting the movements of biotic com-
projects (Ross 2011). The most notable of these recent munities; and by changing the biota from a lotic (flowing
projects is the Th ree Gorges Dam on the Yangzi water) system to that of a lentic (lake) system.
(Chang) River in China. Th ree Gorges is currently The conversion from lotic to lentic system and the loss
operational, and other dams as well as diversion projects of hydrologic connectivity can have far-reaching effects,
are also planned on the Yangzi and its tributaries. Chile, including increased production of greenhouse gases such
India, Ethiopia, Southeast Asia, and several other as methane and nitrous oxide, the loss of biotic commu-
countries and regions are developing projects that are nities such as migratory fishes whose remnants fertilize
designed to generate thousands of gigawatt hours the surrounding floodplains, and the loss of natural
(GWh, equal to 1 billion watt hours, or 3.6 terajoules) flooding regimes that replenish the floodplains with
of electrical energy annually as well as to provide flood nutrients and sediment. For humans, these changes man-
control, improve navigation, and provide a stable source ifest as the loss of many ecosystem services, such as the
of water. While these countries are experiencing a availability of water on floodplains that are farmed,
renaissance in dam building, other countries, such as the important sources of protein (e.g., migratory fi shes),
United States and Spain, have begun decommissioning native flora and fauna, and aesthetics (e.g., geologic for-
and removing dams. mations or bends in rivers).
Over the three decades since 1990, more than 900 dams The removal of a dam has the potential to reverse
have been purposely removed from stream systems many of these alterations, though it must be understood
around the world for a variety of reasons, including the that ecosystems are dynamic, and it is likely that over the
restoration of fish passage and other ecological issues, life of a dam there have been changes in land use, habitat
maintenance costs, liability, and safety issues. (See table availability, and fi shing pressures (Bushaw-Newton,
1.) Globally, dam removal is receiving increased attention Ashley, and Velinsky 2005; see figure 2). For example, in
as a management and restoration tool (Lejon, Malm the case of anadromous fish (those that ascend rivers
Renöfält, and Nilsson 2009). As of 2010, 888 dams had from the sea for breeding) such as salmon, alewife, sea
been removed from river systems in the United States lamprey, and American shad, a return to historical num-
(American Rivers 2011), and in Europe, Spain has bers may not be achievable due to the current size of the
removed over 50 dams and has plans to remove over 100 populations, but opening the passageways will at least
more (Brufao 2008). France and Sweden have begun create the potential for restoration. The removal of
employing dam removal as well (Lejon, Malm Renöfält, Edwards Dam on the Kennebec River in the US state of
and Nilsson 2009). It should be noted that at present Maine in 1999 opened almost 28 kilometers of historic
there is no master list of global dam removals, so actual spawning grounds, and migratory fish species have been
numbers of removals around the world are not known returning (Maine Department of Marine Resources
and are underestimated. At present the United States is 2011). The removal of the Saint-Etienne de Vigan dam
the world leader in dams that have been purposely on the Loire River in France in 1998 has resulted in
removed. restored salmon spawning in the river system upstream

of the old dam (RiverNet 2008). In Spain over fifty dams time and monetary penalties in the millions of US dol-
have been removed for the purpose of improving salmon lars. Rather than deal with the costs of repair, mainte-
stocks and preventing floods (Brufao 2008). nance, potential for lawsuits, and insurance premiums,
private owners of small dams in Pennsylvania, as well as
other areas, have chosen removal. To date, Wisconsin
Maintenance and Functioning Perspectives
and Pennsylvania have removed over two hundred dams
Dams must be maintained to work properly, whether it is and lead all other states in dam removal in the United
for flood control, recreation, hydropower, or a combina- States (Gleick et al. 2009).
tion of functions. Potential maintenance concerns are
often handled during mandated safety inspections. Legal and Policy Perspectives
Additionally, for dams being used for hydroelectricity in
the United States, concerns over the ability of the dam to In addition to laws related to safety, other laws and poli-
function are handled through the Federal Energy cies have helped to drive dam removal. For example, in
Regulatory Commission (FERC) relicensing process. If Wisconsin, removal of abandoned dams by the Wisconsin
the current owners or operators of a dam decide that they Department of Natural Resources is mandated by the
no longer have the ability to maintain the integrity of the state. In Sweden, the government’s outline of sixteen
dam system or it no longer will serve the desired func- ecosystem goals that should be achieved by 2020 includes
tions, then removal of the dam should be considered as the restoration of 25 percent of the valuable and poten-
an option. tially valuable streams and rivers by 2010 (Lejon, Malm
The long-term structural integrity of a dam is based in Renöfält, and Nilsson 2009).
part on the materials used. Many of the dams built in the
eighteenth and nineteenth centuries have a rock and tim-
Socioeconomic Perspectives
ber core that may or may not have been covered later with
concrete, while large modern dams use both earthen The decision to remove a dam must factor in the value of
materials and concrete. A dam’s materials and construc- the goods and services provided by the environmental
tion must be able to withstand a variety of forces includ- resource as well as the effect of removal on jobs, incomes,
ing those of water, sediment, and climate. Some reservoirs and surrounding communities in the long term
can fi ll with sediment in less than fi fty years, at which (Whitelaw and Macmullan 2002). Cost-benefit analyses
point it no longer serves its original function (McCully for small dams have demonstrated that in some cases the
1996). Further, predicted changes in climate (precipita- cost of repair was at least three times higher than the cost
tion and temperature) would alter storm intensities and of removal (Born et al. 1998). As stated earlier, the liabil-
overall precipitation patterns, resulting in changes in the ity costs have driven many dam owners to the removal
magnitude of flows and sedimentation, and ultimately decision. Other important cost factors include those spe-
the severity of consequences (Emanuel 2005). Rivers cific to a dam’s function (e.g., profit margins for the pro-
impounded by dams lack the capacity to adjust to changes duction of electricity or loss of water supply if removed).
in discharge due to unusual circumstances (Palmer et al. Facets of the local or regional economy may be affected
2008). For example, in 1975 more than 200,000 people by the loss of the impoundment, including recreational
died in the Henan Province of China when the Banqiao and fishing opportunities, tourist revenue, and associated
Dam and at least sixty others collapsed due to the com- jobs. In 1997, Edwards Dam was denied renewal of its
bination of sedimentation and an intense typhoon Federal Energy Regulatory Commission license for
(McCully 1996). hydropower operation after the FERC determined that
the amount of electricity produced did not justify the
amount of environmental harm that resulted from the
Liability Issues
operation of the dam.
In many regions, dam owners are held accountable for Fish passage restoration is a driving economic force for
the safety of dams and are responsible for damages caused the consideration of dam removal. In the case of the
by their failure, even though they may not have built Elwha and Glines Canyon dams on the Elwha River in
the dams. For example, in the US commonwealth of the US state of Washington (removal of which began in
Pennsylvania, dam owners must do what is necessary to September 2011), restoration of the ecosystem, including
prevent injury to persons and damage to property. This anadromous fish passage as well as the cultural and eco-
includes the placement of signs alerting others to the nomic concerns of indigenous peoples, played key roles in
presence of the dam as well as regular inspection, and the dam removal decisions (NPS 2011). (See figure 1.)
maintenance and repair when necessary. Failure to com- Neither of these dams has fish ladders, nor are other
ply can result in civil and criminal actions resulting in jail means such as trucks or boats used to move fish around

DAM REMOVAL • 89
Figure 1. Removal of a Dam on the Elwha River, Washington State,

October 2011
Source: Photo courtesy of Tami Heilemann, US Department of the Interior.
Fish passage restoration is a driving economic force for the consideration of dam removal, which is typically a large operation. The dam on the
Elwha River being removed in this photo was not built with fish ladders or other means of moving fish past the dam.
the dams (which can require considerable resources). In Bushaw-Newton et al. 2002; Bushaw-Newton, Ashley,
Sweden, the cost-benefit analyses for some dam removals and Velinsky 2005). Understanding how the removal of
have included the socioeconomic benefits to the indige- the dam will affect the stream system is a challenge for
nous Sami people, as well as issues of reindeer passage several reasons. First, the current body of knowledge on
and fish passage (Lejon, Malm Renöfält, and Nilsson the effects of dams on stream systems relates primarily to
2009). Additionally, cost-benefit analyses for dam large dams. The majority of removals, however, are
removal, depending on the history of the watershed, may occurring for dams that are considered small; more than
have to take into account the costs of remediation of con- 80 percent of dams removed in the United States in
taminated sediments, the costs of restoring the riparian recent years were less than 20 meters high (American
area, or other environmental or health concerns related to Rivers 2011). Without a comprehensive understanding of
that stream system. how small dams affect physical, chemical, and biological
processes in an ecosystem, it is difficult to predict all the
ecological outcomes of removing a dam. Dam and
Challenges of Dam Removal impoundment size likely play roles in determining the
extent of alteration, but other factors such as climate,
The removal of a dam from a flowing water system is a geology, geography, overall ecology, and human use also
disturbance to that system. Complex relationships exist factor into the magnitude of change (Hart et al. 2002).
among the physical, chemical, and biological factors that Second, fewer than fifty dam removals have been stud-
are related to the presence of the dam (Hart et al. 2002; ied to examine the ecological effects on a stream system.

Figure 2. Possible Consequences of Dam Removal
Short-term loss of
Revegetation vulnerable species Decrease
of streambanks (e.g., fish eggs & in lake
Loss of species
larvae, mussels)
wetlands
Decrease in Increase
water levels in lotic
Change in Return of Change in species
residence time natural flow biological
regime communities Return of
native
Formation species
of new
channel Introduction
of exotic
Downstream Return of species
Change in migration of
stream bed
natural temp.
sediment regime
armoring
Alteration
Creation of Mobilization of of water
sediment Increase
contaminants quality
islands in oxygen
(e.g., heavy metals, Loss of nutrient levels
organic compounds) retention,
mobilization
Source: Bushaw-Newton, Ashley, and Velinsky (2005).
The possible consequences of dam removal are numerous and interdependent. This diagram illustrates general categories of effects that should be
assessed when considering or planning a removal. Note that wetlands associated with riparian areas would most likely continue to exist or form.
(For a list of studies, see Hart et al. 2002.) Most of these and frequency of precipitation events are factors in the
studies are not comprehensive and only cover a few aspects rates of sediment movement. Understanding projected
resulting in strong knowledge of fish movement but little future climate change and the accompanying changes in
knowledge of chemical components (Hart et al. 2002). the water cycle will be pivotal in improving our under-
Unfortunately, none of these studies have continued for standing of dam removal processes.
time periods necessary to assess the responses of all eco- Third, removing a dam requires a strong understand-
system components. While some responses are seen in the ing of the history of the watershed and its hydrology,
fi rst days to months—such as the movement of biota, geology, ecology, and biology. (For a comprehensive list
movement of sediment, and changes in the physical char- of recommendations, see Bushaw-Newton et al. 2002.)
acteristics of the water—other processes such as stream Pre-removal assessments are time consuming, require
formation and tree growth take years, decades, or longer expertise, and are expensive, but they are necessary to
for full maturity (Hart et al. 2002). Also, flowing water determine if dam removal is the right option and how
systems are dynamic and represent a variety of interac- and when the removal should proceed. Other factors
tions of hydrology, geology, climate, ecology, and other should also be considered:
factors. The interactions, responses, and rates of response
for components of a system will not all be the same after • Are there endangered or threatened species present?
dam removal. (See figure 2.) In some systems, the sedi- • Do fish spawn in this system?
ment behind the dam may all be fine-grained and move • Are there mussels and/or other sessile creatures in this
downstream very quickly, while in other systems, the system?
trapped sediment may consist of gravel and take years or • Are invasive species present in the impoundment and/
decades to move downstream. Further, the magnitude or downstream?

DAM REMOVAL • 91
• Are there contaminants (e.g., polychlorinated biphenyls (Provencher, Sarakinos, and Meyer 2008), and several
[PCBs], polyaromatic hydrocarbons [PAHs], heavy researchers have demonstrated that shortly after removal
metals) present in the sediment of the impoundment? (weeks to months) vegetation returns. Stakeholders repre-
• Does this system regularly flood? sent many interests and are key components in the present
When Fort Edward Dam on the Hudson River in the and future state of a watershed, so understanding their con-
US state of New York was breached in 1973, the dam cerns is critical in developing watershed management plans.
owner had not adequately tested for PCBs in the sediment, Finally, funding is often a challenge for a dam removal.
although it was known that upstream of the impoundment Finances should cover not only the removal of the dam,
there was an industrial facility that used and discharged but also meetings with stakeholders as well as any pre- and
the known carcinogenic compounds (Shuman 1995). post-removal assessments to be conducted. The removal of
Today, due to the volume of sediment that has moved very small dams (less than 2 meters high) can run into the
through the river system, parts of the Hudson River are tens of thousands of dollars or higher for the removal
hazardous waste sites requiring cleanup, and certain fish component alone. When assessments are factored into the
there are deemed not edible by the government (EPA finances, the cost can be in the hundreds of thousands.
2011). Dam removals must be viewed within the context Therefore some dam owners may be inclined to forgo the
of a larger watershed management plan and long-term assessments and a detailed removal plan and just blow up
goals. If, for example, the sediment is highly contami- the dam, and this can have serious consequences if con-
nated, but the rest of the watershed downstream has far taminated sediments or endangered species are involved.
lower levels, then the dam removal plan must account for
the ultimate fate of the sediment (e.g., dredging before
removal) and determine if dam removal is the best option.
Outlook
If, however, the sediment in the watershed downstream is
Dam removal is an emerging tool in river restoration that is
already highly contaminated, then the removal of the dam
gaining interest internationally. Although dams continue
is not adding any contaminant into the system that is not
to be important to development and maintenance of land
already present and dam removal should still be viewed as
and water resources and are still being built, they also are
an option. The latter was actually demonstrated in the
now being removed, as they are recognized as being poten-
removal of the Manatawny Creek Dam in Pennsylvania in
tially detrimental and thus not to be added or kept unless
2000, which was part of the larger Schuylkill River water-
their usefulness is judged to outweigh their environmental
shed. Contaminant concentrations in sediments in down-
and socioeconomic impacts. In the United States, Spain,
stream reaches were similar to those measured in sediments
Sweden, France, and other countries, dams are being
in the impoundment (Ashley et al. 2006).
removed to improve the ecology of the water system; to
Fourth, dam removal plans must take into consider-
eliminate maintenance, safety, and liability costs; and to
ation stakeholders’ concerns and interests. Finding com-
restore cultural values. Dam removals represent the result
mon ground and understanding can be difficult. There
of a complex interplay, including ecological, socioeconomic,
are several common stakeholder concerns throughout the
and cultural factors, making the planning and execution of
world that are continually addressed:
removals challenging. Understanding how these factors
• fear of change and unknown consequences interact within a context of a sustainable watershed man-
• the cultural and personal significance of the dam (e.g., the agement plan, and how dam removal fits within the goals
Hoover Dam is a major tourist attraction, although of that plan, are key to improving the overall science and
the chances of a dam of this size being removed are decision-making process. As more removals occur, our
extremely slim) knowledge of the types and rates of responses of ecological
• loss of revenue and recreation opportunities (e.g., fish- components will continue to improve. In turn the uncer-
ing, boating, hunting, swimming) tainties and concerns associated with removal will decrease,
• decrease in property value (e.g., due to loss of lakefront leading to better decisions about the use of dam removal as
property or easy access to a recreational opportunity) a watershed management tool.
• aesthetics of the former impoundment (e.g., will there
only be muddy banks remaining?) Karen L. BUSHAW-NEWTON
• is it necessary? Northern Virginia Community College, Annandale
The majority of these concerns may be overcome by See also Adaptive Resource Management (ARM);
holding meetings with stakeholders that carefully explain Disturbance; Ecological Restoration; Ecosystem
the process and potential outcomes as well as the current Services; Eutrophication; Extreme Episodic Events; Fish
state of knowledge. For example, the removal of dams has Hatcheries; Hydrology; Irrigation; Water Resource
not been shown to cause property values to decrease Management, Integrated (IWRM)

FURTHER READING Maine Department of Marine Resources. (2011). Kennebec River

diadromous fish restoration project. Retrieved September 9, 2011
American Rivers. (2011). Dams and dam removal. Retrieved August 4, from http://www.maine.gov/dmr/searunfish/kennebec/index.htm
2011, from http://www.americanrivers.org/our-work/restoring- McCully, Patrick. (1996). Silenced rivers: The ecology and politics of large
rivers/dams/ dams. New York: St. Martin’s Press.
Ashley, Jeff rey T. F., et al. (2006). The effects of small dam removal on National Park Service (NPS), US Department of the Interior. (2011).
the distribution of sedimentary contaminants. Environmental Elwha fisheries. Retrieved September 9, 2011, from http://www.
Monitoring and Assessment, 114 (1–3), 287–312. nps.gov/olym/naturescience/elwha-fisheries.htm
Born, Stephen M., et al. (1998). Socioeconomic and institutional Nilsson, Christer; Reidy, Catherine A.; Dynesius, Mats; & Revenga,
dimensions of dam removals: The Wisconsin experience. Carmen. (2005). Fragmentation and flow regulation of the world’s
Environmental Management, 22 (3), 359–370. large river systems. Science, 308(5720), 405–408.
Brufao, Pedro. (2008, December 15). Dam removal on a roll in Spain. Palmer, Margaret A., et al. (2008). Climate change and the world’s
Retrieved August 4, 2011, from http://www.internationalrivers. river basins: Anticipating management options. Frontiers in Ecology
org/the-way-forward/river-revival/dam-removal-a-roll-spain and the Environment, 6(2), 81–89.
Bushaw-Newton, Karen L., et al. (2002). An integrative approach Provencher, Bill; Sarakinos, Helen; & Meyer, Tanya. (2008). Does
towards understanding ecological responses to dam removal: The small dam removal affect local property values? An empirical anal-
Manatawny Creek study. Journal of the American Water Resources ysis. Contemporary Economic Policy, 26(2), 187–197.
Association, 38 (6), 1581–1599. RiverNet by European Rivers Network (ERN). (2008). The Saint
Bushaw-Newton, Karen L.; Ashley, Jeff rey T.; & Velinsky, David J. Etienne de Vigan dam and the Maison Rouge dam dismantled for
(2005). A process for assessing the ecological effects of a proposed salmon. Retrieved August 21, 2011, from http://www.rivernet.org/
dam removal. Hydro Revie w, 24 (3), 36–44. general/dams/decommissioning_fr_hors_poutes/stedvig.htm
Emanuel, Kerry. (2005). Increasing destructiveness of tropical Ross, Kate. (2011). Multilateral development banks’ water and
cyclones over the past 30 years. Nature, 436(7051), 686–688. power pipelines. Retrieved September 9, 2011, from, http://www.
Gleick, Peter, et al. (2009). The world’s water, 2008–2009: The biennial internationalrivers.org/en/node/2713
report on freshwater resources. Washington, DC: Island Press. Shuman, John R. (1995). Environmental consideration for assessing
Graf, William L. (1999). Dam nation: A geographic census of dam removal alternatives for river restoration. Regulated Rivers:
American dams and their large-scale hydrologic impacts. Water Research and Management, 11(3–4), 249–261.
Resources Research, 35(4), 1305–1311. Smith, Norman. (1971). A history of dams. London: Peter Davies.
Hart, David D., & Poff, N. LeRoy. (2002). A special section on dam US Environmental Protection Agency (EPA). (2011). Hudson River
removal and restoration. BioScience, 52 (8), 653–655. PCBs. Retrieved September 9, 2011, from http://www.epa.gov/
Hart, David D., et al. (2002). Dam removal: Challenges and opportu- hudson
nities for ecological research and river restoration. BioScience, 52(8), Whitelaw, Ed, & Macmullan, Ed. (2002). A framework for estimat-
669–681. ing the costs and benefits of dam removal. BioScience, 52(8),
Lejon, Anna G. C.; Malm Renöfält, Birgitta; & Nilsson, Christer. 724–730.
(2009). Confl icts associated with dam removal in Sweden. Ecology World Commission on Dams (WCD). (2000). Dams and development:
and Society, 14 (2), Article 4. Retrieved August 4, 2011, from http:// A new framework for decision-making. London: Earthscan.
www.ecologyandsociety.org/vol14/iss2/art4/

Desertification
Desertification can be defined as the transformation of Africa had migrated at least once to neighboring African
arid or semiarid land into desert. Desertification has been countries or to Europe. In Burkina Faso, desertification
blamed on everything from poor land management to can be identified as the cause of 60 percent of the swell-
naturally changing weather patterns. While billions of ing of the main urban centers (UN 2007, 20).
dollars have been spent since the 1960s to combat deserti-
fication, there remains no consensus on causes, remedies, What Is Desertification?
or whether the issue even requires human intervention.
The term desertification originally goes back to the French
T he UN Convention to Combat Desertification offi- colonial forester André Aubréville (1897–1982), who
cially defines desertification as “land degradation in arid, described the process of “savannization” taking place in
semi-arid and dry sub-humid areas resulting from various western Africa, in the tropical forest zone, as desertifica-
factors, including climatic variations and human activities” tion. His ideas became part of a pan–west African forest
(UNGA 1994, 4). In less formal language, desertification orthodoxy shared by British and French foresters, one
could be defined as a process by which a previously arid or constituent of this orthodoxy being the important role
semiarid but productive land becomes a desert. played by traditional farmers’ activities (such as shifting
Drylands (arid or semiarid regions) occupy about cultivation) in destroying forest ecosystems.
40 percent of the Earth’s surface and are home to one- In contrast to this fi rst approach, which included
third of the world’s population. It is believed that, among regions with annual precipitation of up to 1,500 millime-
arid regions of the world, those most affected by deserti- ters (the tropical forest zone), most contemporary defini-
fication are sub-Saharan Africa and the former Soviet tions of desertification focus on arid, semiarid, and
republics of Central Asia, where the risk of land degrada- subhumid areas. These are frequently desert fringes.
tion is also very high. By the beginning of the 1980s more than one hun-
According to the United Nations, desertification is dred definitions of the term already existed. Some are
displacing large populations of people and forcing them complementary, whereas others appear contradictory.
to leave their homes and lands in search of better liveli- The great diversity and mix of defi nitions have led to
hoods. It is estimated that 135 million people—the com- miscommunication among researchers and policy mak-
bined populations of France and Germany—are at risk of ers. As many scholars claim, this overabundance of defi-
being displaced by desertification (UN 2007, 14). The nitions may indicate that the very nature and causes of
problem appears to be most severe in sub-Saharan Africa, the problem remain uncertain.
the Sahel, and the Horn of Africa. It is estimated that
some 50–60 million people will eventually move from Origins and First Assessments
the desertified areas of sub-Saharan Africa toward North
Africa and Europe by the year 2020 (UN 2007, 20). The In the late 1960s and 1970s the Sahel, a transitional band
UN further reports that between 1987 and 2007, nearly between the Sahara desert to the north and the humid
half of the total male population in Mali in western savannas to the south, underwent severe droughts and
93

famine. As a consequence of drought, approximately plowing of marginal areas, and overdrafting of ground-
250,000 people and millions of animals died in six water. In developing countries these practices are intensi-
African countries. This was the first environmental catas- fied by population growth, high population density,
trophe to be televised. Public opinion in developed coun- poverty, poor land management, and inappropriate use of
tries was one of shock, and, for the first time, desertification new and traditional agricultural technologies (Thomas
raised international concern. Another terrible drought and Middleton 1994; Pearce 1992).
devastated the same region from 1983 to 1985. Some attempts have been made to demonstrate that
The response of the United Nations to the environ- population growth has no direct bearing on desertifica-
mental and humanitarian disaster of the Sahel was the tion. It is obvious, however, that in certain situations
organization, in 1977 in Nairobi, of the first international increasing population may put pressure on drylands in at
Conference on Desertification. The conference drew least two different ways. Firstly, increased population
attention to the phenomenon of desertification, brought implies an increased demand for food, which has to be
together representatives of the many countries affected or addressed by increasing production (area under cultiva-
at risk of being affected by the problem, and encouraged tion) or productivity (yields per area). In most cases, the
scientists to research the topic. After the conference, additional food comes from increasing production,
desertification became a major issue of investigation in including an expansion into marginal and more fragile
the academic world and was the subject of hundreds of zones that are usually susceptible to degradation.
articles and books. The problem was also identified in Secondly, with the number of families increasing comes
many other arid and semiarid zones outside Africa, such a parceling of land, with each beneficiary owning smaller
as the European-Mediterranean region. plots that are frequently overcultivated with negative
Since 1977 desertification in Africa has become big consequences.
business, politically sensitive, and a major North–South Economic globalization also puts pressure on farmers
aid issue that has brought considerable financial support and pastoralists (people who raise livestock) in drylands.
from the global North to desertification-related pro- In developing countries, unfavorable trade terms and
grams (Thomas and Middleton 1994). decreasing commodity prices encourage or compel dry-
Desertification is considered one of the biggest envi- land farmers to produce more to increase returns on
ronmental problems of the last few decades and is among poorly priced primary products, thus degrading natural
the World Bank’s priorities of major global environmen- resources.
tal issues (Thomas and Middleton 1994). Since the 1970s On the other hand, in some countries of western
billions of dollars of aid have gone into the Sahel. Yet, Africa where desertification is usually considered to be a
perhaps as little as 2 percent of foreign aid entering the serious threat, land degradation has been ascribed to gov-
Sahel countries has been spent on ecological projects that ernmental policies. Incentives given for cultivating cash
could improve the environment in the long run. The total crops, at the expense of subsistence agriculture, expanded
investment between 1978 and 1990 on antidesertification farmland into the southern fringes of the Sahel, tradi-
projects was around US$6 billion, with little tangible tionally reserved as dry-season grazing areas. Similarly,
effects. During that period, money was spent on projects replacing nomadic pastoral systems with intensive fodder-
that could be better described as economic development: crop cultivation and year-round grazing in Central Asia
building feeder roads, improving water supply, establish- has led to severe pasture degradation (Sneath 1998).
ing seed multiplication facilities, and controlling animal
diseases (Thomas and Middleton 1994).
The conference in Nairobi, more a political meeting Myth or Reality
than a scientific one, gave way to much misinformation
and to a popular image of sand dunes advancing on vil- From the onset of the drought in the Sahel, intense discus-
lages and towns. The threatening vision of sudden burial sions over the nature and causes of desertification have
by sand stimulated urgent calls for action from interna- been raging. Some researchers and scholars have even
tional organizations and donor countries. Nevertheless, begun to challenge the existence of desertification and
as this “advancing desert” narrative faded in the absence have referred to the topic as a myth, an imaginary environ-
of convincing evidence, attention turned to human mental problem, or an “institutional fact” that has been
actions. Humans were blamed for the onset of desertifi- perpetuated by organizations to warrant certain actions.
cation and the disaster it had provoked. It was believed It is clear now that most of the data on desertification
(and to some extent it is still believed) that the main derives from places and periods that were affected by
causes of desertification were anthropogenic: deforesta- either severe drought or long-term reduction in precipita-
tion, overcultivation, overgrazing, increased fi re fre- tion. As a consequence, there is no agreement about the
quency, salination of soil from intensive irrigation, causes of desertification, the extent to which the reported

DESERTIFICATION • 95
changes are natural or human induced, the number of governed by variations in prevailing weather patterns, such
countries affected or at risk, or the reversibility or irre- as annual rainfall or El Niño Southern Oscillation (ENSO),
versibility of the phenomenon. The issue is poorly under- the atmospheric component of the cyclical climate shift
stood; some scientists in the early 1990s wondered known as El Niño (Lambin et al. 2001).
whether a new convention to halt desertification might These results have also led to a reconsideration of the
be more effective than previous flawed efforts. The United role played by the people in the process of desertification.
Nations Conference on Environment and Development Remote sensing studies have found little evidence of
(held in Rio de Janeiro in 1992 and also known as the desertification around villages or watering holes in
Earth Summit) culminated in the creation of the UN Africa. On one hand, traditional nomadic pastoralism
Convention to Combat Desertification (UNCCD), (usually blamed for degrading the environment), charac-
which entered into force in 1996. The objective of this terized by frequent migration and fluctuating herd sizes,
convention is “to combat desertification and mitigate the is well adapted to unpredictable arid and semiarid ecosys-
effects of drought in countries experiencing serious tems. On the other hand, it appears that, at least in some
drought and/or desertification, particularly in Africa, cases, the land in high-population areas might benefit
through effective action at all levels.” Th is should be from water and soil conservation efforts and vegetation
achieved through “long-term integrated strategies that management practices (Mortimore 1989). As late as the
focus simultaneously, in affected areas, on improved pro- beginning of the 1990s, however, UNEP still perceived
ductivity of land, and the rehabilitation, conservation and desertification as a principally human-induced process.
sustainable management of land and water resources, But based on more-recent research, scientists now ques-
leading to improved living conditions, in particular at the tion that view. Their criticism caused the United Nations
community level” (UNGA 1994, article 2). But taking to reconsider desertification drivers, taking a more mod-
into account the limited success of other similar interna- erate view and recognizing the role of natural factors,
tional environmental processes in sectors like climate particularly climatic ones.
change (Brand et al. 2009) or forests (Humphreys 2006),
it is questionable whether the UNCCD will make a Climate Change and Afforestation
greater difference.
During the 1970s and 1980s, the UN Environment The effect of global climate change on desertification is
Programme (UNEP), a UN agency then claiming a complex and not yet sufficiently understood. On the one
global mandate to address desertification, supported the hand, higher temperatures can have a negative impact
view of desertification as “spreading deserts.” The UNEP through increased loss of water from soil and reduced
frequently stated that annually 21 million hectares of rainfall in drylands. On the other hand, an increase in
once-productive soil were reduced by desertification to a carbon in the atmosphere can boost plant growth for
level of zero productivity, and at the beginning of the certain species. Although climate change may increase
1990s it estimated the amount of the world’s land area aridity and desertification risk in many areas, the conse-
threatened by desertification at 25 percent, although for quent effects of biodiversity loss on desertification are
many years UNEP had claimed that it was 35 percent difficult to predict.
(Pearce 1992, 42). In fact, at the time that UNEP was Despite contradictory evidence, the traditional view
disseminating these figures, the effects of desertification about the causes of desertification persists. For example,
in Africa and elsewhere had not yet been documented it is still commonly believed that in Africa the environ-
according to scientific standards. Correspondingly, many ment is being destroyed by traditional land users as a con-
researchers contested the validity of the data, wondering sequence of unregulated land access. In Europe,
where they came from. Mediterranean countries allocate considerable amounts
What has really improved the understanding of arid of money for planting trees to halt the supposed advance
and semiarid ecosystems is the application of remote of the desert, even though a rural exodus and the depop-
sensing technology, particularly high-resolution satellite ulation of inner regions since the 1950s has provoked a
images that can be compared over different periods of natural large-scale expansion of matorrals (shrubland)
time. Within such temporal frames, the edge of the and forests. Large-scale afforestations have been carried
Sahara appears to both advance and retreat, and a net out in the Alpes-Maritimes, central Sicily, Calabria, and
expansion of the desert cannot be detected. Previous southern Sardinia (Th irgood 1981). (Afforestation, in
assessments of desert spread were wrong in assuming contrast to reforestation, is the practice of planting trees
that trends observed in a few isolated places of the Sahel where they have not previously grown in recent history.)
were happening across the entire continent. In Spain, for instance, some 3 million hectares were
Research in 2001 showed how the ecosystems of arid afforested between 1940 and the mid-1980s (Groome
and semiarid regions fluctuate, their biological productivity 1988). Scholars explain the persistence of the old

perspective “by their ‘practical effects’ in serving the Outlook

interests of individuals and institutions making up the
development apparatus” (Bassett and Bi Zuéli 2000, 69). Despite repeated criticism, it is widely recognized that
In many countries, land-rights systems have been tra- desertification represents an important threat to dry-
ditionally transformed, limiting the access of rural com- lands. Given the relevance of this problem, it is surprising
munities to natural resources, in order to allow more state that there is neither consensus on a definition nor is there
intervention in the countryside (Davis 2005; Larson and consensus on the right way to assess the desertification
Ribot 2007). There are also international environmental status of a region. Since the 1980s, contradictory defini-
agencies, development-aid organizations, and nongov- tions have produced both different assessment method-
ernment organizations (NGOs) “seeking to establish ologies and divergent estimates.
their authorities and legitimacy as environmental advo- The coexistence of confl icting definitions and diver-
cates and stewards. The desertification narrative persists gent estimates affects social perception negatively, lead-
in part because it serves to mobilize support for these ing to skepticism and, fi nally, to a delay of possible
groups’ varied agendas” (Bassett and Bi Zuéli 2000, 91). solutions. Societies, as well as international conven-
tions, institutions, and agencies, must recognize the real
Potential Pitfalls progress that desertification research has made, leave
behind notions that no longer represent current knowl-
Controversy also surrounds possible measures to address edge, grasp the opportunity to better understand the
desertification. One popular practice implemented to extent and intensity of the problem, and realize that
halt the spread of deserts is planting trees. Th is was sup- assessing desertification accurately is still an unresolved
ported, for instance, by UNEP’s Plan of Action to issue.
Combat Desertification after the 1977 Nairobi confer-
ence, but the initiative did not succeed, mainly due to Juan GARCÍA LATORRE
poor funding and the lack of engagement with the local Association for Landscape Research in Arid Zones, Spain
population. Other failures have been reported in differ-
Jesús GARCÍA LATORRE
ent geographical regions. The tradition of Mediterranean
Federal Ministry of Agriculture, Forestry, Environment
countries carrying out plantation forestry has already
and Water Management, Austria
been mentioned; such afforestations have included vast
areas of bulldozed semiarid slopes replanted with pines. See also Adaptive Resource Management (ARM);
The result has been soil erosion and the emergence of Agricultural Intensif ication; Comanagement;
dense stands of pine without a shrub layer (Grove and Disturbance; Global Climate Change; Indigenous
Rackham 2001). In spite of these experiences, the pop- Peoples and Traditional Knowledge; Irrigation;
ularity of tree planting still leads politicians to fall back Reforestation; Tree Planting
on afforestation as a demonstrative environmental pol-
icy measure. For instance, in April 2010 the leaders of
the member states of the South Asian Association for FURTHER READINGS
Regional Cooperation (SAARC) committed them- Adeel, Zafar; Safriel, Uriel; Niemeijer, Davi; & White, Robin. (2005).
selves to plant 10 million trees from 2010 to 2015 Ecosystems and human well-being: Desertification synthesis .
(SAARC 2010). Washington, DC: World Resources Institute.
Other measures include privatization of natural Adeel, Zafar, et al. (2007). Re-thinking policies to cope with desertifica-
tion. Hamilton, Canada: United Nations University.
resources (promoted by the World Bank), state interven- Aubreville, André. (1949). Climats, forêts et désertification de l’Afrique
tionism in rural areas, transformation of land-rights sys- tropicale. [Climates, desertification and forests of tropical Africa.]
tems, and exclusion of local people from protected zones. Paris: Société d’Editions Géographiques, Maritimes et Coloniales.
Taking into account that many aspects of the topic are Bassett, Thomas J., & Bi Zuéli, Koli. (2000). Environmental dis-
courses and the Ivorian savanna. Annals of the Association of
still badly understood, care should be used when practi- American Geographers, 90 (1), 67–95.
cally addressing the problem. Researchers note that par- Boerma, Pauline. (2006). Assessing forest cover change in Eritrea—A
ticular consideration should be given to the effects that historical perspective. Mountain Research and Development, 26(1),
proposed measures might have on poor, local com- 41–47.
Brand, Ulrich; Bullard, Nicola; Lander, Edgardo; & Mueller, Tadzio
munities. Specifically, they warn against cookie-cutter (2009). Radical climate change politics in Copenhagen and
planning models typically applied by international insti- beyond: From criticism to action? In Ulrich Brand, Nicola Bullard,
tutions, instead emphasizing “locationally and culturally Edgardo Lander & Tadzio Mueller (Eds.), Contours of climate
appropriate technical and economic options” and “the justice: Ideas for shaping new climate and energy politics (pp. 9–16).
Uppsala, Sweden: Dag Hammarskjöld Foundation. Retrieved
necessity of moving away from regulation and intrusive August 14, 2011, from http://www.dhf.uu.se/pdffi ler/cc6/cc6_
administration” (Bassett and Bi Zuéli 2000, 76). web.pdf

DESERTIFICATION • 97
Darkoh, Kwesi M. B., & Rwomire, Apollo. (Eds.). (2002). Human Nicholson, Sharon. (2002). What are the key components of climate
impact on environment and sustainable development in Africa . as a driver of desertification? In J. R. Reynolds & D. M. Stafford
Burlington, VT: Ashgate Publishing Company. Smith (Eds.), Global desertifi cation: Do humans cause deserts?
Davis, Diana K. (2005). Potential forests: Degradation narratives, (pp. 41–57). Berlin: Dahlen University Press.
s cience, and environmental policy in protectorate Morocco, Pearce, Fred. (1992). Mirage of the shifting sands. New Scientist, 1851,
1912–1956. Environmental History, 10, 211–238. 38–42.
Fairhead, James, & Leach, Melissa. (1998). Reframing deforestation: Prince, Stephen; Brown De Colstoun, E.; & Kravitz, L. L. (1998).
Global analyses and local realities: Studies in west Africa . London: Evidence from rain-use efficiency does not indicate extensive
Routledge. Sahelian desertification. Global Change Biology, 4, 359–374.
García Latorre, Juan. (2004). Deserts. In Shepard Krech, John Saiko, T. A. (1995). Implications of the disintegration of the former
McNeill & Carolyn Merchant (Eds.), Encyclopedia of world envi- Soviet Union for desertification control. Environmental Monitoring
ronmental history (Vol. 1, pp. 303–318). London: Routledge. and Assessment, 37(1–3), 289–302.
García Latorre, Juan; Sánchez Picón, Andrés; & García Latorre, Jesús. Sneath, David. (1998). State policy and pasture degradation in Inner
(2001). The man-made desert: Effects of economic and demo- Asia. Science, 281, 1147–1148.
graphic growth on the ecosystems of the arid southeastern Spain. South Asian Association for Regional Cooperation (SAARC). (2010,
Environmental History, 6(1), 75–94. April 28–29). Th imphu Statement on climate change (16th AARC
García Latorre, Juan, & García Latorre, Jesús. (2007). Almería: Hecha Summit). Retrieved August 14, 2011, from http://www.saarc-
a mano. Una historia ecológica. [Almería: Handmade. An ecological sec.org /user f i les / T h imphuStatementonCl imateCha nge-
history.] Almería, Spain: Fundación Cajamar. 29April2010.pdf
Glantz, Michael, & Orlovsky, Nicolai. (1983). Desertification: A Th irgood, John. (1981). Man and the Mediterranean forest: A history of
review of the concept. Desertification Control Bulletin, 9, 15–22. resource depletion. London: Academic Press.
Groome, Helen. (1988). El desarrollo de la política forestal en el Estado Thomas, David S. G., & Middleton, Nicholas J. (1994). Desertification:
español: Desde la Guerra Civil hasta la actualidad. [The develop- Exploding the myth. New York: John Wiley & Sons.
ment of forest policy in Spain: From Civil War to the present.] Tucker, Compton J.; Dregne, Harold E.; & Newcomb, Wilbur W.
Arbor, 505(29), 65–110. (1991). Expansion and contraction of the Sahara desert from 1980
Humphreys, David (2006). Logjam: Deforestation and the crisis of global to 1990. Science, 253, 299–301.
governance. London: Earthscan. United Nations Conference on Environment and Development
Grove, A. T., & Rackham, Oliver. (2001). The nature of Mediterranean (UNCED). (1993). Agenda 21: Earth Summit : The United Nations
Europe: An ecological history. London: Yale University Press. programme of action from Rio. New York: United Nations
Jiang, Hong. (2009, July 29). China’s Great Green Wall proves hollow: Department of Public Information.
Tree planting damages environment in northern China. Epoch Times. United Nations (UN) Economic and Social Council, Economic
Retrieved August 14, 2011, from http://www.theepochtimes.com/ Commission for Africa. (2007, October 22–25). Africa review
n2/content/view/20291/ report on drought and desertification. Fifth Meeting of the Africa
Kerr, Richard A. (1998). The Sahara is not marching southward. Committee on Sustainable Development (ACSD-5)/Regional
Science, 281, 633–634. Implementation Meeting (RIM) for CSD-16, Addis Ababa,
Lambin, Erik, et al. (2001). The causes of land-use and land-cover Ethiopia. Retrieved December 8, 2011, from http://www.un.org/
change: Moving beyond the myths. Global Environmental Change, esa/sustdev/csd/csd16/rim/eca_bg3.pdf
11, 261–269. United Nations General Assembly (UNGA). (1994). United Nations
Larson, Anne M., & Ribot, Jesse C. (2007). The poverty of forestry Convention to Combat Desertification (UNCCD). Retrieved
policy: Double standards on an uneven playing field. Sustainability December 17, 2010, from http://www.unccd.int/convention/text/
Science, 2(2), 189–204. Retrieved August 14, 2011, from http://pdf. pdf/conv-eng.pdf
wri.org/sustainability_science_poverty_of_forestry_policy.pdf Verón, S. R.; Paruelo, J. M.; & Oesterheld, M. (2006). Assessing
Leach, Melissa, & Mearns, Robin. (Eds.). (1996). The lie of the land: desertification. Journal of Arid Environments, 66(4), 751–763.
Challenging received wisdom on the African environment. Oxford, Ward, David; Ngairorue, Ben T.; Kathena, Johannes; Samuels, Rana;
UK: James Currey. & Ofran, Yanay. (1998). Land degradation is not a necessary out-
Mortimore, Michael. (1989). Adapting to drought: Farmers, famines and come of communal pastoralism in arid Namibia. Journal of Arid
desertification in west Africa . Cambridge, UK: Cambridge Environments, 40, 357–371.
University Press. Warren, Andrew, & Agnew, Clive. (1988). An assessment of desertifica-
Nicholson, Sharon; Tucker C. J.; & Ba, M. B. (1998). Desertification, tion and land degradation in arid and semi-arid areas (Paper No. 2,
drought, and surface vegetation: An example from the west African Ecology and Conservation Unit, University College). London:
Sahel. Bulletin of the American Meteorological Society, 79(5), 815–829. International Institute for Environment and Development.

Disturbance
Disturbances are relatively discrete events in time that population structure and changes resources, substrate
substantially influence ecosystem composition, structure, availability, or the physical environment” (White and
and function. Natural disturbances (such as hurricanes, Pickett 1985, 7). Th is broad definition encompasses a
avalanches, fires, and floods) play important roles in variety of actions that modify landforms (landslides and
shaping landscapes and the biota that evolved with them. volcanoes), soil (floods, erosion, debris flow), biota (fire,
With increasing human population growth and resource insect outbreaks), or any of the processes that link these
demand, the direct and indirect effects of human-caused ecosystem components. Most disturbances produce
disturbances are posing an increasingly complex chal- patchy, heterogeneous effects that depend in part on the
lenge for balancing ecosystem and societal needs. state of the ecosystem at the time of the event (e.g., wind-
storms may blow down large old trees but leave nearby
younger stands relatively intact) and on factors acting dur-
I n common usage, the word disturbance refers to the
breaking up of a settled order or a departure from nor-
mal conditions. Most ecologists do not support a strict
ing the disturbance (e.g., forest fi re patterns driven by
changes in wind speed or direction). One of the most
order in nature or a “normal” set of conditions for any important effects of disturbances is causing an ecosystem
given ecosystem, however. From an ecological perspective, to depart from a trajectory of relatively predictable
disturbances are events that markedly affect ecosystem changes in composition, structure, and function, and
composition, structure, and function. A variety of physical either resetting or accelerating the sequence, or deflecting
(fi re, windstorm, floods) and biological (outbreaks of the ecosystem toward an alternate development pathway.
insects, parasites, or pathogens) agents cause ecological Human-caused disturbances are superimposed on the
disturbances. They elicit ecosystem change through suite of natural disturbances in any landscape. Humans
directly modifying the biophysical environment, which may dam rivers, clear forests, dump toxic chemicals, and
indirectly affects the composition of plant and animal spe- transport plant and animal species to new environments.
cies. Disturbances also affect biota directly, by selectively In some cases, human-caused disturbances are an inte-
killing certain species (e.g., flooding may kill all but the gral part of the ecosystems as we know them. Although
most flood-tolerant tree species in a floodplain forest) and a controversial topic, burning by Native Americans is
initiating changes in the mutualistic and competitive widely believed to have been a key feature of many eco-
interactions among species. When the focus is on an estab- systems throughout the Americas (Denevan 1992).
lished community, disturbances clearly are events that dis- Other human-caused disturbances, such as extensively
rupt community development. Given a broader perspective, clearing tropical rain forests for agricultural use, have
however, disturbances from volcanism and tsunamis to drastic effects that may be irreversible.
local avalanches, floods, and fires are essential processes
shaping landscapes and the biota that evolved with them. Importance of Scale
The US plant ecologists Peter S. White and Steward T.
A. Pickett define disturbance as “any relatively discrete The events viewed as disturbances vary according to the
event in time that disrupts ecosystem, community, or spatial and temporal scale of consideration. For example,
98

DISTURBANCE • 99
the windthrow of a single forest tree (i.e., the tree’s uproot- (e.g., protection from predators); and (3) biological modi-
ing and overthrowing caused by wind), and the associated fications of the physical environment, including soil
changes in soil, microclimate, and available light may be aggregates, rooting channels, ant mounds, and pit-and-
important disturbances that alter, accelerate, or reset for- mound microtopography (i.e., hollows with new soil cov-
est succession in the forest gap. When ecologists focus on erage that can foster the growth of buried seeds or
broad forest landscapes, however, they see the variation in seedlings), a condition resulting from uprooted trees.
forest composition and structure associated with such Human-caused disturbances, such as clear-cutting, tend
treefall gaps as part of the heterogeneity characteristic of to remove more of these legacies and do so in a more uni-
an otherwise undisturbed forest, and only those wind- form pattern than natural disturbances. As a result, pat-
storms that affect numerous trees over extensive areas are terns of recovery following human-caused disturbances
viewed as disturbances (Everham and Brokaw 1996). typically are simplified compared to those following nat-
Similarly, at short timescales, scientists may view the ural disturbance.
annual flooding and debris flows along the margin of a
glacier as disturbances that create new landforms and
influence local patterns of species colonization and elimi- Adaptations
nation (Matthews 1992). If ecologists focus at a scale of
tens of thousands of years, however, they may consider the Plant and animal species exhibit numerous adaptations
terrain and biota relatively stable for centuries at a time, and life-history strategies for (1) avoidance of damage by
but they may see glaciation as a disturbance that reshapes disturbances, (2) recovery following disturbance, (3) colo-
the landscape and promotes the gradual development of nization after disturbances, and even (4) promotion or
new assemblages of plant and animal species. facilitation of disturbances. Thick bark, a tree’s self-
pruning of its lower branches, and rapidly
decomposing foliage, for example, help pro-
Biological Legacies tect trees from fire damage. Many plant
species can sprout from the root crown,
Most natural disturbances leave rhizomes, or other structures, which
living and dead organisms at var- enables rapid recovery following dam-
ious densities and patterns across age by fi re, grazing, or numerous
the landscape. These biological other factors. Light, wind-borne
legacies of the predisturbance seeds, water-dispersed seeds in areas
ecosystem strongly influence prone to flooding, and long-term
the direction and rate of devel- seed storage in dormant seed banks
opment in the recovering eco- enable rapid colonization following
system (Franklin et al. 2000). the removal of plant cover. Several
For example, following the species found in fire-prone environ-
1980 eruption of Mount St. ments (e.g., jack pine and lodgepole
Helens, the blast zone was not pine in North America and species
a barren moonscape to be recol- of the genus Banksia in Australia)
onized only by dispersal from store seeds in closed (serotinous)
along its margin. Instead, numer- cones that open to release the seeds
ous plants and animals survived in only when exposed to high tempera-
various types of refugia (e.g., tree seed- tures associated with burning. Some
lings that survived beneath snowbanks and researchers hypothesize that in fire-prone
seeds, spores, roots, and hibernating animals environments, species whose regeneration
that survived below ground) that provided multiple depends on the reduction of competition or expo-
sources for recolonization (Dale, Swanson, and Crisafulli, sure of seedbeds by fire tend to exhibit characteristics that
2005). Biological legacies of the predisturbance ecosys- promote the spread of fire, including flammable foliage
tem persist in three general forms: (1) live individuals or (conifers and chaparral shrubs, for instance, generally are
seeds, spores, fungal hyphae, and other structures (e.g., more flammable than deciduous trees) and the retention of
rhizomes) capable of regenerating into new organisms; dead leaves and branches (Gagnon et al. 2010).
(2) nonliving structures, such as dead wood in forests or Animal species also exhibit numerous strategies for
coral in marine systems, that moderate microclimate and persistence in disturbance-prone environments. For
provide an energy source and critical habitat functions example, salmon are well adapted to the highly dynamic

stream systems in the Pacific Northwest of the United such a fire regime, each fi re produces abrupt changes in
States. Relatively infrequent fires in the surrounding for- the relative abundance of certain plant and animal spe-
ests followed by floods and debris flows episodically cies and in nutrient cycling and hydrology that are likely
deliver, transport, and rearrange large volumes of sedi- to persist for several decades (Romme et al. 2011). By
ment and logs in these streams (Swanson et al. 1998). contrast, in other regions where fire-free intervals rarely
Such processes destroy salmon habitat in the short term, last longer than ten to twenty years and fl ame lengths
but they sustain many of the habitat features that salmon usually are too short to kill more than individual or small
require in the long term. Adaptations that help salmon groups of trees, each fire is likely to have comparatively
persist under the dynamic habitat mosaics characteristic little effect on plant and animal communities or ecosys-
of these stream systems include high fecundity rates, adult tem dynamics. In the case of such a frequent disturbance,
straying, and juveniles’ high mobility (Reeves et al. 1995). however, activities that suspend or exclude these distur-
bances (e.g., active suppression of fire or river damming)
may constitute the disturbance that leads to new and
Regimes
unexpected consequences (Allen et al. 2002; Gergel,
Dixon, and Turner 2002).
Although individual disturbance events may gain much
attention, especially those affecting large areas, ecologists
need to understand multiple, successive events within a
given region to understand the ecological role a disturbance
Human-Caused Disturbances
agent plays in that region. Scientists commonly describe
To some degree, human-caused disturbances affect almost
the series of multiple, overlapping disturbances as a distur-
every ecosystem around the world. People intentionally
bance regime and define it by the following characteristics:
clear forests for agricultural use, accidentally spill toxic
(1) disturbance type or the agent of disturbance;
chemicals, and unintentionally alter global carbon
(2) seasonality; (3) frequency (the num-
and nitrogen cycles as a
ber of disturbances at a given point
consequence of agricul-
per unit time); (4) extent; (5) mag-
tural methods and burn-
nitude, described either as inten-
ing fossil fuels (Vitousek
sity (a measure of physical force,
et al. 1997). Human-
such as the energy released per
caused disturbances (also
unit time in a fire or wind speed in
known as anthropogenic dis-
a hurricane) or severity (a measure
turbances) are not new to eco-
of the effects of the disturbance
systems, but as human population
on organisms or the ecosystem);
and resource demand grows, the
(6) internal patchiness, described in
extent and magnitude of many of
terms spatial variation in distur-
these disturbances increase, as
bance magnitude; (7) synergism, or
they increasingly affect areas
the effect of disturbances on subse-
that previously had little
quent disturbances by the same or dif-
human impact.
ferent agents; and (8) predictability or
Early anthropogenic dis-
variability in the above characteristics
turbances include widespread
(White and Pickett 1985; White and
burning during the initial
Jentsch 2001).
human colonization of
The classification of a series of
Australia (c. 45,000–50,000
recurring disturbances and
years ago), which may have
their effects into generic
triggered a series of megafaunal
types of disturbance
extinctions and vegetation
regimes repeated in
change (Miller et al. 2005).
multiple regions pro-
Similarly, the initial Polynesian
vides a means for com-
settlement of the South Island
paring the ecological
of New Zealand in the thir-
roles of disturbances
teenth century brought the
among regions. A regime of
widespread use of fi re to for-
relatively infrequent and severe
ests that had little history of
forest fires, for example, is common to most
fire (e.g., fires previously had
boreal and subalpine forests around the world. Under

DISTURBANCE • 101
occurred about every 1,000 years). Because most vegeta- and continuing into the twenty-fi rst century (Westerling
tion was poorly adapted to fire, a relatively small human et al. 2006). Multiple factors have contributed to this
population was able to rapidly deforest much of the island increase, each with different implications for manage-
(McWethy et al. 2009). ment. In some cases, the suppression of formerly fre-
Many recent anthropogenic disturbances have had quent fi re has enabled an increase in tree density, which
severe effects. Oil spills such as the Exxon Valdez inci- leads to greater fuel amount and connectivity, and thus,
dent in Prince William Sound, Alaska, and others in the greater potential for extensive, severe fires. In these for-
Gulf of Mexico even before the recent British Petroleum ests, thinning small trees followed by the reintroduction
spill in 2010, have profoundly affected marine wildlife of low-severity fi res may be a useful strategy for reducing
in the short term, and they may lead to unsuspected future severe fi res. Other forests historically burned
long-term impacts on trophic chains and other species infrequently and only under the most severe (dry and
interactions (Peterson et al. 2003). In addition to the windy) weather conditions. High densities of small trees
direct consequences of anthropogenic disturbances, in these forests are not a consequence of the suppression
humans indirectly alter natural disturbance regimes. of formerly frequent fi res. Th inning these trees in an
Few regions around the world are unaffected by grazing effort to reduce fi re risk may have little effect under
by introduced livestock species. The late nineteenth- and severe weather conditions, when these forests are most
early twentieth-century initiation of livestock grazing in likely to burn. It is critical for planners to avoid broadly
the American Southwest profoundly impacted the fi re applying generalized management prescriptions (Baker,
regime. By decreasing the continuity of grasses that pre- Veblen, and Sherriff 2007).
viously carried surface fi res, grazing contributed to
abundant establishment of pine seedlings, which even-
tually grew to form a taller fuel capable of carrying fi re The Future
through the crowns of the widely spaced older trees
(Cooper 1960). Managing disturbances is a complex endeavor that
requires a thorough understanding of multiple aspects of
ecosystems, ecology, and societal needs (Turner 2010).
Management Despite the increasing experience and knowledge that
scientists are gaining, they need more research to suc-
Ecosystem management in the context of disturbances cessfully manage the complex disturbance scenarios,
requires the combination of insight and knowledge from such as disturbance interactions and novel disturbances,
multiple disciplines ranging from ecology (how will the which are occurring on Earth today.
ecosystem respond to treatments?) to sociology (what is Alan J. TEPLEY, Juan PARITSIS, and Thomas T. VEBLEN
the acceptable degree of disturbance for an inhabited University of Colorado
area?). Disturbance management approaches are highly
variable and depend on the objective they pursue. In See also Adaptive Resource Management (ARM);
some cases, the objective could be to maintain the distur- Complexity Theory; Dam Removal; Desertification;
bance regime within the natural bounds of variability Ecological Restoration; Extreme Episodic Events;
(Keane et al. 2009). In others, the objective may be com- Fencing; Fire Management; Indicator Species; Outbreak
plete suppression of disturbance to protect objects of Species; Refugia; Regime Shifts; Resilience; Shifting
value, such as homes. Managers may employ multiple Baselines Syndrome; Succession
strategies to reach a common objective, but determining
the most effective strategy requires detailed knowledge of
the local landscape. FURTHER READING
Disturbance management is a contentious subject.
Allen, Craig D., et al. (2002). Ecological restoration of southwestern
Wildfi re management in the western United States is ponderosa pine ecosystems: A broad perspective. Ecological
one of the most controversial natural resource manage- Applications, 12 (5), 1418–1433.
ment issues today, as it transitions from a policy aimed Baker, William L.; Veblen, Thomas T.; & Sherriff , Rosemary L.
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Ecological Forecasting
Ecological forecasting is the integration of physical, bio- single events such as predicting nutrient leaching from a
logical, and sometimes social models to predict how forest following a rain storm. It seeks to ask specific ques-
organisms and ecosystems will respond to environmental tions such as “how will precipitation over the next season
change. Forecasts vary spatially from a local area to the influence the grape harvest?” or general questions such as
entire globe and temporally from a single event to centu- “what will be the impact of climate change on the distri-
ries. Applications include predicting distribution shifts of bution of biodiversity?”
species and ecosystems in response to climate change and
predicting the spread of diseases and introduced species.
Methods
W eather forecasts allow us to appropriately prepare

for encounters with the environment on a daily
basis. Forecasts are essential to deciding whether to leave
Most ecological forecasting models involve a budget bal-
ancing inputs and outputs. At the ecosystem scale, eco-
system models account for nutrient fluxes between
the house with an umbrella or a sun hat. Human activi- nutrient reservoirs, and hydrologic models account for
ties responsible for greenhouse gas emissions and land the movement of water between pools. At the scale of
conversion are fundamentally altering the physical envi- individual organisms, energy losses and gains from
ronment on a global scale. Predicting how organisms and interactions with the environment can be accounted,
ecosystems will respond to these changes is imperative often as a heat budget. Most predictions of organismal
for policy and planning. Analogous to weather forecasts, responses to climate change or new environments, how-
ecological forecasting seeks to predict how organisms and ever, have involved using statistical correlations to relate
ecosystems will respond to chemical, biological, and the presence or absence of individuals to environmental
physical changes in the environment. conditions such as temperature and precipitation. These
A primary application of ecological forecasting has been models rely on defining an environmental niche or climate
predicting how species’ abundance and distribution will envelope. They assume that a species will maintain a con-
shift in response to environmental change. Other impor- stant niche and will thus track their environmental lim-
tant applications include predicting the spread of diseases its through space as climate changes. While this method
and introduced species, and ecosystem responses to altered can readily produce forecasts with only geographic coor-
nutrient concentrations and land use change. Physical dinates of species’ localities and gridded environmental
applications include predicting ecosystem nutrient cycling data, the method has several limiting assumptions
and hydrological dynamics. Ecological forecasting initia- (Buckley et al. 2010).
tives ultimately aim to predict the implications of environ- One limitation concerns the likelihood that large por-
mental change on biodiversity and ecosystem services. tions of the globe will experience novel climate conditions
Ecological forecasting may be applied at spatial scales by 2100 due to climate change (Williams and Jackson
ranging from a local area to the whole world, and at 2007). These novel climates pose two challenges to envi-
temporal scales ranging from months to decades or even ronmental niche models. First, the models assume that
centuries. Ecological forecasting may also be applied to the relationship between climate gradients such as
104

ECOLOGICAL FORECASTING • 105
temperature and precipitation will remain fi xed. Second, (e.g., Breeding Bird Survey, Christmas Bird Count) and
the validity of the models in extrapolation is uncertain. butterfl ies (e.g., Fourth of July Butterfly Count) provide
Additionally, the models generally omit all biological important abundance and distribution data.
details. These omissions include geographic variation in The biophysical models used in ecological forecasting
species’ characteristics including thermal tolerance and require environmental information including surface and
well as species interactions. The models are based on envi- air temperature, radiation, wind speed, reflectively of the
ronmental conditions averaged over long time periods surface, and measures of water availability. Compilations
(e.g., annually), while environmental conditions can influ- of weather station data both regionally and globally pro-
ence organismal physiology over the scale of minutes. vide this information. This weather station data has been
Models that incorporate additional biological details interpolated to produce gridded environmental data.
are rapidly emerging as a complement to correlative spe- Another important source of information on spatial vari-
cies distribution models that attempt to overcome these ability is remotely sensed data from aircrafts and satel-
limitations. These mechanistic models attempt to describe lites. Within the United States government both NOAA
the processes that constrain a species’ abundance and (National Oceanic and Atmospheric Administration)
distribution. The models generally require detailed infor- and NASA (National Aeronautic and Space
mation on physiology, morphology, and the environment. Administration) sponsor initiatives to make remotely
Biophysical models account energy losses and gains from sensed data available for ecological forecasting.
an organism’s interaction with the environment. Th is Additionally, NOAA has proposed a national climate
energy budget enables predicting the organism’s body service to expand its weather forecasting to longer time
temperature. The predicted body temperatures, termed scales. NASA’s Ecocast program focuses on “monitoring,
operative environmental temperatures, can be compared to modeling, and forecasting ecosystem change.” In
the organism’s thermal limits to forecast thermal and Australia, CSIRO (Commonwealth Scientific and
water stress and ultimately mortality. Some mechanistic Industrial Research Organization) and its climate adap-
models use biophysics as a basis for directly predicting tation fl agship are focused on ecological forecasting.
abundance and distribution. These models translate body Similar initiatives are distributed globally.
temperatures into energetics and performance and ulti- Emerging initiatives are implementing biological and
mately demography. Plant growth models are employed climate data collection programs specifically focused on
to estimate photosynthesis rates as a basis for demogra- ecological forecasting. The National Ecological
phy. The implementation of these models is currently Observatory Network (NEON) is a proposed observa-
sharply limited by the availability of data on organismal tory network across the United States that aims to “enable
traits and detailed environmental data. forecasting of ecological change at continental scales over
multiple decades” (NEON n.d.). NEON has partitioned
the United States into twenty domains based on similari-
Data Resources ties in habitat and climate. Representative sites in each
domain will be the focus of airborne observations, and
Ecological forecasting is an emerging approach that experiments and will be linked in a sensor network. Raw
focuses on assembling detailed organismal and environ- data on climate and atmosphere, soils and hydrology, and
mental data and using this data in detailed models to a variety of organisms will be synthesized into data prod-
predict organismal responses to environmental change. ucts that can serve as the base for ecological forecasting.
The collection and assembly of plant trait data are accel- Validating and testing ecological forecasting methods is
erating. For example, a network of vegetation scientists essential to increasing confidence in their predictive capac-
comprise the TRY Initiative (n.d.), which aims to assem- ity. The models may be validated by predicting current
ble a global database of plant traits. Databases for ani- abundances or distributions based only on organismal traits
mals have lagged somewhat behind. Information on and environmental conditions. This is known as nowcasting.
species’ abundances and distributions is increasingly A robust model test is to parameterize the model based on
available with the expansion of online bioinformatics past conditions and test the model by predicting more
tools. Long-standing surveys of consistently located grid recent distributions and abundances. Predicting responses
cells or transects continue to provide important abun- to past environmental changes is known as hindcasting.
dance and distribution data. The most extensive survey
programs are in Europe, particularly in the United
Kingdom, where the British Trust for Ornithology mon- Applications
itors birds and the Biological Records Center monitors a
wide variety of freshwater and terrestrial organisms. In Ecological forecasting is a relatively new endeavor and has
North America, long-running seasonal surveys of birds had only a limited application to ecosystem management

as of 2011, but its implementation is rapidly accelerating annual temperature fluctuations in the tropics drive spe-
as data resources accumulate and climate change accelerates. cies to specialize their physiology to a narrow range of
While much legislation aimed at curbing greenhouse gas environmental temperatures (Tewksbury, Huey, and
emissions focuses on constraining the temperature Deutsch 2008).
increase at a future time period, say a 3°C temperature Assisted migration is the act of deliberately moving
increase by 2100, little is known about how these tem- potentially imperiled species to areas where they can
perature increases will impact organisms. Will a threat- thrive in an appropriate environmental niche when they
ened plant species be able to withstand a 3°C warming but cannot move there on their own. It is increasingly consid-
face extinction if temperatures rise by 5°C? Ecological ered as a last-ditch conservation effort particularly in
forecasting is essential to considering the potential ramifi- response to climate change. Ecological forecasting pre-
cations of environmental policies and to informing future dictions would be central in identifying the appropriate
management needs. Understanding the potential impacts areas to which species should be moved. Indeed, in an
to biodiversity and ecosystems service of continuing to initial test of the viability of assisted migration, environ-
emit greenhouse gases at current rates is central to moti- mental niche modeling was used to identify where a spe-
vating policies to curb emissions. cies of butterfly should be relocated. Ten years since the
Rising temperatures are already pushing organisms assisted migration, butterfly populations
toward their thermal limits, and atmospheric concen- are thriving in their new locations
trations of greenhouse gases commit us to fur- (Willis et al. 2009).
ther temperature increases. It is thus Ecological forecasting has
essential to identify and mitigate spe- been applied to inform agricul-
cies and ecosystems that are likely to tural management. For exam-
be particularly impacted. One ple, the NASA Terrestrial
notion is that ecological forecasting Observation and Prediction
should be used by biologists and System (TOPS) program has
resource managers to implement been involved in producing
ecological triage. Concentrating on forecasts to aid planning by
areas where species are likely to be the California wine industry.
pushed just over their stress limit Warmer satellite-observed sea
may provide the most effective use surface temperatures (SST) have
of limited resources and personnel been found to enhance wine qual-
effort. Consider a series of reserves ity via reduced humidity and frost
threatened by a gradient of habitat frequency and a lengthened grow-
degradation in addition to climate ing season (Nemani et al. 2001). SST
change. It may be futile to expend has thus been used to predict vintage
resources on the most degraded quality. Measures of vegetation growth
reserve where the multiple stressors such as leaf area index have been use to
may commit species to extinction parameterize ecosystem models, which pre-
regardless. Conversely, in the least dict optimal irrigation practices for maintaining
degraded reserve, the ecosystem may be vines at preferred water stress levels (Nemani et al. 2001).
sufficiently robust to withstand increased temperature
stress. Resources may be best allocated to a reserve with
intermediate habitat integrity. Restoration efforts there Outlook
may increase resiliency to thermal stress and enable
persistence. Despite the imperative for consistent and reliable ecologi-
Ecological forecasting is providing potentially crucial cal forecasts, progress toward this goal has been slow. One
information about which geographic regions are likely to impediment is the need to coordinate expertise across dis-
be most sensitive to climate change. Traditionally, ciplines. Integrating surface and remotely sensed environ-
researchers have thought that the ecological impacts of mental data sets requires expertise and substantial
climate change will be concentrated in polar regions, computing capacities for processing and storage. The
where temperature increases are expected to have the environmental data must be processed in a manner that is
largest magnitude. But when one uses organismal biology relevant to organisms and ecosystems, and biologists must
to translate temperature changes into thermal stress, it assemble and contribute relevant organismal data. New
appears likely that tropical organisms may incur the most modeling approaches are required to integrate environ-
severe ecological impacts. Th is is because the lesser mental and organismal data. The potential for rapid

ECOLOGICAL FORECASTING • 107
progress in ecological forecasting is offered by emerging Helmuth, Brian, et al. (2010). Organismal climatology: Analyzing
initiatives bringing together computer scientists, remote- environmental variability at scales relevant to physiological stress.
Journal of Experimental Biology, 213(6), 995–1003.
sensing specialists, climate modelers, hydrologists, and Kearney, Michael, & Porter, Warren. (2009). Mechanistic niche mod-
organismal and quantitative biologists. Improvements in elling: Combining physiological and spatial data to predict species’
computing and sensor technologies and in climate change ranges. Ecology Letters, 12 (4), 334–350.
projects should facilitate this progress. Understanding the National Ecological Observatory Network (NEON). (n.d.). Homepage.
Retrieved July 22, 2011, from http://www.neon.org/
impacts of environmental change on species, hydrology, Nemani, Rama R., et al. (2001). Asymmetric warming over coastal
agriculture, and ecosystems will be essential to the main- California and its impact on the premium wine industry. Climate
tenance of ecosystem services and biodiversity. Research, 19 (1), 25–34.
Nemani, Rama R., et al. (2003). Biospheric monitoring and ecological
Lauren B. BUCKLEY forecasting. Earth Observation Magazine, 12 (2), 6–8.
University of North Carolina at Chapel Hill Nemani, Rama R., et al. (2006). Terrestrial observation and prediction
system (TOPS): Developing ecological nowcasts and forecasts by
See also Adaptive Resource Management (ARM); integrating surface, satellite and climate data with simulation mod-
els. In U. Aswathanarayana (Ed.), Research and economic applications
Agroecology; Best Management Practices (BMP); of remote sensing data products (pp. 3–20). Leiden, The Netherlands:
Biogeography; Boundary Ecotones; Complexity Taylor & Francis Book Series.
Theory; Ecosystem Services; Edge Effects; Global Tewksbury, Joshua J.; Huey, Raymond B.; & Deutsch, Curtis A.
Climate Change; Habitat Fragmentation; Indicator (2008). Putting the heat on tropical animals. Science, 320 (5881),
1296–1297.
Species; Keystone Species; Plant-Animal Interactions; TRY Initiative on Plant Traits. (n.d.). Homepage. Retrieved July 22,
Population Dynamics; Species Reintroduction 2011, from http://www.try-db.org/
Turner, Woody, et al. (2003). Remote sensing for biodiversity science
and conservation. Trends in Ecology & Evolution, 18 (6), 306–314.
Williams, John W., & Jackson, Stephen T. (2007). Novel climates,
FURTHER READING no-analog communities, and ecological surprises. Frontiers in
Buckley, Lauren B., et al. (2010). Can mechanism inform species’ dis- Ecology and the Environment, 5(9), 475–482.
tribution models? Ecology Letters, 13(8), 1041–1054. Willis, Stephen G., et al. (2009). Assisted colonization in a changing
Clark, James S., et al. (2001). Ecological forecasts: An emerging climate: A test study using two UK butterfl ies. Conservation
imperative. Science, 293(5530), 657–660. Letters, 2 (1), 46–52.

Ecological Restoration
Ecological restoration refers to the process of restoring native diversity is not essential for ecosystems to func-
damaged ecosystems. This is accomplished through an tion. As diversity is lost, however, the ecosystem pro-
accurate assessment of the ecosystem’s processes, iden- cesses with which those species are involved will begin to
tifying and reversing the environmental stressors or diminish. Restoring missing species, therefore, is a pri-
causes of dysfunction, conducting an inventory of native mary approach to ecosystem restoration.
plants and animals, and reintroducing absent species so
the ecosystem regains ecological balance and stability.
Structure
N o ecosystem on Earth has escaped at least some level
of disturbance resulting from human activity, rang-
ing from complete conversion to artificial structures,
Whereas every species in an ecosystem plays some role
in one or more ecological processes—some far more
such as cities, to minor contamination by toxic chemicals. important than others—only a handful of species play
The result is a diminished resiliency, the ability of dam- important roles in structure. Because most species in an
aged ecosystems to maintain themselves against contin- ecosystem are not easily seen, and, indeed, most may not
ued insult. Ecological restoration is human intervention even be known, it is easy to forget that the vast majority
intended to restore or improve impaired or dysfunctional of species are cryptic if not microscopic. Most of the
ecological processes. myriad insects and many of the smaller vertebrates, for
Healthy ecosystems perform a myriad of complex pro- example, are seldom seen. It is the fungi, bacteria, and
cesses carried out by teams of component species. When archaea (a specialized group of single-celled microorgan-
one or more populations of species is lost or reduced, the isms), however, that comprise most of the diversity in an
processes with which those species are involved are ecosystem, and many of these species have yet to be dis-
diminished. covered. The structure of an ecosystem is primarily pro-
Ecosystems can be viewed from three perspectives: vided by plants, with a few important exceptions, such as
composition (biodiversity); structure (primarily the size coral in a reef. Consider a forest. There are big trees,
and age of the vegetation present); and processes (all the smaller trees, shrubs and vines, epiphytes (plants, such as
physical and chemical interactions between and among the bromeliads, or those commonly called air plants that
component species). It is the composition—the species— attach themselves to other plants), and perhaps ferns and
that creates the structure and carries out the processes. other herbaceous species on the forest floor. In undis-
While the aim of ecological restoration is restoration of the turbed forests, there will be standing dead trees in vari-
processes, the approach is nearly always through adjust- ous stages of decay, fallen trees and limbs, and other
ments in structure, or more commonly, species. coarse and fine litter over the soil. Even the soil is struc-
Because of overlapping niches, many species can per- tured, from the recently fallen litter through various
form similar processes. Rich diversity usually means stages of decay and incorporation into the mineral layers.
there will be more overlapping niches, such that ecologi- Not only does this structure provide the habitat for all
cal processes suffer relatively little when one, or a few, the other species that are part of the community, but the
species is missing. For this reason a full complement of species, in turn, interact with the plants to create and
108

ECOLOGICAL RESTORATION • 109
develop the structure. This is especially true of the soil, First, one must assess the nature of the original ecosys-
where the decomposition process and incorporation of tem. While this will be immediately obvious if the dis-
organic material depends largely on organisms associated turbance is relatively minor, it may require quite a bit of
with the plants. It is sometimes possible to adjust struc- investigation if the alteration is severe. For example, it
ture and restore habitat and species that, in turn, correct will not be obvious what natural ecosystem was present
dysfunctional ecological processes. For example the res- where one now finds only a cultivated field or a pasture.
toration of savannas or prairies overgrown by invasive That will require investigating the soil, topography, his-
woody plants is best achieved with combinations of cut- toric documents, or interviewing older neighbors who
ting and fire to reduce the woody vegetation. may remember the area before it was badly disturbed.
At a basic level, ecological processes involve energy Second, with a good idea of the nature of the original
transformations and shifts in chemical structures. Nutrient ecosystem, including dominant species, one needs to
cycling is a good example. This process, fundamental to locate nearby reference areas that are matched as closely
healthy ecosystem function, involves use of potential energy as possible to soil, topography, and hydrology. Protected
primarily by plants, fungi, bacteria, and archaea to absorb natural areas are ideal references, but there may also be
dissolved compounds and convert them to remnant communities tucked away along railroads, field
needed vitamins, enzymes, or tissues. corners, or “back 40s”—remote, uncultivated areas on a
Animals largely obtain needed ranch or farm—where many of the species have
nutrients from other organisms that survived. The aim is to determine what species
make up their diet. Following were part of the original community and
death or excretion, the complex how the ecosystem functioned. Was it
molecules are oxidized by decom- maintained by periodic fi res? Did it
posing organisms, releasing f lood in the spring? Have any
energy that is used to support important species become extinct
their metabolic requirements. or been extirpated from the
Eventually the nutrients are area? Th is initial investigative
released into the soil or water in phase may take a few hours or
water-soluble forms that can several months, but it is essen-
again be absorbed. In a typical tial to do it well, before begin-
nutrient cycle, hundreds of dif- ning restoration.
ferent species from two or more In ecological restoration,
kingdoms will be involved. one must strive to work with
There are some ecological nature. In most instances, suc-
processes in which a species or cession will lead an ecosystem
small group of species plays a toward what occupied the site
unique role. Examples include before it was disturbed. Sometimes,
the nitrogen cycle, in which all that is needed is to mitigate the
very specialized bacteria are stressors that resulted in the distur-
responsible for critical chemical bance. Stressors are those perturba-
transformations, or pollination of some tions or altered conditions that caused
flowers that rely on specific pollinators. These the ecosystem to lose its integrity in the fi rst
relationships can give rise to cascading effects whereby loss place. For example, fragmentation of landscapes, cou-
of one species will result in the decline or loss of others pled with fi re-control efforts, were largely responsible
that in turn lead to the decline of still others. The term for the invasion of woody vegetation into prairies and
keystone is applied to a species whose influence in an eco- savannas in the Midwest. Initiating a prescribed fi re
system is disproportionately large compared to its numbers regime often is all that is needed to restore these
or biomass. In restoration, it is especially important to rec- ecosystems.
ognize when a keystone species is missing. Working with nature means understanding where
succession would go if given the opportunity, and assist-
ing the process. It is at least theoretically possible to con-
Assessment and Reference Areas vert a damaged ecosystem to something quite different
from what was there, but to do so requires more effort,
Successful ecological restoration must begin with identi- and the end result would likely be unstable and require
fication of missing species and dysfunctional processes. considerable maintenance. For these reasons the prelimi-
There are two components of this initial investigation. nary investigation to determine the nature of the original

ecosystem and the stressors that altered it is critical to Fragments of ecosystems are always more difficult to
successful restoration. maintain and are often too small to adequately address
primary stressors.
Mitigating Stressors Restoration Practices

Mitigating stressors is the first step in restoration once the The kinds of restoration practices, and the sequence of
ecosystem has been defined. The factors that result in applying them, should be dictated by the stressors. When
deterioration of ecosystems can be natural or caused by the investigation and planning is completed, initial res-
humans. Most species, and communities as a whole, are toration efforts should be directed at mitigating the
adapted to deal with natural phenomena, unless they stressors. Often that is the only restoration required
are extreme or unique. Ordinarily, ecosystems will restore unless key species cannot return without assistance.
themselves when disturbed by events such as droughts, A list of the dominant species that populated the orig-
fire, floods, and the like. While these can create stress in inal ecosystem is one of the products of the initial inves-
natural communities, they usually are not considered tigation. Because plants comprise the majority of
stressors. Human disturbances, on the other hand, often structure in most ecosystems, the focus is usually on rein-
are beyond the evolutionary experience of at least some of troducing the dominant plant species, fi lling in lesser
the species. Clearing and cultivating land or establishing species where possible, and allowing other organisms to
pastures with periodic mowing, introducing exotic agro- find their way back. Site preparation is usually required
nomic species, and using fertilizers and herbicides can and largely consists of removing or reducing exotic spe-
lead to elimination of a high percentage of the species that cies that would interfere with successful establishment of
constituted the original ecosystem. Even more extreme desired native vegetation.
disturbances, such as draining wetlands, damming It is important that sources for species being reintro-
streams, removing topsoil, or paving can result in nearly duced be as local as possible. Ideally, seeds or other prop-
complete removal of, or at least a change in, the species agules (i.e., cuttings, spores) should be gathered from
present. These stressors, at least, are usually obvious. nearby refugia (an area of undisturbed or unaltered habi-
Often stressors are more subtle. One of the most com- tat) and from similar communities. Th is provides some
mon, for example, is alteration of hydrology. Use of insurance that the genotypes being introduced are
drainage ditches, tiles, or partial damming by highways adapted to local conditions.
or railroads, even when culverts are installed, can lead to
deterioration of ecosystems. Change in fi re regime, usu-
ally as a result of fragmentation and fire control, is another Patience
stressor that can be overlooked. Invasive species are
another growing problem in many ecosystems. Unless When restoring severely altered ecosystems, it commonly
stressors can be accurately identified and mitigated, res- takes many years to see satisfying results. An ecosystem
toration efforts may be futile, or the restored ecosystems can be destroyed in hours, but it requires years, even
will require high maintenance. decades or centuries, if ever, to regain the full complement
Realistic assessment is needed at this juncture before of species required to restore the ecological processes that
investing more time and money. If the primary stressor is lead to stability. Species that must find their own way
off-site, restoration may be impossible or impractical. Air back, depending on fragmentation of the landscape and
pollution, altered flood regimes caused by upstream dams distance to refugia, may not show up for decades. Most
or diversions, and climate change are examples of off-site badly disturbed ecosystems can never be fully restored
stressors that, if determined to be the primary problem, and will require a higher level of maintenance than eco-
may make restoration impossible. Local off-site stressors systems with more complete integrity. Nevertheless, with
sometimes can be addressed. For example, erosion com- diligence, effort, and patience, most ecosystems can be
ing from careless use or development of neighboring restored to the point where they can continue to develop
property might be addressed by installing artificial ponds on their own with periodic maintenance, such as the use
or wetlands to intercept the excess water flowing onto the of prescribed fire and removal of invasive species.
property. Likewise, pesticides or excessive nutrient load-
ing from neighboring feedlots or fields can sometimes be Monitoring
captured in artificial wetlands, allowing the rest of the
site to be restored. Better yet, recruiting owners of sur- An often-neglected aspect of ecosystem restoration is
rounding properties to join the restoration process and monitoring. A well-developed restoration plan may have
approach it on a broader ecosystem scale is preferable. benchmarks for different degrees of recovery. Monitoring

ECOLOGICAL RESTORATION • 111
is required to make sure the practices being used are largely with companies that provide restoration services
moving the ecosystem toward these recovery goals. If and public agencies that manage parks, national forests,
not, reevaluation is required to make sure goals are rea- and grasslands. The expansion of knowledge about resto-
sonable and the practices proper. Perhaps an important ration ecology parallels a growing desire to restore the
stressor was missed, or maybe a critical species was over- natural ecosystems that have been damaged.
looked. Even after the ecosystem is largely restored,
monitoring is required to guide maintenance work. For Alan HANEY
example, the easiest time to address invasive species is University of Wisconsin–Stevens Point, Emeritus
during their first growing season, or certainly within the
See also Biodiversity; Brownfield Redevelopment;
following year. Monitoring need not be onerous, but it
Community Ecology; Complexity Theory; Dam
should be thorough and regular.
Removal; Disturbance; Forest Management; Habitat
Fragmentation; Human Ecology; Hydrology; Indicator
Group Effort Species; Invasive Species; Keystone Species; Outbreak
Species; Plant-Animal Interactions; Refugia; Resilience;
Ecological restoration lends itself well to family or group Species Reintroduction; Urban Agriculture
activities. Restoring a wetland or prairie in the backyard
can be a lifetime family project. Scout troops, garden
clubs, or even communities can tackle a vacant plot of
abused land and turn it into a vibrant natural community,
FURTHER READING
Apfelbaum, Steven, & Haney, Alan. (2010). Restoring ecological health
complete with butterfl ies, birds, and amphibians that to your land. Washington, DC: Island Press.
find their way back. Investigating the possibilities leads Apfelbaum, Steven, & Haney, Alan. (forthcoming 2011). Restoring
to discovery of community history, lessons in biology, ecological health to your land: Companion manual. Washington, DC:
and engagement with nature that is worthy of any school Island Press.
Apfelbaum, Steven. (2009). Nature’s second chance. Boston: Beacon
class. Some argue that the most important thing achieved Press.
in ecological restoration is reconnecting people to nature. Clewell, Andre F., & Aronson, James. (2007). Ecological restoration:
The field of restoration ecology, which became recog- Principles, values, and structure of an emerging profession. Society for
nized as a profession toward the close of the last century, Ecological Restoration International. Washington, DC: Island
Press.
continues to rapidly expand. In addition to scientific Falk, Donald A.; Palmer, Margaret A.; & Zedler, Joy B. (Eds.).
journals and reference books, professionals regularly (2006). Foundations of restoration ecology. Society for Ecological
meet to exchange information under the auspices of the Restoration International. Washington, DC: Island Press.
Society for Ecological Restoration International. Jordan, William R., III. (2003). Th e sunfl ower forest. Berkeley:
University of California Press.
Thousands of scientists now engage in research related to Packard, Steven, & Mutel, Cornelia. (Eds.). (2005). The tallgrass resto-
restoration ecology with projects in virtually every kind ration handbook: For prairies, savannas, and woodlands. Washington,
of ecosystem on Earth. Employment opportunities are DC: Island Press.

Ecosystem Services
The benefits people obtain from nature are known as (Daily 1997). The MA (2005, 57) identifies four catego-
ecosystem services. The concept has come to play ries of ecosystem services:
important roles in both research and policy since the
1. provisioning services that deliver goods such as food,
1970s. Ecosystem services are being integrated more
water, timber, and fiber
explicitly into multilateral environmental agreements,
2. regulating services that stabilize climate, moderate risk
national accounting frameworks, corporate strategy,
of flooding and disease, and protect or enhance water
and public policy. Accounting for many different ecosys-
quality
tem services at a sufficiently large scale to promote sus-
3. cultural services that offer recreational, aesthetic, educa-
tainability, however, remains a future challenge.
tional, and spiritual experiences
4. supporting services that underpin the other services, such
P eople depend on nature for their livelihoods, health,

and welfare. The benefits that people get from nature
include clean water for drinking, food and recreation
as photosynthesis and nutrient cycling
Alternative definitions and classifications have been
from fishing, and wood for building houses and furni- proposed for specific contexts, such as landscape man-
ture. At the same time, people affect nature in ways that agement, environmental accounting, and policy develop-
limit its ability to provide these benefits. For instance, ment (Boyd and Bhanzaf 2006; De Groot, Wilson, and
forests help to regulate climate by capturing and storing Roelof 2002; Fisher, Turner, and Morling 2009; Wallace
carbon, but each year landholders reduce forests’ ability 2007). In 2010, the Economics of Ecosystems and
to provide this service by clearing thousands of hectares Biodiversity (TEEB), an international initiative led by
of forests in the tropics. Clearing this land releases up to the United Nations Environment Programme (UNEP),
20 percent of all human emissions of carbon dioxide—a proposed a definition that differentiates between the ser-
greenhouse gas that contributes to climate change. This vices provided by ecosystems and the benefits that
is just one example of the ways we are transforming humans receive from them: “the direct and indirect con-
nature and altering the benefits—or ecosystem services— tributions of ecosystems to human well-being” (Kumar
that nature provides to people. 2010, 19). The TEEB classification for ecosystem services
redefi nes supporting services as ecosystem processes and
includes a new category of habitat services, which provide
What Are Ecosystem Services? nurseries for hunted or fished species, and preserve future
options by protecting genetic diversity.
The most common definition of ecosystem services comes
from the United Nations Millennium Ecosystem
Assessment (MA): “the benefits people obtain from eco- History
systems” (MA 2005). Ecosystem services are also referred
to as environmental goods and services and nature’s benefits. The understanding that people rely on nature for their
The services flow from the functions and processes of well-being dates to antiquity. Some of the earliest known
ecosystems, including the species that make them up texts on this topic describe the loss of ecosystem services
112

ECOSYSTEM SERVICES • 113
and the impact of that loss on society. Chief among these ecosystem services and their value (Costanza et al. 1997;
is a description in Critias, one of the famous dialogues of Daily 1997). The Millennium Ecosystem Assessment
the Greek philosopher Plato: (MA) that began in 2001 involved 1,360 researchers in a
four-year global study that evaluated the state of ecosys-
What now remains of the formerly rich land is like the
tems and the services they provide. The MA reported
skeleton of a sick man with all the fat and soft earth hav-
that, out of twenty-four ecosystem services tracked over
ing wasted away and only the bare framework remain-
the previous fi fty years, fi fteen services had seriously
ing. . . . Once the land was enriched by yearly rains,
declined, four had shown some improvement, and five
which were not lost, as they are now, by flowing from
were generally stable but under threat in some parts of
the bare land into the sea. The soil was deep, it absorbed
the world (MA 2005). The assessment also revealed that
and kept the water . . . and the water that soaked into the
some provisioning services, such as food, had improved
hills fed springs and running streams everywhere. Now
at the expense of regulating, supporting, and cultural
the abandoned shrines at spots where formerly there
services. A number of smaller assessments of ecosystem
were springs attest that our description of the land is
services were undertaken as part of, and following, the
true. (Daily 1997, 5–6)
MA. One study found that of the ecosystem services
Many scholars trace modern concern about delivered by eight broad aquatic and terrestrial hab-
ecosystem services to George Perkins itat types in the United Kingdom and their
Marsh, a nineteenth-century lawyer, constituent biodiversity, about 30 percent
politician, and scholar. Marsh’s 1864 were declining and others were reduced
book Man and Nature describes a or degraded (UK National Ecosystem
range of services and the conse- Assessment 2011). A separate interna-
quences of their loss. In the fi rst tional study of the Economics of
half of the twentieth century, Ecosystems and Biodiversity (TEEB)
prominent environmental writ- assessed the economic benefits of
ers, including Henry Fairfield ecosystems and biodiversity and the
Osborn Jr., William Vogt, and costs of ecosystem degradation and
Aldo Leopold, wrote about biodiversity loss (Kumar 2010). As
the value of ecosystems and of 2011, several countries, includ-
wildlife for human welfare. In ing Brazil and India, were conduct-
addition to nature’s value for ing national-level TEEB studies.
people, Leopold also espoused
a land ethic that places a value
on the existence of nature itself, Emerging Policies and
without regard to the ways Programs
humans use it.
Environmental health became an Spurred in part by international
important issue during the 1960s and assessments like the MA, various orga-
1970s, sparking the fi rst ecological eco- nizations instituted new policies and pro-
nomics research. In 1968, Stanford University grams for ecosystem services. In 2005, the
ecologist Paul Ehrlich published The Population Bomb, United Nations (UN) began to consider establishing a
which describes human disruption of ecosystems, the new UN authority that would review ecosystem service
costs for society, and possible solutions. In 1970, the research and disseminate conclusions relevant to policy
Study of Critical Environmental Problems, a group of making. As a result, the Intergovernmental Platform for
scientists meeting together at Williams College in Biodiversity and Ecosystem Services (IPBES) was estab-
Massachusetts, presented the term environmental services lished in 2010. Also in 2010, the United Nations
for the first time, with examples such as fisheries, climate Framework Convention on Climate Change (UNFCCC)
regulation, and flood control. Since then, ecosystem ser- adopted an international framework for reducing green-
vices has become the most common term in the scientific house gas emissions from deforestation and forest degra-
literature for benefits that derive from nature. dation (REDD), which provides a way for industrialized
By the 1980s, research and debate centered on two countries to offset their emissions by purchasing credits
questions: how much ecosystem function and services from developing countries that store additional carbon in
depend on biodiversity, and how to measure and value their forests. The World Bank has developed a partner-
ecosystem services. In 1997, two groups of ecologists and ship for wealth accounting and the valuation of ecosys-
economists synthesized scientific information about tem services (WAVES) to encourage and enable countries

to incorporate nature’s value into national accounting assessment tools were in use. Some tools focus on the pro-
frameworks and indicators, such as gross domestic prod- vision, use, value, and trade-offs of multiple ecosystem ser-
uct. In addition, the Convention on Biological Diversity vices under different resource management scenarios. Two
and the Ramsar Convention on Wetlands have explicitly of these are ARtificial Intelligence for Ecosystem Services
incorporated ecosystem services and ecosystem-based (ARIES) and Integrated Valuation of Ecosystem Services
approaches in their principles. and Tradeoffs (InVEST). Both ARIES and InVEST use
At national and state levels, too, ecosystem service maps to assess the spatial distribution of ecosystem ser-
policies and markets are in place. In the United States, vices, as does the Natural Assets Information System
the Clean Water Act (1974) protects wetlands and bodies (NAIS). Other tools, such as the Wildlife Habitat Benefits
of water to avoid loss of hydrological, cultural, and habi- Estimation Toolkit and WRI’s coral reef valuation pack-
tat services. The act provides for mitigating the loss of age, estimate the value or amount of ecosystem services
wetlands and their functions. One provision of the law is without spatial representation. Additional tools assess the
that developers who build on wetlands are required to benefits from a single ecosystem service (for example, car-
restore or protect an equivalent or greater amount of wet- bon sequestration and storage calculators) or consider
land area to offset the loss of a wetland’s fisheries, recre- changes in ecosystem services in a particular context (for
ational opportunities, water purification, and erosion example, benchmarking tools for policies and practices in
control services, among others. In Australia, too, several the mining industry).
state laws require mitigation of damage to ecosystems for
the habitat services they provide. Brazil’s Forest Law
(1965) requires landowners in the Amazon to maintain
Payments for Ecosystem Services
80 percent of their landholdings under forest to preserve
One of the areas of greatest growth since about 2000 is
the benefits from intact forests.
payments for ecosystem services (PES), in which users
compensate the providers of services for maintaining or
Civil Society enhancing them (Gómez-Baggethun et al. 2010;
Wunder, Engel, and Pagiola 2008). In the developing
Various civil society programs have also emerged since the world, two types of PES mechanisms are prominent:
Millennium Ecosystem Assessment, including widely payments for watershed services and payments for cli-
cited work at the World Resources Institute (WRI), Forest mate regulation through the REDD framework.
Trends, and the Natural Capital Project. In 2008 the WRI Payments for watershed services, also known as water
released the guide Ecosystem Services: A Guide for Decision funds, are a way for downstream water users to pay
Makers, which provides practical guidance on policies that upstream landholders for the delivery of water services,
sustain natural capital (Ranganathan et al. 2008). The such as purification and erosion control. One of the first
WRI has also developed the Corporate Ecosystem Services PES programs in Costa Rica is described in a later sec-
Review (ESR) to help companies identify the ecosystem tion, Ecosystem Services in Practice.
services they affect and depend on (Hanson et al. 2008).
Forest Trends aims to expand the value of nature to society
through the creation of markets for ecosystem services.
Valuation Methods
Among other initiatives, Forest Trends has developed a
Economic valuation involves assigning a monetary value
clearinghouse for ecosystem service projects, an ecosystem
to nature’s benefits. Existing market prices often do not
service project incubator, a program for marine ecosystem
reflect ecosystem service values, and special valuation
services, and a voluntary biodiversity offset framework.
methods based on similar or hypothetical market situa-
The Natural Capital Project is an academic–civil society
tions are required. A 2004 white paper published by the
partnership that develops science and tools to measure,
World Bank clarifies the aims and uses of economic valu-
map, and value ecosystem services (see Kareiva et al. 2011);
ation, outlining four principle objectives: assessing the
apply these tools with government, business, and civil
value of the total flow of benefits from ecosystems, deter-
society partners around the world; and spread the science,
mining the net benefit of an intervention that alters eco-
tools, and lessons from those efforts worldwide.
system conditions, determining how the costs and benefits
of ecosystem conservation are distributed, and identifying
Tools beneficiaries to ascertain potential funding sources for
conservation (Pagiola, von Ritter, and Bishop 2004).
New diagnostic tools for monitoring, measuring, and valu- The analytical approach for economic valuation of eco-
ing ecosystem services are constantly being developed. By system services must be shaped to meet the specific
the end of 2011, more than a dozen ecosystem service objective. The framework often used to value these

services is total economic value (TEV), which includes that market mechanisms might have unintended adverse
the value of direct and indirect use of nature by people, environmental and social consequences, because con-
values that are independent of human uses, and option sumers sometimes act in unexpected ways when they are
value, or the benefits of preserving an ecosystem for future given external incentives. In addition, these researchers
use. Since the value of nature is not easily characterized— say that the distribution of financial or other benefits is
or fully captured—in monetary terms, many studies likely to magnify existing economic disparities.
quantify ecosystem services values in terms of impacts on
human health and nutrition, livelihood benefits, and
cultural significance. Others simply measure ecosystem
Ecosystem Services in Practice
services in biophysical, rather than monetary, terms, such
Ecosystem services are increasingly being considered in
as tons of carbon sequestered.
decision making as policy makers take into account the
value of services and how actions affect those values; estab-
lish innovative market-based mechanisms that ensure ser-
Controversy
vice values are reflected in market transactions; implement
policy, organizational, and institutional reform; and
The concept of ecosystem services has generated some
develop tools that help people to do all of this quickly and
controversies. One of the most recurrent has its roots in
easily. Following are several illustrative examples.
the distinction first made by Aldo Leopold between util-
itarian values—those benefits the natural world provides
for people—and the intrinsic value Costa Rica
of nature—the right of ecosys- By 1986, forest cover as a share of total land area in
tems and species to exist, Costa Rica had fallen to 32 percent from 63
regardless of whether humans percent in 1960. This dramatic loss of for-
use or appreciate them. Some est resources prompted the Costa Rican
scientists have raised concerns government to pursue a new set of
that the emerging focus on forest conservation and restoration
valuing ecosystem services policies, including market-based
could shift efforts and fund- mechanisms. The passage of
ing away from biodiversity Forest Law 7575 in 1996 laid the
and species protection for its groundwork for a PES program
own sake, which could to pay landowners to maintain
increase the rate at which and restore forest resources. The
species are lost. Biodiversity program is focused on four eco-
is not considered an ecosys- system services generated by
tem service in many ecosys- forests: watershed protection,
tem service classifications; biodiversity, landscape beauty,
some ecologists are, how- and climate regulation. Program
ever, attempting to identify payments to landowners vary by
the ways biodiversity con- activity. The most common activity
tributes to human well-being is forest protection; landowners agree
and the roles biodiversity plays to forgo use of their forests, transferring
in critical ecosystem processes their use-rights to the government in
that are necessary to provide ecosys- exchange for a fi xed payment per hectare dis-
tem services (for example, see Mace, Norris, bursed over five years. Landowners are also paid by the
and Fitter forthcoming 2012), and they are also studying hectare for reforestation activities or are paid for each
where ecosystem service provision and biodiversity pri- tree planted in an agroforestry system, in which crops are
orities overlap (Naidoo et al. 2008). interplanted with trees (Fondo Nacional de Financiamiento
Critics are concerned about valuation as a tool and Forestal n.d.).
market-based mechanisms, such as payment for ecosys-
tem services, that turn ecosystem services into commodi-
China
ties or “put a price tag on nature” (Gómez-Baggethun
et al. 2010). Some researchers contend that nature is price- Following devastating droughts and floods in 1997 and
less and that market programs do not put a high enough 1998, China instituted a series of conservation programs
price on them to ensure conservation. Others suggest to reduce damage from extreme weather. One of these

programs, the Sloping Land Conversion Program is designed to improve companies’ understanding of the
(SLCP), also known as the Grain to Green Program, is benefits and value of ecosystem services. The guide
exceptional in its longevity and geographic expanse. explores tools and methods for ecosystem valuation to
Established in 1999, the SLCP restores erosion control manage risks and opportunities related to ecosystem ser-
and flood mitigation services in twenty-five provinces vices. The Syngenta study determined that Michigan
through grain and cash subsidies to farmers who convert blueberry farmers received $12 million annually from
agricultural fields on steep slopes to forests and grass- wild bee pollination of their crops. The company has
lands. Initial studies have found that the SLCP has since launched Operation Pollinator to support conserva-
increased key ecosystem services while also having a pos- tion programs that growers can integrate into their farms
itive effect on household income (Li et al. 2011). (WBCSD and IUCN 2011).
Following the SLCP, China has developed Ecosystem
Conservation Function Areas (EFCAs), which are newly Challenges and Future Directions
established zones identified for conservation because of
their high levels of biodiversity and ecosystem services, The ongoing challenge with ecosystem services is to build
including sediment retention and carbon storage and on the many new tools and approaches. Many decisions
sequestration. When development is complete, these made by individuals, communities, corporations, and
EFCAs are projected to cover 25 percent of China’s land- governments still do not reflect the value of nature’s ben-
mass. Land use master plans at the provincial and county efits to people. There are critical gaps in both the scien-
level will steer development activities away from these tific basis of ecosystem services and policy and finance
areas, mandating low to no infrastructure development mechanisms.
in these zones. The relationships between ecosystem services and bio-
diversity, human well-being, and poverty remain unclear.
Belize Many studies do not address multiple ecosystem services
and their interactions or the consequences that changes in
In 1998 and again in 2011, the WRI released a global ecosystem services in one place have on distant places
Reefs at Risk report that mapped and analyzed threats to (Seppelt et al. 2011). In addition, few systematic studies
the world’s coral reefs in order to visualize where reefs reveal the effects of different policy instruments on eco-
could be lost. In a complementary series of Coastal Capital system services and the people that provide and benefit
reports, the WRI produced economic valuations of the from them. New global research programs, however, are
reefs and mangroves in the Caribbean to raise awareness taking up these challenges.
of the benefits that people get from these ecosystems and Ecosystem service programs and policies are often
build support for policies that promote their sustainable piecemeal and poorly coordinated. In many cases, they are
management. In the case of Belize, the study prompted based on unproven assumptions or sparse information
the government to impose a number of fishing restric- (Carpenter et al. 2009). In addition, disproportionately
tions to protect its coastal resources, including size limits few programs and policies are focused on dryland, grass-
for Nassau groupers caught, a ban on spearfishing within land, subterranean, or marine ecosystems. In a 2009 study,
marine protected areas, and a mandate that all fish fi llets the Bridgespan Group observed that 73 percent of the eco-
must be brought to landing sites with a skin patch to system service projects they looked at focused on forests
enable species identification. Moreover, after the con- and wetlands (Searle and Cox 2009). Moreover, many
tainer ship Westerhaven ran aground on a reef in January existing policies and programs address one or two ecosys-
2009, the Belizean government worked with civil society tem services, rather than multiple services. Last, relatively
partners to calculate compensatory ecosystem-related few nations have adopted ecosystem service policies,
damages that were used in a subsequent court case. although the number is growing. An important future
challenge is to take multiple ecosystem services into
Wild Bee Pollination account at a large enough scale to ensure that the environ-
ment provides the many benefits society needs to prosper.
In 2011, the agribusiness Syngenta assessed the value of
wild bee pollination to blueberry farms in Michigan and Amy ROSENTHAL
the added value created by providing foraging habitat for Natural Capital Project at the World Wildlife Fund
native bees. The purpose of the study was to show that
Kimberly LYON
conserving bee populations gave a positive return on
Multilateral Relations at the World Wildlife Fund
investment. The Syngenta valuation was a pilot test for
the World Business Council for Sustainable Development’s Emily McKENZIE
(WBCSD) Guide to Corporate Ecosystem Valuation, which Natural Capital Project at the World Wildlife Fund

See also Biodiversity; Buffers; Carrying Capacity; Kumar, Pushpam. (Ed.). (2010). The economics of ecosystems and biodi-
Community Ecology; Fisheries Management; Forest versity: Ecological and economic foundations. London: Earthscan.
Li, Jie; Feldman, Marcus W.; Li, Shuzhuo; & Daily, Gretchen C.
Management; Groundwater Management; Human (2011). Rural household income and inequality under the Sloping
Ecology; Hunting; Microbial Ecosystem Processes; Land Conversion Program in western China. PNAS , 108 (19),
Natural Capital; Nutrient and Biogeochemical Cycling; 7721–7726.
Ocean Resource Management; Reforestation; Wilderness Mace, Georgina; Norris, Ken; & Fitter, Alastair H. (forthcoming
2012). Biodiversity and ecosystem services: A multi-layered rela-
Areas tionship. Trends in Ecology and Evolution.
Millennium Ecosystem Assessment (MA). (2005). Ecosystems and
human well-being: Synthesis. Washington, DC: Island Press.
FURTHER READING Naidoo, Robin, et al. (2008). Global mapping of ecosystem services
Boyd, James, & Banzhaf, Spencer. (2006). What are ecosystem ser- and conservation priorities. PNAS , 105(28), 9495–9500.
vices? The need for standardized environmental accounting units. Pagiola, Stefano; von Ritter, Konrad; & Bishop, Joshua. (2004). How
Ecological Economics, 63(2–3), 616–626. much is an ecosystem worth? Assessing the economic value of conserva-
Burke, Lauretta; Reytar, Katie; Spalding, Mark; & Perry, Allison. tion. Washington, DC: World Bank.
(2011). Reefs at risk revisited. Washington, DC: World Resources Ranganathan, Janet, et al. (2008). Ecosystem services: A guide for decision
Institute. makers. Washington, DC: World Resources Institute.
Carpenter, Steven, et al. (2009). Science for managing ecosystem ser- Ruhl, J. B.; Kraft, Steven; & Lant, Christopher. (2007). The law and
vices: Beyond the Millennium Ecosystem Assessment. PNAS , policy of ecosystem services. Washington, DC: Island Press.
106(5), 1305–1312. Searle, Bob, & Cox, Serita. (2009). Th e state of ecosystem services.
Costanza, Robert, et al. (1997). The value of the world’s ecosystem Retrieved September 10, 2011, from http://www.moore.org/fi les/
services and natural capital. Nature, 387(6630), 253–260. The%20State%20of%20Ecosystem%20Services.pdf
Daily, Gretchen. (Ed.). (1997). Nature’s services. Washington, DC: Seppelt, Ralf; Dormann, Carsten F.; Eppink, Florian V.; Lautenback,
Island Press. Sven; & Schmidt, Stefan. (2011). A quantitative review of ecosys-
De Groot, Rudolf S.; Wilson, Matthew A.; & Roelof, M. J. Boumans. tem service studies: Approaches, shortcomings and the road ahead.
(2002). A typology for the classification, description and valuation Journal of Applied Ecology, 48 (3), 630–636.
of ecosystem functions, goods and services. Ecological Economics, Tallis, Heather; Goldman, Rebecca; Uhl, Melissa; & Brosi, Berry.
41(3), 393–408. (2009). Integrating conservation and development in the field:
Fisher, Brendan; Turner, R. Kerry; & Morling, Paul. (2009). Defining Implementing ecosystem service projects. Frontiers in Ecology and
and classifying ecosystem services for decision making. Ecological the Environment, 7(1), 12–20.
Economics, 68, 643–653. UK National Ecosystem Assessment. (2011). The UK National
Fondo Nacional de Financiamento Forestal. (n.d.). Homepage. Ecosystem Assessment: Synthesis of the key findings. Cambridge, UK:
Retrieved September 20, 2011, from http://www.fonafi fo.go.cr/ UNEP-WCMC.
Gómez-Baggethun, Erik; de Groot, Rudolf; Lomas, Pedro L.; & Wallace, Ken. (2007). Classification of ecosystem services: Problems
Montes, Carlos. (2010). The history of ecosystem services in eco- and solutions. Biological Conservation, 139 (3–4), 235–246.
nomic theory and practice: From early notions to markets and pay- World Business Council for Sustainable Development (WBCSD) &
ment schemes. Ecological Economics, 69 (6), 1209–1218. International Union for Conservation of Nature (IUCN). (2011).
Hanson, Craig; Finisdore, John; Ranganathan, Janet; & Iceland, Guide to corporate ecosystem valuation: A framework for improving cor-
Charles. (2008). The corporate ecosystem services review: Guidelines porate decision-making. Geneva: World Business Council for
for identifying business risks & opportunities arising from ecosystem Sustainable Development.
change. Washington, DC: World Resources Institute. Wunder, Sven; Engel, Stefanie; & Pagiola, Stefano. (2008). Taking
Kareiva, Peter; Tallis, Heather; Ricketts, Taylor H.; Daily, Gretchen C.; stock: A comparative analysis of payment for environmental ser-
& Polasky, Stephen. (Eds.). (2011). Natural capital: Theory & practice vices programs in developed and developing countries. Ecological
of mapping ecosystem services. Oxford, UK: Oxford University Press. Economics, 65, 834–85.

Edge Effects
Changes in ecology near the interface of two habitat generally referred to the increase in abundance and diver-
patches are often referred to as “edge effects.” Edges sity of species near habitat edges, and overall, edges were
were once considered positive features in natural land- considered to be positive features in the environment.
scapes, but the realization that they could be zones of The view of edges and their role in the landscape
high mortality made them a focus of major conserva- shifted dramatically in the late 1970s as scientists real-
tion concern. Modern attempts to incorporate edge ized that edges created by forest fragmentation, rather
effects into resource management plans focus on under- than by natural processes, might actually reduce, not
standing species-specific responses in complex and increase, habitat quality. The landmark work of the con-
dynamic landscapes. servation ecologist J. Edward Gates demonstrated that
some bird species were experiencing higher rates of pre-
dation and parasitism near forest edges. Because birds
H abitat edges are landscape features formed at the
interface of two different patches of habitat. Such
edges support distinct ecological conditions and are ubiq-
had been known since the 1930s to have higher abun-
dance and diversity along forest edges, this led to the idea
uitous in both natural and human-altered landscapes. that edges might be acting as an “ecological trap,” attract-
Edges and their effects on biota were first studied in 1907 ing individuals by virtue of increased resources and shel-
by the US botanist Frederic Clements, who noted the ter, but then exposing them to higher risks of mortality
gradual change in plant communities within the transi- from predators that also frequented edges. The US ecolo-
tion zone from one ecotype to another. Clements called gist David Wilcove then suggested that such ecological
these transition zones ecotones. traps, in concert with increasing creation of edges
through habitat fragmentation, could be a contributing
factor in the decline of North American songbirds. That
Evolution of Perspectives research, along with other studies suggesting that habitat
about Edges edges could exacerbate the already extreme consequences
of habitat loss, caused a paradigm shift in how ecologists
Th roughout much of the twentieth century, studies of think about edges. Indeed, by the mid-1980s, the term
edge characteristics focused on natural edges, especially edge effect came to be associated with increased mortality
where habitats were naturally patchy and interspersed. near habitat edges, and edges were more commonly seen
(See figure 1 on page 119.) During that era, botanists like as negative features in the environment.
Clements focused on the gradual changes between differ- Th is paradigm shift led to an explosion of research
ent habitat zones, while animal ecologists focused on the documenting the impacts of habitat edges on the ecology
different groups of animals that were associated with of many species in many different landscapes. Studies
these edges. In the 1930s, the US naturalist Aldo Leopold documenting the ecological effects of edges attended to
noted that many species, including game species, often diverse issues, including edge-induced changes in preda-
congregated near edges, and for many years, edge creation tor densities, parasitism rates, species abundances, and
was a popular tool to enhance habitat for wildlife. community composition. At the same time, a series of
Consequently, through the early 1970s, the term edge effect articles emerged laying a foundation for understanding
118

EDGE EFFECTS • 119
Figure 1. Natural Edge between Grassland and Forest
Photo: Leslie Ries
Aldo Leopold, a well-known US naturalist, noted in the 1930s that many species chose to congregate near edges, such as the area where the
meadow and the trees meet shown in this photo; for many years after, edge creation was a popular tool to enhance wildlife habitat.
the ecological mechanisms by which edge effects occur in fragmentation experiments were also initiated, including
patchy landscapes. Researchers identified four funda- the groundbreaking Biological Dynamics of Forest
mental mechanisms that could shift distributions of indi- Fragments Project (BDFFP) in the Brazilian Amazon.
vidual species and ultimately lead to a new community Th is large-scale ecological experiment involved the pur-
structure at the edge: (1) ecological flows of both organ- poseful creation of replicated forest fragments of differ-
isms and nonliving materials between adjacent patches; ent sizes in a region of the Amazon already slated for
(2) increased access to resources divided between adja- development. The BDFFP fragments were created in
cent patches (or “cross-boundary subsidies”)—for exam- 1979 and have been monitored ever since, with many
ple, nesting sites in forests and forage sites in meadows; studies focusing on the ecological changes taking place
(3) resource “mapping,” whereby a shift in the distribution near patch edges. By the late 1990s, numerous scientific
of one species causes an accompanying shift in the distri- articles drew on data from the BDFFP and other large-
butions of species that use it as a resource; and (4) altered scale experimental studies of fragmentation in forests
species interactions, such as decreased pollination or and other habitats to quantify many different types of
increased predation. All of these mechanisms can interact edge effects. These studies spanned the globe, involving
with each other, highlighting the complex forces that can diverse landscapes, edge types (e.g., grassland edges,
influence species near habitat edges. desert edges, sea grass edges), and species. In the 1990s
In addition to hundreds of studies designed to docu- and early 2000s, synthetic review papers (those that
ment and quantify edge effects, several large-scale habitat summarize findings from hundreds of research papers),

highlighted the high degree of variability in edge within the edge literature. In fact, if the quality of the
responses. The result was a further change in perspec- adjacent habitat is considered, then some basic predic-
tive, from “edge effects are bad” to “edge effects are tions can be made about the types of edge responses
highly variable and idiosyncratic.” expected based on the resource needs of most species.
(See figure 2.) For instance, species can be expected to
avoid edges with adjacent habitat that contains inferior
Factors Influencing Edge Effects resources, but they show no edge response if resources are
found equally in both habitats. On the other hand, in
That edge effects are variable and hard to make sense of cases where species’ resources are divided between habi-
is perhaps not surprising given the diverse combinations tats such that the edge offers “cross-boundary subsidies,”
of species and conditions created when different types of then a positive edge response can be expected. This sim-
habitat abut. Yet the variability has turned out to be less ple conceptual model has been successful in predicting
intractable than originally imagined, and many of the the direction of observed edge responses for birds, mam-
main sources of variation have been identified. One of mals, butterfl ies, and plants.
the major realizations was that the type of so-called Several other factors also influence the nature and
matrix habitat in which a patch is embedded (e.g., grass- magnitude of edge effects, including the orientation of the
land, agriculture, mining, urban development) would edge (especially north versus south) and its structural con-
surely alter the type of edge effects observed. This contrast. Finally, different species simply respond differently
cept, known as patch context, has proved critical as a to edges, and those differences may be due to species’
means of accounting for much of the observed variability traits, such as whether they are specialists or generalists,
Figure 2. Predicted Edge Responses

RELATIVE HABITAT QUALITY
Unequal quality Equal quality
RESOURCE
DISTRIBUTION a. Transitional b. Neutral
Supplementary Positive
(resources not Negative
divided)
c. Positive d. Positive
Complementary
(resources
divided)
Source: Ries and Sisk (2008). Reprinted with permission.
Species’ edge responses are likely to be positive, negative, or neutral depending on the relative quality of the two adjacent habitats and how
resources are distributed between the habitats. Expected edge responses are transitional (a), neutral (b), or positive (c and d). Lower habitat
quality is indicated by a white box; habitats of higher or equal quality are shaded. Either the same resources are available in both habitats
(supplementary), or different resources are divided between habitats (complementary).

their position in the food chain, their vulnerability to pre- species to each specific edge type in the landscape. Th is
dation, and perhaps other factors. Among the generaliza- model, however, is more difficult to apply because man-
tions that have emerged from the scientific literature are agers usually lack information on edge responses that
that predators and habitat generalists are more likely to are specific to particular combinations of species and
prefer edges, whereas habitat specialists are more likely edge types. Another approach to managing for the
to avoid edges. These generalizations, while never being potentially negative impacts of edges was the idea of
perfectly accurate, have proven to be good rules of thumb multiuse buffer zones. (See figure 3b.) Th is idea, cham-
when on-the-ground studies are lacking. It is critical to pioned by the US conservation biologists Reed Noss
remember, however, that many species will exhibit no and Michael Soule, imagined core areas of protected
response to edges. Furthermore, even within species, edge habitat buff ered by zones featuring similar habitat
responses may vary depending on the type of edge structure (thus decreasing edge contrast) in which
encountered. human uses were more broadly permitted. This
approach has been implemented worldwide in many
conservation plans that incorporate core areas sur-
Implications for Conservation Efforts rounded by buffers, often with habitat corridors to con-
nect isolated patches.
Given that edge effects are seen as complex and arising Although edge effects remain a difficult dynamic to
from multiple, confl icting forces, the edge effect con- grapple with in landscapes featuring multiple edge types
cept has limited utility as a tool for conservation efforts. and complex ecological communities, scientists have
Nevertheless, resource managers have made great strides in determining how to leverage infor-
long tried to consider edge effects mation about edges to make better management
when doing landscape planning. decisions. For example, efforts to identify edges
One of the first attempts to from remotely sensed imagery can help
incorporate edge dynamics into quantify the dynamic nature of patch
conservation planning was the structure and track structural
development of the core area changes in edges over time. Th is is
model by William Laurance, a especially vital as climate change
research scientist working on can cause abrupt changes to
the BDFFP project. (See fi g- landscape structure, as has
ure 3, part a.) Th is approach been shown by rapid migration
required conservation plan- of treelines in some systems.
ners to estimate the depth of Likewise, efforts to under-
edge effects (i.e., how far the stand how edges inf luence
changes in density or species animal movement (though
diversity penetrated into a infrequent ly under ta ken
habitat patch) and then iden- because of complexity and cost)
tify an area of edge influence have proved essential in efforts
along the boundaries of each to quantify landscape isolation.
patch. These zones were then Nevertheless, many challenges
eff ectively clipped from the remain. For example, there has
patches so that only the “core been little progress in incorporating
area” of the patch, which was the complex structure of edges into
argued to be insulated from edge landscape-scale models of species’ distri-
effects, would be considered when making butions and community dynamics. Many stud-
management decisions. Unfortunately, this approach ies continue to focus on unrealistic binary landscapes,
has many limitations. First, many landscapes are so even though most landscapes are a complex mosaic of
extensively fragmented that the only type of habitat left patches that create multiple types of edges. Moreover,
is effectively all edge. Second, as edge habitats come to most models seeking to quantify edge effects assume
dominate a landscape, it is risky to ignore them because straight edges, thereby ignoring the influence of complex
edges can be both zones of high mortality and also the edge geometry. Efforts continue to allow scientists to
preferred habitat of many species. An expansion of understand why certain species show strong responses to
the core area model, called the effective area model, edges while other species seem to ignore them (and why
allowed density estimates to be extrapolated through- edge responses can vary substantially even within spe-
out an entire patch based on the response of each cies). Finally, much more work needs to be done to

Figure 3. Incorporating Edges into Conservation Planning
b)
a)
Source: Leslie Ries.

For any patch that might be targeted for conservation, managers could employ the core area model (a) where they determine how deep the
zone of edge influence is (black area) and consider only the interior “core” zone, or they could design the landscape so the targeted patch is
surrounded by one or more buffers (b) that have less intensive uses and so may exert weaker edge effects.
understand the complex interactions that occur among See also Biodiversity; Biodiversity Hotspots; Biogeography;
species near edges. A promising new research direction Biological Corridors; Boundary Ecotones; Buffers;
is integrating edge dynamics with spatial food web the- Community Ecology; Complexity Theory; Ecosystem
ory. (Food web theory seeks to describe feeding relation- Services; Food Webs; Habitat Fragmentation; Plant-
ships among species.) These continuing efforts to Animal Interactions; Population Dynamics; Refugia;
understand how edges impact the abundance and distri- Regime Shifts
bution of organisms will enable more effective conserva-
tion in landscapes that are increasingly fragmented.
FURTHER READING
William F. FAGAN and Leslie RIES Allen, Craig D., & Breshears, David D. (1998). Drought induced shift
University of Maryland of a forest-woodland ecotone: Rapid landscape response to climate

variation. Proceedings of the National Academy of Sciences , 95, Laurance, William F. (2008). Theory meets reality: How habitat frag-
14839–14842. mentation research has transcended island biogeographic theory.
Ewers, Robert M., & Didham, Raphael K. (2008). Pervasive impact Biological Conservation, 141, 1731–1744.
of large-scale edge effects on a beetle community. Proceedings of the Malcolm, Jay R. (1994). Edge effects in central Amazonian forest
National Academy of Sciences, 105, 25426–25429. fragments. Ecology, 75, 2438–2445.
Ewers, Robert M.; Marsh, Charles J.; & Wearn, Oliver R. (2010). Murcia, Carolina. (1995). Edge effects in fragmented forests: Implications
Making statistics biologically relevant in fragmented landscapes. for conservation. Trends in Ecology and Evolution, 10, 58–62.
Trends in Ecology and Evolution, 25, 699–704. Noss, Reed F., & Harris, Larry D. (1986). Nodes, networks, and
Fagan, William F.; Cantrell, Robert Stephen; & Cosner, Chris. MUMs: Preserving diversity at all scales. Environmental
(1999). How habitat edges change species interactions. American Management, 10, 299–309.
Naturalist, 153, 165–182. Ries, Leslie, & Sisk, Thomas D. (2008). Butterfly edge effects are pre-
Fagan, William F.; Fortin, Marie-Josée; & Soykan, Candan. dicted by a simple model in a complex landscape. Oecologia, 156,
(2003). Integrating edge detection and dynamic modeling in 75–86.
quantitative analyses of ecological boundaries. BioScience , 53, Ries, Leslie; Fletcher, Robert J.; Battin, James; & Sisk, Thomas D.
730–738. (2004). The ecology of habitat edges: Mechanisms, models and
Fletcher, Robert J. (2005). Multiple edge eff ects and their implica- variability explained. Annual Review of Ecology Evolution and
tions in fragmented landscapes. Journal of Animal Ecology, 74 , Systematics, 35, 491–522.
342–352. Sisk, Thomas D.; Haddad, Nicholas M.; & Ehrlich, Paul R. (1997).
Harris, Larry D. (1988). Edge effects and conservation of biotic diver- Bird assemblages in patchy woodlands: Modeling the effects of
sity. Conservation Biology, 2, 330–332. edge and matrix habitats. Ecological Applications, 7, 1170–1180.
Laurance, William F. (1991). Edge effects in tropical forest fragments: Wilcove, David S. (1985). Nest predation in forest tracts and the
Application of a model for the design of nature reserves. Biological decline of migratory songbirds. Ecology, 66, 1211–1214.
Conservation, 57, 205–219. Wimp, Gina M.; Murphy, Shannon M.; Lewis, Danny; & Ries,
Laurance, William F. (2004). Do edge effects occur over large spatial Leslie. (2011). Do edge responses cascade up or down a multi-
scales? Trends in Ecology and Evolution, 15, 134–135. trophic food web? Ecology Letters, 14, 863–870.

Eutrophication
The term eutrophication has come to describe the Effects on Ecosystems

enrichment of waters with nutrients (mainly nitrogen
and phosphorus) from human activities and their asso- One of the fi rst ecosystem responses to nutrient enrich-
ciated impacts. The process results in excessive algal ment is an increase in algae growth and accumulation. In
growth, loss of species diversity, creation of dead zones, turn, the turbidity (cloudiness) of the water increases and
and consequent effects through the entire food web. thus the amount of light reaching the bottom decreases,
Eutrophication can be reversed, but restoration of a a condition that results in stress to, or the death of, sub-
eutrophied ecosystem is difficult when nutrient removal mersed aquatic vegetation (SAV). When these algae and
is focused only on a single nutrient. SAV die, bacteria and fungi decompose them, consum-
ing oxygen in the process, and eventually reducing or
depleting the oxygen in the water if the levels of organic
T he term eutrophication has had several formal defini-

tions through its history. In the early twentieth
century ecologists applied the concept of eutrophica-
matter in the system are high enough. These areas are
considered hypoxic if oxygen is significantly reduced or
anoxic if the oxygen is depleted completely; these areas
tion mostly to the natural aging of lakes. By the mid- are called dead zones. The US scientist Robert Diaz and
twentieth century eutrophication came to mean the his Swedish colleague Rutger Rosenberg (2008) have
enrichment of waters with nutrients from human activi- identified more than five hundred coastal regions glob-
ties and their associated impacts—in other words, ally, totaling more than 24 million hectares, affected by
nutrient pollution. dead zones. Dead zones have large ecological and eco-
The complex responses of an ecosystem to eutrophica- nomic costs. The dead zone of the Chesapeake Bay in the
tion depend on the nutrient load (the amount of nutri- eastern United States, for example, is responsible for the
ents), the forms of the nutrients, the type of ecosystem, loss of tens of thousands of tonnes of fish annually, while
and the extent to which the system is stressed by other the dead zone in the Gulf of Mexico is responsible for a
factors. Systems such as rivers, well-flushed estuaries, loss of fish about three times that of the Chesapeake due
and wave-swept marine coasts are less susceptible to the to its much larger size and the larger amounts of nutrients
effects of nutrient pollution than are lakes, coastal exported to the Gulf from the Mississippi River.
lagoons, and other systems that do not have natural Dead zones are one of the most recognized and severe
flushing. The more retentive the system, the more oppor- effects of eutrophication, but there are many others.
tunities occur for nutrients that enter the system to be Species of algae well suited for nutrient uptake and growth
recycled, prolonging their effects. Multiple stressors, in low-nutrient conditions may be replaced by those better
including habitat change, overfi shing, and climate at competing in high-nutrient conditions. Th is often
variability and change also synergistically interact with results in a system shifting from a broad diversity of algae
nutrient loading, affecting the ways nutrients are taken species to fewer and more harmful species. Harmful algae
up in the ecosystem, how food webs function, and ulti- are those that produce toxins that directly kill fish or shell-
mately the extent to which a system may respond to fish, affect human consumers, or disrupt the normal tro-
nutrient loads or reductions. phic (nutritional) pathways supporting food webs. Among
124

EUTROPHICATION • 125
the algae considered harmful are toxic cyanobacteria and and Jamaica. Various investigators, for example J. D. Voss
many dinoflagellates that form so-called red tides, named and L. L. Richardson (2006), have experimentally dem-
for the often reddish or pinkish algal bloom. onstrated disease outbreaks in some coral reef systems to
The toxins produced by harmful algae are potent and be associated with nutrient enrichment.
have a diverse array of effects. About 60,000 people are Eutrophication also results in changes in the structure
exposed to algal toxins annually in the United States, of an affected ecosystem’s food web. Increases in jellyfish
with effects ranging from mild to severe. One of the most populations have been observed in many dead zones—
common toxic syndromes from red tides is that of para- jellyfish have been showing explosive growth in the
lytic shellfish poisoning, which can cause respiratory Mediterranean, the Gulf of Mexico, the Black and
distress or paralysis in people who eat mussels or other Caspian seas, off the northeastern coast of the United
shellfish that have consumed the toxic dinoflagellates. In States, and in Asian coastal waters. Jellyfish may do well
the natural environment, toxins from dinofl agellates in these areas because they can better tolerate low oxygen
affect the food web in many ways, from reproductive fail- conditions than can most fish. Shifts in food webs away
ure in whales to embryonic deformities in oysters. Some from crustacean zooplankton to jellyfish negatively affect
freshwater cyanobacteria produce toxins that have been fish populations that normally feed on zooplankton. The
associated with cattle, dog, and bird deaths as well as range of effects of eutrophication on all aspects of the
human illnesses and death. As reviewed by Geoff rey aquatic ecosystem is broad, affecting humans and wild-
Codd (2005), a scientist from the United Kingdom, cya- life, ecology, and economies.
nobacteria mostly affect people through skin and respira-
tory irritation following recreational exposure to affected
water, but can also have far more serious effects, includ- Causes
ing deaths, when people are exposed to these toxins
directly through ingestion. These toxins have been shown Although eutrophication is occurring globally, nutrient
to promote liver tumors in rats and may contribute to export is far from evenly distributed either regionally or
increased rates of liver cancer in people who live near and around the globe. Human sewage—and increases in
consume water from nutrient rich lakes (Grosse et al. sewage because of expanding human population in many
2006). In the natural environment, toxins from other parts of the world—is a major component of nutrient dis-
species of dinofl agellates affect the food web in many charge to waterways, with the amount and forms of
ways, from reproductive failure in whales to embryonic nutrients in the effluent depending on the sophistication
deformities in oysters. of the treatment. Eutrophication is also attributed to the
Eutrophication has also been associated with increased large increase in the use of agricultural chemical fertil-
infectious diseases in the aquatic food web (Johnson et al. izers that began in the 1950s and that is projected to
2010). Nutrient pollution is also associated with elevated continue to escalate (Smil 2001). Half of all nitrogen
levels of bacteria or pathogens and this has been the cause fertilizers used in the world have been applied since 1950,
of beach closures and swimming advisories (along coasts and human pollution now accounts for half of the nitro-
and in fresh-or saltwater) throughout many parts of the gen exported from rivers. China illustrates this trend
world, especially in the United States. In some parts of well. In the 1970s, China used less than 5 million tonnes
the world, evidence suggests a link between eutrophica- of nitrogen fertilizer annually, but since 2010 it has used
tion and cholera, and other research points to links with more than 20 million tonnes per year, which has led to
other diseases, as described by the US scientist Pieter significant increased nitrogen pollution of its coastal
Johnson and colleagues (2010). Deformities in amphibi- waters (Glibert 2006).
ans, such as missing, misshapen, and extra limbs, have Significant nitrogen and phosphorus waste also arises
been associated with parasites that become more numer- from animal husbandry, especially intensive factory
ous with eutrophication. farms. Unlike human sewage, wastes from animal opera-
Macroalgae, or seaweeds, may also develop in response tions are not treated in treatment plants; instead, farmers
to eutrophication. These plants can form visible scum or often either hold those wastes in lagoons or spray them
mats in the water, either floating or on the bottom. A on nearby lands where they can run off into adjacent
massive bloom of such macroalgae affected the sailing waters or percolate into groundwater. The release of
events at the 2008 Olympic Games in Qingdao, China, ammonia from animal wastes on farms is another source
for example. More than 1 million tonnes of algae had to of nitrogen that makes its way into the atmosphere and
be cleaned up before the competition. Such overgrowth then can be deposited on land some distance from its
is also thought to be contributing to coral reef decline. source. Intensive animal operations also include aquacul-
Brian Lapointe (1997), a US biologist, has documented ture farming, a practice that creates nutrient waste in
such changes in nutrient-rich, coral-rich areas in Florida water directly from feed and indirectly as a result of the

farmed fish’s metabolism changing the nutrient concen- different species changes when the proportions of these
trations and forms of nutrients available in the water. nutrients change in the environment. While individual
Additional nutrient pollution comes from human species and processes may respond to single nutrients, the
energy production and consumption. The combustion of relative proportion of nitrogen and phosphorus collec-
fossil fuels in power plants and in individual vehicles tively alters metabolism, species composition, and food
results in nitrogen oxide (NOx) production, which is dis- webs. Nutrients collectively thus exert a strong regulatory
charged into the atmosphere where it contributes to smog control on ecosystem structure as a whole. The nutrient
and acid rain. In many estuarine and coastal waters, the balance, or stoichiometry, has many consequences for
atmosphere may contribute up to 40 percent of the total which species are successful under different nutrient con-
inorganic and organic nitrogen inputs and recent estimates dition, as the research by US freshwater ecologists Robert
suggest that 30 percent of oceanic external nitrogen supply W. Sterner and James J. Elser (2002) on stoichiometry in
may be coming from the atmosphere (Duce et al. 2008). aquatic systems has shown. Studies by the US scientist
Phosphorus is the other major source of nutrient pol- Patricia Glibert and colleagues (2011) have shown that
lution, and historically, phosphate detergents have been a altered nutrient ratios have affected the food web struc-
large contributor. Phosphorus makes its way into water- ture of a number of estuaries in the United States and
ways from both household and industrial use. Use of Europe, from plankton to bivalves to fish.
phosphorus in detergents, however, has been declining in
most parts of the developed world. Prospects for Recovery
The total loads of nitrogen and phosphorus are impor-
tant, but so too are their different forms. Different types Some ecosystems have shown significant recovery
of algae thrive on different forms of the same nutrient. For following nutrient removal. One example is Lake
example, some types of harmful algae grow faster or pro- Washington, in Washington State, which was highly
duce more toxins when they grow on urea than when they polluted in the 1960s. The limnologist W. T. Edmondson
grow on nitrate, although both are forms of nitrogen. (1970) led efforts to divert sewage from the lake, and
Adding to the complexity is the fact that nitrogen and once controls were enacted, algal biomass, including
phosphorus have different effects in fresh and marine fi lamentous cyanobacterial scum, declined, and the food
waters. Phosphorus is generally considered the limiting web began to recover to earlier conditions. The reduction
nutrient for freshwater, while nitrogen often limits pri- of phosphorus loading to Lake Erie, in the 1970s, is also
mary production in estuaries and coastal waters. (The hailed as a success, because a dramatic reduction in nui-
limiting nutrient is the one that is in least supply relative sance algal blooms followed almost immediately from the
to the needs of the organisms.) Some natural resource reduction in phosphorus. Another example of recovery
managers believe that controlling the limiting nutrient from nutrient pollution occurred in the 1990s in the
will control unwanted algae growth and thereby control Black Sea. After the collapse of the Soviet Union, subsi-
eutrophication. In general, control of phosphorus is less dies for fertilizer use in Russia and Ukraine were reduced,
expensive than control of nitrogen, and there have been and as a result, there was less nutrient runoff, and dead
numerous “successes” in ecosystem restoration following zones and algal blooms in the Black Sea declined in
phosphorus load reduction. (See the section “Prospects for intensity.
Recovery,” below.) This would seem to support the theory Not all events called successes are true successes, how-
that limiting the availability of one nutrient will limit the ever. Eutrophication is a process, and so too is recovery
amount of algae growth, and that an excess of any other following nutrient reduction. Although dramatic changes
nutrients will have no ecosystem effect because they will in algal biomass and food webs may occur following
not be able to be assimilated. This simplistic view has been reduction in phosphorus loading, the ecosystems do not
challenged, however, for two reasons: excess nutrients are necessarily return to their pre-eutrophied condition.
often transported downstream, where they contribute to When one nutrient is controlled without controlling the
eutrophication spatially displaced from the original site of overall nutrient balance, the nutrient in excess is exported
discharge; and disproportionate nutrient availability may downstream or offshore where it can contribute to blooms
have ecosystem effects on the larger food web. displaced in time and space from the source of the pollu-
When one nutrient is controlled relative to another, tion. To fully address the challenges of eutrophication,
just as when one nutrient is added disproportionately to ecologists and ecosystem managers will need to reduce
another, unintended ecological changes can occur, such as both nitrogen and phosphorus loads. Dilution does not
increased growth of non-native (“invasive”) species that solve the problem—it just displaces it.
are opportunistic under such conditions. Different types
of organisms have different needs for nitrogen and phos- Patricia M. GLIBERT
phorus, and thus it is not surprising that the prevalence of University of Maryland Center for Environmental Science

EUTROPHICATION • 127
See also Dam Removal; Fisheries Management; Food and phosphorus inputs on a global basis: Application of spatially
Webs; Human Ecology; Invasive Species; Microbial explicit nutrient export models. Harmful Algae, 8, 33–38.
Grosse, Y.; Baan, R.; Straif, K.; Secretan, B.; El Ghissassi, F.; &
Ecosystem Processes; Nitrogen Saturation; Nutrient and Cogliano, V. (2006). Carcinogenicity of nitrate, nitrite, andcyano-
Biogeochemical Cycling; Pollution, Nonpoint Source; bacterial peptide toxins. Lancet Oncology, 7, 628–629.
Pollution, Point Source; Resilience Hecky, R. E.; & Kilham, Peter. (1988) Nutrient limitation of phyto-
plankton in freshwater and marine environments: A review of
recent evidence on the effects of enrichment. Limnology and
Oceanography, 33, 796–822.
FURTHER READING Heisler, J., et al. (2008). Eutrophication and harmful algal blooms: A
Anderson, Donald M.; Glibert, Patricia M.; & Burkholder, Joann M. scientific consensus. Harmful Algae, 8, 3–13.
(2002). Harmful algal blooms and eutrophication: Nutrient Hoagland, Porter, & Scatasta, Sara. (2006). The economic effects of
sources, composition, and consequences. Estuaries, 25, 562–584. harmful algal blooms. In Edna Granéli & Jefferson T. Turner
Burkholder, Joann M., & Glibert, Patricia M. (2011). Eutrophication (Eds.), Ecology of Harmful Algae (Ch. 29). Ecology Studies Series.
and oligotrophication. Encyclopedia of Biodiversity, 2, 649–670. Dordrecht, The Netherlands: Springer-Verlag.
Elsevier. Howarth, Robert W.; Sharpley, Andrew; & Walker, Dan. (2002).
Cloern, James E. (2001). Our evolving conceptual model of the coastal Sources of nutrient pollution to coastal waters in the United States:
eutrophication problem. Marine Ecology Progress Series , 210 , Implications for achieving coastal water quality goals. Estuaries,
223–253. 25, 656–676.
Conley, Daniel J., et al. (2009). Controlling eutrophication: Nitrogen Johnson, Pieter T. J., et al. (2010). Linking environmental nutrient
and phosphorus. Science, 323, 1014–1015. enrichment and disease emergence in humans and wildlife.
Diaz, Robert J., & Rosenberg, Rutger. (2008). Spreading dead zones Ecological Applications, 20, 16–29. doi:10.1890/08-0633.1
and consequences for marine ecosystems. Science, 321, 926–929. Kemp, W. M., et al. (2005). Eutrophication in Chesapeake Bay:
Dodds, Walter K. (2006). Eutrophication and trophic state in rivers Historical trends and ecological interactions. Marine Ecology
and streams. Limnology and Oceanography, 51, 671–680. Progress Series, 303, 1–29.
Doney, Scott C. (2010). The growing human footprint on coastal and Lapointe, Brian E. (1997). Nutrient thresholds for bottom-up control
open-ocean biogeochemistry. Science, 328, 1512–1516. Duarte, of macroalgal blooms on coral reefs in Jamaica and southeast
Carlos M.; Conley, Daniel J.; Carstensen, Jacob; & Sánchez- Florida. Limnology and Oceanography, 42, 1119–1131.
Camacho, Maria. (2008). Return to neverland: Shifting baselines Nixon, Scott W. (1995). Coastal marine eutrophication: A defi nition,
affect eutrophication restoration targets. Estuaries and Coasts, 32, social causes, and future concerns. Ophelia, 41, 199–219.
29–36. Rabalais, Nancy N., Turner, R. Eugene; Justic, Dubravko; Dortch,
Duce, R. A., et al. (2008). Impacts of atmospheric anthropogenic Quay; Wiseman, William J.; & Sen Gupta, Barun K . (1996).
nitrogen on the open ocean. Science, 320, 893–897. Nutrient changes in the Mississippi River and system responses on
Edmondson, W. T. (1970). Phosphorus, nitrogen, and algae in Lake the adjacent continental shelf. Estuaries, 19, 386–407.
Washington after diversion of sewage. Science, 169, 690–691. Richardson, Anthony J.; Bakun, Andrew; Hays, Graeme C.; &
Galloway, James N.; Cowling, Ellis B.; Seitzinger, Sybil P.; & Gibbons, Mark J. (2009). The jellyfi sh joyride: Causes, conse-
Socolow, Robert H. (2002). Reactive nitrogen: Too much of a good quences and management responses to a more gelatinous future.
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Glibert, Patricia M. (Ed.). (2006). Global ecology and oceanography of Seitzinger, S. P., Harrison, J. A.; Dumont, Egon; Beusen, Arthur H. W.;
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and Baltimore: Scientific Committee on Oceanic Research gen and phosphorous to the coastal zone: An overview of global
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Glibert, Patricia M.; Harrison, John; Heil, Cynthia; & Seitzinger, Sybil. Quay. (2003). Global patterns of dissolved N, P and Si in large
(2006). Escalating worldwide use of urea—a global change contrib- r ivers. Biogeochemistry, 64, 297–317.
uting to coastal eutrophication. Biogeochemistry, 77, 441–463. Voss, J. D., & Richardson, L. L. (2006). Nutrient enrichment
Glibert, Patricia M.; Mayorga, Emilio; & Seitzinger, Sybil P. enhances black band disease progression in corals. Coral Reefs 25,
(2008). Prorocentrum minimum tracks anthropogenic nitrogen 569–576.

Weather, volcanism, evolution of new diseases, and them, and to devise means of avoidance or amelioration
human actions are among the factors that impose (or, in some cases, to comprehend their inevitability),
changes, of varying degrees of extremity, on organisms although some frameworks are in development (Gutschick
and the environment. Such extreme events also affect and BassiriRad 2003). BEEs may be analyzed for their
humans directly and indirectly. It is challenging to rec- distribution over time and space, and cause and effect.
ognize, study, and predict extreme events. The human- Biological extremes occur naturally over wide ranges
induced rise of atmospheric carbon dioxide is probably of space and time, and most are distributed over a con-
the most important extreme event in human history. tinuous range of extremity (exceedance). Some events
involve humans directly in their origination or progress.
Human involvement may be proximate, or direct, as in
M ajor challenges exist in recognizing extreme events

and their causal chains. Some, but not all, extreme
events are recognizable, and then to varying degrees.
the introduction of exotic species, such as the rabbits that
have devastated Australian vegetation. In other cases,
human involvement may be more remote but perhaps no
Events of long duration, particularly the positive less causal, as when the use of fossil fuels and deforesta-
extremes, are not readily apparent while they are taking tion add greenhouse gases to the air. The consequent cli-
place, such as the long intervals of equable climate in the mate change appears to be affecting precipitation regimes
Medieval Warm Period (950–1250 ce) or at the peak globally, and the increase of carbon dioxide (CO2) itself
of the Roman Empire. Some extreme events, such as appears poised to have a major impact on coral reefs.
earthquakes and hurricanes, originate without essential Extreme events may affect humans directly, influenc-
involvement of humans or other biological systems ing health, agricultural productivity, water supplies, and
(biota). Others are principally biological in origin, such other services. Some events affect nonhuman biological
as the evolution of new diseases, or insect outbreaks that systems directly and humans more indirectly. The indi-
defoliate or kill trees. Whatever the ultimate causation rect impacts may nonetheless be significant, as, for exam-
may be, all organisms are susceptible to negative extremes ple, when key ecosystem services, including flood control
that exceed their ability to acclimate at low cost in meta- by intact vegetation, or pest and disease control by birds,
bolic effort or via minimal losses in Darwinian fitness bats, and other insects, are altered.
(ultimate reproductive output). Overdesign (by natural Some BEEs may appear to occur at single points in
selection) to cope with the rarest extremes is too costly, time, such as the dislodgement of tidal-zone organisms
for organisms just as for engineering projects. by rare waves. The US biologists Steven D. Gaines and
Mark W. Denny offered a mechanistic understanding of
Biological Extreme Events such events and some rigorous formulation of the statis-
tics of the environmental fluctuations that drive them.
Biological extreme events (BEEs) of numerous types have Other BEEs unfold over extended intervals and may
long been known, but most have received only anecdotal involve many environmental variables. One example is
study. There are no rigorous theoretical frameworks to cat- the extensive death of coniferous trees in western North
egorize them, quantify them, and, consequently, to study America from 2000 to 2003, driven by the combination
128

EXTREME EPISODIC EVENTS • 129
of warm winter and the surprisingly rare combination of temperature and precipitation, and altering the perfor-
summer heat and drought. mance of plants of all species (and all their dependent
The limitations of knowledge of how organisms species, including humans) in various ways. Moreover,
respond to environmental extremes are compounded by we may expect that very few plant species, wild or
the limited knowledge of how the environmental cropped, possess in their populations the genetic variants
extremes occur over time—that is, their statistical distri- that respond positively or adaptively to the changes in
bution. The uncertainties are likely to increase with climate and in CO2 directly. As a result, some may disap-
ongoing changes in land use and in the emission of pear or radically change their performance. Levels of
greenhouse gases and a variety of pollutants. Some CO2 as high as those seen in the beginning of the twenty-
research groups are performing experiments on small first century have not occurred for some 20 million years,
scales, aimed at modeling current and future extremes. over which time variant genes (alleles) that are not imme-
The experiments range can be very expensive, such as diately useful can be lost by a process called genetic drift.
those in which CO2 is added to open air in a limited area The modern rise in CO2 levels is not the first time that
(free-air CO2 enrichment, or FACE). Researchers also the Earth has seen such a phenomenon. An increase in
attempt to capture extreme events in progress, as well as CO2 also took place at the beginning of the Proterozoic
to simulate them, though with imperfect knowledge of eon, 2.2 billion years ago. Cyanobacteria were the fi rst
what combinations of factors constitute extreme events. organisms to develop the form of photosynthesis that gen-
erates free oxygen. The free oxygen oxidized methane that
Abiotic Extremes dominated in the air, and the CO2 that was produced by
oxidation was a much weaker greenhouse gas. With the
While most knowledge of BEEs is case-specific or anec- sun only 70 percent as bright as it is today, the cooling
dotal, there is a vast body of knowledge on abiotic effect led to glaciation over most of the Earth. Only
extremes, both as observations and as models such as cli- continuing volcanic output of CO2 eventually restored a
mate models (general circulation models, or GCMs). strong greenhouse effect after about 50 million years.
Patterns of increases in extremes of rainfall and of atten- Organisms, communities, and ecosystems have per-
dant floods and droughts are clear over large regions of the sisted through other major changes in environmental con-
globe. The implications for agriculture alone are sobering. ditions in the distant past, albeit with massive population
Satellite- and ground-based observations have extensively reductions. Atmospheric CO2 levels have periodically
documented shifts in seasonality in temperature and pre- spiked during most of Earth’s history. There is evidence
cipitation, extending to entire hemispheres. The effects of that, during the spikes in the Cretaceous period (145 mil-
these shifts on timing (phenology) of plant and animal lion–65 million years ago), coral animals became unable to
activity, including growing offsets between flowering build solid reefs but persisted as free-swimming individual
plants and pollinators as well as greater activity of plant- plankton (Medina et al. 2006). The effects on reef-reliant
eating insects and of insects that spread human diseases, fishes are not known, while they are projected to recur by
have also been documented. Nonetheless, interpretation of the end of this century. Surface temperatures have likewise
the observed effects remains limited. In addition, data spiked higher, as in the Paleocene-Eocene Thermal
indicate that severe storms on land and hurricanes may be Maximum of 56 million years ago (58C–68C higher), or in
increasing, although the observations are insufficient in the Cretaceous period; the latter era has been dubbed the
number. Moreover, it is not possible to attribute any Saurian Sauna, for the conditions that the dinosaurs expe-
changes in extremes to human actions such as increasing rienced. The human population may have been severely
the CO2 content of the air. It is feasible only to estimate reduced by the eruption of the Toba volcano in Indonesia
the risk ratio—that is, to compare the probability that seventy thousand years ago. Humans as a species survived
a given event would occur with human effects to the this extreme event and other events and are likely to sur-
probability of its occurrence without human effects. Such vive future cataclysms, but the potential loss of the vast
assessments rely on the accuracy of models such as GCMs; majority of the population would certainly rank as worse
their accuracy is improving but is far from sufficient, par- than all wars, plagues, and natural disasters.
ticularly for small regions and long time intervals.
Outlook
Rising CO2 Levels
The human-imposed changes in environmental conditions
The most significant BEE in human history is likely to in modern times demonstrate unique characteristics that
be the rise in atmospheric CO2. Th is event is global in make it challenging to predict the outcome based on his-
extent and long-lasting (CO2 has a mixture of residence torical records. One is their unprecedented rate. Until now,
times in air, but the shortest is about 150 years), affecting the most rapid CO2 changes have been near-doublings

over about five thousand years during ice age transitions. FURTHER READING
In the present cycle, CO2 is projected to double in less Alley, Richard B. (2000). The two-mile time machine: Ice cores, abrupt
than one hundred years. Second, the multiplicity of climate change, and our future. Princeton, NJ: Princeton University
changes—elevated CO2, widespread releases of “reactive Press.
nitrogen” (nitrate pollution in water from fertilizer use, Breshears, David D., et al. (2005). Regional vegetation die-off in
response to global-change-type drought. Proceedings of the National
nitrogen oxides in air from combustion), ozone depletion Academy of Science, 102, 15144–15148.
in the stratosphere, ozone increases at ground level, Büntgen, Ulf, et al. (2011). 2500 years of European climate variability
land-use changes—has no equal. Organisms, including and human susceptibility. Science, 31, 578–582.
humans, have never had to acclimate individually or Evans, David A.; Beukes, N. J.; & Kirschvink, Joseph L. (1997). Low-
latitude glaciation in the Palaeoproterozoic era. Nature, 386 ,
adapt genetically in populations to so many changes so 262–266.
fast. Finally, humans have reworked the surface of the Gaines, Steven D., & Denny, Mark W. (1993). The largest, smallest,
Earth, primarily through agriculture but also as a result highest, lowest, longest, and shortest: Extremes in ecology. Ecology,
of species extinctions from habitat change and hunting. 74, 1677–1692.
Gutschick, Vincent P., & BassiriRad, Hormoz. (2003). Extreme
Humans now command about 70 percent of the net pro- events as shaping physiology, ecology, and evolution of plants:
ductivity of land that is supported by photosynthesis and Toward a unified definition and evaluation of their consequences.
plant growth. For all these reasons, the effects of the cur- New Phytologist, 160, 21–42.
rent extreme events are very difficult to assess but appear Haberl, Helmut; Erb, Karl-Heinz; & Krausmann, Fridolin. (2010).
Global human appropriation of net primary production (HANPP).
to constitute a mass extinction event that we can avert, Th e Encyclopedia of Earth. Retrieved April 14, 2011, from
with sustained great effort. http://www.eoearth.org/article/Global_human_appropriation_
of_net_primary_production_(HANPP)
Vincent P. GUTSCHICK Kleypas, Joan A., & Yates, Kimberly K. (2009, December). Coral reefs
New Mexico State University and ocean acidification (Special issue feature). Oceanography, 22 (4),
108–117. Retrieved September 22, 2010, from http://www.tos.org/
See also Agricultural Intensification; Carrying Capacity; oceanography/issues/issue_archive/issue_pdfs/22 _4/22-4_
Complexity Theory; Disturbance; Ecological Forecasting; kleypas.pdf
Medina, Mónica; Collins, Allen G.; Takaoka, Tori L.; Kuehl,
Ecosystem Services; Fire Management; Global Climate Jennifer V.; & Boore, Jeff rey L. (2006). Naked corals: Skeleton loss
Change; Human Ecology; Keystone Species; Nitrogen in Scleractinia. Proceedings of the National Academy of Sciences, 103,
Saturation; Ocean Acidif ication—Management; 9096–9100.
Resilience; Shifting Baselines Syndrome

Fencing
Fencing fragments landscapes and reduces the ability of humans have designed fences for the sole purpose of
animal species to shift ranges in times of nutritional stopping animal movement or have incidentally con-
need or stress. Migrant large mammals are particularly structed barriers such as railway lines. François
affected. Controlling animal diseases and human con- Lamarque, a French program officer with the
flict with wildlife are two of the primary reasons for the International Foundation for the Conservation of
erection of fences. Removal or realignment of long Wildlife, and his colleagues have reviewed various forms
fences requires the development of alternative conser- of human-wildlife confl ict and possible mitigation meth-
vation strategies such as transfrontier conservation and ods that include fencing (Lamarque et al. 2009).
biofences. Barriers also increase the spatial distance between
related populations of animals and plants. Both plants
F encing and other forms of human-constructed separa-

tion barriers—such as road, walls, pipelines, and arti-
ficial water bodies—fragment landscapes, create habitat
and animal species show significant variations on the
other sides of divides, leading to changes in the ecosys-
tem and extinction of some localized species.
patchiness, and form isolated wildlife enclaves. Barriers
protect humans and their infrastructure from natural risk Benefits and Costs
and disturbance. Like medieval castles, fencing and other
deliberately erected barriers stop humans or animals and Increasing human-caused habitat loss has led govern-
diseases from getting into or out of some predefi ned ments to create protected areas for animals worldwide.
space. Since the dawn of the agricultural age humans Removing fences to allow cross-border movement of
have protected their lives and livestock from the real and wildlife has not made all park fences redundant, however.
perceived threats that emanate from nature, especially In eastern and southern Africa, governments are fully or
predation (on crops or domestic animals and occasionally partially sealing off some protected areas for a number of
people) and cross-species disease transmission. Within reasons. When a large human population adjoins the
the safety of more permanent and larger settlements, park, diseases can flow in both directions. Fences prevent
farmers could grow grain and raise domesticated herds. poaching and allow parks and reserves (private and state
As this process expanded, the confl ict with nature owned) to legally import and safely enclose dangerous
widened. animals that tourists wish to see.
Animal control fences that prevent migrant or Local people who suffer livestock and crop losses due
nomadic animal movement across landscapes may endan- to wild animals often push for increased fencing. Human-
ger the last of the spectacular mass migrations of large wildlife confl ict may become so contentious that fencing
wild mammals. Fences and other barriers create hard, offers a respite to continuously fractious relations between
impassable edges, expose animals to dangerous areas wildlife parks and people. Matt Hayward, an Australian
where they may be hunted, and interfere with the eco- ecologist who has worked extensively in Africa, and his
logical functioning of a wildlife area. David Wilcove colleague Graeme Kerley, a South African expert in
(2008), a US ecologist and evolutionary biologist with an African wildlife ecology, have published a comprehensive
abiding interest in animal migration, has illustrated how list of the costs and benefits of fencing at all scales of
132

FENCING • 133
impacts (Hayward and Kerley 2009). Hayward has tree-to-grass ratio of a savannah. Th is fencing assists in
further emphasized the importance of fencing for con- creating a series of unequal environmental gradients, or
servation terms: “The IUCN [International Union for changes in the conditions of the environment. Rangeland
Conservation of Nature] lists ten key threatening pro- ecologists have shown that fencing that creates smaller
cesses in its Red List of Th reatened Species, and eight of parcels of land can decrease its ecological carrying capac-
these can be managed via the use of conservation fenc- ity (Boone and Hobbs 2004).
ing” (Ferguson and Hanks 2010, 168). Fencing can pro- A further worry for conservationists is that as global
tect wildlife corridors that span the inhospitable terrain warming increases, human-made barriers will prevent
between two or more protected areas. certain species from shifting their ranges to more suitable
Sometimes fencing can be a victim of its own success. areas. Large animals with long life cycles and small pop-
Kruger National Park in South Africa was entirely fenced ulation sizes may be especially vulnerable (Milner-
in the 1970s. Ian Whyte, a South African elephant spe- Gulland, Fryxell, and Sinclair 2011, 16). Evidence from
cialist, and Salomon Joubert, an ecologist and former the discipline of island biogeography shows that ever-
director of Kruger Park, have found noticeable opposing decreasing parcels of land bounded by fencing would not
conservation effects of the fence. Blue wildebeest num- offer a conducive platform for large mammal species to
bers declined 87 percent because fencing severed an evolve or evolve in a different trajectory. A large antelope
external migration route. Fencing increased the number that spends its life in a small, intensively managed fenced
of elephants, however, because they lacked dispersal game farm, for example, lacks the same evolutionary
opportunities, leading to overabundance and population potential of an animal of the same species living in a vast
compression. Both these authors, on balance, believe the unbounded savannah. Some species may benefit from
benefits of the fence—its role as a disease barrier and pro- habitat loss and subdivision, however. They may avoid
tection from human encroachment—outweigh its costs viruses and bacteria that evolve rapidly to fi ll new oppor-
(Whyte and Joubert 2010, 137–143). tunities provided by humans taking over these previously
In most of the world humans do not fence themselves natural spaces.
in to keep nature at bay. Instead, they increasingly use Fencing and ancient walls built primarily to defend
fencing and other barriers to keep wild animals in pro- civilizations from invasions can profoundly affect wild
tected areas and out of an ever-expanding human species divided as an indirect consequence. Researchers
domain. This paradigm shift, which has increased within have studied a number of plant species over the large
the last few hundred years, creates havoc, particularly expanse of time since the Great Wall of China was built.
with the remaining populations of large migratory wild Their work shows that “significant genetic differentiation
mammals. was found between the subpopulations on both sides of
Human-created barriers change evolutionary pro- the Great Wall” (Su et al. 2003, 212).
cesses, such as changing the trajectory of adaptations or Such walls do not belong only to antiquity. The British
the resistance to diseases, by blocking the flow of genes geographer Reece Jones (2009) notes that the so-called
and encouraging species differentiation, often over very Great Wall of India, which runs for 4,096 kilometers
short time spans. The subdivision of landscapes by means along the border of India and Bangladesh, is a recent anti-
of fencing leads to smaller isolated animal or plant popu- human fence. It was built to stem the projected future
lations more vulnerable to other forms of habitat frag- millions of climate-change refugees from moving from
mentation, leading to localized extinction (Hayward and Bangladesh to India. The high-tech Mexico-US border
Kerley 2009). A case in point is the precipitous decline of fence and the separation wall between Palestine and Israel
the springbok ( Antidorcas marsupialis) from population not only separate peoples and nations, but also, by default,
sizes in the order of millions to a complete collapse of the divide their shared biodiversity. Fences are symbols of
trek in the Karoo drylands of South Africa. Chris Roche marginalization for some local people, who may feel dis-
(2008), a South African conservationist, attributes this possessed from their land by their presence. A recent
collapse partly to the expanding role of wire fences in major review edited by two UK conservationists provides
South Africa during the early part of the twentieth examples of the social, economic, and ecological complex-
century. ities of separating wildlife and human activities, espe-
Animal control fences can change ecosystems. They cially in Africa (Ferguson and Hanks 2010). The long
reroute large migrating populations, which trample and disease-control fence that surrounds the western side of
denude vegetation at fences. Fences benefit large preda- Kruger National Park in South Africa exemplifies
tors by acting as a net within which the predators can “human-fence conflict.” The fence has long been a source
trap and catch prey. A fence that excludes large segments of conflict between park authorities and the adjacent com-
of land from the actions of wild browsing and grazing munities. The creation of the park in the 1960s evicted
animals can lead to changing fire regimes and upset the some of these communities from their land. The fence

itself was built in the 1950s. Many rural people now con- Long and straight veterinary fences traverse many
nect these two events (Ferguson and Hanks 2010, 55). thousands of kilometers of southern Africa. Managers
gave little thought to migration routes when they erected
and aligned these fences in the 1950s and 1960s and have
Barriers to Conservation Efforts added an increasing number since then. The fences are
built to prevent livestock diseases, especially foot-and-
“Migration is a complex adaptation arising as a result of mouth disease. These zones protect cattle destined for
interaction between individuals, their genes, and the local and export markets. The fences therefore are a cru-
environment . . . evolving in response to spatiotemporal cial bulwark safeguarding the national and private herds
variation in resources or threats” (Cresswell, of cattle and other livestock.
Satterthwaite, and Sword 2011, 8). Fences subdivide The fences do not come without a high environmental
landscapes into ever smaller parcels of land, directly price. Fences that bisect wildlife migration routes have
blocking large mammal migration routes. A continuous led, in conjunction with dry periods, to a precipitous
process of fragmentation, aided and abetted by human- decline of migratory large herbivores. Opponents of vet-
made barriers, creates islands of natural landscapes (sur- erinary fencing estimate that Botswana’s blue wildebeest
rounded by a matrix of disturbed land) and isolated (Connochaetes taurinus) population has fallen from approx-
populations of plants and animal species. imately 250,000 animals to just 4,500 within two decades.
Without recourse to wildlife corridors They attribute this decline to fencing (Albertson 2010, 86).
that foster the vital genetic inter- Martyn Murray, a Scottish conservation planner, writes
change between populations of in his book The Storm Leopard of “wildebeest dying in
the same species, these popula- thousands along the fence, and in the wastelands
tions become vulnerable to around Lake Xau” in Botswana as they tried
extinction processes associated to reach water and grazing resources
with small sizes of area and (Murray 2010, 113).
animal numbers (Akçakaya, Scientists currently know
Mills, and Doncaster 2007). very little about how migra-
In human terms, fencing tions collapse, in a demo-
serves as a vital physical and graphic sense, due to the
metaphorical marker of private imposition of fencing. The
ownership, a means to protect initial structure certainly may
state assets, and as an agricul- cause mass immediate starva-
tural tool. Fencing will become tion and dehydration and
more globally prevalent as the sometimes death by direct
human population increases entanglement. The remainder of
and nation-states compete for the population may decline more
increasingly scarce resources. insidiously because they are more
Neither subsistence farm- vulnerable to disease and predation
ers nor the more recent com- or are trapped by fi re. If the fences
mercial farming sectors favor deny them critical nutritional resources,
mixing domestic and wild their fertility may decrease. Compounded by
mammals. Diseases jump the species a series of steplike population plunges when-
barrier, devastating animal health and economic ever drought returns, this decrease may well her-
yields and leading to extreme poverty in rural commu- ald the final cascade effect as populations get smaller and
nities, especially in the developing world. Farmers are more vulnerable to random extinction events.
locked in a war of attrition between their stock and nat- Migrating large herbivore populations in many African
ural predators and with crop-raiding wild herbivores. settings are doubly tasked. The core protected area often
Local people living around Kenya’s Shimba Hills does not fully cover the entire migration route. Fences
National Park demanded a protective fence that would often circumscribe the park boundaries or the surround-
ring the entire park to prevent elephants escaping and ing rangeland that encompass both high livestock and
damaging their livelihoods. After the park had been human densities. The migrant population must move
completely enclosed, however, local people illegally “nervously” through these areas. Ecologists predict that
removed sections of fence to allow themselves access to plans to bisect the spectacular Serengeti National Park
the park ’s natural resources (Knickerbocker and with a road protected by a fence will cause the catastrophic
Waithaka 2005). collapse of one of the last great large herbivore migrations

FENCING • 135
in Africa (Bigurube, Borner, and Sinclair 2010). Great presence of a railway “could cross the railroad within a
herbivore migrations can change over the decades, leading week if there was no barrier” (Ito et al. 2005, 947). Other
to renewed and unpredictable confl ict with fencing researchers have used telemetry to pinpoint vital narrow
(Wilcove 2008). migration corridors used by Saiga antelope (Saiga tatat-
Rural people can also be and feel marginalized by rica mongolica) (Berger, Young, and Berger 2008).
fences. Fences restrict their access to critical natural Mike Chase, a Botswanan elephant ecologist, and
resources or their families. This restriction is an indirect Curtice Griffi n, a US environmental conservationist,
effect of disease control measures or direct human exclu- have spent many hundreds of hours using satellite telem-
sion policies, as has happened in Botswana (Darkoh and etry to map where elephants and fences interact and cause
Mbaiwa 2009). The decline in wild herbivore migrations congestion in southern Africa. These advances pinpoint
parallels the decline in mobile pastoralist cultures. critical wildlife corridors or funnels that must be kept
Intensive modern farming methods (including fencing) open in order for the migrations routes to survive or even
tame rather than work with nature. Farmers often wrongly be re-created (Chase and Griffin 2009).
consider large-scale movements of animals, whether wild British and Botswanan researchers studied the popu-
or domestic, an inefficient means of protein production. lation increase and range expansion of the plains zebra
Roy Behnke, a UK livestock and rangeland researcher, and (Equus burchelli) after the removal of a major fence in
his colleagues sum up this dilemma: “it is possible to view Botswana. It took about four years for the population to
both migratory wildlife and mobile livestock as fence- retrace its former migration route (Bartlam-Brooks,
wrecking despoilers of modern, sedentary, commercial Bunyongo, and Harris 2011). Botswana has emerged as a
ranching” (Behnke et al. 2011, 171). Wild herbivores and key testing ground for new ways to deliver increases in
mobile pastoralists unfortunately compete for grazing agricultural output without the collateral damage to
resources as the spaces available to both diminish. wildlife populations they experienced in the past. Along
with the superkraal (cattle stockade) concept, a policy
that seeks to control wildlife diseases that affect live-
Conservationists Respond stock is emerging. Th is policy relies less on fencing.
Commodity-based trading seeks to sanitize and verify
Global treaties designed to protect the migration routes the disease-free status of beef at the abattoir, or slaugh-
of large herbivores have a long history of ineffectiveness terhouse, stage, rather than to rely on rangewide surveil-
(Cioc 2009). According to some conservationists (Shuter lance. This policy may allow for a more mixed (wildlife
et al. 2011, 202–203) the Bonn Convention (entered into and livestock) economy to emerge (Ferguson and Hanks
force 1983) currently offers the best hope for rallying 2010, 62–65).
nations to the cause of protecting terrestrial migrations Similarly inventive is the reasoning behind transfron-
that have internal or transboundary routes. tier conservation in Africa, as described by John Hanks,
Ecologists’ efforts to persuade governments or private a UK expatriate with forty-five years conservation expe-
landowners that these migrations can be economically rience on the continent. This policy may eventually lead
beneficial for tourism or sustainable utilization will governments to remove major fences, thereby allowing
increase the protective momentum. Kenya has directly “transfrontier wildlife corridors [that] will have a vitally
paid its citizens to remove fencing or banned fences that important role to play in regional conservation activities
cut across migration routes. Some of the recently settled by presenting or consolidating opportunities for various
Masai peoples previously had used barbed wire to stake species to move freely across international borders”
their claims to group ranches. Masai resource ecologists (Ferguson and Hanks 2010, 25).
such as David Ole Nkedianye championed the plans to Fencing is a core management tool in two innovations
remove the existing fences and to keep these remaining in the development of African protected areas. Game
Kenyan wildlife corridors open (Nkedianye 2010, conservancies combine individual private farms by
263–266). removing the internal fences and relying instead on a sin-
Removal, realignment, or circumvention of fencing to gle perimeter fence. The increasing development of priva-
aid the free flow of wildlife is a complex and time- tized or leased protected areas often requires newly
consuming conservation practice. Fencing left to deterio- installed fences to protect the large private fi nancial
rate still causes problems for many large mammals and investment in rehabilitating defunct game reserves.
should therefore always be removed completely. Once Where fencing must remain (for animal disease con-
governments have removed fencing or other human- trol or military purposes, for example), conservationists
made barriers, previously stunted migrations may resume. seek new methods to curb the excessive damage to wild-
Researchers using telemetry concluded that Mongolian life these structures cause by direct entanglement and
gazelle (Procapra guttorosa) migrations blocked by the long-term population declines due to the cessation of

migrations. “Virtual fencing” techniques, such as olfac- See also Adaptive Resource Management (ARM);
tory barriers or biofences, more selectively prevent certain Agroecology; Biogeography; Biological Corridors;
species from crossing out of a proscribed area. J. Weldon Charismatic Megafauna; Complexity Theory; Ecological
“Tico” McNutt, a US animal behaviorist, and his col- Restoration; Edge Effects; Food Webs; Habitat
leagues have tested the use of urine extracts of wild dogs Fragmentation; Human Ecology; Plant-Animal
in Africa that can be pasted onto posts. Th is technique Interactions; Population Dynamics; Road Ecology; Soil
inhibits packs of wild dogs from crossing into ranching Conservation
areas and thus spares them possible death at the hands of
irate livestock ranchers (see Borrell 2009). The Elephant
Pepper Development Trust run by F. V. “Loki” Osborn, FURTHER READING
a US elephant researcher based in Zimbabwe, champions Akçakaya, H. Resit; Mills, Gus; & Doncaster, C. Patrick. (2007). The
role of metapopulations in conservation. In David W. Macdonald
the use of chili fences and bombs and slow-burning dung
& Katrina Service (Eds.), Key topics in conservation biology (Chap. 5,
bricks. Local African people can easily deter elephant pp. 64–87). Cambridge, UK: Blackwell Publishing.
crop raiding with these methods. At the same time these Albertson, Arthur. (2010). The Scott Wilson “fencing impacts” report:
methods will not restrain the movement of elephant Ten years on. In Ken Ferguson & John Hanks (Eds.), Fencing impacts:
A review of the environmental, social and economic impacts of game and
herds as would traditional fencing methods.
veterinary fencing in Africa with particular reference to the Great Limpopo
Farmers and ranchers now use more sophisticated fenc- and Kavango-Zambezi Transfrontier Conservation Areas (pp. 83–98).
ing to subdivide the ever-increasing human-dominated Pretoria, South Africa: Mammal Research Institute.
landscape. In an intensive agricultural setting, “live” Bartlam-Brooks, Hattie L. A.; Bunyongo, M. C.; & Harris, Stephen.
(2011). Will reconnecting ecosystems allow long-distance mammal
fencing—refuges made from hedges and thorny shrubs
migrations to resume? A case study of a zebra (Equus burchelli)
to separate fields and plots of land—benefit biodiversity. migration in Botswana. Oryx, 45(2), 210–216.
In developing countries ranchers use natural materials Behnke, Roy H.; Fernandez-Gimenez, Maria E.; Turner, Matthew D.;
such as thorn branches to kraal (stockade) animals, espe- & Stammler, Florian. (2011). Pastoral migration: Mobile systems of
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& Anthony R. E. Sinclair (Eds.), Animal migrations: A synthesis
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Mongolian Saiga. PLoS Biology, 6(7), 1365–1367.
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Bigurube, Gerald; Borner, Markus; & Sinclair, Anthony R. E. (2010).
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land between these “cattle islands” for the exclusive use Serengeti national park jeopardizes the integrity of a world heritage
of wildlife. site. Retrieved May 10, 2011, from http://www.zgf.de/download/
1135/SerenegtiRoad2.pdf
Managers can make even traditional fencing more
Boone, Randall B., & Hobbs, N. Thompson. (2004). Lines around
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shoulder height cables stop adult elephants from getting Borrell, Brendan. (2009, April 17). Don’t fence me in: Researchers
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Ecology, 47, 223–233.
ultimate cost-effective, elephant-proof fence. Cioc, Mark. (2009). The game of conservation: International treaties to
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The Future Cresswell, Katherine A.; Satterthwaite, William H.; & Sword,
Gregory A. (2011). Understanding the evolution of migration
Governments can preserve wildlife corridors using inge- through empirical examples. In Eleanor J. Milner-Gulland, John
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synthesis (Chap. 2, pp. 7–16). Oxford, UK: Oxford University Press.
gers are among the many species that have benefited from Darkoh, M. B. K., & Mbaiwa, Joseph E. (2009). Perceived effects of
such means of circumventing major barriers. Only when veterinary fences on subsistence livestock farming in the Okavango
governments fully appreciate and value the importance of Delta, Botswana. UNISWA Research Journal of Agriculture, Science
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Ferguson, Ken, & Hanks, John. (Eds.). (2010). Fencing impacts: A
save or revive some migration events. review of the environmental, social and economic impacts of game and
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threatening processes? Biological Conservation, 142 (1), 1–13. small-scale farmers. Retrieved August 12, 2011, from http://www.
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elephants in Shimba Hills, Kenya. In Rosie Woodrooffe, Simon & Anthony R. E. Sinclair (Eds.), Animal migrations: A synthesis
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Whittles Publishing.

Fire Management
Fire management involves making decisions and taking water and fi re retardants by planes and helicopters.
action to prevent, maintain, control, or use fire in a par- Prescribed fi res are either intentionally or naturally
ticular region or landscape, and it depends on knowl- ignited fires that are allowed to burn under predetermined
edge of fire frequency, severity, size, and seasonality. conditions of weather, fuel moisture, and fi re intensity.
The tools of fire management include suppression of Fuel management includes the removal of flammable
fires, application and management of prescribed fire, materials from fire lines cut by fire fighters and fuel breaks
and the management of fuels. Knowledge and experi- installed on landscapes to limit the spread of wildfi res.
ence gained during the twentieth century guide current Fuel management also includes the modification of fuels
fire management goals and practice. within an ecosystem, such as the removal of shrubs, sap-
lings, and woody debris from forest understories (growth
F ire management is defined as the range of “decisions

and actions available to prevent, maintain, control or
use fire in a given landscape” (Myers 2006). In the broad-
at the lowest height under the forest canopy).
The fi re regime is a foundational concept in fi re man-
agement and recognizes that, under natural conditions,
est sense of the phrase, humans have been managing fire fi res behave in different ways in different ecosystems.
for hundreds of thousands of years. There is strong evi- Land management agencies in the United States often
dence for controlled use of fire by Homo erectus beginning define fi re regimes in terms of fi re frequency or return
400,000 years ago and by our own species, Homo sapiens, time (i.e., the average time between fi res at a given
for more than 100,000 years. Indeed, anthropologists place), and fi re severity, the impact of fi re on the vegeta-
view the controlled use of fi re as a major milestone in tion (NIFTT 2010). High frequency–low severity fi re
human evolution. It provided warmth, heat for cooking regimes are typical for grasslands, savannas, and some
and protection from predators and enemies. Humans also forests such as the giant sequoia-mixed conifer forests of
purposefully set fires in ecosystems to facilitate travel and the Sierra Nevada. In these systems fi res may burn as
improve habitat for the plants and animals they depended frequently as every one to ten years, consuming surface
on. (It should be noted that the human use of controlled fuels but killing very few plants. At the other extreme
fire to manage and improve vegetation differs from slash- are low frequency–high severity fi re regimes such as
and-burn [swidden] agriculture, in which entire forests those occurring in high-elevation conifer forests. In
and woodlands are cut and burned to create fields for these ecosystems fires recur much less frequently and kill
planting and pasture for livestock.) most of the canopy trees. In between are so-called mixed
The tools of modern fire management include suppres- severity fi re regimes that are typified by high variation
sion of fires, application and management of prescribed in fi re return times and impacts on vegetation. For
fi res, and the management of flammable materials or example, fi re return times in pine- and fi r-dominated
fuels. Fire suppression involves a variety of tactics includ- forests in the western United States vary from surface
ing simple and direct extinction of flames with shovels fi res burning every fi ve to ten years to local crown-
and water pumps, the setting of backfi res to eliminate killing fi res every hundred to two hundred years. In
fuels in advance of a wildfi re, and aerial applications of addition to frequency and severity, fire managers
138

FIRE MANAGEMENT • 139
understand that variations in fi re size and seasonality are expanses of dense forest or shrubland thus tend to support
also important components of fi re regimes that influence very large fires; fires may be limited to smaller patches on
post-fi re vegetation responses (Keeley et al. 2009). heterogeneous or fragmented landscapes.
Fire regimes and fire behavior are influenced by a vari-
ety of factors. Sources and patterns of ignition can limit
the frequency of fires. Lightning, the most important nat- History of Fire Management
ural ignition source, is quite frequent in the southeastern
United States, with more than four strikes per square kilo- Although the following examples illustrate fire manage-
meter per year (. 4 strikes/km2/yr), but far less frequent in ment research and practices in the United States during
the far west, with less than a quarter of a strike per square the twentieth and early twenty-first centuries, the field
kilometer per year (, 0.25 strikes/km 2/yr). Ignitions by itself is practiced worldwide with the same general prin-
humans are most common near roads and urban centers. ciples, and is especially important in dry climates such as
Weather conditions greatly influence both ignition and Australia’s.
fire spread. Fuel moisture is directly influenced by At the beginning of the twentieth cen-
temperature and relative humidity. During the tury, US land managers engaged in a vigor-
heat of afternoon, temperature is typically ous debate on fire management, although
high and relative humidity is low; the term “fire management” did not
fuels are dryer and are more likely actually appear in the discourse.
to ignite and burn more severely. The debate was about “light
Overnight and in the early burning”—whether fires
morning hours, low tempera- should be intentionally set
tures and high humidity have and allowed to burn in the
the opposite effect. Winds understories of forests in
influence the drying of fuels order to maintain open
as well as fire spread. conditions and diminish
Fire frequency and behav- risk of severe wildfi res.
ior is also influenced by the The debate about light
amount, dead/live ratio, size burning ceased abruptly
structure, chemistry, and spa- when the Great Fires of
tial arrangement of fuels. 1910 burned 3 million acres
Amount of fuel is influ- in Idaho and Montana and
enced by the relationship took the lives of over
between net primary pro- eighty people, most of
duction and decomposi- them firefighters. Federal
tion. Where decomposition policy following that
is slow, fuel dead/live ratio event forbade intentional
is higher and this increases burning in any public for-
ignition probability and fire est or shrubland, and wild-
spread. Size structure refers to the fi res ignited by any source
distribution of fuels among fine material were to be suppressed (Pyne 1982).
(leaves and twigs) and larger material (branches to large Complete suppression of fires regardless of ignition source
logs). Fine fuels dry out much more quickly than larger (lightning or human-set) became official national policy
fuels; thus a higher proportion of smaller fuel lends itself soon after. Despite accumulating evidence and voices to
to more frequent fires. Fuel chemistry includes the con- the contrary (e.g., Chapman 1932 and Garren 1943), there
tent of inorganic salts and volatile organic compounds was consensus among many, if not most scientists and
that influence volatility. Spatial arrangement of fuels is managers during this time that (1) wildfires were a mostly
especially important with respect to fire spread. Where human-caused problem, (2) wildfires could be eliminated
fuels are evenly distributed vertically, fire can easily spread from ecosystems, and (3) suppressing fire had no adverse
from the forest floor through so-called ladder fuels up to consequences.
the fine fuels in the forest canopy. Where ladder fuels are Over the next quarter century, a welter of evidence
absent, such as in savannas, fires tend to be confined to from a variety of ecosystems challenged this consensus
the surface. The horizontal distribution of fuels affects the (e.g., Biswell 1961; Cooper 1960; and Weaver 1968) so
spread of fi res across landscapes. Large, contiguous that, by the 1960s, there was widespread agreement

among most ecologists and some managers on four points Oakland, California (close to San Francisco); and the 1994
that were completely contrary to the previous conven- fire season with its thirty-four fatalities were all cause for
tional wisdom. (1) Fires are not random or chance occur- scrutiny of the concept of fire management.
rences; they ignite and burn in particular ways as a Since 2000, numerous very large fires, so-called
consequence of the confluence of climate, weather, igni- megafires, have occurred in ecosystems as diverse as conif-
tion sources, and the growth of fuels. (2) Fire regimes— erous forests in Arizona, Colorado, and Oregon, chaparral
the typical frequency and behavior of fire—and in southern California, shrub and grasslands in Texas, and
ecosystems have co-evolved. The flora and fauna of many pine flatwoods in Florida. In the case of western conifer-
ecosystems are not simply resilient to fire, they depend on ous forests, the extent and severity of these fires is at least
it. Fires come and go at least in part, in response to the in part due to the accumulation of fuels as a consequence
growth patterns of the fuels they burn. (3) Exclusion of of historical fire suppression (Keeley 2009). Abnormally
fire from these co-evolved ecosystems does have signifi- hot, dry weather, however, has been a contributing factor
cant consequences, often affecting the establishment and in all of these situations (Brown et al. 2004). Development
growth of shade- and fire-intolerant species, and closure and increased human access to these ecosystems have also
of the forest understory. (4) The absence of fire can actu- increased the probability of fire starts (Hansen et al. 2005).
ally increase the amount and fl ammability of fuels, More importantly, development and the blurring of
increasing both the risk and severity of future fires. boundaries between urban and wilderness landscapes have
In 1967, the Forest Service relaxed its “10 a.m. policy,” increased the consequences of wildfires for human life and
which stipulated that fi res were to be under control by property (Dombeck et al. 2003).
10 a.m. on the day following their outbreak, for early- and
late-season fires. The Park Service began implementing
prescribed fi re programs soon after, using deliberately Fire Management Goals
ignited fires in the Everglades of Florida and in giant
sequoia groves of California, and allowing lightning fires Wildfi re prevention and control are often the central
to burn within preset guidelines in the high-elevation for- goals of fire management. This has been particularly true
ests of the Sierra Nevada and, beginning in 1972, over the past decade because of concerns regarding the
Yellowstone National Park. (The lodgepole pine common accumulation of excessive fuels in many North American
in Yellowstone actually depends on fire forests (Schmidt et al. 2002). The central
to reproduce, both to open its focus is on reduction of fuel conti-
cones and release its seeds, and nuity between the forest floor
to provide a mineral surface for and canopy and across the land-
seed germination.) In 1977, the scape. Removal of understory
Forest Service further modified trees and shrubs has been a
its policy to allow local fire man- useful and sometimes contro-
agers to consider alternatives to versial technique applied
full suppression, including the to many western forests
use of prescribed fire. (Wallin et al. 2004;
The 1988 fires in Yellow- Peterson et al. 2005).
stone National Park were a Where fuel accumula-
watershed event for fi re tions are light, thinning
management. To a greater may be accomplished
or lesser extent, they with prescribed fire.
burned nearly half of the Where fire suppression
park’s forested landscape, has resulted in heavy
closing the park to visitors f uel accumulation,
and threatening nearby however, thinning must
communities. These fi res be done mechanically
were the first of many events and often at considerable
that would keep fire man- expense. Such fuel treat-
agement in the limelight of ments appear to have
public attention and politicize little inf luence on fire
its management. Subsequent spread in the most extreme
major fires in Yosemite; the dev- weather conditions. Fuel
astating 1991 fires in and around breaks are an important

FIRE MANAGEMENT • 141
class of fuel manipulations that can limit fi re spread transformational moment, in a process of change. The
under moderate weather conditions. But they may be nature of a fi re, any fi re, is determined only in part by
more important in providing access for fi re fighters and conditions—weather, fuel moisture and so forth—
staging areas for ignition of prescribed burns. unique to that moment. Much fi re behavior is a conse-
Fire management, including the use of mechanical quence of a century or more of ecosystem change
thinning and prescribed fire, is also widely used to restore preceding it. Furthermore, its behavior will influence
ecosystem structure and composition to presettlement the patterns of change that proceed from it over the
conditions (e.g., Covington and Moore 1994). Here the decades and centuries that follow.
goal is often to recreate conditions under which natural Manage less for desired future conditions and more for
fire regimes can be maintained. Such restoration assumes desired future change. Change is constant, and efforts to
an understanding of presettlement conditions, which is restore a particular condition with no thought about the
often a matter of controversy (Christensen 2006). change that will follow are likely to produce unhappy
Recognizing that presettlement ecosystems were them- consequences.
selves constantly changing, fi re managers often deter- Variation and complexity matter—conserve them!
mine restoration targets based on historic range of Perhaps the greatest ecological lesson of the 1988
variation, the range of fire behaviors, and ecological con- Yellowstone fi res was their variability and the equally
ditions that may exist over a particular historical period remarkable diversity of recovery patterns and biological
(Keane et al. 2009). communities they produced. The diversity of many eco-
Fire management is also used to achieve silvicultural systems is a consequence not just of disturbance, but of
goals (those related to the development and care of for- variations in disturbance and the processes of change
ests). Pre- and postharvest prescribed fire is widely used they produce. For this reason, managers should avoid
in pine plantations in the southeastern United States to homogeneity in their practices.
limit growth of competing hardwoods. It is also used in Beware of arbitrary boundaries. Th is is, of course, a
hardwood stands to create conditions favorable for ger- basic tenet of ecosystem management. The megafires of
mination and growth of shade intolerant trees such as the past decade demonstrate that the spatial extent of fi re
oaks (Brose et al. 2001). and of the many processes that are affected by fi re has
little relationship to jurisdiction or ownership boundaries
or the boundaries we use to define social and cultural cat-
Fire Management Guidelines egories such as urban and wildland.
The world is changing—expect surprise and manage to
Over the past two decades, fire scientists and fi re manag- accommodate it. Climate change, invasive species and
ers have learned a great deal regarding the behavior and changing patterns of land use are creating conditions that
role of fire in specific ecosystems and across landscapes. have no historical precedents. Fire management that
Norman L. Christensen Jr. (2009), a Duke University mimics the historic range of variation may therefore pro-
professor whose area of expertise includes research duce unexpected and undesirable change.
on ecosystem responses across fi re regimes in North We are mostly managing people. Fire management is not
America, summarized the most important of these an academic matter; it has great consequences for human
lessons as follows. life and property. If nothing else has been learned on this
Know what it is you are trying to accomplish and why. matter in the past twenty years, it is that attempts to
While fire is essential in many ecosystems, it is not the manage fire and fuels at landscape scales and across juris-
endpoint of management. Rather we manage fi re—we dictional boundaries must have the engagement of all
suppress it, restore it, and prescribe it—in order to con- communities and stakeholders.
serve key things such as fuel conditions, natural and his- You only think you know what you’re doing—be humble,
toric objects, wildlife, and key processes such as energy manage adaptively. There is much we do not understand
flows and element cycles. Our goals must be formulated about fire behavior and fire effects; we have no choice but
in terms of these measures of forest sustainability. to learn on the job—adaptive management is critical.
Set realistic goals. Fire managers set fi res, extinguish This requires monitoring that is directly relevant to goals
fires, and in various ways manage fuels across a range of and objectives and research that addresses the most
fire regimes. The fact that certain things are easy to do at pressing uncertainties. The world is changing, but uncer-
one end of that range too often leads to hubris regarding tainty is an unacceptable excuse for inaction. Indeed, in a
what can be accomplished elsewhere. Prescribed fi re is world of change, there is no such thing as inaction.
virtually an oxymoron in many fuels.
Manage the cycle—the entire process of change—not Norman L. CHRISTENSEN JR.
just the fire . Fire is just one moment, albeit a Duke University

See also Adaptive Resource Management (ARM); Hansen, Andrew J., et al. (2005). Effects of exurban development on
Administrative Law; Best Management Practices biodiversity: Patterns, mechanisms, and research needs. Ecological
Applications, 6, 1893–1905.
(BMP); Boundary Ecotones; Community Ecology; Keane, Robert E.; Hessburg, Paul F.; Landres, Peter B.; & Swanson,
Complexity Theory; Disturbance; Ecological Forecasting; Fred J. (2009). The use of historical range and variability (HRV) in
Extreme Episodic Events; Forest Management; Habitat landscape management. Forest Ecology and Management, 258,
Fragmentation; Human Ecology; Indigenous Peoples 1025–1037.
Keeley, Jon E., et al. (2009). Ecological foundations of fi re manage-
and Traditional Knowledge; Invasive Species; ment in North American forest and shrubland ecosystems. General
Reforestation; Regime Shifts; Succession Technical Report (PNW.GTR-779). Portland, OR: US
Department of Agriculture Forest Service, Pacifi c Northwest
Research Station.
Myers, Ronald L. (2006). Living with fi re: Sustaining ecosystems and
FURTHER READING livelihoods through integrated fi re management. Arlington, VA:
Biswell, Harold H. (1961). The big trees and fi re. National Parks The Nature Conservancy. Retrieved December 20, 2011, from
Magazine, 35, 11–14. ht t p: //w w w.conser vat iong ate way.org/sites /defau lt /f i les /
Brose, Patrick; Schuler, Thomas; Van Lear, David; & Berst, John. Integrated_Fire_Management_Myers_2006.pdf
(2001). Bringing fire back: The changing regimes of the National Interagency Fuels, Fire and Vegetation Technology Transfer
Appalachian mixed-oak forests. Journal of Forestry, 99, 30–35. (NIFTT). (2010). Interagency fi re regime condition class (FRCC)
Brown, Timothy J.; Hall, Beth L.; & Westerling, Anthony L. (2004). guidebook. Boise, ID: NIFTT. Retrieved December 20, 2011,
The impact of twenty-fi rst century climate change on wildland fi re from http://frames.nbii.gov/portal/server.pt/community/frcc/309/
danger in the western United States: An applications perspective. frcc_guidebook_and_forms/2727
Climatic Change, 62, 365–388. Peterson, David L., et al. (2005). Forest structure and fi re hazard in
Chapman, H. H. (1932). Is the longleaf type a climax? Ecology, 13, dry forests of the western United States. General Technical Report
328–334. (PNW-GTR-628). Portland, OR: US Department of Agriculture,
Christensen, Norman L., Jr. (2005). Fire in the parks: A case study for Forest Service, Pacific Northwest Research Station.
change management. The George Wright Forum, 22,12-31. Pyne, Stephen J. (1982). Fire in America : A cultural history of wildland
Christensen, Norman L., Jr. (2009). Future forests, future fi res. and rural fire. Princeton, NJ: Princeton University Press.
Yellowstone Science, 17, 40–44. Schmidt, Kirsten M.; Menakis, James P.; Hardy, Colin C.; Hann,
Cooper, Charles F. (1960). Changes in vegetation, structure, and Wendell J.; & Bunnell, David L. (2002). Development of coarse-
growth of southwestern pine forest since white settlement. scale spatial data for wildland fi re and fuel management. General
Ecological Monographs, 30, 129–164. Technical Report (RMRS-GTR-87). Fort Collins, CO: US
Covington, W. Wallace, & Moore, Margaret M. (1994). Southwestern Department of Agriculture, Forest Service, Rocky Mountain
ponderosa pine forest structure and resource conditions: Changes Research Station.
since Euro–American settlement. Journal of Forestry, 92, 39–47. Wallin, Kimberly F.; Kolb, Thomas E.; Skov, Kjerstin R.; & Wagner,
Dombeck, Michael P.; Williams, Jack E.; & Wood, Christopher A. Michael R. (2004). Seven-year results of thinning and burning res-
(2003). Wildfi re policy and public lands: Integrating scientific toration treatments on old ponderosa pines at the Gus Pearson
understand with social concerns across landscapes. Conservation Natural Area. Restoration Ecology, 12, 239–247.
Biology, 18, 883–889. Weaver, H. (1968). Fire and its relationship to ponderosa pine. In
Garren, Kenneth H. (1943). Effects of fi re on vegetation of the south- E. V. Komarek (Ed.), Proceedings: 7th tall timbers fire ecology conference
eastern United States. Botanical Review, 9, 617–654. (pp. 127–149). Tallahassee, FL: Tall Timbers Research Station.

Fish Hatcheries
Fish hatcheries have two purposes, first, to breed fish river. Hatcheries aimed at boosting depleted populations
for release into the wild to augment natural popula- are generally seen as beneficial even though these pro-
tions, and second, to introduce new species to river hab- grams have had limited success. Fish populations can
itats. Releasing more hatchery fish has led to several also be introduced into locations where they have previ-
problems, and the existence of fish hatcheries allows ously not been, generally for recreational or commercial
people to ignore core problems such as overfishing and fisheries. This is a controversial activity in terms of eco-
loss of habitat. system sustainability, but can bring short-term economic
benefits. Introducing new species to a habitat in which
they do not naturally live is ultimately unsustainable,
B reeding in a fish hatchery involves stripping female

fish of their eggs, which are then fertilized and incu-
bated until they hatch. In a way, hatcheries are similar to
however, and may damage the existing ecosystem, espe-
cially if populations exceed the natural carrying capacity
of the river.
agricultural farms, in that production is increased to Fish hatcheries produce large quantities of fish. For
meet demands. The fish produced in hatcheries generally example, 250 million Atlantic salmon smolts are pro-
are released into either rivers or reservoirs. Broodstock duced every year, of which three quarters are bred in
(parents) are best obtained from the location of planned Norway, with smaller numbers produced in Scotland,
release or an ecologically similar stream, which increases Iceland, Ireland, and the Faroe Islands (Bergheim et al.
the likelihood of survival. Fish hatcheries are usually a 2009). Fisheries production is increasing rapidly, from
cost-effective way of enhancing populations, with it between 100,000 and 300,000 fish in 1985 to between
costing about $40,000 to produce four million fry 500,000 and 2 million in 2000 (Bergheim and Brinker
(Aprahamian et al. 2003). 2003). Production in Scotland, for example, doubled in
The two main reasons for setting up fish hatcheries the ten years leading up to 2006. One of the main rea-
are to conserve, restore, or enhance depleted natural pop- sons this increase in production has been possible is the
ulations and to introduce new species into habitats where method used to incubate the eggs. Previously, single-
they don’t naturally occur. Fish populations have been pass-through systems or partial reuse systems were
severely depleted in some areas, often because of habitat used. Hatcheries have replaced these methods with
loss or degradation or obstructions in rivers (by dams). recirculating systems, which allow for lower water use
The River Tyne in northeastern England, for example, and improved water quality (Fivelstad et al. 2003).
lost 11.2 kilometers of fish habitat because of the devel- Unfortunately, hatchery-bred fry have a high mortality
opment of Kielder Reservoir (Aprahamian et al. 2003). rate when they are released into the wild. One study
Restocking the river upstream of the reservoir using fish showed a 48 percent mortality rate of salmonid fry after
reared in a hatchery has somewhat lessened the dam’s only two days of release (Henderson and Letcher 2003).
interference with natural fish reproduction. The most Other studies have shown that the time and location of
successful results, however, combine restocking with release, as well as allowing for acclimatization, is critical
habitat restoration to increase the carrying capacity (the to survival (Aprahamian et al. 2003). Spawning normally
number of fish that can be supported by resources) of the is induced earlier in fish hatcheries than would naturally
143

occur, and as a result hatchery fry are ready for release in the Columbia River basin demonstrated one of the
before wild fish hatch. Th is timing difference leads to a negative effects of introducing hatchery fish, when the
mismatch between reared fish and the flow regime (char- population exceeded the carrying capacity of the river
acteristics of the river), leading to both mortality and and many fish starved (Levin, Zabel, and Williams 2001;
competition with natural fish when they hatch later. Hilborn and Eggers 2000).
Clearly, releasing fish from hatcheries is not always a sus-
tainable approach to augmenting fish populations. Future Prospects
Fish hatcheries have proved to be an effective way to man-
Controversies age fish populations. Clearly defining the aims of specific
hatcheries will enable researchers to evaluate their perfor-
Fish hatcheries are not intrinsically good or bad, and mance meaningfully. The success of a restocking program
their success or impact can be determined only in the should be measured in terms of adult returns rather than
context of the aims of the hatchery (Waples 1999). Some the number of fish released. More research is required,
ecologists criticize hatcheries because they are seen as a however, to assess the long-term impact of introducing
substitute for dealing with the underlying reasons that reared fish into natural populations, especially in terms of
fish populations are decreasing, such as habitat degrada- their impact on genetic diversity. Hatcheries will need to
tion, overharvesting, and obstructions (Levin et al., be more flexible and adaptive to the latest research,
2001). Furthermore, introducing reared fish into the because they are currently quite resistant to change.
native population can have negative impacts. Many Fisheries biologist Robin Waples (1999) calls for a com-
researchers believe that fish hatcheries result in reduced mon understanding of the realities of hatcheries, dispel-
genetic diversity within the natural population, as well as ling the myths surrounding them, which will enable
other negative genetic changes. Artificial selection for researchers to compare their successes objectively. Finally,
certain traits in reared fish (Campton 1995), interbreed- restocking using hatcheries should be only part of the
ing (McMeel and Ferguson 1997), and unnatural com- solution to depleted fish populations, with other mea-
petition result in more homogeneous populations. One sures, such as more stringent regulation of fishing and
strategy hatcheries pursue is to release fish early in their habitat restoration, enacted to preserve existing stocks.
life cycle. Such early releases, however, lead to competi- Fish hatcheries should be viewed more as artificial tribu-
tion with natural fish and reduce the benefits that hatch- taries integrated into the larger ecosystem than as farms
eries provide in terms of absolute number of fish that (Lichatowich 2003). Taking this view would lead to more
survive. Furthermore, releasing reared fish into the wild sustainable ecosystem restoration and fish populations.
can introduce diseases or parasites into the natural popu-
lation. One example of this is the spread of Gyrodactylus Ian PATTISON
salaris into populations of Atlantic salmon in Norway University of Southampton
(Waples 1999). One US study shows that the introduc-
See also Agroecology; Biodiversity; Catchment
tion of hatchery fish reduced the resistance to disease of
Management; Dam Removal; Eutrophication; Fisheries
native coho salmon in the Fishhawk Creek tributary of
Management; Food Webs; Hydrology; Invasive Species;
the Nehalem River in Oregon (Wade 1986). Furthermore,
the State of Oregon released 1 million steelhead trout
between 1966 and 1975, but had no adult returns. The
problem was traced to the Ceratumyxa shasta parasite,
present in the Willamette River, to which the reared fish FURTHER READING
were not resistant. One possible solution to this kind of Aprahamian, M. W.; Smith, K. Martin; McGinnity, P.; McKelvey, S.,
& Taylor, J. (2003). Restocking of salmonids: Opportunities and
problem is to use local broodstock that is resistant to limitations. Fisheries Research, 62, 211–227.
endemic parasites and diseases (Maynard, Flagg, and Bergheim, Asbjorn, & Brinker, Alexander. (2003). Effluent treatment
Mahnken 1995). for flow through systems and European environmental regulations.
Success in augmenting fish stocks has been mixed. Aquacultural Engineering, 27, 61–77.
Bergheim, Asbjorn; Drengstig, A.; Ulgenes, Y.; & Fivestad, Sveinung.
One attempt to restore depleted populations of striped (2009). Production of Atlantic salmon smolts in Europe: Current
bass, in the Albemarle Sound / Roanoke River (1981–1996) characteristics and future trends. Aquacultural Engineering, 41,
demonstrated that restocking has only a small impact 46–52.
unless the original populations are extremely low Brannon, Ernest L., et al. (2004). The controversy about salmon
hatcheries. Mendeley, 29 (9), 12–31.
(Patrick et al. 2006). Nevertheless, the active manage- Campton, Don. (1995). Genetic effects of hatchery fish on wild popu-
ment program is highly valued by the public. An attempt lations of Pacific salmon and steelhead: What do we really know?
to restore chinook salmon populations in the Snake River American Fisheries Society Symposium, 15, 337–353.

FISH HATCHERIES • 145
Fivelstad, Sveinung, et al. (2003). Long term sub-lethal effects of car- the postrelease survival of anadromous salmonids. American
bon dioxide on Atlantic salmon smolts (Salmo salar L.): Ion regula- Fisheries Society Symposium, 15, 307–314.
tion, haematology, element composition, nephrocalcinosis and McMeel, O., & Ferguson, A. (1997). The genetic diversity of brown
growth parameters. Aquaculture, 215, 301–319. trout in the River Dove. Lichfield, UK: Unpublished report by
Henderson, John Nathaniel, & Letcher, Benjamin H. (2003). Queens University Belfast to Environment Agency.
Predation on stocked Atlantic salmon fry. Canadian Journal of Fish Patrick, Wesley S.; Bin, Okmyung; Schwabe, Kurt A.; & Schuhmann,
Aquatic Science, 60, 32–42. Peter W. (2006). Hatchery programs, stock enhancement, and cost
Hilborn, Ray, & Eggers, Doug. (2000). A review of the hatchery pro- effectiveness: A case study of the Albemarle Sound/Roanoke River
grams for pink salmon in Prince William Sound and Kodiak stocking program 1981–1996. Marine Policy, 30, 299–307.
Island, Alaska. Transactions of the American Fisheries Society, 129, US Fish and Wildlife Service. (2006). Fish hatchery management.
333–350. Seattle, WA: University Press of the Pacific.
Levin, Phillip S.; Zabel, Richard W.; & Williams, John G. (2001). Wade, Mark. (1986). The relative effects of Ceratomyxa shasta on
The road to extinction is paved with good intentions: Negative crosses of resistant and susceptible stocks of summer steelhead.
association of fish hatcheries with threatened salmon. Proceedings Corvallis, OR: Oregon Department of Fish and Wildlife, Research
of the Royal Society of London, B, 268, 1153–1158. and Development Section.
Lichatowich, Jim. (2003). Salmon hatcheries: Past, present and future. Waples, Robin S. (1999). Dispelling some myths about hatcheries.
Columbia City, OR: Alder Fork Consulting. Fisheries, 24 (2), 12–21.
Maynard, Desmond J.; Flagg, Thomas A.; & Mahnken, Conrad V. W. Wiley, R. W. (1999). Fish hatcheries are a powerful tool of fi sheries
(1995). A review of semi natural culture strategies for enhancing management. Fisheries, 24 (9), 24–26.

Fisheries Management
Since the mid-1950s, economists and fisheries scientists trophic level fishes (i.e., those high on the food chain) in
have highlighted the problems of managing sustainable the North Atlantic based on twenty-three spatialized
fisheries—such as the open access nature of the industry ecosystem models, each constructed to represent a given
and harmful fisheries subsidies—and have also stressed year or a short period from 1880 to 1999. Their results
the need to re-establish the natural protection afforded indicate that the biomass of high trophic level fishes
fish in marine-protected areas and to address the declined by two-thirds during the last fifty years of the
problem of illegal, unreported, and unregulated fishing. twentieth century, and by a factor of nine over the full
Accordingly, fisheries managers need to overcome century. (See figures 1a and 1b.)
shortsightedness that focuses on the current genera-
tion without accounting for the interests of future Global Fish Catch Data
generations.
At the global level, the German and Canadian scientists
Rainier Froese and Daniel Pauly (2003) analyzed the
I t is widely acknowledged that the world’s fish stocks
and fisheries are in crisis, even though some may be
recovering. Summaries of recent reports published in
Food and Agriculture Organization of the United
Nations (FAO) global fisheries catch-data set from 1951
to 1998. Using FAO’s five definitions of the status of a
industry journals and papers have discussed trends in
fishery (namely: undeveloped, developing, fully devel-
catches or biomass of fishes at the species, regional, and
oped, overfished, and collapsed), the authors categorized
global levels, and they provide useful documentation to
932 species of fish in the FAO’s global catch statistics
assess the level of the crises.
according to the status that applied to the species for each
year from 1951 to 1998.
Catch Profiles: Individual Species Their analyses showed a steady erosion of oceanic fish-
ery resources worldwide during that time period.
Mapping of catch profi les can depict the trend for many Compared to 1951, when approximately 70 percent of
commercial fish stocks that have been exploited over time global fish catches came from undeveloped fisheries and
(see figures 1a and 1b on page 147): the catch usually almost none came from collapsed fisheries, the reverse
begins at a very low level; gradually the catch increases as was the case in 1998, when almost none of the total
demand for the particular fish increases and the fishing global catch came from the undeveloped fisheries and
technology improves (thereby reducing the cost of fish- over 10 percent came from collapsed ones.
ing); the increase continues until the stock can no longer Even though there is ongoing debate in the fisheries
support the catch; then increases in catches stop, and are literature regarding the usefulness of catch data in tell-
followed by declines of catches toward zero. ing us the state of a fish stock (see, for example, Branch
The Canadian ecosystem modeler Villy Christensen et al. 2011) academic research shows that whether one
and colleagues (2003) report a dramatic decline of fish looks at the trends in fisheries catches at the species,
biomass in the ecosystems of the North Atlantic between regional, or global level, fisheries have been declining,
1950 and 1999. They estimated the biomass of high and therefore it must be concluded they are not being
146

FISHERIES MANAGEMENT • 147
Figure 1a. Biomass Distributions for High Trophic Level

Fishes in the North Atlantic in 1900
Source: Christensen et al. (2003).
Figure 1b. Biomass Distributions for High Trophic Level

Fishes in the North Atlantic in 1999
Source: Christensen, et al. (2003).
Figures 1a and 1b show the decrease of high trophic level fish stock (i.e., fish high on the food chain) in the
North Atlantic during the twentieth century. The loss of fish stock around Newfoundland is particularly
striking.

managed sustainably. These results are not mere aca- they intensify overcapitalization and overfishing (FAO
demic fi ndings—they are widely accepted by world 1998; OECD 2000; Porter 2002; Munro and Sumaila
leaders, as demonstrated by the various commitments 2002). In the late 1990s Mateo Milazzo (1998), writing
undertaken at a number of global forums, including the for the World Bank, estimated the total amount of sub-
Johannesburg World Summit on Sustainable Development sidies paid by governments around the world to their
(2002), and the Convention on Biological Diversity in fishing sectors to be between $15 and $20 billion per
Nagoya, Japan (2010). At these and others summits, year. An estimate from 2010 puts the amount of subsidies
governments have committed to protecting biodiversity at approximately $27 billion per year (Sumaila et al.
and improving ecosystem management, including the 2010). This estimate is more than 30 percent of the indus-
commitment to restore fisheries to their maximum sus- try’s annual revenue of $81 billion a year, implying that
tainable yields by 2015, and to establish a representative fishers can keep on fishing even when the cost of fishing
network of marine protected areas by 2012 (Johannesburg is up to 30 percent higher than the amount they bring in.
Summit).
Increasing Trade/Ineffective Management
Economic Data on Sustainability
The FAO reports increasing global trade in fish and fish
products since about the year 2000. Fishing gear and ves-
Key reasons advanced by fisheries scholars, especially
sel technology have achieved the capacity to impact radi-
economists, for the inability to manage fisheries sustain-
cally the Earth’s marine ecosystems. Fleets have become
ably include the open access nature of fishery resources;
powerful enough to overexploit essentially all stocks in
government subsidies to the fishing sector; technological
the world.
progress and increasing trade in the face of ineffective
In fact, technological progress in fishing gear, which
management; problems related to illegal, unreported,
has contributed to overfishing, for instance, has virtually
and unregulated (IUU) fishing; and what can be called
removed the “natural protection” afforded fish in earlier
“shortsightedness” in the valuation of fishery benefits.
times when fishing was more labor- and time-intensive.
Also, improvement in fish product preservation and
Open Access Nature of Fishery Resources transportation technology has significantly increased the
Open access areas are those in which fishers may use the scope of international trade in fish products, thereby
marine ecosystem, either totally uncontrolled or where no removing market barriers to fishing. Fishers who were
well-defined access rights—whether individual, commu- able to do business in a domestic market now have avail-
nal, or state—exist and are enforced). Experts have con- able a global market with significantly higher demand
vincingly shown that under open access the tendency is for fish.
to overcapitalize fisheries, resulting in overexploitation of In general, trade economists agree that if fisheries are
the resource. This has led to various measures, especially managed effectively to meet a stated objective, then
at the international level, aimed at turning open access increasing trade in fish and fish products will not result
fishery resources into well-defined and functioning com- in unsustainable practices (Neumayer 2000). There are
mon or private access rights to resources. A case in point three issues to note here. First, the flow of trade in fish
is the coming into force of the UN Convention on the Law and fish products comes increasingly from the global
of the Sea in 1982, which formally established access rights South (in general, the Earth’s Southern Hemisphere,
to coastal nations within their 200-mile (322-kilometer) where the majority of countries are developing or under-
exclusive economic zones (EEZs). The Law of the Sea developed) to the global North (in general the Northern
therefore turned what used to be global commons into Hemisphere, where most of the world’s more developed
the private property of coastal nations. But clearly, the countries are located); that is, from fisheries that lack the
law does not solve the problem of domestic open access resources required to manage their operations effectively,
or the problem of open access in the high seas (Norse et with the consequence that increasing trade results in
al. in press), or the problem that comes about due to the unsustainable fisheries management (Alder and Sumaila
transboundary (Munro 1979) or shared (Sumaila 1997) 2004). Second, even in the resource-rich and developed
nature of fishery resources. Hence, in many cases fisher- North, effective management is not very common due
ies are still effectively open access. partly to the existence of domestic open access in many
fisheries. Third, usually the discussion on trade and fish-
ery sustainability is framed under the assumption that
Government Subsidies
effective management is not directly related to increasing
Some subsidies to fisheries are recognized worldwide as trade. It is likely, however, that increasing trade will
serious threats to sustainable fisheries management, as impact on the ability to manage fishery resources

sustainably. Potentially, increasing trade may weaken or impact on the apparent best policy or project (Nijkamp
strengthen the ability of countries to manage their fisher- and Rouwendal 1988; Burton 1993; Fearnside 2002). In
ies sustainably; the actual direction will depend on the particular, high discount rates favor myopic fisheries pol-
specific country and fishery. icies that result in global overfishing (Clark 1973;
Koopmans 1974; Karp and Tsur 2011).
Illegal, Unreported, Unregulated (IUU) If, for example, there are five twenty-year generations
Fishing of fishers and fish consumers within the time horizon
being analyzed, nearly 75 percent of the NPV accrues
Illegal, unregulated, unreported (IUU) fishing occurs in during the period of the first generation, and close to zero
many places—not only in the high seas but also within percent of the NPV accrues during the last generation’s
exclusive economic zones (EEZs) that are not properly period.
regulated (Sumaila et al. 2006). IUU fishing leads to a Is this outcome a problem? Is it fair to future genera-
failure to achieve both management goals and sustain- tions? Assuming that future generations would also like
ability of fisheries (Pitcher et al. 2002). When stock to enjoy fish protein and other bene-
assessments are performed on fisheries, reported fits derived from having viable and
catch and effort data is used. The underre- healthy fish populations in the
porting of illegal catches, however, ocean, many people may be
results in the absence of a signifi- tempted to say that the outcome
cant part of the annual catch and is not fair to future generations.
therefore makes the stock assess- To explain why so many
ments nearly useless (Pauly et al. came to that conclusion, Rashid
2002, FAO 2001). The good Sumaila of the University of
news is that the issue of IUU British Columbia proposed a
fishing has begun to receive the concept called the discounting
attention of scholars, fisheries clock (Sumaila 2004). Th e term
managers, and governmental, applies to the time period used to
intergovernmental and nongov- discount the flows of benefits. In
ernmental organizations. For the equation t 5 0–T, “t” repre-
instance, the FAO has begun sents the time period and “0–T”
the implementation of an the range of time; “T” is the termi-
International Plan of Action nal period, which can be infi nity). If,
(IPOA), which encourages all for example, the discounting clock
states and regional fisheries orga- with a time period that runs from zero
nizations to introduce effective to one hundred years (t 5 0–100), con-
and transparent actions to prevent, ventional practice calls for the use of one dis-
deter, and eliminate IUU fishing and counting clock, which starts at the beginning of the
related activities (FAO 2003). And, the fi rst generation’s period and stops at the end of the fi fth
Organization of Economic Cooperation and generation’s.
Development (OECD) sponsored the OECD Workshop Instead of using only one discounting clock for the
on IUU Fishing Activities in April 2004 as part of their current generation, it is possible to consider five clocks,
effort to help find solutions to the problem. one for each of the five generations. Each clock then
starts and ends at the beginning and end of a given gen-
Shortsightedness in Valuation eration’s time. Discounting the flow of constant benefits
in this way, the percentage of the modified NPV that
Shortsightedness stems from the general human percep- accrues during each generation’s time is the same and
tion that what is closest to us appears to be large and equal to 20 percent. So, in economic and social terms
weighty, while size and weight decreases with our dis- conventional discounting of a constant flow of benefits is
tance from things. Th is human tendency to be short- not a problem. It appears to be a problem only because by
sighted is facilitated by the economic concept of using the current generation’s discounting clock, we
discounting—that is, the approach by which values to be count the benefits that would accrue to future genera-
received in the future are reduced to their present value tions as if they were those to be enjoyed by the current
equivalent using a discount rate (Koopmans 1960). generation.
Discount rate assumptions, as used to reduce a stream of The above analysis assumes a constant flow of annual
net benefits into net present value (NPV), can have a big benefits. In the real world of fishing, however, constant

flows of benefits do not happen (recall the earlier discus- See also Best Management Practices (BMP); Carrying
sion in this section that introduced the topic of discount- Capacity; Coastal Management; Complexity Theory;
ing clocks). This is because it is simply not economically Eutrophication; Fish Hatcheries; Food Webs; Human
rational to assume so when one uses only the current gen- Ecology; Indicator Species; Keystone Species; Large
eration’s discounting clock. Future benefits are given Marine Ecosystem (LME) Management and
much smaller weights in NPV calculations, therefore it Assessment; Marine Protected Areas (MPAs); Ocean
does not pay to wait to catch the fish in the future. This Resource Management; Population Dynamics; Shifting
leads to the tendency to “frontload” fisheries benefits, Baselines Syndrome
resulting in overfishing in the current period (Clark
1973, Heal 1997, Sumaila 2004), to the detriment of
future catches. FURTHER READING
This tendency to frontload, which results from short- Ainsworth, Cameron H., & Sumaila, Ussif Rashid. (2005).
sighted valuation as captured by the concept of discount- Intergenerational valuation of fisheries resources can justify long-
ing, poses the biggest problem to sustainable fisheries. term conservation: A case study in Atlantic cod (Gadus morhua).
Discounting encourages the current generation to front- Canadian Journal of Fisheries and Aquatic Sciences, 62(5),
1104–1110.
load fisheries benefits, thereby threatening the ability of Alder, Jackie, & Sumaila, Ussif Rashid. (2004). Western Africa: A fish
future generations to meet their fish protein needs. basket of Europe past and present. Journal of Environment and
Development, 13(2), 156–178.
Branch, Trevor A.; Jensen, Olaf P.; Ricard, Daniel; Ye, Yimin; &
The Future Hilborn, Ray. (2011). Contrasting global trends in marine fishery
status obtained from catches and from stock assessments.
To ensure sustainable fisheries, we need to deal with the Conservation Biology, 25(4), 777–786.
problems economists and other fisheries scientists have Bray, Kevin. (Ed.). (2000). A global review of illegal, unreported
and unregulated (IUU) fishing. Document AUS:IUU/2000/6.
highlighted since the mid-twentieth century—namely, Rome: Food and Agriculture Organization of the United
the open access nature of fisheries and harmful fisheries Nations (FAO).
subsidies—to re-establish the natural protection afforded Burton, Peter S. (1993). Intertemporal preferences and intergenera-
to fish (by creating marine protected areas, for example), tional equity considerations in optimal resource harvesting. Journal
of Environmental Economics and Management, 24(2), 119–132.
and to address the problem of IUU fishing. Christensen, Villy, et al. (2003). Hundred-year decline of North
More importantly, we need to break the shortsighted- Atlantic predatory fishes. Fish and Fisheries, 4(1), 1–24.
ness tendency. We need to value benefits in a manner that Clark, Colin W. (1973). The economics of overexploitation. Science,
explicitly takes into account the interest of future genera- 181(4100), 630–634.
Ekeland, Ivar, & Lazrak, Ali. (2010). The golden rule when prefer-
tions by employing the discounting clocks or time per- ences are time inconsistent. Mathematics and Financial Economics,
spective of all generations, rather than follow the current 4(1), 29–55.
practice of using only the discounting clock the present Fearnside, Philip M. (2002). Time preference in global warming cal-
generation. Many might agree that this shortsightedness culations: A proposal for a unified index. Ecological Economics,
41(1), 21–31.
is a very powerful human tendency that will be difficult Food and Agriculture Organization of the United Nations (FAO)
to break, but which must be broken if the world really Fisheries Department. (1998, April 15–18). Report of the Technical
wants to succeed at managing fisheries and other envi- Working Group on the management of fi shing capacity, La Jolla, CA
ronmental resources sustainably. (FAO Fisheries Report, No. 586). Rome: FAO.
Food and Agriculture Organization of the United Nations (FAO)
Identifying a way to conceptually and intellectually Fisheries Department. (2001). International Plan of Action to pre-
deal with the shortsightedness problem—that is, to vent, deter and eliminate illegal, unreported and unregulated (IUU)
integrate in our valuation methodologies the ways by fishing. Rome: FAO.
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Fisheries Department. (2003). International Plan of Action
benefits that will accrue to them, and not to the current (IPOA) to prevent, deter and eliminate illegal, unreported
generation—has opened a line of research that has led to and unregulated fi shing (Preliminary Draft Appendix D).
a host of contributions (e.g., Ainsworth and Sumaila Rome: FAO.
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Überfi schung [Dynamics of overfishing]. In Jose L. Lozán, Eike
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Food Webs
Food webs are a way to understand feeding interdepen- biotic factors such as predation and competition, caused
dencies among species within an ecosystem. The degree by living organisms, affect species’ populations. As their
to which such interdependencies remain intact deter- environments change, species may adapt, for example, by
mines the sustainability of a system. Humans are closely changing their diet. The structure of a food web is quite
linked with natural systems and have therefore shaped flexible, as species turn to different food resources in
food webs throughout the world. The conservation of response to environmental change.
food webs is essential to ensure sustainable resource
use and to preserve ecosystem health.
Drivers of Ecosystem Stability
A food web is a way to think about how plants and
animals in an ecosystem are connected. Species are
organized into food webs according to the resources they
Prior to the mid-twentieth century, abiotic (nonbiologi-
cal) factors were considered the dominant driver of eco-
consume. Primary producers (plants) draw on inorganic logical processes and species interactions. Weather and
nutrients from the soil and carbon dioxide from the nutrient availability were considered to be the primary
atmosphere, primary consumers (herbivores) consume limitation on plant productivity, which in turn limited
plants, secondary consumers (carnivores) consume herbi- animal productivity. This so-called bottom-up control per-
vores, and decomposers (for example, bacteria) consume spective was challenged in 1960, when zoology profes-
and recycle all other uneaten, dead organic matter. sors Nelson Hairston, Frederick Smith, and Lawrence
A food web is depicted as a network of nodes intercon- Slobdkin proposed the green world hypothesis, which
nected by directional links. (See figure 1.) Nodes repre- suggests that carnivores play a very important role in
sent variables, such as species or nutrients, and directional structuring ecosystems by consuming herbivores and
links represent the feeding dependencies between con- thus limiting grazing on plants. So-called top-down con-
sumers (i.e., the eaters) and resource species (i.e., the trol, in which predators limit herbivores and indirectly
eaten). Energy is cycled through the system as it is repeat- benefit plants, transformed the way that ecologists under-
edly consumed and converted into edible tissue at each stand biological processes governing ecosystem function-
level of the chain and finally returned to the soil through ing. Under top-down control, a change in a top predator
decomposition. Most of the energy captured in food ends species’ abundance has a ripple effect on animals and
up lost as heat and indigestible waste during metabolic plants lower down in the food web. Th is is known as a
processes, and consumers convert an average of only trophic cascade. Top-down, rather than bottom-up, con-
10 percent of chemical energy into tissue. Th is ecological trol is now recognized as the stronger driver of food web
inefficiency means that most of the biomass, or amount processes in many systems, highlighting the important
of living matter, in food webs tends to be tied up in plants role that top carnivores play in maintaining food webs.
and progressively less in herbivores and carnivores, creat- The widespread extermination of large carnivores, such
ing a pyramid-shaped structure of food webs where as wolves, bears, and cougars in North America, and the
plants are abundant and carnivores are rare. Abiotic fac- resulting shifts in vegetation due to overgrazing by her-
tors, such as climate and nutrient availability, as well as bivores (Beschta and Ripple 2009) is but one example of
152

FOOD WEBS • 153
Figure 1. An Example of a Food Web
Carnivore
Decomposer
Herbivore C
NP
Nutrients
Producer
Source: Jennie R. B. Miller.

A classic food web showing trophic (nutritional) dependencies between a carnivore (tiger), herbivore (deer), producer (grass),
decomposer (beetle), and nutrients (carbon, nitrogen, and phosphorus). The nodes are the species or the nutrients. The arrows
depict interactions between species or nutrients and indicate lines of feeding dependency.
the large-scale effects on ecosystem structure arising species affect stability equally, however. Food webs are
from the dismantling of food webs. composed of many weak and a few strong interactors.
The sustainability of an ecosystem is determined by Intuitively, the strong interactors should play the greatest
both the species composition of its food web and the role in determining food web structure and ecosystem
degree to which species are connected via feeding depen- functioning and accordingly the loss of a strongly inter-
dencies. While the sheer diversity of species alone was acting species can drastically alter ecosystem function
originally considered to be a fundamental driver of sta- and threaten sustainability. For example, keystone preda-
bility, it is now clear that the robustness of a food web is tors are species that play significant roles in maintaining
more related to its connectance, or the number and species diversity, and their removal from food webs can
strength of feeding interactions between species, than to substantially shift interactions between other species,
species diversity. In other words, the loss of any single spe- leading to changes in species composition, even to the
cies threatens the sustainability of an ecosystem because point of ecosystem collapse. These species tend to be
it reduces connectance between members. Not all large, rare vertebrate consumers that are also most

vulnerable to human threats from hunting and habitat behavior, habitat use, distribution, and abundance. As a
degradation (Duff y 2003; Estes et al. 2011). Human- result of coyote decline, increasing numbers of meso-
driven extinctions have dramatically skewed the struc- predators such as skunks, raccoons, foxes, opossums, and
ture of food webs by removing the higher-level species domestic cats killed more native birds, driving some spe-
from them. These losses have caused complex rippling cies to extinction and significantly reducing bird diversity
effects on ecosystem function, and as a result conserva- (Crooks and Soulé 1999). Even without directly remov-
tionists have made efforts to protect and restore these ing top predators, human influences on the environment
species; the reintroduction of wolves to Yellowstone can change the nature and strength of feeding dependen-
National Park in the United States is one example. cies between species, generating unsustainable predation
Counterintuitively, however, it is becoming apparent that pressure and indirectly causing local extinctions.
ecosystems may be most sustainable when many weakly
interacting species counterbalance the effects of a few
strongly interacting species (McCann, Hastings, and Sustaining Human and
Huxel 1998). In combination, many weakly interacting Natural Systems
species can serve as important threads that hold ecosys-
tems together. Efforts to restore and protect only the rare, Conserving top predators is essential for maintaining
strongly interacting species thus may be insufficient to ecosystem function and biodiversity, yet it can be logisti-
protect the long-term sustainability of ecosystems. cally challenging and ethically controversial. Large car-
nivores range across broad, heterogeneous landscapes and
seascapes that are often difficult to protect alongside
Human Effects expanding human development. Furthermore, top carni-
vores attack humans and livestock and generate substan-
People often recognize the importance of top predators tial losses to the livelihoods of people living adjacent to
in ecosystem sustainability only after the predator popu- protected areas (Woodroffe, Th irgood, and Rabinowitz
lation is severely reduced or completely lost. For example, 2005). They are viewed as pests in many parts of the
in the Scotian Shelf ecosystem off Nova Scotia, Canada, world and are exterminated by the millions to protect
commercial overexploitation caused cod and other bot- game animals and domestic livestock. Understandably,
tom-dwelling fish predator populations to crash in the farmers and villagers often resist conservation efforts
late 1980s (Strong and Frank 2010). The decline in top involving the reintroduction of large carnivores. The con-
fish predators generated a series of trophic cascade effects, tinuing controversy regarding protection of wolves from
including an increase in the abundance of prey species renewed hunting now that they have rebounded in num-
such as the northern snow crab and northern shrimp and ber in the greater Yellowstone Park area and adjacent
a decrease in zooplankton due to the larger number of states is a prime example of the social and political com-
fishes. Top predator levels were also affected; large shark plications involved in conserving top predators in human-
populations such as hammerhead sharks declined up to dominated landscapes (Musiani and Paquet 2004; Taylor
99 percent in the western Atlantic due to loss of a signifi- 2011).
cant food species. Many marine systems have recovered The preservation of food webs is crucial not only for
from overfishing disturbances within twenty years (Jones ethical reasons but also for sustaining natural economies
and Schmitz 2009), but despite a ban on cod fishing since and preventing widespread poverty and food insecurity.
1993, the Nova Scotia ecosystem shows no sign of return The interconnectedness of large food webs can lead to
to its original state. Unsustainable overfishing may have unexpected declines in resources and shifts in livelihoods
changed the interdependencies among species to the across the world. The collapse of the cod fishing industry
point that food web structure and dynamics shifted per- in Nova Scotia, for example, led European Union fleets to
manently, with unforeseen impacts on ecosystem func- shift to the oceans of western Africa, where they com-
tion and species survival. peted with local fisheries. The resulting decline in fish
Besides direct impacts such as hunting and overfish- harvests by local fisheries motivated people in Ghana to
ing, humans have affected food web sustainability indi- turn increasingly to an unsustainable bushmeat (jungle
rectly through urbanization. A prime example of this is animal) trade for income and food, which in turn caused
so-called mesopredator release in southern California, sharp declines in forty-one tropical wildlife species
where land fragmentation has caused a decline of the (Brashares et al. 2004). Globalization has tightened the
apex (top level) carnivore—the coyote—and the rise of interdependency between international biological conser-
smaller carnivore species (mesopredators). Apex preda- vation, food security, and economic development to the
tors can suppress mesopredators by killing them for food extent that protection of food web linkages is now manda-
and by instilling fear, which changes mesopredator tory for the survival of human and natural systems alike.

FOOD WEBS • 155
Future Applications Change; Habitat Fragmentation; Hunting; Keystone

Species; Microbial Ecosystem Processes; Nutrient and
As humans continue to influence natural processes, the Biogeochemical Cycling; Plant-Animal Interactions;
food web is used increasingly as a tool for understanding Population Dynamics; Regime Shifts; Resilience;
how global ecosystems change. In addition to overexploi- Wilderness Areas
tation and habitat fragmentation, climate change is now
acknowledged as a major factor in trophic interactions. FURTHER READING
Climate shifts often create situations in which animals’ life Beschta, Robert L., & Ripple, William J. (2009). Large predators and
cycles are out of phase with their accessibility to food. For trophic cascades in terrestrial ecosystems of the western United
example, empirical evidence indicates that faster spring States. Biological Conservation, 142, 2401–2414.
warming in the High Arctic of Canada has led to a mis- Both, Christiaan; Van Asch, Margriet; Bijlsma, Rob G.; Van Den
Burg, Arnold B.; & Visser, Marcel E. (2009). Climate change and
match in timing between the arrival of migratory caribou unequal phenological changes across four trophic levels:
herds and the growth of their plant foods, which results in Constraints or adaptations? Th e Journal of Animal Ecology, 78,
greater calf mortality (Post and Forchhammer 2007). In a 73–83.
European forest ecosystem, where spring has been arriving Brashares, Justin S., et al. (2004). Bushmeat hunting, wildlife declines,
and fish supply in west Africa. Science, 306, 1180–1183.
earlier over the past twenty years, caterpillars and preda- Crooks, Kevin R., & Soulé, Michael E. (1999). Mesopredator release
tory songbirds have adapted to the twenty-day advance, and avifaunal extinctions in a fragmented system. Nature, 400,
but the top predators—sparrow hawks—have not adjusted 563–566.
to their prey’s life cycle development. Consequently, the Duff y, J. Emmet. (2003). Biodiversity loss, trophic skew and ecosys-
tem functioning. Ecology Letters, 6, 680–687.
hawks are unable to provide enough food for their young Estes, James A., et al. (2011). Trophic downgrading of planet Earth.
during breeding season. Fewer offspring survive, and the Science, 333, 301–306.
number of hawks overall is declining (Both et al. 2009). Hairston, Nelson G.; Smith, Frederick E.; & Slobodkin, Lawrence B.
Analyzing food webs reveals that human influences on a (1960). Community structure, population control, and competi-
tion. The American Naturalist, 94, 421–425.
single species can cause rippling effects throughout the Jones, Holly P., & Schmitz, Oswald J. (2009). Rapid recovery of dam-
food web network that change the ways individual animals aged ecosystems. PloS One 4, e5653.
behave and how populations change. McCann, Kevin S.; Hastings, Alan; & Huxel, Gary R. (1998). Weak
As the ecological and conservation sciences broaden trophic interactions and the balance of nature. Nature , 395,
794–798.
from a species-specific to ecosystem-based understanding Musiani, Marco, & Paquet, Paul C. (2004). The practices of wolf per-
of natural processes, food webs will continue to aid in con- secution, protection, and restoration in Canada and the United
ceptualizing connections between species. Global inter- States. BioScience, 54, 50–60.
connections between human economies and natural Post, Eric, & Forchhammer, Mads C. (2008). Climate change reduces
reproductive success of an Arctic herbivore through trophic mis-
biodiversity indicate that people are intricately linked with match. Philosophical Transactions of the Royal Society of London ,
environmental systems. To maintain ecosystem function Series B, Biological Sciences, 363, 2369–2375.
and biodiversity, the integrity of food web structure, par- Strong, Donald R., & Frank, Kenneth T. (2010). Human involvement
ticularly the presence of top predators that drive top-down in food webs. Annual Review of Environment and Resources, 35,
1–23.
control of system processes, must be preserved. Taylor, Phil. (2011, July 28). Wolves move from endangered to hunted
in rural Mont. Retrieved November 14, 2011, from http://www.
Jennie R. B. MILLER and Oswald J. SCHMITZ nytimes.com/gwire/2011/07/28/28greenwire-wolves-move-from-
Yale School of Forestry & Environmental Studies endangered-to-hunted-in-rural-92931.html?pagewanted=all
Woodroffe, Rosie; Th irgood, Simon; & Rabinowitz, Alan. (2005).
See also Agroecology; Biodiversity; Community Ecology; People and wildlife: Conflict or coexistence? Cambridge, UK:
Complexity Theory; Ecosystem Services; Global Climate Cambridge University Press.

Forest Management
As our understanding of the ecosystem services pro- Why Practice Sustainable

vided by forests (such as water treatment and carbon
sequestration) continues to grow, so does public inter-
Forest Management?
est in protecting these systems. Sustainable forest man-
Forest ecosystems directly and indirectly serve a variety
agement balances the dynamic social and environmental
of important functions. Ecologically, forests provide hab-
requirements placed on forests against the needs of
itat and cover for wildlife and pollinators and thereby
future generations. Maintaining the health of forest
represent areas that are rich in biodiversity. Forests pro-
ecosystems for future generations requires consider-
duce most of the oxygen needed to sustain life on Earth.
ation of forest biodiversity, soils, and hydrology.
They also sequester carbon that would otherwise exist as
carbon dioxide in the atmosphere. They stabilize soils
I n the late twentieth century, following widespread

degradation and fragmentation of forest ecosystems
in developed countries and decades of tropical defores-
and slopes against erosive forces, regulate climate, medi-
ate hydrology, and maintain water quality. In addition to
a steady stream of wood products, forests also provide a
tation, the international community observed the need wide array of nontimber products, such as fruits, oils, and
to promote and maintain the biological diversity of for- medicines, forming an essential component of the world
ests. In 1992 the United Nations Conference on food supply and contributing over $90 billion worth of
Environment and Development held in Rio de Janeiro nontimber products each year (Pimental et al. 1997).
(also called the Rio Summit or the Earth Summit) Furthermore, forests provide a wide range of aesthetic,
emphasized the need for sustainable forest management recreational, and other socioeconomic benefits and val-
(SFM) as one of the means to address these concerns. ues. Sustainable forest management approaches seek a
Following this, the Helsinki Process and Montreal balance between providing timber yields and ensuring
Process were initiated to develop a framework of criteria that forest ecosystems can provide these other services.
and indicators to evaluate forest management. These Historically, humans have directly relied on forests for
developments have attempted to shift forest manage- the timber, fuel, and wildlife contained within them. The
ment practices from those focused on sustainable yield scarcity of wood fuel in Europe prompted the use of coal
toward a more holistic forest management approach. at the onset of the Industrial Revolution in the late eigh-
Historic forest management approaches were primarily teenth century and spurred the so-called carbon econ-
focused on yield at the jeopardy of other ecosystem omy. The rapid global population growth underway in
components, such as soil fertility and biodiversity. In the twenty-fi rst century will likely put continued pres-
contrast, sustainable forest management relies on meet- sure on forest ecosystems in the form of increased frag-
ing the needs of the present generation without compro- mentation and increased demand for the resources
mising the ability of future generations to meet their therein. In response to this increased demand for forest
own needs. Conceptually, SFM is rather well defi ned, resources, forest managers will be faced with the daunt-
yet its implementation and data to support this manage- ing task of producing a greater yield of wood products
ment approach are in their infancy. from a finite land area. Even though per capita wood
156

FOREST MANAGEMENT • 157
consumption is declining, and is projected to do so well berries, wildlife, and other materials. Following coloni-
into the twenty-first century, the world’s population has zation, these forests were primarily exploited for their
nearly doubled since the 1950s, resulting in an 80 percent timber. The wood materials and associated goods pro-
increase in the demand for wood fuel (Hammett and duced by the lumber industry drove the development of
Youngs 2002). The growing demand suggests that the the infrastructure and economy of the maturing United
future of the forestry industry must be dynamic and States during the eighteenth and nineteenth centuries.
innovative while weighing the economic, social, and eco- Further reductions in forest cover were caused by the
logical costs and benefits. This is particularly difficult due clearing of forests for agricultural land. From 1630 to
to the fact that successional forest dynamics occur over 1930, poor land management practices depleted the
long time periods (decades to centuries), which can be inventory of sawtimber (live trees suitable for sawing
marked with stochastic disturbances (fi res, pests, wind into lumber) by over 70 percent from 26,535 to 7,708
damage). Additionally, our understanding of forest eco- million cubic meters (Birdsey, Pregitzer, and Lucier
system dynamics and impacts of disturbance events on 2003). It was not until the creation of the US Division of
these systems remains incomplete. Forestry in 1881 (which became the US Forest Service
In spite of uncertainty, however, a number of trends in 1905) that an agency was enacted to develop a coher-
are apparent. First, the amount of forest land will con- ent management plan encompassing the nation’s forests.
tinue to be reduced and more fragmented as populations Largely shaped by the destructive practices of early tim-
increase and suburban areas increase. Forest land must ber industrialists, forestry in the United States adopted
therefore become more productive, whether this is through sustained timber yield principles fi rst developed in
increased biomass accumulation and yield or through Europe. While these principles have been effective at
the development of better wood processing technology, sustaining yield, evidence suggests that they need to be
or both. Since the 1960s, we have seen the more efficient revised if sustaining the forests’ integrity is a manage-
use of a wider range of forest-based resources that are ment objective.
used in engineered wood products like oriented strand
board and particleboards, which rely on low-quality
wood from trees that mature relatively quickly. Sustainable Standards and
Additionally, timber production is expected to increase Forest Certification
with advances in fi re control. The United States has
already witnessed a 50 percent increase in forest out- In the 1990s international policy makers recognized the
put between 1961 and 2000 due to advances in fi re con- need to conserve forest ecosystems and developed a sys-
trol and better silvicultural practices (Hammett and tem of standards to promote environmentally focused
Youngs 2002). forest practices. They turned to forest certification as a
Society’s growing wood demands will likely be met voluntary market-based approach to promote the multi-
through the increased exploitation of forest ecosystems dimensional (economic, ecological, social, cultural, and
from abroad. Unfortunately, these will most likely spiritual) value of forests, reasoning that consumers con-
involve previously unlogged areas, thus perpetuating the cerned with forest degradation and deforestation will
growing problems of fragmentation, extirpation of prefer to purchase timber products from certifiably well-
native species, and land degradation. Land managers managed forests.
and the timber industry must work to develop sustain- Given the ecological and economic objectives of
able logging techniques and practice adaptive manage- SFM, policy makers at the Helsinki Process and
ment to incorporate new information as it becomes Montreal Process developed lists of criteria and indica-
available (Johnson 1999). It is important to keep in mind tors (C&I) for assessing the success of forest manage-
that forestry is only practiced with societal approval, so ment. Specifically, the Montreal Process, which focused
forest managers must appeal to people’s interests, pro- on countries in temperate and boreal forest zones,
viding not only goods but services. defi ned the following criteria: (1) conservation of biodi-
versity, (2) maintenance of productive capacity of forest
History of US Forest Management ecosystems, (3) maintenance of forest ecosystem health
and vitality, (4) conservation and maintenance of soil
Forests and the natural resources therein represent an and water resources, (5) maintenance of forest contribu-
important economic and environmental asset upon tion to global carbon cycles, (6) maintenance and
which humans have relied for millennia. Prior to the enhancement of long-term multiple socioeconomic ben-
colonization of North America, Native Americans lived efits to meet the needs of society, and (7) existence of a
in close association with forests, utilizing them for fuel, legal, policy, and institutional framework that facilitates

sustainable forest management (Fujimori 2001, In total, these forest certification programs
242). Associated with these criteria are sixty- have certified greater than 239 million
seven specific indicators that are hectares comprising over 9 percent of the
helpful for defi ning SFM com- global forest area as of July 2011
ponents. While the C&I are (PEFC 2011). Barring disrup-
clearly defined, they contain tions in the global economy,
no targets, timetables, or which could reduce the
performance requirements willingness of landowners
(Rametsteiner and Simula to participate, the contin-
20 03). The Helsink i ued steady growth of for-
Process, which involved est certification seems
European countries, is likely. While the forest
largely comparable to the certification process has
Montreal Process except been successful at recruit-
that it lacks a legal, policy, ing larger landowners
and infrastructural frame- interested in certifying
work. Over 150 countries their lands, it has left out
have participated in one smaller landowners not
or more of these pro- capable of covering certifi-
cesses (FAO 2001). cation costs, and the
The C&I developed in overall ecological and
these government-led pro- social benefits remain an
cesses have been applied to area of concern. As of
forest certification programs. 2002 the vast majority of
In forest certification, an inde- certified lands were in
pendent third party assesses the Europe and North America,
quality of forest management relative leaving the tropical areas for which
to available standards and offers written assurance this program was developed largely underrepresented
that standards are being met. Due to the market-based (Atyi and Simula 2002). The existing complex certifica-
nature of sustainable forest management, the interests tion systems may be displaced by simplified approaches
of the certification organizations have largely driven that focus on single issues or products. Forest manage-
forest certification standards. Because of this, such stan- ment standards that can address these issues may prove
dards, which can be regionally specific, are variable more resilient.
between organizations, reflecting the different stake-
holder viewpoints. Sustainable Management Practices
Sustainable forest management standards seek to
ensure that certified forests will be managed to address Sustainable forest management requires that forests be
timber and nontimber forest values, maintain forest pro- managed not only for wood production but also for their
ductivity and biodiversity, and protect soil and hydrology, biodiversity, hydrology, recreational, and other values.
in addition to providing cultural, aesthetic, and recre- Management of these components must be evaluated
ational value. Over the last decade a number of major for- across the ecological landscape, which can be viewed as a
est certification programs have been established to shifting mosaic of ecosystem characteristics. At the
address these specific management objectives. The major regional level this requires maintaining ecosystem pro-
ones—Canadian Standards Association (CSA), Forest cesses such as nutrient cycling, while at the landscape
Stewardship Council (FSC), Programme for the level this management will focus on ecosystem integrity
Endorsement of Forest Certification (PEFC), and or the range of historic biological diversity.
Sustainable Forest Initiative (SFI)—have similar struc- Traditional silvicultural techniques focused on pro-
tural characteristics, including the use of third-party ductivity may be insufficient to meet the multiple objec-
auditors, a chain of custody, public reporting, stakeholder tives of SFM, and new management approaches may
consultation, and on-product labels. While many of the need to be developed. Public pressure has been successful
criteria to compare forest legislation and certification at encouraging many forest managers to pursue alterna-
standards are similar, discrepancies and inconsistencies tives to traditional clear-cutting methods, which practice
may provide an uneven playing field in international mar- the complete removal of valuable lumber. To meet
kets (Wood 2000). the objectives of SFM, forest managers may employ

FOREST MANAGEMENT • 159
lower-impact harvesting techniques such as variable Going Forward

retention, single tree selection, or shelterwood methods.
Variable retention methods were adopted from the idea International consensus has identified sustainable forest
that natural disturbances regularly alter forest land- management as a means to conserve forest ecosystems and
scapes, creating a mosaic of forest patches at different maintain a yield of forest products for generations. While
successional stages. The variable retention approach sustainable forest management is conceptually straight-
allows the selection of key structural elements of forest forward, its implementation is considerably more chal-
ecosystems to be retained for at least one rotational period lenging. Specifically, our understanding of forest ecology
to achieve particular management objectives, with tree is limited, and compromises must be made to permit the
selection and the duration of retention depending on extraction of timber. Additionally, sustainable forest
those objectives. Trees can either be retained in high- management is difficult to make operational because defi-
density groups throughout an area, creating patches of nitions of sustainability are dependent on the time frame
core wildlife habitat, or uniformly over the landscape to and spatial range that are considered. A possible precau-
aid regeneration and seed dispersal. The variable retention tionary approach that the international community might
method is largely comparable to the single tree selection take to forest management would be to set aside a network
approach in which trees are selected for removal if their of protected forest preserves to serve as a repository for
canopy is damaged (via insects, disease, or wind) or their biodiversity (Groves 2003, 216–259); such areas would be
crown is not well developed, inhibiting high photosyn- useful from an experimental perspective to assess the suc-
thetic rates and thereby growth. cess of sustainable forest management approaches. If sus-
Shelterwood harvest is another silvicultural technique tainable forest management practices are to be successful
used to meet SFM objectives. Th is technique is mainly at conserving forest ecosystems, new management
used in situations where wildlife, soil erosion, and/or spe- approaches and technologies to rapidly assess forests will
cific distribution of species regeneration are of concern. need to be developed. Additionally, market-based systems
In this approach, tree harvesting occurs in two or more that value ecosystem services derived from sustainably
series where larger trees are conserved as a seed source for managed forests (i.e., biodiversity, water fi ltration, pollut-
saplings and to provide cover from harsh climate phe- ant reduction, and reduced erosion) need to be developed
nomena. This method is able to target species for regen- before the value of forests can truly be realized.
eration by retaining a seed source for new seedlings and
can be used to redistribute the relative dominance Charles E. FLOWER
between present species. The retention of larger trees University of Illinois at Chicago
throughout the shelterwood harvest process prevents ero- Kyle C. COSTILOW
sion, and when coupled with multiple harvests, this tech- The Ohio State University
nique will perform well on steeper topography. Regardless
of harvest approach, it is required in SFM projects that Miquel A. GONZALEZ-MELER
the rate of harvest should not exceed the rate of regenera- University of Illinois at Chicago
tion; therefore proper accounting must be conducted to
See also Biodiversity; Biological Corridors; Buffers;
ensure this balance.
Ecosystem Services; Fire Management; Habitat
Unlike traditional silvicultural techniques that rely on
Fragmentation; Hunting; Hydrology; Indigenous
stand height and spatial regeneration methods, SFM has
Peoples and Traditional Resource Management;
identified the following criteria as being important:
Microbial Ecosystem Processes; Natural Capital;
stand structure, regeneration method, tending methods,
Population Dynamics; Reforestation; Resilience; Soil
rotation period, objectives of the management, the
Conservation; Tree Planting; Wilderness Areas
potential natural vegetation and present forest type,
social circumstances, and the desired forest type or stand
development stage required to fulfi ll the desired forest
function (Fujimori 2001). Broadly applicable SFM tech- FURTHER READING
niques are difficult to proscribe due to the complexity of Atyi, Richard, & Simula, Markku. (2002, April 3–4). Forest certifica-
tion: Pending challenges for tropical timber (background paper,
forest ecosystems and associated external factors, such as
ITTO International Workshop on Comparability and Equivalence
climate, invasive pests, and disease. Additionally, the of Forest Certification Schemes). Kuala Lumpur, Malaysia.
diversity of forest types in different regions of the world Birdsey, Richard; Pregitzer, Kurt; & Lucier, Alan. (2003). Forest car-
will require unique SFM approaches. The fact that SFM bon management in the United States: 1600–2100. Journal of
Environmental Quality, 35, 1461–1469.
programs operate in political and socioeconomic settings
Food and Agriculture Organization of the United Nations (FAO).
also complicates the proscription of broad management (2001). Global forest resources assessment 2000: Main report. Rome:
approaches. Food and Agriculture Organization.

Fujimori, Takao. (2001). Ecological and silvicultural strategies for sus- Pimentel, David; McNair, Michael; Buck, Louise; Pimentel, Marcia;
tainable forest management. Amsterdam, The Netherlands: Elsevier. & Kamil, Jeremy. (1997). The value of forests to world food secu-
Groves, Craig R. (2003). Drafting a conservation blueprint: A practitio- rity. Human Ecology, 25(1), 91–120.
ner’s guide to planning for biodiversity. Washington, DC: Island Press. The Programme for the Endorsement of Forest Certification (PEFC).
Hammett, A. L. Tom, & Youngs, Robert L. (2002). Innovative forest (2011). PEFC global certification: Forest management & chain of
products and processes: Meeting growing demand. Journal of custody. Retrieved September 12, 2011, from http://www.pefc.org/
Forestry, 100 (4), 6–11. resources/webinar/item/801
Higman, Sophie; Mayers, James; Bass, Stephen; Judd, Neil; & Rametsteiner, Ewald, & Simula, Markku. (2003). Forest certification—
Nassbaum, Ruth. (2005). The sustainable forestry handbook: A practi- An instrument to promote sustainable forest management. Journal
cal guide for tropical forest managers on implementing new standards of Environmental Management, 61, 87–98.
(2nd ed.). London: Earthscan. Watanabe, Sadamoto, & Sasaki, Satohiko. (1994). The silvicultural
Johnson, Barry. (1999). The role of adaptive management as an opera- management system in temperate and boreal forests: A case history
tional approach for resource management agencies. Conservation of the Hokkaido Tokyo University Forest. Canadian Journal of
Ecology, 3(2), 8. Retrieved September 12, 2011, from http://www. Forest Research, 24, 1176–1185.
consecol.org/vol3/iss2/art8 Wood, Peter. (2000). A comparative analysis of selected international
Kimmins, James P. (2004). Forest ecology: A foundation for sustainable forest certification schemes. British Columbia, Canada: Ministry
forest management and environmental ethics in forestry (3rd ed.). of Employment and Investment.
Upper Saddle River, NJ: Prentice Hall.

Global Climate Change
The factors and processes involved in climate change is either absorbed or is reflected as longwave radiation,
are many and complex, ranging from fluctuations in the depending on the albedo (the reflective property of the
Earth’s orbit to changes in biota. The Earth’s climate surface, including cloud cover) at that location. Some of
has always been in flux, but indications are that human the reflected radiation is trapped by greenhouse gases in
impacts from industrialization, land-use change, and the atmosphere (e.g., carbon dioxide [CO2], methane
growing population are speeding a warming of the [CH4], nitrogen oxides [NOx], and water vapor), result-
planet that could have substantial effects on ecosys- ing in what is known as the greenhouse effect. This effect
tems and the services they provide. is largely responsible for Earth’s average surface tempera-
ture of approximately 158C, to which we have grown
accustomed; removal of greenhouse gases would reduce
G lobal climate change refers to alteration in climate
(temperature, precipitation, and wind patterns) over
a significant area lasting for an extended period. The
the average surface temperature to about 218 8C.
The amount of energy Earth receives from the sun
complex set of processes involved in climate change varies with latitude. Th e sun’s rays hit the equator
includes impacts from land use (ice coverage and vegeta- directly, causing tropical regions to receive a large
tion shifts, deforestation, development, urbanization, amount of energy. At higher latitudes, the same incom-
infrastructure deployment), natural and human-induced ing solar radiation is distributed over a larger surface
forcing factors, and feedback processes within the cli- area of the Earth, creating the temperate and polar
mate and Earth systems. It has long been recognized that zones. The uneven distribution of heat across land and
the Earth’s climate is in constant flux and that human oceans fuels atmospheric circulation (Hadley circula-
activity can induce change, but the apparent complexity tion), thereby creating climate and precipitation pat-
and underlying drivers of climate change have only come terns across the planet. Th is translates into weather
to light during the past century aided by technological patterns that develop in the lower atmosphere and are
advances and accumulated evidence. Population and driven by incoming heat from the sun, the Earth’s rota-
economic growth are the major anthropogenic (human- tion, and heat stored in oceans and the atmosphere. The
generated) drivers of change in natural resources, land storage capacity of heat in the atmosphere is a function
use, and their climate feedback processes. Th is discussion of the relative amount of the incoming radiation that
addresses forcing factors for global climate change and can be absorbed by the different greenhouse gases in the
associated feedback mechanisms. atmosphere. Large water masses (oceans) have a high
capacity to store heat and therefore cool and warm very
slowly.
Climate The temperature differences between land, oceans,
and air ultimately drive climate and explain temperature
Climate is primarily regulated by the amount of energy and precipitation patterns along the Earth’s surface in a
absorbed and dissipated by the Earth’s surface. Incoming predictable fashion. As a consequence of this predictabil-
shortwave radiation emitted by the sun passes through ity, biota adapts to geographical locations of the Earth in
the atmosphere and strikes the Earth’s surface. There it highly recognizable forms such as tropical, temperate,
162

GLOBAL CLIMATE CHANGE • 163
arid, or polar biomes. In turn, these biological systems The late twentieth-century warming period is char-
can also affect climate as they exchange large amounts of acterized by a rapid increase in temperatures over
greenhouse gases with the atmosphere, particularly CO2 continents at mid latitudes (40–70 degrees north).
and water vapor. Therefore, any factors that impact the Temperatures rose 0.68C in about two decades, the fast-
biosphere–atmosphere energy balance may result in rela- est and largest increase in temperature known over the
tively rapid climate change. last thousand years. Th is warming trend has primarily
affected night-time temperatures as increased cloud cover
has contributed to reduced diurnal temperature oscilla-
Recent Change tions. During this current period similar climatic and
biological trends that characterized the early twentieth-
Satellite, weather balloon, and ground observations all century warming period have been observed. Glacier
agree that there has been a steady warming trend in the retreat and melting of the permafrost (at about 4–5 kilo-
Earth’s surface temperatures and that it has been more meters a year) have been particularly well documented.
apparent over the course of the nineteenth and twentieth Also, the onset of spring for both plant and animal life is
centuries. Based on meteorological data, the twentieth occurring five to eleven days earlier than indicated in the
century can be divided into three sections: early twentieth- historical record.
century warming, a mid-century cooling episode, and In addition to increases in temperature during the
late twentieth-century warming (Anderson, Goudie, and twentieth century, global precipitation has increased by
Parker 2007). about 2 percent in response to the higher evaporation
Descriptions of early twentieth-century warming doc- rates of ocean waters. The magnitude of rainfall events
umented the changing time periods marked by the has increased in many areas of the Northern Hemisphere
occurrence and intensity of fi rst and last snowfalls or ice and Australia. The increase in precipitation at northern
covers: for example, they noted how the snow period latitudes is contrasted with decreased precipitation and
declined from 150 days to 113 days in London, or when increased aridity at low latitudes, particularly in northern
the period of time during which ice cover in the Arctic Africa and Asia, indicating that climate shifts will not be
Sea prevented navigation shortened from 12–13 weeks to uniform. Much of the variability observed in precipita-
3–4 weeks per year, or when polar ice thickness declined tion patterns is also related to the El Niño Southern
20–40 percent depending on location. During the early Oscillation (ENSO), the complex of warm ocean current
twentieth century sea temperature records reveal about a and associated atmosphere that influences continental
18C–2 8C increase until the 1960s in northern latitudes. climate in many regions of the world.
These increases in temperature were corroborated by Multiple lines of evidence indicate changes in climate
independent biological observations, including the over the last 150 years. Debate continues, however, on
northward expansion of cod, halibut, or haddock in what is causing the temperature and precipitation changes
Greenland, displacement of fish by warm-adapted spe- since the late nineteenth century. Changes in atmo-
cies in the southern limits (though overfishing has con- spheric chemistry due to human activities that can lead
tributed somewhat to these effects), and the northward to both warming (greenhouse gases) and cooling (aero-
range shifts of plant species and birds, including the sols) seem to explain a large part of the surface tempera-
invasion of tundra by trees between 1920 and 1940. Th is ture oscillations at short-term scales.
warming period also impacted agricultural and silvicul-
tural practices, as the number of growing days increased,
and cultivation of rye, barley, or oats expanded into high Natural Drivers
latitudes in Scandinavia (expansion not caused by breed-
ing) (Anderson, Goudie, and Parker 2007). The Earth’s climate has continuously changed during the
The mid-century cooling period occurred between planet’s history. In the past, climate was largely impacted
about 1945 and 1970 on land and 1955 and 1975 in the by natural physical, chemical, and biological processes
oceans. Unlike the early twentieth-century period, when and the feedback between these. Tectonics, which creates
85 percent of the Earth’s surface experienced warming, land and moves continents on the Earth’s surface, clearly
during the mid-century cooling period 80 percent of the influences climate, but because continental movement is
total Earth surface area experienced cooling. During this very slow, tectonics alter climate over tens of millions of
period glaciers stopped retreating, snowbanks were years. Over the last 2–3 million years climate has changed
formed in the Canadian Arctic, snowfall increased in more rapidly, with spans of tens of thousands of years
Europe, Baltic Sea ice increased, and the plant-growing forming cold (glacial) periods and warm (interglacial)
season was documented to be shortened in parts of periods. These climate changes can largely be explained
northern Europe. by planetary forcing agents that affect the amount of

incoming energy from the sun hitting the Earth’s sur- 1–40 percent of annual volcanic emissions, respectively.
face. The theory of orbital forcing developed by the The water vapor dissipates from the atmosphere rapidly,
Scottish scientist James Croll in the 1860s and advanced resulting in a negligible effect on climate, while the mag-
by the Serbian civil engineer and mathematician Milutin nitude of CO2 from volcanic origins is less than 1 percent
Milankovitch in the 1920s describes how the eccentric- of annual CO2 emissions (Gerlach 1991). Additionally, ash
ity, axial tilt, and precession of the Earth’s orbit in rela- and sulfur gases are projected into the stratosphere and can
tion to the sun drive glacial–interglacial variations contribute to global cooling. These aerosols reflect incom-
(Imbrie and Imbrie 1979). Slight variations in these ing radiation back to space, leading to cooling of ground
parameters directly impact the amount of solar radiation surface temperature. Volcanic ash is usually removed rap-
reaching the Earth and subsequently impact the season- idly (within one month after the eruption) from the atmo-
ality and location of solar energy. sphere by sedimentation (Pinto, Turco, and Toon 1989).
The Earth and all other planets in our solar system Sulfur gases from volcanic activity represent about 36 per-
orbit the sun in an elliptical manner. The eccentricity of cent of the annual tropospheric sulfur emissions (Graf,
the orbit, or the departure of the ellipse from circularity, Feichter, and Langmann 1997) and are largely responsible
is determined by the interactions between the gravita- for the climatic effects associated with eruptions because
tional fields of Jupiter and Saturn. The ellipticity of of their longer residence times in the atmosphere and their
Earth’s orbit varies from 0 to 5 percent on a cycle of role of scattering solar radiation back to space.
roughly 100,000 years. Variations in eccentricity account Additionally, natural fluctuations in Earth’s albedo
for how far the Earth is from the sun and have contrib- resulting from shifts in land or cloud cover can impact
uted to historic glacial regimes. The angle of Earth’s axial climate patterns by altering the amount of solar radiation
tilt in relation to its plane of orbit around the sun is that is reflected or is absorbed by the Earth’s surface. For
responsible for seasonal variation in daylight and tem- instance, increased snow cover can increase reflectance
perature. Currently the axial tilt of the Earth is close to and thereby alter the Earth’s albedo, resulting in further
23.5 degrees and decreasing; Earth’s tilt naturally varies cooling. In contrast, increased vegetation can result in
from approximately 21.4 degrees to 24.5 degrees on a what is called vegetative forcing, which lowers the land
roughly 41,000-year cycle. Additionally, the Earth’s pre- surface albedo and results in increased absorption of heat,
cession governs how the Earth wobbles as it spins on its thereby raising surface temperatures.
axis and operates on a periodicity of about 23,000 years, As previously mentioned, the Earth’s atmospheric and
further modulating seasonality. Evidence from deep-sea oceanic conditions are closely coupled, and thus altera-
sediments and ice cores suggest considerable climate vari- tions in patterns of oceanic circulation can have consider-
ability is associated with orbital forcing (Imbrie et al. 1992). able impact on global climate. The combined effects of
Regarding shorter time scales, it has been hypothe- heating/cooling and salinity drive the oceanic currents to
sized that shifts in the quality (via changes in ultraviolet circulate water throughout the Earth’s oceans. Th is is
[UV] range) and quantity (via sunspots) of solar radiation known as thermohaline circulation and is responsible, for
at the Earth’s surface can also result in changes in cli- instance, for warming the North Atlantic regions by as
mate (Lean 2010). Research suggests that the number of much as 58C. Evidence suggests that thermohaline cir-
sunspots varies on a roughly eleven-year cycle and can culation has been disrupted a number of times in the
alter solar output by approximately 0.01 percent. During past, resulting in considerable alterations of regional tem-
periods of high sunspot activity, the Earth receives peratures. For example, evidence suggests the Younger
increased radiation compared to periods with low activ- Dryas, a millennium-long cold period about twelve thou-
ity. It is thought that since 1750 increased solar irradiance sand years ago, at the beginning of the Holocene, may
has been responsible for a positive radiative forcing of have been triggered by the release of freshwater into the
0.06 to 0.30 watts per square meter (W/m 2) (IPCC North Atlantic, altering ocean circulation (Broecker
2007). This is sufficient to contribute to moderate 1997). A shift in the ocean’s thermohaline circulation
increases in temperature in the upper atmosphere but could occur with increased precipitation at higher lati-
cannot account for most of the observed increases in sur- tudes, which would reduce salinity and thereby disrupt
face temperatures. circulation (Stocker and Schmittner 1997).
Volcanic eruptions may also play an important role in
the Earth’s climate through two primary pathways: first
through the emissions of CO2 and other greenhouse gases Anthropogenic Drivers
into the atmosphere and second by emissions of aerosols
(suspensions of fine particles in gas) such as ash and sulfur Humans, like most organisms, modify their environmen-
gases. Water vapor and CO2 are the primary greenhouse tal surroundings. As such, it is logical that the magnitude
gases emitted and represent between 50–90 percent and of modification by humans has grown in conjunction

with population. The rapid growth of the human popula- global methane concentrations from about 320–715 parts
tion has been fueled by the consumption of natural per billion (ppb) during the preindustrial period to
resources. Extraction of these natural resources is both 1,774 ppb in 2005 (IPCC 2007). Although methane has
energy and land intensive. Recently an increasing body of a relatively short residence time in the atmosphere (about
scientific literature suggests that there is compelling evi- twelve years) compared to CO2, it exhibits 3.7 times more
dence that human activities are modifying forcing factors global warming potential per mole (Lashof and Ahuja
that influence climate (IPCC 2007). These human 1990). Nitrous oxides have also increased from preindus-
impacts are due in large part to the increased emission of trial levels of about 270 ppb to 319 ppb in 2005, primarily
greenhouse gases through the burning of fossil fuels due to the burning of fuels at high temperatures such as
(such as coal and petroleum), industrial activity, land-use in factories and cars (IPCC 2007). Finally, concentra-
change, and deforestation practices, all of which became tions of halocarbons have increased significantly due to
prevalent during the industrial development of the past their use in synthetic organic compounds. The combined
250 years. impacts of these trace gases have been estimated between
Human activities in large part bear responsibility for 0.88 and 1.08 W/m 2, which constitutes nearly 60 percent
the increases in atmospheric greenhouse gases, which of the radiative forcing of CO2 (IPCC 2007).
alter the Earth’s energy budget through a process known Unlike CO2 and other greenhouse gases that warm
as radiative forcing. Increased concentrations of these the atmosphere via positive radiative forcing, aerosols
gases in the atmosphere contribute to global warming by cool the atmosphere by reflecting incoming radiation (as
absorbing energy reflected from Earth and re-emitting in the case of large volcanic eruptions). Aerosols can con-
this energy, resulting in a net increase of energy. Humans tain a broad collection of particles with different chemi-
have increased atmospheric CO2 concentrations through cal properties causing each to interact uniquely with the
fossil fuel combustion (estimated at 7.2 gigatons of car- atmosphere. They can attract water and serve as cloud
bon [GtC] per year from 2000 to 2005) and to a lesser condensation nuclei, resulting in more diff use clouds,
extent by land clearing (estimated at 1.6 GtC per year which reflect more solar radiation. Sulfur dioxide pro-
during the 1990s) (IPCC 2007). These emissions have duced from fossil fuel combustion and the burning of
increased global CO2 concentrations from preindustrial- vegetation is the primary atmospheric aerosol. Aerosols
era levels of about 280 parts per million (ppm) to about are not long-lived in the atmosphere and are generally
389 ppm in 2011, far exceeding the range (180 to 300 ppm) localized to the region of production. Although anthro-
from the last 420,000 years as determined from ice cores pogenic aerosol emissions have declined in North
(Petit et al. 1999; IPCC 2007). Evidence suggests the America and Europe due to more stringent regulations,
increased atmospheric CO2 has contributed to the global emissions have increased in Asia as urbanization has
temperature increase from 1850/1899 to 2005 of an aver- increased.
age 0.768C (range of 0.57 8C–0.958C) (IPCC 2007). Human population growth has relied on the wide-
These patterns are particularly concerning due to the fact spread transformation of the Earth’s surface to provide
that CO2 has a one-hundred- to two-hundred-year resi- necessary resources, and current consensus suggests
dency in the atmosphere, resulting in potentially long- that humans have transformed or degraded somewhere
lasting consequences. Th ree lines of evidence show that between 39 and 50 percent of the Earth’s surface (Vitousek
CO2 increases are anthropogenic (Prentice et al. 2001). et al. 1986 and 1997). Land surface change through
First, atmospheric oxygen is declining in line with CO2 deforestation, reforestation, and urbanization alters the
combustion. Second, the isotopic signature of fossil fuel albedo of the Earth’s surface, impacting the amount of
(lack of carbon 14 [14C] and depleted carbon 13 [13C]) energy absorbed. Estimates indicate that the impacts
is detected in atmospheric measurements. Finally the of land transformation on Earth’s albedo accounts for a
increase in CO2 is more rapid in the Northern loss of 0.4 W/m 2 (IPCC 2007), and therefore affecting
Hemisphere where the majority of fossil fuels are the energy balance of the Earth’s surface.
combusted.
Humans have also contributed to the increase in a
variety of other trace gases (principally methane, nitrous Feedback Mechanisms
oxide, and halocarbons) that may have radiative forcing
effects that are comparable to and higher than that of To further complicate the variable climate system on
CO2. Humans are now responsible for nearly 70 percent Earth, global conditions are also modified by natural and
of annual methane atmospheric accumulation as a result human-induced feedback mechanisms, which operate on
of agricultural practices (i.e., livestock farming and rice complex spatial and temporal scales. Climate feedback
cultivation), fossil fuel combustion, and decomposition can be either positive or negative: positive feedback pro-
associated with landfi lls. Th is has led to an increase in cesses magnify an effect, causing increased warming or

cooling, while negative feedback processes dampen et al. 1994). The study suggests that orbital forcing (i.e.,
change in climate. shifts in Earth’s eccentricity, tilt, and precession), while
An important feedback mechanism impacting climate capable of increasing global temperatures by 2 8C during
is the flux of CO2 into and from oceans; when global tem- the mid Holocene, was not solely responsible for the
peratures become warmer, CO2 may be released from observed warmer temperatures during the period.
oceans. Increasing CO2 concentrations may amplify Instead, orbital forcing paired with its positive feedback
warming by enhancing the greenhouse effect. When tem- effect on the northward expansion of boreal forests in
peratures become cooler, CO2 enters the ocean and con- high latitudes was likely to have contributed to the
tributes to additional cooling. During the last 650,000 warmer temperatures observed. While not all feedback
years, CO2 levels have tended to track glacial cycles: dur- mechanisms are understood, research indicates that they
ing warm interglacial periods, CO2 levels have been high, are important in determining Earth’s climate.
and during cool glacial periods, CO2 levels have been low.
Another important positive feedback process is the
natural emission of CO2 from soils (soil respiration), spe- Sustainability, Biodiversity, and
cifically in boreal ecosystems. As boreal ecosystems expe- Resource Management
rience warming, they will release the large stocks of
carbon that are currently immobilized (sequestered) in It is likely that human impacts on the global climate will
soils by frost, leading to further increases of CO2 in the continue, as global population and per capita energy con-
atmosphere. Furthermore, soil respiration has been sumption continue to rise. These impacts may be beyond
shown to be correlated with temperature and moisture, the capacity for many ecosystems to adapt naturally, lead-
such that increases in soil temperature in conjunction ing to losses of biodiversity and impacting ecosystem
with moisture may result in increased natural CO2 emis- function and services. Consequently, climate change will
sions rates from ecosystems (Wildung, Garland, and be a major driver of decision making in natural resource
Buschbom 1975). management.
Alterations to the Earth’s surface can also result in Global climate change can impact ecosystems and
complex feedback effects on climate. Ice-albedo feedback associated organisms in many ways. For instance, plants
refers to the lower albedo that snow and ice have com- and animals may shift their ranges dramatically, moving
pared to ground and vegetation, resulting in increased as much as 6.1 kilometers per year toward the poles
reflectance of energy into space. Periods of low tempera- (Parmesan and Yohe 2003). The ability of individual spe-
tures allow snow cover to last for a longer duration, caus- cies to respond to climate change will, however, likely be
ing increased reflectance and the cooling of Earth’s impeded by human-induced land habitat fragmentation,
climate, which in turn can result in further expansion of which breaks down ecosystem connectivity and produces
ice cover (positive feedback). This process can also work in isolated islands of habitats (Honnay et al. 2002). An
reverse, whereby reduced ice coverage creates feedback additional change may be in timing, specifically in the
in which the Earth’s surface warms, resulting in glacial advancement of spring events in temperate ecosystems,
recession. Current scientific consensus indicates that gla- which is occurring 2.3 days earlier per decade (Parmesan
ciers and ice caps have been losing mass, particularly and Yohe 2003). In coastal areas, ecosystems and urban
since the early 1960s (Kaser et al. 2006). systems will need to adapt to increases in sea level. These
Water vapor feedback in conjunction with other pro- changes may not occur uniformly across the globe, how-
cesses can amplify climate change. Despite its short resi- ever, but may occur faster in coastal areas or near the
dence time in the atmosphere, water vapor is a potent poles where temperature changes are more rapid.
greenhouse gas. It has a heat-amplifying effect and tends As species shift in range, timing, and composition,
to increase in conjunction with temperature, thus creat- ecosystem function will also change. The potential deg-
ing positive feedback. But water vapor also forms clouds radation of ecosystem function will threaten the ecosys-
that block incoming radiation, resulting in the cloud neg- tem services provided to human society by nature,
ative feedback effect (Ramanthan et al. 1989). A negative resulting in increased economic costs for these services.
feedback effect by clouds is thought to be partly res- The impacts of global change on humanity will be con-
ponsible for the observed moderate increases in surface tingent on society’s ability to adapt to this change. Such
temperature, which are less than expected given the an adaptation may necessitate coordinated ecosystem
accumulation of greenhouse gases in the atmosphere. management across geopolitical boundaries to minimize
A study investigating feedback between climate and the global impacts of climate change—a significant chal-
boreal forest vegetation cover during the Holocene epoch lenge considering the uncertainties regarding the rate
highlights the significance of orbital forcing, vegetation and magnitude of change that has created difficulty in
shifts, and feedback between these two parameters (Foley garnering international support to curb climate change.

A proposed adaptation technique is active ecosystem Foley, Jonathan; Kutzbach, John; Coe, Michael; & Levis, Samuel.
management. For instance, humans can mediate natural (1994). Feedbacks between climate and boreal forests during the
Holocene epoch. Nature, 371, 52–44.
CO2 storage by speeding up the rate of sequestration and Gerlach, Terrence. (1991). Present-day CO2 emissions from volcanoes.
reducing the release of already stored carbon. This may be Eos, Transactions, American Geophysical Union , 72 (23), 249,
accomplished through reforestation efforts or by increas- 254–255.
ing the growth rate of forests and practicing no-till agri- Graf, H.-F.; Feichter, J.; & Langmann, B. (1997). Volcanic sulfur
emissions: Estimates of source strength and its contribution to the
culture. Additionally, deepwater or geologic sequestration global sulfate distribution. Journal of Geophysical Research, 102,
of CO2 may provide an alternative means to reduce atmo- 10727–10738.
spheric greenhouse gas concentrations. Hansen, James. (2009). Storms of my grandchildren . London:
Making informed ecosystem management decisions Bloomsbury.
Honnay, Olivier, et al. (2002). Possible effects of habitat fragmentation
regarding global climate change comes with many chal- and climate change on the range of forest plant species. Ecology
lenges. Uncertainty surrounds the rates and magnitudes Letters, 5, 525–530.
of change, due in part to the availability of data sources Imbrie, John, & Imbrie, Katherine. (1979). Ice ages: Solving the mystery.
and the fact that many observations cannot be tied to a Cambridge, MA: Harvard University Press.
Imbrie, John, et al. (1992). On the structure and origin of major
particular sampling station (Berliner 2003). Furthermore, glaciation cycles 1. Linear responses to Milankovitch forcing.
considerable uncertainty arises from the fact that scien- Paleoceanography, 7, 701–738.
tists have not yet solidified their understanding of many Intergovernmental Panel on Climate Change (IPCC). (2007). Climate
of the driving forces behind climate change models. A change 2007: The physical science basis. Contribution of Working Group
I to the Fourth Assessment Report of the Intergovernmental Panel on
further area of uncertainty arises from not knowing how Climate Change. Cambridge, UK: Cambridge University Press.
humans will continue to impact the Earth. Future use of Kaser, G.; Cogley, J. G.; Dyurgerov, M. B.; Meier, M. F.; & Ohmura,
fossil fuels, land-use change, and population increases A. (2006). Mass balance of glaciers and ice caps: Consensus esti-
are all variables, and they are largely dependent on soci- mates for 1961–2004. Geophysical Research Letters, 33, L19501.
Lashof, Daniel, & Ahuja, Dilip. (1990). Relative contributions of green-
etal decisions. house gas emissions to global warming. Nature, 344, 529–531.
Recent climate change has the capability to dramati- Lean, Judith. (2010). Cycles and trends in solar irradiance and climate.
cally alter the state and functioning of natural ecosys- Wiley Interdisciplinary Reviews: Climate Change, 1, 111–122.
tems. Much more must be learned quickly about the Parmesan, Camill, & Yohe, Gary. (2003). A globally coherent fi nger-
print of climate change impacts across natural systems. Nature,
functioning of and the change in these systems in order 421, 37–42.
to mitigate damage. By improving our understanding of Petit, J. R., et al. (1999). Climate and atmospheric history of the past
natural ecosystems and their links to climate, we can be 420,000 years from the Vostok ice core, Antarctica. Nature, 399,
better prepared to properly manage our resources for 429–436.
Pinto, J. R.; Turco, R. P.; & Toon, O. B. (1989). Self-limiting physical
future generations. and chemical effects in volcanic eruption clouds. Journal of
Geophysical Research, 94, 11165–11174.
Charles E. FLOWER, Douglas J. LYNCH, and Prentice, I. C., et al. (2001). The carbon cycle and atmospheric carbon
Miquel A. GONZALEZ-MELER dioxide. In J. T. Houghton et al. (Eds.), Climate change 2001: The
University of Illinois at Chicago scientific basis. Contributions of Working Group I to the Third
Assessment Report of the Intergovernmental Panel on Climate Change
See also Biodiversity; Biodiversity Hotspots; Carrying (pp. 185–237). Cambridge, UK: Cambridge University Press.
Capacity; Coastal Management; Complexity Theory; Ramanthan, Veerabhadran, et al. (1989). Cloud-radiative forcing and
climate: Results from the Earth radiation budget experiment.
Ecological Forecasting; Food Webs; Human Ecology; Science, 243, 57–63.
Nitrogen Saturation; Regime Shifts; Resilience; Safe Stocker, Thomas, & Schmittner, Andreas. (1997). Influence of carbon
Minimum Standard (SMS) dioxide emission rates on the stability of the thermohaline circula-
tion. Nature, 388, 862–865.
Vitousek, Peter; Ehrlich, Paul; Ehrlich, Anne; & Matson, Pamela.
(1986). Human appropriation of the products of photosynthesis.
FURTHER READING Bioscience, 36, 368–373.
Anderson, David E.; Goudie, Andrew S.; & Parker, Adrian G. (2007). Vitousek, Peter; Mooney, Harold; Lubchenco, Jane; & Melillo, Jerry.
Global environments through the Quaternary. New York: Oxford (1997). Human domination of Earth’s ecosystems. Science, 277,
University Press. 494–499.
Berliner, L. Mark. (2003). Uncertainty and climate change. Statistical Wildung, Raymond; Garland, Thomas; & Buschbom, R. (1975). The
Science, 16, 430–435. interdependent effects of soil temperature and water content on soil
Broecker, Wallace. (1997). Thermohaline circulation, the Achilles respiration rate and plant root decomposition in arid grassland
heel of our climate system: Will man-made CO2 upset the current soils. Soil Biology and Biochemistry, 7, 373–378.
balance? Science, 278, 1582–1588.

Groundwater Management
Groundwater (i.e., water beneath the Earth’s surface at risk is contamination resulting from human activities
that often becomes the source for springs and wells) that degrade the generally good natural quality of
has been contaminated and exploited by the impact groundwater.
of human activities in many areas of the world.
Groundwater management has thus become a field cru-
Surface- and Groundwater:
cial to the protection of aquifers (groundwater-bearing
units), which have varying vulnerabilities due to pollu- One Resource
tion, as well as to supply-driven groundwater develop-
ment plans that lack regulations and means for Aquifers (groundwater-bearing units) and rivers, inher-
monitoring. ently different types of water resources, can nevertheless
supplement each other. If they are well managed and
treated as one resource, their joint capacity can be used
G roundwater is essential to life. It plays an important

role in water and food safety for many peoples in
rural settlements and cities worldwide, as well as in irri-
to the fullest. For example, aquifers generally work
more effectively as sources of stored water, because
aquifer recharge rates—the rate at which water is
gated agricultural land. Groundwater is also a part of the returned to an aquifer—are generally very slow. As a
hydrologic cycle and is intimately linked to surface waters result, aquifers generally yield far less water, especially
and aquatic ecosystems. Although there are not compre- on a sustainable basis, than rivers, even though a river’s
hensive and reliable statistics regarding populations’ surface waters are replenished every time it rains. By
dependence on groundwater (i.e., water beneath the integrating groundwater and surface water manage-
Earth’s surface, which often seeps from saturated soil ment, users can, for example, depend on aquifer use
between rocks to become the source for springs and during dry seasons, while during wet seasons count on
wells), there are examples that show its importance. For surface water for a water supply as well as a source for
example, over 2 billion people worldwide (with at least recharging the aquifer.
1.1 billion in Asia and 175 million in Latin America) are If well managed and protected, however, aquifers have
estimated to be directly dependent on underground an advantage over rivers and surface reservoirs due to
sources for their potable water supply, including those their lower vulnerability to pollution (although, once pol-
living in 12 out of the 23 megacities in the world (i.e., cit- luted, aquifers tend to be harder to clean up than surface
ies with a population of 10 million or more) (Howard water). Passage of water through the soil layer and under-
2006). lying rock strata to the water table can attenuate some but
Groundwater resources are extensively and intensely not all types of pollution (Foster and Hirata 1988). Deep
exploited in many regions, particularly in cities and groundwater typically has a much slower response to pol-
irrigated agricultural areas. Such misuse, however, is luting activities on the surface, often many years. For
generally carried out in an unplanned or uncontrolled some shallow or fissured groundwater sources, however,
way, causing problems of overexploitation. Another the response can be much faster, sometimes as little as a
serious problem that puts this vitally important resource few days.
168

GROUNDWATER MANAGEMENT • 169
Quantity Protection relationship of trust between the civil society and the
state, and the obedience to laws and state control are
Overexploitation of a groundwater resource occurs when limited.
pumping water from the aquifer causes: a) exhaustion of The monitoring of groundwater exploitation (and its
the aquifer (generally associated with the withdrawal evolution) can serve as an essential tool for controlling
rates higher than the recharge rate for long periods of parties to evaluate the effectiveness of the instruments
time or when closer wells provoke unsustainable hydrau- applied to achieve groundwater management best
lic interferences); b) a prohibitive increase of groundwater practices.
pumping costs because wells need to be deeper, pumps
need to be replaced, and more energy is required; Quality Protection
c) impacts on sensitive ecosystems, such as when the con-
tributions of groundwater (i.e., the baseflow) to rivers, Two complementary tools are often used in the protection
lakes, wetlands, and associated flora and fauna is reduced; of groundwater against contamination. These tools do not
d) contamination of the aquifer, including by saltwater assess or consider problems that are neither related to nat-
intrusion into coastal aquifers; e) social inequity, gener- ural water quality from hydrochemical anomalies of the
ally associated with the exploitation of the groundwater aquifers nor those directly related to overexploitation.
resource through large wells, reducing the water avail- The fi rst tool, which aims to protect groundwater
ability to small users; or f) land instability, subsidence, sources, is based on mapping the vulnerability of aquifers
and geotechnical problems. and evaluating the existing or future anthropogenic con-
Sustainable use of aquifers requires that demand for taminant load. This type of mapping identifies activities
the groundwater match the aquifer’s capacity, taking into that will threaten groundwater quality while also assess-
account its role in the environment. A smart way of man- ing the vulnerability of the aquifer in an area. The vul-
aging water, furthermore, should consider the character- nerability of the aquifer is defined by a combination of
istics of the various sources of water (water matrix) and factors such as permeability of the material covering the
make the most of each resource, minimizing the social, aquifer, distance from surface to the top of the aquifer
environmental, and economical expenses. When it comes (i.e., the thickness of the material covering the aquifer),
to groundwater, then, any management program should and others.
initially identify the resource, its production capacity, the The vulnerability map will therefore chart the vulner-
reliance on it, and the possibility of being replaced by ability factors and the contaminant load. Th is combina-
other sources of water. tion will enable management experts and planners to
The assessment of the current and future demand for identify areas or activities with greater risk of aquifer
water compared to the capacity of the aquifer will allow contamination. Specifically, highly vulnerable areas with
managers to identify areas where overexploitation is high potential contaminant loads generate areas with
occurring or is likely to occur. The evaluation of areas greater risk of degradation (Foster and Hirata 1988).
with potential for overexploitation and the results of The other tool is defining Source Protection Areas or
those evaluations when integrated with public policies, SPAs (called wellhead protection areas in the United
help to prioritize areas where corrective or preventive States), where perimeters of protection against the instal-
actions should be undertaken. lation of potentially contaminating activities are delineated
The prevention and correction of problems should be around wells or springs where water is used for public sup-
based in actions taken by the state (i.e., local and national ply, and which are increasingly restrictive with the proxim-
government). Instruments for controlling drilling and ity to the water supply source. In this case, the protection
installation of wells and pumping rates, based on licenses does not apply to the whole aquifer, but a portion of it,
and authorizations, should be implemented in priority associated with the supply to a specific population.
areas. Since some members of the civil society (a term The SPA delineates a surface area that contributes to
somewhat broadly defined by the World Bank to include recharging a certain well or specific water source. Because
nongovernmental and not-for-profit organizations with a many of these areas are extensive, it is common practice
presence in public life) are private users of groundwater, to apply subdivisions to the delineated area based on the
good management of groundwater use should necessarily distance to the well or source, or the travel time of per-
involve their participation, in the form of social commu- sistent or mobile contaminants to groundwater. Therefore,
nication, shared information, and consultation. The water the SPA is commonly divided in distances as short as 10
user could therefore indicate problems and inadequate meters to as long as 2 kilometers or in times as short as
use of the resource. This matter is particularly sensitive in fifty days to as long as ten years in the upgradient direc-
developing countries, where traditionally there is not a tion from the well or source.

There are various techniques for delineating an SPA. installation of new enterprises, and assess those measures
Some techniques are simply based on the definition of an already in place. Similarly, a government institution should
arbitrary fi xed radius (based on the experience of a hydro- also oversee well drilling, new well installation, and water
geologist) and some are based on complex numerical withdrawal permits. If two or more government entities
models of flow and contaminant transport. divide these responsibilities, there must be clear and good
These two tools enable the identification of areas communication between them, as well as with other insti-
where the aquifer presents greater or lower susceptibility tutions responsible for land use and economic planning.
of being degraded by any anthropogenic event and can In many instances, the fact that a regulating agency
serve as land-use planning tools for a specific region. defined a management policy that is hydrogeologically and
Contamination control aims at avoiding the installation economically sound does not mean that the policy will be
of potentially harmful or toxic activities in specific areas accepted and implemented. Stakeholder participation will
that contribute to the flow of water to the well, or in areas thus be crucial to overcome resistance to the introduction
of high vulnerability. of logical groundwater management policies. Similarly, the
In land-use planning, when there is incompatibility regulatory interventions (such as water rights or permits)
between the activity and the zoning, based on vulnera- and economic tools (such as abstraction tariff and tradable
bility or SPA of public water supply sources, an assess- water rights) become more effective if they are not only
ment of the activity should be carried out. If the activity encoded in water law, but also implemented with a high
is incompatible with protecting the groundwater resource, level of user participation (Tuinhof et al. 2006).
various measures can be required: a) relocating the activ- Finally, the public must be informed not only about
ity to a more adequate area; b) reducing the risks of gen- the negative impacts on the sustainability of the resource
erating contaminant loads to the aquifer, by implementing caused by overexploitation and contamination, but also
effluent treatment systems, adequately storing products, that the lack of such management policies can result in
and disposing wastes; c) being ready for treating the con- real, immediate, fi nancial losses to the community
taminated water of the aquifer; and d) substituting the because pumping and water treatment become more
water source. expensive.
Ricardo HIRATA, Bruno Pirilo CONICELLI, and
Institutional Arrangements Juliana Baitz VIVIANI-LIMA
University of São Paulo
A “virtuous circle” (as described in a World Bank briefing
about groundwater management, and as compared to the See also Agricultural Intensification; Catchment
“vicious circle” created by supply-driven groundwater Management; Coastal Management; Desertification;
development), must be created for the correct manage- Ecosystem Services; Hydrology; Irrigation; Natural
ment of groundwater resources, especially in developing Capital; Rain Gardens; Resilience; Shale Gas Extraction;
countries (Tuinhof et al. 2006). As a result, it is necessary Soil Conservation; Water Resource Management,
to recognize that managing groundwater involves man- Integrated (IWRM)
aging people (water and land users) as it involves manag-
ing water (aquifer resources). In other words, managers
must recognize that the socioeconomic factors (demand-
side management) is as important as the hydrogeological
FURTHER READING
Foster, Stephen S. D.; Adams, Brian; Morales, Marisol; & Tenjo,
factors (supply-side management) and integrate both into Sigifredo. (1993). Groundwater protection strategies: A guide towards
a groundwater management regime (Tuinhof et al. 2006). implementation. Technical Manual. Lima, Peru: Pan American Center
Therefore, an adequate aquifer management program for Sanitary Engineering and Environmental Sciences (CEPIS).
should take into account adequate protection measures as Foster, Stephen S. D., & Hirata, Ricardo. (1988). Groundwater pollu-
tion risk assessment: A methodology using available data. Technical
well as institutional realities. When considering institu- Manua l. Lima, Peru: Pan American Center for Sanitary
tions, some factors should be addressed, such as the con- Engineering and Environmental Sciences (CEPIS).
struction of a regulatory framework, where the definition Foster, Stephen S. D.; Hirata, Ricardo; Gomes, Daniel; D’Elia, Monica;
of water rights should be clear and separated from prop- Paris, Marta. (2002). Groundwater quality protection: A guide for
water utilities, municipal authorities, and environment agencies.
erty rights; the participation of stakeholders; and the use Washington, DC: The World Bank.
of economic instruments. Howard, Ken W. F. (Ed.). (2006). International Association of
A formal structure created by the government is neces- Hydrologists (IAH) selected papers series: Vol. 8. Urban groundwater:
sary, and most managers and planners believe it should Meeting the challenge. London: Taylor & Francis.
Tuinhof, C., et al. (2006). Groundwater management advisory team
control and provide technical and financial assistance to (GW-MATE) briefi ng note 1: Groundwater resource management:
agencies that issue and enforce environmental permits. It An introduction to its scope and practice. Washington, DC: The World
should consider as well the groundwater resource for Bank. Groundwater Management Advisory Team (GW-MATE).

Habitat Fragmentation
Habitat fragmentation is the division of continuous they can make the overall effects of habitat fragmentation
habitats into smaller, more isolated remnants. variable and difficult to predict.
Fragmentation can directly impact habitat-dependent Understanding the circumstances under which frag-
species by reducing available habitat area, increasing mentation effects are realized and predicting the magni-
isolation of subpopulations, and intensifying the nega- tude of direct and indirect results will be crucial for
tive effects of surrounding land use. Fragmentation can managing habitat fragmentation in a way that ensures
also indirectly affect biodiversity and human welfare by sustainable production while simultaneously minimizing
exacerbating other threats. Predicting and managing biodiversity loss and maximizing human welfare.
fragmentation effects presents a formidable challenge
to sustainable land-use management.
Global Scale of Habitat
Fragmentation
H abitat fragmentation is the process by which habi-
tat loss leads to the subdivision of a continuous
area of habitat into multiple smaller remnants isolated Globally, all major terrestrial biomes have been affected
from one another by areas of dissimilar land use. by habitat fragmentation. Forest ecosystems have been
Fragmentation typically occurs as a direct result of hab- particularly affected, with more than 40 percent of the
itat clearance for human land uses, and it is therefore estimated 6 billion hectares of the world’s forests already
tightly coupled with the processes of land-use and land- lost to agriculture and deforestation, with continuing
cover change. Together these processes are widely rec- losses of approximately 13 million hectares per year
ognized as the principal threats globally to biodiversity, (FAO 2010). Moreover, the absolute area cleared is small
and the study of habitat fragmentation in particular has compared to the area of remaining forest that is nega-
been among the most active fields of ecological research tively affected by close proximity to anthropogenic land
in recent decades. Moreover, the rate and spatial extent uses. Only one-fifth of the world’s forests remain in con-
of fragmentation will continue to increase in the fore- tiguous unfragmented tracts (Bryant, Nielsen, and
seeable future as escalating human resource use contin- Tangley 1997), with much of this restricted to the vast
ues to drive conversion of natural habitats to production areas of coniferous forest across the boreal zone.
land uses. Since the middle of the twentieth century, deforesta-
The direct effects of habitat fragmentation on biodi- tion and fragmentation have occurred predominantly in
versity and ecosystem processes have been comparatively tropical countries. For example, tropical dry forests have
well studied. But fragmentation can also have indirect become highly fragmented, with no extensive areas
effects, where the impacts of other threats (such as land- remaining in Africa and nearly 80 percent classified as
use intensification, species invasion, climate change, or highly fragmented in Southeast Asia and Australia.
overharvesting) are exacerbated or mitigated by the Tropical rain forests have also suffered extensive recent
amount or spatial arrangement of remaining habitat. deforestation, particularly throughout Southeast Asia,
Indirect consequences have been largely overlooked, but where forest cover is less than 30 percent of its former
172

HABITAT FRAGMENTATION • 173
extent, and clearance continues in landscapes that are edge zone also had a higher density of mature trees, sup-
already highly fragmented. The high rate of forest loss ported more species, and had different species dominat-
and fragmentation in developing tropical countries has ing the community. Edge effects are often studied as a
implications for human societies, because human welfare one-sided phenomenon, extending from the patch edge
is tightly linked to local natural resources. Analyses show to its interior, but in reality edge effects also extend into
that deforestation might lead to limited short-term eco- the matrix, where proximity to the habitat patch influ-
nomic gain, but in the long term loss of forest fragments ences the composition of matrix-dwelling communities
threatens the sustainability of basic ecosystem services as well. Edge effects within patches become increasingly
(Rodrigues et al. 2009). pervasive in more fragmented landscapes because the
proportion of habitat exposed to edges increases as patch
size declines.
Mechanisms Driving Fragmentation Habitat patches are often irregular or convoluted in
Effects shape. Convoluted shapes increase the length of a patch’s
perimeter, resulting in a higher proportion of habitat
Researchers have traditionally conceptualized frag- exposed to edge effects and more habitat affected by mul-
mented landscapes as a set of patches of remnant habitat tiple edges, which increases the frequency with which
embedded in a matrix of human-modified habitat. animals encounter edges. Th is potentially increases
Fragmentation decreases patch size, increases patch iso- movement into and out of patches, and leads to greater
lation, alters patch shape, and increases the influence of f luctuations in population size within patches.
the matrix on biotic and abiotic processes at habitat Mathematical models have suggested such fluctuations in
edges, all of which can have strong effects on ecosystem abundance will increase the probability of population
dynamics in fragmented landscapes. extinction. Finally, patches with convoluted shapes may
Decreases in patch size lead to smaller populations have discontinuous areas of “interior” habitat separated
that are more vulnerable to extinction from chance from one another by edge-affected habitat, creating iso-
events, such as fluctuations in environmental conditions. lated subpopulations of those species for which edge hab-
Any rare or irregularly distributed resources may also be itat is unsuitable.
lost as patch size declines, with the possible subsequent In some cases, studies of habitat fragmentation have
extinction of species dependent on those resources. For produced inconsistent fi ndings across different biomes
example, decreases in patch size may reduce the number and different taxa; one explanation is that most studies
of large, cavity-bearing trees to a level that can no longer only focus on patch-level processes (measuring attri-
support populations of cavity-nesting birds or mammals. butes of individual patches such as area, isolation,
Increased isolation reduces dispersal between patches, shape complexity, or amount of edge-affected habitat)
preventing individuals in one patch from rescuing a without considering that the patch-level effects of frag-
declining population in another patch or recolonizing an mentation depend sensitively on the landscape context
empty patch. Th is may be exacerbated by decreasing in which patches occur. Factors such as the total
patch size, because smaller patches are also smaller tar- amount of habitat remaining in the landscape, varia-
gets for colonization. Together, decreased patch size and tion in habitat quality of the human-modified matrix,
increased isolation alter the balance between extinction time since fragmentation, and composition of the
and colonization rates, which can result in a lower pro- regional species pool all infl uence patch-level pro-
portion of patches occupied or eventual extinction from cesses. For example, the degree of contrast between
the landscape. patch and matrix will alter the strength of edge eff ects
Subdivision of habitat into isolated patches creates and the extent to which patch isolation translates into
edge zones where patch and matrix meet. These areas are reduced colonization rates.
subject to edge effects, in which environmental conditions
and species occurring at the patch edge differ from those
in the patch interior due to the influence of matrix con- Indirect Effects of Habitat
ditions. For example, the researchers Andrew Young and Fragmentation
Neil Mitchell (1994) examined how microclimate and
vegetation were affected by proximity to edges in forest The impacts of fragmentation can also operate indirectly
patches in New Zealand. They found that temperature, by amplifying or mitigating the impacts of other pro-
light levels, and vapor pressure deficit (a measure of cesses, which is termed an interaction between the pro-
water content in the air) within 50 meters of a forest cesses. Research into this aspect of fragmentation is
edge differed from conditions in the forest interior. Th is recent and limited, but such interaction effects may be

common. Th reats from climate change, invasive species, certain circumstances fragmentation has much larger and
pollution, erosion, flooding, overharvesting, and other less predictable impacts than otherwise expected. For
factors are likely to interact with habitat fragmentation. example, the US scientists William Laurance and
This has implications for managing the impacts of frag- G. Bruce Williamson (2001) found that forest fragmen-
mentation, not only on ecosystems but also on human tation in the Brazilian Amazon creates forest edges that
societies, because many of these threats directly impact are drier and more predisposed to fi re than the forest
human welfare. interior. Subsequent fi res cause further forest loss and
In one example of this type of interaction, the fragmentation, reducing regional rainfall by decreasing
Brazilian biologist Carlos Peres found that the impacts of transpiration (the release of water vapor by plants) and
subsistence hunting on forest-dwelling birds and mam- increasing drought and the incidence of fi re, which in
mals in the Brazilian Amazon were amplified in frag- turn drives further forest loss and fragmentation. These
mented habitats, because fragmentation both increased synergies and positive feedback effects between fi re,
the hunters’ access to forest remnants (i.e., absolute rates regional climate, and fragmentation processes suggest
of hunting increased) and at the same time reduced the there may be a threshold level of forest loss and fragmen-
ability of animals in the surrounding forest to recolonize tation beyond which rain-forest cover can no longer be
habitat fragments and replenish populations that were sustained in some regions of the Amazon. In this con-
subject to hunting (Peres 2001). The net effect of this text, habitat fragmentation can result in considerable,
interaction on the sustainability of harvested populations large-scale effects that could not be predicted without
was larger than would be predicted based on the com- explicit consideration of interactions between fragmenta-
bined impacts of the two threats acting independently. tion, fire, and regional climate.
Many species that persist in continuous forest are
expected to disappear from fragmented regions, with
implications for both the biodiversity of the region and Management Challenges
the human communities that rely on hunting for food.
Moreover, a series of studies in the northeastern A detailed ecological understanding of the direct patch-
United States has shown that fragmentation may indi- level effects of habitat fragmentation has been the corner-
rectly affect human health by increasing Lyme disease stone of nature reserve design and planning since the
(Borrelia burgdorferi) transmission. Small woodland 1970s. Future conservation management strategies, how-
patches in heavily fragmented landscapes have substan- ever, face significant challenges in effectively integrating
tially higher densities of infected tick vectors (Ixodes scap- emerging perspectives on how landscape-level factors
ularis) than larger patches, due to shifts in the diversity (such as quality of the matrix and the total amount of
and composition of mammal communities. Species-poor habitat remaining in the landscape) alter biotic responses
mammal communities in small patches tend to be domi- to fragmentation at the patch-level, and on the impor-
nated by the white-footed mouse (Peromyscus leucopus), tance of indirect interactions between fragmentation and
which is a good reservoir host for the Lyme disease spi- other threats.
rochete. Fragmentation may also increase transmission One of the few examples where there has been active
by creating more woodland edges in the landscape, which development of management intervention strategies to
provide suitable habitat for tick reservoirs (including P. mitigate indirect effects is in the Australian wheat belt,
leucopus) and increase human access to woodland where a vast area of open Eucalyptus woodland where clear-
transmission can occur. In some cases, these factors have ance of trees from the landscape indirectly threatens
been shown to cause increased human risk of Lyme dis- agricultural sustainability by increasing soil salinity.
ease infection in more fragmented habitats (Jackson, Th is area has been extensively cleared (up to 93 percent
Hilborn, and Thomas 2006), although this has not been in some regions) for grazing and crop production.
the case in all regions (Killilea et al. 2008). These find- Conversion from deep-rooted tree cover to short-rooted
ings suggest that careful land-use planning, reduction in grasses and crops has caused groundwater levels to rise
habitat fragmentation, and restoration of mammal biodi- dramatically in the soil, leading to a steady increase in
versity could reduce Lyme disease transmission to surface deposition of dissolved salts that occur naturally
humans. at high concentrations in groundwater in these regions.
The potential for indirect interactions is of particular Th is process of “dryland salinization” gradually reduces
relevance for predicting and managing the impacts of the health of any remaining trees, leading to further
fragmentation. These interactions can lead to synergies loss of tree cover and acceleration of the salinization
(where the magnitude of the overall effect is greater than process. These positive feedbacks between tree cover,
the independent effects of either process), positive feed- groundwater levels, and salinization suggest that there
backs, and threshold effects, which mean that under may be a threshold level of forest loss and fragmentation

HABITAT FRAGMENTATION • 175
beyond which natural vegetation dynamics are perma- Dynamics; Reforestation; Refugia; Regime Shifts;
nently altered. Rewilding; Road Ecology; Succession; Tree Planting
In an important series of studies by the Australian
ecologist Sue McIntyre and colleagues, management
guidelines have been developed that address the direct
and indirect effects of habitat fragmentation in the wheat FURTHER READING
Allan, Brian F.; Keesing, Felicia; & Ostfeld, Richard S. (2003). Effect
belt. Estimates of the total tree cover actually required
of forest fragmentation on Lyme disease risk. Conservation Biology,
to mitigate or prevent dryland salinization have been 17(1), 267–272.
derived from landscape-scale revegetation programs, Bryant, Dirk; Nielsen, Daniel; & Tangley, Laura. (1997). The last fron-
which suggest that at least 30 percent of drainage catch- tier forests: Ecosystems and economies on the edge; What is the status of
the world’s remaining large, natural forest ecosystems? Washington,
ments must be tree covered to ameliorate soil degrada-
DC: World Resources Institute, Forest Frontiers Initiative.
tion. Furthermore, guidelines recognize the role of Didham, Raphael K. (2010). Ecological consequences of habitat frag-
landscape context in mediating fragmentation effects— mentation. In Encyclopedia of Life Sciences (pp. 1–11). Chichester,
the recommended minimum habitat patch size is UK: Wiley & Sons.
Didham, Raphael K.; Tylianakis, Jason M.; Gemmell, Neil J.; Rand,
increased from 5 hectares to 10 hectares in areas domi-
Tatyana A.; & Ewers, Robert M. (2007). Interactive effects of hab-
nated by intensive land uses, and the maximum cover of itat modification and species invasion on native species decline.
intensive production land uses is set at 30 percent of total Trends in Ecology & Evolution, 22 (9), 489–496.
landscape cover. These guidelines merge concepts of the Ewers, Robert M., & Didham, Raphael K. (2006). Confounding fac-
tors in the detection of species responses to habitat fragmentation.
maintenance of biodiversity with concepts of the sus-
Biological Reviews, 81(1), 117–142.
tainability of future crop production in the face of Foley, Jonathan A., et al. (2005). Global consequences of land use.
increasing dryland salinization, leading to better inte- Science, 309 (5734), 570–574.
gration of conservation and production goals in the Food and Agriculture Organization of the United Nations (FAO).
(2010). Global forest resources assessment 2010: Key findings. Rome:
landscape.
Forestry Department, Food and Agriculture Organization of the
Ultimately, understanding when habitat loss and frag- United Nations.
mentation effects are likely to occur, and when they are Jackson, Laura E.; Hilborn, Elizabeth D.; & Th omas, James C.
likely to exacerbate other threats to humans and biotic (2006). Towards landscape design guidelines for reducing Lyme
disease risk. International Journal of Epidemiology , 35 (2),
communities, will be vital to managing their combined
315–322.
effects. Only through mitigation of the direct and indi- Killilea, Mary E.; Swei, Andrea; Lane, Robert S.; Briggs, Cheryl J.;
rect effects of fragmentation can we minimize biodiver- & Ostfeld, Richard S. (2008). Spatial dynamics of Lyme disease:
sity loss while maximizing sustainable food production A review. EcoHealth, 5(2), 167–195.
Laurance, William F., & Williamson, G. Bruce. (2001). Positive feed-
and human welfare.
backs among forest fragmentation, drought, and climate change in
James P. RUFFELL the Amazon. Conservation Biology, 15(6), 1529–1535.
McIntyre, Sue; McIvor, John G.; & Heard, K. M. (2002). Managing
The University of Western Australia and conserving grassy woodlands. Melbourne, Australia: CSIRO
Publishing.
Timm F. DÖBERT Peres, Carlos A. (2001). Synergistic effects of subsistence hunting and
The University of Western Australia habitat fragmentation on Amazonian forest vertebrates.
Conservation Biology, 15(6), 1490–1505.
Raphael K. DIDHAM Rodrigues, Ana S. L., et al. (2009). Boom-and-bust development pat-
CSIRO Ecosystem Sciences terns across the Amazon deforestation frontier. Science, 324 (5933),
1435–1437.
See also Agricultural Intensification; Biodiversity; Skole, David, & Tucker, Compton. (1993). Tropical deforestation and
Biodiversity Hot Spots; Biological Corridors; Boundary habitat fragmentation in the Amazon: Satellite data from 1978 to
1988. Science, 260 (5116), 1905–1910.
Ecotones; Disturbance; Edge Effects; Fencing; Fire
Young, Andrew, & Mitchell, Neil. (1994). Microclimate and vegeta-
Management; Food Webs; Forest Management; Light tion edge effects in a fragmented podocarp-broadleaf forest in New
Pollution and Biological Systems; Mutualism; Population Zealand. Biological Conservation, 67(1), 63–72.

Home Ecology
The words environmentalism and sustainability bring to Home ecology addresses topics that extend beyond
mind global problems like climate change, energy secu- human health to evaluate the impact our actions have on
rity, soil loss, and airborne pollution. These big issues the condition and health of the planet. Manufacturing
seem to beg for big solutions; individuals feel powerless, and transportation systems exist to supply things we
as if only government agencies, corporations, and large use at home and at work, and major consumer pur-
nonprofit organizations have the power to effect chases often “reside” where we do. Domestic choices,
change. But individuals can influence change in policy even small ones, must be magnified in terms of the total
and practice at home and at work, the ecosystems in global population, and the lifestyle choices made by
which they spend the most time. people in affluent countries influence the aspirations of
people in developing countries. For instance, preferences
common in the United States—such as super-sized
restaurant portions, the “bigger is better” notion when it
H uman dwellings are not often studied or even
thought of as ecosystems. They are, however, places
where bacteria, insects, viruses, flora, and fauna interact,
comes to houses and cars, and the fascination with
leisure activities that depend on expensive or ecosystem-
and where materials and products have direct impact on unfriendly equipment—have come to define an “ideal”
human health. The choices we make at home—in terms lifestyle far removed, even in our globalized world, from
of location, materials, products, and activities, and even what many remote populations could imagine. For coun-
whether we keep pets—also affect the larger ecosystem tries like China, with its rise in economic power, its large
of neighborhood and region. A new housing develop- population, and its constant exposure to the West, such
ment, with new roads, will have considerable impact on “ideal” lifestyles will be impossible to sustain. As one of
wildlife. We often, even if unwittingly, introduce inva- China’s leading environmentalists, Liang Congjie
sive species when we add plantings to our landscapes and (1932–2010), declared, “if Chinese wanted to live like
gardens. The most self-critical might observe human Americans, we would need the resources of four worlds
action as we transform the Earth to suit our own needs— to do so” (Kynge 2004).
most often within close proximity to the place we call
home—and label us a nuisance species threatening the History and Debates
diversity and abundance of plant, animal, and insect
species that predate us. Many people consider the fi rst celebration of Earth
Many humans spend more than a quarter of their time Day, in the United States on 22 April 1970, as the
in indoor workplaces, rivaling the amount of time spent birth of the modern environmental movement. In
at home. Office spaces thus deserve attention. The ecol- the late 1960s, most of the US population seemed
ogy of modern homes and offices is quite similar—and oblivious to environmental concerns—automobiles
quite distinct from traditional workplaces like farms and were powered by V8 engines guzzling leaded gas, and
factories, where ecosystem issues depend on the type of industry’s smokestacks spewed polluted sludge with
agriculture or industry. little fear of legal ramif ication. And yet public
176

HOME ECOLOGY • 177
consciousness about the environment was slowly rising remain dubious, arguing that one person’s “progress” on
in the wake of Rachel Carson’s 1962 bestseller Silent one avenue toward sustainable living fosters complacency
Spring. Earth Day founder Gaylord Nelson, then a US about other avenues, and that ecofriendliness needs to be
senator from Wisconsin, believed that channeling the assessed in a truly global context.
energies of student antiwar protests into a “national A 2011 study conducted by the Center for International
teach-in on the environment” could put environmental Climate Change and Environmental Research–Oslo
protection on the national political agenda (Earth Day (CICERO) reveals that green families and other mem-
Network n.d.). bers of environmental groups are no more ecofriendly
It was a gamble, Gaylord later admitted, but he and than their nongreen counterparts. For instance, people
Earth Day co-chair Pete McCloskey, a conservative who recycle, or bicycle to work, or buy green products to
Republican congressman at the time, recruited Denis reduce their carbon footprint, have something else in
Hayes to organize a team and promote Earth Day across common: they travel more during holidays and vacations,
the country. Some 20 million individuals in the United which nullifies their attempts at home to reduce their
States came together to rally in streets, parks, college impact on the planet. Kristin Linnerud, a senior research
campuses, and public forums against actions ranging fellow for CICERO, aptly theorizes,
from dumping raw sewage to the use of pesti- “when we sacrif ice something,
cides. That single day aligned political, we think we deserve a reward”
public, and individual efforts that (CICERO 2011).
would result in the formation of the
US Environmental Protection Green Consumerism:
Agency and the passing of the Personal vs. Political
Clean Air, Clean Water, and
Endangered Species Acts. Earth Green consumerism, the premise
Day went global in 1990, bring- that individual consumers can
ing out 200 million people in change industry simply by ask-
141 countries; the event sparked ing for and buying environment-
worldwide recycling programs and friendly products, pushes the
the formation of the 1992 United debate about individual action
Nations Earth Summit in Rio de into the political realm. Some of
Janeiro. the same analysts who doubt the
Earth Day 1990 brought a efficacy of individual effort use
surge in individual awareness green consumerism as the ratio-
of environmental degradation. nale to shift blame for environ-
People who once thought of envi- mental problems (and the lack of
ronmental writers as “cranks” solutions) toward the individual
soon began to seek out an ever- and away from corporate polluters
more accessible range of green and government policy. John
books and articles. (E. F. Schumacher, Elkington, the author of the bestselling
the author of Small Is Beautiful, was happy to The Green Consumer, called attention to the
be called one, identifying a “crank” as a small, efficient tool irony when he hailed green consumerism as a
that makes revolutions.) Now, nearly twenty-five years method of personal empowerment. “People’s ordinary
later, the range of blogs and online information sharing spending is the most powerful agent of change they pos-
about home ecology issues is breathtaking—there is even sess,” he declared.
a blog about how to make cloth diapers. Not all environ- Two problems emerge from those trains of thought.
mentalists, however, shared Schumacher’s belief in the On the one hand, by treating the personal and the politi-
power of individual people. And some were positively cal as adversaries, it’s easy to ignore the type of synergis-
dismissive of it. tic energy that has infused all Earth Days (and any
resulting reform in public policy and governmental reg-
Individual Action ulations, nationwide or internationally) since 1970.
Personal, ecofriendly changes made at home can serve as
The idea that the simple things each of us do can help a catalyst to influence public attitude at the grassroots
save the planet came to prominence as Earth Day 1990 level. Telling friends and neighbors that you’ve switched
approached. Still, a number of environmentalists today to biodegradable soap might prompt them to do the

same. Gardeners, who often participate in a subcommu- environment while cheerfully allowing the world out-
nity of knowledge- and technique-sharing in their urban side to become a wasteland. Such thinking harks back
neighborhoods or rural towns, manage their local eco- to the survivalist mentality at the height of the Cold
system constantly, producing pesticide-free foods or War: “I can’t do anything about the bomb, but I can
habitats for fauna such as hummingbirds and butterfl ies, build a shelter in my basement.” The triumph of con-
species that will pollinate plants on a larger scale. sumerism may arguably connect to the nuclear threat,
Th rough everyday actions like using fabric grocery bags, and in general to uncertainty and pessimism about the
switching to eco-bulbs, and installing thermostats with future. The following quote from Isaiah 22:13 and 1
time-triggered temperature settings, people exert con- Corinthians 15:23, evokes the fl eeting presence of
trol over their environment. In this way individual action humans on Earth and in the universe: “Let us eat and
can cause a groundswell of public support and demand drink, for tomorrow we die.”
for the development of green technologies, green indus-
trial practices, and government policies and regulations Practicing Home Ecology
to set safety standards for hazardous products and
processes. What we consume, what we conserve, and what we
On the other hand, green consumerism does not throw away—that is to say, the “give and take” aspect of
address the quantity of goods we consume, or assess con- our relationship to the Earth—most often occurs in our
sumerism as a basis for shaping a culture or civilization. personal abodes. The following sections explore ways to
Elkington’s eventual bestseller hit bookstands in Britain make our personal spaces (and the choices we make about
in the autumn of 1988, was rewritten with co-authors for how to manage them), more ecofriendly. We need food,
a US market and published there in 1990, and has since adequate energy, water, and clean air to sustain our lives;
been revised in “sequels” that target special audiences we must be mindful of how we can reduce and dispose of
such as kids and supermarket shoppers. The original edi- waste, a byproduct of our not always essential “needs.”
tion, however, seemed to catch UK environmental groups
by surprise, many of which (although not the UK Green Food
Party) helped organize a “Green Consumer Week” to
promote the book. A deeper irony had emerged with the Some people consider “eating organic” a matter of per-
idea of consumerism as personal empowerment. sonal health rather than a necessary lifestyle change that
Th ink of it: we all queue up at the affects the health of the ecosystem as a
cash register to vote with our whole. But with public aware-
environmentally sound pur- ness of environmental sustain-
chases. But implying that ability, more and more chain
people are capable of no more grocery stores in the United
than putting a different brand States responded by expand-
of dishwashing detergent in ing their organic offerings—
their shopping cart is damag- from fruits and vegetables
ing and demeaning. While to grass-fed beef and
boycotting a coffee shop hormone-free poultry to
that refuses to abandon canned beans, soups,
Styrofoam cups is indeed and artisanal cheeses.
a positive step, the idea Fear of widespread food
of green consumerism contamination (notori-
seems positioned to priv- ously in infant formula)
ilege the effects of a con- and agricultural pollu-
sumer mentality within tion in China has drawn
a culture. significant attention to
organic food products
available there. But many
Fortress Thinking
other issues complicate
A worrying mindset emerges the debate. For example,
as some individuals, who the luxury pricing of
obsess over the hazards of “organic” and “local” foods
modern life, concentrate on exacerbates its inherently
creating an insulated indoor “expensive” inaccessibility to

many, and then there’s the question of whether organic shale or sand oil to the surface) with the finite supply of
agriculture could possibly feed the world’s growing these resources. Ecosystem managers (including indus-
population. tries, governments, organizations, and regulatory com-
Most of the produce found in large grocery stores mittees) need to find renewable sources of clean energy to
comes from commercial farming operations that prac- meet this projected demand.
tice what is known as industrial agricultural. The cheap- Receiving energy from clean, renewable sources is
ness of such mass-produced food often comes with a only part of the battle. Energy and environmental gov-
deferred price for the environment: farm production ernment agencies around the world have been imple-
depends on agricultural subsidies, the depletion of aqui- menting programs and laws to put more energy-efficient
fers and soil erosion, and massive input of chemicals, appliances on the market, to provide more sources of
pesticides, and fertilizers. Long-distance shipping has a green energy, and to offer tips to consumers about
dual impact on global warming: the transport itself and energy conservation. But government agencies can only
the need for refrigeration. Consumers can rarely fi nd go so far. To make a difference individuals must take
apples, peppers, or cucumbers that haven’t been coated steps such as replacing worn out appliances (especially
in a waxy substance to keep them “fresh.” Varieties are refrigerators) with energy-efficient models and cutting
limited and arguably less nutritious after being stock- energy costs by buying more fuel-efficient cars. Even
piled for months. the smallest changes in personal habits—unplugging
For individuals who can’t or don’t want to garden, chargers when a cell phone battery is full, for instance—
local growers, including neighbors tending their plots, can reduce the amount of energy consumed. Insulating
provide plentiful sources of local produce. Following the walls and roofs will make a difference, as will replacing
seasons for each type of produce, instead of buying prod- windows with upgraded units or simply covering them
ucts forced to grow out of season, or ones that have to be with a sheet of cellophane. In many homes in Japan and
shipped from farther away, can reduce environmental India, on-demand water heaters are used to conserve
impacts. There are also methods of preserving food that the energy wasted by keeping water hot all day. Outside
don’t involve chemical processes. Home canning, pick- of the house, alternatives to driving such as walking,
ling, and freezing are great ways to use abundant harvests biking, and public transportation can have a diminish-
that couldn’t all be eaten in one season. Making kimchi, ing effect on the amount of fossil fuels consumed and
sauerkraut, jams, and jellies are just a few of the ways CO2 produced.
fruits and vegetables can be processed naturally for long- The price of everything we buy includes a percent-
term storage. age for the energy needed to produce and transport it.
Taking this cost into count—including the impact
of energy generation—is a change we should look
Energy forward to.
When it comes to energy consumption, residential users

Water
consume 14 percent of power worldwide as of 2011; com-
mercial use accounts for 6 percent; transportation for 27 When industry dumps chemicals and toxic waste into
percent, and industry for 52 percent (EIA 2011). The water sources like rivers, lakes, and oceans, and fertilizers
average household in the United States used 927 kilowatt and pesticides from industrial agriculture flow into rivers
hours per month in 2010 (EIA 2010), the largest per- as runoff or sink into the groundwater, contamination
centage worldwide, not surprisingly, and nearly twice results. When assessing the scope and complexity of
that of Japan, another highly industrialized country. It is these problems, the impact that a single household might
difficult to calculate a meaningful average for a country make seems insignificant. But changes in personal habits
like India, with its wide range of class levels. While regarding water use, and the advance of water-saving
approximately 80 percent of households in China use 140 technology, can go a long way toward water conservation,
kilowatt hours per month or less (China Daily 2010), the as much of a concern in ecosystem management as pollu-
accumulated effect of its huge population bumps China tion and contamination.
up to the second-largest energy consumer in the world. Most homes bring in water through a single-pipe sys-
Due to increasing populations in China and elsewhere, tem, and that single source of (usually) treated water suf-
the demand for energy is expected to rise. With issues of fices for drinking, bathing, washing, and other uses. Th is
global warming attributed to increased levels of CO2 in means that the water coming out of the tap may be ques-
the atmosphere, we must balance the ecological impacts tionable for drinking, and that water used to flush toilets
of obtaining coal and other fossil fuels (such as transport- is cleaner than it needs to be—therefore, the effort of
ing oil by pipeline or using hydraulic fracturing to bring treating the water is largely wasted. While the idea of a

dual-water system (with one set of pipes devoted to more polluted than the air outside. Building materials,
industrial-type usage and another set dedicated to carry consumer products, and personal activities all create
water for drinking and hygienic use from underground invisible pollution known as volatile organic compounds
springs) seems like an ideal fi x, it may not be the most (VOCs). VOCs are present in particleboard, soft plastic,
practical or cost-effective solution for a household not in plastic foam, caulking, paint and varnish, office machin-
need of upgrading pipes. (As of 2011 this dual-pipe ery, cleaning products, personal cleansers, and even some
system still has not been put widely into effect.) Some foods. Emissions from most of these products decline
people buy bottled water, or fi lter their tap water, but rapidly after a few days or weeks, but some, such as those
even these practices aren’t cure-all solutions. Plastic- from new carpet and particleboard, last longer. Over-
bottled water is processed, packaged, and transported, exposure can result in dizziness, headaches and nausea,
and the plastic can leak carcinogenic polymers into the respiratory problems such as asthma, and weakened
water. (The 2009 documentary Tapped, produced by immune systems.
Atlas Films, is an eye-opening account of the bottled- Aerosol sprays, ostensibly used to make homes cleaner,
water industry.) Home fi ltering systems are also becom- contribute to household air pollution, and many may be
ing more sophisticated, but regular maintenance is crucial doing more harm than good. Air fresheners advertised to
to their effectiveness and safety, since fi lters need replac- eliminate odors just cover up one smell with another
ing once a month to trap impurities and avoid bacterial more potent (and supposedly pleasant) smell, or deaden
growth. the olfactory nerves. Aerosol particles disperse widely
Putting water to multiple uses can go a long way throughout the air and are easily inhaled, allowing the
toward conservation. According to the Environmental body to absorb dangerous chemicals. Th is can be espe-
Protection Agency (EPA), each person in the United cially dangerous in draft-proof houses that are sealed
States uses an average of 100 gallons of water per day. tight and prevent the movement of air to carry away the
That amount can be reduced by 30 percent through the aerosol mist. While it’s a good idea to seal windows to
use of water-efficient fi xtures and appliances, such as save on heating bills in the winter, that same seal can
low-flow showerheads and toilets, and small changes in make the ecosystem of the home a closed system, locking
personal habits (EPA 2011). For example, cooking- and the air pollutants inside.
dishwater (with biodegradable soap) can be used to water Offices can be even worse. The phenomenon known as
gardens. Newer washing machines have a suds-saver “sick office syndrome” can be attributed to many factors
mode that stores the wash water from a load in a holding in the workplace. An office building can be a closed sys-
tank with the option to use it for the next load, and so on, tem, with no natural ventilation. Windows that don’t
until it is too dirty. Taking showers instead of baths can open can’t provide fresh air. Air conditioners allow the
reduce water use on an individual level. In countries like buildup of bacteria and viruses, as does centralized heat-
Japan, bath water is used multiple times, usually by each ing with toxic gases, which then all get released into the
member of the family, after washing with a small bucket air and dispersed across the office. Even the chemicals
of water outside the bath to keep the bathing water clean used to clean the office are suspended in the air where
for other users. If a low-flow toilet is out of the household they can be inhaled and absorbed. Simple changes like
budget range, a small container fi lled with rocks or mar- improved airflow, switching to less-harsh chemicals
bles can displace water in the tank, reducing the amount when possible, and keeping plants in the office, can dras-
of water used per flush. tically improve air quality, and reduce occurrences of
By using water more efficiently, and switching to headache, fatigue, and depression.
biodegradable soaps and detergents, individual house-
holds can greatly reduce their impacts on local water Waste
sources. When fewer pollutants flow down the drain,
less nitrogen and phosphorous enters the local water Just as we carefully consider what comes into the ecosys-
supply. With less nitrogen and phosphorous, the effects tem that is our home, we also must consider what goes
of eutrophication (rampant growth of algae that feed out, and where it then goes. In most urban and suburban
on nitrogen and phosphorous, which thus reduces oxy- neighborhoods, garbage collectors drive their trucks up
gen in bodies of water) can be slowed and potentially to the curb, operate huge metal “jaws” that clamp onto
reversed. cans or receptacles, turn the cans upside down, and dump
the contents into the holding bin. The truck driver takes
Air the garbage to the landfi ll, and that’s the end of it as far
as many of us are concerned.
People spend more time than ever before indoors, but the But landfi ll sites throughout the developed world are
air inside our houses and offices is often two to five times fi lling to capacity. Many have already closed, and

recent zoning laws or regulations can make it harder to oranges and bananas, for example, with their own natural
open new ones. Trash has to be transported farther and packaging, need to be bagged in plastic and then bagged
farther for burial, adding to costs and further polluting again with the rest of the groceries? Short of petitioning
the air. Landfi lls pose other problems. Bacteria decom- stores and companies to change packaging practices,
pose food, yard, and other household waste in the there are several ways we can eliminate excess and unnec-
anaerobic atmosphere of a landfi ll to produce danger- essary packaging at the household level. Choosing prod-
ous landfi ll methane that is emitted into the atmo- ucts that come in recyclable, reusable, or biodegradable
sphere (although methane-capturing techniques exist wrappers can make a huge impact on what gets taken to
to turn the gas into fuel). And leachates (the toxic the curb every week. Another way to cut waste at the
“soup” created when household or industrial chemicals store is to buy in bulk, and buy refi llable containers when
thrown into landfi lls mix with the chemicals produced possible. Bringing cloth totes to stores will reduce the
by decomposed garbage), seep into number of plastic bags taken home. In 2011, some
groundwater supplies. US grocery chains took responsibility for
Incineration, a potentially use- recycling plastic bags
ful source of heat and energy, has brought to the store by
special hazards. Some materials their customers (King
when burned emit dangerous Soopers 2011). In
gases. In a small country like China shoppers use up
Japan, where there is no avail- to 3 billion plastic bags
able landfi ll space and no feasi- daily and dispose of more
ble alternatives, trash must be than 3 million tons of them
carefully separated into bins, annually, mostly in unofficial
often by individuals who bring dumping sites, landfi lls, and
the trash to sorting centers to iso- open fields along expressways,
late products that can be safely where the ultra-thin plastic
incinerated from those that must be bags are called “white pollu-
carefully disposed of or recycled. tion.” On 1 June 2011, the
When it comes to landfi lls and central government imple-
incinerating stations, the NIMBY mented a nationwide ban
principle (not in my backyard) applies. that prohibits shops, super-
But every place is someone’s back- markets, and sales outlets
yard. Past incidents of unethical from giving customers free
dumping have inc luded plastic bags; it also bans the
American trash being production, sale, and use of
buried in Cornish tin plastic bags under 0.025 mil-
mines, West German limeters thick (Liu 2011).
indust r ia l w a ste So what can we do with all
deposited in northern those biodegradable packages
Cyprus—and devel- and banana peels? A simple
oped countries’ gar- Amazon search will yield
bage being shipped to over a thousand results for
poor African countries. books all about composting,
Most people would never sanc- including how to build com-
tion depositing garbage on a neighbor’s posting containers and com-
lawn or wood-line property boundary, so it should posting for apartment dwellers.
follow that our country’s waste is our problem, while Composting food leftovers creates
the waste of other nations is theirs. Responsible waste nutrient-rich soil for gardens or flowerbeds, instead of a
management is essential domestic housekeeping for plastic-encased pile of rot in a landfi ll.
everyone. With the proliferation of computers, there has been a
Product packaging, from food wrappers and cello- surge in e-waste (electronic waste). According to Global
phane to the hard plastic that cocoons even the simplest Futures Foundation (Earth911 2011) “electronic waste
of gadgets, contributes immensely to waste—as stuff we accounts for 70 percent of the overall toxic waste cur-
throw away, of course, and as a wasteful use of the rently found in landfi lls.” Old televisions contain cathode
resources it takes to produce the packaging. Why do rays that contain lead. Computers and other electronics

with lithium or nickel cadmium batteries have to be dis- building fortresses against an outdoors that is perceived
posed of carefully. Many different electronic devices also as being dangerously polluted.
contain aluminum and mercury (Earth911 2011). If While some may dismiss the idea of an individual’s
simply thrown in a landfi ll, these hazardous substances capacity to have a positive impact on the larger problems
contribute to the formation of toxic leachates. Some elec- associated with environmentalism and sustainability, it
tronics stores will dispose of and recycle electronics, and is important to realize the echoing changes that well-
more and more communities have toxic and e-waste drop intentioned individual action can make. Parents pass on
off points. lifestyle habits to their children, who will in turn adapt
those habits to future goals and needs, and instill them in
the next generation. (The system can work in reverse, and
Community Ecology thus come full circle.) An individual may influence a
community, effecting political change from the bottom
Ecology, as a science, can be most basically defined as the up, either passively or actively. But the most important
relationship of organisms to their environments; in that thing to keep in mind is that every aspect of life has an
sense, ecology is the study of communities and their environmental footprint, from Internet use to vacation
interactions with the world. Community as an aspect of travel, and although such uses may be unavoidable, fall-
home ecology thus merits further study. As long as ing into complacency about them is the biggest threat
100,000 years ago, for instance, Homo sapiens settlements against change.
fostered the sharing of the technologies like fire and tool
making; irrigation methods in agriculture developed as Karen CHRISTENSEN
hunter-gatherers abandoned nomadic lifestyles. Fast- Berkshire Publishing Group
forwarding to the twentieth-first century, much sharing
of information is done through online forums and net- See also Agroecology; Human Ecology; Landscape
works. As social scientists have found in studies of other Architecture; Light Pollution and Biological Systems;
forms of social behavior related to health, the lifestyle Permaculture; Urban Agriculture; Urban Forestry;
choices we make are greatly influenced by choices the Urban Vegetation; Waste Management; Water Resource
people around us make. Domestic and personal choices Management, Integrated (IWRM)
that are better for the environment, and for human
health, are more likely to “stick” when our neighbors,
friends, and loved ones are willing to make similar
choices (and when there is social pressure not to do harm-
FURTHER READING
China Daily. (2010, October 9). China considers to charge residential
ful things).
electricity on tiered basis. Retrieved December 2, 2011, from
Our homes, however, put more pressure on the http://www.chinadaily.com.cn/business/2010-10/09/content_
planet than dwellings of early communities because of 11390108.htm
the isolation—or call it privacy—that has become the Christensen, Karen. (1990). Home ecology. Golden, CO: Fulcrum
Publishing.
norm in urban societies. In the latter half of the twen-
Christensen, Karen. (1991). With the Earth in mind: The personal to
tieth century, for the fi rst time in human history, at the political. In Sara Parkin (Ed.), Green light on Europe (pp. 323–332).
least some people—those in the urban, developed London: Heretic Books.
world—could truly get along without cordial relations Christensen, Karen. (1995). Th e green home. London: Judy Piatkus
(Publishing) Ltd.
with their neighbors. Th e existence of supermarkets
Christensen, Karen. (2000). Eco living. London: Judy Piatkus
(many of which now deliver), big box stores, banks, (Publishing) Ltd.
and the whole panoply of modern institutions make it Center for International Climate and Environmental Research-Oslo
possible for one to earn money and secure essential (CICERO). (2011). Green families not so eco-friendly after all.
Retrieved December 5, 2011, from http://www.cicero.uio.no/
services from perfect strangers. And yet we use more
webnews/index_e.aspx?id511523
space, and have more material goods, because we are Earth Day Network. (n.d.). Earth Day: The history of a movement.
less often in a position to share “things” with people Retrieved December 21, 2011, from http://www.earthday.org/
we live with. earth-day-history-movement
Earth911. (2011). E-waste: Harmful materials. Retrieved December 1,
Managing the human ecosystems of home and work-
2011, from http://earth911.com/recycling/electronics/e-waste-
place more sustainably includes accounting for goods and harmful-materials/
services and the structures of our buildings, as well as King Soopers. (2011). Green tips. Retrieved December 1, 2011, from
taking stock of the way we live and how we live together. http://www.kingsoopers.com/healthy_living/green_living/Pages/
green_tips.aspx
Home ecology should be factored into town and regional
Kynge, James. (2004). China’s growing pains call for birth of green
planning, with a goal of creating healthy habitats for revolution. Retrieved December 21, 2011, from http://www.
humans without harming the wider environment, not by zpenergy.com/modules.php?name5News&fi le5print&sid5749

Liu, Yingling. (2011). China watch: Plastic bag ban trumps market each sector? Retrieved December 1, 2011, from http://www.eia.
and consumer efforts. Retrieved December 21, 2011, from http:// gov/tools/faqs/faq.cfm?id5447&t53
www.worldwatch.org/node/5808 US Environmental Protection Agency (EPA). (2007, August 2).
Renewable Energy Policy Network for the 21st Century (REN21). Report to Congress on server and data center effi ciency public
(2011). Renewables 2011: Global status report. Retrieved law 109–431. Retrieved December 1, 2011, from http://www.
December 1, 2011, from http://www.ren21.net/Portals/97/ energ ystar.gov/ia /partners/prod _development /downloads/
documents/GSR/GSR2011_Master18.pdf EPA_Datacenter_Report_Congress_Final1.pdf
Seymour, John, & Girardet, Herbert. (1987). Blueprint for a green US Environmental Protection Agency (EPA). (2011). Water Sense
planet. New York: Simon and Schuster. statistics & facts. Retrieved November 30, 2011, from http://www.
US Energy Information Administration (EIA). (2010). Table 5. epa.gov/watersense/about_us/facts.html
Residential Average Monthly Bill by Census Division, and State. US Environmental Protection Agency (EPA). (2011, September).
Retrieved December 1, 2011, from http://www.eia.gov/cneaf/ Data Center Consolidation Plan. Retrieved December 1, 2011,
electricity/esr/table5.html from http://www.epa.gov/oei/epa_fdcci_consolidation_plan.pdf
US Energy Information Administration (EIA). (2011). Frequently
asked questions: How much energy is consumed in the world by

Human Ecology
Human ecology is an interdisciplinary approach to labeled as sustainability problems because it provides

understanding human-environmental systems. The field approaches that rely on multifaceted analyses. Sustain-
seeks to combine understanding of the biophysical reali- ability problems typically involve a degree of scientific
ties of human existence (such as dependence on natural uncertainty, in that it is not always possible to gauge
resources) with the social and psychological dimensions accurately the status of the key environmental variables
of human health and well-being. that have to be managed. For example, it is hard to
assess the carbon stored in agricultural landscapes under
different management regimes, yet this could be a key
H uman ecology focuses on understanding humans
and their environments as parts of a whole.
Although the field predates current debates about sus-
element in promoting sustainable farming practices. In
addition, sustainability problems often have no clear
tainability, it shares concern for the limited capacity of boundaries and cut across institutional and jurisdictional
the Earth to meet the demands that humans are placing boundaries, including different departmental responsi-
on it. Human ecology is also concerned with ethical bilities or state and national borders, such as when atmo-
questions about how fairly environmental resources are spheric pollution from a smokestack in one state causes
shared among people and other living things, and iden- acidification in the forests of its neighbor. In many cases
tifying the rights and wrongs of existing situations and the ultimate cause of a problem is at a great distance in
proposed alternatives. Where the human-environment time or space from its effect. For example, a consumer’s
system is changing in ways that cause problems for peo- choice of coffee bought from a local supermarket can
ple, human ecology focuses on what is ultimately driving affect, for better or worse, the environmental health of a
that change, and the consequences. By seeking the ulti- coffee plantation landscape in a distant country. Many
mate, rather than immediate, causes of change, human problems are the unforeseen and unintended conse-
ecology typically locates the sources of many problems in quences of human activity that made perfect sense at the
aspects of the dominant culture, its attendant values, and time. Irrigating a property to increase food yields makes
resulting human behavior. The challenge then is to iden- sense, as does building freeways to relieve traffic conges-
tify interventions that will result in improved environ- tion. Yet an unintended consequence of irrigation might
mental outcomes and that are fair and acceptable to the be to mobilize naturally occurring salts in the soil and
people who are affected. Human ecologists are then typi- eventually render it useless for farming; similarly, free-
cally committed to act as change agents by seeking inter- ways can make private vehicle travel choices more
ventions that improve the health and well-being of people attractive and result in even greater congestion as more
in a humane and sustainable manner. people adopt this method of transport. Problems can
even defy definition. Building a hydropower station on a
river might be the solution to a problem of renewable
Human Ecology and Sustainability energy generation but the cause of a problem for river
ecology and fish populations. Th is complexity is com-
Human ecology is able to make a valuable contribution pounded as individuals and groups promote often-
to understanding and improving situations that are confl icting options for intervention to improve a
184

HUMAN ECOLOGY • 185
situation, and various judgments about the desirability Ecology and Human Ecology
of proposed solutions.
With sustainability problems, pathways to improve- Human ecology has its origins in ecology more generally.
ment will often involve changes to human attitudes and The term ecology was originally coined by the German
behaviors as much as they will involve new or changing zoologist Ernst Haeckel in 1866 to mean, loosely, the
technology. Certainly technology can improve the effi- “science of the habitat” (Lawrence 2001, 675). At this
ciency with which an environmental resource is extracted basic level, human ecology can be thought of as the study
and managed and reduce the unit cost of the good proof the environmental conditions in which human beings
duced, but improving efficient supply cannot always keep developed, and the relationship of humans to the ecosys-
up with total increasing demand. Modern jet aircraft can tems that support them and which they affect. The same
be more efficient as measured by the energy cost of each principles apply to the ecology of any species, but in the
passenger transported per mile, but with soaring passen- case of humans, the number of humans on the planet,
ger numbers the total energy cost of the sector will their presence in almost all terrestrial ecosystems, and
increase. Expecting changes in people’s behavior requires their impact on the planet is largely the product of the
ethical considerations of justice and fairness in terms of evolution of human capacity for culture. If success is
how people are engaged in the development of proposed measured by sheer numbers and ability to colonize nearly
solutions and, when costs are involved, how the burden every environment on the planet, then culture was an
of those costs is distributed. Th is ethical concern may evolutionary advantage.
also extend to species other than humans. With its con- The need to take culture and its effects seriously makes
cern for the ethical dimension, human ecology has a nor- the study of the ecology of humans different from the
mative dimension that other sciences often lack or ecology of other animals. Other species exhibit behav-
downplay. ioral adaptation to their surroundings, but for humans
Human ecology’s concern for the sociocultural dimen- sociocultural adaptation is the prime mechanism for
sions of sustainability problems is coupled with the rec- responding to environmental change. Humans can learn
ognition that ecosystems have a finite capacity to service and adapt their behavior based on information provided
the demands humans place on them. If human demands by other humans, in stories passed from generation to
on environmental resources exceed the rate at which generation and enshrined in enduring social institutions.
those resources are naturally replenished, then the Humans have a highly developed ability to imagine con-
resource will inevitably be exhausted. At best, for very sequences of future action, although they do not neces-
large stocks, this point of exhaustion may be far off into sarily act to avoid those consequences. Artistic creativity
the future, which might allow postponing the inevitable enables the celebration of traditional ways of living and the
requirement for human behavioral change. A similar imagination of alternative futures. Imagination and
principle applies to pollution: problems arise when rates inventiveness also allow humans to develop tools and
of accumulation exceed the natural capacity of the eco- technologies that extend their capacity to access resources
system to absorb pollutants. The unequivocal evidence is from the environment and to rapidly change the effi-
that human use of key resources is now rapidly approach- ciency with which they can convert resources into a ser-
ing their limits, and many people already do not have vice. These characteristics of cultural adaptation, social
access to sufficient resources to maintain minimal stan- and individual learning, institutional arrangements, art
dards of health and well-being. and creativity, imagination, and technology, while not
The complex nature of sustainability problems means necessarily unique to humans, are developed to highly
that they are best tackled using integrative, holistic complex levels in them.
approaches that combine traditional disciplinary knowl-
edge with other insights into the human condition, peo- Development of Human Ecology
ple’s beliefs and values, and their aspirations and
motivations. Human ecology draws these insights from As human ecology developed out of ecology and the nat-
the social sciences, as well as the humanities; arts and ural sciences, it followed a number of different trajecto-
design; and lay, community, and nonacademic knowledge ries. Current academic programs using the term human
bases. The field seeks to provide a conceptual framework ecology often exhibit different characteristic concerns
for research and learning that combines knowledge about depending on which of these pathways they followed.
what is and what needs to be done, with understanding Ellen Swallow Richards, born in Massachusetts in
about what motivates and enables individuals and societ- 1842, is one pioneer of the discipline. Richards was the
ies to act on the basis of that knowledge. Human ecolo- fi rst woman graduate of the Massachusetts Institute of
gists are agents of change, seeking to help societies Technology (MIT), graduating with a bachelor of science
achieve humane and sustainable futures. degree in chemistry in 1873. She also obtained a master’s

degree, but the award of a PhD was beyond what MIT at thinking while avoiding the partiality of such work.
that time was prepared to confer on a woman. Her disci- Interdisciplinary human ecology tackles complex sus-
plinary expertise was in industrial chemistry, but she had tainability problems with approaches that have rigor but
broader interests in the social movements of the day, are not rigid. It may use a systems-based framework,
including women’s issues and progressive social change which enables consideration of the influence and con-
more generally. In 1892 she used Haeckel’s term oekology straints of both social and biophysical drivers of change.
to mean the science of the conditions of the health and The system in question, its boundaries, component parts,
well-being of everyday human life, elaborated as human and its dynamics are defined by participating stakehold-
ecology in 1907. But the biological scientists resisted ers. Such an approach enables the integration of the
extending the concept of ecology to include social dimen- diverse values, desires, and needs of the human actors
sions, and the term home economics was adopted in its with the capacity of the environment.
place. Human ecology programs that derive from this As a college dedicated to human ecology, the College
lineage are still common in the United States today, typi- of the Atlantic in Bar Harbor, Maine, exemplifies the
fied by programs in education and childhood studies, graduate attributes typical of a student of human ecology.
nursing, family and community well-being, and local It bases its curriculum on the following characteristics:
applied policy issues.
• Be creative: use the imaginative and inventive powers of
Today the study of human ecology may be defined by
the human mind to tackle sustainability problems with
the interests, methods, and intellectual domain of par-
original and adaptable approaches. This commitment to
ticular disciplines. One strand of human ecology as a
creativity has to include a willingness to take risks and
field of study arose within the sociology department at
sometimes fail, so long as failure is acknowledged and
the University of Chicago in the 1920s. In this school of
learned from.
thought, ecological terms from the biosciences are
• Think critically: reflect critically on the partiality of
applied to social change processes, using concepts such as
information, including the unavoidable prejudicial ele-
competition, succession, web of life, and mutual interde-
ments that arise from human habits, biases, and assump-
pendence. Versions of human ecology also developed
tions. This ability to think critically includes reflection
within other social science disciplines, such as geography,
on one’s own limitations and preconceptions.
anthropology, and ethnology, but beyond contesting
• Engage with community: involve individuals, com-
ownership of the name, these versions of human ecology
munities, and institutions in the design and imple-
have little in common.
mentation of solutions to their problems. This includes
Growing environmental awareness in the 1960s gave
a willingness to learn from their knowledge and tradi-
rise to a different approach to human ecology. Th is mul-
tions. It also requires participants to connect theory
tidisciplinary human ecology recognized the limited
and practice.
contribution that single disciplines could, by themselves,
• Communicate: communication is understood to be pro-
make to understand the complexity of human-induced
cesses of learning and not merely the transmission of
ecological problems. Typically arising in applied profes-
knowledge from one party to the other. Communica-
sions such as urban design and regional planning, these
tion can include artistic and motivational elements.
programs brought together a range of disciplines to
• Integrate elements: think comprehensively about situa-
apply their unique insights jointly to a given problem.
tions as wholes. The characteristic behavior of the whole
Pragmatically focused, these approaches collected
emerges from, but cannot be reduced to, the interac-
insights from the contributing disciplines, without
tions of the parts. Sustainability is a description of the
defining a unifying framework. The frameworks,
behavior of a system of interest to an individual or group
assumptions, and methodologies are not transformed
as it changes or remains constant over time.
through their interactions with other disciplinary
• Practice interdisciplinarity: recognize the strength and
experts. Nevertheless, this multidisciplinary approach
depth of disciplinary thinking and the crucial contribu-
continues to be practiced by those who place a premium
tion it can make to solving problems, while being aware
on maintaining forums in which different disciplines can
of its partiality. Combining different contributions
share their insights.
within suitable conceptual frameworks is crucial to cre-
ating the new knowledge needed to tackle sustainability
Interdisciplinary Human Ecology problems.
Human ecologists have sought to defi ne a genuinely As an evolving approach to defining and investigating
interdisciplinary field of study, in which the understand- its subject matter, human ecology may appear to have a
ing achieved is more than the sum of the contributing complex and occasionally contradictory history. Th is
parts. The challenge is to retain the power of disciplinary same diversity, however, prepares human ecology to

HUMAN ECOLOGY • 187
contribute new approaches to complex and previous watershed-based regional planning. COA has also
intractable problems. received numerous awards for institutional resource man-
agement, campus buildings, and leadership in its com-
mitment to carbon neutrality.
Human Ecology in Action Human ecology research focuses on a variety of devel-
opment issues. Researchers from the Department of
Many university-based human ecology programs around Human Ecology at the University of Tokyo have been
the world are sponsoring research and publishing that involved in interdisciplinary research into relationships
continue to define the field and also lead to public sustain- between human and environmental health in rapidly
ability initiatives. In addition, organizations such as the developing Asian countries. Studying rural areas,
Society for Human Ecology, the Commonwealth Human research teams have tracked changes to a broad range of
Ecology Council, and the German Society for Human indicators of human well-being, such as income, labor
Ecology bring practitioners together to advance the field. arrangements, food and nutrition, exposure to various
As early as 1972, following a meeting organized by chemical compounds, and health. Policy interventions
the Commonwealth Human Ecology Council (CHEC) designed to influence national development can be ini-
in Hong Kong, a group of researchers, primarily based tially successful, but then after a delay, negative conse-
in the Human Ecology program of the Australian quences appear. An example is rising food production:
National University (ANU), undertook a major study of this may result in improved nutrition, but a consequent
the city of Hong Kong and its population. Published rising chemical burden in the local environment eventu-
under the auspices of the United Nations ally leads to potential risks for com-
Educational, Scientif ic and Cultural munity health. The relationship
Organization (UNESCO) as The Ecology between chemical levels and
of a City and Its People (Boyden et al. community health is nonlinear,
1981), this landmark study applied a however, with different individ-
whole-of-system approach to the uals and communities affected
material and energy f lows of to different degrees for a range
Hong Kong and the sociocul- of reasons detectable only at the
tural drivers of those flows. The local scale. Interdisciplinary
study was a seminal work in human ecological research can
research into urban metabolism suggest ways that policy inter-
and is an exemplar of research ventions can be targeted to
incorporating both the quantifiable community involvement to
and qualitative dimensions of sus- achieve a balance of techno-
tainability. In the twenty-fi rst cen- logical and social initiatives
tury, ANU continues to be a leader that can produce more consis-
in the field of human ecology tently positive outcomes.
through its teaching and research
program, as well as through open Future Directions
discussion at the Human Ecology
Forum. Research in human ecology has
The aforementioned College of been hampered by the field’s nontra-
the Atlantic (COA) is entirely dedi- ditional nature, including perceptions
cated to the study of human ecology. COA that it is not a proper science. It has been
places great emphasis on developing an applied challenging to find funding bodies willing and
approach through working collaborations with local and able to support interdisciplinary research or journals will-
international communities. Over the years a number of ing to publish the results. Because it is an awkward fit
initiatives originating from student projects have, within the traditional departmental structures of the uni-
through community engagement, been adopted in prac- versity system, recognition of merit and pathways for career
tice, such as the Maine legislature’s adoption of beverage development have been limited. Although these barriers
recycling as a consequence of work conducted by COA continue to exist, there is growing recognition of the need
students. The college offers ongoing demonstration proj- for approaches like human ecology to tackle sustainability
ects of applied human ecology in areas of collaborative challenges. The Ecological Society of America’s (ESA)
decision making, environmental design, conservation Planetary Stewardship Initiative (Power and Chapin 2009)
ecology, ecological education, green business, and is devoted to fostering interdisciplinary collaboration and

defining the scientific needs to encourage sustainable social Chivian, Eric, & Bernstein, Aaron. (Eds.). (2008). Sustaining life: How
and ecological change. ESA’s Human Ecology Section was human health depends on biodiversity. Oxford, UK: Oxford
University Press.
established to discuss and apply the ideas and methods of Dauvergne, Peter. (2008). The shadows of consumption: Consequences for
human ecology and allied disciplines. The Proceedings of the global environment. Cambridge, MA: MIT Press.
the National Academy of Science (PNAS) also include a Dyball, Robert, & Newell, Barry. (2012). Understanding human
sustainability science section committed to publishing ecology. London: Earthscan.
Hulme, Mike. (2009). Why we disagree about climate change:
research dealing with the interactions between natural and Understanding controversy, inaction, and opportunity. New York:
social systems and their impacts on sustainability. Leading Cambridge University Press.
academic institutions, including Stanford University in Keen, Meg; Brown, Valerie A.; & Dyball, Rob. (Eds.). (2005). Social
California, are also establishing groups to investigate sus- learning in environmental management: Towards a sustainable future.
London: Earthscan.
tainability issues with a human-ecological perspective. Lawrence, Roderick J. (2001). Human ecology. In Mostafa Kamal
With these and other arenas opening up, human ecology Tolba (Ed.), Our fragile world: Challenges and opportunities for
will be well placed to make its contribution to sustainability sustainable development (Vol. 1, pp. 675–693). Oxford, UK:
challenges. Encyclopedia of Life Support Systems (EOLSS) Publishers.
Merchant, Carolyn. (2007). American environmental history: An intro-
Robert DYBALL duction. New York: Columbia University Press.
Midgley, Gerald. (2000). Systemic intervention: Philosophy, methodol-
The Australian National University ogy, and practice. New York: Kluwer Academic/Plenum.
Millennium Ecosystem Assessment. (2005). Ecosystems and human
See also Agricultural Intensification; Biogeography; well-being: Synthesis. Washington, DC: Island Press.
Ecosystem Services; Fisheries Management; Home Ostrom, Elinor. (1990). Governing the commons: The evolution of institu-
Ecology; Indigenous Peoples and Traditional Knowledge; tions for collective action. Cambridge, UK: Cambridge University
Permaculture; Shifting Baselines Syndrome; Urban Press.
Pimental, David; Westra, Laura; & Noss, Reed F. (Eds.). (2000).
Agriculture Ecological integrity: Integrating environment, conservation, and
health. Washington, DC: Island Press.
Power, Mary E., & Chapin, F. Stuart, III. (2009). Planetary steward-
ship. Frontiers in Ecology and the Environment, 7(8), 399.
FURTHER READING Rosa, Eugene, A.; Diekmann, Andreas; Dietz, Thomas; & Jaeger,
Agyeman, Julian; Bullard, Robert D.; & Evans, Bob. (Eds.). (2003). Carlo C. (2009). Human footprints on the global environment: Threats
Just sustainabilities: Development in an unequal world. Cambridge, to sustainability. Cambridge, MA: MIT Press.
MA: MIT Press. Scheffer, Marten. (2009). Critical transitions in nature and society.
Boyden, Stephen. (2003). Th e biology of civilisation: Understanding Princeton, NJ: Princeton University Press.
human culture as a force in nature. Sydney: University of New South Schutkowski, Holger. (2006). Human ecology: Biocultural adaptations in
Wales Press. human communities. Berlin: Springer.
Boyden, Stephen; Millar, Sheelagh; Newcombe, Ken; & O’Neill, Walker, Brian, & Salt, David. (2006). Resilience thinking: Sustaining
Beverley. (1981). The ecology of a city and its people: The case of Hong ecosystems and people in a changing world. Washington, DC: Island
Kong. Canberra, Australia: Australia National University Press. Press.
Brown, Valerie A.; Harris, John A.; & Russell, Jacqueline Y. (Eds.). Wilkinson, Richard, & Pickett, Kate. (2009). Th e spirit level: Why
(2010). Tackling wicked problems through the transdisciplinary imagi- greater equality makes societies stronger. New York: Bloomsbury
nation. London: Earthscan. Press.
Chapin, F. Stuart, III; Kofinas, Gary P.; & Folke, Carl. (Eds.). (2009). Young, Gerald L. (1978). Human ecology as an interdisciplinary domain:
Principles of ecosystem stewardship: Resilience-based natural resource An epistemological bibliography . Monticello, IL: Vance
management in a changing world. New York: Springer. Bibliographies.

Hunting
Hunting is the practice of killing an animal—called practice that reduces biodiversity and increases vulnera-
game—for consumptive, recreational, or commercial bility to ecosystem collapse. Because hunting involves
purposes. Hunting as a management tool for ecosystem complex and changing interactions among humans,
sustainability remains a highly divisive and controver- wildlife, and the environment, consideration of circum-
sial issue. In places where hunting is carefully regulated, stances is required. This article briefly provides informa-
hunting can be considered an effective method for keep- tion on history and current participation in hunting, and
ing ecosystems in a healthy balance. In regions where then explores situations where hunting fosters or hinders
hunting is difficult to regulate, hunting can be consid- ecosystem sustainability.
ered a destructive practice that reduces biodiversity
and increases vulnerability to ecosystem collapse. Background
H unting commonly refers to the pursuit of a mobile

species, usually a mammal or bird, by humans with
the intent of killing for food, recreation, cultural reasons,
Hunting has been a part of human life since its beginning.
Prior to societies becoming more sedentary with agricul-
ture and the domestication of livestock, survival of
or trade. In many societies, these species are referred to Homo sapiens largely depended on it (Diamond 1997).
as game, and the act of killing them is referred to as har- Throughout history, however, hunting practices have not
vest or take. Trophy hunting is a type of recreational always complemented wildlife conservation, instead caus-
hunting primarily focused on harvesting rare, exotic, or ing the local extirpation and reduction of some game pop-
exceptionally large individuals of a species for the head, ulations. Several species, including the American bison
hide, horns, or antlers, with consumption of the meat (Bison bison), were hunted almost to extinction in the late
being secondary or not important. This may be a legal or nineteenth century. In addition, some species viewed less
illegal practice depending on local laws. Legal hunting is as game and more as competitors with humans for
practiced following a set of regulations that controls resources or as threats to livestock also have suffered range
when, where, and how a person can pursue and kill game, reductions from hunting. For example, gray wolves (Canus
and specifies how many of a species a hunter may kill lupus) were once distributed through much of the
during a specific period of time (e.g., per day or per year). Northern Hemisphere, but were extirpated throughout
Illegal hunting, or poaching, occurs when people are most of Europe and the United States during the nine-
hunting in a manner that violates agreed-upon regula- teenth and early twentieth centuries. Hunting has con-
tions of the governing institutions. Fishing, trapping, tributed to the wild extinction (although some individuals
and gathering of wild plants may have similar intentions may exist in captivity) of game species including the pas-
as hunting, but these practices typically use different senger pigeon (Ectopistes migratorius) in North America,
weapons and tools, involve different species, and are con- Père David’s deer (Elaphurus davidianus) in China, and
sidered separate activities. the Scimitar oryx (Oryx dammah) in Africa (IUCN 2011).
Hunting can be considered either an effective method Because of species losses associated with hunting, uncon-
for keeping ecosystems in a healthy balance or a destructive trolled exploitation of game resources has been eliminated
189

in many developed parts of the world (e.g., North America Bushmeat hunting in tropical forests threatens biodi-
and Europe), followed by restoration of many game popu- versity, but it also sustains the world’s poorest people.
lations to bountiful levels (Geist, Mahoney, and Organ Ecologically sustainable solutions have been elusive for
2001; Brainerd and Kaltenborn 2010). Interestingly, the political, economic, and ethical reasons (Robinson and
movement to save wildlife populations beginning in the Bennett 2000; Ostrom et al. 1999). Researchers contend
early 1900s also was led by hunters such as US president that issues related to poverty (e.g., income, education,
Theodore Roosevelt (Wilson 2010). human health) must be addressed before negative pat-
Hunting continues to be a popular practice around the terns associated with hunting can be mitigated. For
world today. There are an estimated 12.5 million active instance, long-term conservation of biodiversity is of
hunters in the United States (USFWS 2006) and 7 million lesser concern when people are facing short-term circum-
European hunters (FACE 2011). In the forests of Latin stances such as famine.
America, Southeast Asia, and Africa, nearly 150 million
people support their livelihoods through the hunting of
An Effective Tool
game (Department of International Development 2002).
In North America, Europe, and some sub-Saharan
Ecosystem Sustainability African countries, hunting has been considered one of
the most effective management and conservation tools
From an ecosystem perspective, modern hunting can be for maintaining game populations at healthy levels, sus-
simplified (with a few exceptions) into two general cate- taining healthy ecosystems, and alleviating human devel-
gories: (1) hunting game for recreation and/or personal opment and poverty problems. Reliance on hunting as a
consumption under a strict regulatory system with suffi- management tool has increased in North America as top
cient enforcement, and (2) hunting game for sale of meat predators have been reduced in numbers or removed from
on the market (i.e., market hunting) or for personal con- ecosystems, and the game species that they preyed on
sumption under weak regulatory systems with insuffi- subsequently have increased. Today, game managers are
cient enforcement. The former occurs in wealthier, more likely to contend with issues related to overabun-
developed nations (e.g., United States, Canada, Europe), dance rather than conservation (McShea, Underwood,
and is considered a sustainable practice from an ecosys- and Rappole 1997). For example, populations of white-
tem perspective. The latter occurs in poorer, developing tailed deer (Odocoileus virginanus) (Rooney 2001; Côté et
nations (e.g., west Africa, Latin America), and hunting al. 2004), geese (Branta canadensis, Chen caerulescens)
of wild meat (often referred to as “bushmeat” hunting in (Ankney 1996), elk (Cervus elaphus) (Ripple and Beschta
tropical areas) is considered to be on an unsustainable 2004), and many other popular game species are at
trajectory (Milner-Gulland, Bennett, and SCB 2003; population levels harmful to the ecosystem they
Robinson and Bennett 2004). inhabit (Garrott, White, and Vanderbilt-White 1993).
Overabundant game populations contribute to reduced
An Unsustainable Practice plant and animal diversity and threaten human life and
livelihood. For example, wildlife damage (e.g., agricul-
As human densities have increased in developing regions, tural damage, vehicle collisions, disease transmission) is
so has pressure on local game resources, creating a con- estimated at nearly $22 billion in the United States, with
fl icting relationship between healthy ecosystems and overabundant game species being the main problem
hunting. In tropical forests, increased commercialization (Conover 2002). Although alternative strategies (e.g.,
and land conversion (e.g., logging) in remote areas have fertility control, fencing) for managing overabundant
created roads and better access for people to exploit game game exist, hunting remains the most socially, economi-
(Robinson and Bennett 2000; Franzen 2006; Brinkman cally, and ecologically responsible method (Carpenter
et al. 2009). Data suggests that numerous species of pri- 2000; VerCauteren, Dolbeer, and Gese 2005). Unlike
mates and ungulates are facing local extinctions in most alternative approaches, hunting helps to keep game
remote parts of Vietnam, Africa, and Latin America, wild, preventing habituation of game to human activities,
largely because of hunting (Milner-Gulland, Bennett, and potentially reduces wildlife-human confl ict.
and SCB 2003). Excessive hunting often reduces popula- Hunting also may be used to reduce or eliminate the
tions of large-bodied and slow reproducing species while presence of an undesirable species (e.g., invasive or exotic
rapidly reproducing species adaptable to human distur- species). Some introduced domestic swine (Sus scrofa) and
bance may increase (Peres 2000). From an ecosystem Eurasian boars have turned feral and are now considered
perspective, this may result in a shift in ecological com- one of the most threatening invasive species in North
munities (interactions of plants and animals living in the America. Numbering between 4 and 6 million, feral
same place) toward less biodiversity. pigs are destroying native plants, damaging human

HUNTING • 191
infrastructure, causing erosion, competing with native balance. But this argument is less applicable when game
wildlife, and spreading disease to livestock and humans populations are overabundant in areas heavily populated
(Campbell and Long 2009; Tegt et al. 2011). Recreational by humans, and reintroduction of large predators puts
hunting may be the best strategy for reducing the feral people or livestock in harms way. The pro- versus anti-
pig populations while potentially creating income (e.g., hunting debate is a complex and sensitive issue that
selling of meat, hunter expenditures) to offset manage- requires careful and respectful communication among all
ment costs. stakeholders.
Economic benefits of hunting cannot be ignored
(Williams 2010). Hunters have organized to form several
nonprofit conservation groups (e.g., Ducks Unlimited,
Pheasants Forever, Rocky Mountain Elk Foundation,
Future of Hunting
and Boone and Crocket Club) that fund the protection of
Hunters per capita have declined in recent decades. In the
critical habitat for game species. Passed in the United
United States, the percentage of hunters has declined
States 1937, the Pittman-Robertson Act (P-R Act) levied
from 10 percent in 1980 to 5 percent in 2006 (USFWS
a manufacturer’s tax on firearms and ammunition to pro-
2006). A summary of research findings suggests several
vide revenue for wildlife agencies. Funding from the P-R
explanations for declines, including urbanization of soci-
Act in combination with hunting license fees has resulted
eties, increased dependence on cash economy and com-
in a significant source of annual funding (over $1 billion
mercial foods, less access to areas with hunting, loss of
in the United States in 2009) for wildlife restoration,
knowledge about hunting, lack of time and money to
research, management, and education (Williams 2010).
hunt, a less physically active society, and competition with
In Europe and North America, fees that private land-
a growing number of nonhunting outdoor recreationists
owners accrue from allowing hunters to access game on
(Enck, Decker, and Brown 2000; Manfredo et al. 2009).
their property serves as an incentive for landowners to
With the global economy promoting privatization and
preserve wildlife habitat. In sub-Saharan African coun-
commercialization of recreational access, hunters with
tries, paid trophy hunts generate approximately $200
lower incomes may be excluded due to unaffordable fees.
million a year (Lindsey 2008).
In North America, hunters generally view wildlife as a
Although more difficult to quantify, advocates note
public resource and are strongly opposed to this trend.
that hunting helps to keep an increasingly urbanized
Some forms of paid hunting (i.e., trophy hunting), how-
human population connected to nature (Swan 1995).
ever, are thought to play a crucial role in rehabilitation of
Interaction with nature improves physical and emotional
threatened wildlife areas and in generating an economic
health (Louv 2005), increases appreciation of the services
incentive (e.g., tourism) to promote conservation. For
provided by ecosystems, enhances awareness of potential
example, the growing trophy hunting industry in Africa
threats (e.g., overpopulation, global warming), and culti-
requires a low and sustainable harvest to ensure future
vates stewardship of intact ecosystems. Despite these
opportunities (Lindsay 2008). The future structure and
benefits, many people view hunting negatively.
function of hunting, undoubtedly, will vary in form and
potential by location and customs.
When human population growth, climate change,
A Contentious Issue habitat conversion, human values, and other influential
factors are considered, the efficiency of hunting as a man-
Even in areas where hunting is considered ecologically
agement tool for ecosystem sustainability becomes more
sustainable, more people have become critical of the
uncertain. The unique services provided by hunting will
practice and are debating its justification and continu-
need to be accounted for during times of rapid change to
ance. Hunting proponents will argue the social, eco-
fully evaluate its future social and ecological utility.
nomic, and ecological benefits discussed above. People
Individual hunters and the institutions that regulate
against all forms of hunting argue that it is unethical and
hunting will have to be adaptive and flexible to unfore-
unneeded in modern societies because of the availability
seen changes. Integrative strategies (approaches that con-
of other foods (Baker 1985; Singer 1985). Ethical hunt-
sider social and ecological components across small and
ing varies by culture, but it commonly refers to pursuing
large geographic and time scales) to managing and moni-
and killing an animal using a protocol that is respectful
toring hunting practices are thought to have the greatest
to the animal, minimizes suffering, and obeys local laws
chance for fostering sustainable game populations and
and customs. Those opposed to using hunting as an eco-
ecosystems.
logical tool argue that reintroducing top predators (e.g.,
wolves, cougars [Puma concolor]) into ecosystems where Todd J. BRINKMAN
they are absent would be the best way to find ecological University of Alaska Fairbanks

See also Administrative Law; Biodiversity; Community International Union for Conservation of Nature (IUCN). (2011). Th e
Ecology; Complexity Theory; Fencing; Fish Hatcheries; IUCN red list of threatened species. Retrieved July, 2011, from
http://www.iucnredlist.org/
Fisheries Management; Food Webs; Human Ecology; Lindsey, Peter A. (2008). Trophy hunting in sub Saharan Africa:
Indigenous Peoples and Traditional Knowledge; Invasive Economic scale and conservation significance. In Rolf D. Baldus,
Species; Outbreak Species; Regime Shifts; Species Gerhard R. Damm & Kai-Uwe Wollscheid (Eds.), Best practices in
Reintroduction; Wilderness Areas sustainable hunting: A guide to best practices around the world
(pp. 41–47). Budakeszi, Hungary: International Council for Game
and Wildlife Conservation.
Louv, Richard. (2005). Last child in the woods: Saving our children from
nature-deficit disorder. New York: Workman Publishing.
FURTHER READING Manfedo, Michael J.; Vaske, Jerry J.; Brown, Perry J.; Decker, Daniel
Ankney, C. Davison. (1996). An embarrassment of riches: Too many J.; & Duke, Esther A. (2009). Wildlife and society: Th e science of
geese. Journal of Wildlife Management, 60, 217–223. human dimensions. Washington, DC: Island Press.
Baker, Ron. (1985). The American hunting myth. New York: Vantage McShea, William J.; Underwood, Brian H.; & Rappole, John H.
Press. (1997). Science of overabundance: Deer ecology and population manage-
Baldus, Rolf D.; Damm, Gerhard R.; & Wollscheid, Kai-Use. (2008). ment. Washington, DC: Smithsonian Institute Press.
Best practices in sustainable hunting: A guide to best practices from Milner-Gulland, E. J.; Bennett, Elizabeth L.; & the SCB Wild Meat
around the world. Budakeszi, Hungary: International Council for Group. (2003). Wild meat: The bigger picture. Trends in Ecology
Game and Wildlife Conservation. and Evolution, 18, 351–356.
Brainerd, Scott M., & Kaltenborn, Bjørn. (2010). The Scandinavian Oates, John F.; Abedi-Lartey, Michael; McGraw, Scott W.;
model. The Wildlife Professional, 4, 52–57. Struhsaker, Thomas T.; & Whitesides, George H. (2000).
Brinkman, Todd J.; Chapin, F. Stuart, III; Kofinas, Gary P.; & Person, Extinction of a west African Red Colobus Monkey. Conservation
Dave K. (2009). Linking hunter knowledge with forest change to Biology, 14, 1526–1532.
understand changing deer harvest opportunities in intensively Ostrom, Elinor; Burger, Joanna; Field, Christopher B.; Norgaard,
logged landscapes. Ecology and Society, 14 (1), 36. Richard B.; & Policansky, David. (1999). Revisiting the commons:
Campbell, Tyler A., & Long, David B. (2009). Feral swine damage Local lessons, global challenges. Science, 284, 278–282.
and damage management in forested ecosystems. Forest Ecology and Peres, Carlos. A. (2000). Effects of subsistence hunting on vertebrate
Management, 257, 2319–2326. community structure in Amazonian forests. Conservation Biology,
Carpenter, Len H. (2000). Harvest management goals. In Stephen 14, 240–253
Demaris & Paul R. Kausman (Eds.), Ecology and management of Ripple, William J., & Beschta, Robert L. (2004). Wolves, elk, willows,
large mammals in North America (pp. 192–213). Upper Saddle River, and trophic cascades in the upper Gallatin Range of southwestern
NJ: Prentice Hall. Montana, USA. Forest Ecology and Management, 200, 161–181.
Conover, Michael R. (2002). Resolving human-wildlife conflicts: The sci- Robinson, John G., & Bennett, Elizabeth L. (Eds.). (2000). Hunting
ence of wildlife damage management. Boca Raton, FL: Lewis for sustainability in tropical forests. New York: Columbia University
Publishers. Press.
Côté, Steeve D.; Rooney, Thomas P.; Tremblay, Jean-Pierre; Dussault, Robinson, J. G., & Bennett, E. L. (2004). Having your wildlife and
Christian; & Waller, Donald M. (2004). Ecological impacts of eating it too: An analysis of hunting sustainability across tropical
deer overabundance. Annual Review of Ecology, Evolution, and ecosystems. Animal Conservation, 7, 397–408.
Systematics, 35, 113–147. Rooney, Thomas P. (2001). Deer impacts on forest ecosystems: A
Department of International Development. (2002). Wildlife and pov- North American perspective. Forestry, 74, 201–208.
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IWMC-Forum/Articles/WildlifePovertyStudy.pdf Swan, James A. (1995). In defense of hunting. New York: Harper
Diamond, Jared. (1997). Guns, germs, and steel. New York: W. W. Collins.
Norton & Company. Tegt, Jessica; Mayer, John; Dunlop, John; & Ditchkoff , Stephen.
Enck, Jody W.; Decker, Daniel J.; & Brown, Tommy L. (2000). Status (2011). Plowing through North America. The Wildlife Professional,
of hunter recruitment and retention in the United States. Wildlife 5, 36–39.
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Franzen, Margaret. (2006). Evaluating the sustainability of hunting: census.gov/prod/2008pubs/fhw06-nat.pdf
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ties. Environmental Conservation, 33, 36–45 Identification and management of wildlife damage. In Clait E.
Garrott, Robert A.; White, P. J.; & Vanderbilt-White, Callie A. Braun (Ed.), Techniques for wildlife investigations and management
(1993). Overabundance: An issue for conservation biologists? (pp. 740–778). Bethesda, MD: The Wildlife Society.
Conservation Biology, 7, 946–949. Williams, Steve. (2010). Wellspring of wildlife funding: How hunter
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Resources Conference, 66, 175–185. York: Skyhorse Publishing.

Hydrology
Hydrology is the science that examines the properties With the exception of some refinement of hydrological
and behavior of water on Earth, including its interac- concepts by great thinkers such as Leonardo da Vinci and
tion with and reaction to the environment. Increasingly, Galileo, it was not until the eighteenth and nineteenth cen-
as water resources respond to the pressures of popula- turies that significant developments in hydrology occurred.
tion growth and climate change, hydrological investiga- During this latter period of time, the “founders of British
tions are used to inform decision makers on how much hydrology,” Edmond Halley and John Dalton, developed
water is available, its quality, and the limits to its susan understanding of evaporation processes and the atmo-
tainable use. spheric phases of the hydrological cycle, while British engi-
neers such as Robert Manning developed formulae for
estimating the velocity of flow in streams and channels.
H ydrology is the study of water: its physical and chem-
ical properties; its circulation; its distribution across
the Earth; and its interactions with the environment. It is
Elsewhere in Europe, during the design and construction
of water supply systems for Dijon, France, and Brussels,
a very broad field within the earth sciences, and because Belgium, Henri Darcy developed a formula for the flow of
of this breadth some aspects of the study of water are water through a porous medium (sand), now referred to as
deemed the province of other areas of scientific inquiry. Darcy’s Law, and, with his colleague Henri Bazin, devel-
For example, the study of marine waters is included oped equations for quantifying flow in open channels.
within oceanography, while the study of permanent ice This focus in the development of hydrology on meet-
(glaciology) and atmospheric water (hydrometeorology ing the design needs for urban water infrastructure led to
and climatology) are considered to be discrete interdisci- a strong emphasis on engineering, a disciplinary approach
plinary domains of earth and environmental sciences. that has also been effective in the development of irriga-
The earliest evidence for the development of hydrology tion and water supply dams around the world. Toward
dates from ancient Mesopotamia, Greece, and Egypt. the latter part of the twentieth century, hydrology
For example, from about the fifteenth century bce, agri- expanded beyond this engineering focus to include eco-
cultural taxes were based on measurements of Nile flood- logical and environmental considerations, particularly in
ing events, evidence for an understanding of the critical terms of water quality. Now, hydrologists are increasingly
importance of water for survival and economic prosper- not only defining current freshwater systems, but also
ity. In ancient Greece, Thales of Miletos (624–584 bce) predicting the distribution, changes in, and quality of
studied the regular flooding of the Nile River; Plato surface and ground waters in response to natural and
(428–348 bce) developed basic concepts of the water anthropogenic change.
cycle and recognized the impacts of human activities on
water quality. By the time of the Roman Empire, engi- The Properties of Water
neering hydrology had developed to the point at which
aqueduct systems, up to hundreds of kilometers in total Water is a unique substance. Water molecules consist of
length, distributed water from springs, lakes, and rivers two hydrogen atoms and one oxygen atom (H 2O). The
to large urban populations. bonding between these atoms is very strong, which
193

means that it takes a lot of energy to break water mole- much as nearby land. Consequently, oceans, lakes and
cules down into their separate components of hydrogen reservoirs moderate the magnitude and rates of tempera-
and oxygen. In addition, the way that the two hydrogen ture changes at daily, seasonal, and annual scales, which,
atoms (which have a positive charge) and the oxygen among other things, drives the Earth’s ocean and global
atom (which has a negative charge) are arranged means climatic circulations. At a smaller scale, this property
that water molecules have a positive “end” and a negative means that warm-blooded animals can regulate their
“end”—that is, they are dipolar. The polarity generates an temperatures.
attractive force between the positively charged end of one Latent heat is the energy that is released or absorbed by
water molecule to the negatively charged end of another. a system when it is changing from solid to liquid, liquid to
Th is force, referred to as hydrogen bonding, is almost gas, or vice versa. When water changes form, there is no
unique to water. change of temperature because all the energy is being used
Water’s molecular structure is responsible for many of to break the hydrogen bonds rather than in actual warm-
its distinct properties. At temperatures less than 0 8C, ing. Energy is used in the transition from water to steam
hydrogen bonds lock the molecules into a tight lattice of but is released when steam condenses to water. A signifi-
ice. When temperatures rise above 0 8C, however, a small cant consequence of latent heat absorption in evaporation
proportion of the hydrogen bonds break, partly collaps- and its release on condensation is that heat is transported
ing the rigid ice lattice and reducing the density of the from the place of evaporation to the place of condensation.
substance. Th is is the process of melting, and the hydro- On a global scale, such latent heat transfer results in a
gen bond lattice explains why ice is less dense than liquid transfer of heat energy toward the poles from the tropical
water, causing ice to float. oceans, where water evaporates in large volumes, and from
Ice flotation has important implications for aquatic land and water surfaces to the atmosphere. This process
life. If water froze from the bottom up, aquatic plants and prevents extreme temperature variations and moderates
animals would be increasingly forced upward as the water Earth’s climate. This moderated climate is one of the major
body froze and ultimately would die. But because water reasons that life exists on Earth.
freezes from the top down, aquatic life can survive below Hydrogen bonding and polarity of the water molecule
the icy surface in the underlying waters. Colder water also influence the physical properties of cohesion (sticks
with a temperature around 48C sinks, and in still bodies to itself), adhesion (sticks to other materials), and surface
of water such as lakes and reservoirs, this sinking can cre- tension (behaves elastically). Cohesion causes water to
ate layers of colder water underlying warm water at the “bead” on waxy surfaces. Surface tension produces the
surface. Th ese temperature and density differences spherical shape of raindrops and dew. Surface tension
mean that colder water does not mix with the warmer also allows some invertebrates to move across the water’s
water above, and it is consequently separated from the surface without sinking.
atmosphere—the source of dissolved oxygen in the water Water’s adherence to other materials is the process of
column. As a result, the deeper, cold water becomes wetting. When water is poured into glass tubing, it sticks
anoxic or depleted in oxygen. Th is has consequences for to the sides, and the attraction between the positively
biochemical processes and for the distribution of living charged hydrogen ends of the water molecules and the
organisms. For example, sulfur-reducing bacteria prolif- negatively charged oxygen electrons in the glass is strong
erate in the deeper, cold anoxic waters, while fish, inver- enough to cause the water to move upward along the
tebrates, phytoplankton, and zooplankton populate glass surface. Such capillary action is how water flows
oxygenated waters closer to the surface. upward through rock or soil against the force of gravity
As the temperature of water increases, important and how plants raise water from their roots.
molecular responses occur. More hydrogen bonds break, The polarity and hydrogen bonding in water molecules
separating the molecules until all are broken above the mean that many substances are soluble in water to some
boiling point (100 8C) and the liquid water changes to degree, giving water its nickname of “the universal sol-
steam. Significantly, water is the only substance that vent.” Salts, such as NaCl, dissolve readily because the
occurs in all three states—solid, liquid, and gas—within oppositely charged ions of sodium (Na1) and chlorine
the normal surface temperature range on Earth. (Cl2) attach to the oppositely charged ends of the water
When water is heated, much of the heat energy serves molecule. When each ion is surrounded by a cloud of
to break the hydrogen bonds rather than increasing the water molecules, the ions are prevented from recombin-
temperature. Consequently, in contrast to many other ing. The ability of water to dissolve most substances has
substances, water can absorb a large amount of heat enormous implications for weathering of rock minerals,
before its temperature increases significantly. Because of dissolution of pollutants and their transport in streams,
this high specific heat or thermal capacity of water, a the high salinity of ocean water, and the transport of sol-
large body of water, such as the ocean, will not heat up as utes within living organisms.

HYDROLOGY • 195
The Hydrological Cycle Table 1. Earth’s Water Resources
Percent of
During the era of lunar exploration astronauts sent back
Total Global
to Earth images of our “blue planet”—a planetary body
Percent of Water
dominated by water. From these images, a popular belief Water Source Freshwater Reserves
has emerged that Earth has a plentiful supply of water to
sustain life. Water does cover approximately 70 percent Lakes and swamps 0.29 0.008
of the planet’s surface, but only a tiny fraction (around Rivers 0.006 0.0002
2.5 percent) of the total resource occurs as freshwater,
which is mostly locked up in ice caps, glaciers, and Glaciers, permanent
groundwater. Available freshwater stocks in the world’s ice cover, and
rivers, freshwater lakes, swamps, and water vapor in the permafrost/ground ice 69.38 1.73
atmosphere add up to a mere 0.77 percent of the total Groundwater 30 0.76
global water reserves. The stocks and flows of water at a Atmospheric water 0.04 0.001
global scale are shown in table 1.
Total global
The hydrological cycle (see figure 1) is a simplified con-
freshwater 100* 2.5
ceptual model that describes the continual circulation of
water through the atmosphere, the biosphere (the zone of Source: Gleick (2008) (modified).
life on the planet), and the lithosphere (the outer layers of *Includes soil moisture and biological water, and arctic
the Earth’s crust and mantle). Solar energy and gravity islands.
drive this circulation. Water within the ocean, for exam- Nearly 70 percent of the Earth’s freshwater is frozen; most of the
ple, evaporates as it is heated by the sun and becomes rest (30 percent) occurs as groundwater.
Figure 1. The Hydrological Cycle
evapotranspiration
interception
condensation and
cloud formation
precipitation
throughfall evaporation from

depression storage land and water
surface runoff
infiltration stream
throughflow
water table lake or ocean
deep percolation groundwater flow
Source: Modified from Gordon, Nancy D.; McMahon, Thomas A.; Finlayson, Brian L.; Gippel, Christopher J.; & Nathan, Rory J. (2004). Stream
hydrology: An introduction for ecologists (2nd ed.). Chichester, UK: Wiley and Sons.
In the hydrological cycle, water is exchanged between the atmosphere and the Earth and takes numerous pathways across the surface and deep
into the ground due to the action of the sun’s energy and gravity. Water is always in motion and always in storage.

desalinated atmospheric water vapor, which, upon subse- have evolved. Humans rely on water for food production,
quent cooling, condenses to form clouds. Some clouds pro- sanitation, transportation, manufacturing, processing,
duce rain that falls to the surface. This water can then take and energy production. It is thus not surprising, given the
various pathways, either being evaporated back into the central focus that water has to human survival, that water
atmosphere, intercepted by vegetation, infiltrating into the also underpins spirituality, religious ritual, and symbol-
soil and recharging groundwater, or running off the sur- ism in many past and present cultures. Management of
face into streams, lakes, and reservoirs and ultimately water resources is essential for maintaining health and
flowing back to the sea, where the cycle begins again. The well-being, the integrity of environmental systems, and
hydrological cycle describes these processes of evaporation, productivity. Unsustainable exploitation of the freshwater
precipitation, interception, infi ltration, surface runoff, resource not only places these values at risk at local and
throughflow (flow just beneath the ground surface) and regional scales but also has broader, global implications
groundwater flows. Rates of flow and storage times for
each of these processes vary: for example, storage of water Supply, Development, and Management
can range from days (as stream flow) to millennia and mil-
of Water Resources
lions of years (groundwater and glacial ice).
The volume of water involved in the hydrological cycle Freshwater resources are not evenly distributed around
for any given time and place can be described and quanti- the globe: some regions have abundant water while others
fied by the water balance equation, which describes the experience aridity. For example, a single river system, the
balance between the inputs and outputs of water: Amazon in South America, discharges 20 percent of the
total global runoff. By contrast, the entire continent of
I 5 O 1 DS
Australia generates only 1 percent. Furthermore, a sig-
where I refers to the total inflows of precipitation, runoff, nificant amount of rainfall and associated runoff may
and groundwater, O equals the total outflows of evapo- occur only at certain times of the year (for example, the
transpiration, surface runoff, and groundwater, and DS is tropical monsoons), so that some regions may not have
the change of water storage in the soil, vegetation, and enough water at certain times to meet the needs of users.
other forms of retention. Hydrologists can apply the Added to these timing and distribution issues is the chal-
water balance equation by comparing values of precipita- lenge presented by the growth in world populations. At
tion and evapotranspiration, and estimating water sur- the turn of the twentieth century, there was a global pop-
plus and deficit, soil moisture status, and water runoff for ulation of 1.6 billion people. This increased to 3 billion at
a given place and/or time. Almost all hydrological studies the beginning of the Green Revolution and the expan-
are based around this equation and the theory that sion of irrigated agriculture in the 1960s, and early in the
underpins it. Hydrological modeling, catchment assess- twenty-first century it approached 7 billion. Because the
ment, and processes of water resource management and world’s freshwater resource remains roughly constant,
decision making all apply the water balance. population increase means that the availability of fresh-
water per person has significantly diminished over the
last century, with consequences both for humans and for
The Importance of Water broader environmental conditions. Of particular concern
is the fact that water use has been increasing at more than
The properties and abundance of water have immense twice the rate of population growth, because of increas-
significance for life on Earth, not simply by producing ing agricultural use of water (which sat at 87 percent of
suitable environmental conditions but also because water the available freshwater resources early in the twenty-
plays a vital role in the biochemical processes that regu- fi rst century) and urbanization (Bates, Kundezewicz,
late, nourish, and maintain living organisms. These pro- Wu, and Palutikof 2008).
cesses include the following: To address increasing water requirements by the agri-
cultural, industrial, and energy sectors, as well as the
• photosynthesis and respiration
drinking water needs of a rapidly growing population,
• enzyme catalysis
the hydrology of whole catchments and regions can be
• metabolism
modified by the construction of dams, weirs, canals, and
• transport of solutes (for example nutrients, amino acids,
stream diversions. These engineering structures have
glucose in blood; waste products in perspiration,
profound downstream impacts on the volume of water
exhaled air, and urine; nutrients in plants)
flowing through river systems, the flow regime (for
• transport of heat and thermoregulation.
example, seasonal patterns of flow, or periods of low or
Human life is even further dependent on water, no flow), and water quality. Large-scale constructions
because of the highly organized social structures that such as the Three Gorges Dams in China and the Sardar

HYDROLOGY • 197
Sarovar project on the Namada River in India exemplify water supply for human use in many parts of the world has
the complex hydrological, ecological, and socioeconomic more to do with water quality than quantity, generally as a
impacts produced when a drainage system is modified for result of anthropogenic pollution of water supplies. These
human use. factors represent significant and developing pressures on
Despite these attempts to create and maintain reliable human health and mortality, ecosystem function and
water supply, water scarcity is an emerging threat in health, and sustainability.
many regions of the world. Water scarcity means that
there are insufficient water resources to meet long-term
average requirements in a particular area or region. The Future
Currently, some 1.2 billion people live in areas where
water is physically scarce, and a quarter of the world’s The challenges that face decision makers regarding water
population lives in developing countries where inade- in the twenty-first century are numerous and multifaceted.
quate infrastructure for water delivery and/or treatment Water is essential for ecosystem function and health, and
imposes water shortages (WHO 2009). Continuing water supply must meet the needs of a rapidly growing
efforts to meet water requirements have resulted increas- population with its associated water-dependent agricul-
ingly in the unsustainable management and use of water, tural and industrial users. There is a lower limit to water
which occurs when the rate of demand exceeds supply. availability, below which stress and scarcity occur, with
A further challenge, associated not only with popula- consequences that may not necessarily be reversible in the
tion growth but also with intensifying urbanization, is short term. Risks to water availability as well as to water
the risk to water quality from poor sanitation. quality from anthropogenic activities can occur at local,
Approximately 2.6 billion people live without regional, or basin scales and can cross geopolitical
basic household sanitation, using only boundaries.
rudimentary septic systems, latrines, These challenges must be managed
or open fields and beaches. Th is within a dynamic global setting because
lack of sanitation risks human of climate change and evolving bio-
health through waterborne and physical, socioeconomic, and geopo-
fecal-oral transmission of bacte- litical settings. Management also
rial, viral, and protozoan dis- needs to be based on the principles
eases, including, but not of sustainability, which aim at opti-
limited to, cholera, typhoid, mizing and integrating the triple
shigella, polio, hepatitis, giar- bottom line of social, economic,
dia, and cryptosporidium. and environmental outcomes. The
It is not only areas of poor imperative for managing water has
sanitation that are at risk from been captured by Thomas
poor water quality. Waterways Odhiambo, past president of the
downstream from urban sew- African Academy of Sciences, who
age treatment plants can be said: “The art and practice of equi-
affected by the various solutes table distribution of and access to
that are excreted by humans: fresh water for all people in the
endocrine disruptors from plastics, twenty-first century, as a fundamen-
the contraceptive pill, and steroids; tal human right and international
pharmaceuticals such as beta-blockers, obligation, is the mother of all ethical
antiepileptic, antidepressant, and antihyper- questions of all transboundary natural
tensive medications; and salts and heavy metals. resources of a finite nature.”
Humans are at the top of the food chain, and so the inges- Guaranteeing water access globally requires efforts to
tion of complex compounds and bioaccumulation can have conserve water through improved efficiencies. These effi-
environmental consequences downstream from our own ciencies may take the form of water restrictions in urban
discharge points. Furthermore, increasing urban popula- settings, improvements in irrigation technology, sustain-
tions generate waste from manufacturing, industry, and able caps on surface and groundwater use through alloca-
domestic sources, while in rural areas there is broad use of tion processes, priority allocation of water for high value
herbicides, pesticides, and fertilizers. All of these sub- crops with low water use, and the development of crop
stances, particularly those that dissolve or are adsorbed to species with low water requirements. In addition, equity
sediments, can pollute surface and ground waters at the of water access and availability needs to be supported
source and far down catchment. Indeed, the adequacy of through governance and institutional arrangements.

The science of hydrology underpins all these efforts Gardens; Viewshed Protection; Waste Management;
to manage the Earth’s water resources for future gen- Water Resource Management, Integrated (IWRM)
erations. Key hydrological knowledge includes the
properties of water; its availability as freshwater; the
stocks and flows of water that occur at a range of scales FURTHER READING
across time and space; the connectivity between a Bates, B. C.; Kundzewicz, Z. W.; Wu, S.; & Palutikof, J. P. (Eds.).
stream at its source and its mouth at the bottom of a (2008). Climate change and water: Technical paper of the Intergovernmental
catchment and between surface and ground waters; the Panel on Climate Change. Geneva: IPCC Secretariat.
processes which degrade water quality; and the implica- Foster, I. D. L., & Charlesworth, S. M. (1996). Heavy metals in the
hydrological cycle: Trends and explanation. Hydrological Processes,
tions of anthropogenic activities on both water quantity 10, 227–261.
and quality. Gleick, P. (2008). The world’s water 2008–2009. The biennial report on
freshwater resources. Washington, DC: Island Press.
Sara Gabrielle BEAVIS Jie Liu, et al. (2011). Water ethics and water resources management .
The Australian National University Ethics and Climate Change in Asia and the Pacific (ECCAP)
Project, Working Group 14 Report. Bangkok, Thailand:
See also Catchment Management; Community Ecology; UNESCO.
Dam Removal; Groundwater Management; Human Wagener, T., et al. (2010). The future of hydrology: An evolving sci-
ence for a changing world. Water Resource Research, 46, W05301.
Ecology; Irrigation; Large Marine Ecosystem (LME)
World Health Organisation (WHO). (2009). World health statistics.
Management and Assessment; Marine Protected Areas Retrieved June 1, 2011, from http://www.who.int/whosis/whostat/
(MPAs); Ocean Acidification—Management; Rain 2009/en/index.html

Indicator Species
The effects of the numerous threats to the sustainability aquatic organisms, such as midge larvae and tubifex
of our ecosystems are often hard to detect, sometimes worms, to measure the impact of sewage and other
manifesting themselves when it is too late to take reme- wastes, which at the time were freely allowed to enter
dial action. Monitoring using species, or groups of spe- our rivers. Since then, rigorous attempts have been
cies, selected from certain taxa can provide an early made to fi nd ideal bioindicators, with books, countless
warning of changes in ecosystems and can also be used journal articles, and even journals dedicated to the
to measure the degree of success with attempts to subject (e.g., Ecological Indicators, Environmental
restore such areas. Bioindicators, and Journal of Environmental Indicators).
The following table lists a few of the types of organ-
isms that have been used as bioindicators, along with
E cosystems around the world face a number of threats,

ranging from the local scale, as with pollution or
introduced species, through to habitat fragmentation
examples of their application.
across entire landscapes, and ending in climate change,

potentially affecting the whole world. These threats Table 1. Bioindicators and Their Applications
must be monitored so that an understanding can be
Indicator Taxon Examples of Use
derived about the impact they are having on the biota
and the ecosystem functions and processes that they are Diatoms River health; water quality in wetlands
associated with. Although direct observation has its
Lichens Air pollution around industrial areas
value here, such as inspecting photographs taken over
several years of a heavily used park, or interviewing Fungi Air or water pollution; potential
locals who have long-term memories of a particular indicator of climate change
area, changes are often too subtle to detect by such Higher plants Conservation value of land; presence
means. It is here that the use of indicator species can of metals in soil
provide a sensitive metric for detecting change; but Spiders Progress with mine-site rehabilitation
which species?
The use of indicator species, generally referred to as Insects Mine-site rehabilitation; impact of
bioindicators, is nothing new. (See sidebar on page 201 (e.g., beetles, ants) fire; environmental quality
for more on this subject.) In times of antiquity, villag- Fish River health; impact of invasive fish;
ers used their observations of plants and animals to pollution monitoring
understand the seasons and the state of soils or water- Terrestrial Conservation value of land
ways. It was only during the early part of the last cen- vertebrates
tury, however, that botanists formally adopted species
of plants to indicate various soil types or the existence Source: Author (2011).
of various plant communities. Also around that time, Examples of indicator taxa that have been used for assessing vari-
European scientists developed a system for using ous types of environmental modification.
200

INDICATOR SPECIES • 201
USING BIOINDICATORS AS ENVIRONMENTAL MONITORS

There is a centuries-long history of using bioindica- instead of spending time searching for an organ-
tors to monitor conditions in the environment; a ism that responds to a stimulus in a desired area,
classic example is that of miners taking canaries local plants can more readily be selected and genet-
down into the mines to monitor the quality of the ically engineered to respond to the desired envi-
air. If the canary died, it was an indication that dan- ronmental factor. In some cases, plants may replace
gerous amounts of methane or carbon dioxide were animals as bioindicators. Today, using the “canary
present. In recent history scientists have begun in the coal mine” is considered too cruel a practice
genetically engineering bioindicators for specific to be allowed. Plants provide “an ethically accept-
purposes. For example, in 1998, the plant Arabi- able alternative to animal systems” (Kovalchuk
dopsis was engineered to react to nuclear pollution et al. 1998).
left by the Chernobyl meltdown (Patent Lens 2011): There is, however, always controversy around
the radiation breaks DNA bonds, causing muta- the idea of modifying any organism genetically.
tions to grow. If radiation levels of a particular area Whether modified plants are being used to detect
are high, patches of mutated plants provide a visible radiation or yield larger crops, there are concerns
indicator (Kovalchuk et al. 1998). that altering a plant’s genes can cause unexpected
Another example of using plants to measure side effects in the ecosystem.
harmful substances in soil involves a weed. Scientists
The Editors
have found one specimen to be particularly helpful in
locating land mines. The company Aresa, based in Sources:
Copenhagen, genetically engineered a species of weed Kovalchuk, I.; Kovalchuk, O.; Arkhipov A.; & Hohn, B. (1998,
November 16). Transgenic plants are sensitive bioindicators
to react to traces of TNT in the soil. When the weed’s
of nuclear pollution caused by the Chernobyl accident. Nature
leaves turn reddish-purple, it is a visible indication of
Biotechnology, 11, 1054–1059.
a land mine’s location (Patent Lens 2011). Patent Lens. (2011). Examples of bioindicators. Retrieved
There are many advantages to genetically engi- October 18, 2011, from http://www.patentlens.net/daisy/
neering plants as bioindicators. For example, Bioindicators/g1/2223.html
disturbance, such as mining, while the latter tends to

Characteristics of an Indicator relate to conservation of more natural ecosystems, such
Species as looking at the impact of global warming on native for-
est ecosystems. In addition, certain groups may be used
An indicator species is an organism whose presence, as surrogates for the diversity or assemblage composition
absence, abundance, or condition portrays some signifi- of other taxa; these are referred to as biodiversity indica-
cant feature about the environment in which it occurs. tors. They are particularly useful in diverse ecosystems
Some species continue to exist across a wide range of where it is impossible to sample all of the species that
environmental conditions and therefore may not be good exist there.
candidates; others may be extremely sensitive to chang- Indicator species have applicability for biomonitoring
ing environmental conditions, which enhances their at various levels. Some can be used at the individual
potential for bioindication. organism level, as is the case with fish used to monitor
The South African scientist Melodie McGeoch (1998) the effects of various concentrations of pollutants in
has pointed out that there are various categories of bio- water. Individual fish may be placed in aquariums con-
indicators. In cases where they are used to measure the taining progressively increasing pollutant levels, and
health, state, or condition of the environment, they are their response observed, or the occurrence of biochemical
termed environmental or ecological indicators. The former abnormalities can be measured, as reviewed by the US
is usually reserved for cases involving direct human environmental toxicologist Michael H. Fulton and

US fisheries researcher Peter B. Key (2001) in the context It should also be added that the target organism(s)
of the exposure of fish and invertebrates to organophos- preferably should not be subject to great seasonal
phorus pesticides such as malathion or chlorpyrifos. This variation, as this could present logistic difficulties for
is of crucial importance as organophosphates interfere monitoring. Th is explains why macrofungi are not
with nerve synapse transmission in these organisms, as commonly used; their fruiting stage tends to be res-
well as in humans. When biochemical changes are inves- tricted to short time periods, which are not necessarily
tigated, this is referred to as the study of biomarkers as predictable.
opposed to bioindicators. Secondly, an entire species in a
selected habitat can be used to indicate its condition or
state. For instance, attempts have been made to identify Taxa Used as Bioindicators
European plant species that are confi ned to ancient
woodlands and which therefore might have value in iden- The choice of organisms as bioindicators in freshwater
tifying areas of high conservation importance or of track- systems is well established and includes freshwater
ing progress with woodland restoration. Th is work has worms; mollusks; various crustaceans such as shrimps
been extensively reviewed by Martin Hermy and col- and crayfish; and insect larvae including caddis fl ies,
leagues (1999). Th irdly, an entire assemblage of organ- stone fl ies, dragonfl ies, mayfl ies, and midges, among
isms may be used to indicate something about the others. Until recently, when considering terrestrial eco-
condition or state of the environment. A stress on the systems, biologists generally used plants as the primary
environment often results in a range of changes, such as source of bioindication; if they did consider animals, they
drying of the leaf litter layer, thinning of the canopy, or tended to focus on the charismatic megafauna, birds,
loss of plant species when a forest is subjected to drought mammals, reptiles, and amphibians. The use of inverte-
or trampling. Here, a suite of species may be measured, brates has escalated more recently, with examples being
leading to a complex data set that provides a range of found in most regions of the world. Today, we see spiders,
information about the environment when analyzed. A mites, collembolans (springtails), hemipterans (true
good example of this is the GLOBE-net program, which bugs), beetles, ants, and many other groups all being
has been proposed by Finnish scientist Jari Niemelä advanced as excellent indicators of environmental fea-
(2000) and others. Th is uses carabid ground beetle tures or of biodiversity. According to the Australian
assemblages to assess human-caused landscape changes scientists Alan Andersen and Jonathan Majer (2004),
and assists subsequent management practices. GLOBE- ants are by far the most commonly used group, and their
net incorporates a standardized sampling protocol at value as bioindicators has recently been reviewed by these
points selected to represent a gradient of decreasing dis- authors. Their value stems from the fact that they are
turbance from city centers through to the surrounding ubiquitous, highly abundant, diverse, of great functional
countryside. Carabids were selected as the indicator importance, sensitive to environmental change, and are
group because they are sufficiently varied, both taxonom- easily sampled.
ically and ecologically; they are abundant; and they are According to Alan Andersen (1999), the choice of
sensitive to changes in the environment. taxon used as a bioindicator has tended to be influenced
Although not a complete list, indicator species tend to by personal interest in particular groups, availability of
come from taxonomic groups that contain organisms taxonomists, or simply which group has been promoted
having the following characteristics: by practitioners most successfully for its potential as a
bioindicator. There is now interest in fi nding out which
• abundant organisms that are easy to find and gather taxa are the most effective, and which taxa are the most
data on practical and inexpensive to handle. Several studies
• organisms that are easily sampled rather than those that have endeavored to answer these questions by drawing
require extremely specialized skills and collecting up lists of criteria for an ideal bioindicator and then
procedures considering the attributes of various taxa against this
• taxa that are easy to identify or where local knowledge is list; examples of this approach include papers by the
available to name them British researchers Jeremy Holloway and Nigel Stork
• groups with high species richness, leading to samples with (1991) and their US counterparts Jodi Hilty and Adina
high information content Merenlender (2000). There have also been attempts to
• groups containing species with specialized habitats or compare the effectiveness of plants, vertebrates, and
feeding characteristics and hence responsive to changing selected invertebrates in terms of their effi cacy as
environmental conditions bioindicators.
• species that tend to bioaccumulate chemicals, which are Although most of these groups have their merits for
often representative of higher trophic levels bioindication, few provide information on all facets of

INDICATOR SPECIES • 203
the changes that an environment may be experiencing. FURTHER READING

For this reason, many people, including the British Andersen, Alan N. (1999). My bioindicator or yours? Making the
entomologist Peter Hammond (1992) believe that a selection. Journal of Insect Conservation, 3, 61–64.
“shopping basket” of taxa should be used, with the Andersen, Alan N., & Majer, Jonathan D. (2004). Ants show the way
selected taxa providing complementary information Down-Under: Invertebrates as bioindicators in land management.
Frontiers in Ecology and the Environment, 2, 291–298.
about the changes that are taking place. For instance, if Busch, David E., & Trexler, Joel C. (2003). Monitoring ecosystems:
monitoring progress with mine-site restoration, a sur- Interdiciplinary approaches for evaluating ecoregional initiatives.
vey might include springtails to provide information on Washington, DC: Island Press.
the process of decomposition, hemipteran sucking bugs Downes, Barbara, et al. (2002). Monitoring ecological impacts: Concepts and
practice in flowing water. Cambridge, UK: Cambridge University Press.
as indicators of understory diversity and health, fl ies Fulton, Michael H., & Key, Peter B. (2001). Acetylcholinesterase
and wasps as indicators of pollination, and so on. inhibition in estuarine fi sh and invertebrates as an indicator of
Inclusion of one or more focal vertebrate species could organophosporus insectide exposure and effects. Environmental
also provide information on the conservation value of Toxicology and Chemistry, 20, 37–45.
Gardner, Toby. (2010). Monitoring forest biodiversity: Improving conser-
the area under restoration. vation through ecologically responsible management. London: Earthscan.
As our world experiences increasing pressure as a Hammond, Peter M. (1992). Species inventory. In Brian Groombridge
result of rising human activity and population size, the (Ed.), Global biodiversity status of the Earth’s living resources
sustainability of our ecosystems—natural, forestry, and (pp. 17–39). London: Chapman & Hall.
Hawksworth, David L. (1995). Biodiversity: Measurement and estima-
agricultural—is under threat. If we are to understand tion. London: Chapman & Hall.
these threats and resulting changes, we need reliable, Hermy, Martin, et al. (1999). An ecological comparison between
inexpensive, and easily applied tools to monitor these ancient and other forest plant species in Europe, and implications
areas. Bioindicators provide such an opportunity and for forest management. Biological Conservation, 91, 9–22.
Hilty, Jodi, & Merenlender, Adina. (2000). Faunal indicator taxa selection
could regularly be applied by land managers and conser- for monitoring ecosystem health. Biological Conservation, 92, 185–197.
vation agencies in order to make assessments and take Holloway, Jeremy D. & Stork, Nigel E. (1991). The dimensions of
remedial action if necessary. biodiversity: The use of invertebrates as bioindicators of human
impact. In David L. Hawksworth (Ed.), The biodiversity of micro-
Jonathan David MAJER organisms and invertebrates: Its role in sustainable agriculture
Curtin University (pp. 37–61). London: CAB International.
Karr, James R., & Chu, Ellen W. (1999). Restoring life in running
See also Biodiversity; Biogeography; Boundary Ecotones; waters: Better biological monitoring. Washington, DC: Island Press.
McGeoch, Melodie A. (1998). The selection, testing and application
Charismatic Megafauna; Edge Effects; Habitat
of terrestrial invertebrates as bioindicators. Biological Reviews, 73,
Fragmentation; Invasive Species; Keystone Species; 181–201.
Outbreak Species; Plant-Animal Interactions; Refugia; Niemelä, Jari, et al. (2000). The search for common anthropogenic
Regime Shifts; Resilience impacts: A global network. Journal of Insect Conservation, 4, 3–9.

Indigenous Peoples and
Traditional Knowledge
Indigenous knowledge takes many forms, reflecting the in an effort with governments, businesses, nonprofit
culture and geographic location as well as historic organizations, and international organizations to explain,
influences introduced from outside forces. Indigenous define, and comment on indigenous knowledge and tra-
knowledge is increasingly understood to be founda- ditional knowledge.
tional to Western science though measured by different Social, economic, and political globalization beginning
standards. Indigenous peoples and Western scholars in the late 1960s thrust metropolitan and indigenous soci-
have begun to practice collaborative sharing and eties into closer proximity, resulting in greater demand for
knowledge negotiations, learning from each other and effective communication among them. As indigenous
sharing knowledge that can be applied to human sus- peoples actively engage in efforts to solve complex prob-
tainability challenges. lems created by human action or natural phenomena, aca-
demics, national decision makers, nonprofit organizations,
and business planners recognize the significance and rel-
I ndigenous and traditional knowledge systems are

important to all of humanity as the wellspring from
which all knowledge originates. The complexity of social,
evance of indigenous knowledge and traditional knowl-
edge to the development of new strategies for meeting
the challenges of the twenty-first century. Bridging the
economic, political, and environmental sustainability significant knowledge gap between metropolitan and
challenges has prompted scholars, political leaders, and indigenous societies became an acknowledged priority
theologians on every continent to search for sources of when the United Nations Commission on Human Rights
knowledge that will provide the best solutions to prob- appointed José Martínez Cobo as a special rapporteur in
lems that affect everyone and everything on the planet. 1973 to conduct a thirteen-year “Study of the Problem
Indigenous peoples themselves have joined the effort to of Discrimination Against Indigenous Populations”
address problems of sustainability by offering to share (UNCHR 1986) and especially after the UN General
their knowledge in exchange for protections. Assembly adopted the UN Declaration on the Rights of
Knowledge systems originate in human cultures as Indigenous Peoples (UNDRIP) in 2007. International
societies develop their relationships to other peoples, the organizations, nongovernmental organizations, govern-
Earth, and the cosmos. What defines the terms indige- ments, and indigenous peoples themselves now seek to
nous knowledge and traditional knowledge? How do they record and document indigenous knowledge systems to
differ, and how are they the same? Are some knowledge contribute to sustainability solutions.
systems more important or valuable than others? Is there
only one “science” or are there many sciences? Is indige-
nous knowledge or traditional knowledge applicable to Indigenous and Traditional
illuminating the pressing challenges threatening human- Knowledge
kind, such as poverty, food security, climate change, war
and peace, illness and disease? Indigenous peoples offer The knowledge and intellectual traditions of indigenous
their own perspectives on the content and form of knowl- peoples embody significant information on a diverse
edge, and the worldwide academic community has joined range of topics, including architecture, irrigation, health
204

INDIGENOUS PEOPLES AND TRADITIONAL KNOWLEDGE • 205
and nutrition, child rearing, botanical sciences, forest (circa 300 bce). Indigenous knowledge has informed
management, and astronomy. Interpreting and under- systematically engineered aqueducts in the Tibetan
standing indigenous knowledge systems has become a Kingdom (c. 100 bce) and in modern Sri Lanka.
top priority in the search for answers to the human Th roughout the world indigenous peoples not only
survival questions of sustainability and the effective engage in engineering that produces vast transportation
responses to adverse affects of climate change. The effort systems on land and water (rivers, lakes, and oceans), but
to understand indigenous and traditional knowledge is on health and healing systems (such as ayurveda, 1500 bce)
complicated because such language is often veiled in and cosmologies and mathematical or numbering
ancient languages and cultural practices, because of the systems (Swaziland numbering c. 35,000 bce, Northern
complex diversity among indigenous peoples, and because Europe numbers c. 3000 bce, Egyptian mathematics
their indigenous societies are sometimes located in c. 2000–1800 bce, Mayan mathematics c. 2000 bce,
remote and inaccessible places. Chinese mathematics c. 300 bce, or Persian mathematics
Indigenous peoples exist on every continent except c. 700 ce). Calendrical systems, social organization, eco-
Antarctica. Researchers disagree on the number of indig- nomic systems, manufactured textiles, wood and stone
enous societies in the world, but most often the number construction, the smelting of metals for tools and orna-
has been placed between six thousand and seven thou- mentation, and organized systematic food and natural
sand different peoples. What qualities identify these resource management systems have all been developed by
peoples as different from one another may be language, indigenous knowledge. Some of this knowledge informs
history, territorial location and climatic environment, contemporary knowledge systems, while much remains
heritage, social, economic, and political practices, and to be reclaimed.
culture. A group’s degree of isolation from or interaction Traditional knowledge often refers to a more general-
with other groups influences whether knowledge systems ized expression of knowledge associating a people or peo-
are unique to a particular people or part of a broader ples with time-honored ideas and practices associated
collection of peoples. with an individual or family. Such knowledge may
The expression indigenous knowledge is often equated include spiritual incantations or healing practices; fish-
with the expression traditional knowledge, and indeed ing, hunting, and other food producing methods; styles
they are often used interchangeably. Word usage is and methods for manufacturing baskets or other contain-
important, since using indigenous knowledge (IK), ethno- ers; and art forms such as drawing, carving, singing,
ecology, local knowledge, indigenous technical knowledge playing a musical instrument, dancing, and sculpting.
(ITK), folk knowledge, traditional knowledge (TK), indig- While there are distinctions to be made between indig-
enous science, traditional environmental knowledge (TEK), enous and traditional knowledge, there is sufficient over-
or simply people’s science can signal how an individual or lap between the meanings of these and related terms to
group is approaching a topic or presenting underlying allow for their interchangeability.
assumptions (Ellen and Harris 1996). David Turnbull,
quoting from several researchers in his article “Working Defining Indigenous Knowledge
on Incommensurable Knowledge Traditions,” gives
specific meaning to local knowledge by suggesting that it Although scholars (both indigenous and nonindigenous),
results from observations of the “local environment or at organizational doctrines, and institutions contribute
a particular site and held by a specific group of people”; to a substantial body of literature that offers various defi-
he goes on to explain the view that traditional knowledge nitions of indigenous knowledge, no common understand-
is a “cumulative body of knowledge and beliefs, evolving ing or widely accepted defi nition has materialized.
by adaptive process and handed down through genera- Depending on the intended use for the definition
tions by cultural transmission” (Turnbull 2009, quoting (academic, political, policy oriented, or demographic),
Fikret Berkes and Carl Folke). Whichever form one authors have refrained from becoming too specific, mak-
chooses, indigenous knowledge identifies a specific body of ing an effort instead to embrace the many different
knowledge associated with a specific people and locality knowledge systems practiced by indigenous peoples.
involving an understanding or possession of information, Erica-Irene Daes, the chairwoman-rapporteur for most
facts, ideas, truths, or principles. Examples of indigenous of the existence of the United Nations Working Group
knowledge include architectural and building principles on Indigenous Populations (in effect from 1982 to 2006)
and ideas for constructing the Egyptian (c. 2500 bce), offered what is both a scholarly and working policy defi-
Mayan (c. 1000 bce), and Mississippian (c. 800 ce) pyra- nition of indigenous knowledge: “[the] heritage of an
mids; the ancient city of Anasazi (1200 bce); the city at indigenous people is not merely a collection of objects,
Machu Picchu (c. 1400 ce); and the mountaintop city of stories and ceremonies, but a complete knowledge system
Cusco (circa 1100 ce); or ancient castles such as Sigiriya with its own concepts of epistemology, philosophy, and

scientific and logical validity” (Daes 1994, para. 8). This topics. Louise Grenier, a Canadian researcher, defines
definition is intended to apply generally to all different indigenous knowledge as “the unique, traditional, local
indigenous knowledge systems and is therefore broadly knowledge existing within and developed around the
useful for policy, but it is of limited benefit when address- specific conditions of women and men Indigenous to a
ing a specific knowledge system of a specific indigenous particular geographic area” (Grenier 1998, 1).
people or peoples. One may begin to explore an indige- As a result of their work in Bolivia and Wales, the
nous knowledge system with this defi nition, but not sociologist Alberto Arce and researcher Eleanor Fisher
actually comprehend or understand the specific body of suggest that a “utilitarian representation of knowledge”
knowledge. by individuals observing indigenous knowledge is only a
The UN Environment Programme (UNEP) combines vague interpretation of the everyday application of
the broader approach to defining indigenous knowledge knowledge or “local knowledge,” and this approach
with recognition of the variety of knowledge systems that misses the political and social challenges of a people
exist in different indigenous communities. UNEP states (Arce and Fisher 2003, 80). By this view, using an obser-
its definition as follows: vational “lens” prevents a full understanding of the
knowledge placed within its social, economic, and politi-
Indigenous Knowledge (IK) can be broadly defined as
cal environment. How that knowledge is applied to the
the knowledge that an indigenous (local) community
actual struggles of a people is lost. To effectively achieve
accumulates over generations of living in a particular
the full application of indigenous knowledge it is essen-
environment. This definition encompasses all forms of
tial to recognize the social and political context and
knowledge—technologies, know-how skills, practices
bridge cultural boundaries. Arce and Fisher urge nego-
and beliefs—that enable the community to achieve sta-
tiated exchanges of knowledge and the application of
ble livelihoods in their environment. A number of terms
agreed knowledge.
are used interchangeably to refer to the concept of IK,
Scholars have taken on the task of defining indigenous
including Traditional Knowledge (TK), Indigenous
knowledge responding to the challenge of an Inter-
Technical Knowledge (ITK), Local Knowledge (LK)
national Council for Science (ICSU) working group
and Indigenous Knowledge System (IKS).
study, which takes the position that indigenous knowl-
IK is unique to every culture and society and it is
edge cannot be assembled. The ICSU asserts that such
embedded in community practices, institutions, rela-
knowledge “differs from scientific knowledge in that it is
tionships and rituals. IK is considered a part of the local
local, place based, diverse, and hence incommensurable
knowledge in the sense that it is rooted in a particular
and incapable of being validated by common standards,”
community and situated within broader cultural tradi-
but that it is a science that informs western science
tions. It is a set of experiences generated by people living
(Fenstad et al. 2002; Aikenhead and Ogawa 2007).
in those communities. (UNEP 2011)
Taking the idea that indigenous knowledge is diverse and
The International Bank for Reconstruction and turning that to a virtue, Turnbull cites the definition of
Development, more commonly known as the World George J. Sefa Dei, an Ontario-based scholar who has
Bank, notes the controversies surrounding diff erent done much research in Nigeria and Ghana:
defi nitions for indigenous knowledge, but it tends to
A body of knowledge associated with the long-term
favor this view:
occupancy of a certain place. This knowledge refers to
Indigenous knowledge is developed and adapted con- traditional norms and social values, as well as to mental
tinuously to gradually changing environments and [is] constructs that guide, organize and regulate the people’s
passed down from generation to generation and closely ways of living and making sense of their world. It is
interwoven with people’s cultural values. Indigenous the sum of experience and knowledge of a given social
knowledge is also the social capital of the poor, their group and forms the basis of decision making in the face
main asset to invest in the struggle for survival, to proof challenges both familiar and unfamiliar. (Dei, Hall,
duce food, to provide for shelter or to achieve control of and Rosenberg 2000)
their own lives. (World Bank n.d.)
The World Bank’s approach is functional and specifi- Clash of Cultures
cally directed at the application of indigenous knowledge
to problems and solutions for development. Diana Taylor, a scholar focused on performance art
These definitions attempt to give a broad interpreta- in the Americas (especially Latin America), contends
tion of indigenous knowledge as complete systems, whereas that culture has two parts. The fi rst of these she attri-
some scholars tend rather to narrow indigenous knowl- butes to the thinking of social scientists such as the
edge, confining its meaning to local and environmental nineteenth-century German sociologist Max Weber and

twentieth-century US anthropologist Clifford Geertz. In structures, and methods for acquiring knowledge differ,
this view, Taylor suggests, social scientists claim that cul- the themes of change and relationships occur
ture is resilient, persistent, and self-identifying. Taylor repeatedly.
quotes Geertz as writing that culture is “an historically Rudolph C. Ryser, a member of the Native American
transmitted pattern of meanings embodied in symbols, a Cowlitz tribe and founder of the Center for World
system of inherited conceptions expressed in symbolic Indigenous Studies (CWIS), notes that there are numer-
forms by means of which [people] communicate, perpet- ous ways of knowing that express the knowledge of dif-
uate and develop their knowledge about and attitudes ferent peoples. He writes that there are “five different,
towards life” (Taylor 1991, 91). This viewpoint, pervasive but related, modes of thought [that] have led to know-
among social scientists generally, gives emphasis to the ing, achieving the ultimate expression of consciousness:
difficulty of cross-cultural communications. Indigenous apprehending the living universe” (Ryser 1998, 19).
and traditional knowledge systems, this view would While there are clearly many culturally animated sys-
claim, can express meaning across cultural borders only tems of knowledge, Ryser credits the Greek, Chinese,
with great difficulty if at all. Romans, Nubians, Indo-Arians, and Mayans for devel-
“Separate and equal” versus “gradual fusion” represent oping civilization-wide bodies of knowledge. The Greek
the contrasting perspectives describing the “clash of system of thought-based knowledge developed through
cultures,” and by extension the contention between observation and cycles in which events repeated over
knowledge systems. time. The Chinese and Nubians contributed a system
based in fatalism, where knowledge is expressed in terms
of inevitability and certainty. The
Conveying Knowledge Roman system of thought was
amplif ied by the Roman
across Cultural Catholic Church through the
Boundaries ages in the form of providen-
tialism, where knowledge is
The knowledge systems of indig- based on the belief that God’s
enous societies have long been will is evident in all things
set aside as if they are separate and that the will of God
from what is commonly identified predetermines outcomes.
as Western knowledge. Closer Progressivism, a mode of
examination of indigenous knowl- thinking rooted in the ideas
edge by Western scholars and scien- of the seventeenth-century
tists is revealing the importance of French philosopher René
valuing diverse knowledge systems Descartes, bases knowledge
and thereby expanding the global on reason, empirical evidence,
knowledge base in order to meet and constant change. The view
the challenges of sustainability, developed from Descartes’s
climate change, food security, time posits that knowledge
health, climate refugees and advances toward the good
famine, and political stability. (progress) while inevitably rele-
Reaching across cultural boundar- gating what is considered back-
ies to share knowledge, insights, and ward or primitive to the dustbin of
solutions to a myriad of problems has history. Ryser offers a fi fth mode of
become more urgent as the trend of globalization thought that generates new knowledge as
accelerates human interaction. well—typical of knowledge systems in the Americas
before colonization. Likening the system to a spiral,
Diversity of Knowledge he contends that indigenous peoples responsible for
building pyramids, great cities, a mathematical system,
Indigenous peoples’ knowledge systems vary from local- calendars, agricultural systems, and social order in the
ity to locality and from region to region, reflecting the Americas rely on constantly changing conditions where
cultural distinctiveness for each people resulting from evidence of an event at one point may no longer serve as
their dynamic and evolving relationships with the land evidence in the future. These examples of knowledge
and the cosmos. There is not just one form of indigenous systems reflect the diversity of human experience over
knowledge; there are many. While the sources, time and at different locations in the world.

All of these knowledge systems contribute to “Western language in subsequent treaties and agreements. In par-
sciences” (or what Ryser calls progressivism) as defined by ticular, Article 8(j) of the CBD (2011) states:
the European seventeenth-century Age of Enlightenment,
Each contracting Party shall, as far as possible and as
in which “humanism produced a version of human nature
appropriate: Subject to national legislation, respect, pre-
by tethering to human-ness the requirement of rational-
serve and maintain knowledge, innovations and prac-
ity” (Watson and Huntington 2008, 258). Indigenous
tices of indigenous and local communities embodying
knowledge should be understood to be equal to Western
traditional lifestyles relevant for the conservation and
sciences, and the knowledge of indigenous peoples, such
sustainable use of biological diversity and promote their
as that having to do with hunting wildlife for food, for
wider application with the approval and involvement of
example, should be compared with the knowledge of
the holders of such knowledge, innovations and prac-
wildlife biologists and ecologists. Indigenous knowledge
tices and encourage the equitable sharing of the benefits
systems express concepts and ideas in virtually all domains
arising from the utilization of such knowledge innova-
of Western science and over time have directly and indi-
tions and practices.
rectly informed Western science as a whole.
In March 1994, UN member states approved the UN
Indigenous Knowledge and Framework Convention on Climate Change (UNFCCC),
establishing a major commitment to documenting,
Modern Challenges
understanding, and applying traditional knowledge to
Faced with significant changes in the environment reduce the adverse affects of climate change and develop
resulting from human activity and natural changes that adaptation strategies. In 1996, the UNFCCC began
were recognized beginning in the 1960s, economies negotiation of a new climate change treaty to replace the
around the world struggled with water shortages, desert- Kyoto Protocol that had been originally developed to
ification, soil erosion, forest degradation, social disloca- implement the 1994 convention.
tion, and water pollution. International Indigenous knowledge is an
bodies notably led by the UN increasingly important part of
Environment Programme (UNEP) the global debate over best
began searching for solutions. approaches to sustainability.
Indigenous peoples’ rights was Trad it iona l k nowledge
introduced into the UN global became the focus of another
agenda in the 1970s, and by international agreement, the
the 1980s the possibility that UN Convention to Combat
indigenous peoples’ knowledge Desertification (UNCCD) in
could benefit the world’s eco- 1996, focusing on countries that
nomies began to be considered face significant drought or deserti-
in new international treaties and fication. The central locations for
agreements—especially those drawing on indigenous knowledge in
dealing with the environment, this arena are Africa, the Middle East,
natural resources, and climate. and the Mediterranean. A very specific
Five years after the UN study conducted for the UNCCD
Environment Programme convened centering on traditional knowledge
the Ad Hoc Working Group of was completed in 1999. The objectives
Experts on Biological Diversity of this study included explaining the
(in November 1988), the main attributes of traditional knowl-
Convention on Biological edge, developing an inventory of tradi-
Diversity (CBD) became official tional knowledge in the Mediterranean
law in December 1993 with the and identifying successful approaches, and
support of 192 UN member states. assessing the uses of traditional techniques.
Th is agreement is particularly noteworthy due to the Th is agreement in its many forms is used to predict
inclusion of a specific article asserting that parties to the and aid in early escape from the consequences of tsuna-
agreement will respect, preserve, and maintain indige- mis, predict and cope with droughts, and traverse the
nous knowledge; the agreement emphasized sharing the open oceans between islands in the Pacific, the Caribbean
benefits of that knowledge as it applied to conservation Sea, the Atlantic Ocean, and the Indian Ocean.
and sustainability. The particular language used in this Samoan indigenous knowledge about the medicinal
convention set in motion efforts to include similar benefits of the bark of the mamala tree has been of great

interest to researchers at the University of California, and growing conditions in dryland areas is critical to the
Berkeley, who have eagerly sought access to the knowl- successful crop propagation (UNESCO 1994–2003).
edge and to the trees for the purpose of extracting pros- Indigenous knowledge contributes to the reformation
tratin, a drug thought to be beneficial for treating the of institutions in India’s Ajmer District, Rajasthan, in the
disease HIV (Shetty 2004). more than one hundred villages of Silora Block, through
Indigenous knowledge about the “sweet plant” cul- the Barefoot College. Th is organization was founded in
tivated and used for centuries by the Guarani people of 1972 to apply indigenous knowledge and skills to solve
Paraguay demonstrated the beneficial uses of Stevia problems in the villages and the region in a manner dif-
rebaudiana Bertoni (commonly known as stevia), as a ferent from the educational system introduced by the
sweetener for bitter teas. The plant’s natural sweetness British. The result is that the community develops its
is considered useful for sweetening beverages and own expertise, reducing the people’s dependency on out-
baked foods while not promoting tooth decay, hyper- side help, which is often seen as useless by villagers.
tension, and unbalanced flora in the intestines, as com- Examples of applied indigenous knowledge in connec-
mon sugar does. tion with human sustainability across the full spectrum
Richard “Umeek” Atleo, hereditary chief of the Nuu- of human endeavors may be found in indigenous com-
chah-nulth people located on Canada’s Vancouver Island, munities, villages, towns, and cities throughout the
presents their perspective on indigenous knowledge as world. When collaboratively negotiated, indigenous
“an integrated and orderly whole, [which] thereby recog- knowledge systems become effective contributors to the
nizes the intrinsic relationship between the physical and global knowledge base for meeting the challenges faced
spiritual realms” (Atleo 2004). Atleo based this explana- by humankind.
tion on listening to, remembering, and interpreting ori-
gin stories. He regards the Nuu-chah-nulth knowledge
system as conceived through the method of oosumich,
A Twenty-First Century Shift
which joins the physical and the spiritual realms to
Indigenous knowledge, traditional knowledge, and local
explain phenomena in life, as being similar to the vision
knowledge are varied ways of labeling the knowledge
quest undertaken as a rite of passage in many Native
systems developed and used by more than six thousand
American groups. Since oosumich is both a personal and
different groups of indigenous peoples throughout the
secret method, the possibility of joining it with the
world. These systems of knowledge are part of the global
Western scientific method is problematic. Atleo believes,
body of knowledge, but with the expansion of European,
however, that the Nuu-chah-nulth method of knowledge
Asian, and African peoples throughout the world in the
creation is not inconsistent with the empirical method
sixteenth through the twentieth century, the knowledge
and that the two methods applied together can bridge the
systems of indigenous peoples was subordinated to colo-
cultural gap and permit the expansion of human knowl-
nizing powers. The challenges of sustainability in the
edge for meeting human challenges.
twenty-fi rst century created a shift in attitude toward
Placing the Nuu-chah-nulth body of knowledge
recognizing indigenous knowledge as not only equal
alongside the knowledge of other peoples to produce
to other forms of knowledge, but also essential to be
a synthesis that is beneficial to both exemplifies the
understood and incorporated into the global body of
expected outcome offered by those seeking to support
knowledge for the benefit of all humankind.
indigenous peoples. The conventional approach of trans-
ferring knowledge used by development agencies such as Rudolph C. RYSER
the UN Development Programme (UNDP) presumes Center for World Indigenous Studies
that one body of knowledge offers a superior solution to
problems and challenges faced by “less developed peo- See also Biogeography; Comanagement; Human Ecology;
ples.” Th is approach has rapidly fallen out of fashion Hunting; Permaculture
owing to increasing levels of resistance waged by peoples
on whom “development” is promoted. A more productive
approach in relations between development-oriented FURTHER READING
agencies is one of collaboration and negotiation where all
Aikenhead, Glen S., & Ogawa, Masakata. (2007). Indigenous knowl-
parties presume a position of equality and sharing. edge and science revisited . Cultural Studies of Science Education ,
In the Ovamboland and Kavango region of Botswana 2, 539–620.
and Namibia, the collaborative approach is being Arce, Alberto, & Fisher, Eleanor. (2003). Knowledge interfaces and
practices of negotiation: Cases from a women’s group in Bolivia
employed to promote economic and environmental sus-
and an oil refi nery in Wales. In Johan Pottier, Alan Bicker & Paul
tainability through the domestication of local fruit trees. Sillitoe (Eds.), Negotiating local knowledge: Power and identity in
Indigenous knowledge about the best selection of trees development (pp. 74–97). Sterling, VA: Pluto Press.

Atleo, E. Richard. (2004). Tsawalk : A Nuu-chah-nulth worldview. Laureano, Pietro. (1999). Th e system of traditional knowledge in the
Vancouver, Canada: University of British Columbia Press. Mediterranean area and its classifi cation with reference to different
Awatere, Shaun. (2011). Can non-market valuation measure indige- social groupings. Matera, Italy: United Nations Convention to
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(Eds.). (2000). Indigenous knowledges in global contexts: Multiple (Eds.), Unforseeable Americas: Questioning cultural hybridity in the
readings of our world. Toronto: University of Toronto Press. Americas (pp. 85–111). Atlanta, GA: Rodopi.
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Invasive Species
Long-distance movement of organisms to areas far Concerns about Non-native Species

from their native range by humans has produced the
phenomenon of biological invasions that affects almost Some researchers advocate that the concept of biological
every ecosystem on Earth, homogenizing biotas and invasions should more broadly embrace native species’
often disrupting ecosystem structure and functioning. range expansions, since the fundamental processes are
The management of invasive species—biosecurity— the same, and since both involve the movement of indi-
requires multiple interventions; preventing the intro- viduals from a donor community into a recipient com-
duction of potentially invasive species is often the most munity (Davis 2009). Indeed, native species may undergo
cost-effective method. marked range changes in response to human actions,
sometimes resulting in substantially increased abundance
and geographical ranges. Such range changes share some
B iological invasion is a phenomenon precipitated by

the introduction of species by humans (intentionally
or accidentally) to regions where they have never
important features with invasive alien species, and some
are considered undesirable and require management
intervention. Some native species can become weedy;
occurred before and which they would not have reached examples include the native grass Elymus athericus, which
without human assistance. Whether the species are has recently spread in salt marshes throughout Europe,
successful in the new region depends on their ability to and many conifers that are weedy in their native ranges.
survive, establish, reproduce, disperse, spread, and Dynamics such as these, however, can almost always be
interact with resident species in recipient communities. traced to human-mediated changes to environmental
Invasion ecology is the study of all aspects of the human- conditions; in the examples above, this includes increased
mediated introductions of organisms, and explores their atmospheric nitrogen deposition for Elymus, and fire sup-
capacity to survive, naturalize, and invade in the target pression or altered grazing pressure for conifers. In this
region; it also considers the costs and benefits of their article we deal only with biogeographical invasions of
presence and abundance, with reference to human value species that are non-native to regions because (1) there
systems. are often marked differences between alien and native
Conceptual advances in the field have been hampered species in behavior, traits, and impacts, and (2) on a
by the uncritical use of terms and concepts, which has global scale, problems caused by expanding native species
complicated communication between researchers them- are trivial compared to those caused by alien species.
selves, and between researchers, the public, and policy
makers. In recent years, however, reasonable agreement
has been achieved regarding a lexicon based on the The Introduction-Naturalization-
stages through which a species passes during the Invasion Continuum
introduction-naturalization-invasion continuum, and
the barriers it must negotiate (Richardson et al. 2000; Although biological invasions were noted by Charles
Richardson 2011; Blackburn, Lockwood, and Cassey Darwin and other naturalists of his era, the foundation
2009); see table 1 on page 212. of invasion ecology as a distinct subdiscipline of ecology
211

is attributed to Charles Elton, who published his mile- This conceptualization allows for the categorization of
stone book Ecology of Invasions by Animals and Plants in the status of alien species using objective biogeographical
1958 (Richardson 2011). An international program and ecological criteria (Richardson et al. 2000; Richardson
under the auspices of the Special Committee on 2011; table 1). In reality, only a small proportion of species
Problems with the Environment (SCOPE) in the 1980s pass from one stage to the next. This is summarized in the
stimulated intensive research and defi ned three basic so-called tens rule, which posits that only about 10 per-
issues that still underpin most work in invasion ecology: cent of species brought in for cultivation or released from
(1) which species invade, (2) which habitats are invaded, captivity become casual, 10 percent of these casuals
and (3) what is the impact of invasive species and how become naturalized, and 10 percent of naturalized species
can we manage invasions? become pests.
The concept of an introduction-naturalization-
invasion continuum was suggested to describe the status Introduction Pathways
of alien species in a given region. It invokes a series of
environmental and biotic barriers that a given species Every invasion starts with a species being introduced
needs to negotiate in order to become “alien,” “casual,” from its native geographical location to another region.
“naturalized,” or “invasive” (See table 1). To become alien it must overcome a geographical barrier;
Table 1. Overview of Terminology Used in Biological Invasions
Alien Species Those whose presence in a region is attributable to human actions that enabled them to
(exotic, introduced, overcome fundamental biogeographical barriers. Some alien species (a small proportion)
nonindigenous) form self-replacing populations in the new region, and a subset of these has the capacity to
spread over substantial distances from introduction sites. Depending on their status within
the naturalization-invasion continuum, alien species may be objectively classified as casual,
naturalized, or invasive.
Casual Species Those alien species that do not form self-replacing populations in the invaded region and
whose persistence depends on repeated introductions of propagules.
Introduction Movement of a species due to intentional or accidental human activity from an area where
it is native to a region outside that range.
Invasive Species Alien species that sustain self-replacing populations over several life cycles; produce
reproductive offspring, often in very large numbers at considerable distances from the
parent and/or site of introduction; and have the potential to spread over long distances
(Richardson et al. 2000; Occhipinti-Ambrogi and Galil 2004; Pyšek et al. 2004). Invasive
species are a subset of naturalized species; not all naturalized species become invasive. This
definition explicitly excludes any connotation of impact, and is based exclusively on
ecological and biogeographical criteria.
Native Species Those that have evolved in a given area or that arrived there by natural means (via range
(indigenous species) expansion), without the intentional or accidental intervention of humans from an area
where they are native.
Naturalized/ Those alien species that sustain self-replacing populations for several life cycles or a given
Established Species period of time (ten years is advocated for plants) without direct intervention by people,
or despite human intervention (Richardson et al. 2000; Pyšek et al. 2004). The former
term is mostly used with reference to terrestrial plants invasions, the latter with that to
animal invasions.
Weeds/Pests Cultural terms often applied to plants/animals (not necessarily alien) that live in places where
they are not wanted and that have detectable economic or environmental impact, or both.
Transformers Invasive species that change the character, condition, form, or nature of ecosystems
(Richardson et al. 2000).
Source: Adapted from Richardson (2011).

INVASIVE SPECIES • 213
this happens by means of human-mediated introduction and South America have been transformed to pastures
pathways. A universal framework applicable to a wide and invaded by African grasses. South African fynbos,
range of taxonomic groups in terrestrial and aquatic eco- tropical wetlands, and aquatic systems are examples of
systems recognizes six principal pathway classes (Hulme other severely invaded ecosystems. The Mediterranean
et al. 2008): Sea, the Ponto-Caspian Sea, and the Great Lakes are
examples of regions with devastating aquatic invasions.
1. Release: alien organisms introduced as a commodity
Many hypotheses have been proposed to explain why
and deliberately released (e.g., biocontrol agents, game
some species introduced to a new location invade and oth-
animals, plants for erosion control)
ers do not. Some of these concepts address invasiveness of
2. Escape: alien organisms introduced as a commodity but
species and their populations, while others focus on the
escaping unintentionally (e.g., feral crops and livestock,
capacity of recipient communities, habitats, ecosystems,
pets, garden plants, live baits)
or regions to accept new species (i.e., invasibility). But
3. Contaminant: unintentional introduction with a specific
species invasiveness and invasibility are two sides of the
commodity (e.g., parasites and pests of traded plants
same coin, and both need to be considered.
and animals)
4. Stowaway: unintentional introduction with transport
vector Concepts Relating to
5. Corridor: artificial corridors among marine basins
6. Unaided pathway: unintentional introduction through
Species Invasiveness
natural dispersal of aliens through political borders
The extent of the invasion of an alien species generally
increases with the time since its introduction to a region;
Invasion Hotspots this period is termed residence time. The earlier a species
was introduced, the more time it has had to fi ll its poten-
Nowadays species are being introduced to new regions tial range. Since alien floras and faunas include species
at accelerating rates; in Europe, for example, the rate with different residence times, models analyzing deter-
at which alien species from many taxonomic groups minants of invasion need to fi lter out the effect of resi-
have established on the continent has been consistently dence time to avoid biasing results in favor of species with
increasing, and the total number of alien plants, fungi, long residence times (Richardson and Pyšek 2006).
invertebrates, and vertebrates established in Europe has A lag phase is the time between when an alien species
reached at least eleven thousand (DAISIE 2009). Very arrives in a new area and the onset of the phase of its
few regions and ecosystems remain untouched by inva- exponential increase. Among the reasons for this delay
sions. For several reasons, a few regions have become are the initial shortage of suitable (invasible) sites, the
invasion hotspots; these include Australia and New absence or shortage of essential
Zealand, western parts of North America, mutualists and/or mating part-
South Africa, and many oceanic islands. ners, and inadequate genetic
Some of these regions are also glob- diversity that hampers invasion
ally important hotspots of native processes. Lag times can last for
species biodiversity. For example, decades or centuries, but some
in the Hawaiian Islands, the species spread immediately after
number of naturalized plant introduction without any obvi-
species (roughly eight to nine ous lag time. Associated with
hundred) equals that of native, lag times is the concept of inva-
mostly endemic species. Among sion debt. This concept posits that
the most seriously affected even if introductions cease and/or
ecosystems are temperate other drivers of invasion are
grasslands, especially in North relaxed (e.g., propagule pressure
America where large areas of is reduced), new invasions will
prairies in the Intermountain continue to emerge, and already-
West and California have been invasive species will continue to
transformed to annual grass- spread and cause potentially greater
lands. Also, it is estimated that impacts because large numbers of alien
about 1 million square kilometers species are already present, many of
of humid and dry tropical and sub- them in a lag phase. Support for this con-
tropical forests in North, Central, cept is provided by the fact that the number of

alien species recorded in European countries at present is invaders are recently formed allopolyploid hybrids. Some
better explained by how powerful their economies were hybrid plant taxa or genotypes show increased invasive-
about a century ago than by more recent economic indi- ness and vigor (e.g., taxa of Carpobrotus in California, or
cators (Essl et al. 2011). Fallopia in central Europe). Available evidence suggests
Invasive species rarely move across the landscape as a that some invaders are “born” (released from fitness con-
continuous front; rather spatial patterns are determined straints), while some are “made” (they evolve invasiveness
by long-distance dispersal events that are infrequent, after introduction), and that the relative importance of
often via nonstandard means, but which are of overriding ecological and evolutionary forces is unique to each plant
importance. Consequently, invasive populations typically invasion event (Ellstrand and Schierenbeck 2000).
spread via satellite populations that later coalesce. For The enemy release hypothesis proposes that alien species
plants, average rates of long-distance disper- have a better chance of establishing and becoming domi-
sal are at least two orders of magnitude nant when released from the negative effects
greater than estimates of local dis- of natural enemies that,
persal. A daisy, Wedelia trilobata, in their native range,
spread from a single focal area lead to high mortality
to cover 2,500 kilometers of the rates and reduced pro-
Queensland coastline in fifteen ductivity (Keane and
years, averaging some 167 kilo- Crawley 2002). Based on
meters of spread per year (Pyšek the same principle is the
and Hulme 2005). Eurasian evolution of increased competi-
cheatgrass, Bromus tectorum , tive ability (EICA) hypothesis,
one of the major transformers which predicts that plants
of North American prairies into introduced into an environ-
annual grasslands, spread over ment that lacks their usual
more than 200,000 square kilome- herbivores will experience
ters between 1890 and 1930, sup- selection favoring individu-
ported by railway construction. Such als that allocate less energy
rates of spread cannot be explained to defense and more to
without invoking long-distance growth and reproduction.
dispersal. The resource-enemy release
Several hypotheses address the hypothesis suggests that fast-
effect of genetic factors in mediat- growing plant species
ing invasions. To invade a adapted to high resource
new region, an intro- availability have less constitu-
duced plant species tive defenses against enemies
must possess either and therefore benefit from
sufficiently high levels enemy release more than
of physiological toler- species from resource-poor
ance and plasticity or environments; the two mech-
undergo genetic differ- anisms can act in concert to
entiation, or both, to favor invasion (Blumenthal
achieve required levels of fit- et al. 2009).
ness. Many invasive species have Some biological traits
greater phenotypic plasticity than co-occurring native known to be associated with
species. Post-introduction evolution can, however, be rapid invasiveness in plants are those
enough to be relevant over the time scales at which inva- related to size, vigorous spatial growth, high
sions occur. Invasive species may evolve by genetic drift fecundity, efficient dispersal, small genome size, and
and inbreeding in founder populations, by intra- and some physiological features such as high relative growth
interspecific hybridization in the introduced range to cre- rate or high specific leaf area. For example, differences in
ate novel genotypes, and by drastic changes in selection invasiveness among pine species (Pinus) can be explained
regimes imposed by novel environments that may cause using only three traits that together form a syndrome that
adaptive evolutionary change. Hybridization has been favors invasiveness (i.e., seed mass, length of juvenile
shown to be an important mechanism of evolution of period, and the interval between years of above-average
invasive species, and many widespread and successful seed production). If dispersal by vertebrates and

characteristics of fruits are included, invasions of woody communities will experience low-level invasions if propa-
species can be reasonably predicted by using this simple gule pressure is low (Chytrý et al. 2008).
suite of traits (Rejmánek and Richardson 1996). Global-scale studies have revealed robust geographical
The theory of seed plant invasiveness highlights a low patterns, showing for example that islands are more inva-
nuclear amount of DNA as a result of selection for the sible than mainlands, temperate agricultural or urban
short generation time, membership of alien genera, and sites are among the most invasible biomes, the New
large geographic range as factors contributing to the World is more invasible than the Old World, and that
invasiveness of seed plants. Large geographical range is a tropical areas are generally less invaded than extratropi-
good predictor of invasion success, probably partly cal regions (Richardson and Pyšek 2006).
because widespread species are more likely to be known, Among the concepts put forward to explain invasibil-
appreciated, collected, and dispersed by humans, but also ity is the diversity-invasibility hypothesis, which holds that
because they are more likely to be adapted to a wider more biologically diverse communities are less suscepti-
range of conditions (Rejmánek 1996). Furthermore, ble to invasion than species-poor communities. Empirical
recent studies have shown that the role of species’ bio- tests of the effects of species richness on invasibility have
logical traits is context dependent, interacting with fac- produced ambiguous results. The hypothesis is usually
tors like features of the receiving environment, propagule tested by exploring the relationship between the numbers
pressure, residence time, and climate, and that the of native and alien species, which appears negative at very
importance of these traits increases at more advanced small spatial scales (reflecting competition among spe-
stages of the invasion process. cies, thus supporting biotic resistance) but positive at
larger scales (as more alien species tend to occur in areas
with high richness of native species).
Concepts Relating to Invasional meltdown refers to a phenomenon whereby
Community Invasibility alien species facilitate one another’s establishment,
spread, and impacts (Simberloff and Von Holle 1999).
Associated with both species invasiveness and commu- Potentially facilitative effects include positive interac-
nity invasibility is the concept of propagule pressure that tions of invading plants with soil biota, with documented
encompasses variation in the quantity, quality, composi- switches from negative plant-soil community feedback in
tion, and rate of supply of alien organisms to recipient native ranges to positive plant-soil community feedback
communities or regions (Simberloff 2009). Propagule in the invaded ranges (Callaway et al. 2004). Similarly,
pressure fundamentally influences the probability of the “grass-fi re cycle,” in which invasive alien grasses
invasions both in space (by widespread release or abun- change the distribution and abundance of fi ne fuels,
dant plantings) and/or time (by long history of cultiva- results in more frequent fires, or even in introducing reg-
tion or capture); the more propagules are introduced, the ular fi res to non-fi re-prone ecosystems. Th is profound
more likely it is that species will proceed along the intro- alteration of ecosystem functioning favors further inva-
duction-naturalization-invasion continuum. sion of fi re-tolerant alien species and has had radical
Variation in the extent to which a community, ecosys- effects on biodiversity in many semiarid systems. An
tem, or region is invaded could be simply due to differ- example of direct facilitation is alien frugivorous birds in
ences in the number of aliens that have arrived in the the Hawaiian Islands that promote the spread of the
community. Consequently, it is imperative to ask not only alien tree Morella faya by eating its fruits and dispersing
whether a community has more alien species than its seeds; the tree itself is a nitrogen-fi xer that invades
another, but whether it is intrinsically more susceptible to nutrient-poor lava flows, making them more suitable for
invasions. We must distinguish between two measures. invasion by other plants. The latter interaction is an
First, invasibility is the inherent vulnerability of a com- example of indirect facilitation when an alien species
munity to invasion and is ideally measured as the survival modifies environmental conditions or disturbance
rate of alien species introduced to the system, thus regimes in a manner that promotes the establishment of
accounting for losses due to competition with resident subsequent invaders.
biota, effects of enemies, chance events, and other factors The fluctuating resources theory of invasibility predicts
(Lonsdale 1999). Second, invasibility differs from the that pronounced fluctuations in resource availability
level of invasion, which integrates the effects of invasibil- enhance invasibility of a community if they coincide with
ity, propagule pressure, and climate, and is defined as the the availability of propagules required to initiate an inva-
actual number or proportion of alien species present in a sion (Davis, Grime, and Thompson 2000). This is because
community, habitat, or region. Therefore, relatively resis- invading species must have access to available resources
tant communities can be heavily invaded if exposed to (e.g., light, nutrients, water for plants, food, shelter,
high propagule pressure, and even relatively vulnerable space, mates for animals) and because a species will be

more successful in invading a community if it does not causes massive mortalities of a native crayfish species but
encounter intense competition for these resources from not of the alien crayfish.
resident species. An increase in resource availability can The impact of biological invasions on species rich-
happen if the rate at which resources are supplied from ness and diversity translates to biotic homogenization ,
external sources is faster than the rate at which the resi- a term used for reduced distinctiveness of biological
dent biota can use them, or if the resident biota’s use of communities. Over the past few centuries, globaliza-
resources declines. tion resulting from human activities has altered the
composition of regional biotas through two fundamen-
tal processes: extinctions of native and introductions of
Impacts on Biodiversity and alien plant species. In Europe for example, since inva-
Ecosystem Functioning sions exceeded extinctions, both processes acting in
concert have made European regional floras less unique
Adding a new species to an area often changes the struc- (Winter et al. 2009).
ture or functioning of the ecosystem. Such effects, gener- In many parts of the world, impacts have clear eco-
ally termed “impacts,” may manifest at the level of nomic implications for humans, for example as a result
populations, communities, or ecosystems. Impact is the of reduced stream fl ow from watersheds in South
description or quantification of how an alien species African fynbos following alien tree invasions; increased
affects the physical, chemical, and biological environ- drought and soil salinity following Tamarix species
ment. It may be conceptualized as the product of the invasions in the southwestern United States; or through
range size of the invader, its average abundance per unit disruption to fishing and navigation after the invasion
area across that range, and the effect per individual or of aquatic plants such as Eichhornia crassipes. Impacts of
per biomass unit of the invader (Parker et al. 1999). alien plants are assessed using biological, ecological,
Another approach, used by the Millennium Ecosystem and economic currencies. In South African fynbos, the
Assessment, considers impacts relative to specific types estimated cost of clearing alien plants from catchments,
of ecosystem services: supporting (i.e., major ecosystem although substantial, is very small—approximately
resources and energy cycles), provisioning (i.e., produc- 5 percent of the estimated loss in the value of services
tion of goods), regulating (i.e., maintenance of ecosystem provided by these ecosystems, water in particular. Cost-
processes), and cultural services (i.e., nonmaterial bene- benefit analysis of Tamarix invasions in riparian areas in
fits) (Vilà et al. 2010). Impacts of invasive species are the southwestern United States showed that, considered
sometimes rapid and dramatic, especially where they over fi fty-five years, eradication is economically justifi-
result in the transformation of ecosystems. Examples are able. Recent estimates of economic costs caused by bio-
invasive grasses radically changing fire regimes, or inva- logical invasions in Europe amounts to €12.7 billion
sive insects that transform ecosystem functioning by annually. In addition, many invasive species’ impacts
altering carbon, nutrient, and hydrologic cycles. Invasive invoke various dimensions of human value systems: they
plants are known to change vegetation structure at large cause or transmit human diseases or ailment, host para-
spatial scales, such as that of native rain forests over more sites of pets and livestock, cause injuries and allergies,
than 200,000 hectares of the Hawaiian Islands, as a accumulate toxins that are transferred to human food,
result of replacing native species at different canopy levels represent hazards to health by contamination of soil and
(Asner et al. 2008). water, impede recreational activities and tourism, exert
Other effects may be subtle, indirect, and slow, yet aesthetic impact, and deteriorate the quality of environ-
they may have radical consequences for ecosystem func- ment (Pyšek and Richardson 2010).
tioning over longer time scales. Invasive species, for
example, via the introduction of alien pollinators, seed
dispersers, herbivores, predators, or plants, may cause Management of Biological Invasions
profound disruptions to plant reproductive mutualisms,
and there is increasing evidence of severe impacts due to International, regional, and local strategies to manage
invasive species infi ltrating such networks. Himalayan invasions need to realize that most alien plant species
balsam (Impatiens glandulifera) reduces pollination and are innocuous and many are highly beneficial. Objective
reproductive success by co-opting pollinators from co- means must be devised for focusing limited resources on
flowering native plants. Another example of an invasive those species that are known to, or could, cause substantial
species indirectly reducing survival of a native species is problems. Key management options are prevention, early
the crayfish plague in central Europe, where the alien detection and eradication, containment, and various
American crayfish Orconectes limosus is a main vector of forms of mitigation. Mapping these onto the introduction-
the crayfish plague pathogen, Aphanomyces astaci, which naturalization-invasion continuum defines several broad

zones; these, and efforts toward preventing introductions importer; for a contaminant, with the exporter; for stow-
of potential invasive species, define the domain of biosecu- away, with the carrier; for dispersal corridors, with the
rity, that is, the management of risks posed by organisms developer; and in case of unaided pathways, the polluter-
to the economy, environment, and human health through pays principle should be applied (Hulme et al. 2008). The
the key management options. Finally, various forms of fi rst two pathways are subject to national regulations,
anthropogenic change, synergisms, and nonlinearities are whereas the others require international policies. This is
affecting invasions in complex ways. These factors, com- one area where effective management of biological inva-
bined with rapid changes associated with climate change, sions demands complex multisector and multinational
must be borne in mind when assessing management collaboration, and success in such ventures holds the key
options. In many parts of the world, the harmful effects of to reducing the influx of alien species.
invasive alien species are widely recognized, and multi- Since the multiple pathways of introduction and the
scale (local-regional-national-international) programs are huge volume of traded commodities make the interception
underway to reduce their current and potential future of all potentially invasive alien species unrealistic, early
impacts (Pyšek and Richardson 2010). detection / rapid response initiatives are
Risk assessment is the crucial first step in the another crucial part of integrated
risk-management process, related to preven- programs for dealing with inva-
tion; it is undertaken to evaluate the likeli- sive species. Many new high-
hood of the entry, establishment, and tech diagnostic tools have
spread of an alien species in a given been developed, including,
region, and the extent and severity for example, gene probes for
of ecological, social, and eco- plankton trawls, or DNA
nomic impacts. Preventing the barcoding and acoustic
introduction of species with a sensors to detect Asian
high risk of becoming invasive is long-horned beetles. But
the most cost-effective manage- the issue of early detection
ment strategy. Most attention has highlights the crucial role of
been focused on organism-based taxonomy in invasion biology.
protocols, and screening procedures In many regions, alien species
with good accuracy rates (greater come from all over the world;
than 80 percent in many cases) identifying these species is a
are now available for diverse major challenge, and mis-
regions and taxa (Pyšek and identification can have seri-
Richardson 2010). For example, ous consequences.
it has been shown in Australia Biological control has
that the use of a weed-risk assess- become the foundation of
ment scheme provides net eco- sustainable control efforts for
nomic benefits by allowing authorities many invasive species, espe-
to screen out costly invasive species. Even cially plants, in many regions,
after accounting for lost revenue from the small but there is renewed interest in erad-
percentage of valuable non-weeds that may be incor- ication (the extirpation of an entire pop-
rectly rejected, they showed that screening could save the ulation of an alien species within a designated management
country US$1.67 billion over fifty years (Keller, Lodge, unit). Mammals are relatively easy to eradicate, and many
and Finnoff 2007). successful eradications have been reported, mainly from
In many instances, the best way of reducing introduc- islands, for cats, foxes, goats, rats, and other mammal spe-
tions is through pathway management. For example trade cies. Among the most widely cited projects were those on
with ornamental plants and shipping are the primary the seaweed Caulerpa taxifolia, eradicated from a lagoon in
pathway for introductions of plants and aquatic organ- California in 2006, and the marine mussel Mytilopsis sallei,
isms, respectively, and elucidation of the vectors that are eradicated from a harbor in northern Australia. There are
implicated allows for specific management interventions also reports of successful eradications of invasive alien
(Pyšek and Richardson 2010). An important issue relates plants, such as Cenchrus echinatus, eradicated from a
to responsibilities for invasions resulting from particular Hawaiian island, and the herb Bassia scoparia from
pathways. Some suggest that for organisms introduced by Australia. Costs of eradication projects increase dramati-
the release (see above for definitions) pathway, responsi- cally as the size of the infestation increases, however, mak-
bility should be with the applicant; for escape, with the ing eradication of plant species occupying more than one

thousand hectares very unlikely, given the resources typi- Possibilities for managing some invaded systems most
cally committed to such operations. effectively as “novel ecosystems” need careful consider-
ation (Pyšek and Richardson 2010).
Changing Management Petr PYŠEK

Institute of Botany Průhonice, Czech Republic
Approaches
David M. RICHARDSON
Invasion ecology is rapidly becoming interlinked and Stellenbosch University, South Africa
interweaved with other disciplines such as conservation
biology, restoration ecology, global change biology, and See also Biodiversity; Biodiversity Hotspots; Biological
reintroduction ecology. Th is unification is only begin- Corridors; Community Ecology; Ecological Forecasting;
ning, and there are considerable challenges. New Food Webs; Indicator Species; Keystone Species; Plant-
frameworks are required for integrating insights from Animal Interactions; Population Dynamics; Refugia;
disparate disciplines—for example, to integrate eco- Regime Shifts; Succession
logical perspectives with socioeconomic considerations.
Biosecurity policies and strategies are still being imple-
mented without adequate conceptualization and verifi-
cation of keystone assumptions. Every aspect of such FURTHER READING
policies needs to be researched with a view to improving Asner, Gregory P., et al. (2008). Invasive plants transform the three-
dimensional structure of rain forests. Proceedings of the National
their scientific underpinnings. There is a crucial need
Academy of Sciences of the United States of America, 105, 4519–4523.
for research at the interface between invasion ecology Blackburn, Tim M.; Lockwood, Julie L.; & Cassey, Phillip. (2009).
and policy generation. Avian invaders: The ecology and evolution of exotic birds. Oxford, UK:
Better metrics are needed for quantification of impacts Oxford University Press.
Blackburn, Tim M., et al. (July 2011). A proposed unified framework
to allow for the objective prioritization of species for action
for biological invasions. Trends in Ecology and Evolution, 26(7), 335.
and to facilitate the transfer of information between Blumenthal, Dana, et al. (2009). Synergy between pathogen release
regions. It is not feasible to study the impacts of all invasive and resource availability in plant invasion. Proceedings of the National
species; one way to go would be to select species represen- Academy of Sciences of the United States of America, 106, 7899–7904.
Callaway, Ragan M.; Thelen, Giles C.; Rodriguez, Alex; & Holben,
tative of taxonomic groups and environments. If these
William E. (2004). Soil biota and exotic plant invasion. Nature,
were studied in enough detail they could serve as models 427(6976), 731–733.
for particular types of impact. Chytrý, Milan, et al. (2008). Separating habitat invasibility by alien
Multiple facets of global change pose significant chal- plants from the actual level of invasion. Ecology, 89(6), 1541–1553.
Davis, Mark A. (2009). Invasion biology. Oxford, UK: Oxford
lenges for ecologists and conservation biologists, and new
University Press.
approaches are needed for managing biodiversity. Every Davis, Mark A.; Grime, J. Philip; & Th ompson, Ken. (2000).
effort should be made to keep representative areas, such as Fluctuating resources in plant communities: A general theory of
protected areas, free of alien species, but in the increasingly invasibility. Journal of Ecology, 88 (3), 528–534.
Delivering Alien Invasive Species Inventories for Europe (DAISIE).
human-dominated matrix, more pragmatic approaches
(2009). Handbook of alien species in Europe. Berlin: Springer.
will be needed. For example, management may in many Ellstrand, Norman C., & Schierenbeck, Kristina A. (2000).
cases be more effectively directed toward building and Hybridization as a stimulus for the evolution of invasiveness in
maintaining ecosystems capable of delivering key ecosys- plants? Proceedings of the National Academy of Sciences of the United
States of America, 97(13), 7043–7050.
tem services than attempting to steer degraded ecosystems
Essl, Franz, et al. (2011). Socioeconomic legacy yields an invasion
back to some historic “pristine,” alien-free condition. debt. Proceedings of the National Academy of Sciences of the United
Novel ecosystems are those comprising species that occur States of America, 108 (1), 203–207.
in combinations and relative abundances that have not Hobbs, Richard J., et al. (2006). Novel ecosystems: Theoretical and
management aspects of the new ecological world order. Global
occurred previously at a given location or biome (Hobbs et
Ecology and Biogeography, 15(1), 1–7.
al. 2006). For example, many species are currently expand- Hulme, Philip E., et al. (2008). Grasping at the routes of biological
ing their ranges in response to climate change. Recent invasions: A framework for integrating pathways into policy.
invasion of the palm Trachycarpus fortunei into seminatural Journal of Applied Ecology, 45(2), 403–414.
Keane, Ryan M., & Crawley, Michael J. (2002). Exotic plant invasions
forests in southern Switzerland is driven by changes in
and the enemy release hypothesis. Trends in Ecology & Evolution,
winter temperature and growing season length, which are 17, 164–170.
likely to continue in the future under a warming climate Keller, Reuben P.; Lodge, David M.; & Finnoff, David C. (2007).
(Walther et al. 2007). Risk assessment for invasive species produces net bioeconomic
benefits. Proceedings of the National Academy of Sciences USA ,
Such ecosystems result from either the degradation
104 (1), 203–207.
or invasion of natural ecosystems or the abandonment Lockwood, Julie L.; Hoopes, Martha F.; & Marchetti, Michael P.
of intensively managed systems (Hobbs et al. 2006). (2007). Invasion ecology. Oxford, UK: Blackwell Publishing.

Lonsdale, W. Mark. (1999). Global patterns of plant invasions and the Richardson, David M. (Ed.). (2011). Fifty years of invasion ecology: The
concept of invasibility. Ecology, 80 (5), 1522–1536. legacy of Charles Elton. Oxford, UK: Blackwell Publishing.
Occhipinti-Ambrogi, Anna, & Galil, Bella S. (2004). A uniform ter- Richardson, David M., & Pyšek, Petr. (2006). Plant invasions:
minology on bioinvasions: A chimera or an operative tool? Marine Merging the concepts of species invasiveness and community inva-
Pollution Bulletin, 49, 688–694. sibility. Progress in Physical Geography, 30 (3), 409–431.
Parker, Ingrid M., et al. (1999). Impact: Toward a framework for Richardson, David M., et al. (2000). Naturalization and invasion of
understanding the ecological effect of invaders. Biological Invasions, alien plants: Concepts and defi nitions. Diversity & Distributions,
1(1), 3–19. 6(2), 93–107.
Pyšek, Petr, & Hulme, Philip E. (2005). Spatio-temporal dynamics Simberloff, Daniel. (2009).The role of propagule pressure in biological
of plant invasions: Linking pattern to process. Ecoscience, 12 (3), invasions. Annual Review of Ecology, Evolution and Systematics,
302–315. 40 (1), 81–102.
Pyšek, Petr, & Richardson, David M. (2010). Invasive species, envi- Simberloff, Daniel, & Rejmánek, Marcel. (Eds.). (2011). Encyclopaedia
ronmental change and management, and health. Annual Review of of biological invasions. Berkeley: University of California Press.
Environment and Resources, 35(1), 25–55. Simberloff, Daniel, & Von Holle, Betsy. (1999). Positive interaction of
Pyšek, Petr, et al. (2004). Alien plants in checklists and fl oras: nonindigenous species: Invasional meltdown? Biological Invasions,
Towards better communication between taxonomists and ecolo- 1(1), 21–32.
gists. Taxon, 53, 131–143. Vilà, Montserrat, et al., & DAISIE partners. (2010). How well do we
Rejmánek, Marcel. (1996) A theory of seed plant invasiveness: The understand the impacts of alien species on ecosystem services? A
fi rst sketch. Biological Conservation, 78, 171–181. pan-European, cross-taxa assessment. Frontiers in Ecology and the
Rejmánek, Marcel, & Richardson, David M. (1996). What attributes Environment, 8 (3), 135–144.
make some plant species more invasive? Ecology, 77, 1655–1661. Walther, Gian-Reto, et al. (2007). Palms tracking climate change.
Rejmánek, Marcel; Richardson, David M.; Higgins, Steven I.; Global Ecology and Biogeograph y, 16, 801–809.
Pitcairn, Michael J.; & Grotkopp, Eva. (2005). Ecology of Winter, Marten, et al. (2009). Plant extinctions and introductions lead
invasive plants: State of the art. In Harold A. Mooney et al. to phylogenetic and taxonomic homogenization of the European
(Eds.), Invasive alien species: Searching for solutions. Washington, flora. Proceedings of the National Academy of Sciences of the United
DC: Island Press. States of America, 106(51), 21721–21725.

Irrigation
Irrigation is an ancient technology that gave rise to was a result of the move toward extensive irrigation sys-
organized civilizations. The basic technology stores tems. In other words, societies that created large-scale
rainwater and river water for agricultural and other systems of water diversion became increasingly bureau-
purposes. The irrigation cycle’s four interconnected cratic and despotic. While Wittfogel’s model was impres-
stages are water storage, water quality control, appli- sive in scope, it lacked historical corroboration and
cation, and drainage control. Environmental issues will suffered from its creator’s political motivations (Weber
require governments, organizations, and the public to 1988, 79; Wittfogel 1981, xxi).
address water accessibility, water quality, and higher Wittfogel views the hydraulic civilization as a radical
efficiency and efficacy in the global irrigation cycle. break from previous forms of social organizations. The
economy and polity depended on a specific division of
labor, intensified cultivation, and cooperation on a large
I rrigation has long been recognized as one of the
earliest components of organized civilizations. To
understand—and strive toward—sustainable irrigation
scale. These new societies were also imperialistic. “The
hydraulic agriculturists,” he notes, “outgrew and out-
practices, we must consider several factors when assessing fought the majority of all neighboring peoples wherever
the ecological impact of irrigation. These factors include local conditions and international circumstances one-
the sociopolitical impacts where irrigation is practiced on sidedly favored an agromanagerial economy and state-
a significant scale; an understanding of the irrigation craft.” When not engaged in battle, the state mobilized
cycle or the prevailing water management practices, as the workforce to repair and construct irrigation and
well as the geomorphic context within which irrigation is flood-control systems. Wittfogel notes that these labor
practiced; and those elements of technology that inter- requirements sometimes cut across class lines, and they
face with the irrigation cycle. were not restricted exclusively to slaves or peasants. “In
ancient Mexico,” he observes, “both commoner and
upper-class adolescents were instructed in the techniques
Sociopolitical Impacts of digging and damming.” Because of this unparalleled
level of labor mobilization, hydraulic societies not only
Scholars working within historical fields related to built impressive waterworks, but also constructed roads
ancient societies that practiced irrigation (such as those to improve the infrastructure, temples for worship, and
in Mesopotamia, Egypt, and China) have debated the tombs for burial of the despot (Wittfogel 1981, 19–22).
nature of the emerging states that were created by inten- While Wittfogelian patterns of rule and intrastate
sive, irrigated agriculture. They also have addressed in relations may have prevailed in some societies practicing
part the ecological ramifications inherent in the relation- irrigation, several scholars have produced evidence
ship between societies practicing irrigation and the states revealing less dominant models of regional relations in
that use it. In the 1950s, for example, the German ancient civilizations practicing intensive irrigation. The
Marxist Karl Wittfogel elaborated a highly provocative professor and archaeologist Pavel Dolukhanov argues
model of hydraulic societies, arguing that the despotic that social categorizations and the development of arid
nature of Chinese, Egyptian, and Mesopotamian states societies were not as simplistic as previous descriptions
220

IRRIGATION • 221
suggested. Dolukhanov contends that, instead of appear- Nevertheless, a relationship existed between increased
ing as an outgrowth of the Mesopotamian state, small intensive agricultural production and the rise of the state
canals were organized into larger systems during the from the earliest Chinese civilizations, including the
middle of the third millennium bce. Despite his rejection Shang (Anderson 1988, 26 and 46).
of the causal link between the emergence of the state as a Similarly, the historian Cho-yun Hsu has noted that
result of building massive works, Dolukhanov recognizes before the Han dynasty, wells and ponds near fields served
that a significant relationship did exist between the as the sources for irrigation instead of large-scale irriga-
emergence of bureaucratic institutions and large-scale tion systems. During the Han period, local governing
intensive farming through the manipulation of the envi- bodies engaged in relationships with state authorities
ronment. “Although it is generally accepted now that the when large-scale projects were undertaken. In addition,
‘hydraulic society’ alone could not result in the emer- control over irrigation works was transferred from the
gence of world empires,” he notes, “it is widely acknowl- central to the commandery (or provincial) administration.
edged that irrigation carried with it a substantial increase In effect, this revealed that “water controls had become so
in the organizing capacities of human groups” numerous and commonplace that initiative for their con-
(Dolukhanov 1994, 293–294). struction had to lie with local officials.” The private sector
A flexible development of irrigation practices revealed dabbled in hydraulic works as well (Hsu 1980, 5).
the true nature of institution building in Egypt. The Legal structures within political economies also played
archaeologist Karl Butzer emphasizes the dynamic nature a critical role in determining the sustainable potential for
of political systems along the Upper and Lower Nile. irrigation development. In the Americas, during the era of
Waterfalls—and the concomitant break in the flow of the Spanish colonization and imperialism (fifteenth through
terrain—separated the Upper and Lower Niles, which nineteenth centuries ce), water rights were based on the
made complete subjugation to the pharaoh difficult. Such Iberian concept of community rights over individual water
a system facilitated local control over irrigation resources, rights. As a result, Spanish settlements in areas such as the
instead of encouraging more complex, integrated regional present-day US–Mexico border region attempted to adapt
systems, despite their association with the pharaoh’s an inclusive water policy to the varied constituents of a
regime (Butzer 1976). Butzer corroborates this with community located within an arid environment. While it
demographic evidence from ancient Egyptian civilization. is not surprising that well-heeled hacendados were often
During the New Kingdom period (c. mid-second millen- given privileges over the less fortunate constituents of
nium bce), human communities were scattered through- these communities, scholars have expressed surprise at the
out the kingdom, giving rise to numerous socioeconomic number of instances in which legal disputes favored natives
and ecological challenges (Butzer 1976, 50 and 80). The over Spaniards or Mexicans of pure European descent. As
Egyptian scholar Michael Rice (1997), however, recog- the Mexican historian Michael C. Meyer has observed in
nizes the unifying power of the Nile and the Egyptian his landmark study, Water in the Hispanic Southwest: A
state, but notes that the unification of the state often Social and Legal History, 1550–1850:
encountered resistance from local institutions. He also
[There] are enough examples of Indians, mestizos, and
places the emergence of irrigation before the consolidation
poor Spaniards coming out of the courts with more water
of the state. Furthermore, Rice (1997, 14) believes that the
than they entered to conclude that the voluminous legis-
prospects of power and wealth were far more of an impetus
lation designed to protect the interests of the disadvan-
for unification than any factors related to irrigation.
taged, both before and after Mexican independence, was
As in Egypt, the initial development of irrigation
not completely in vain. Compromise and concern for the
practices in China emerged as part of a noncentralized
common good were not merely lofty goals rejected cava-
process. In his 1988 book The Food of China , Eugene
lierly in the courts of the Hispanic Southwest. They were
Anderson observes: “The consensus among contemporary
not simply guises making possible the cohabitation of the
scholars is that in the Old World control over irrigation
judge with his conscience. They were fundamental prin-
was usually decentralized, that the state was well estab-
ciples brought to bear even in the most complex of water
lished before the rise of large-scale irrigation systems,
adjudications and even when the status of one of the liti-
and that irrigation agriculture had little to do with the
gants would have suggested that his opponent stood no
development of highly centralized government” (1988,
chance in the impending case. (Meyer 1996, 166)
26). Anderson contends that there were no large irriga-
tion works in the Shang dynasty (1766–1045 bce), which The California water historian Norris Hundley Jr. sees
preceded the Han dynasty by eight hundred years. While the biggest differences between the American and the
the Shang represented the earliest Chinese civilization, it Spanish legal treatment of water rights in two places.
was during the Han dynasty (206 bce–220 ce) that major First, the Spanish system in California, based on the
public works ushered in large systems of water control. Plan of Pitic (1783), guaranteed no one a specific quantity

of water, a step that provided flexibility in times of management of the holistic irrigation cycle largely deter-
drought (Hundley 2001, 39–41). Second, looking back mined the sustainability of those civilizations. The irri-
over the centuries, Hundley perceives a sea change in gation cycle consists of four stages, intimately linked
societal values, namely the onset of unfettered individu- through the practice of agricultural development. These
alism, during the transition from Spanish and Mexican stages are water storage, water quality control, applica-
legal systems to American legal values in the late 1840s. tion, and drainage control. Though each functions sepa-
He writes, “Viewed from the vantage point of the twenty- rately, their interconnected natures require a delicate
fi rst century, Hispanic principles contrast sharply with balance that can sustain or doom individual fields, as well
the individualism and monopolistic impulses of those as entire civilizations, if not properly attended to. In this
who flocked to California following the American con- section, we will consider the impact of water storage and
quest in 1846. Admittedly, Spain and Mexico’s imprint water quality control on the sustainability of irrigation.
on the waterscape differed significantly from that of While the earliest systems of irrigation used basins or
aboriginal Californians, but it paled in comparison with reservoirs to retain rainwater or water from adjacent
what was to come” (Hundley 2001, 64). rivers and to capture rainfall, modern irrigation systems
Just as the transition from Spanish, and then Mexican, became increasingly dependent on large-scale dams to
to US control over water systems in the American store water for agricultural (and other) purposes. Climatic
Southwest occasioned a significant evolution in the conditions, however, often intervened to compromise the
ways in which water was apportioned, the early twentieth- quality and the quantity of the water available behind
fi rst century has also given rise to new large dams or reservoirs. As the US environmentalist
approaches to water distribution. Patrick McCully (1996) has noted, “In the region of 170
According to the legal concept cubic kilometres of water evaporates from the world’s
of prior appropriation, which reservoirs every year, more than 7 percent of the
largely dictates water distribu- total amount of freshwater consumed by
tion in the western United all human activities.” Chief among the
States, the fi rst individual or high-temperature, arid region dams
entity to use water from a responsible for the depletion of
river develops a legal right for water resources for irrigation
its use. While these rights through evaporation is the iconic
have often been considered Hoover Dam, located in the
sacrosanct, legal challenges western United States near Las
have sometimes prevailed Vegas, Nevada. Scholars esti-
over this system in favor of mate that as much as one-third
environmental concerns. of the water stored behind the
From an economic stand- dam evaporates before release
point, discussions regarding and use for irrigation (McCully
the reapportionment of 1996, 40).
water resources have also led The retention of water behind
to calls for the monetization large dams both affects the amount
of river resources. In actual of water available to irrigators for
fact, many farmers and water agricultural use and impinges on the
districts have sold their water quality of the water accessible for
rights to communities in need of irrigators. In the twentieth-century
water, thus facilitating the transfer American West, for example, the series of
of resources without recourse to litigation. dams and reservoirs placed on the Colorado River
Improved farming and irrigation techniques hold out leads to the evaporation of impounded water and
promise to close the gap between growing urban needs increases the salinity and the chemical content of the
and the continued importance of farming. water for users downstream. (The chemical composition
originates from urban use or pesticides and often reflects
high levels of elements present in pesticides, such as sele-
Irrigation Cycle Management and nium.) The paradox of these large systems is that as salin-
Sustainability ity increases in the available water downstream, irrigators
need greater amounts of water to push the salt content of
While irrigation served as a catalyst for the emergence their water allotments through the drainage cycle on
and evolution of ancient and modern civilizations, the their fields. Furthermore, improper management of the

IRRIGATION • 223
entire irrigation cycle creates collateral costs for irriga- management, and an advantageous drainage system that
tors. McCully (1996, 40) notes that high salinity not only forestalled the accumulation of salinity. Ultimately, man-
harms plants, but also damages irrigation equipment. In agement of the holistic irrigation cycle plays the most
addition, the number of times that water is used within vital role in determining the sustainability of irrigation
a watershed basin compromises the initial quality of practices.
the water available for irrigators downstream. In the
Colorado River basin, this became most apparent in the
1960s and 1970s as water deliveries in both the United Technology and Application
States and Mexico, near the river’s delta, were blighted by
highly saline water that traveled downstream (Ward Th roughout human history, simple and advanced tech-
2003). Thus, the entire management of a river basin’s nologies have played a crucial role in irrigation and irri-
water usage and the chemical composition of residual gation cycle management. Ideally, naturally occurring
returns to the river directly affect the quality of water conditions, where drainage and water acquisition reach
available for users downstream. Finally, the availability equilibrium, negate the need for technological interven-
and quality of water in turn affects the prevailing crop tion in the irrigation cycle, yet such conditions are
mix, also raising questions about efficient water usage. In scarcely found in nature. In ancient times, a variety of
arid regions, or areas of significant urban growth, for technological devices were used to lift water into fields.
example, the demand of perennial plants, such as those In Mesopotamia, for example, small weirs made of brush
cultivated in orchards, can place a serious strain on the and earth diverted water from streams into irrigation
amount of water available for urban areas, or vice versa. canals, while in ancient Egypt and Sumeria, waterwheels
Consequently, the prevailing usages of water can also with buckets lifted water from rivers or canals for agri-
affect availability and water quality. cultural use (McCully 1996, 13–14). Aside from the
Perhaps the single, most difficult element of the irriga- evolution of dams, which indirectly aid irrigation and are
tion cycle to manage is the drainage process. Th is is meant to enhance water storage, technologies remained
because of the geomorphologic orientation, or geologic elementary until the twentieth century.
structure, of fertile tracts of land, and, most important, Advances in water purification and in delivery of irri-
because of its relationship to how water is stored and gation water to plants offered promising alternatives in
water quality is maintained. In ancient civilizations such the post–World War II era. Perhaps the least sustainable
as those in Mesopotamia, the scale of irrigation opera- of these alternatives for improving water availability and
tions did not necessarily doom Mesopotamian civiliza- quality were offered by desalinization technologies. The
tion; instead the Mesopotamians’ inability to properly removal of salt from ocean water—or aquatic alchemy—
manage drainage operations in those locations doomed has long been the pursuit of scientists. The key element
it. Irrigation officials not only miscalculated the impact that would make such a process sustainable is the identi-
that siltation would have on their canal systems, but also fication of low-cost, low-risk forms of energy to power
the impact of the salinization of fertile farmlands due to the process. During the Cold War, scientists in the
poor drainage. As the water expert Sandra Postel (1999, United States, Israel, and other nations, under the
26) notes, “By the seventh century ad, salt buildup had umbrella of the International Atomic Energy Agency,
reached damaging levels in parts of the plain. Records promoted the concept of nuclear-powered desalinization
show that 15,000 slaves were forced to work in the south- plants. Plans to place a plant in seismically active regions
ern region peeling off the upper sterile layers of soil to get of Southern California and northern Mexico were dis-
to the more fertile layers below.” In contrast, the Egyptian missed. Conventionally powered desalinization plants,
irrigation system that evolved anciently in the Nile River however, were subsequently built near Yuma, Arizona,
basin provides one of the best examples of the relation- and in Israel during the 1970s and 1980s, as well as in
ship between natural flooding, water storage, and inher- other locations around the world.
ent drainage capabilities. Because of a better-regulated In the twenty-first century, modifications and
natural drainage system, farming in the Nile River basin advances in irrigation application technology have
far outlasted its counterpart civilizations in Mesopotamia stressed two features: efficiency and accessibility. In large
and the Indus River valley in Pakistan and India. measure, these advances recognize the emerging world’s
According to Postel (1999, 35), the overall stability of severe problems of access to water for agricultural pro-
Egypt’s socioeconomic institutions, and the lack of sali- duction and for urban growth. From the high-tech per-
nization, contributed to the rise of the most sustainable spective, improved irrigation methods often include more
irrigation-based civilization in human history. Much of than simply the tools for delivering water to plants.
this stability can be attributed to the balance sought Improved water management techniques, including the
between natural cycles of the river, local systems of water precise tracking of weather conditions (such as, for

example, the California Irrigation Management Infor- water quality and efficient application will dominate dis-
mation Service), decreases the amount of water needed to cussions between governmental planners, nongovern-
irrigate a field traditionally flooded one or more times a mental organizations, and the global citizenry.
year (Postel 1999, 180–181). These techniques also
improve the quality and efficacy of irrigation, adding Evan R. WARD
fewer salts and pollutants to local water sources (Postel Brigham Young University
1999, 167). USDA advances in software development, See also Agricultural Intensification; Agroecology;
such as with the Natural Resource Conservation Service Community Ecology; Groundwater Management;
Scheduler, provide farmers with up-to-date information Human Ecology; Hydrology; Water Resource Management,
on field conditions, weather, and moisture evaporation Integrated (IWRM)
rates, which can be used in turn to optimize water
usage (Postel 1999, 181–182). Drip irrigation technolo-
gies, like improved managerial techniques, require less
water to irrigate crops but also tend to improve crop FURTHER READING
yields. Finally, the evolution of affordable, low-tech Adler, Robert W. (2007). Restoring Colorado River ecosystems: A trou-
bled sense of immensity. Washington, DC: Island Press.
solutions has brought sustainability within reach of the Anderson, Eugene N. (1988). The food of China. New Haven, CT: Yale
emerging world. For example, pumps, such as the treadle University Press.
pumps used in Bangladesh, have transformed the ability Butzer, Karl W. (1976). Early hydraulic civilization in Egypt : A study in
of small-scale farmers in the emerging world to farm in a cultural ecology. Chicago: University of Chicago Press.
Dolukhanov, Pavel. (1994). Environment and ethnicity in the ancient
productive and sustainable fashion (Postel 1999, 171–179 Middle East. Brookfield, VT: Avebury Press.
and 205–209). Fiege, Mark. (2000). Irrigated Eden : The making of an agricultural land-
scape in the American West. Seattle: University of Washington Press.
Hsu, Cho-yun. (1980). Han agriculture: The formation of early Chinese
Outlook in the Twenty-First Century agrarian economy, 206 B .C .– A .D . 220 . Seattle: University of
Washington Press.
If present levels of governmental and public attention to Hundley, Norris, Jr. (2001). The great thirst: Californians and water—A
history (Rev. ed.). Berkeley: University of California Press.
environmental issues, such as climate change, are any McCully, Patrick. (1996). Silenced rivers: The ecology and politics of
indication, we can expect even greater attention paid to large dams. New York: Zed Books.
the issues of water accessibility, water quality, and higher Meyer, Michael C. (1996). Water in the Hispanic Southwest: A social and
efficiency and efficacy in the irrigation cycle throughout legal history, 1550–1850. Tucson: University of Arizona Press.
Postel, Sandra. (1999). Pillar of sand: Can the irrigation miracle last?
the world. While water pricing programs have been used New York: W. W. Norton.
with some effectiveness throughout the world, greater Rice, Michael. (1997). Egypt’s legacy: The archetypes of Western civiliza-
attention to a balance between access to water for irrigation 3000–30 BC. London: Routledge.
tion, apportionment according to optimal pricing (which Ward, Evan R. (2003). Border oasis: Water and the political ecology of the
Colorado River, 1940–1975. Tucson: University of Arizona Press.
is accomplished either by selling the water at an agreed- Weber, Max. (1988). Th e agrarian sociology of ancient civilizations.
upon price on a year-to-year basis or selling the actual London: Verso.
rights to the water), and innovations targeting higher Wittfogel, Karl. (1981). Oriental despotism. New York: Penguin.

Keystone Species
Keystone species are those species whose importance areas with and without the species. This is how Paine con-
to an ecosystem’s structure, composition, and func- ducted his groundbreaking 1966 experiment, in which he
tion is disproportionately large relative to their excluded the sea star (Pisaster ochraceous) from a stretch of
abundance. These species can be of any life form, but shoreline in Makah Bay, Washington, in the United States.
they have in common an effect on their environment (The sea stars in the photograph above by Marjolijn Kaiser
that is always greater than what can be expected are in Oregon.) His comparison showed that the relatively
based on their biomass . Well-studied examples uncommon sea star had a huge influence on the tidal pool
include sea stars, beavers, bears, corals, elephants, and community. When the sea star was excluded from pools,
hummingbirds. the ecosystem lost almost half its resident diversity. Similar
experiments involving other predators, such as bass, wolves,
and jaguars, or herbivores, such as deer and elephants, have
A species whose importance to community and eco-

system structure, composition, and function is dis-
proportionately large relative to its abundance is referred
shown similar effects.
One factor that can help defi ne a keystone species is
functional redundancy. In other words, if a species
to as a keystone species. As the name implies, keystone were to disappear from its community, are there other
species play key roles in ecosystems. They are distin- species that can fi ll its role? Some communities have
guishable from dominant species, which also have large more species redundancy than others, and therefore
roles in ecosystems but solely by virtue of being abun- fewer keystone species (i.e., fewer species with funda-
dant. Keystone species, even when rare, can drastically mental roles in the ecosystems that cannot be replaced
modify or create habitats and influence the interaction by other species). In a given community, the extinction
between species in a community. An example of this of a keystone species will produce drastic changes.
can be beavers that create dams on rivers and streams, Th erefore, to maintain ecosystem functioning and
notably changing the previous habitat. Because key- services (like water purification and carbon sequestra-
stone species are so important within communities, the tion), it may be critical to identify and protect those
removal of one often results in significant loss of biodi- species.
versity. The concept of the keystone species, originally
proposed by the US zoologist and University of
Washington professor Robert T. Paine, was a transfor- Types of Keystone Species
mative notion in biology.
Keystone species can be any type of organism, including There are many types of keystone species, and some of
plants, animals, bacteria, or fungi. Ways to detect them them have been thoroughly studied. Predators are typi-
vary, but an effective strategy to determine what is and cally defined as keystone species, because it takes only a
what is not a keystone species is through removal experi- few to regulate populations of other species in lower tro-
ments, in which a researcher excludes the suspected key- phic levels. Many species that create or modify habitats,
stone species from some parts of a habitat and compares called ecosystem engineers, are also keystone species.
226

KEYSTONE SPECIES • 227
AFRICAN ELEPHANTS AS A KEYSTONE SPECIES

The World Wildlife Fund (WWF) is one organization Elephants directly influence forest composition
that works to protect the habitat of numerous species; one and density, and can alter the broader landscape. In
of its programs is the African Elephant Program, which tropical forests, elephants create clearings and gaps in
aims to conserve forest and savanna elephant populations the canopy that encourage tree regeneration. In the
through projects and policies. The following is an excerpt savannas, they can reduce bush cover to create an
from their website: environment favorable to a mix of browsing and
African elephants once numbered in the millions grazing animals.
across Africa, but by the mid-1980s their populations Many plant species also have evolved seeds that
had been devastated by poaching. The status of the are dependent on passing through an elephant’s
species now varies greatly across the continent. Some digestive tract before they can germinate; it is calcu-
populations remain in danger due to poaching for lated that at least a third of tree species in west Afri-
meat and ivory, habitat loss, and conflict with humans. can forests rely on elephants in this way for
Elephants are important because their future is distribution of their future generations.
tied to much of Africa’s rich biodiversity. Scientists
Source:
consider African elephants to be keystone species as World Wildlife Fund (WWF). (2011). African elephant. Retrieved
they help to maintain suitable habitats for many December 27, 2011, from http://www.worldwildlife.org/
other species in savanna and forest ecosystems. species/finder/africanelephants/africanelephant.html
Th is is the case of the Canadian beaver and some species competitors. Th e eff ects can cascade down to lower
of African termites (in the genus Odontotermes), which trophic levels; for example, the elimination of wolves
build mounds that contain high levels of nutrients and leads to great increases in populations of deer, which
thus can be colonized by many plant species. The pres- in turn leads to destruction of certain plant species
ence of these nutritionally rich termite mounds can favored by deer.
change an entire landscape. Large herbivores may also
modify the habitat and the community through their
Prey
feeding activity. One example of this is the African ele-
phant (Loxodonta africana) in the savannas of southern When a prey species is removed from an ecosystem, this
Africa (discussed below). Also, many invasive species, leaves fewer prey available to feed the predators. If
which are exotic species that produce significant changes the remaining prey species are more sensitive to the
in a native ecosystem, can be keystone species in the increased predation pressure, they might become rare or
invaded ecosystem. The main types of keystone species extinct within the ecosystem. Further loss of prey spe-
and the effects if they become locally extinct are cies could eventually lead to collapse of the predator
described below. population.
Predator Plant
Like wolves and sea stars, some predator species Many herbivores, pollinators, and seed dispersers spe-
play unique roles in their ecosystem by regulating cialize in and depend on specific plant species for food
the populations of their prey. Th eir extirpation can or shelter. The extinction of that plant could lead to a
affect the abundance and presence of other predators population crash of these other dependent animal
and lead to the elimination of both prey and species.

Link fish are spawning in upstream rivers. The bears feed and
deposit salmon carcasses further inland, where they
Some species, such as bees and hummingbirds, play key decompose and fertilize the riparian areas with nutri-
roles in the maintenance of plant populations by provid- ents that otherwise may not be incorporated into the
ing pollination services that maintain gene flow and local terrestrial ecosystem. Brown bears thus act as
secure plant fecundity. Therefore, absence of these polli- nutrient vectors that affect an entire ecosystem.
nators can affect all species that depend on them directly
or indirectly. Beavers
Ecosystem Engineer Beavers (Castor canadensis) are the classic example of an eco-
system engineer because they create dams in rivers.
Species that create or modify habitats, These dams significantly
such as beavers (Castor canadensis), alter the flux of nutrients
can strongly affect ecosystem and therefore the
nutrient cycling. Shifts in avail- growth and abundance
able nutrients can directly and of local plants and ani-
indirectly affect animal or plant mals. Their tremendous
species that use the same habitat. effect can be observed in
Tierra del Fuego, an area of
Examples of South America (in Chile and
Keystone Species Argentina) where they have been
introduced. Beaver are not native
Even prior to Paine’s seminal work to South America, and no other
and terminology, biologists had native species has the ability to
studied and defined many species as create dams in rivers, so bea-
unique and necessary components of vers are altering the local
a given ecosystem, despite their rarity ecosystems, replacing the
or low numbers. Many species have slow-growing Nothofagus
been widely studied in their role as trees for meadows. This
keystone species. change in the structure of the
ecosystem provides evidence
Sea Stars on the fundamental role that
this species has in its native
Th is is the quintessen- and exotic range.
tial example of a key-
stone species since
Corals
Paine’s experiment in
1966. Sea stars are a The compact ivory bush coral
key predator of mus- (Oculina arbuscula) is consid-
sels. The absence of sea ered a keystone species
stars can drastically impact because it creates new habi-
ecosystems, including changes tat. This coral species is
in diversity and abundance of other endemic to the inshore and
species in the habitat, affecting different trophic lev- nearshore bottomland habitats of
els. For example, in the absence of sea stars, diversity was North and South Carolina in the
reduced from fifteen species to only eight. United States. It is the only coral species found in this
region. It forms complex branching colonies that provide
Bears shelter to over three hundred species of invertebrates that
are known to live and complete much of their life cycle
Brown bears (Ursus arctos) as a predator constitute a around the coral’s branches.
keystone species by regulating the population of their
prey species, but they also have a keystone species role
African Elephants
regarding the cycling of nutrients, primarily nitrogen,
by incorporating nutrients from rivers into riparian eco- In the savannas of Africa, elephants (Loxodonta africana)
systems. These bears capture Pacific salmon when the are destructive herbivores that consume large quantities

KEYSTONE SPECIES • 229
of woody plants and often uproot, break, and destroy the mean any species that has a very large impact on the
trees and shrubs on which they feed. The decreased cover studied ecosystem, no matter its abundance or biomass.
and density of woody vegetation favors the growth and This casual use of the term has led to attacks on the con-
production of grasses, rapidly changing an area from cept because it may be too vague and therefore meaning-
woods to savanna. Many other herbivores that feed on less. The phrase has even been freely and loosely borrowed
the grasses benefit from the activities of elephants. outside biology; for example, it has migrated into busi-
ness and economics, where “keystone” is used to describe
Hummingbirds organizations that enhance the business ecosystem by
incorporating technological innovations, simplifying the
Hummingbirds are functionally important in many eco-
connection between network participants, and/or provid-
systems by providing pollination services to many plant
ing a stable environment. Their importance to business
species. They exemplify a link keystone species. These
ecosystems is such that their removal would lead to the
highly specialized birds pollinate plants that have adapted
collapse of the entire ecosystem.
to be pollinated only by these bird species. They serve as
The concept of keystones species helps determine
mobile links between plant populations in different land-
priority species for conservation and habitats in need of
scapes, facilitating pollen movement (and therefore gene
protection. Identifying keystone species, however, is not
flow) often over considerable distances. Pollination trig-
simple, owing to the complexity of nature and its tempo-
gers seed production and therefore plant population sur-
ral and spatial variability. A species can be keystone
vival. An example of hummingbirds’ fundamental role
under certain circumstances (e.g., a dry year) but redun-
can be found in southern South America in forests of
dant in others (e.g., wet or normal years). Th is compli-
Patagonia (in Argentina and Chile). The hummingbird
cates the use and detection of keystone species.
species Sephanoides sephanoides pollinates nearly 20 per-
Furthermore, there may be inherent problems with
cent of the local woody flora. These plant species could go
basing conservation on keystone species. The concept
extinct or become very rare if this bird disappeared, since
implies that some species are more important than others
no other species is adapted to pollinate them.
in maintaining a given ecosystem, which suggests that
more resources should be devoted to protecting them
How Keystone Species Affect rather than other, more redundant species. Th is can be a
Ecosystems problem given the complexity of natural systems and the
well-known fact that interaction strengths change with
Many ecosystem effects are attributed to keystone species. space and time. Also, it is important to consider that key-
For example, in Paine’s original work, he reported that stone species may just be a human construct based on our
diversity of the tidal pool community decreased dramati- limited observational and experimental capacities (i.e.,
cally when the keystone species (the sea star) was removed. the difference between redundant and keystone species
The predator preferred to forage on the most abundant may not exist in nature). Therefore, conservation plans
mussel (Mytilus californianus), and when the predator was made around them may not be ideal.
removed, the population of this mussel exploded in num-
bers that prevented many other species from existing in The Future
the tidal pools. So this keystone predator increases com-
munity diversity by foraging on the most abundant spe- Keystone species are a central concept in biology. The
cies, which benefits less abundant prey species. Other term is widely used in theoretical, applied, and conser-
studies on predator species have found similar results. vation biology and also serves as a heuristic tool in ecol-
Many dominant species depend on mutualism for ogy to explain food webs and ecosystem functioning.
their survival. Therefore, such mutualistic species can Keystone species are recognized as a concept to help
play a fundamental role in ecosystem function, and their understand ecosystem diversity and functioning. A bib-
removal can change drastically its dynamics, such as in liographic analysis using the academic search tool Web
food webs containing hummingbirds. Similarly, keystone of Science revealed that the term is not only widely
species that are ecosystem engineers can, by creating or used, but also that the number of publications using it is
altering habitats, directly affect other species that need trending upward. Th is indicates that the study of key-
these areas to obtain food or shelter. stone species remains an active part of the biological
sciences and likely will continue, especially in areas
Problems with Other Definitions related to invasive species, ecosystem engineers, and
biodiversity conservation.
The term keystone species has many definitions; and, in Although it may be problematic and controversial
some areas of science, the term is more casually used to to base conservation plans on keystone species,

understanding what they are, how to detect them, and FURTHER READING
their full influence on ecosystems may be key for under- K areiva, Peter, & L evin, Simon A. (2003) The importance of species:
standing, conserving, and protecting nature. Th is is Perspectives on expendability and triage. Princeton, NJ: Princeton
especially important for sustainability of ecosystem University Press.
processes and services that can be fundamental for Mills, L. Scott; Soule, Michael E.; & Doak, Daniel F. (1993). The
keystone-species concept in ecology and conservation. Bioscience,
human well-being and the functioning of ecosystems at 43, 219–224.
the global scale. Paine, Robert T. (1966). Food web complexity and species diversity.
American Naturalist, 100, 65–75.
Martin A. NUÑEZ and Romina D. DIMARCO Paine, Robert. T. (1969). A note on trophic complexity and community
The University of Tennessee stability. American Naturalist, 103, 91–92.
Simberloff, Daniel. (1998). Flagships, umbrellas, and keystones: Is
See also Biodiversity; Biodiversity Hotspots; Charismatic single-species management passé in the landscape era? Biological
Megafauna, Complexity Theory; Edge Effects; Food Conservation, 83, 247–257.
Power, Mary E., et al. (1996). Challenges in the quest for keystones.
Webs; Hunting; Indicator Species; Outbreak Species; Bioscience, 46, 609–620.
Plant-Animal Interactions; Refugia; Regime Shifts;
Species Reintroduction; Wilderness Areas

Landscape Architecture
Landscape architecture involves a wide variety of out- Austin, expanded and/or consolidated the list, provid-
door design project types in both the natural and built ing brief examples of some of the ways in which land-
environments, and as such includes making an ecologi- scape architects contribute to sustainable ecosystem
cal inventory and analysis to identify opportunities and management:
constraints for land conservation and development. The
• Brownfield redevelopment: finding sustainable designs for
US-based Sustainable Sites Initiative (SITES) exemplifies
the reuse of industrial or commercial sites, many of
recent innovations being adapted in North America,
which may be contaminated with chemicals and toxins.
northern and central Europe, Australia, South Korea,
• Botanical gardens: increasing the use of indigenous
China, and Japan; these innovations are based on atten-
plants and sustainable irrigation practices.
tion to the ways ecosystems function.
• Campuses: adapting landscape planning to support sus-
tainable practices in infrastructure development (e.g.,
L andscape architecture is the art and science of arrang-

ing land so as to adapt it most conveniently, economi-
cally, functionally, and aesthetically to any of the varied
using environmentally friendly materials and situating
buildings to enhance the use of solar energy to reduce
the carbon footprint); community building (providing
desires of people. A landscape is the synthesis of all the an environment that contributes to human wellness and
natural and cultural features—fields, hills, forests, farms, well-being); and learning (encouraging curriculum
deserts, water, and buildings or other structures—that development in the field, which will foster public aware-
distinguish one part of the surface of the Earth from ness and open opportunities for a new generation of
another part. Landscape architecture, which involves landscape architects).
the planning, design, and management of natural and • Cemeteries: adapting principles (both aesthetic and
built environments (Hooper 2007), positively contrib- functional) to enhance the spiritual connection of
utes to ecosystem management approaches by incorpo- humans to the natural world and reduce the impact of
rating such practices as effective drainage systems, human activity in it.
self-sustaining vegetation and wildlife-supporting habi- • City, suburban, and rural town planning, as well as
tat, site planning to make the best use of solar energy, regional development: supporting and contributing to the
and resource recycling. development of sustainable infrastructure (roadways,
subways, and railways; municipal buildings; power and
A Landscape Typology telephone lines; and the configuration of housing and
commercial developments); and assessing sustainable
Landscape architects are involved in a wide range of proj- land use (commercial, industrial, agricultural, and resi-
ect types outdoors. William Tishler (1989), Stephen Carr dential) as the focus or inspiration for landscape design.
et al. (1992), and Mark Francis (2001) have identified • Community open spaces (urban and rural), gardens (private
those project types, most of which are included in the and public), and plazas: providing aesthetically pleasing
following list. Frederick Steiner, a professor of landscape and sustainability-focused environments to enhance
architecture and planning at University of Texas at people’s quality of life.
232

LANDSCAPE ARCHITECTURE • 233
• Green roofs: adapting previously or newly built roofs preserve and enhance the historic character and meaning
as gardens by implementing lightweight soils of a waterfront landscape, and provide public access to
(enhanced with minerals or nonorganic fillers), waterfront areas.
climate-appropriate plants (including grasses and • Zoos: providing environments that come as close as pos-
shrubs), root barriers, drainage layers, and waterproof sible to the natural habitat of a species, and using sus-
membranes to protect the roof—thereby providing tainable practices (e.g., water management), to foster
insulation, absorbing rainwater rather than creating self-sustaining vegetation.
runoffs, and benefiting birds and other wildlife.
• Green walls: using vegetation on walls to mitigate climate
and to provide food and habitat for birds and reptiles. Two Landscape Architect Pioneers
• Greenways (coined as a combination of the terms greenbelt
and parkway): adapting former railroads, highways, or The American landscape architect Frederick Law
other transportation routes into a multipurpose “linear Olmsted Sr. (1822–1903), who designed Central Park in
park” with vegetation (e.g., the High Line in New York New York City in 1858, worked hard in collaboration
City, the Gold Coast Oceanway in Australia, the with his colleague Calvert Vaux, his sons, John C.
EuroVelo cycles routes, and the Trans Canada Trail). Olmsted and Frederick Law Olmsted Jr., and others
• Historic landscapes: using sustainable methods to con- (including Charles Eliot), to establish landscape architec-
serve flora and fauna while preserving the aesthetic ture as a profession. The senior Olmsted was also involved
sense of the original architecture and design. in the design of private gardens (The Biltmore in
• Housing environments: planning or reassessing residen- Asheville, North Carolina), college campuses (Stanford
tial areas to increase sustainable practices, such as facili- University), metropolitan park and parkway systems
tating the use of solar power, providing open green (Boston, Louisville, and Buffalo), new community design
spaces, and allowing access to public transportation. (Riverside, Illinois), a World’s Fair (the 1893 World’s
• Institutional and corporate landscapes: finding innovative Columbian Exposition in Chicago), institutional land-
ways to redesign or renovate the spaces surrounding the scapes (the New York Hospital for the Insane and the
architecture and infrastructure of preexisting (often McLean Hospital grounds), and state parks (Niagara
dehumanizing and unsustainable) sites, and to utilize Falls State Park). Frederick Law Olmsted Jr. continued
or adapt principles from other ecosystem friendly these activities with his brother and also played a leader-
approaches when designing new sites. ship role in establishing the national parks system in the
• National forests and parks, state parks, and other recreation United States. Before the Olmsteds, traditional commis-
areas: working with federal, state, or municipal govern- sions for landscape gardeners in North America and
ments to make the best sustainable use of existing rules, Europe were for private clients. Olmsted and his follow-
regulations, and laws; and supporting newer and ers changed this and, in effect, took the English pictur-
greener practices, including water, soil, and wildlife esque tradition public.
management. Jens Jensen (1860–1951), a landscape architect born in
• Olympic, World’s Fair, Expo, and other special-use venues: Demark (but who practiced primarily in Chicago; Door
upholding a long tradition of the landscape architect’s County, Wisconsin; Dubuque, Iowa; and Springfield,
role in developing special venues while focusing on Illinois), brought to his practice a personal belief in the
newer and more sustainable building methods, energy renewing and civilizing powers of nature. As the leader
use, and access to infrastructure (e.g., transportation). of the Prairie Style of landscape architecture, he inspired
• Restored and/or reclaimed natural landscapes: employing a movement to conserve threatened scenic natural areas;
environmentally friendly methods for public access, he has been described as more devoted to the landscape
such as boardwalks; removing invasive flora species, of the Midwest than many born there (Henderson 1985).
such as purple loosestrife and kudzu; and adapting His acquaintances and supporters included the sociolo-
principles of sustainable water management, such as gist and reformer Jane Addams; the architect Frank
rain gardens to control runoff. Lloyd Wright; Harriet Monroe, an editor, poet, and
• Urban parks and playgrounds: collaborating with practi- patron of the arts; the botanist Henry Cowles; and
tioners in the field of urban forestry, which recognizes Illinois governor Frank Lowden. In the twenty-first cen-
the benefits of using green spaces to combat air pollu- tury the Jens Jensen Legacy Project, sponsored by the
tion, support biodiversity, and contribute to human Chicago Department of Cultural Affairs and the
emotional and physical well-being. Chicago Park District, seeks to provide educational
• Waterfronts (and/or waterways): using green practices to opportunities for children and adults, to bolster current
slow or prevent erosion and protect water quality, efforts to restore and preserve Jensen’s projects, and to

raise awareness of Jensen’s Prairie Style to a new genera- The process may conclude in a plan and/or a final design,
tion of landscape designers. both of which may require governmental approval for
Landscape architecture, inspired in part by the early legal or regulatory reasons. A plan then may be imple-
work of Olmsted and Jensen—and redefined for the late mented through public policy and/or through private
twentieth and twenty-fi rst century by such notable fig- actions. A design typically requires detailed construction
ures as the co-designer of the National 9/11 Memorial, documents that specify the dimensions and arrangement
Peter Walker, whose five-decade-long career has stressed of its various elements before the project is built.
the dynamics among environmental, social, and eco- Traditionally, the maps and drawings were done by
nomic aspects of a site—is a widely practiced environ- hand. In contemporary practice, computer aided design
mental design profession in North America, northern (CAD), computer renderings, geographic information
and central Europe, Japan, Korea, and Australia. In system (GIS) technology, and geodesign techniques are
China, landscape architecture is rapidly growing from utilized. CAD software systems are used during the
ancient traditions in garden design and site planning. As design process as well as in design documentation. GIS
the world becomes more urban, there are increasing con- technologies are essentially computer mapping programs
cerns about making cities more livable and protecting capable of capturing, storing, analyzing, and displaying
both natural and cultural areas. Landscape architecture geographically referenced information.
has a well-established competency in urban design and
ecological planning and, as a result, its importance is
becoming more broadly recognized. Innovations
Increasingly, landscape architects are required to demon-
Traditional and Contemporary strate and measure the outcomes of their designs. The
Practice concept of “ecosystem services,” the goods and services of
direct or indirect benefit to humans that are provided by
A landscape architecture project begins with a commis- natural processes involving the interaction of living ele-
sion or assignment with clear goals, including the scope ments (such as vegetation and soil organisms) and nonliv-
of the project, proposed uses and users, and the site ing elements (such as bedrock, water, and air) has proven
boundaries and context. The landscape architect may also to be especially helpful in this regard. Examples of eco-
be involved in site selection. Once the commission begins system services include global and local climate regula-
and the site is selected, the landscape architect then con- tion, air and water cleansing, water supply and regulation,
ducts an inventory and analysis of the site. The Scottish- erosion and sedimentation control, hazard mitigation,
American landscape architect Ian McHarg, author of pollination, habitat functions, waste decompositions and
Design with Nature (1969), advocated the use of ecology treatment, human health and well-being benefits, food
as a primary guide to structure, including inventories and and renewable non-food products, and cultural benefits.
analyses. An ecological framework enables the landscape The Sustainable Sites Initiative (SITES) is an example
architect to understand how physical and biological sys- of the formal application of the ecosystem services con-
tems are structured and how they function (Rottle and cept (Steiner 2011) with the goal of ecological steward-
Yocom 2011). An ecological inventory includes the cli- ship. Beginning in 2006, SITES was developed through
mate, geology, physiography, ground and surface water a partnership among the Lady Bird Johnson Wildflower
hydrology, soils, plants, animals, settlement history, and Center of the University of Texas at Austin, the American
current land use of the site. The inventory is compiled Society of Landscape Architects, and the US Botanic
through maps, diagrams, and written descriptions. It Garden.
may also involve transects (cross-sectional studies of the In the SITES system, ecosystem services are linked to
site that reveal relationships), among vegetation, drain- specific actions that are considered as prerequisites and
age, and soils, for example. Inventories are used to con- credits for SITES certification. The prerequisites and
duct suitability analyses that display opportunities and credits affect decisions concerning site selection, prede-
constraints for the proposed uses. sign assessment and planning, site design, construction,
Such site analyses enable the landscape architect to and operations and maintenance to try to minimize
develop various design options. Frequently, these options aspects of a project that might potentially cause perma-
are used in a formal environmental impact assessment. nent ecological harm, such as the pollution of waterways
Many projects are also subject to review by citizens, pub- or destruction of species. Meanwhile, SITES attempts to
lic agencies, or the commissioning clients. Landscape enhance or maximize any generative or productive proj-
architects often employ “before and after” drawings and ect aspects that might produce cultural benefits or
physical models to illustrate their designs’ consequences. enhance the natural environment (such as increased tree

LANDSCAPE ARCHITECTURE • 235
cover and recharging of aquifers that supply water). The dense, highly formal gardens, to incorporating green walls
SITES system establishes uniform, consistent standards, and roofs, to some mixture of several approaches.
but standards that can adjust to the regional variations of
climate, soils, and plants.
Of the sixty-six SITES prerequisites and credits, Outlook
roughly 60 percent tie quantitative measures of perfor-
mance to credit achievement, while the other 40 percent The future of landscape architecture is bright. Ecosystem
are primarily prescriptive in nature; all attempt to tie the services provide a restorative lens for landscape archi-
attainment of credits with the production of ecosystem tecture practice. Th e concept of ecosystem services
services (Windhager et al. 2010). promises to help advance the profession by making its
The credits vary significantly in terms of the perfor- contributions to human and nonhuman health and well-
mance. Of the thirty-nine credits that set quantitative being more explicit. Parks, for instance, have long been
levels of performance, the bulk remain prescriptive in viewed as beneficial: as green refuges in the city and as
method, with only seven (21 percent) allowing for open- places of recreation. Given a greater common under-
ended attainment of those performance levels. One standing of landscape architecture’s aims, parks and
example of a high-performance-based credit, “Manage other creations of landscape architects can now also be
stormwater on site” (credit 3.5), provides a method for valued for their benefits, such as climate mitigation,
comparing regionally adjusted, model runoff-curve num- improvements in air and water quality, habitat provi-
bers for pre- and postdevelopment conditions, and it sets sion, and pollination.
different point values based on preservation or reduction
Frederick STEINER
of runoff volumes. This type of credit leaves the landscape
The University of Texas at Austin
architect to determine the ways to achieve performance
levels. The landscape architect may choose, for example, See also Adaptive Resource Management (ARM);
to incorporate conventional stormwater approaches (such Brownfield Redevelopment; Comanagement; Ecosystem
as detention ponds) or low-impact design approaches Services; Landscape Planning, Large-Scale; Natural
(such as rain gardens, rainwater harvesting, or green Capital; Nutrient and Biogeochemical Cycling;
roofs), so long as the methods used may be shown Permaculture; Rain Gardens; Soil Conservation;
through modeling to meet the performance goal. Stormwater Management; Urban Agriculture; Urban
The SITES credits move beyond conservation to the Forestry; Urban Vegetation; Viewshed Protection
restoration of resources. “Preserve or restore appropriate
plant biomass on site” (credit 4.6), for example, intends
to ensure regionally appropriate levels of vegetation bio-
mass (referred to as biomass density index or BDI) on site
FURTHER READING
Carr, Stephen; Francis, Mark; Rivlin, Leanne G.; and Stone, Andrew
that are sufficient to support ecosystem services. For
M. (1992). Public space. New York: Cambridge University Press.
“greenfield” areas—those never previously developed— Francis, Mark. (2001). A case study method for landscape architec-
postdevelopment vegetation-density levels must at least ture. Landscape Journal, 20 (1), 15–29.
equal historic predevelopment conditions. For greyfield or Henderson, Harold. (1985). Prairie speak : The life and art of a forgotten
prophet. Chicago: Chicago Reader Inc.
brownfield sites that have lost significant levels of vegeta-
Hooper, Leonard J. (Ed.). (2007). Landscape architecture graphic stan-
tion through earlier development, the credit provides a dards. Hoboken, NJ: John Wiley & Sons.
greater array of points based on improvement in the amount McHarg, Ian L. (1969). Design with nature. Garden City, NY: Natural
of vegetation incorporated into the new site design. History Press/Double Day.
Rottle, Nancy, & Yocom, Ken. (2011). Basics landscape architecture:
Postconstruction vegetation amounts are estimates based
Ecological design. West Sussex, UK: AVA.
on cover type after 110 years of growth and compared to Steiner, Frederick. (2011). Design for a vulnerable planet. Austin:
appropriate region-specific vegetation levels based on cli- University of Texas Press.
mate and dominant habitat types. Since landscape archi- Tishler, William H. (Ed.). (1989). American landscape architecture.
Washington, DC: National Trust for Historic Preservation.
tects determine how these biomass-density levels are
Windhager, Steven; Steiner, Frederick; Simmons, Mark T.; &
attained, approaches may include everything from preserv- Heymann, David. (2010). Toward ecosystem services as a basis for
ing existing areas of high-quality vegetation to creating design. Landscape Journal, 29 (2), 107–123.

Landscape Planning, Large-Scale
Landscape planning operates at a range of scales, from (Termorshuizen and Opdam 2009). Social and economic
metropolitan to open countryside. It seeks to promote sustainability relate, on one hand, to the delivery of ser-
socioeconomic and ecological sustainability in various vices to people, such as helping to attract inward invest-
ways, especially by maintaining and improving impor- ment (i.e., money coming from outside), and on the other
tant land-use functions, such as ecosystems, drainage, hand, to a self-reinforcing cycle in which local people
and local climate regulation. Key activities include con- invest in the landscape because it underpins the produc-
serving protected areas, assessing the visual impact of tion of goods and services. Sustainability requires land-
planned development, and joining up the green infra- scapes to be grounded in history and heritage, retaining
structure of urban areas. and recovering the memories and physical traces of past
landscapes, not least because they can furnish wisdom for
M ost people are familiar with the work of landscape

architects in relation to the design and regenera-
tion of urban spaces. Landscape planning and design
future landscape care. It also needs to look forward to
large-scale interventions, such as the managed removal of
coastal defenses, rewilding, and reforestation.
also take place on a large scale. There are no clear bound-
aries to the idea of “large scale”: at the lower end, it
could relate to the open-space network of a new suburb Landscape Planning Concepts
(Williams, Joynt, and Hopkins 2010), and at the upper
end, to the entire landscape resource of a small country A landscape is not the same as an ecosystem, though they
(Kabat et al. 2005). The nature of “planning” in relation may be closely related—a landscape typically has a dis-
to landscape is similarly diverse, but broadly it refers to tinctive visual identity and is more cultural in the sense
the ways that public authorities can conserve or promote that people have either helped to create it or at least share
important properties of land and coast. A core concern of a widely recognized image of it. One popular definition
landscape planning centers on the ways in which land- of landscape is that it is “an area, as perceived by people,
scapes differ around the world and therefore help to make whose character is the result of the action and interaction
places special and recognizable. Unfortunately, many of natural and/or human factors” (Council of Europe
places are presently becoming more and more similar, or 2000). A similar perspective (Phillips 2002) sees large-
homogenized, so landscape planners now aim to protect scale landscape as nature plus people, past plus present,
and reinforce the special characteristics that make places and physical attributes (scenery, nature, historic heritage)
distinctive. plus associative values (social and cultural).
Landscape planning promotes sustainable development Large-scale landscape planning can be traced back to
(Benson and Roe 2007) and typically pursues a “triple the designation of national parks from the nineteenth
bottom line” in relation to economic, social, and environ- century onward, and it has subsequently diversified into
mental sustainability. Environmental sustainability refers a wider range of practices (Selman 2010). Initially, land-
to the continued or improved capacity of physical and eco- scape planning was closely associated with protection,
logical functions associated with a landscape, and the namely, safeguarding special qualities of scenically
ability to continually deliver a range of associated services important rural areas. As the twentieth century
236

LANDSCAPE PLANNING, LARGE-SCALE • 237
proceeded, other aspects rose in significance. First, as activities, so that they might remain unimpaired for future
concerns grew about the impact of industrial and urban generations to enjoy, and are directly managed by the US
development, greater importance became attached to National Park Service. In contrast, the United Kingdom’s
assessing and mitigating landscape and visual impacts, national parks are settled and mainly privately owned,
and to reclaiming the landscapes of deindustrialized where locally based National Park Authorities regulate
areas (Fairbrother 1970). Second, the worrying declines development, influence farmers, and manage recreation.
in biodiversity around the world led scientists to pursue National parks can vary from the wilderness of Glacier
landscape-scale approaches to nature protection. Wildlife Bay in Alaska (over 13,000 square kilometers) to England’s
cannot thrive when it is reduced to a few preserves, sepa- Peak District (about one-tenth the size), with its cement
rated by intensively exploited agricultural and urban factories, thirty-eight thousand residents, and up to half a
land; hence, landscape planning often relates to ecologi- million visitors a week. In France, “regional parks” com-
cal strategies, in an attempt to provide more continuously bine scenic safeguards with green tourism and sustainable
connected habitat networks across wide areas (Hopkins economic development—for example, by marketing tradi-
2009). Th ird, while early landscape policy emphasized tional local products such as specialty cheeses and fruit
scenic and visual aspects, more recent studies have taken juices through a coveted “marque” that affirms quality and
a multifunctional perspective, attaching greater value to provenance, thereby stimulating the survival of vernacular
landscape as a framework for integrating environmental, farming landscapes.
social, and economic systems (Lovell and Johnston A further scale of landscape planning has been associ-
2009). These trends have led to an increasing concern for ated with industrial activity. Many development proposals
ordinary landscapes, including urbanized areas. are subject to an assessment of their landscape and visual
In view of the varied nature of landscape planning, it impact. Landscape impact assessment typically refers to
is helpful to note the distinction that has been drawn by the degree to which a proposed land-use change is com-
the Council of Europe (2000) between landscape protec- patible with the surrounding landscape character. It con-
tion (actions to maintain significant or characteristic fea- siders whether the area has the innate capacity to absorb
tures) and landscape planning (strong forward-looking the proposed activity and whether its distinctive qualities
action to enhance, restore, or create). In essence, land- might be significantly altered. Visual impact assessment is
scape planning has two different expressions: a protec- concerned more with the direct physical effect of the pro-
tionist approach, where highly valued cultural landscapes posal, often analyzed in terms of the “zone of visual intru-
require safeguarding and traditional management to sion,” or the area within which the development is clearly
maintain their inherited qualities; and a proactive visible (Landscape Institute, IEMA, and Wilson 2002).
approach, where poor-quality landscapes benefit from The challenge for landscape planners is to make a judg-
improvement or new landscapes are created. ment about the acceptability of the proposals and to ascer-
tain ways of mitigating the predicted impact(s). For
example, potentially destructive proposals such as new
Scales of Landscape Planning highways can be designed so they fit in with the contours
of the landscape and are screened by ecologically diverse
Rural landscape planning typically operates at a scale of vegetation, while strip mining can be ameliorated by care-
tens to hundreds of square kilometers. Here, the emphasis ful screening and imaginative restoration programs. At
has predominantly been on acclaimed landscapes, but the other end of the industrial life cycle, landscape plan-
there is a growing concern to recognize the qualities of all ning can enhance and restore derelict areas. Given the
areas. The most notable landscapes at this scale are national advances in reclamation technology and the amount
parks, which were created in response to a concern to of deindustrialization in recent decades, this scale of
defend visually iconic areas in the face of urban-related landscape planning may also be extensive (Ling, Handley,
growth and agricultural intensification. Such parks usually and Rodwell 2007). Thus, the Parc de la Deule, in north-
comprise relatively unaltered and strictly controlled areas, ern France, comprises a coordinated strategy to reclaim
and fall within the International Union for Conservation coal mining areas, protect water resources, defragment
of Nature’s ( IUCN’s) Protected Area Category II, farms, and improve public open space provision within a
“national park,” where there is an emphasis on ecosystem 30-kilometer swath (de Vogüe 2007). New rural resource
protection and recreation. In some densely populated coun- proposals can also have a large-scale impact.
tries, though, a more cultural interpretation is adopted, A third scale of landscape planning is associated with
and they correspond to IUCN’s Category V, “protected metropolitan areas, including the urban fringe. One of
landscape/seascape” (Phillips 2002). Thus, for example, the main problems facing planners at this scale is the way
the national parks of the United States are strictly pro- in which the landscape has been fragmented by develop-
tected against hunting, mining, and other consumptive ment and intensive farming. A major objective is

therefore to try and reconnect the fragments as a “green One popular tool, which we have already noted in
infrastructure” (Benedict and McMahon 2006). Rather relation to industrial and rural resource development,
than seeking to resist change, planners may actively cou- is “landscape and visual impact assessment.” Another
ple new development to landscape creation. Within the widely used technique in older, cultural landscapes is
urban network, there has been a long tradition of open “landscape character assessment,” which helps us to
space provision, occasionally with a conscious realization understand what makes places distinctive and special. It
of landscape scale, such as the US landscape architect can be used by planners to control or encourage types of
Frederick Law Olmsted’s creation of an “emerald neck- development relative to the capacity and characteristics
lace” in Boston over a century ago (Zaitzevsky 1982). The of an area. Characterization methods have built on a
planning of green infrastructure often entails identifying longer tradition of trying to evaluate the relative values
natural signatures of relict ecological and hydrological of landscape over wide areas (Bishop and Phillips 2004).
systems within the urban structure. A landmark in the development of strategic landscape
Th ree ideas are central to the sustainability of green planning was Ian McHarg’s Design with Nature, which
infrastructure. First, it must be highly accessible, so that demonstrated how maps of different landscape attributes
it enables people to reduce their carbon footprints if they could be overlaid to identify where new development
want to visit good-quality landscape. Second, it must would integrate most satisfactorily with the intrinsic
possess spatial continuity, so that it supports landscape capacity of places (McHarg 1969). Th is approach has
functions that depend on connectivity, such as biodiver- been superseded by the data storage and analytical capa-
sity processes and floodplain regulation. Third, it must be bilities of modern computers, and by modern theories of
multifunctional, so that there is simultaneous interaction dynamic ecosystems, but McHarg’s fundamental ratio-
between a range of co-located ecosystem services. These nale remains intact. In practice, most approaches to land-
include wildlife protection, opportunities for health and scape planning now involve a representation and analysis
fitness, promotion of psychological and emotional well- of landscape services through geo-
being, water circulation, mitigation of and graphic information systems, an
adaptation to climate change, local food assessment of areas where inter-
production, enhanced property val- vention can promote synergies
ues, and community engagement. between landscape services, an
analysis of priority areas based
on criteria such as human need,
Methods of and implementation methods
Landscape Planning such as regulatory controls and
financial incentives.
Landscape planners work with Landscape planning can be very
three main, often overlapping, complex and technical, yet land-
methods: protection of special scapes matter enormously to ordinary
areas, “toolkits” to assess particu- citizens. Therefore, landscape planners
lar qualities, and strategic spatial increasingly make use of methods to
planning models. involve other organizations and the
We have previously noted the general public. Methods typically
approach toward protection in engage people in mapping the charac-
national parks. Th is method may ter of their areas, for example by pro-
be more generally understood as viding expert facilitators to help
“designation,” where areas are volunteers undertake desk studies
designated on official maps and field surveys of their local land-
(Selman 2009). While areas of scapes (James and Gittins 2007), or use
national importance are fi rmly public participation techniques to inform the
protected, other areas of regional or design and restoration of future landscapes (Collier and
local scenic importance may also attract some degree of Scott 2010).
conservation. Planning mechanisms in designated areas
usually comprise a mix of land acquisition by public or
nongovernmental organizations, strict planning con- Outlook
trols, site management for traffic and recreation, provi-
sion of visitor information, and grant aid for land The most striking trend in landscape planning is a shift
management. in emphasis from protecting nationally important scenery

LANDSCAPE PLANNING, LARGE-SCALE • 239
toward promoting landscape quality in all areas. Th is De Vogüe, Alix. (2007). Espaces naturels: Reconstitution d’un pay-
does not mean that protected areas have become less sage de marais. Le Moniteur des travaux publics et du bâtiment, 5387,
48–49.
important—quite the reverse; landscape is now under- Fairbrother, Nan. (1970). New lives, new landscapes: Planning for the
stood as possessing numerous, often unseen, functions in 21st century. New York: Knopf.
addition to its visual qualities. As green infrastructure Foreman, Dave. (2004). Rewilding North America : A vision for conser-
becomes more important, so the traditionally rural vation in the 21st century. Washington, DC: Island Press.
Gobster, Paul. (2001). Forests and landscapes: Linking ecology, sus-
emphasis of landscape planning declines, and the town- tainability and aesthetics. In Stephen R. J. Sheppard & Howard W.
country divide becomes less relevant. Also, there is a Harshaw (Eds.), Forests and landscapes: Linking ecology, sustainabil-
growing awareness of economic, social, cultural, politi- ity and aesthetics (pp. 21–28). Wallingford, UK: CABI Publishing.
cal, natural, and technological “drivers of change,” which Hopkins, John. (2009). Adaptation of biodiversity to climate change:
An ecological perspective. In Michael Winter & Matt Lobley
cannot be stopped but merely influenced and channeled (Eds.), What is land for? Th e food, fuel and climate change debate
(Schneeberger et al. 2007). Policy makers now accept and (pp. 189–212). London: Earthscan.
even welcome a degree of change so long as it meets sus- James, Philip, & Gittins, John W. (2007). Local landscape character
tainability criteria and benefits local communities and assessment: An evaluation of community-led schemes in Cheshire.
Landscape Research, 32 (4), 423–442.
economies. The degree to which we choose to embrace or Kabat, Pavel; van Vierssen, Wim; Veraart, Jeroen; Vellinga, Pier; &
control change drivers remains controversial—for exam- Aerts, Jeroen. (2005). Climate proofing the Netherlands. Nature,
ple, how much alteration do we permit in iconic cultural 438, 283–284.
landscapes, or how far can we allow nature to take over Landscape Institute, Institute of Environmental Management and
Assessment (IEMA), & Wilson, Sue. (2002). Guidelines for land-
on rewilded land or realigned coasts? scape and visual impact assessment (2nd ed.). London: Spon Press.
Perhaps the major lesson for future landscape planners Ledoux, Laure; Cornell, Sarah; O’Riordan, Tim; Harvey, Robert; &
will be the degree of attention shift from the developed Banyard, Laurence. (2005). Towards sustainable flood and coastal
to the developing world. While the importance of multi- management: Identifying drivers of, and obstacles to, managed
realignment. Land Use Policy, 22, 129–144.
functional landscapes will continue to increase in the Ling, Christopher; Handley, John; & Rodwell, John. (2007).
developed world, the greater challenge will be to safe- Restructuring the post-industrial landscape: A multifunctional
guard the exceptional natural and cultural assets of approach. Landscape Research, 32, 285–309.
rapidly developing countries and to embed green infra- Lovell, Sarah Taylor, & Johnston, Douglas. (2009). Creating multifunc-
tional landscapes: How can the field of ecology inform the design of
structures within their burgeoning cities. landscape? Frontiers in Ecology and the Environment, 7, 212–220.
McHarg, Ian. (1969). Design with nature. Garden City, NY: Natural
Paul SELMAN History Press for the American Museum of Natural History.
University of Sheffield, Emeritus Phillips, Adrian. (2002). Management guidelines for IUCN category V
protected areas: Protected landscapes/seascapes. Gland, Switzerland:
See also Coastal Management; Community Ecology; IUCN.
Landscape Architecture; Large Marine Ecosystem Schneeberger, Nina; Bürgi, Matthias; Hersperger, Anna M.; &
(LME) Management and Assessment; Light Pollution Ewald, Klaus C. (2007). Driving forces and rates of landscape
change as a promising combination for landscape change research.
and Biological Systems; Marine Protected Areas (MPAs); Land Use Policy, 2, 349–361.
Rewilding; Road Ecology; Stormwater Management; Selman, Paul. (2006). Planning at the landscape scale. London:
Viewshed Protection Routledge.
Selman, Paul. (2009). Conservation designations—Are they fit for
purpose in the 21st century? Land Use Policy, 26 (Suppl. 1),
S142–S153.
FURTHER READING Selman, Paul. (2010). Landscape planning: Preservation, conservation
Bell, Simon. (2004). Elements of design in the landscape (2nd ed.). and sustainable development (Centenary Paper). Town Planning
London: Spon Press. Review, 81(4), 382–406.
Benedict, Mark E., & McMahon, Edward T. (2006). Green infrastruc- Steiner, Frederick. (2008). The living landscape (2nd ed.) Washington,
ture: Linking landscape and communities. Washington, DC: Island DC: Island Press.
Press. Steinitz, Carl, et al. (2005). A delicate balance: Conservation and devel-
Benson, John, & Roe, Maggie. (Eds.). (2007). Landscape and sustain- opment scenarios for Panama’s Coiba National Park. Environment:
ability (2nd ed.). Oxford, UK: Routledge. Science and policy for sustainable development, 47(5), 24–39.
Bishop, Kevin, & Phillips, Adrian. (Eds.). (2004.) Countryside plan- Termorshuizen, Jolande W., & Opdam, Paul. (2009). Landscape ser-
ning: New approaches to management and conservation. London: vices as a bridge between landscape ecology and sustainable devel-
Earthscan. opment. Landscape Ecology, 24, 1037–1052.
Collier, Marcus, & Scott, Mark. (2010). Focus group discourses in a Turner, Tom. (1998). Landscape planning and environmental impact
mined landscape. Land Use Policy, 37(2), 304–312. design. London: UCL Press.
Council of Europe. (2000). The European Landscape Convention. Williams, Katie; Joynt, Jennifer L. R.; & Hopkins, Diane. (2010).
Retrieved August 18, 2010, from http://www.coe.int/t/dg4/ Adapting to climate change in the compact city: The suburban
cultureheritage/heritage/landscape/default_EN.asp challenge. Built Environment, 36(1), 105–115.
Crowe, Sylvia. (1966). Forestry in the landscape. Edinburgh, UK: Zaitzevsky, Cynthia. (1982). Frederick Law Olmsted and the Boston park
Forestry Commission. system. Cambridge, MA: Harvard University Press.

Large Marine Ecosystem (LME)
Management and Assessment
Large marine ecosystems (LMEs) are ecologically defined of coastal pollution, nutrient over-enrichment and acidi-
and highly productive coastal areas of at least 200,000 fication, restoration of degraded habitats, conservation of
square kilometers located along Earth’s continental biodiversity, and mitigation of and adaptation to the
margins. The goods and services of LMEs that contrib- effects of climate change.
ute an estimated $12.6 trillion annually to the global Levels of surface chlorophyll at the base of marine
economy are in a downward spiral from overfishing, food chains and the source of primary production in the
pollution, nutrient over-enrichment, and habitat degra- oceans are measured as grams of carbon per square meter.
dation. An international effort is underway to recover These rates are persistently higher around the margins of
and sustain LME resources. the ocean basins, within the boundaries of the LMEs,
than in the open ocean. The high rates of primary pro-
duction support the high biomass levels of fish within the
L arge marine ecosystems (LMEs) are defined as pro-
ductive regions of ocean space at least 200,000 square
kilometers (km 2) in size that encompass coastal areas
boundaries of the LMEs.
Through the mid-1980s and 1990s the scientific basis
from river basins and estuaries seaward to the break or for moving toward ecosystem-based assessment and
slope of the continental shelf, or to the seaward extent of management of marine resources to reverse the down-
a well-defi ned current system along coasts that lack ward spiral in LME goods and services was put forward
continental shelves. (See figure 1 on page 241.) Earth’s at annual meetings of the American Association for the
sixty-four LMEs are defined by ecological criteria Advancement of Science, the International Council for
including (1) bathymetry (i.e., contours of bottom depth), the Exploration of the Sea (ICES), and at international
(2) hydrography (i.e., seawater characteristics including LME conferences. This movement represents a paradigm
salinity, density, and temperature), (3) productivity, and shift from single-species assessments to multiple-species
(4) trophically linked populations (i.e., predator-prey assessments, and from small scale up to the LME scale
transfers of carbon energy through the food chain from for measuring changing ecosystem states on an annual
plankton to marine mammals and other top predators). basis, with a focus not only on ecosystem goods but also
The future is uncertain for the world’s large marine on ecosystem services. (See table 1 on page 242.)
ecosystems. They annually produce 80 percent of usable An ecosystem-based approach has been introduced by
marine biomass (e.g., fish, seaweed); however, LMEs are the US National Oceanic and Atmospheric Administration
becoming increasingly stressed by both natural and (NOAA) in partnership with the UN system and interna-
anthropogenically induced changes, including climate tional financial institutions (e.g., World Bank, Global
change, overfishing, and pollution. The potential for con- Environment Facility) to improve assessment and man-
sequent negative effects on the sustainable development agement of marine resources in LMEs. A five-module
of LMEs has aroused major international concern. A LME indicator approach has proven useful for measuring
global effort is underway to restore and sustain LME changing states of LMEs and introducing ecosystem-
goods and services; it is focused on the recovery and sus- based adaptive management strategies for (1) improving
tainability of depleted fish stocks, reduction and control and sustaining LME productivity and (2) fish and fisheries,
240

LARGE MARINE ECOSYSTEM (LME) MANAGEMENT AND ASSESSMENT • 241
Figure 1. Location of the Earth’s Large Marine Ecosystems
1. East Bering Sea 23. Baltic Sea 44. West-Central Australian Shelf
2. Gulf of Alaska 24. Celtic-Biscay Shelf 45. Northwest Australian Shelf
3. California Current 25. Iberian Coastal 46. New Zealand Shelf
4. Gulf of California 26. Mediterranean Sea 47. East China Sea
5. Gulf of Mexico 27. Canary Current 48. Yellow Sea
6. Southeast US Continental Shelf 28. Guinea Current 49. Kuroshio Current
7. Northeast US Continental Shelf 29. Benguela Current 50. Sea of Japan
8. Scotian Shelf 30. Agulhas Current 51. Oyashio Current
9. Newfoundland-Labrador Shelf 31. Somali Coastal Current 52. Okhotsk Sea
10. Insular Pacific-Hawaiian 32. Arabian Sea 53. West Bering Sea
11. Pacific Central-American Coastal 33. Red Sea 54. Chukchi Sea
12. Caribbean Sea 34. Bay of Bengal 55. Beaufort Sea
13. Humboldt Current 35. Gulf of Thailand 56. East Siberian Sea
14. Patagonian Shelf 36. South China Sea 57. Laptev Sea
15. South Brazil Shelf 37. Sulu-Celebes Sea 58. Kara Sea
16. East Brazil Shelf 38. Indonesian Sea 59. Iceland Shelf
17. North Brazil Shelf 39. North Australian Shelf 60. Faroe Plateau
18. West Greenland Shelf 40. Northeast Australian Shelf-Great 61. Antarctic
19. East Greenland Shelf Barrier Reef 62. Black Sea
20. Barents Sea 41. East-Central Australian Shelf 63. Hudson Bay
21. Norwegian Shelf 42. Southeast Australian Shelf 64. Arctic Ocean
22. North Sea 43. Southwest Australian Shelf
Source: Large Marine Ecosystems of the World. (2009). The large marine ecosystem approach to the assessment and management of coastal ocean
waters. Retrieved March 11, 2011, from http://www.lme.noaa.gov/index.php?option5com_content&view5article&id547&Itemid541
Large marine ecosystems are areas of the ocean characterized by distinct bathymetry, hydrography, productivity, and trophic interactions.
Global efforts are focused on the recovery and sustainability of marine goods and services within Earth’s sixty-four LMEs.

Table 1. A Paradigm Shift to Ecosystem-Based Europe in carrying forward LME projects. The projects
Management are introducing ecosystem-based assessment and man-
agement practices that consider multisectoral interests
From To (e.g., fisheries, transportation, energy production, wind
Individual species Ecosystems farms, recreation) to recover and sustain depleted fish
stocks; restore damaged habitats (e.g. sea grasses, corals,
Small spatial scale Multiple scales mangroves); reduce and control pollution, nutrient over-
Short-term perspective Long-term perspective enrichment, and acidification; and mitigate and adapt to
Humans as independent Humans as integral climate change.
of ecosystems part of ecosystems The LME governance module is developed by each
LME project to meet high-priority objectives for resource
Management divorced Adaptive management
recovery and sustainability. The management frame-
from research
work engages national, regional, and local jurisdictions.
Managing commodities Sustaining production Th rough GEF-supported LME projects, countries are
potential for goods and moving toward joint governance arrangements to address
services the priority transboundary issues identified in the
LMEs they share affecting LME fisheries, oil and gas
Source: Lubchenco (1994).
production, transportation, tourism, and offshore energy
production. The processes used to make determinations
relating to governance include the joint preparation by
(3) controlling pollution and improving ecosystem health, participating countries of transboundary diagnostic anal-
(4) maximizing socioeconomics benefits, and (5) initiat- yses (TDAs) to prioritize issues, and strategic action pro-
ing ecosystem-based governance practices. Ecosystem grams (SAPs) to focus on issues to be resolved to optimize
measurements for the fi rst three modules provide a socioeconomic benefits derived from healthy LMEs. The
sound scientific foundation for measuring changing SAPs serve as international agreements guiding the
states of LMEs. The other two modules follow manage- implementation of actions identified and prioritized in
ment policies to optimize socioeconomic benefits to be the TDAs for advancing toward recovery and sustain-
derived from LME goods and services within the frame- ability of LME goods and services.
work of a governance regime that provides for manage-
ment practices.
Adaptive Management of LMEs
Valuation and Governance of LMEs
An overarching adaptive management strategy in the
Coastal waters encompassing LMEs annually contribute form of a commission and/or serial management actions
US $12.6 trillion to the global economy. The socioeco- at different scales within the LME address multiple-user
nomic module emphasizes the practical application of issues, including habitat restoration, fisheries recovery,
scientific findings to optimize and sustain socioeconomic and other goods and services issues at several scales.
benefits to civil society. Experiences and lessons learned have proven effective at
With $3.1 billion in financial support from the Global the level of the numerous ministries responsible for the
Environment Facility (GEF)—an international financial various sectors (e.g., fisheries, transportation, environ-
organization located within the World Bank and focused ment, energy, and tourism). The ministerial approvals are
on global environmental issues—and the World Bank, obtained at the national levels with full knowledge that
partnerships have been forged among five UN agencies the ministries are entering into a five-year agreement,
(United Nations Development Programme [UNDP], with the option for an additional five years, to address
United Nations Environment Programme [UNEP], transnational and transboundary issues that have been
United Nations Industrial Development Organization prioritized through the GEF-supported TDA and SAP
[UNIDO], Food and Agriculture Organization [FAO], processes, thereby integrating local, national, and trans-
and the International Oceanographic Commission–UN boundary interests of the LME project for up to ten
Educational, Scientific and Cultural Organization years. For example, agreements have been reached for
[IOC-UNESCO]), the US-NOAA, Norway, Iceland, moving forward with ecosystem-based adaptive manage-
Germany, and two nongovernmental organizations ment actions by the three southwest African countries—
(International Union for Conservation of Nature Angola, Namibia, and South Africa—sharing the goods
[IUCN], World Wildlife Fund [WWF]) to assist 110 and services of the Benguela Current LME (located in
countries in Africa, Asia, Latin America, and eastern the southern Atlantic along the southwest coast of

LARGE MARINE ECOSYSTEM (LME) MANAGEMENT AND ASSESSMENT • 243
Africa) under the framework of the Benguela Current scale have appeared in the journals Science and Nature
LME Commission. Other examples can be found devel- during the past decade; see references to these studies in
oping among the sixteen countries located along the the Further Reading section. In one of the published
landward margins of the Guinea Current LME from reports (Worm et al. 2006), the authors concluded that
Guinea Bissau in the north to Angola in the south, in the the “overfishing” trend in the world’s LMEs could result
interim Guinea Current LME Commission. And in in the loss of viable wild-caught world marine fisheries by
Asia, the People’s Republic of China has joined with the 2048. In a subsequent paper (Worm et al. 2009), the
Republic of Korea in developing a joint commission for same authors joined with others who questioned the
the sustainable development of the goods and services of original results and concluded that, in fact, with proper
the Yellow Sea LME. application of science-based management controls,
marine populations of fisheries stocks could be recovered
Comparative LME Assessments from a depleted state and, under scientifically determined
annual catch levels, be fished sustainably. Other LME
LME projects have had positive effects in transforming global scale modeling reports published in Nature have
governance regimes from single sector foci to multisec- focused on the use and the apparent misuse of the “mean
toral ecosystem-based adaptive management practices trophic level of fish catch” index among the world’s
that improve people’s awareness of important at-risk eco- LMEs (Branch et al. 2010) and the positive contribution
system goods and services and support actions aimed at of catch shares for sustaining marine fisheries in LMEs
sustainable development of LMEs. The bottom-up TDA (Costello, Gaines, and Lynham 2008). Recent comparative
and SAP processes allow for national inputs to the LME studies have been published
LME project from coastal communities. in other journals, including a
The activities span the extent of country study on the average annual car-
interest (established in the national rying capacity of the world’s
strategic plans), transboundary LMEs for supporting fisheries
resources, and the entire LME. biomass (Christensen et al.
Objectives of LME projects 2009) and a study on the effects
are consistent with the 2002 of climate warming on fisheries
Johannesburg targets and Plan biomass yields (Sherman et al.
of Implementation of the World 2009). Other studies project a
Summit on Sustainable Develop- doubling of nitrogen levels
ment to achieve substantial reduc- from river basin drainage by
tions in land-based sources of 2050, increasing the frequency
pollution, introduce an ecosystems and extent of dead zones
approach to marine resource assess- within LME waters unless
ment and management, designate a mitigation actions are imple-
network of marine protected areas, mented to control nutrient
and restore and sustain depleted over-enrichment (Seitzinger,
fish stocks. Sherman, and Lee 2008).
The GEF LME project foot- The results of studies at the
print on the global scale encom- LME scale are important to the
passes actions to recover and sustain implementation of ecosystem-
marine goods and services affecting based assessment and management
the livelihoods of hundreds of millions of practices in support of an emerging
people engaged in marine fisheries, aquaculture, tour- upward spiral in the recovery of depleted fish
ism, shipping, energy production, and other marine stocks and improvements in water quality in LMEs adja-
industry activities in Africa, Asia, Latin America, and cent to the United States and in the Yellow Sea LME
eastern Europe. bordering the People’s Republic of China and the
The application of the five-module LME approach to Republic of Korea. Other positive movements toward
the assessment and management of marine resources is LME recovery and sustainability are underway in proj-
growing. From a scientific perspective, the importance of ects in Africa, Asia, Latin America, and eastern Europe.
comparative assessments among the world’s LMEs is to The key persons engaged in the LME projects are listed
advance an understanding of the sources and effects of along with LME project objectives in a report compiled
human- and climate-induced changes on sustaining eco- by NOAA entitled Scope and Objectives of Global
system goods and services. Major studies at the LME Environment Facility Supported Large Marine Ecosystems

Projects (Sherman, Adams, and Aquarone 2010). In Diaz, Robert J., & Rosenberg, Rutger. (2008). Spreading dead zones
November 2010 a volume describing the global LME and consequences for marine ecosystems. Science , 321(5891),
926–929.
recovery effort entitled Sustainable Development of the Duda, Alfred M. (2009). GEF support for the global movement
World’s Large Marine Ecosystems During Climate Change toward the improved assessment and management of large marine
(Sherman and Adams 2010) was released at the 2010 ecosystems. In Kenneth Sherman, Marie Christine Aquarone &
Göteborg Award for Sustainable Development Sara Adams (Eds.), Sustaining the world’s large marine ecosystems
(pp. 1–12). Gland, Switzerland: International Union for Conservation
ceremony. of Nature and Natural Resources (IUCN).
Among the more promising actions leading to the Duda, Alfred M., & Sherman, Kenneth. (2002). A new imperative for
recovery and sustainability of the LMEs is the agreement improving management of large marine ecosystems. Ocean and
reached by the People’s Republic of China and the Coastal Management, 45(11–12), 797–833.
Hennessey, Timothy M., & Sutinen, Jon G. (Eds.). (2005). Sustaining
Republic of Korea to improve water quality and reduce large marine ecosystems: The human dimension. Amsterdam: Elsevier
the fishing effort in the Yellow Sea LME by 33 percent Science.
by 2050. Other countries are supporting and achieving Lubchenco, J. (1994). The scientific basis of ecosystem management:
sustainable fishery practices, including Iceland within the Framing the context, language, and goals. In J.
Seitzinger, Sybil; Sherman, Kenneth; & Lee, Rosalynn. (Eds.).
Iceland Shelf LME and Norway in the Norwegian Sea (2008). Filling gaps in LME nitrogen loadings forecast for 64 LMEs
LME. The United States is also recovering and sustain- (Intergovernmental Oceanographic Commission Technical Series
ing fisheries in the eleven LMEs adjacent to the US 79). Paris: United Nations Educational, Scientific and Cultural
coasts. Organization.
Sherman, Kenneth. (2006). The large marine ecosystem network
The global movement supporting the recovery and approach to WSSD targets. Ocean and Coastal Management ,
sustainability of the goods and services of LMEs is grow- 49 (9–10), 640–648.
ing, particularly among the economically developing Sherman, K., & Adams, S. (Eds.) (2010). Sustainable development of the
countries of the world with the aid of $3.6 billion in world’s large marine ecosystems during climate change: A commemora-
tive volume to advance sustainable development on the occasion of the
financial support from the GEF, the World Bank, and an presentation of the 2010 Göteborg Award . Gland, Switzerland:
increasing number of international donor nations International Union for Conservation of Nature.
(Sherman and Adams 2010). Sherman, Kenneth; Adams, Sara; & Aquarone, Marie Christine.
(Eds.). (2010). Scope and objectives of global environment facility sup-
Kenneth SHERMAN ported large marine ecosystems projects (NOAA Large Marine
National Oceanic and Atmospheric Ecosystem Program Report). Narragansett, RI: United States
Department of Commerce (USDOC), National Oceanic and
Administration (NOAA) Atmospheric Administration (NOAA), National Marine Fisheries
Service (NMFS), Office of Science and Technology.
See also Coastal Management; Comanagement; Ecological Sherman, Kenneth; Alexander, Louis M.; & Gold, Barry D. (Eds.).
Restoration; Ecosystem Services; Fisheries Management; (1992). Large marine ecosystems: Stress, mitigation and sustainability.
Global Climate Change; Marine Protected Areas (MPAs); Washington, DC: AAAS Press.
Natural Capital; Ocean Acidification—Management; Sherman, Kenneth; Belkin, Igor M.; Friedland, Kevin D.; O’Reilly,
John; & Hyde, Kimberly. (2009). Accelerated warming and emer-
Ocean Resource Management; Pollution, Point Source; gent trends in fisheries biomass yields of the world’s large marine
Population Dynamics; Shifting Baselines Syndrome ecosystems. Ambio, 38 (4), 215–224.
Tang, Qisheng. (2009). Changing states of the Yellow Sea large
marine ecosystem: Anthropogenic forcing and climate impacts. In
Kenneth Sherman, Marie Christine Aquarone & Sara Adams
FURTHER READING (Eds.), Sustaining the world’s large marine ecosystems (pp. 77–88).
Behrenfeld, M., & Falkowski, P. G. (1997). Photosynthetic rates Gland, Switzerland: International Union for Conservation of
derived from satellite-based chlorophyll concentration. Limnology Nature and Natural Resources (IUCN).
& Oceanography, 42 (1), 1–20. United Nations Development Program, Global Environment Facility
Branch, Trevor A., et al. (2010). The trophic fi ngerprint of marine (UNDP/GEF). (2009). UNDP/GEF project on reducing environ-
fisheries. Nature, 468 (7322), 431–435. mental stress in the Yellow Sea large marine ecosystem (YSLME).
Christensen, Villy, et al. (2009). Database-driven models of the Ansan, Republic of Korea: Strategic action programme.
world’s large marine ecosystems. Ecological Modelling, 220 , Wang, Hanling. (2004). An evaluation of the modular approach to the
1984–1996. assessment and management of large marine ecosystems. Ocean
Conti, Lorenza, & Scardi, Michele. (2010). Fisheries yield and pri- Development and International Law, 35(3), 267–286.
mary productivity in large marine ecosystems. Marine Ecology Worm, Boris, et al. (2006). Impacts of biodiversity loss on ocean eco-
Progress Series, 410, 233–244. system services. Science, 314 (5800), 787–790.
Costanza, Robert, et al. (1997). The value of the world’s ecosystem Worm, Boris, et al. (2009). Rebuilding global fi sheries. Science,
services and natural capital. Nature, 387(6630), 253–260. 325(5940), 578–585.
Costello, Christopher; Gaines, Steven D.; & Lynham, John. (2008). Zinn & M. L. Corn (Eds.), Ecosystem management: Status and potential
Can catch shares prevent fisheries collapse? Science, 321(5896), (Senate Report No. 98, pp. 33–39). Washington, DC: US
1678–1681. Government Printing Office.

Light Pollution and
Biological Systems
Artificial light, particularly outdoor lighting at night, dis- brightest constant source is natural sky glow emitted by
rupts the mechanisms plants and animals have evolved to the air (sometimes called airglow) as it releases energy
cope with and use day–night and seasonal cycles. It affects absorbed from sunlight during the day. Another source is
behaviors such as preparation for winter, predator eva- the stars, whose combined light illuminates the ground
sion, nighttime navigation, and migration, threatening the to 1/1,000 the level of a full moon. Finally, for a week
health and survival of life forms, from simple aquatic crea- each month the full moon overwhelms all light sources
tures to complex animals and humans. Fortunately, solu- in the night sky. Wildlife has evolved and adapted to
tions are simple, inexpensive, and easy to implement. these sources of nighttime light. Some insects and aquatic
life even produce low-level light using chemolumines-
cence as a predatory strategy.
F or a long time light was considered benign, but evidence
from biological research is accumulating that light at the
wrong time and place can alter and damage the behavior of
Until the twentieth century, only stars, airglow, and
the moon illuminated the Earth at night. The impact of
organisms and ecosystems. Artificial light at night changes human settlements, lit by isolated fi res, was limited.
the natural habitat, physiology, and biochemistry of organ- During the past century, however, artificial light has
isms in ways that may lead to serious disruption of their become widespread. Illuminated cities, villages, farms,
behavior and their ability to cope in the environment. and roadways are now evident across the landscape.
The timing and intensity of light are important factors. Whether light is a pollutant depends on the character-
During their evolution, species adapted to the changing istics of the light, including its brightness, color, extent,
day–night cycles of the seasons, and to the light of the and duration. When any of these attributes are sufficient
moon, which varies in brightness over a month. to alter the behavior and biology of organisms, the light
Superimposing artificial light affects the health of ani- is a pollutant.
mals, the balance between predators and prey, the seasonal Th ree additional points should be considered. First,
behavior of plants, and even the fertility and mental health light pollution, like air and water pollution, is not limited
of humans. The most serious pollution effects of artificial by political and administrative boundaries. Although
light occur during the dark phase of the moon, or when populations are concentrated in urban areas, their com-
artificial light intensity is greater than the intensity of the bined illumination creates an expansive glow that extends
natural environment. Light pollution is a significant and well beyond city boundaries. Gas flaring on oil rigs and
dangerous consequence of modern civilization, and there searchlights on nighttime fishing fleets are also signifi-
is growing evidence that it needs to be controlled. cant sources of sky glow in rural and maritime environ-
ments. Second, when the light from individual fi xtures is
directly visible, they can become significant sources of
Light Pollution glare, which disturbs nocturnal organisms and reduces
their ability to see into dimmer areas. Finally, the burn-
The night is not dark. There are several sources of natural ing of fuel to generate electricity for artificial light
light at night, even in the most remote regions of Earth, releases nearly a quarter of a billion tonnes of carbon
to which life has adapted and on which life depends. The dioxide annually into the atmosphere (Mills 2002).
245

The remainder of this article will expand on these lighting on species. Behavioral changes can occur
points by outlining the research on the impacts of artificial within a lifetime, but biological adaptation for the
lighting on biological systems, both ecological and human. simplest organisms takes generations, and biological
evolution for complex life forms requires hundreds to
Scotobiology thousands of years. Furthermore, various species exhibit
behavioral and biochemical needs for darkness in differ-
Organisms have not only developed to fit with the daily ent ways.
light–dark cycle, but this cycle is so engrained that most life Life forms may tolerate exposure in excess of certain
depends on it. Altering this cycle affects the health of ani- thresholds but with increasing impact on their health
mals, the seasonal cycle for plants, and even reproduction. and behavior. For example, foraging animals may curtail
Before effective and realistic controls on artificial their activity during the full moon but then recover dur-
lighting can be developed, its impact on biological sys- ing the following dark nights. Such is not the case with
tems must be known. We must determine at what level artificial light, which remains the same night after night
artificial light affects organisms. New measurement tech- and, even when distant, may illuminate the ground over
niques permit the study of the behavior of organisms a large region.
under faint natural light and determine lighting thresh- Life forms undergo cyclic variations that are sched-
olds above which their behavior is altered. These illumi- uled over twenty-four-hour periods. This schedule
nation thresholds are typically about that of the natural is maintained by the circadian
level of the full moon. rhythm. As complex as the cir-
As far back as the nineteenth century, cadian rhythm may be, it is
researchers noted that light affects generally accepted that the
the behavior of some species. Some contrast between day and
of this knowledge was used to night plays an important role
enhance the growth of animals in synchronizing the biochem-
and plants. The adverse effects of istry of organisms to their
an artificial photoperiod were diurnal activity. Natural ambi-
rarely reported. Scotobiology is a ent light may also have either
new approach to studying the a strong or weak inf luence,
ways in which unpolluted dark- depending on other factors such
ness is essential to the normal as temperature, food supply, and
behavior of organisms and eco- the nature of predatory risk. The
systems. Th is approach focuses regular cycle of natural light and
on the negative effects of night dark periods allows organisms to
lighting on the physiology, bio- synchronize their activity to longer
chemistry, and behavior of plants seasonal changes.
and animals, including humans. Reviewing a few aspects of these
Distinct from photobiology, which influences on a range of life forms will
is the study of the effects of light on help reveal the extent of this dependence
organisms, scotobiology focuses on on naturally dark nights.
the benefits of darkness and helps
establish safe levels of brightness, duration, and color of Aquatic Life
nighttime illumination. It is now clear that periods of
unpolluted darkness are essential for the normal func- Small marine animals such as zooplankton have success-
tioning and development of many organisms and the fully evolved to take advantage of the daylight cycle and
levels to which we should limit light pollution. These tides. As a food supply for larger fish, they have developed
thresholds are used to determine at what level artificial strategies to improve their chances of survival. Surface
lighting becomes a pollutant of concern. predatory fish need light to see the small zooplankton.
The light threshold for predation is about that of the full
moon. Therefore the zooplankton remain at depth in day-
Influences of Light Pollution on light and approach the surface to feed only at night. This
Biological Systems general pattern is evident in their vertical daily (diel)
migration. Although temperature, food availability, and
The difference between biological and behavioral evolu- the degree of predation may modify this behavior, the
tion is critical to understanding the impact of artificial vertical movement is based on ambient light.

LIGHT POLLUTION AND BIOLOGICAL SYSTEMS • 247
Figure 1. Cottage and Shoreline Glare
Photo by Robert Dick.
Shoreline lighting changes the ecological balance of inland waterways and reduces the visibility of floating hazards for boaters.
Marine animals are very sensitive to night lighting artificial lighting can attract them away from the water.
levels. Shore lighting and sky glow from urban areas can Th is subjects them to greater predation or being hit by
exceed the brightness of the full moon. (See figure 1.) In cars along coastal roadways (Salmon 2006).
these situations, the vertical movement of zooplankton
in the water column can be suppressed, weakening the Insects
food chain. Zooplankton are sensitive to short-wave-
length blue light because it penetrates the water more Insects are critical to the food chain. At night their rela-
deeply than longer-wavelength red light. Therefore, tively simple navigation strategy is to keep their bearings
white shoreline lighting will disrupt the shoreline envi- with respect to the stars. They can even compensate for
ronment. Light fi xtures should be set back from the the diurnal motion of the stars across the sky. Nearby
shore, and the use of short-wavelength light should be stationary artificial lighting disrupts this strategy by
discouraged. attracting them into a spiraling approach toward the
The impact of artificial lighting can have paradoxical light. (See figure 2 on page 248.) This distracts the insects
effects. We usually think that illumination will help ani- from feeding, mating, and migrating. Furthermore, it
mals see and survive, but artificial lighting usually has concentrates them in specific locations, which greatly
the opposite effect when it confounds animal instinct. increases their exposure to predation.
The eggs of sea turtles are buried in beach sand. When Flying insects bother people sitting outside after sun-
they hatch and dig to the surface they become easy prey set. Historically people used amber lighting, called bug
for predatory birds. Their best chance of survival is to lights, to reduce the attraction of fl ies. Modern lighting
quickly run toward the surf. products use white light, which actually attracts the bugs.
The sea turtles instinctively get their bearings from the In fact, researchers use white light to attract and capture
luminance of the waves breaking on the shore, but inland insect specimens.

Figure 2. Flies Attracted to Streetlight night, which gets progressively shorter with summer and
longer as winter approaches.
In temperate latitudes, autumn is marked by an
increase in the length of the night. Plants interpret levels
of nightly light pollution above the intensity of the full
moon as the continuation of short summer nights, which
may prevent them from preparing for winter, thus reduc-
ing or eliminating their chance of survival. All-night
lighting may kill off some species while encouraging
more tolerant species to invade the affected area.
Avian Life
Birds make use of the moon and stars to navigate across
the sky, particularly during migration. Their ability to use
these directional cues is affected by light pollution. As
with insects, birds use stars to navigate during migration.
This ability is compromised by glare when they confuse
bright lights with the moon. It has been estimated that
hundreds of millions of birds are attracted to city lighting
during their biannual migrations and die from colliding
with glass-clad buildings after being disoriented by direct
and reflected lights (FLAP 2010).
For example, the city of Toronto, Canada, is along bird
migration routes. Ten thousand birds were killed annu-
ally by exhaustion and collisions with buildings. With the
volunteers’ efforts of the Fatal Light Awareness Program
(FLAP) and their discussions with city officials, building
managers have been required to turn off unnecessary
Photo by Robert Dick. lighting during the migration period to reduce bird mor-
Flying insects spiral toward a streetlight. Stationary artificial tality since 1997.
lighting disrupts insects’ navigation strategies by attracting them
into a spiraling approach toward the light. Influence of Light Pollution on Human
Health
Light is also used to extend human activity outside in
the late evening. This increases the risk of humans con- Some organisms survive environmental conditions by
tracting insect-transmitted diseases, such as malaria. migrating to better climates, but humans can use their
Th is is of particular concern in the developing world intellect to adapt to such problems in situ. There may be
where electric lighting is increasingly used to enhance the a limit to this strategy, however, particularly as it relates
standard of living. to light pollution. For humans, the most important effect
of artificial lighting is how it affects our health.
Our circadian rhythm schedules the ebb and flow of
Plant Life
hormones and is synchronized to our activities by the
In temperate latitudes, seasonal changes require plants to day–night cycle. Our hormones break down quickly and
predict and prepare for colder or warmer weather. are then fi ltered from our blood. Therefore, if they are not
Whereas plants’ circadian rhythms can govern short- used at the appropriate time, their effectiveness is reduced.
term adaptation, seasonal change requires longer-term Reducing the contrast between daytime and nighttime
preparation. Timing is critical: the plants’ development illumination causes the circadian rhythm to drift out of
must match the life cycle of insects for pollination, of phase with this activity. This can result in a lack of mental
birds for the dispersal of seeds, and particularly of weather awareness that in turn can exacerbate hazardous situa-
for preparation for winter dormancy. Temperature alone tions. It can also have effects that are only apparent in the
may not indicate a change of seasons: there are often cool long term. For example, women working night shifts have
springs, cool summers, and warm autumns. Therefore, a 60 percent higher risk of developing breast cancer than
many plants determine the season from the length of the those who worked day shifts (Davis, Mirick, and Stevens

LIGHT POLLUTION AND BIOLOGICAL SYSTEMS • 249
2001). This and other studies (Jasser, Blask, and Brainard the function and safety of human outdoor activity. The lat-
2006) that reached similar conclusions were reviewed by ter reasoning may be more psychological than fact based:
the International Agency for Research on Cancer in 2007. although people feel safer in a brightly illuminated area,
Light pollution impacts the health of seniors in several critical studies of crime statistics show that light at night
ways. The already degraded circadian rhythm of senior has no significant effect on actual crime rates (Clark 2002).
citizens can be further deteriorated by the confused light– Fortunately the solutions to overlighting, and the alter-
dark cues that result from light pollution. The mechanism natives, are comparatively simple and inexpensive. The ris-
may be due to reduced melatonin levels coupled with the ing costs and environmental impact of energy production
weakened circadian rhythm in older people. In addition, and distribution have begun to influence the use of out-
while our eyesight naturally degrades with time, artificial door lighting in many large cities. For example, Flagstaff,
lighting, especially glare and white light, reduces visual Arizona, developed a lighting bylaw in the 1980s to help
acuity by scattering light from imperfections in the eye protect the skies above the Kitt Peak Observatory, located
(Turnera, Van Someren, and Mainster 2010). forty miles west of the city; Ottawa has been illuminating
Studies have also shown increases in obesity and diabe- its streets to half the level of most cities; Calgary has re-
tes with nocturnal lighting. In response to the mounting lamped many of their streets with fully shielded light fi x-
evidence for the affects of light pollution on human health, tures and has also significantly reduced the illumination
the American Medical Association (2009) has passed a levels. The Czech Republic is the first country to adopt a
resolution identifying light pollution as a health risk. national lighting policy to limit light pollution.
The influence of lighting on the circadian rhythm does The amount of energy used for outdoor lighting is dif-
not depend only on the light detectors in our eyes. Our non- ficult to determine. Although there are good records on
visual photoreceptive retinal-ganglion cells respond to illu- energy sources, electricity-use data rarely discriminates
mination levels as low as 0.2 lux, about the brightness of the between indoor and outdoor uses. This is a global prob-
full moon, and have a peak color sensitivity to blue light. lem since, historically, distinguishing the energy use of
Urban lighting is designed to provide from ten to one thou- outdoor lighting has not been considered necessary. In
sand times this illumination level. And with the increased the case of roadway lighting, cities keep separate records,
use of metal halide and light-emitting diodes, whose white but this represents only a fraction of the energy used for
emissions include high levels of blue light, our cities are all outdoor lighting. Private and commercial uses include
becoming more inhospitable to human life after dark. yard and door lighting, advertising, and lighting for secu-
rity and parking lots, but the energy for each end use is
not recorded at this time.
Management of Light Pollution It is usually thought that the brighter the light, the bet-
ter one can see. Since humans are daytime creatures, arti-
Astronomers fi rst identified outdoor lighting as a prob- ficial light at night improves our ability to see, but
lem by noting that the degradation of the night sky numerous studies have shown that too much bright light
forced them away from urban areas to do their work. In is less effective. Even a century ago, “Good lighting [was]
the 1980s they took their concern to the public and gov- defined as that which produces good seeing” (Nutting
ernments through local initiatives and the creation of 1917). In some cases reduced brightness improves visibil-
the International Dark-Sky Association. Unfortunately, ity. A bright light can scatter in the air, intervening glass
because only 0.1 percent of the population is composed and in our eyes to reduce the contrast of less brightly illu-
of astronomers and stargazers, most municipal officials minated subjects, thereby reducing their visibility. Bright
and lighting professionals set aside these concerns and lights overwhelm our night-vision capacity, so that objects
continued to increase illumination levels. in shadow become more difficult to perceive. A person
By the end of the twentieth century, public concern moving in semidarkness and blinded by glare may fail to
over environmental degradation had developed a stronger see hazards that are dimly lit. A mugger lurking in the
voice, prompting the development of more environmen- shadows, for example, may be invisible if the veiling lumi-
tally sound policies. Environmentalists came to recog- nance from an overly bright street light compromises the
nize the damaging effects of artificial light, among other potential victim’s night vision. The use of outdoor lighting
stresses on the environment. It ceased to be just an to illuminate buildings after the customers are gone and
astronomy problem and has become an environmental buildings are closed, and the common use of brightly illu-
and human health issue. minated advertisements, needs to be reexamined.
Governments have been slow to react to artificial light Light pollution now causes enough environmental and
pollution, in part because of the influence of the outdoor economic damage that laws may be required to control the
lighting industry—a $26-billion-per-year business—and levels of permissible pollution in the same way that air and
in part because outdoor lighting is considered necessary for water pollution have been controlled. Th is brings the

whole question of light pollution into the political and See also Best Management Practices (BMP); Buffers;
legal realm. Sustained and rational public pressure, includ- Community Ecology; Edge Effects; Landscape Architec-
ing the wide reporting of light pollution issues, may be ture; Landscape Planning, Large-Scale; Pollution,
necessary to effect change. Fortunately, compared to other Nonpoint Source; Pollution, Point Source; Rewilding;
environmental stresses, light pollution may be the easiest Wilderness Areas
to reduce, with the added benefit of reducing energy use
and the carbon footprint of the communities involved.
FURTHER READING
Challenges and Solutions American Medical Association (AMA). (2009). Resolution 516.
Retrieved January 17, 2011, from http://www.ama-assn.org/ama1/
pub/upload/mm/475/refcome.pdf
For over a century we have been unwittingly performing
Bidwell, R. G. S. (1979). Plant physiology (2nd ed.). New York: MacMillan.
a strategic experiment on a global scale by steadily increas- Clark, B. A. J. (2002). Outdoor lighting and crime, Part 1: Little or no
ing artificial outdoor lighting. Illumination levels are now benefit. Astronomical Society of Victoria. Retrieved January 17,
so bright that the effects of artificial light can be readily 2011, from http://amper.ped.muni.cz/light/crime/html_tree/
Cinzano, Pierantonio. (Ed.). (2002). Light pollution and the protection
identified and studied. At the same time, humans have
of the night environment. Th iene, Italy: Light Pollution Science and
become sensitive to environmental pollution of all kinds, Technology Institute (ISTIL).
economic factors involved in wasteful use of resources, Davis S.; Mirick D. K.; & Stevens, R. G. (2001). Night shift work,
and ecosystem sustainability. Reducing artificial outdoor light at night, and risk of breast cancer. Journal of the National
Cancer Institute, 93(20), 1557–1562.
lighting can help reduce energy costs, adverse health
Fatal Light Awareness Program (FLAP). (2010). Homepage.
effects, and dependence on limited resources, while pre- Retrieved November 4, 2010, from www.fl ap.org
venting environmental degradation from power genera- International Agency for Research on Cancer. (2007). Press release
tion and distribution. For example, city managers coping number 180. Retrieved January 17, 2011, from http://www.iarc.fr/
en/media-centre/pr/2007/pr180.html
with the escalating costs of lighting are turning to fi xtures
Jasser, S. A.; Blask, D. E.; & Brainard, G. C. (2006). Light during
that shine light downward and concentrate it on specific darkness and cancer: Relationships in circadian photoreception
targets, which not only saves money because fewer and and tumor biology. Cancer Causes & Control, 17, 515–523.
less powerful lights can be used, but minimizes glare and Mills, E. (2002). The $230-billion global lighting energy bill.
International Association for Energy-Efficient Lighting and
reduces light pollution. Such reductions of electricity con-
Lawrence Berkeley National Laboratory. Retrieved January 17, 2011,
sumption can contribute greatly to environmental sus- from http://evanmills.lbl.gov/pubs/pdf/global_lighting_energy.pdf
tainability, by improving the health and survivability of Navara, Kristen J., & Nelson, Randy J. (2007). The dark side of light
plants, animals, insects, and even humans. at night: Physiological, epidemiological and ecological conse-
quences. Journal of Pineal Research, 43(3), 215–224.
Robert DICK Nutting, P. G. (1917). The fundamental principles of good lighting.
Journal of the Franklin Institute, 18 (3) 287–302.
Royal Astronomical Society of Canada
Rich, Catherine, & Longcore, Travis. (Eds.). (2006). Ecological
R. G. S. BIDWELL consequences of artifi cial night lighting. Washington, DC: Island
Press.
Queen’s University, Canada, Emeritus Salmon, Michael. (2006). Protecting sea turtles from artificial night
lighting at Florida’s oceanic beaches. In Catherine Rick & Travis
Peter GOERING Longcore (Eds.), Ecological consequences of artifi cial night lighting
Muskoka Heritage Foundation (retired) (pp. 141–168). Washington, DC: Island Press.
Turnera, P. L., Van Someren, E. J. W., & Mainster, M. A. (2010). The
David WELCH role of environmental light in sleep and health: Effects of ocular
International Union for Conservation of Nature aging and cataract surgery. Sleep Medicine Review, 14, 269–280.

Marine Protected Areas (MPAs)
Marine protected areas (MPAs) are a promising tool for The broad range of levels of protection that MPAs
protecting marine resources, but they must be carefully provide for marine living organisms stems from the real-
designed to ensure success. MPAs tend to be most suc- ity that many different factors and opinions influence the
cessful when they are planned with the input of diverse final choice of MPA rules. How extensive protected areas
participants and implemented using sound scientific should be and what activities should be regulated depend
guidelines. Effective MPAs produce significant biological on the balance between human uses and conservation
benefits and can contribute to an ecosystem-based goals (Jones 2009). Marine systems are subject to a mul-
approach to management. titude of uses, both consumptive and nonconsumptive.
These uses include commercial, traditional, and recre-
S ince commitments made by the international commu-

nity at the 2002 World Summit on Sustainable
Development and the Convention on Biological
ational fishing; diving; recreational boating; swimming
and surfing; aquaculture; renewable energy generated by
wind and waves; mining; and oil exploration. Human
Diversity, the establishment of marine parks and pre- uses can vary widely in their impact on marine organisms
serves, most frequently termed marine protected areas and habitats, yet each must be considered as MPAs are
(MPAs), has increased. Signatory countries are working placed into the larger context of marine management.
toward conserving at least 10 percent of each of the To achieve conservation goals, MPAs should ideally
world’s 232 marine ecoregions and establishing an eco- be connected effectively. For example, even though
logically representative and effectively managed MPA reserves in the Mediterranean are in relatively close prox-
network by 2012. By 2010, more than 5,800 MPAs were imity to each other, data show that they are not effec-
documented worldwide, covering 4.72 million square tively connected by movements of adult organisms or
kilometers and accounting for 1.2 percent of the ocean export of their offspring. As a result, they may be unable to
(Toropova et al. 2010). meet the management goal of fully protecting popula-
Some marine reserves can be highly effective, consis- tions of marine life (Grorud-Colvert et al. 2011). Thus
tently producing increases in organism density, biomass, the total number of MPAs worldwide may be misleading
size, and diversity (Lester et al. 2009), yet their estimated when assessing their benefits and contribution to conser-
coverage is only 0.1 percent of the ocean (Wood et al. vation targets.
2008). MPAs vary in their levels of protection, ranging
from no-take areas that prohibit all fishing, called marine
reserves, to areas that allow almost every form of extrac- What Makes an MPA Successful?
tive use. MPAs that allow some removal of organisms
can still have positive effects on target and nontarget spe- It can be challenging to evaluate whether MPAs are truly
cies (Beukers-Stewart et al. 2005). Research shows, how- successful at meeting their specific management goals.
ever, that partially protected areas produce smaller For example, some designated MPAs are not imple-
changes in numbers and sizes of organisms and fewer mented or enforced—many are merely proposed on
conservation benefits than fully protected no-take marine paper, and others may have lost their governmental sup-
reserves (Lester and Halpern 2008). port and protection over time. Verification of MPA status
252

MARINE PROTECTED AREAS (MPAS) • 253
relies heavily on the knowledge of local managers, gov- After an MPA is established, compliance, enforcement,
ernment officials, or resource users and stakeholders. and long-term support are critical to ensure continuing
Evaluation of MPA planning and implementation success. Involving stakeholders in the planning process
around the globe reveals that there are certain key fac- encourages their compliance with the MPA rules since
tors that lead to management success. Among these, these individuals feel ownership of and investment in
clear objectives or goals for marine management are crit- the MPA (Pollnac et al. 2010). For example, not only
ical to begin a constructive dialogue about the establish- do the local fishers patrol and enforce their MPAs around
ment of an MPA. For example, the process to plan a the Philippines’s southeastern Cebu Island, but the bantay
network of marine reserves and other MPAs along dagat (local volunteer enforcers) have banded together
the coast of California began with the enactment of the from nearby municipalities to protect their MPAs against
Marine Life Protection Act, which clearly states the large commercial fishing vessels poaching fish in their area
objectives of the MPA network. These include goals to (Eisma-Osorio et al. 2009). The enforcement of MPAs is
protect the diversity, abundance, and integrity of marine a pressing issue around the world, including areas such as
ecosystems and marine life populations; to provide edu- the Mediterranean, where a study showed that only three
cational and recreational opportunities; and to plan and of fifteen Italian marine reserves were adequately enforced.
monitor the MPA network using sound scientific Total fish density was greater in the Italian marine reserves
guidelines. with high enforcement (Guidetti et al. 2008).
The participation of diverse stakeholder groups that Long-term support, both governmental and financial,
use and enjoy marine resources is also critical is critical for managing, enforcing, and maintaining
to the success of an MPA planning pro- MPAs. Although the marine reserve in Puerto Penasco,
cess. In places such as the Philippines, Mexico, was initially successful, leading to larger and
Australia’s Great Barrier Reef, the more abundant target species and empowering fisher-
United Kingdom, and California men who saw the results of their conservation
and Oregon, certain MPA plan- actions, the protection was not sustainable
ning initiatives did not consult without formal government recognition.
with stakeholders, leading to Fishermen from another community
early setbacks; those confl icts, began to harvest rock scallops
however, have led to the better from the Puerto Penasco
integration of consumptive and reserve and resisted attempts
nonconsumptive resource users. by local fishermen to deter
In fact, in many places the request their poaching. Seeing their
for an MPA comes from the carefully conserved resource
stakeholders themselves. For fall into the hands of outsiders,
example, after witnessing a Puerto Penasco divers soon
decline in the black murex snail joined in the harvest, saturating
and rock scallop they harvested, the local market (Cudney-Bueno
fishermen in Puerto Penasco, et al. 2009).
Mexico, defined and estab- Without official designation of
lished a temporary no-take MPAs and the political backing for
marine reserve to provide a ref- enforcement, an MPA is likely to fail.
uge as well as a source for export Because financial resources are key for sup-
of young snails and scallops to fished porting the enforcement and biological moni-
areas outside (Cudney-Bueno et al. 2009). toring of an MPA, creative solutions are often
MPAs are more likely to be successful if their design required for financing. For instance, the consortium of
is informed by the best available scientific information. fishers in the Philippines support their local regional
Although a wealth of research exists about the effects of council, which addresses issues of poaching, by contrib-
marine reserves and other MPAs, planning processes uting a small portion of each municipality’s internal rev-
may not explicitly mandate the use of scientific guide- enue (Eisma-Osorio et al. 2009).
lines. In addition, MPA planning staff may not know
about the scientific resources available to evaluate pro-
Adaptive Management
posed MPAs. As a result, educational resources to com-
municate marine reserve science to nonscientists are in Even with clearly set goals, stakeholder buy-in, and effec-
development, and more scientists are contributing to tive enforcement, MPAs can vary in how effectively they
MPA dialogues (Grorud-Colvert et al. 2010). achieve their goals. To evaluate the success of an MPA,

the assessment should be designed to evaluate the bio- and social benefits, it is clear that MPAs alone cannot
logical and socioeconomic responses to MPA-specific cure all that ails the ocean. Many stressors to marine sys-
goals while accounting for the size and age of the MPA, tems, such as pollution and the effects of climate change,
fishing levels outside the MPA, differences in habitat are simply too large to address effectively with MPAs.
types, and level of compliance and enforcement (Claudet As a result, MPAs are likely to be most useful when
and Guidetti 2010). A management rating system in the they are used as part of a larger, multisector management
Philippines suggests that only about 20 percent of the plan. For example, MPAs can be an integral component
1,100 MPAs across the country are achieving their man- of ecosystem-based management (EBM). The goal of
agement goals (White, Alino, and Meneses 2006). marine EBM is to sustain the long-term capacity of
Similarly, an analysis of marine reserves in the western marine ecosystems to provide services that humans want
Indian Ocean, Philippines, and Caribbean showed that and need (such as seafood production and protection
success, measured in terms of greater fish biomass inside from coastal storms) by balancing human health and eco-
the marine reserves, was most strongly affected by com- system well-being and addressing the trade-offs that are
pliance with reserve rules and human population density required to account for multiple, often competing, goals
(Pollnac et al. 2010). (Halpern, Lester, and McLeod 2010). MPAs are a par-
For MPAs or networks of MPAs that are not meeting ticularly effective component of EBM in areas where
their intended goals, it may become necessary to reevalu- overfishing is the dominant human stressor, a situation
ate the existing system and adapt the management plan found in many regions of the world including the Black
accordingly. This is the concept of adaptive management, Sea and the South China Sea. Healthy and resilient sys-
which promotes flexible decision making that can be tems inside MPAs may provide a range of ecosystem ser-
adjusted in the face of uncertainties as outcomes from vices, including export of adults and juveniles to support
management actions and other events become better productive fisheries outside the MPA or protection from
understood (Williams, Szaro, and Shapiro 2009). For erosion and storm damage provided by intact mangrove
example, after Australia’s Great Barrier Reef Marine forests.
Park Authority (GBRMPA) reviewed the park’s pro- As marine resource management begins to move
tected areas and management goals in the early 1990s, it toward an EBM approach in many places around the
identified a shortfall in the total area protected and the world, MPAs can serve as a starting point, providing an
representation of habitats in the MPAs. The GBRMPA existing framework from which to build up to larger
subsequently began an extensive process to consult with scales and integrate other forms of management. For
scientists, stakeholders, and the general public. The plan- example, municipalities in southeastern Cebu Island in
ning process employed both scientific and traditional the Philippines have jurisdiction over their own waters to
knowledge to protect at least 20 percent of each bioregion fifteen kilometers and have adopted local MPAs, which
in the park and to increase full protection in marine they enforce. By forming a coalition and convening a
reserves from 4.2 percent to over 33 percent of the park’s coastal resource management council, the community
total area (Fernandes et al. 2005). Clearly the need to now considers MPAs collectively, outside fishing is
repeatedly monitor and evaluate an MPA, and to proceed closely regulated, tourism activities are controlled, and a
with adaptive management as necessary, is critical for social network of managers communicates across the
ensuring that conservation and human use goals are met. region (Eisma-Osorio et al. 2009).
While MPAs are not a panacea, they are a powerful
tool for protecting and conserving marine resources.
MPAs and Broader Marine When implemented scientifically and collaboratively, and
Management when they are enforced and financed over the long term,
MPAs can be a crucial part of an ecosystem-based
As successful MPAs meet their management goals, approach to management.
marine communities tend to become more robust, with
Kirsten GRORUD-COLVERT
greater numbers and sizes of organisms and more intact
Oregon State University
habitats than in fished areas outside. These healthier sys-
tems may be more resilient, allowing them to recover Sarah E. LESTER
more quickly when they are affected by hurricanes, coral University of California, Santa Barbara
bleaching events, or other disturbances. It remains diffi-
cult, however, to demonstrate whether or not MPAs are See also Adaptive Resource Management (ARM);
more resilient than their nonprotected counterparts. Administrative Law; Best Management Practices
Moreover, while there is great potential for successful (BMP); Coastal Management; Community Ecology;
MPAs to provide significant and long-lasting ecological Fish Hatcheries; Fisheries Management; Hunting;

MARINE PROTECTED AREAS (MPAS) • 255
Large Marine Ecosystem (LME) Management and Guidetti, Paolo, et al. (2008). Italian marine reserve effectiveness:
Assessment; Ocean Acidif ication—Management; Does enforcement matter? Biological Conservation , 141(3),
699–709.
Ocean Resource Management Halpern, Benjamin S.; Lester, Sarah E.; & McLeod, Karen L. (2010).
Placing marine protected areas onto the ecosystem-based manage-
ment seascape. Proceedings of the National Academy of Sciences of the
United States of America, 107(43), 18312–18317.
Jones, Peter J. S. (2009). Equity, justice and power issues raised by no-
FURTHER READING take marine protected area proposals. Marine Policy, 33 (5),
Beukers-Stewart, Bryce D.; Vause, Belinda J.; Mosley, Matthew W. J.; 759–765.
Rossetti, Helen L.; & Brand, Andrew R. (2005). Benefits of closed Lester, Sarah E., & Halpern, Benjamin S. (2008). Biological responses
area protection for a population of scallops. Marine Ecology Progress in marine no-take reserves versus partially protected areas. Marine
Series, 298, 189–204. Ecology Progress Series, 367, 49–56.
Claudet, Joachim, & Guidetti, Paolo. (2010). Improving assessments Lester, Sarah E., et al. (2009). Biological effects within no-take
of marine protected areas. Aquatic Conservation: Marine and marine reserves: A global synthesis. Marine Ecology Progress Series,
Freshwater Ecosystems, 20 (2), 239–242. 384, 33–46.
Cudney-Bueno, Richard, et al. (2009). Governance and effects of Pollnac, Richard. B., et al. (2010). Marine reserves as linked social-
marine reserves in the Gulf of California, Mexico. Ocean & Coastal ecological systems. Proceedings of the National Academy of Sciences of
Management, 52 (3–4), 207–218. the United States of America, 107(43), 18262–18265.
Eisma-Osorio, Rose-Liza; Amolo, Rizaller C.; Maypa, Aileen P.; Toropova, Caitlyn; Meliane, Imen; Laff oley, Dan; Matthews,
White, Alan T.; & Christie, Patrick. (2009). Scaling up local gov- Elizabeth; & Spalding, Mark. (Eds.). (2010). Global ocean protec-
ernment initiatives toward ecosystem-based fisheries management tion: Present status and future possibilities. Brest, France: Agence
in Southeast Cebu Island, Philippines. Coastal Management, 37(3– des aires marines protégées; Gland, Switzerland, Washington,
4), 291–307. DC, and New York: IUCN WCPA; Cambridge, UK : UNEP-
Fernandes, Leanne, et al. (2005). Establishing representative no-take WCMC; Arlington, VA: Nature Conservancy; Tokyo: UNU;
areas in the Great Barrier Reef: Large-scale implementation of New York: WCS.
theory on marine protected areas. Conservation Biology, 19 (6), White, Alan T.; Alino, Porfi rio M.; & Meneses, Anna T. (Eds.).
1733–1744. (2006). Creating and managing marine protected areas in the
Grorud-Colvert, Kirsten; Lester, Sarah E.; Airame, Satie; Neeley, Philippines. Cebu City, Philippines: Coastal Conservation and
Elizabeth; & Gaines, Steven D. (2010). Communicating marine Education Foundation Inc. and University of the Philippines
reserve science to diverse audiences. Proceedings of the National Marine Science Institute.
Academy of Sciences of the United States of America , 107 (43), Williams, Byron K.; Szaro, Robert C.; & Shapiro, Carl D. (2009).
18306–18311. Adaptive management: Th e US Department of the Interior technical
Grorud-Colvert, Kirsten, et al. (2011). The assessment of marine guide. Washington, DC: US Department of the Interior.
reserve networks: Guidelines for ecological evaluation. In Joachim Wood, Louisa J.; Fish, Lucy; Laughren, Josh; & Pauly, Daniel. (2008).
Claudet (Ed.), Marine protected areas: A multidisciplinary approach. Assessing progress towards global marine protection targets:
Cambridge, UK: Cambridge University Press. Shortfalls in information and action. Oryx, 42 (3), 340–351.

Microbial Ecosystem Processes
Microbial communities can regulate many processes in and function in any habitat on Earth where water, the
ecosystems, including decomposition, nutrient cycling, basis of life, is in liquid form. This includes frozen habi-
and the degradation of toxic chemicals. These processes tats, where microbes produce sugars to decrease the tem-
all have direct effects on soil and water quality. Microbial perature at which ice can be formed, and deep-sea thermal
processes can be used to promote sustainability, but vents, where extreme pressure allows water to stay in liq-
they also can be sensitive to changes in ecosystems that uid form at temperatures up to 407 8C. An important
are caused by human activities. Understanding micro- characteristic of microbial habitats is that they contain
bial communities is therefore crucial in managing our both oxic (containing oxygen) and anoxic (containing
world for a sustainable future. either low or nearly no oxygen) zones, and a distinct set of
microbial processes (termed aerobic and anaerobic, respec-
S oil and water contain communities of microbes tively) occurs in each. Soil and freshwater habitats are
(microscopic organisms like bacteria and fungi) that described below, as predominant systems of interest to
make up the majority of the Earth’s living matter and sustainability and as examples of microbial habitats.
account for most of its diversity. These communities are
responsible for many important environmental processes, Soil
including decomposition of plant and animal material, Soil is a living, complex system that provides physical space
cycling of nutrients such as nitrogen and phosphorus, and for microbes to live. The degree to which a soil has struc-
the breakdown of toxic chemicals. Microbial processes ture and how its particles clump together determine how
contribute significantly to both soil quality (as measured well it is able to withstand erosion. The proportion of min-
by the structure of the soil and the amount of organic eral particles ranging from very small clay particles (less
matter and carbon and nutrients present, including nitro- than 0.002 mm) to large sand particles (0.05–2.0 mm), and
gen, phosphorus, and potassium) and water quality (as organic matter in soil determines what the structure is like.
measured by the amount of nutrients, pollutants, or Organic matter is a general term for decomposed plants,
excess sediments present). Consequently, microbial com- animals, or microbes; these materials are mainly carbon
munities play an important role in how human activities based, so the carbon can be measured and used to describe
such as growing food, cleaning up oil spills, and address- how much organic matter a particular soil has. The roots of
ing climate change will impact natural ecosystems. living plants and filamentous microbes (fungi and filamen-
Understanding microbial processes and using them effec- tous bacteria) also contribute to soil structure by binding
tively can greatly improve our ability to manage the soil particles together and strengthening it (bacteria do this
Earth’s ecosystems in a sustainable fashion. by producing complex sugars that they use to “stick” them-
selves to soil particles). Microbes also contribute signifi-
Microorganism Habitats cantly to soil formation by carrying out decomposition.
Certain other characteristics of soil (including pH,
Human management of ecosystems directly affects the moisture, and the amount of oxygen present) will affect
habitats of microbes for better or for worse. Micro- which microbial processes are most active. These charac-
organisms are amazing in that they are adapted to live teristics are determined by climate, position in the
256

MICROBIAL ECOSYSTEM PROCESSES • 257
landscape (for example, hilltops versus low-lying areas), compounds in the environment for the same reasons that
and local plant communities. we eat: for energy and to obtain building blocks for
Soil quality (or soil health) is a term often used to growth. Microbes get energy from transforming different
describe how degraded an ecosystem is or whether man- compounds based on oxidation-reduction reactions
agement practices are sustainable. The amount of organic (described in the next section). Large organic compounds
matter in soil, the strength of its structure, and how well are broken down into inorganic building blocks (such as
it sticks together and retains nutrients determine soil nitrate, ammonia, or phosphate) through mineralization.
quality. Building a healthy soil creates a positive feedback
loop: a soil with lots of organic matter that holds nutri- Oxidation-Reduction Reactions
ents supports the growth of microbial and plant commu-
nities, which create more organic matter and conserve Oxidation is a process by which the outer electrons from
more nutrients and minerals. On the other hand, it’s very a molecule are stripped away, changing its chemical state.
easy to degrade soil structure (and therefore soil health) Those electrons are passed to a donor electron acceptor
through human activities such as agricultural tillage, molecule, which becomes reduced. Oxidation-reduction
mining, urban development, and industrial activity. reactions yield energy for the microorganism but can also
drastically impact whether nutrients or elements stay in
Water the soil or leave, potentially polluting the surrounding
environment.
Microorganisms also are adapted to live in freshwater
aquatic and wetland habitats. In lakes, photosynthetic Respiration
organisms (those that convert carbon dioxide into organic
compounds like sugars) are housed mainly in upper layers Respiration is the use or chemical transformation of any
of the water where light can penetrate. Organisms that compound for energy production. Aerobic respiration
depend on organic compounds falling from above live in (the use of oxygen as an electron acceptor, resulting in the
the deeper layers of the water and in bottom sediments, production of carbon dioxide) is a very efficient process.
which can be a nutrient-rich habitat for microbial growth. Where oxygen is available, therefore, microorganisms
Life in most lakes is adapted to relatively low nutrient capable of aerobic respiration will grow quickly and dom-
levels, and fertilizer runoff (especially nitrogen and phos- inate the microbial community. Other chemical transfor-
phorus) from urban areas or agricultural activities can mations used to produce energy, such as nitrification (the
endanger many forms of life there. conversion of ammonia to nitrate through ammonia oxi-
Water in rivers moves at different rates, and most dation) or methanogenesis (the production of methane
microorganisms either grow attached to rocks or to sub- gas from carbon dioxide reduction or through acetate fer-
surface sediments. In contrast, wetlands are terrestrial mentation), are much less efficient. Organisms relying on
habitats with transient or permanent standing water and these processes for the energy they need grow more
plant life that emerges from the water’s surface. In wet- slowly but process large amounts of the compounds used.
land habitats, microbes near plant roots in the uppermost
layers of water or sediment can consume or transform Decomposition
nutrients rapidly, but these processes also deplete oxygen
Decomposition is the process by which large materials such
quickly, so anaerobic processes dominate lower layers.
as dead plants, animals, manure, or microbes are broken
Wetlands are useful in fi ltering out chemicals or pollut-
down into smaller subunits. Decomposition is nature’s
ants from urban areas because of this rapid nutrient
way of recycling the nutrients found in living matter back
uptake by microbes and plants, and because wetlands
into the soil. Decomposition also can function to store
are usually situated in basins or low-lying areas—but at
carbon as organic matter or, where the rate of aerobic res-
the same time they are also fragile habitats that can be
piration is high, to deplete supplies of organic matter.
degraded easily by nutrient or sediment runoff.
Microorganisms create enzymes because large organic
molecules, such as cellulose, are too big to be absorbed
Microorganism Processes through the microbial cellular membrane, and many
in Ecosystems types of microorganisms must produce a variety of
enzymes to decompose different organic materials. Some
Just as microorganisms have adapted to life in diverse cellular components—such as proteins, cellulose, and
habitats, different organisms have adapted so that they starches—are degraded quickly and therefore do not have
can use nearly any material or chemical—from leaf litter a long turnover time in the soil before they are degraded
(dead plant material) to oil to pesticides—for energy and reabsorbed into newly growing microbial cells. Other
and growth. Microorganisms transform or degrade components such as lignin are not degraded quickly and

therefore stay in the soil longer; these help to build up are easily released, and water draining from the mine
organic matter in soil. becomes acidic from too much sulfur. Microbes can
release environmental toxins such as arsenic and sele-
nium from mineral rock in a similar fashion. Alternatively,
Nitrogen Cycling
microbes contribute to the nutrient levels of soil through
Microorganisms are responsible for many transforma- mineralization, which transforms sulfur, phosphorus,
tions of nitrogen that are important to soil and water iron, and other elements from forms that are bound to
quality. Nitrogen fi xation, mineralization, immobiliza- soil, or breaks down organic molecules into simpler min-
tion, nitrification, and denitrification are all transforma- eral forms that can be taken up by other plants or
tions of nitrogen that are important to sustainability, microbes.
restoration, and soil quality. Nitrogen fi xation is per-
formed either by free-living bacteria or by bacteria living Degradation and Uptake of Toxic Chemicals
symbiotically with legumes (a family that includes peas,
beans, and clovers). The legumes are able to acquire Microbes can use toxic chemicals to grow or get energy
nitrogen because of their bacterial partner and can (through oxidation-reduction reactions) in the same way
improve soil quality or help restore disturbed or low- they use natural elements. These toxins include petro-
nutrient soils (such as those on former mining sites). chemicals (such as oil or gasoline), pesticides, metals, and
Nitrogen mineralization is the process where organic com- by-products of industrial activity. Sometimes microbial
pounds are broken down, releasing inorganic forms that degradation or uptake of these chemicals can remove the
can be used by plants and microbes. Nitrogen immobiliza- contaminant, as with the slow but steady anaerobic deg-
tion is the process by which any soil organism takes up radation of polychlorinated biphenyls (PCBs) that con-
nitrogen so that it’s no longer available for other organ- taminate many soils and aquatic sediments. Microbes can
isms. High rates of immobilization can be positive in that also transform or degrade a toxin only partially, however,
less excess nitrate nitrogen (nitrogen combined in a resulting in something that is even more toxic or
nitrate ion, as opposed to nitrogen in the form of ammo- dangerous.
nia, nitrites, etc.) leaks into lakes, rivers, drinking water,
or wetlands—but it also can lead to problems with nitro- Microorganism Communities and
gen limitations for agricultural crops. Nitrification is a Sustainability
process linked to pollution that converts nitrogen from a
form conserved in the soil (ammonia) to a form that Sustainable management or development has been defined
leaches readily from the soil (nitrate) through the energy as “the use of land and water to sustain production indefi-
yielding processes of ammonia and then nitrite oxidation. nitely without environmental deterioration” (Lincoln,
Often, ammonia fertilizer applied to crops is quickly Boxshall, and Clark 1998). We are managing our environ-
converted to nitrate. Energy is lost so that crops do not ment, for better or for worse, when we decide how to use
receive the fertilizer they need to grow, and groundwater, it. Management can mean policies that are active and pro-
lakes, and rivers are polluted by excess nitrogen. mote sustainability (as with agricultural land-management
Conversely, denitrification is a form of anaerobic respira- practices and actions that restore degraded landscapes), or
tion in which nitrate is reduced into nitrogen gas for it can mean indirect “management” that leads to environ-
energy production. Th is process also produces nitrous mental degradation through global change.
oxide or other nitrogen gases that are considered potent
greenhouse gases, but it also can act to remove excess Agricultural Management
nitrate that otherwise would pollute wetlands and
groundwater. Land management practices in agriculture affect microbe
communities in a variety of ways. Conventional methods
of tilling soil break up the top 20 centimeters of the soil
Cycling of Other Elements
surface and, in the process, severely damage the fi lamen-
Microorganisms act as a middleman in the transforma- tous cell networks of fungi. Tillage also can lead to
tion of many other elements besides carbon and nitrogen. organic carbon losses in soil, since it encourages bacterial
In fact, they can transform nearly any molecule on Earth, aerobic respiration by introducing oxygen. These carbon
and the results can be good or bad for the environment. losses can weaken soil structure, leading to erosion and
Acid mine drainage is an example of how the conversion poor-quality soil that doesn’t retain nutrients well, result-
of elements can lead to pollution: when mining or other ing in runoff, pollution, and the need to add more chemi-
human activities disrupt mineral rock, microbes trans- cal fertilizers. Spreading fields with lime changes the pH
form sulfur (through aerobic respiration) into forms that of soil, affecting which microorganisms are present and

MICROBIAL ECOSYSTEM PROCESSES • 259
how they grow. Using nitrogen fertilizers decreases fungi heavy-metal contamination from soils (a much more
relative to bacteria, thus altering the normal ratio of pro- effective and cost-efficient process than has been used
cesses carried out by each. Nitrogen fertilizer (which is traditionally). Bioremediation processes don’t work in all
often in the form of ammonium) is then more likely to conditions, but they have huge potential for cleaning up
pollute groundwater, lakes, rivers, and wetlands, as now- polluted soils.
abundant bacteria convert it quickly to nitrate. The effects Human activities can change landscapes greatly even
of conventional agricultural cultivation may persist well when toxic chemicals aren’t involved, and understanding
after it has ended, altering fungal communities, micro- microbial processes can help to rebuild landscapes dam-
bial processes, the amount of soil organic carbon, and pH aged by mining and other urban activities that lead to a
for as much as seventy years. loss of vegetation or excess sediments in wetlands, lakes,
But agricultural management can become more sus- or rivers. The ideal path toward better sustainable man-
tainable. Reducing or eliminating tillage can increase agement, of course, is to be aware of how human activi-
fungal communities, resulting in better soil structure and ties affect natural ecosystems in the first place and to try
fungal decomposition processes. Using cover to limit the damage that they do.
crops (crops that are grown primarily to
manage soil quality, weeds, diseases,
pests, and water drainage) can Impact of Global
prevent soil erosion and add Changes
nutrients back to the soil.
Operations that grow food Climate change and other
can be paired with those global changes could drasti-
that raise animals for milk cally alter which plants can
and food, so that animal grow in which regions,
waste can be used to add meaning that agricultural
nutrients and organic mat- practices will have to
ter back into the soil. These be altered and decisions
natural nutrient additions about sustainable land-
decompose more slowly and management policies will
thus support long-term become a lot more com-
improvements in soil qual- plex. In addition, microbial
ity, unlike mineral fertil- communities are probably
izers or repeated tilling. adapted to local weather in
Organic amendments are different ways, making it
like an investment bank difficult to come up with a
account that matures over one-size-fits-all response
thirty years, while chemical to global changes in cli-
fertilizers are more like a mate. Climate change also
checking account that is drained could cause microorganisms
regularly and needs to be replen- to add to the greenhouse gas
ished often. problem (greenhouse gases are those that
absorb radiation, trapping heat in our atmosphere), since
their respiration converts stored soil carbon into carbon
Bioremediation
dioxide, a major greenhouse gas. In places where the cli-
Using microorganisms to treat waste or pollution is called mate becomes warmer but stays wet or gets wetter, deni-
bioremediation, and understanding how microbial pro- trification and methanogenesis will create more nitrous
cesses work is crucial to its success. For instance, certain oxide and methane, respectively, and these are also
organisms can be encouraged to grow by providing more greenhouse gases. While nitrous oxide and methane are
or less oxygen, by adding nutrients, or by simply adding not as abundant as carbon dioxide in the atmosphere,
the desired organism to a contaminated soil. Sometimes they are much more potent in capturing heat and there-
(as with PCBs) just leaving contaminated areas alone and fore are important for future changes in our climate.
giving organisms time to go about their cleanup work is Another major global change factor is nitrogen depos-
necessary. Other situations call for balancing different its from industrial activities. These by-products may act
kinds of microbe communities, as when sulfate-oxidizing like fertilizers and increase microbial growth and respira-
and sulfate-reducing organisms are paired to remove tion, acidify soil, or pollute rivers and lakes.

The Future Balser, Teri C; Kinzig, Ann P.; & Firestone, Mary K. (2001). Linking
soil microbial communities and ecosystem function. In Ann
P. Kinzig, Stephen Pacala, & David Tilman (Eds.), Linking biodi-
Understanding the many processes mediated by microor- versity and ecosystem functioning (pp. 265–358). Princeton, NJ:
ganisms can help us use them to make sustainable man- Princeton University Press.
Banning, N. C.; Grant, C. D.; Jones, D. L.; & Murphy, D. V. (2008).
agement decisions. In agriculture, low or no tillage
Recovery of soil organic matter, organic matter turnover and nitro-
systems with organic inputs to match the nutrients taken gen cycling in a post-mining forest rehabilitation chronosequence.
away through plant harvesting can improve decomposi- Soil Biology & Biochemistry, 40, 2021–2031.
tion processes and microbial contribution to soil struc- Brussard, Lijbert; de Ruiter, Peter C.; & Brown, George G. (2007).
Soil biodiversity for agricultural sustainability. Agriculture,
ture and stability. Adding nitrogen-fi xing microbes or
Ecosystems and Environment, 121, 233–244.
growing legumes (plants with a nitrogen-fi xing bacterial Burford, E. P.; Fomina, M.; & Gadd, G. M. (2003). Fungal involve-
partner) to disturbed soil can help to restore it. Microbes ment in bioweathering and biotransformation of rocks and miner-
can also be used to degrade or remove toxic chemicals als. Mineralogical Magazine, 67, 1127–1155.
Chander, K., & Brookes, P. C. (1991). Plant inputs of carbon to metal-
that result from industrial waste, mining, and other
contaminated soil and effects on the soil microbial biomass. Soil
human activities. Global changes may make microbial Biology & Biochemistry, 23, 1169–1177.
communities less able to carry out their usual processes Docherty, Kathryn M., & Gutknecht, Jessica L. M. (2011 [print
depending on how they adapt. In the future these diverse version forthcoming]). Th e role of environmental microorgan-
isms in ecosystem responses to global change: Current state of
communities should play a central role in how we think
research and future outlooks. Biogeochemistry . doi:10.1007/
about sustainability and management. s10533-011-9614-y
Doran, John W., & Zeiss, Michael R. (2000). Soil health and sustain-
Jessica L. M. GUTKNECHT
ability: Managing the biotic component of soil quality. Applied Soil
Helmholtz Centre for Environmental Research—UFZ Ecology, 15, 3–11.
Gutknecht, Jessica L. M.; Goodman, Robert M.; & Balser, Teri C.
See also Agricultural Intensification; Agroecology; (2006). Linking soil processes and microbial ecology in freshwater
Biodiversity; Brownfield Redevelopment; Ecosystem wetland ecosystems. Plant and Soil, 289, 17–34.
Services; Eutrophication; Global Climate Change; Field, Christopher B., & Raupach, Michael R. (Eds.). (2004). Th e
Mutualism; Nitrogen Saturation; Nutrient and global carbon cycle. Washington, DC: Island Press.
Fry, Stephen C. (2000). The growing plant cell wall: Chemical and
Biogeochemical Cycling; Plant-Animal Interactions; metabolic analysis. Caldwell, NJ: Blackburn Press.
Soil Conservation; Waste Management Liang, Chao, & Balser, Teri C. (2008). Preferential sequestration of
microbial carbon in subsoils of a glacial-landscape toposequence.
Geoderma, 148, 113–119.
FURTHER READING Lincoln, Roger; Boxshall, Geoff ; & Clark, Paul. (1998). A dictionary of
Atlas, Ronald M., & Bartha, Richard. (Eds.). (1998). Microbial ecology: ecology, evolution, and systematics (2nd ed.). Cambridge, UK:
Fundamentals and applications. Menlo Park, CA: Benjamin/ Cambridge University Press.
Cummings. Miller, R. Michael, & Jastrow, J. D. (1992). The application of VA
Balser, Teri C.; Gutknecht Jessica L.; & Liang, Chao. (2010). How mycorrhizae to ecosystem restoration and reclamation. In Michael
will climate change impact soil microbial communities? In Allen (Ed.), Mycorrhizal functioning: An integrative plant-fungus
Geoff rey R. Dixon (Ed.), Soil microbiology and sustainable crop pro- process (pp. 438–467). New York: Chapman & Hall.
duction (pp. 373–397). Reading, UK: University of Reading Press. Nardi, James B. (2007). Life in the soil: A guide for naturalists and gar-
Balser, Teri C.; Wixon, Devin; Moritz, Lindsey K.; & Lipps, Laura. deners. Chicago: University of Chicago Press.
(2010). The microbiology of natural soils. In Geoff rey R. Dixon Sylvia, David M.; Hartel, Peter G.; Furhmann, Jeff ry J.; & Zuberer,
(Ed.), Soil microbiology and sustainable crop production (pp. 27–57). David A. (Eds.). (2004). Principals and applications of soil microbiol-
Reading, UK: University of Reading Press. ogy. Upper Saddle River, NJ: Pearson Education.
Balser, Teri C. (2005). Humification. In Daniel Hillel et al. (Eds.), Vörös, L., & Szegi, J. (1990). Investigation on the effectiveness of
Encyclopedia of soils in the environment (Vol. 2., pp. 195–207). Azotobacter inoculation during the recultivation of mining spoils.
Oxford, UK: Elsevier. Mikrobiologija, 58, 642–648.

Mutualism
Mutualism is an interaction between species that ben- via pollination, seed dispersal, nutrient cycling, and bio-
efits both. Such interactions are critical to reproduction logical control. It is likely that every organism partici-
and survival and thus to the continued provision of eco- pates directly or indirectly in at least one mutualistic
system services to human populations. Global environ- interaction (Bronstein 2009). Since mutualism is involved
mental change threatens mutualisms by altering the in virtually every ecosystem service, understanding it and
timing of natural history events, shifting species’ preserving it are of high priority.
ranges, reducing and fragmenting habitat, and promot- Pollination is a classic example of mutualism. Animals
ing invasion by non-native organisms. More research is pollinate over 87 percent of all flowering plants world-
needed to accurately predict ecological response to wide (Ollerton, Winfree, and Tarrant 2011). Pollination is
these changes. essential for agriculture: animal-pollinated crops account
for about 35 percent of global food production (Klein et
al. 2007). Many plants also depend on animals, including
I nteractions between species influence ecological pro-

cesses within populations, communities, and ecosys-
tems. Virtually all species on Earth are involved in
birds and mammals, for seed dispersal. These animals
feed on fruits, in the process moving seeds away from
parent plants to other habitats, and hence are critical to
multiple interspecific interactions at any one time. The the persistence of natural and managed vegetation. In
best-studied species interactions are competition and another common mutualism, certain plants and insects
predation, relationships that are harmful to one or both (such as aphids) use ants for “biological warfare” against
of the involved species. Mutualisms, in contrast, are their enemies: ants are attracted by food rewards and
interactions between two species that benefit both. then aggressively defend their partner against attack.
Mutualisms occur in habitats throughout the world Such interactions can be essential for allowing species to
(Bronstein 2009) and are crucial to the reproduction and persist, which in turn benefits humans when these are
survival of many organisms, as well as to nutrient cycles species of economic or aesthetic interest. Conversely,
in ecosystems. Moreover, the services that mutualists these mutualisms are to our detriment when they involve
provide are increasingly leading environmentalists to species (e.g., agricultural pests) that we would prefer to
consider mutualisms a priority in conservation and extirpate. Finally, mutualisms between plants and cer-
restoration. tain microbes promote healthy nutrient and biogeo-
Ecosystems provide goods and services that support chemical cycling. Mycorrhizae fungi are intimately
human populations (e.g., food, clean water, energy, pro- (symbiotically) associated with plant roots from which
tection, and cultural enrichment), without which world plants gain essential nutrients. Approximately 80 percent
economies would “grind to a halt” (Costanza et al. 1997). of terrestrial plants participate in this type of mutualism
Some researchers define ecosystem functions as processes (van der Heijden 1998). Mycorrhizal fungal diversity is
that facilitate biogeographical flow of energy among eco- important for the maintenance of plant biodiversity,
systems, while ecosystem services are those processes that structure, nutrient capture, and productivity. Similarly,
are beneficial to humans (e.g., Traill et al. 2010). rhizobia are symbiotic nitrogen-fi xing bacteria that asso-
Mutualism plays an important role in ecosystem services ciate with legumes (including soybeans and peas). These
261

bacteria are responsible for most of the nitrogen that is and pollinator-dependent plants in agro-ecosystems (Keitt
fi xed biologically, as well as for more than a quarter of 2009). Continued accumulation and analysis of data for
crop production; thus, they are essential for ecosystem other biotic interactions will lead to understanding of what
functioning and independence from nitrogen fertilizers. is needed to protect and sustain other ecosystems as well.
Indeed, mutualistic associations involving microbes are
Ginny M. FITZPATRICK and Judith L. BRONSTEIN
pervasive in nature and are critical to the maintenance of
The University of Arizona
biogeochemical processes, including the nitrogen cycle.
Mutualism is crucial in sustaining coral reefs. Most See also Agroecology; Biodiversity; Charismatic
coral species are dependent on mutualistic associations Megafauna; Community Ecology; Disturbance; Global
with specialized symbiotic algae. Environmental stresses, Climate Change; Food Webs; Habitat Fragmentation;
including rising temperatures, cause the expulsion of Indicator Species; Keystone Species; Invasive Species;
these algae in a phenomenon known as coral bleaching. Microbial Ecosystem Processes; Nutrient and Biogeo-
While corals may completely recover after mild events, chemical Cycling; Outbreak Species; Plant-Animal
more extreme events can cause 100 percent mortality. Interactions; Resilience
Coral reefs provide the structure for highly productive,
diverse coastal marine ecosystems that benefit humans by
acting as nurseries and habitat for commercial fisheries, FURTHER READING
as well as recreational habitat. Their destruction through Biesmeijer, Jacobus C., et al. (2006). Parallel declines in pollinators
bleaching is expected to become more of a problem for and insect-pollinated plants in Britain and the Netherlands.
Science, 313(5785), 351–354.
the majority of the world’s coral reefs as Earth’s climate
Bronstein, Judith L. (2009). Mutualism. In Simon A. Levin (Ed.), The
continues to warm (Donner et al. 2005). Princeton guide to ecology (p. II.11). Princeton, NJ: Princeton
The 2005 Millennium Ecosystem Assessment calcu- University Press.
lated that human activities have decreased ecosystem ser- Costanza, Robert, et al. (1997). The value of the world’s ecosystem
services and natural capital. Nature, 387(6630), 253–260.
vices by over 60 percent. Global environmental change
Donner, Simon D.; Skirving, William J.; Little, Christopher M.;
negatively affects mutualism in several ways. It alters phe- Oppenheimer, Michael; & Hoegh-Guldberg, Ove. (2005). Global
nologies (timing of natural history events such as flower- assessment of coral bleaching and required rates of adaptation
ing), shifts species’ distribution ranges, and reduces or under climate change. Global Change Biology, 11(12), 2251–2265.
Hegland, Stein Joar; Nielsen, Anders; Lázaro, Amparo; Bjerknes,
fragments habitat—changes that make it likely that
Anne-Line; & Totland, Ørjan. (2009). How does climate warming
organisms will not be able to find each other and thus to affect plant-pollinator interactions? Ecology Letters, 12(2), 184–195.
establish the mutualistic associations they require. Kearns, Carol A.; Inouye, David W.; & Waser, Nickolas M. (1998).
Furthermore, global change often favors the invasion of Endangered mutualisms: The conservation of plant-pollinator
interactions. Annual Review of Ecology and Systematics, 29, 83–112.
species that monopolize or kill mutualists, to their native
Keitt, Timothy H. (2009). Habitat conversion, extinction thresholds,
partners’ detriment. Consequences are particularly well and pollination services in agroecosystems. Ecological Applications,
documented in seed dispersal and pollination systems. 19 (6), 1561–1573.
Bee diversity in Britain and the Netherlands has declined Kiers, E. Toby; Palmer, Todd M.; Ives, Anthony R.; Bruno, John F.;
& Bronstein, Judith L. (2010). Mutualisms in a changing world:
since 1980, with a corresponding decline in the plant spe-
An evolutionary perspective. Ecology Letters, 13(12), 1459–1474.
cies reliant on those pollinators (Biesmeijer et al. 2006). Klein, Alexandra-Maria, et al. (2007). Importance of pollinators in
Human land use and disturbance are significant threats to changing landscapes for world crops. Proceedings of the Royal Society
wild, native pollinators (Winfree et al. 2009), and thus to B: Biological Sciences, 274 (1608), 303–313.
Kremen, Claire, et al. (2007). Pollination and other ecosystem services
plant communities worldwide. Biologists have reported a
produced by mobile organisms: A conceptual framework for the
few cases of phenological mismatches among plants and effects of land-use change. Ecology Letters, 10 (4), 299–314.
their pollinators as a consequence of climate warming Millennium Ecosystem Assessment. (2005). Ecosystems and human
(Hegland et al. 2009), although there are also cases well-being: Synthesis. Washington, DC: Island Press.
Ollerton, Jeff ; Winfree, Rachel; & Tarrant, Sam. (2011). How many
known in which partners shift their own phenology to the
f lowering plants are pollinated by animals? Oikos , 120 (3),
same degree, leaving their associations intact. 321–326.
Biologists have recently urged that species interactions Traill, Lochran W.; Lim, Matthew L. M.; Sodhi, Navjot S.; &
need to be taken into account if we wish to accurately pre- Bradshaw, Corey J. A. (2010). Mechanisms driving change:
Altered species interactions and ecosystem function through global
dict ecological response to global change (Kiers et al.
warming. Journal of Animal Ecology, 79 (5), 937–947.
2010). Little is yet known about the effects of global van der Heijden, Marcel G. A., et al. (1998). Mycorrhizal fungal
change on biotic interactions, especially mutualism. Plant- diversity determines plant biodiversity, ecosystem variability and
pollinator systems have received more attention than any productivity. Nature, 396(6706), 69–72.
Winfree, Rachel; Aguilar, Ramiro; Vázquez, Diego P.; LeBuhn,
other mutualistic interaction; close attention to the size of
Gretchen; & Aizen, Marcelo A. (2009). A meta-analysis of bees’
intact habitat and ecosystem-specific thresholds has been responses to anthropogenic disturbance. Ecology , 90 (8),
shown to be essential for maintenance of wild pollinators 2068–2076.

Natural Capital
Natural capital is an economic construct that describes economist could suggest that “the world can, in effect,
the natural world, its ecosystems, and their value to get along without natural resources” (Solow 1974). In the
society. How people value the natural world determines 1970s, however, growing evidence of the limitations on
how businesses and societies both conserve and deplete natural resources and environmental problems made
it. Economists who think about natural capital as an worse by accelerating economic growth led many econo-
irreplaceable resource and those who believe that it is mists to call for explicitly recognizing natural capital—
like any other input into an economy have very different defined as a stock that yields a flow of natural services
ideas about how society should treat the natural world. and tangible natural resources—as a distinct and essen-
tial factor of production.
The fi rst explicit reference to natural capital appears
E conomists use the concept of natural capital to explain
the contribution that the natural world’s resources
make to human economies. Different schools of eco-
in Small Is Beautiful (Schumacher 1973). In this book,
the British economist E. F. Schumacher argued that
nomic thought have a number of different ways to irreplaceable natural capital stocks make up the larger
approach the topic, and these approaches have different part of all capital, and that modern economists errone-
consequences for sustainable development. ously treat their depletion as income. Schumacher iden-
tified two types of natural capital. The fi rst was fossil
fuels, which were rapidly being exhausted. The second
Conceptual History was the ability of natural systems to regenerate them-
selves, threatened by novel chemicals against which
In the eighteenth and nineteenth centuries, economists nature had no defenses. Although they did not use the
identified the factors of production (that is, the resources specific phrase natural capital, other researchers, includ-
that go into producing goods and services), as capital, ing Herman Daly (1973, l977) and Nicholas Georgescu-
labor, and land. Capital was defined as an input that is Roegen (1971) were simultaneously stressing that the
not consumed in the manufacture of a product (Smith goods and services provided by nature are essential, non-
1776) or, alternatively, as something human made that substitutable factors of production, and that the fi nite
contributed to production (Böhm-Bawerk 1891), for supply of these resources limits continued economic
example, machinery. Land, which included all natural growth. Furthermore, both Daly and Georgescu-
resources, was treated as distinct from capital because it Roegen carefully distinguished between the two types
was a gift of nature and because humans could not affect of natural capital discussed by Schumacher. Fossil fuels,
its supply. In the twentieth century, economists redefined along with all other raw materials from nature (both
capital as any asset that produces a stream of income over renewable and nonrenewable), are identified as stock-
time (Fisher 1906). By this definition, land is lumped flow resources, which are consumed and therefore
together with other capital, and the factors of production depleted in the act of production. Humans can decide
are reduced to two: capital and labor. After the redefini- how quickly to deplete such resources. In contrast, the
tion, natural resources were increasingly ignored as a fac- ability of ecosystems to reproduce themselves, along
tor of production to the point where an eminent with other services provided by ecosystems, is a
264

NATURAL CAPITAL • 265
fund-service resource. A fund is not consumed in the act regions, and businesses around the world adopted the
of producing a service. For example, when a forest helps ecological footprint as a measure of sustainability.
regulate water flow, processes waste, provides shelter for The book Natural Capitalism (Hawken, Lovins, and
other species, or produces the seeds required for renewal, Lovins 1999) and the nonprofit organization The Natural
it is not consumed in the process. Nature’s fund services Step both played a critical role in popularizing the con-
are generated from a particular confi guration of its cept of natural capital outside of academia, particularly in
stock-flow components. Just as a car factory is a particu- the business world, by laying roadmaps for a society that
lar configuration of metal, glass, and concrete, a forest is obeys Herman Daly’s specific rules for sustaining natural
a particular configuration of plants, animals, water, and capital. The triple bottom line is one increasingly popular
soil. Funds provide services at a given rate over time. The approach to business that accounts for natural capital,
term natural capital generally refers both to stock flows human capital, and financial capital (Elkington 1997).
and to fund services. National and international policies designed to protect
Th e concept of natural capital caught on fairly and restore natural capital including cap and trade regu-
quickly, particularly in the field of ecological economics, lations for pollutants and fisheries and payments for eco-
whose theoretical foundations stressed the dependence system services are now multibillion-dollar global
of the economic system on the planet’s fi nite supply of markets (Farley et al. 2010).
natural resources and the invaluable services they gen-
erate. The economists David Pearce (1988) and Herman
Daly (1990) argued that sustainable development Strong and Weak Sustainability
required a constant natural capital stock. Daly listed
specific rules for maintaining a constant stock: extrac- Natural capital, however, remains poorly defined and
tion of renewable resources could not exceed regenera- subject to controversy. One ongoing debate is whether or
tion rates, extraction of nonrenewable resources could not natural capital is, in fact, irreplaceable. If it is true
not exceed the rate at which renewable substitutes were that some natural capital is essential and has no substi-
developed, and waste emissions could not exceed the tutes, then that capital must be preserved and so cannot
ecosystem’s absorption capacity. The concept of natural be lumped together with other forms of capital. Th is
capital suited ecological economic theory so well that belief, generally shared by ecological economists and
the proceedings of the second international Ecological known as strong sustainability, led to the emergence of
Economics Conference were published as the book the concept of natural capital in the early 1970s. Other
Investing in Natural Capital (Jansson et al. 1994). The economists argue that human-made capital can substi-
fi rst section of this book focuses on maintaining and tute for natural capital and that as long as the value of
investing in natural capital, the second focuses on meth- both types of capital together is not declining, sustain-
ods and research topics, and the third on policy implica- ability is achieved. According to this model, clear-
tions and applications. These three topics parallel and cutting the Amazon could be viewed as sustainable as
anticipate the way researchers later developed the ideas long as future generations were left with an equal value
around natural capital. of roads and buildings. Th is approach is called weak sus-
Much of the early research on natural capital focused tainability. David Pearce was instrumental in developing
on the economic value of ecosystem services. In May the concept of weak sustainability (Pearce and Atkinson
1997, the journal Nature published a paper that inte- 1993), although he had initially stressed the irreplace-
grated these studies into a single global assessment of able nature of natural capital. Many scholars now use the
natural capital. That paper, “The Value of the World’s phrase critical natural capital for natural capital that is
Ecosystem Services and Natural Capital” (Costanza essential to human welfare and has no substitutes (Ekins
et al. 1997), has become one of the most cited in the et al. 2003).
environmental sciences. A related debate concerns the labels natural capital and
At the same time, various nations attempted to integrate ecosystem services, which, some argue, imply the treatment
natural capital into their national accounts (Ahmad, El of nature as a commodity, or market good, and hence
Serafy, and Lutz 1989), leading the United Nations to pro- weak sustainability. Many economists do believe that
pose a System of Environmental and Economic Accounts natural capital should be treated as just another com-
(SEEA) (United Nations 1993), eventually implemented in modity and incorporated into the market model. Others,
2003. The researchers William Rees (from Canada) and however, interpret natural capital as a metaphor that calls
Mathis Wackernagel (from Switzerland) introduced the attention to the productive capacity of ecosystems and
concept of the ecological footprint as a biophysical measure the need to invest in their protection and restoration. If
of humanity’s demands on natural capital (Rees and natural capital is defined as an asset that produces a flow
Wackernagel 1994). A growing number of countries, of income over time, then the term implies that we must

live only off the flow of income without depleting the goods and cannot be forced into the market model.
capital stock. According to this way of thinking, the met- Protecting and restoring natural capital does, however,
aphor does not imply that natural capital can be bought impose real costs on society, which somebody must pay.
and sold like any other asset. Many ecological economists believe that investments in
Valuing ecosystem services goes a step further than natural capital should be a cooperative endeavor, in which
the natural capital metaphor to suggest that such services the wealthiest nations and regions shoulder the financial
have a monetary exchange value and are neither essential cost of restoration and conservation wherever it is needed
nor nonsubstitutable. Advocates of weak sustainability (Farley and Costanza 2010).
typically believe that markets will lead to the optimal
provision of ecosystem services if the services are cor-
rectly priced. Even many advocates of strong sustainabil- Outlook for the Future
ity argue that valuation calls attention to the importance
of natural capital and that failure to value ecosystem ser- The importance of the natural capital concept continues
vices assigns an implicit value of zero to them. They point to grow, as measured by a steadily increasing use of the
out that food is also essential and nonsubstitutable, yet it term in the scientific literature. Human society must rec-
is nonetheless valued in monetary terms. ognize that we, like all other species, depend on the flow
Critics of monetary valuation argue that it is based on of goods and services provided by nature. In the past,
preferences weighted by purchasing power, which gives humans have treated natural capital
no voice to the poor and prioritizes Western over as if there were enough to meet
indigenous values. Furthermore, preferences all human and ecological needs
are often based on incomplete or inac- for all time, with no trade-offs
curate knowledge, because people involved and hence no need to
rarely understand precisely how ration access. The market sys-
ecosystems generate services or tem is very effective at allocat-
how human activities will affect ing natural capital toward
them. The dominant critique is that market products, but it fails to
valuation implies weak sustainabil- take account of natural capital’s
ity. In fact, many conventional growing scarcity. As a result,
economists focused on dollar val- societies are now depleting nat-
ues have explicitly stated that ural capital faster than it can
global climate change is relatively regenerate and returning waste
unimportant because it primarily to the environment faster than it
affects agriculture, which consti- can be absorbed. Depletion of this
tutes a negligible share of gross natural capital will diminish not
domestic product, or GDP only nature’s capacity to regenerate
(Schelling 2007). Most ecological itself but also the raw materials
economists argue that society needed for all economic production
should impose the specific quanti- and the flow of ecosystem services essen-
tative rules for sustainable use of tial to human wellbeing. Future generations
natural capital that Herman Daly sug- are left dependent on dwindling resources. The con-
gested, and then let prices adjust to these eco- cept of strong sustainability makes it obvious that people
logical constraints (Farley 2008). They also suggest that must learn to live on the interest from natural capital, the
because natural capital is part of a shared inheritance, annual flow of benefits, without depleting the stock.
scientific and democratic principles, rather than the mar- Natural capital is inherently different from other forms
ket, should be used to value it. of capital—produced capital and natural capital are ulti-
Another controversial application of the concept of mately complements, not substitutes for one another. It is
natural capital is payments for ecosystem services (PES). not enough to simply put a price on natural capital and
Those who favor the integration of natural capital into force it into competitive market boundaries. Instead, eco-
the market tend to favor PES systems in which private nomic institutions must adapt to the fact that natural
sector beneficiaries of ecosystem services pay landowners capital is irreplaceable and generates a flow of public good
for land uses that provide specific services. Such pay- services best protected by cooperative efforts. Society
ments are often for a single service and do not take into faces a new allocation challenge: how much natural capi-
account other services provided by the system. Critics of tal should be converted to economic production, and how
PES typically argue that ecosystem services are public much should be conserved for the provision of ecosystem

NATURAL CAPITAL • 267
services? Both uses of natural capital are essential and Farley, Joshua. (2008). The role of prices in conserving critical natural
have no substitutes. The concept of natural capital, cor- capital. Conservation Biology, 22 (6), 1399–1408.
Farley, Joshua; Aquino, André; Daniels, Amy; Moulaert, Azur; Lee,
rectly applied, can help society make these choices. Dan; & Krause, Abby. (2010). Global mechanisms for sustaining and
enhancing PES schemes. Ecological Economics, 69(11), 2075–2084.
Joshua FARLEY Farley, Joshua, & Costanza, Robert. (2010). Payments for ecosystem
University of Vermont services: From local to global. Ecological Economics , 69 (11),
2060–2068.
See also Agricultural Intensification; Agroecology; Fisher, Irving. (1906). Th e nature of capital and income. New York:
Ecosystem Services; Human Ecology; Irrigation; Landscape Macmillan.
Planning, Large-Scale; Marine Protected Areas (MPAs); Georgescu-Roegen, Nicholas. (1971). The entropy law and the economic
process. Cambridge, MA: Harvard University Press.
Ocean Resource Management; Permaculture; Reforestation; Hawken, Paul; Lovins, Amory; & Lovins, L. Hunter. (1999). Natural
Soil Conservation; Viewshed Protection; Water Resource capitalism : Creating the next industrial revolution. Boston: Little,
Management, Integrated (IWRM); Wilderness Areas Brown.
Jansson, AnnMari; Hammer, Monica; Folke, Carl; & Costanza,
Robert. (Eds.). (1994). Investing in natural capital: The ecological eco-
nomics approach to sustainability. Covelo, CA: Island Press.
Pearce, David. (1988). Economics, equity and sustainable develop-
FURTHER READING ment. Futures, 20 (6), 598–605.
Ahmad, Yusuf J.; El Serafy, Salah; & Lutz, Ernest. (Eds.). (1989). Pearce, David W., & Atkinson, Giles D. (1993). Capital theory and
Environmental accounting for sustainable development. Washington, the measurement of sustainable development: An indicator of
DC: The World Bank. “weak” sustainability. Ecological Economics, 8 (2), 103–108.
Böhm-Bawerk, Eugen von. (1891). Th e positive theory of capital . Rees, William E., & Wackernagel, Mathis. (1994). Ecological foot-
London: Macmillan. prints and appropriated carrying capacity: Measuring the natural
Costanza, Robert, et al. (1997). The value of the world’s ecosystem capital requirements of the human economy. In AnnMari Jansson,
services and natural capital. Nature, 387, 253–260. Monica Hammer, Carl Folke & Robert Costanza (Eds.), Investing
Daly, Herman E. (1977). Steady-state economics: Th e economics of in natural capital: The ecological economics approach to sustainability
bio-physical equilibrium and moral growth. San Francisco: W. H. (pp. 362–390). Covelo, CA: Island Press.
Freeman. Schelling, T. C. (2007). Greenhouse effect. In D. R. Henderson (Ed.),
Daly, Herman E. (1990). Towards some operational principles for sus- The concise encyclopedia of economics. Indianapolis, IN: Liberty Fund.
tainable development. Ecological Economics, 2 (1), 1–6. Schumacher, Ernst Friedrich. (1973). Small is beautiful: Economics as if
Daly, Herman E. (Ed.). (1973). Toward a steady-state economy. San people mattered. New York: Harper and Row.
Francisco: W. H. Freeman. Smith, Adam. (1776/1996). An inquiry into the nature and causes of the
Ekins, Paul; Simon, Sandrine; Deutsch, Lisa; Folke, Carl; & De wealth of nations. Oxford, UK: Clarendon Press.
Groot, Rudolf. (2003). A framework for the practical application Solow, Robert M. (1974). The economics of resources or the resources
of the concepts of critical natural capital and strong sustainability. of economics. The American Economic Review, 64 (2), 1–14.
Ecological Economics, 44 (2–3), 165–185. United Nations. (1993). Handbook of national accounting: Integrated
Elkington, John. (1997). Cannibals with forks: The triple bottom line of environment and economic accounting (Series F, No. 61). New York:
21st century business. Oxford, UK: Capstone Publishing. United Nations.

Nitrogen Saturation
Nitrogen saturation occurs when the supply of reactive ecosystems (Mulholland et al. 2008). Reactive nitrogen
nitrogen (oxidized, reduced, or organic nitrogen) to an enters the atmosphere as a result of natural processes such as
ecosystem exceeds biotic and abiotic demand. Reactive lightning and biotic fi xation, but natural sources are now far
nitrogen has historically been a scarce nutrient, but outweighed by emissions from human activities, particularly
recent industrial and agricultural activities have cre- in densely populated and heavily industrialized areas such as
ated an oversupply of nitrogen in many ecosystems. Europe, North America, and east Asia (Galloway et al.
This shift from nitrogen scarcity to overabundance has 2004). The primary sources of reactive nitrogen emitted into
a wide range of ecological consequences for terrestrial, the atmosphere are fossil-fuel combustion from transporta-
aquatic, and marine ecosystems. tion and electricity generation (29 percent) and agriculture
(52 percent). Fertilizer use (9 percent) and animal husbandry
N itrogen (N) saturation occurs when the supply of

reactive nitrogen exceeds the ability of an ecosystem
to absorb it through biotic and abiotic processes. Reactive
(22 percent) comprise the dominant agricultural sources
(Galloway et al. 2004). Most reactive nitrogen stays in the
atmosphere only for hours or days before it is deposited onto
nitrogen includes reduced forms such as NH41 (ammo- ecosystems downwind from emissions sources through pre-
nium), oxidized forms such as NO23 (nitrate), and organic cipitation, dust and fine particles, or chemical reactions that
forms such as amino acids. Historically, plant growth in occur on surfaces, such as foliage (Holland et al. 2005).
most terrestrial ecosystems has been limited by the avail- Initially, reactive nitrogen deposited onto nitrogen-
ability of these forms of nitrogen (Galloway et al. 2004). limited terrestrial ecosystems increases plant growth and
Although nitrogen is plentiful in the atmosphere, nearly ecosystem carbon storage, and the nitrogen is retained
all of it is in an unreactive form (N2) that most plants and within the ecosystem (Vitousek et al. 1997). As nitrogen
other organisms cannot use for growth (Galloway et al. accumulates, however, and biotic demand for nitrogen is
2004). Over time, human activities such as fertilizer pro- met, soil nitrogen is increasingly converted to nitrate
duction, cultivation of crops that can use N2, and fossil- (NO3–), which leaches easily from soils and into the
fuel combustion have dramatically increased the global groundwater or aquatic ecosystems. Nitrate leaching is a
supply of reactive nitrogen (Galloway et al. 2004). Much key indicator of nitrogen saturation and implies a transi-
of it is emitted into air and water, increasing the supply tion away from a nitrogen-limited system (Aber et al.
of reactive nitrogen to surrounding ecosystems to the 1989). Nitrate leaching causes soil acidification; the loss
point that it has become excessive (Vitousek et al. 1997). of plant nutrients, such as calcium and magnesium, from
For many ecosystems, this switch from nitrogen limita- soils; and increased exposure of plants to soil aluminum,
tion to nitrogen saturation has ecological consequences. which can be toxic. Because of these effects, nitrogen sat-
uration may reduce plant growth and increase plant mor-
From Atmosphere to Ocean tality in acidic, nutrient-poor soils (Aber et al. 1989).
In terms of ecosystem carbon storage, there is evidence
Nitrogen saturation was originally defined in terrestrial eco- that negative effects on plant growth may be counteracted by
systems (Aber et al. 1989), but the concept has also been reduced microbial decomposition of organic matter (Janssens
applied to watersheds (Stoddard 1994) and aquatic et al. 2010). Nevertheless, excess soil nitrogen can reduce
268

NITROGEN SATURATION • 269
plant species diversity (Emmett 2007), lower the abundance In coming decades, atmospheric deposition of reactive
of symbiotic mycorrhizal fungi associated with plant roots nitrogen in North America and western Europe is pre-
(Treseder 2004), and increase emissions of nitrous oxide dicted to remain relatively constant as a result of pollution
(N2O)—a powerful greenhouse gas (Aber et al. 1989). controls, while it is predicted to increase in every other
Freshwater ecosystems are conduits for nitrogen to populated region of the world (Galloway et al. 2004).
leach from terrestrial ecosystems into the oceans. Reactive nitrogen is also predicted to become more abun-
Denitrification by microorganisms converts some of this dant globally in streams and coastal ecosystems (Galloway
nitrate to N2 that is released back into the atmosphere. This et al. 2004). Although nitrogen inputs may not increase in
process is also vulnerable to nitrogen saturation, because it North America and western Europe, the legacy of previ-
becomes less efficient as nitrogen concentrations increase ous nitrogen inputs means that nitrogen saturation is
(Mulholland et al. 2008). In addition, nitrate leaching can likely to become more widespread. Lowering the produc-
damage aquatic ecosystems by contributing to both surface tion of reactive nitrogen could be achieved over the long
water acidification and eutrophication (Rabalais 2002). term through reducing fossil-fuel combustion and increas-
Acidification of freshwater ecosystems reduces the ing use of other energy sources, changing animal hus-
growth and survival of fish and other biota. Although bandry practices to improve management of animal waste,
nitrate leaching is a minor contributor to surface water and reducing rates of fertilizer application in agriculture.
acidification in most of North America, it is a large con- If nitrogen additions can be limited to the point where
tributor in Europe (Stoddard 1994). Eutrophication occurs they no longer exceed biotic demand, ecosystems will
when nutrient availability within an ecosystem greatly gradually return to being nitrogen-limited.
increases; in freshwater ecosystems, eutrophication can lead
Kurt S. PREGITZER and Alan F. TALHELM
to noxious algal blooms, loss of aquatic vegetation, and oxy-
University of Idaho
gen deficiency (Rabalais 2002). Nitrogen inputs alone do
not always result in freshwater eutrophication, because pro- See also Agricultural Intensification; Agroecology;
ductivity in these systems is more strongly limited by phos- Ecosystem Services; Eutrophication; Groundwater
phorus availability. Nitrogen inputs can, however, cause Management; Nutrient and Biogeochemical Cycling;
eutrophication in ecosystems that are phosphorus-rich Ocean Acidification—Management; Pollution, Nonpoint
from natural sources or pollution (Rabalais 2002). Source; Pollution, Point Source; Soil Conservation
In contrast, nitrogen can have major negative conse-
quences when added to coastal ecosystems and estuaries
(Vitousek et al. 1997). Unlike the phosphorus-limited
open ocean, near-shore ecosystems are limited in produc-
FURTHER READING
Aber, John D.; Nadelhoffer, Knute J.; Steudler, Paul; & Melillo, Jerry
tivity by nitrogen availability, because historical rates of
M. (1989). Nitrogen saturation in northern forest ecosystems.
nitrogen input have been small, the abundance of organ- Bioscience, 39 (6), 378–386.
isms that can use N2 for growth is low, and rates of nitro- Emmett, Bridget A. (2007). Nitrogen saturation of terrestrial ecosys-
gen removal through denitrif ication are high. tems: Some recent findings and their implications for our concep-
tual framework. Water Air Soil Pollution: Focus, 7, 99–109.
Consequently, eutrophication caused by nitrogen can
Galloway, J. N., et al. (2004). Nitrogen cycles: Past, present, and
lead to loss of biotic diversity, harmful algae blooms, oxy- future. Biogeochemistry, 70 (2), 153–226.
gen deficiency, and extensive die-offs of economically Holland, Elisabeth A.; Braswell, Bobby H.; Sulzman, James; &
important fish and shellfish (Vitousek et al. 1997). Lamarque, Jean-Francois. (2005). Nitrogen deposition onto the
United States and western Europe: Synthesis of observations and
Each of these ecological systems is vulnerable to excess
models. Ecological Applications, 15(1), 38–57.
nitrogen availability, but susceptibility varies locally Janssens, I. A., et al. (2010). Reduction of forest soil respiration in
according to a wide range of abiotic and biotic factors that response to nitrogen deposition. Nature Geoscience, 3, 315–322.
control the supply of and demand for nitrogen (Aber et al. Mulholland, Patrick J., et al. (2008). Stream denitrification across
biomes and its response to anthropogenic nitrate loading. Nature,
1989). Demand for nitrogen is reduced by factors that
452, 202–205.
restrict biological growth, such as low temperatures, Rabalais, Nancy N. (2002). Nitrogen in aquatic ecosystems. Ambio,
drought, the availability of other nutrients (chiefly phos- 31(2), 102–112.
phorus), the age of the dominant organisms, competition, Stoddard, John L. (1994). Long-term changes in watershed retention
of nitrogen. In Lawrence A. Baker (Ed.), Environmental chemistry
and disease. Variation among species in their ability to
of lakes and reservoirs (pp. 223–284). Washington, DC: American
take up and use available nitrogen also influences nitrogen Chemical Society.
demand. Past disturbances—both natural ones such as Treseder, Kathleen A. (2004). A meta-analysis of mycorrhizal
fires, and human ones such as timber harvesting and land responses to nitrogen, phosphorus, and atmospheric CO2 in field
studies. New Phytologist, 164 (2), 347–355.
conversion for agriculture—can change background nitro-
Vitousek, Peter M., et al. (1997). Issues in ecology: Human alternation of
gen availability and make ecosystems more or less suscep- the global nitrogen cycle: Causes and consequences. Washington, DC:
tible to chronic nitrogen additions (Aber et al. 1989). Ecological Society of America.

Nutrient and
Biogeochemical Cycling
Understanding nutrient and biogeochemical cycling are not depleted and remain consistently available for con-
(the movement of elements through ecosystem compo- tinued net primary production (total plant growth via
nents) can provide relatively unambiguous and simple photosynthesis minus respiration of the plants) would be
criteria for evaluating one aspect of sustainability. a key criteria of sustainable management. Because net pri-
Based on a “mass balance” approach (which looks at mary productivity fuels the rest of the ecosystem (includ-
the balance of ecosystem inputs and outputs), descrip- ing primary, secondary, tertiary, etc., consumers and
tions of elemental cycles over human time frames can organisms that consume dead material and decompose
determine whether management practices will result in organic matter), maintaining current levels of productivity
losses in nutrient stocks (the total ecosystem inventory sustains the entire ecosystem over time. Using a nutrient
of nutrients in various forms) that will ultimately criterion for sustainability thus complements other sus-
degrade ecosystem function. tainable management issues such as erosion, soil compac-
tion, pollutant contamination, and loss of biodiversity.
T he nutrient aspects of sustainability in land manage-

ment (e.g., forestry, agriculture) perhaps provide the
most unambiguous criteria for developing management
Thinking like an Ecosystem
plans consistent with sustainability principles. The con- Prior to the advent of the ecosystem concept, concerns
trasts between “strong” and “weak” sustainability—the about forestry and agriculture focused more narrowly on
proponents of the former saying that the Earth’s natural issues such as species management and soil fertility.
capital (the stock of natural ecosystems that yields a flow Foresters worried that after a tree harvest, their favored
of valuable ecosystem goods or services) is irreplaceable, species would not regenerate to produce another crop of
and proponents of the latter saying that economic growth desirable trees to cut down the next time around.
can be accommodated by substituting technology and Agriculturalists worried that soil fertility would decline,
other resources for depleted natural capital—are less con- and they would either have to find new land to till or pur-
troversial in this context as nutrients are generally not chase expensive fertilizers to apply to the land. The soil
substitutable. For example, if nitrogen is in short supply, test was one solution to this concern. If the concentration
extra phosphorus will not compensate for that limitation. of nutrients in the soil sample declined, then the remedy
The law of the minimum posited by the German chemist was to add the limiting nutrient (Liebig’s law again).
Justus von Liebig (1803–1873) provides the framework for The foundation for understanding forests and agricul-
this concept of nonsubstitution: growth will continue tural fields in a different way—through knowledge of
until the nutrient in the shortest supply becomes limiting; nutrient and biogeochemical cycling—began with the
resupply of that nutrient will renew growth. Thus, under- adoption of the ecosystem concept as a way of looking at
standing the basic dynamics of nutrients on human time forests, fields, and other areas. Articulated in 1935 by the
scales provides a solid foundation for planning and man- British ecologist Arthur Tansley and experimentally
agement of ecosystems that would be consistent with employed to quantify ecosystem function in the 1960s
principles of sustainability. More specifically, manage- (e.g., see Bormann and Likens 1967), the ecosystem con-
ment of resource extraction to insure that nutrient stocks cept provides the framework for describing nutrient stocks
270

NUTRIENT AND BIOGEOCHEMICAL CYCLING • 271
both conceptually and quantitatively. This concept focused stream water. Another concern reported by the National
on a bounded place as an interacting system of living and Academy of Sciences in 1980 involved the conversion of
physical components (biotic and abiotic) that could be moist tropical forest areas. In the previous decade, the
characterized by stocks and flows of matter and energy. ecologist Nellie Stark (1971a; 1971b) determined that the
For example, while the agriculturalist may have been stock of nutrients in living biomass in Amazonian forests
happy when the concentration of a limiting nutrient was was very large in comparison with the stock of nutrients in
maintained at an optimal level, the actual stock of nutri- the heavily weathered soils. This implied that removal of
ents was declining as the depth of the soil was diminish- living biomass from the ecosystem might seriously jeopar-
ing. Th is is analogous to evaluating the health of your dize the ability of the forest to regenerate itself, given its
bank account by the willingness of the bank teller to let reduced stock of nutrients. This was of particular concern
you withdraw one hundred dollars a week. Sustainability with the conversion of primary forest, with their huge
requires you to keep track of the account balance. pools of nutrients in biomass, to secondary forest that then
By contrast, in using an ecosystem approach, places needed to re-accumulate nutrients from yet unquantified
like forests and crop fields were studied by carefully estab- sources of inputs. In many areas, tropical deforestation
lishing ecosystem boundaries and components, and then may be unsustainable from a nutrient perspective.
characterizing major inputs and outputs of substances like Studies of nutrient dynamics in the context of manage-
nutrients. In retrospect, this seemingly simple research ment emphasized the need for research into the basic eco-
perspective of defining a bounded ecosystem and consid- system dynamics of a whole suite of elements, including
ering inputs and outputs to be like deposits and with- both nutrients and environmental contaminants. This new
drawals from the bank provided important new insights approach to understanding ecosystems has been subse-
into the functioning of both natural and human-managed quently applied to understanding acid rain, nitrogen satura-
ecosystems. For example, early work by Harold Hemond tion (over-fertilization), mercury pollution, and the biggest
(1980) on nutrient cycling in Thoreau’s Bog in Concord, hurdle of the twenty-first century, global climate change.
Massachusetts, determined that it was ombrotrophic (rain
fed), which accounted for the unusual plants, animals, and
nutrient-retention survival strategies. Sustainability: Nutrient and
In addition, ecosystem analysis provided an integrative Biogeochemical Cycling
perspective on how living organisms and their abiotic
components worked together. An ecosystem is a complex As suggested above, nutrient cycling criteria may provide
assemblage of hundreds and perhaps thousands of species some of the most rigorous and unambiguous criteria for
of plants, animals, and microbes, along with the physical the evaluation of sustainability. Considering specific
complexity of soil horizons, parent material, and ever- nutrients one at a time, we can use techniques of ecosystem
changing atmospheric conditions. The ecosystem analysis to achieve our best understanding of ecosys-
approach simplified this complexity by focusing on a rel- tem function for that element. The joint consideration of
atively small set of ecosystem components. Th is new many nutrient elements can be approached in the context
understanding would eventually challenge existing man- of the previously mentioned Liebig’s law of the mini-
agement practices as described in sections below. mum. The measurement of the stock of this limiting fac-
tor can inform managers whether current practices are
New Insights sustainable over the long term.
In the almost infinite diversity of natural and human-
New insights gained from studying nutrient cycling in created ecosystems, the nutrient factors limiting primary
ecosystems formed the basis for questioning the sustain- productivity may vary considerably. One simplification is
ability of human practices on the landscape. Not long after to consider two categories of nutrients: macronutrients
the development of techniques for ecosystem analysis in (nutrients needed by life in large quantities, e.g., nitro-
the late 1960s, F. Herbert Bormann and collaborators gen, phosphorus, potassium, calcium, magnesium, sul-
applied the ecosystem framework to the practice of clear- fur) and micronutrients (nutrients needed in only minute
cutting. In one of many experiments they found manyfold quantities, e.g., boron, copper, iron, chlorine, manganese,
increases in nutrient losses following cutting of trees. This molybdenum, zinc). Choosing a few to be illustrative of
finding generated a great deal of controversy and subse- the application of nutrient and biogeochemical cycling to
quent research, as well as new policies governing forest sustainability can provide the foundation for developing
management. Clear-cutting could destabilize the biotic appropriate sustainability criteria.
control of the cycling and retention of those nutrients, In addition, as mentioned above, contaminants cycling
causing a loss of nutrients not only in the removal of the is also a consideration for thinking about sustainable
harvested wood but also in the leaching of nutrients into management. For example, natural wetland ecosystems

are increasingly valued for their pollutant “fi ltering” The variability of nutrient dynamics in many developing
capacity, and constructed wetlands are often designed ecosystems also requires consideration in the context of sus-
specifically for these functions. Understanding cycling in tainability. For example, if we harvest trees on a continuous
these contexts is essential for managing contaminants cycle in a way that does not deplete the pool of nutrients,
over the long term in relation to sustainability principles. thereby sustaining subsequent productivity for the next for-
The terms nutrient cycling and biogeochemical cycling need est cycle, we might all agree that at least from a nutrient
some further discussion as they are both used in the title perspective, the practice is sustainable. But even in the rela-
of this section. As used here, the distinctions in the terms tively rapid span of human lives, natural ecological pro-
lie in how they may be applied to nutrients versus contami- cesses change the status of nutrient pools. For example,
nants. Biogeochemical cycling is the broader of the terms as Bernard Bormann (the son of F. Herbert Bormann) and
it applies to any element moving through the biosphere collaborators (1998) documented that primary succession of
and lithosphere, whether it is a nutrient of life or not. Thus forest over sand can rapidly build biomass and available
the biogeochemical cycling of a contaminant like mercury nutrient pools. Thus the “normal” dynamics of nutrient
(Hg) is not appropriately considered nutrient cycling as stocks, including available soil nutrients, would be increas-
there is currently no known need of mercury in animal or ing. Would sustainability criteria focus on increasing nutri-
plant physiology. Nutrient cycles on the other hand have ent stocks or just maintaining a constant level? In another
biological, geological, and chemical components to their example, natural fires deplete ecosystem nitrogen (through
cycles, and thus are all properly biogeochemical cycles. conversion to nitrogen oxides that are lost to the atmo-
Therefore, when discussing nutrient elements, context and sphere), lowering total nitrogen stocks below what would
semantic preference will govern the use of either term. be present without fire. Right after fire, however, mineral-
ized nutrients boost recovery through short-term fertiliza-
Cycling and Time tion. Thus managing fire frequency sustains different levels
of productivity. What is the norm that we would want to
Most advocates of sustainability work in the context of manage sustainably? In both examples above, management
human time scales. Even the long view of some native may sustain stocks of nutrients in the ecosystem at static
peoples (some who are said to plan in the span of “seven levels, where natural ecosystem development may not sus-
generations”) is framed within a time scale relevant to tain constant stocks. Thus there are specific cases where
social processes and not geologic processes. Geologic principles of sustainability may require a more dynamic
processes figure prominently in the cycles of most nutri- interpretation of nutrient “cycling.”
ent elements however. Thus understanding biogeochemi-
cal cycles over large spans of time is critical to developing Sedimentary Cycles
an understanding of sustainability and cycling.
For example, at human time scales, calcium cycling is In a geologic time frame, cycles have been categorized as
not a cycle at all. Calcium weathers out of rocks, goes sedimentary cycles and gaseous cycles, with some cycles
into solution, gets carried by ground-, subsurface, and having important elements of both. Each has some
surface water to the ocean, and then precipitates or settles important distinctions in the context of sustainability.
on the seafloor through biotic and chemical processes. The calcium cycle, introduced above, is a good example
While this march to the ocean can be interrupted by eco- of a sedimentary cycle. Elements categorized as having a
logical processes and recycled to the terrestrial system to sedimentary cycle have a very long cycling time associ-
then restart the journey to the sea, the vast majority of ated with weathering from rock substrates, transport in
calcium atoms take a one-way trip to the sea. This deple- surface waters, sedimentation in ocean waters, rock for-
tion of calcium, like the mining of fossil fuels, degrades mation, uplift, and back to weathering.
the pool of calcium with each successive millennium, For a terrestrial system, the implication of this long-
weathering towering alps to gentle green mountains to term biogeochemical cycle is that nutrients need not be
pleasant hills and valleys. Also known as a sedimentary conserved within the ecosystem. Outputs will exceed
cycle to geologists, this calcium story is very much a cycle inputs as the storage pool of nutrients in rocks is slowly
as the calcium-rich sediments accumulate to great depths depleted. Limestone weathering provides a simplified
over hundreds of millions of years, form rocks, and may model of the sedimentary cycle starting with the follow-
eventually get uplifted by tectonic forces and reemerge as ing carbonate weathering equation:
towering mountains that will weather the forces of physi-
CaCO3 1 H1 1 HCO23 —n Ca 21 1 2HCO23
cal erosion and acid dissolution, and thus start the pro-
cess all over again. Thus sustainability principles applied Calcium (in ionic form: Ca 21) participates in the inter-
in the context of nutrient and biogeochemical “cycles” nal or intrasystem cycle within the ecosystem, where cal-
must consider both the maintenance of elemental stocks cium drives growth of plants and feeds the nutritional
and their dynamics (e.g., weathering). needs of the many animals, fungi, and microbes that make

NUTRIENT AND BIOGEOCHEMICAL CYCLING • 273
up the ecosystem. But the net export puts these positively An interesting dimension of this mass balance model
charged calcium cations into the surface waters of the of ecosystem dynamics is that the stock of available cal-
world to then travel to the ocean. During this journey to cium is not tied to harvest levels. As long as harvests and
the ocean, calcium continues to feed aquatic plant growth aqueous losses do not exceed weathering and other
and all the organisms that depend on this productivity. inputs, the ecosystem remains in nutrient balance. Thus
Reaching the ocean, calcium is an important nutrient for this balance could be achieved under conditions of either
many organisms, but to feed the long-term biogeochemical low nutrient availability or high nutrient availability.
cycle, there are key organisms, such as diatoms, that use Clearly there are some management advantages to
calcium as structural components. Upon their death, these designing the production system that maintained high
calcium-rich structures settle to the bottom of the sea and calcium availability with consequent higher productivity.
begin the rock-formation process. Millions of years later, This would result in more of the nutrient outputs leaving
with an uplift event, these calcium atoms return to feed as product and less as aqueous losses in stream water.
terrestrial organisms through the weathering process.
Thus, sustaining ecosystem productivity requires not the Gaseous Cycles
conservation of calcium, but the sustainable stewarding of
the element on its way to the sea. Where humans seek to Gaseous global cycles do not have an important sedimen-
remove products of biology such as trees or crops from the tary phase. Thus rock weathering is not an important source
ecosystem, the normal weathering rate might be a rough of these elements. Again, each cycle has its own peculiari-
measure of how much can be removed without diminishing ties, but nitrogen (N) is a good nutrient to illustrate a gas-
the stock of available calcium. This recognition of the role eous nutrient cycle. Nitrogen is also a limiting nutrient
of weathering in nutrient cycling was first introduced by element in many cases and thus serves to illustrate the rela-
Nellie Stark (1978) with the proposal of a “biological life of tionship between nutrient cycling and sustainability.
soils.” Working in both young, recently glaciated forest In a simplified model of the nitrogen cycle, the large
soils and heavily weathered soils in the tropics, Stark reservoir of nitrogen is the atmosphere, in contrast to cal-
described the natural evolution of sedimentary cycles and cium, which has a huge reservoir in rocks. Like the cal-
proposed that removal of nutrients through (a) crop or tree cium in rocks, nitrogen, as N2 in the atmosphere, is
harvest and (b) land management practices that could unavailable to life in that form. The entry of nitrogen into
increase or decrease weathering rates were important com- life cycles requires capture and conversion of nitrogen
ponents of balancing human use and natural processes. into forms available to living organisms (nitrogen fi xa-
The components of this balance involve weathering tion). Th is fi xation can happen through either abiotic
rates, other natural (e.g., nutrients carried in precipitation) processes (e.g., lightning) or biotic processes (biological
and anthropogenic inputs (e.g., particulate pollution), fi xation, e.g., through specially adapted symbiotic organ-
harvest removals, and aqueous outputs (e.g., calcium leav- isms like Rhizobium and Frankia). While common mem-
ing the ecosystem in surface and ground water). This bal- bers of the community in some ecosystems, nitrogen
ance should be evaluated over the cycle of harvests (e.g., fi xers are lacking in many ecosystems. The other major
rotation rate of tree harvests) to evaluate sustainability. In source of nitrogen in terrestrial ecosystems is precipita-
between harvests, the balance also includes the accumu- tion. Nitrate (NO23 ) and ammonium (NH14 ) are found in
lating storage of calcium in living and dead biomass. But precipitation. Natural levels of these compounds are gen-
if we assume no net change in biomass over the course of erally low, but industrial pollution has increased the level
a harvest rotation, then the most important change in of these and related compounds to many times the natu-
storage will be the available pool of calcium. A simplified ral levels. The net input rate of nitrogen to most terres-
mass balance equation can assist in conceptualizing the trial ecosystems is still rather low however. Once
role of management on nutrient balance: accumulated in terrestrial ecosystems through fi xation or
weathering 1 inputs 1 depletion of nutrient stock precipitation, nitrogen must be conserved through limit-
5 harvest 1 outputs ing losses, or the stock of nitrogen in the ecosystem will
decline. Thus most natural ecosystems have evolved
(Inputs include natural phenomenon like precipitation mechanisms to limit nitrogen losses. Again using a mass
and anthropogenic sources such as particulate pollution; balance approach, the following simplification approxi-
outputs include losses to stream water and groundwater.) mates the nitrogen balance in ecosystems:
Clearly, excessive harvests or human impacts that
precipitation 1 fi xation 1 depletion of nutrient stock
increase outputs of particulate or dissolved nutrients will
5 harvest 1 losses to ground- and surface water
deplete the stock of available calcium. If calcium scarcity,
1 atmospheric losses
resulting from a decline in the available stock, reduces
primary productivity, then the management practices In the absence of nitrogen fertilization, human man-
could be considered to be unsustainable. agement of nitrogen must then be designed to balance

output of nitrogen through harvest removals and land Managing Biogeochemical Cycles
management with inputs of nitrogen. With the primary
input of nitrogen being bulk precipitation for many eco- While the framework of balancing inputs and outputs to
systems, this rate of input generally translates to long maintain available pools of nutrients is simple in concept
rotation times (e.g., in the case of forestry). For annual and helpful in evaluating sustainability, uncertainty in mea-
agricultural crops where the annual removal of nitrogen suring all components of the cycle results in some large
in crops is high, this generally means that some kind of ranges in possible outcomes, especially when extrapolated
inorganic or organic fertilizer is required to replenish the over longer time frames. Long-term ecological research is
stock of nitrogen in the soil. Depletion of nutrients just beginning to approach the time spans under consider-
through poor land management can also be an important ation in many management scenarios (e.g., forest rotations).
management issue as discussed earlier. If erosion and Nevertheless, current levels of accuracy in measuring impor-
leaching losses of nitrogen are high, sustainable practices tant ecosystem variables—such as nutrients in bulk precipi-
require that harvest outputs be low in order to allow for tation, weathering rates, denitrification, nitrogen fi xation,
a balanced nutrient cycle. outputs of nutrients in stream water, and stocks of macronu-
trients in soils—can provide important insights into key
ecosystem cycles that can inform sustainable management.
Contaminant Biogeochemical Cycles In particular, advances in research on the cycling of nitro-
gen, phosphorus, potassium, calcium, magnesium, and sul-
The biogeochemistry of contaminants in ecosystems is fur, and contaminants like lead and mercury can aid in
of great concern to both environmental scientists and framing decisions about sustainable practices and policies.
regulatory agencies. Many long-term, persistent con-
taminants have chronic effects on human health and Deane WANG
also may lead to mortality through cancers and other University of Vermont
deadly diseases. It is difficult to generalize about con- See also Eutrophication; Food Webs; Groundwater
taminant biogeochemistry because the elemental Management; Microbial Ecosystem Processes;
dynamics are so variable (e.g., mercury versus lead ver- Mutualism; Natural Capital; Nitrogen Saturation;
sus synthetic organics like DDT). For example, mer- Pollution, Nonpoint Source; Pollution, Point Source;
cury (Hg) is volatilized (turns to gas and is then Safe Minimum Standard (SMS); Soil Conservation
released into the atmosphere) in coal combustion,
enters terrestrial and aquatic ecosystems through pre-
cipitation, and then re-enters the atmosphere through FURTHER READING
volatilization of gaseous mercury. While the accurate Bormann, Bernard T., et al. (1998). Rapid, plant-induced weathering in an
quantification of mercury “cycling” (as discussed ear- aggrading experimental ecosystem. Biogeochemistry, 43(2), 129–155.
lier, most of many elements may actually not complete Bormann, F. Herbert, & Likens, Gene E. (1967). Nutrient cycling.
a cycle) is still under development (see Grigal 2002), Science, 155(3761), 424–428.
Bormann, F. Herbert; Likens, Gene E.; Fisher, D. W.; & Pierce,
one of the concerns is that human alteration of natural Robert S. (1968). Nutrient loss accelerated by clear-cutting of a for-
mercury cycling is resulting in both higher fl ows of est ecosystem. Science, 159 (3817), 882–884.
mercury through terrestrial ecosystems and greater Grigal, D. F. (2002). Inputs and outputs of mercury from terrestrial
accumulation of mercury in aquatic ecosystems. Also, watersheds: A review. Environmental Review, 10 (1), 1–39.
Hemond, Harold F. (1980). Biogeochemistry of Th oreau’s Bog,
because mercury bioaccumulates (i.e., is concentrated Concord, Massachusetts. Ecological Monographs, 50 (4), 507–526.
to very high levels as it moves through the food chain) Likens, Gene E. (2010). Biogeochemistry of inland waters. New York:
in aquatic ecosystems, it has critical impacts on aquatic Academic Press.
organisms and the humans who eat fi sh from the sea Likens, Gene E., & Bormann, F. Herbert. (1995). Biogeochemistry of a
forested ecosystem. New York: Springer-Verlag.
and many lakes. Myers, Norman. (1980). Conversion of tropical moist forests: A report pre-
Tracing contaminant movement through all parts of the pared by Norman Myers for the Committee on Research Priorities in
ecosystem and quantifying how and where it accumulates Tropical Biology of the National Research Council. Washington, DC:
is a key part to understanding contaminant biogeochemis- National Academy of Sciences (NAS).
Stark, Nellie. (1971a). Nutrient cycling. I. Nutrient distribution in
try and consequently managing contaminant dynamics some Amazonian soils. Tropical Ecology, 12, 24–50.
to the greatest extent that we can. Unfortunately, because Stark, Nellie. (1971b). Nutrient cycling. II. Nutrient distribution in
of the large number of industrial contaminants created by Amazonian vegetation. Tropical Ecology, 12, 177–201.
human activity, this work is very challenging and will Stark, Nellie. (1978). Man, tropical forests, and the biological life of a
soil. BioTropica, 10 (1), 1–10.
require increased and continuing funding to achieve a level Vitousek, Peter M., & Matson, Pamela A. (2009). Nutrient cycling
of understanding that can accurately inform sustainable and biogeochemistry. In Simon A. Levin (Ed.), Princeton guide to
management and policy development. ecology (pp. 330–339). Princeton, NJ: Princeton University Press.

Ocean Acidification—
Management
The increasing carbon dioxide (CO2) concentration in When hydrogen ions are released in seawater, they
the Earth’s atmosphere is absorbed by the oceans and combine with carbonate ions (forming bicarbonate),
leads to changes in ocean carbon chemistry. This thereby lowering the carbonate ion concentration.
process of ocean acidification results in a range of Carbonate ions are the building blocks (calcifiers) for the
biological and socioeconomic impacts. Accelerating shells and skeletons of many marine organisms, such as
acidification under current rates of CO2 emissions is corals, crustaceans (e.g., lobsters and crabs), and mollusks
expected to compromise the function of global marine (e.g., clams and oysters). Lowering the pH thus reduces
ecosystems during this century. Management actions the saturation state of calcium carbonate, which makes it
are urgently needed to help counteract these impacts. harder for organisms to form the calcium carbonate needed
for their shells. Calcification, or the process of “shell build-
T he concentration of carbon dioxide (CO2) in the

Earth’s atmosphere has increased dramatically since
the Industrial Revolution (from around 280 parts per mil-
ing,” depends on the availability (saturation) of carbonate
ions in seawater. The calcification rates of marine calcifiers
are generally sensitive to a decline in carbonate ion concen-
lion [ppm] in preindustrial times to 392 ppm in 2011), pri- tration. More specifically, changes in the carbonate ion
marily due to human activities such as the burning of fossil concentration in the oceans can affect the saturation
fuels and land-use activities (IPCC 2007). This buildup of state—and hence biological availability—of several forms
CO2 is recognized as one of the primary causes of global of calcium carbonate that these species depend on for shell
climate change. Over the last few decades, only half of the building, including calcite, aragonite, or high-magnesian
CO2 released by human activities has remained in the calcite (Feely, Doney, and Cooley 2009).
atmosphere; 25 percent has been absorbed into the oceans Currently, calcifying marine organisms in most areas of
(Sabine et al. 2004). This absorptive capacity of the oceans the ocean surface can build skeletons and shells because
has helped to buffer the impacts of global warming associ- the water is saturated with calcium carbonate (Pelejero,
ated with increased atmospheric CO2 emissions, but it has Calvo, and Hoegh-Guldberg 2010). The pH of the ocean
come at a cost in the form of ocean acidification. surface waters has already decreased, however, by about
When atmospheric CO2 dissolves into seawater, car- 0.1 units since the beginning of the Industrial Revolution
bonic acid is formed, and hydrogen ions are released. As (Feely et al. 2004), reducing the saturation of aragonite or
a result, the pH of the ocean surface waters decreases, calcite that these organisms need. Because the pH scale is
making it more acidic. On the 14-point pH scale, lower logarithmic, a 1-unit decrease in pH is equivalent to a ten-
numbers (0–6.9) designate acidic water, while higher fold increase in acidity. Ocean pH is projected to drop an
numbers (7.1–14) designate basic water; a pH of 7.0 is additional 0.4 pH units by 2100 under a high CO2 emis-
neutral. Oceans are naturally slightly basic (on average, sion scenario (IPCC 2007), with carbonate saturation lev-
pH . 8.1), and acidification via CO2 uptake is expected els potentially falling below those required to sustain coral
to drive pH as low as 7.6 by the end of this century. Th is reef accretion (Royal Society 2005; Hoegh-Guldberg et al.
pH change will affect the ocean carbon chemistry system, 2007; Silverman et al. 2009). Such changes in the carbon
and the biological and ecological processes that depend chemistry of the open ocean probably have not occurred
on it in numerous ways. for more than 20 million years (Feely et al. 2004).
276

OCEAN ACIDIFICATION—MANAGEMENT • 277
Changes in ocean acidity vary globally. High-latitude twenty-first century (Gattuso et al. 1998; Kleypas et al.
surface waters (waters near and right below the North and 1999; Marubini and Atkinson 1999). Since then, the
South Poles) have a naturally low concentration of carbon- effects of ocean acidification on marine organisms and
ate ions because atmospheric CO2 is more soluble in colder ecosystems have become increasingly evident through
seas. As a result, these waters experience a higher degree of experimental and observational research. Ocean acidi-
ocean acidification than warmer ocean waters and are fi cation has demonstrable impacts on a number of
therefore likely to become undersaturated with respect to biological and ecological processes in many marine
aragonite before tropical and subtropical waters (Feely et al. groups—including phytoplankton, corals, other inverte-
2004). Models suggest that oceanic waters will be under- brates, and fishes—around the globe (Kroeker et al.
saturated with respect to aragonite by 2020 in the Arctic 2010). Most studies have focused on impacts of ocean
Ocean and by 2050 in the Southern Ocean surrounding acidification on calcification (shell building) and dissolu-
Antarctica (Orr et al. 2005; Steinacher et al. 2009). tion (shell dissolving or disruptions in formation), but
Tropical coral reefs are also vulnerable to ocean acidi- impacts on other processes such as early life-history
fication. Some globally important coral reef regions, such stages are reported with increasing frequency (Dupont
as the Great Barrier Reef, the Coral Sea, and the and Thorndyke 2009; Albright and Langdon 2011). For
Caribbean Sea, are projected to attain dangerously low example, ocean acidification can lead to excessive CO2
states of aragonite saturation more rapidly than other levels in the blood (CO2 toxicity) of fish and cephalopods
regions such as the Central Pacific Ocean (Hoegh- and significantly reduced growth and fecundity in some
Guldberg et al. 2007). Despite global ocean acidification invertebrates (Orr et al. 2005). For species with long gen-
patterns, a number of local-scale ecological processes eration times, slower growth and lower fecundity can
affect the rate and geographic scale of ocean acidification. lead to population declines. Recent works indicate that
Large variations in pH and aragonite saturation states ocean acidification may lead to sensory and neurological
have been documented on some coral reefs. On Heron dysfunction in marine fish larvae—that is, they can’t
Island Reef in the Great Barrier Reef, Australia, for “smell” the reef and thus fail to distinguish predators
example, variations in pH and aragonite saturation state from parents (Munday et al. 2010).
over the course of one day were greater than the predicted Importantly, ocean acidification doesn’t affect all
changes that ocean acidification will cause for the oceans marine organisms equally. Some hard corals have linear
globally by the middle of the century (Anthony et al. responses while others show accelerating responses to
2008; 2011). These results suggest that although general reductions in carbonate ion concentration (Reynaud
patterns in aragonite saturation are evident for open et al. 2003; Jury, Whitehead and Szmant 2009; Rodolfo-
oceans, they will vary significantly both spatially and Metalpa et al. 2010). While accelerating responses may
temporally as a result of reef-scale processes. result in a catastrophic tipping point for some species, it
Climate change and ocean acidification challenge is not yet possible to defi ne such critical points for indi-
marine conservation managers and research scientists vidual species or broader ecosystem changes. The ability
because they force them to try to manage global threats at to defi ne tipping points is limited because most studies
local scales. Unlike other global stressors, such as increas- on ocean acidification impacts are based on experimen-
ing sea surface temperature that leads to bleaching (visible tal work over short time scales and for a single species.
whitening) and widespread mortality of coral reefs, ocean Little is known about how populations and ecosystems
acidification is largely an invisible, insidious environmental will respond to ocean acidification, the combined effects
problem. Because of the relatively recent awareness of the from other stressors (e.g., pollution, overfishing, increas-
threat of ocean acidification, little guidance for managing ing ocean temperatures), and the ability of organisms to
its impacts exists. Further, the majority of research is adapt. The variety of responses of marine organisms is
focused on addressing the responses of marine organisms partially the result of the wide variety of processes that
to changes in ocean chemistry or on projecting global-scale ocean acidification affects, such as dissolution and cal-
changes in ocean chemistry; little emphasis has been placed cification rates, growth rates, development, and survival
on developing management or policy recommendations to (Kroeker et al. 2010). Th is variation in responses makes
address these impacts (but see Mcleod et al. 2008). predicting the impacts of ocean acidification on species
and marine ecosystems complex. Despite these com-
plexities, however, recent studies indicate that, overall,
Impacts of Ocean Acidification ocean acidification will harm calcifying marine organ-
isms (Hendriks, Duarte, and Alvarez 2010; Kroeker
A number of groundbreaking studies conducted in the et al. 2010).
late 1990s predicted that coral reefs would show dramatic Whereas recent studies have explored the biological
responses to changes in ocean chemistry during the impacts of ocean acidification on marine organisms, less

emphasis has been placed on assessing the socioeconomic time scales. As a result, there are major research gaps
impacts. Because ocean acidification affects marine regarding ocean acidification’s larger importance, includ-
organisms’ abilities to form shells, it may decrease the ing how ocean acidification will affect many ecologically
abundance of commercially important shellfish species or economically important species and communities, how
such as clams, oysters, and sea urchins, affecting the it will affect a variety of physiological and biogeochemi-
human communities that depend upon these resources cal processes, and what the potential will be for organ-
for food and/or livelihoods (Cooley, Kite-Powel, and isms to adapt to projected changes in ocean chemistry
Doney 2009). Ocean acidification may thus affect human (Boyd et al. 2008).
communities through a loss of goods and services pro- The science needed to address these gaps will probably
vided by ecosystems such as coral reefs—for example, take decades to fully develop. Waiting to take manage-
tourism revenues, fisheries, coastal protection, and cul- ment action until the science is complete, however, may
tural values. Such goods and services are valued in bil- put critical marine ecosystems at risk. Local actions can
lions of dollars (Burke et al. 2011). The Great Barrier and should be taken now to protect marine ecosystems.
Reef, for example, contributes more than $5 billion annu- Such actions include reducing the other stressors that
ally to the Australian economy (Access Economics affect most marine ecosystems, such as declining water
2005). quality, coastal pollution, and overfishing of important
Additional research is needed to assess the deeper species and functional groups, such as herbivores
socioeconomic impacts of ocean acidification in coun- (Hughes et al. 2003). Reducing land-based sources of
tries whose communities directly depend upon natural pollution, such as nutrient runoff from agriculture and
marine resources for survival (Cooley and Doney sediment runoff from coastal development, is particularly
2009). Such research could provide motivations for important for managing the impacts of ocean acidifica-
action that extend beyond ocean acidification and cli- tion, because nutrients like phosphorus and nitrogen and
mate change, because economic analyses and models of land-based carbon inputs can lower pH and aragonite
ocean acidification’s impacts on fi sheries and tourism saturation states in coastal and oceanic waters (Andersson,
are necessary to understand the true comprehensive Mackenzie, and Lerman 2006). To achieve these goals,
costs of action or inaction to reduce global CO2 emis- marine management efforts must be integrated with
sions (Fulton et al. 2011). land-use and coastal-zone planning and practices to help
reduce pollutant inputs. More generally, the reduction of
stressors on marine ecosystems supports ecosystem
Potential Management Options health and will better allow marine organisms to channel
resources to growth, calcification, and reproduction
The most critical action needed to address ocean acidifi- rather than to repairing damage and recovering from dis-
cation is to stabilize atmospheric CO2 concentrations. ease (Mcleod et al. 2008).
Reviews suggest that policies that allow the global aver- Current ocean acidification research is exploring dif-
age atmospheric concentration of CO2 , currently ferences in the sensitivity of marine species and habitats
approaching 393 ppm to reach or surpass 500 ppm of to changes in ocean chemistry. If scientists can identify
CO2 are likely to be extremely risky for corals reefs (e.g., species or habitats that are less vulnerable to the impacts
Hoegh-Guldberg et al. 2007). Thus, ocean acidification of ocean acidification, these could become priorities for
provides another impetus for comprehensive and effective inclusion in marine protected areas (MPAs). Less vul-
global policies to address CO2 emissions. nerable areas may include coral reefs in carbonate rich
Unfortunately, reducing global emissions is beyond areas, such as places where there are raised reefs and
the scope of marine conservation managers. A more limestone islands, extensive reef fl ats, patch reef/coral
immediate need is to identify and implement local actions head complexes, and carbonate sediment deposits.
that support marine ecosystem (e.g., coral reef) health in Other candidate areas for increased protection through
the face of global threats such as ocean acidification. A MPAs may be high-diversity reef complexes that are
study by the National Research Council (2010, 85), well flushed by oceanic water, because these influxes of
Ocean Acidification: A National Strategy to Meet the fresh oceanic water bring higher total alkalinity and
Challenges of a Changing Ocean, reviewed the current state saturation states that support reef and shell building.
of the knowledge of ocean acidification and stated that Well-flushed areas may be more vulnerable in the
“there is not yet enough information on the biological, future, however, if ocean acidification causes significant
ecological, or socioeconomic effects of ocean acidification decreases in the pH of oceanic waters. Therefore, a
to adequately guide management efforts.” This conclusion strategy of spreading the risk by selecting examples of
is based on the fact that most research has focused on the coral reef areas in a variety of ocean chemistry and
impacts of ocean acidification on few species over short oceanographic regimes is a useful MPA design

approach. By protecting multiple examples of such reef and sulfur (Doney et al. 2007), and eutrophication
areas, MPA managers are helping to ensure that these resulting from land-use changes and agriculture, a pro-
ecosystems are more likely to survive climate and other cess where a body of water (in this case the ocean)
human threats. receives excess nutrients that stimulate algal growth
Coral reefs located in areas with high variability in (Borges and Gypens 2010). The processes that affect
seawater temperature are thought to be less vulnerable to coastal carbonate chemistry are complex and not well
thermal stress and associated bleaching and mortality resolved, and improved understanding is needed to
caused by increases in sea surface temperature manage the responses of marine organisms, ecosystems,
(McClanahan et al. 2007). If reefs in areas with high and industries in coastal areas (National Research
natural variability in ocean chemistry are also less vul- Council 2010).
nerable to ocean acidification, then managers could pri- The mitigation of local causes of ocean acidification
oritize reefs in these areas for inclusion in MPAs. In the using existing environmental laws has been proposed
absence of such information, MPA managers may choose recently (Kelly et al. 2011). Local and state governments
to locate MPAs in a range of ocean chemistry regimes have the authority and capacity to address many stress-
(including areas with high and low variability). ors that can exacerbate ocean acidification conditions in
Additionally, selecting reefs in a variety of pH coastal waters. For example, enforcement of the US
and aragonite saturation regimes increases Clean Water Act can help ensure that precipi-
the chances that managers will iden- tation runoff and associated pollutants,
tify and protect corals that are accli- which can increase acidification, are lim-
mated to a variety of pH conditions ited. Controlling coastal erosion can
and spreads the risk of any coral help reduce nutrient and sediment
species’ survival being compro- loading of water; such coastal inputs
mised by ocean acidification. also may be enriched with fertilizers
Actions that address threats that can increase acidification, pro-
such as increasing sea level, viding another reason for reducing
increasing sea surface tempera- them. Changes in land-use pat-
ture, and ocean acidification terns, such as changes in deforesta-
must be incorporated into tion practices, can reduce direct
MPA management plans to and indirect CO2 emissions, run-
reduce the impacts of increas- off, and other threats. Enforcing
ing atmospheric concentrations federal emission limits for pollut-
of CO2 on marine species and ants such as nitrogen oxide and sul-
ecosystems. It is also important fur oxide (e.g., from coal-fired
to develop and test the efficacy of power plants) can help reduce ocean
innovative interventions that acidif ication impacts in coastal
reduce the effects of ocean acidifica- waters (Kelly et al. 2011). Despite the
tion on high-priority areas and species. clear benefits of minimizing additional
Such interventions include CO2 capture stressors on coastal ecosystems through
and storage strategies. The geographic scale, time enforcement of existing environmental laws,
frame, and economic and environmental costs and ben- such actions are inadequate to reverse the impacts of
efits of these interventions must be explored further ocean acidification at a global scale.
before they can be implemented. To help conservation managers identify and protect
marine species and communities that are most likely to
survive changes in ocean chemistry, additional research
Research Needs and Next Steps is needed to investigate the response of organisms, popu-
lations, and communities to ocean acidification. Further,
A number of priority research needs should be addressed research exploring the capacity of marine organisms to
to support the management of ocean acidification. While acclimatize or adapt to changes in ocean chemistry will
models can project changes in ocean chemistry at global be important in understanding their susceptibility to
and regional scales, these models do not take coastal pro- future changes. The ability to identify species that are less
cesses into account. Coastal areas already experience vulnerable to changes in ocean chemistry is also useful to
extreme variability in water chemistry because of natural support aquaculture programs, because such species may
and human inputs, such as acidic discharge of river water be used for selective breeding. Field studies that docu-
(Salisbury et al. 2008), atmospheric deposition of nitrogen ment changes in ecosystem structure and function over

natural pH gradients are also useful for highlighting Indicator Species; Large Marine Ecosystem (LME)
thresholds that trigger widespread ecological and biolog- Management and Assessment; Marine Protected Areas
ical changes. The ability to identify indicators of regime (MPAs); Pollution, Nonpoint Source; Pollution, Point
shifts (e.g., from coral to algal dominance) helps marine Source; Regime Shifts; Resilience
managers take actions to avoid such shifts or cope with
them (Anthony et al. 2011).
No impact occurs in isolation, so studies need to FURTHER READING
address the interactive effects of multiple stressors.
Access Economics Pty Limited. (2005). Measuring the economic and
Marine ecosystems currently must deal with changes in financial value of the Great Barrier Reef Marine Park . Canberra,
ocean pH in addition to increasing sea surface tempera- Australia: Access Economics Pty Limited for Great Barrier Reef
tures, changes in sea level, and other human impacts such Marine Park Authority.
Albright, Rebecca, & Langdon, Chris. (2011). Ocean acidification
as pollution, coastal development, and overfishing. It may
impacts multiple early life history processes of the Caribbean coral
be challenging for researchers to attribute ecosystem Porites astreoides. Global Change Biology, 17(7), 2478–2487.
changes to a specific stressor given the suite of challenges Andersson, Andreas; Mackenzie, Fred; & Lerman, Abraham. (2006).
facing marine ecosystems. Managers, however, need the Coastal ocean CO2-carbonic acid-carbonate sediment system of
the Anthropocene. Global Biogeochemical Cycles, 20, GB1S92.
ability to understand how species, communities, and eco-
doi:10.1029/2005GB002506
systems respond to ocean acidification in concert with Anthony, Kenneth R. N.; Kline, David I.; Diaz-Pulido, Guillermo;
additional stressors in order to predict changes and Dove, Sophie; & Hoegh-Guldberg, Ove. (2008). Ocean acidifica-
develop appropriate management responses. tion causes bleaching and productivity loss in coral reef builders.
Proceedings of the National Academy of Sciences of the United States of
Decision makers need socioeconomic research on the
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mitigation and adaptation activities, assessments of the
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The ocean, provider of food, oxygen, even medicine for resilient body we once thought it to be but is heavily
millennia, is no longer the unchangeable body it was impacted by human actions throughout all regions of the
once thought to be. It is heavily affected by human world, as well as at great depths.
activities, from overfishing to waste runoff to mineral
extraction, destroying habitats and irrevocably chang- Human Activities Affecting
ing ecosystems. National governments and interna-
the Ocean
tional organizations must strengthen and integrate
their efforts toward sustainability to retain the viability
Humans interact with the ocean in numerous ways. The
of marine ecosystems and resources.
most intense uses of ocean resources and space are often
associated with more traditional activities, such as fish-
T he ocean—covering 72 percent of Earth’s surface—

provides vital, life-sustaining services to the global
population. The world’s oceans generate half the oxygen
ing, shipping, offshore oil and gas extraction, laying of
cables, tourism and recreation, and coastal development.
More recently, human activities have expanded to include
on Earth, are the primary regulator of global climate, and mineral extraction, the extraction of marine genetic
provide economic and environmental services to billions resources, marine renewable energy, the construction of
of people. The oceans also act as an important sink, hav- artificial reefs, land reclamation, coastal defense, and
ing absorbed over 80 percent of the excess heat and dredging and dumping. The United Nations Conference
approximately one-third of all anthropogenic carbon on the Human Environment recognized in 1972 the
dioxide (CO2) since the onset of the Industrial Revolution. overexploitation of living marine resources, the physical
Marine biodiversity and ecosystem resources and services alteration of habitats, and marine pollution. These major
provide basic life necessities, including food, fresh water, threats to the ocean persist today.
wood, fiber, genetic resources, medicines, and cultural
products. Coastal areas are heavily utilized—half the Global Distribution and Impacts
world’s population lives within 100 kilometers of the sea,
and three-quarters of all large cities are located on the Fishing is perhaps the most long-standing and common
coast (UNEP and UN-HABITAT 2005). use of ocean resources. It is also the activity that most
Throughout history, people have had a long-standing heavily exploits ocean resources. The United Nations
connection with, and dependence on, the sea. Humanity’s Food and Agriculture Organization (FAO) estimates
relationship with the ocean has changed in recent that fish provide over 3 billion people with 15 percent of
decades, increasing the demands and impacts placed their total animal protein intake, and some type of fish-
upon the ocean. Today, the greater ocean no longer seems ing activity occurs in every region of the ocean. Global
so vast and unreachable. It has also become apparent that decline in fish stocks began in the early 1990s. Today,
the marine environment is not unaffected by our actions, with total catch exceeding 100 million tons per year
even distant actions, on land and at sea, but that our com- (including discards, bycatch, and illegal, unregulated,
pounding impacts have far-reaching consequences for and unreported fishing), the FAO estimates that 85 per-
often fragile marine ecosystems. The ocean is not the cent of stocks are either fully exploited, overexploited,
282

OCEAN RESOURCE MANAGEMENT • 283
depleted, or recovering from depletion, giving cause for activities, oil spills and accidental discharges, chemical
concern about the long-term sustainability of these key accidents at sea, waste disposal and water pollution,
resources (FAO 2010). sound pollution, and the discharge of ballast water—
Destructive fi shing practices also damage marine ships’ ballast water transports approximately three thou-
habitats. For example, bottom trawling, which involves sand species of plants and animals each day, which can
dragging large, heavy nets along the sea floor, effec- lead to an uncontrollable growth of invasive species in
tively decimates benthic habitats, that is, habitats of some marine ecosystems.
organisms living at the bottom of the ocean. In the deep Notably, however, the most significant threat of
ocean, huge reservoirs of marine biodiversity exist, par- marine pollution comes not from activities at sea but on
ticularly surrounding seamounts, hydrothermal vents, land. Land-based activities contribute some 80 percent of
methane seeps, and deepwater corals. Organisms that all pollution entering the oceans. Sewage continues to be
thrive in these environments evolved under extreme the largest source of contamination by volume, but waste-
environmental parameters and offer genetic material water and agricultural nutrient runoff are also large pol-
highly valuable for scientific discovery and commercial- luters. Together, excessive nutrients from sewage outfalls
ization. Th is material has numerous applications in and agricultural runoff have contributed to a rise in the
pharmaceutical, biotechnological, and cosmetic fields. number of dead zones (hypoxic or anoxic areas) in the
Many of these ecosystems are vulnerable to destructive marine environment, from 149 in 2003 to over 200 in
fi shing practices and potential overexploitation from 2006, resulting in the collapse of some ecosystems
commercial extraction. (Nelleman, Hain, and Alder 2008). Plastics and other
The physical alteration and destruction of habitats is debris that make their way to the ocean accumulate and
arguably the most important threat to coastal resources further affect marine resources and ecosystems. While it
and environments. Social and economic development in is difficult to calculate the distribution of waste in surface
these areas has led to coastal habitat destruction result- waters, water columns, and on the seafloor, recent studies
ing from increasing pressures from population, urban- and observations confi rm that debris is transported by
ization, industrialization, marine transportation, and ocean currents and tends to accumulate in a limited num-
tourism. Such destruction often comes at significant ber of convergence zones, or gyres, in what has been
environmental and economic (in terms of losses of eco- termed “garbage patches.” For example, in the North
system services) costs. For example, coral reefs, which Atlantic and Caribbean convergence zone, over 200,000
provide habitat for over 1 million aquatic species, includ- pieces of plastics per square kilometer have been found
ing thousands of fish species, and provide natural barrier (UNEP 2011). Additional patches have been confirmed
protection from increased storm surges and wave activ- in an area midway between Hawaii and California,
ity, are estimated by the Economics of Ecosystems and around the North Pacific Subtropical High, as well as off
Biodiversity project to be valued between US$130,000 the coast of Japan in a small recirculation gyre. Another
and US$1.2 million per hectare per year (Diversitas area of high concern is the North Pacific Subtropical
2009). Yet an estimated 58 percent of coral reefs world- Convergence Zone, where a high degree of marine debris
wide are threatened, with habitat destruction one of the concentrates (and where a high diversity of marine life
key contributors, though climate change and ocean acid- also exists). One model simulation of global marine litter
ification threaten far more. Mangroves are also highly distribution after ten years shows plastics converging in
valuable coastal ecosystems, providing protection against the five gyres, namely the Indian Ocean, North and
storms, nursery groups for offshore fisheries, and wood South Pacific, and North and South Atlantic (IPRC
and non-wood forest products, with a total monetary 2008). The debris has lethal and sublethal effects on bio-
value estimated at US$10,000 per hectare per year diversity, entanglement, chemical contamination, and
(Costanza et al. 1997), not accounting for additional ser- the alteration of community structures. In a recent study
vices provided by these habitats (e.g., carbon sequestra- of planktivorous fish from the North Pacific gyre, an
tion). In the past century, over one-half of all mangrove average 2.1 plastic items were found per fish (Boerger
forests have been lost, largely as a result of physical alter- et al. 2010). The global community needs to study, better
ation. Wetland and sea-grass communities are also at understand, and address the potential impacts of accu-
risk and continue to decline worldwide, drastically mulation and releases from plastic particles, including
reducing their ability to provide similar ecosystem persistent, bioaccumulating, and toxic substances.
services. Enhanced understanding is needed as well on the long-
Marine pollution also results from human interac- term impacts and effective strategies for addressing other
tions with ocean resources and space. Approximately types of hazardous substances leeching into the marine
90 percent of world trade is carried by ship. Shipping environment, such as mercury, lead, polycyclic aromatic
damages the marine environment through, among other hydrocarbons (PAHs), and polychlorinated biphenyls

(PCBs), which also are persistent, toxic, and bioaccumu- ecosystem-based management, approaches that shift
late in fish, shellfish, and other marine organisms. focus from managing specific, single-sector marine uses
to managing multiple uses on an ecosystem basis. The
Management Challenges 2002 World Summit on Sustainable Development
(WSSD) called for the application of the ecosystem
The overarching framework for global ocean manage- approach by 2010 and the promotion of integrated coastal
ment is the 1982 United Nations Convention on the Law and ocean management at the national level. These para-
of the Sea (known as UNCLOS). Specific management digms realize the interrelations of marine ecosystem
provisions and challenges vary across sectors and geo- services and seek to implement holistic, sustainable man-
graphic areas and through time. Managing human inter- agement and governance.
actions with respect to ocean resources means balancing The WSSD also agreed to achieve a significant reduc-
environmental and developmental needs. In parts of the tion by 2010 in the current rate of biodiversity loss at the
world where persistent poverty and inequality loom large, global, regional, and national levels as a contribution to
strategies must focus on the longer-term benefits of sus- poverty alleviation, as well as the establishment of marine
tainable management practices. protected areas, consistent with international law and
Inherent inequities exist in the global trade of ocean based on scientific information and including representa-
products, and there is no sound framework for benefit tive networks, by 2012. It further called for the develop-
sharing. Sixty-four percent of the global ocean is beyond ment of diverse approaches and tools, with a focus on the
national jurisdictions, and there is no clear international ecosystem approach and the elimination of destructive fish-
framework governing the exploitation of high-seas ing practices. The 2006 Eighth Conference of the Parties
marine resources and the protection of the marine envi- to the Convention on Biological Diversity provided
ronment. The global financial recession has complicated further clarity to marine biodiversity targets, calling for
the picture by rearranging national priorities and capac- the effective conservation of at least 10 percent of each of
ity; sustainable practices compete with priorities in agri- the world’s marine and coastal ecological regions and for
culture, infrastructure, energy, health, and education. the protection of particularly vulnerable marine habitats,
Global climate change increases the vulnerability of such as tropical and cold-water coral reefs, seamounts,
ecosystems and coastal populations, especially the world’s hydrothermal vents, mangroves, sea grasses, spawning
poor. For the millions of people and local economies grounds, and other vulnerable marine areas.
highly dependent on marine resources, climate variations Today, however, only about 1 percent of the world’s
increase poverty and food insecurity and lead to loss of oceans have been afforded any protection, and renewable
livelihood and living space. marine resources continue to be depleted. Strengthened
International, regional, and national governance issues efforts toward improving international coordination and
pose major barriers to the sustainable ocean and coastal national capacity are needed to move toward a more inte-
agenda. In many countries ocean resource management grated approach. Marine protected areas are a useful tool
agencies are chronically underfunded and understaffed. in this approach, though they are but one of the measures
Even in countries with strengthened institutions, needed for sustainable governance. For example, marine
addressing management challenges under national juris- spatial planning optimizes the use of marine space to
diction in the 200 nautical-mile exclusive economic zone benefit economic development and the marine environ-
requires expertise, equipment, and vessels for monitor- ment by balancing sectoral interests and the sustainable
ing, control, and surveillance. A high level of technology, use of ocean resources, and is emerging as an important
capacity, and coordination, supported by broader legal decision-making tool. Ecosystem valuation is also criti-
and institutional frameworks at the international and cal, providing analyses of the full economic valuation of,
national levels, are needed to address multiple uses and for example, coral reef ecosystems. Such valuation esti-
expectations in ever-more-crowded oceans and coasts. mates both market and nonmarket goods and services to
promote better understanding of the economic and soci-
etal consequences of environmental change.
Management of Sustainable Governance gaps and institutional deficiencies related
Ocean Governance to ocean resource management must be addressed in the
coming years. International cooperation, compliance, and
To overcome obstacles toward sustainable ocean gover- enforcement mechanisms must be enhanced. The United
nance and address increasing resource and user confl icts Nations Conference on Sustainable Development, held in
in ocean areas, national governments and international Rio de Janeiro, Brazil, in June 2012 (Rio120, being held
authorities recognize the need to adopt approaches twenty years after the first Rio Conference) represents a
for integrated coastal and ocean management and unique opportunity for the international community to

OCEAN RESOURCE MANAGEMENT • 285
secure renewed political commitment for the sustainable assessment. Arendal, Norway: United Nations Environment
management of ocean resources, assess progress to date, Programme (UNEP), UN-HABITAT, GRID-Arendal.
Costanza, Robert, et al. (l997). The value of the world’s ecosystem ser-
and review remaining gaps in implementation. vices and natural capital. Nature, 387(6630), 253–260.
Though no common approach effectively addresses Diversitas. (2009, October 28). What are coral reef services worth?
all ocean resource management issues, decision makers $130,000 to $1.2 million per hectare, per year. Retrieved August 2,
must pursue strategies fully supported by common 2011, from http://www.sciencedaily.com/releases/2009/10/
091016093913.htm#
tools and techniques, independent science, monitoring Food and Agriculture Organization of the United Nations (FAO).
and assessment, sustainable fi nance mechanisms, and (2010). Th e state of world fi sheries and aquaculture report 2010.
methods of evaluation. The three pillars of sustainable Retrieved August 5, 2011, from http://www.fao.org/docrep/013/
development—economic development, social develop- i1820e/i1820e.pdf
GESAMP (IMO/FAO/UNESCO-IOC/WMO/WHO/IAEA/
ment, and environmental protection—cannot be UN/UNEP Joint Group of Experts on the Scientific Aspects of
achieved without the sustainable management of ocean Marine Environmental Protection) & Advisory Committee on
resources. Coordinated and proactive measures must be Protection of the Sea. (2001). A sea of troubles (GESAMP Reports
pursued to ensure the viability of marine ecosystems and Studies No. 70). Arendal, Norway: United Nations
Environment Programme, GRID-Arendal.
and resources, thus securing the continued life-support International Pacific Research Center (IPRC). (2008). Tracking ocean
functions humanity receives from the global oceans. debris. Climate, 8 (2), 14–16.
Nellemann, Christian; Hain, Stefan; & Alder, Jackie. (Eds.). (2008).
Kateryna M. WOWK In dead water: Merging of climate change with pollution, over-harvest,
Global Ocean Forum and infestations in the world’s fi shing grounds. Retrieved July 28,
2011, from http://www.unep.org/pdf/InDeadWater_LR.pdf
See also Best Management Practices (BMP); Catchment United Nations Conference on the Human Environment. (1972).
Declaration of the United Nations Conference on the Human
Management; Coastal Management; Fisheries Manage- Environment. Stockholm, 5–16 June 1972. Nairobi, Kenya: United
ment; Large Marine Ecosystem (LME) Management Nations Environment Programme (UNEP).
and Assessment; Marine Protected Areas (MPAs); United Nations Development Programme (UNDP). (2002).
Ocean Acidif ication—Management; Pollution, Conserving biodiversity, sustaining livelihoods: Experiences from
GEF-UNDP biological diversity projects. Retrieved August 2, 2011,
Nonpoint Source; Pollution, Point Source from http://www.undp.org/gef/new/BiodiversityBrochure.pdf
United Nations Environment Programme (UNEP). (2011). UNEP
Year Book 2011: Emerging Issues in our Global Environment.
Retrieved August 2, 2011, from http://w w w.unep.org/
FURTHER READING yearbook/2011/
Beck, Michael, et al. (2009). Shellfish reefs at risk: A global analysis United Nations Environment Programme (UNEP). (2007). Global
of problems and solutions. Arlington, VA: The Nature Conservancy. environment outlook 4: Environment for development. Valletta,
Boerger, Christiana; Lattin, Gwendolyn; Moore, Shelly; & Moore, Malta: United Nations Environment Programme . United Nations
Charles. (2010). Plastic ingestion by planktivorous fi shes in the Environment Programme (UNEP) & United Nations Human
North Pacific Central Gyre. Marine Policy Bulletin , 60 (12), Settlements Programme (UN-HABITAT). (2005). Coastal area
2275–2278. pollution: The role of cities. Retrieved August 2, 2011, from http://
Corcoran, Emily, et al. (Eds.). (2010). Sick water? Th e central role of www.unep.org/urban_environment/PDFs/Coastal_Pollution_
wastewater management in sustainable development: A rapid response Role_of_Cities.pdf

Outbreak Species
While population eruptions of outbreak species—those increased reproductive rates and reduced mortality as
species that undergo unsustainable population growth— a result of improvements in food or habitat, decreased
can dramatically impact ecosystems and negatively influ- predation, and favorable climate changes. Nevertheless,
ence human livelihoods, they often are essential features despite the great amount of research on outbreak species,
of normal ecosystem function. Current (and predicted) definitive answers that explain outbreaks remain elusive.
global changes are altering population dynamics of In most cases, a combination of factors is responsible.
numerous outbreak species. Knowledge on how popula- Bark beetle outbreaks, such as those of the mountain
tions of these species respond to global change is urgently pine beetle Dendroctonus ponderosae and the spruce beetle
needed in order to mitigate the detrimental effects of out- Dendroctonus rufipennis, are strongly influenced by cli-
breaks without compromising ecosystem function. matic factors. Warmer summers and milder winters favor
greater survival and accelerate life cycle development of
O utbreak species are those species that have the

potential to undergo rapid population growth and
attain levels that are impossible for them to sustain over
these species, allowing multiple generations in a season
and hence rapid population buildup (Bentz et al. 2010).
In addition, drought increases the susceptibility of host
long periods. They range from vertebrates (e.g., rodents) trees, enabling beetles to more easily overcome tree
to protozoans (e.g., malaria parasites), bacteria (e.g., cholera- defenses. Finally, natural factors (e.g., extensive fi re) or
causing bacterium), and viruses (e.g., influenza viruses). land-use practices can create large areas of mature trees
Because the study of outbreaks of protozoans, bacteria, that are more susceptible to bark beetle infestation.
and viruses is mostly within the realm of epidemiology Favorable climatic conditions are believed to be essential
and medicine, the focus of this article is on outbreaks for driving major bark beetle outbreaks, but the pattern
of animal species only. and severity of a regional outbreak are also determined by
Although a small fraction of known species undergoes the availability of suitable trees (Raffa et al. 2008; Bentz
outbreak events, these have received a disproportionate et al. 2009).
amount of research attention. Outbreak episodes have Outbreaks of several rodent species are strongly influ-
alarmed and intrigued humans from early times (e.g., locust enced by increased food availability. Rodent outbreaks in
outbreaks are mentioned in both the Bible and the Qur’an) parts of India, Myanmar, and Bangladesh (Singleton et
because of their unpredictability and great environmental al. 2010), as well as in southern Chile and Argentina
impacts. Outbreaks continue to be a major source of con- (Sage et al. 2007), occurred shortly after synchronous
cern in various ecosystems on Earth, in part because of the bamboo blooming (called “masting”), which generates
striking changes recently documented in the behavior of sudden availability of massive amounts of seeds in these
numerous outbreak species associated with global change. ecosystems, enhancing rodent reproduction and survival
rates (Singleton et al. 2010).
Conditions that Promote Outbreaks Outbreaks of many agricultural insect pests are pro-
moted by the reduction of natural enemies from insec-
Outbreak events are generated by a wide variety of pro- ticide application or habitat destruction. In tropical
cesses but generally occur when a population experiences Asia, the brown plant hopper, Nilaparvata lugens ,
286

OUTBREAK SPECIES • 287
became a serious outbreak species in rice fields by the locusts) can easily consume in a day an amount of food
1970s, after intensive application of chemical insecti- equal to that consumed by 2,500 people. It is not surpris-
cides aimed at reducing crop damage by another pest, ing, then, that during extreme outbreak events, desert
the stem borer. The use of insecticides in rice fields locusts can affect the livelihood of nearly 10 percent of
killed most natural enemies of the brown plant hopper, the world’s population (FAO 2009).
in turn causing large population eruptions and massive Species outbreaks can also promote drastic social and
crop damage by this species in many parts of Asia political changes. For instance, in 1959 in the Mizo
(Settle et al. 1996). Hills of India, a bamboo masting event was followed by
a large rodent outbreak, which devastated crops and
Consequences for Ecosystems stored foods and led to a widespread famine. Th is fam-
ine contributed to social unrest among the Mizo people,
and Humans triggering a long civil war that ended in 1986 with the
creation of the Mizoram State (Nag 1999; Singleton et
Outbreak species cause great impacts on the environ-
al. 2010). Rodent outbreaks can also directly impact
ment and consequently on humans. Outbreak events
human health by transmitting diseases. For example, in
can modify ecosystems in multiple ways, from short-
southern Chile and Argentina, outbreaks of the long-
term changes in productivity to broad-scale alterations
tailed pygmy rice rat, Oligoryzomys longicaudatus, a han-
in vegetation cover that may last for centuries. For
tavirus reservoir, generally coincide with increases in
instance, in western North America, the outbreak
hantavirus pulmonary syndrome cases
of mountain pine beetle Dendroctonus pon-
in humans (Toro et al. 1998). Th is
derosae that started in the mid-1990s
disease has one of the highest
has affected a cumulative forest area
mortality rates (30–50 percent)
of 13 million hectares—an area
known for acute viral infections
about the size of Greece (Raff a
(Custer et al. 2003).
et al. 2008). Th rough tree mor-
Although the majority of spe-
tality, bark beetle outbreaks
cies outbreaks are perceived to
cause changes in forest struc-
have negative effects on the envi-
ture, species composition,
ronment and human welfare,
carbon cycles, and hydrology
they can also be essential for
(e.g., snow melts earlier due to
ecosystem function and enhance
more insolation) (Veblen et al.
biodiversity. For example, tree
1991; Pugh and Small 2011).
mortality caused by bark beetles
Furthermore, predicted increases
creates habitat and food resources
in tree mortality caused by
for several species of inverte-
future outbreaks are expected
brates and wildlife (Raffa et al.
to release massive amounts of
2008; Bentz et al. 2009). Con-
carbon into the atmosphere,
sequently, some outbreak species
which may create positive
can be viewed as threats to human
feedbacks that enhance cli-
livelihoods but also necessary
mate warming (Kurz et al.
for ecosystem function. Thus, it is
2008).
important to broadly consider the envi-
Outbreaks affecting agroecosys-
ronmental consequences when attempting
tems constitute a clear example of how they
to manage outbreak species.
can impact humans. Agricultural insect outbreak species
significantly reduce crop yields and threaten food secu-
rity as well as human health and well-being in many Global Change and
regions of the world. The desert locust, Schistocerca Outbreak Species
gregaria, can experience rapid population growth, then
aggregate and form swarms that migrate over large dis- Global changes in climate and human land use are caus-
tances in search of food. This species affects agricultural ing variable and complex alterations in the frequency,
lands in about fifty of the poorest countries in the world, severity, and extent of outbreaks around the world.
especially Africa, the Middle East, and southwest Asia Despite the positive effect of current warming trends
(Roffey and Magor 2003). Even a small fraction of an on populations of many outbreak species, such as
average size swarm (approximately 1,000 kilograms of mountain pine beetle and spruce beetle, climate

warming is not necessarily favorable for all outbreak development sites and led to the collapse of locust
species. For example, for the past 1,200 years in the populations (Lockwood and DeBrey 1990).
European Alps, larch budworm, Zeiraphera diniana ,
periodically defoliated European larch, Larix decidua ,
as their populations underwent regular eight- to nine- Managing Outbreak Species
year cycles in abundance over that millennial period.
No larch budworm outbreaks have occurred since the Humans have tried to suppress and manage species
early 1980s, however, coinciding with the marked outbreaks in diverse ways ranging from direct control
warming trends in the late twentieth century (Esper et al. of populations to modifications of the environment in
2007). Recent studies suggest that the collapse of these hopes of reducing the reproduction and survival rates
periodic outbreaks results from a combination of a mis- of the outbreak species. Despite the numerous efforts
match in the distribution range of the tree host and the and resources invested in management, controlling
optimal range of the larch budworm (driven by cli- outbreaks remains extremely difficult, with inconsis-
mate), and the asynchrony between foliage flush and tent results.
egg hatching, which may cause the larvae to starve Management strategies vary according to the condition
(Johnson et al. 2010). of the outbreak population. For instance, when bark beetles
Changes in human land use can also cause significant attack a few high-value trees in a stand, insecticide applica-
changes in outbreak species’ dynamics. For instance, to tion may be a practical method to reduce beetle damage. If
recover from Cyclone Nargis, which destroyed crops in an outbreak reaches an entire stand of trees, however,
Myanmar in 2008, farmers planted rice whenever and insecticide application will most likely be an ineffective
wherever they could, resulting in asynchronous and asea- control measure. Thinning and other silvicultural practices
sonal planting. Consequently, there was a constant food aimed at reducing the number of susceptible trees in a stand
supply for rodents in the region. In 2010 a large outbreak may be effective for reducing damage when beetle popula-
of the main pest species, the lesser bandicoot rat, tions are not in an epidemic stage, but these are inadequate
Bandicota bengalensis, caused additional crop losses that for controlling a broader-scale outbreak. Once a bark beetle
further threatened food security (Normile 2010). It is outbreak has started and affected tens of thousands of hect-
believed that the stable food supply pro- ares of forest, the outbreak becomes virtually
moted an extended breeding season unstoppable by human management
of this rodent, resulting in the actions and only collapses due to
outbreak (Singleton et al. 2010). natural causes, such as weather or
Changes in land use can also food depletion (Raffa et al. 2008).
decrease or completely elimi- In this last case, making no
nate an outbreak species. Th e attempt to control the outbreak
Roc k y Mou nta in loc ust, is a management strategy that
Melanoplus spretus, once a com- can save a significant
mon outbreak species across amount of resources.
much of western North Indeed, sometimes
America, devastated large the most efficient man-
agricultural areas in the agement strategy is to
Great Plains until the late take no action at all and
1800s, when it is believed let the outbreak develop
to have gone extinct and decline by itself.
(Lockwood 2004). The Conversely, for some
most likely cause of extinc- outbreaks, where human
tion is related to the settle- livelihoods and health
ment and agricultural are at stake, direct con-
activities in the Rocky trol measures on outbreak
Mountain river valleys, populations are the only
which were the permanent viable option.
habitat of locusts. Changes in Chemical pesticides
the riparian soils, such as traditionally have been used
flooding for irrigation and soil to control a wide variety of
compaction due to cattle raising, outbreak species when these
disturbed locust oviposition and are at epidemic levels. A

OUTBREAK SPECIES • 289
common method used to control locust outbreaks is to See also Agricultural Intensification; Biodiversity;
apply synthetic insecticides by land vehicles and aircraft Complexity Theory; Disturbance; Extreme Episodic
directly on the swarms. These control methods continue Events; Food Webs; Global Climate Change; Indicator
to be used; although the chemicals are less damaging to Species; Keystone Species; Microbial Ecosystem
the environment than those formerly used, they are not Processes; Population Dynamics; Regime Shifts;
completely harmless to other species. Successful applica- Succession
tions of a biopesticide composed of fungal spores of
Metarhizium anisopliae in Africa and Australia in the
1990s and early 2000s suggest that this could be an effec- FURTHER READING
tive and environmentally safe control for locust outbreaks Anstey, Michael L.; Rogers, Stephen M.; Ott, Swidbert R.; Burrows,
(Lomer et al. 2001; Hunter 2004). Nevertheless, the Malcolm; & Simpson, Stephen J. (2009). Serotonin mediates
behavioral gregarization underlying swarm formation in desert
effectiveness of these methods is debated (Enserink
locusts. Science, 323(5914), 627–630.
2004). Despite advances in pesticide knowledge, control- Bentz, Barbara J., et al. (2009). Bark beetle outbreaks in western North
ling outbreaks of locusts is still extremely difficult because America : Causes and consequences. Chicago: University of Utah
population eruptions are unpredictable and can occur Press.
Bentz, Barbara J., et al. (2010). Climate change and bark beetles of the
over large regions, requiring the action of several coun-
western United States and Canada: Direct and indirect effects.
tries simultaneously. Efforts by the Food and Agriculture BioScience, 60 (8), 602–613.
Organization (FAO) of the United Nations and other Custer, David M.; Thompson, E.; Schmaljohn, Connie S.; Ksiazek, T.
agencies focus on monitoring populations and ecological G.; & Hooper, Jay W. (2003). Active and passive vaccination
against hantavirus pulmonary syndrome with Andes virus M
conditions in source habitats to allow mitigation activi-
genome segment-based DNA vaccine. Journal of Virology, 77(18),
ties before an outbreak actually occurs. 9894–9905.
Dobson, Hans M. (2001). Desert locust guidelines: 4. Control.
Retrieved July 5, 2011, from http://www.fao.org/ag/locusts/
Future Directions common/ecg/347_en_DLG4e.pdf
Enserink, Martin. (2004). Can the war on locusts be won? Science,
306(5703), 1880–1882.
Outbreak events are natural phenomena that play a key Esper, Jan; Büntgen, Ulf; Frank, David C.; Nievergelt, Daniel; &
role in the dynamics of many ecosystems. Human activ- Liebhold, Andrew. (2007). 1200 years of regular outbreaks in
alpine insects. Proceedings of the Royal Society B , 274 (1610),
ity, however, is contributing to the frequency, severity,
671– 679.
and extent of many outbreaks around the world. More Food and Agriculture Organization (FAO) of the United Nations.
research is needed in order to understand the fine-scale (2009). Locust watch. Frequently asked questions (FAQs) about
mechanisms (e.g., species interactions) in conjunction locusts. Retrieved July 5, 2011, from http://www.fao.org/ag/
locusts/en/info/info/faq/
with the broad-scale patterns (e.g., climate and topogra-
Hunter, David M. (2004). Advances in the control of locusts
phy) that drive the population dynamics of outbreak spe- (Orthoptera: Acrididae) in eastern Australia: From crop protection
cies. Interdisciplinary approaches combining diverse to preventive control. Australian Journal of Entomology, 43 (3),
disciplines and techniques, such as physiology to under- 293–303.
Johnson, Derek M., et al. (2010). Climatic warming disrupts recurrent
stand why locusts swarm (e.g., Anstey et al. 2009) and
Alpine insect outbreaks. Proceedings of the National Academy of
satellite imagery analysis to monitor changes in locust Sciences, 107(47), 20576–20581.
habitat that may promote outbreaks (e.g., FAO 2009), Kurz, Werner A., et al. (2008). Mountain pine beetle and forest car-
will likely provide the most useful answers. bon feedback to climate change. Nature, 452 (7190), 987–990.
Lockwood, Jeff rey A. (2004). Locust: The devastating rise and mysterious
Human population growth and expansion of agricul-
disappearance of the insect that shaped the American frontier. New
tural lands is intensifying the impacts of outbreak species York: Basic Books.
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control the magnitude of outbreaks can lessen the conse- sudden and unexplained extinction of the rocky mountain grass-
hopper (Orthoptera: Acrididae). Environmental Entomology, 19 (5),
quences of outbreaks on the environment and on human
1194–1205.
welfare. Conversely, direct measures can further increase Lomer, Christopher. J.; Bateman, Roy P.; Johnson, Dan L.;
population levels of outbreak species or cause severe det- Langewald, Jürgen; & Thomas, M. (2001). Biological control of
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667–702.
ough understanding of the ecology of outbreak species is
Nag, Sajal. (1999). Bamboo, rats and famines: Famine relief and per-
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Permaculture
A permanent agriculture underpins a permanent cul- can use is by growing plants. A given area of perennial
ture. While permaculture is often thought of as a gar- plants will return food, fiber, and timber. The same area
dening system, it also encompasses the design of urban of solar panels could generate more energy, but unlike
areas and ecovillages. Advocates of permaculture argue solar panels, the plants are low cost and can be grown by
that most food, water, and shelter requirements can be most people.
met from local sources, from systems powered mainly Perennial plants are especially useful because they
by renewable energy. With limited resources globally, don’t need as much labor as annual crops do and because
permaculture is a significant tool for the design of sus- they use less fossil fuel to grow than monoculture crops
tainable human habitats. such as wheat, rice, maize, and potatoes. The emphasis on
perennial plants provided the “perma”(nent) aspect of the
name permaculture.
P ermaculture is an integration of many skills and
disciplines, brought together to design ways of liv-
ing sustainably in the twenty-fi rst century. The essence
Because humans need more than food and water to
survive, permaculturists have developed seven principles,
of permaculture is ancient in origin—taking inspira- or domains, of sustainable design to guide development
tion from those civilizations of the world that have sur- of larger systems:
vived for thousands of years. The modern permaculture • land and nature stewardship
movement emerged as a response to the oil crises of the • built environment
mid-1970s and continued to respond to various later • tools and technology
environmental crises. Permaculture has broadened • culture and education
from its origins in designing sustainable landscapes to • health and spiritual well-being
be recognized as a tool to help create sustainable societ- • finance and economics
ies. It has been used to design ecovillages, community • land tenure and community governance
gardens, and city farms. A global network of permac-
ulture activists demonstrates practical solutions Permaculture design gives priority to trees and for-
through design of sustainable systems, developing a ests. These long-lived, self-sustaining systems are essen-
human-centered approach, in which community, eco- tial to life on Earth. Th rough photosynthesis, trees
nomics, legal structures, and the built environment are naturally turn the energy of sunlight into food and
included. energy for themselves and wood, fruit, medicine, and
fiber that people can harvest, and at the same time they
stabilize the landscape. They have had millions of years
What Is Permaculture? to perfect this process.
Permaculture design promotes the replication of natu-
Permaculture’s advocates start with the axiom that the ral systems to create human-made systems. These systems
Earth’s resources are fi nite but that infi nite external have to encompass social and economic systems that sus-
energy is available from the sun. From this follows that tain humans, as well as systems that produce food, fiber,
the best way to convert sunlight into something people timber, and clean water and air.
292

PERMACULTURE • 293
Permaculture gardens or field crop areas are designed homesteader and hobby farmer but has been taken up on
to make best use of relationships between species of a broader scale, for example, where grain farmers and
plants and animals and to have multiple types and levels graziers increase the number of hedges and shelterbelts of
of production. Although some plants don’t grow well in trees, and where orchardists introduce animals to help
close proximity, most can be planted near each other, and manage their fruit crops (Mollison 1988, 60–61;
some have beneficial interactions. For example nitrogen- Lillington 2007, 102–104).
fi xing bushes are planted around fruit trees—close The scientific basis of permaculture comes from both
enough that their roots intertwine. When the nitrogen- natural systems ecology (an ecological approach to agri-
fi xing bush is pruned or browsed, some of the nitrogen culture) and from thermodynamics. The work of the US
around the roots is given up and made available to the ecologists Howard and Elisabeth Odum, who incorpo-
fruit tree, reducing or avoiding the need to apply fertil- rated the laws of thermodynamics and extended the con-
izer (Holmgren 1996, 46) cept of embodied energy, significantly influenced the
By including plants that grow at different heights, har- Australian permaculture pioneer David Holmgren. In
vest can be obtained from various parts of the garden 2001, the Odums published A Prosperous Way
simultaneously. In a densely planted forest gar- Down: Principles and Policies, which proposes
den, root crops, ground cover, soft fruit ways for the human race to better under-
from bushes, pome fruit from trees, stand energy—where we get it
and berries from vines can all be from, how we use it, and what
gathered from a small orchard happens once we have used
planted with a variety of spe- it—and then to be able to
cies. The soft berry fruit and design sustainable sys-
ground cover such as straw- tems. In particular, the
berries are already adjusted to Odums and permacul-
lower light conditions, so ture practitioners point
they are not restricted by the to the need to recognize
shade of fruit trees, as long as and act upon the fact
water and nutrients are avail- that people currently rely
able (Hart 1996). almost entirely on fossil
In a permaculture design, fuel energy, which is both
both the soil and tanks or polluting and finite.
dams are used to make sure
that there is adequate
availability of rain water. History and
Nutrients come from leaf
litter and microbial activ-
Development
ity—just as in any organic
The early thinking about
garden—and from making
permaculture combined
compost. With good fencing
ecology, landscape, and
and management, animals can be
agriculture. In the 1970s, the
beneficially introduced, and their
Australian academics David Holmgren
manures can be composted or used directly by the
and Bill Mollison collaborated on what was to become
plants when animals are introduced into the garden.
permaculture. David Holmgren’s graduate thesis became
Chickens under fruit trees is one example, but ducks,
the basis for the book Permaculture One, published in
geese, sheep and pigs can all be used, from time to time,
1978. Th is book showed how ecology and agriculture
in permaculture systems to assist with nutrient cycling,
could be combined, by conscious design, to create a land-
control of grass, weeds or pests, and for their inherent
scape fi lled with sustainable food production systems.
products such as meat, milk, and eggs. The website of the
David Holmgren describes that time:
Hunter & Central Coast Regional Environmental
Management Strategy (HCCREMS 2010), a framework Permaculture arose from interaction between myself
developed to address a range of environmental issues and Bill Mollison in the mid 1970s. We were two (very
within New South Wales, Australia, hosts fact sheets full different) social radicals on the fringes of (different)
of information about the composting process. education institutions, at the global fringes of west-
This conscious design that links plants, animals, and ern industrial society in Tasmania. Bill Mollison as
structures such as water tanks has a natural appeal to the bushman turned senior tutor, in the Psychology Dept.

of the Tasmanian University, attracted large stu- civilization and a healthy, living planet for plants and ani-
dent audiences to hear his radical and original (pre- mals, including humans.
permaculture) ideas while outraging the academic Robert Hart, another ecological leader of the twenti-
establishment. eth century whose work paralleled the development of
I was a student in the Environmental Design modern permaculture, also emphasized ethical princi-
School, a revolutionary “experiment” in tertiary educa- ples. He developed numerous ethical and sustainable
tion at the Tasmanian College of Advanced Education. projects and the idea that landscapes can be designed as
This design school ran for ten years under the inspired edible food forests. In his book Beyond the Forest Garden,
leadership of Barry McNeil, a Hobart architect and Hart (1996) wrote, “With our present knowledge, there
education theorist. There was no fi xed curriculum but is no technical reason why every woman, man and child
a strong emphasis on decision making processes and on Gaia’s earth should not be adequately fed, clothed,
problem solving. Self assessment, democratic organi- housed and given the opportunity for self realization.”
zation and many other elements which radicals within
tertiary institutions only dream about were reality
within the school. (Holmgren 2006) Principles
The book Introduction to Permaculture, by Bill Mollison,
An Ethical Approach built on earlier work to codify the basic principles of per-
maculture. David Holmgren’s subsequent Permaculture:
As the world’s population diversifies from a fossil fuel econ- Principles & Pathways beyond Sustainability lists twelve
omy to a renewables-based economy, many permaculture principles and adds the
people are seeking rules or guidelines. seven domains of sustainable
Permaculture has always been an design. The seven domains
explicitly ethical approach. These clarify that permaculture is
ethics are not unique to permacul- more than organic garden-
ture and are similar to the precau- ing. Permaculture design
tionary principle (the idea that if principles are intended to
the consequences of something— assist in creative thinking—
such as the use of nanotechnology— developing integrated solutions
are unknown, it is best to study the where landscape, buildings, peo-
issue before acting). As they studied ple, commerce, technology,
early permaculture societies, Bill health, education, and gover-
Mollison and David Holmgren nance come together.
observed similar ethical bases in them. Permaculture’s ethics and
These ethics are usually expressed as care principles are considered
for the Earth, care for people, and fair when designing for any situ-
shares. (Fair shares captures the idea that ation. In contrast, permacul-
no one is hoarding and that there are ture techniques and strategies
limits to consumption and popula- have to be applied thought-
tion growth.) fully to each site-specific
Care for the Earth implies situation.
that even as they use
more of the sun’s energy,
humans need to be careful Applied
with all the other resources Permaculture
of the Earth. People need
more than energy—they People who study perma-
also need forests, fish, good culture generally go on to
soil, minerals, and many take action, but the actions
other raw materials. The sec- are of many kinds. Some
ond and third ethics can be seen simply grow more food,
as derived from the first. Care for people and shar- others design and develop
ing surpluses spring from the understanding that abundant privately owned land with energy-efficient housing and
solar energy is useless unless there is a permanent self-sustaining landscapes. Some develop ecovillages or

teach courses in permaculture. Others have developed rather than machines provide the major power input.
the permablitz —an intensive working party of local There is room in every garden for some annual vegetables,
volunteers to turn an unused or weedy garden into a and a large proportion of a household’s fresh food needs
food-producing system—and still others have gone on can be grown in a small area as long as the soil is fertile.
to establish or support city farms and community
gardens.
Permaculture teachers and activists encourage others to
Transitioning to Resilience
examine where their food and essential needs come from
From about 2002 onward, permaculture practitioners were
and to measure (audit) their use of resources. Students of
drawing attention to the “peaking” of many key resources,
permaculture are encouraged to set targets to reduce their
such as oil and gas. American geo-scientist, M. King
fossil fuel use. This is often done through growing at least
Hubbert (1903–1989) created and used the models behind
some of the food they consume and obtaining most of their
peak oil in 1956 to accurately predict that US oil production
food from local and in-season sources to reduce the dis-
would peak between 1965 and 1970 (American Heritage
tance their food travels to their tables.
Center 2009). This model and its derivatives have described
An audit is a simple self-check—for example, reading
the peak and decline of oil production globally, and they
the household’s electric, water, and gas meters and set-
have proved useful in forecasting the peak of other key
ting targets to reduce the amount used or noting the dis-
resources, such as phosphorous (Heinburg 2007).
tance driven by car each week and seeking to reduce it.
The first decades of the twenty-first century will be a
Through these observations, individuals and households
period of transition to a wider range of energy sources.
better understand and reduce their energy use. Energy is
Permaculture principles are already assisting in the design
most obviously measured at the electric or gas meter or at
for ways of living where energy comes from the renew-
the gas pump, but “waste” leaving a home, office, or fac-
ables driven by the sun rather than from fossil fuels.
tory is also a form of energy, and this can be measured as
Permaculture was the starting point for the Transition
well. Waste is an unused resource—whether it is the very
Town movement that originated around 2005 in Ireland,
visible weekly household garbage collection or the unseen
for example. Those involved in the transition/permaculture
by-products of manufactured goods. Permaculture design
movement have recognized that significant change is
seeks to turn any waste product (an output) into a resource
underway and that embracing change will allow people
(input) that can be used elsewhere in the system.
to be better prepared for an uncertain future.
Backyard chickens are symbolic of permaculture,
because they provide important services to people as
they convert kitchen scraps and garden waste into eggs, Permaculture Education
meat, and feathers. Because reducing the distance driven
in a private car is a way to improve the local and global Since the early days of permaculture, courses and work-
environment, permaculture designers aim to create liv- shops have spread permaculture’s ethics, principles,
able cities and towns where more trips can be made by and techniques. Many students who took courses in the
foot, bike, or public transportation, and where fewer 1980s went on to become teachers, and growth has
trips need to be made in total as basic needs can be met been exponential. The globally recognized educational
closer to home. standard is the Permaculture Design Course (PDC),
which consists of at least seventy-two hours of study
taught by experienced permaculture teachers. Some
Garden Agriculture parts of the course cover the generic aspects of perma-
culture; some parts are specific to the region in which
Although permaculture is not simply a gardening system, the course is taught.
gardens are often the way that people become more con- The PDC is unusual for two reasons. First, it is resil-
scious of the need for permaculture’s holistic approach to ient: thousands of such courses have been run in dozens
design. A significant part of being able to sustain our of countries over three decades without the support of
population is for each suburban garden to produce food an institutional or fi nancial backer. Second, the quali-
or fiber, so that whole cities become a kind of farm. Many fication is widely respected, with hundreds of thou-
private gardens in every part of the world contain food sands of graduates, perhaps more than a million. The
plants that are maintained for enjoyment as well as pro- longevity of the PDC is testimony to the dedication of
duction. David Holmgren and others call this garden permaculture teachers and networks of permaculture
agriculture. Redirecting the time and resources devoted activists who ensure that those who are “doing perma-
to ornamental gardens into growing edible plants can culture” are also the quality control mechanism for
achieve high levels of local production. Human labor permaculture.

Although the PDC is not recognized by many tradi- successful in permaculture, people are likely to change
tional institutions in most parts of the world, a few do their diets substantially.
have accredited courses in permaculture. Australia, In addition, some researchers are concerned that per-
where a diploma of permaculture is part of the Australian maculture advocates the spread of weeds. Permaculturists,
Qualifications Framework, is one country that does sup- however, stress the use of native plants whenever possible
port this kind of education. and express concern that genetically modified crops are
more dangerous than any weed. Other practitioners say
that modern agriculture has damaged the Earth to such
Can Permaculture Feed the World? an extent that including non-native plants to provide for
a sustainable future is more important than preserving
Permaculture is sometimes dismissed as being impracti- current ecosystems.
cal and too labor intensive. Some critics have questioned
whether there is enough scientific data to validate claims
Toward a More Sustainable Society
that a system of perennial plants will yield more per acre
than a single crop such as wheat, maize, rice, or soy. In
Many contemporary thinkers and writers, including
a 2001 article, Greg Williams, editor of HortIdeas mag-
permaculturists, are convinced that there has to be some
azine, presents a challenge to the argument that peren-
kind of descent from the heights of
nial is best. Williams argues that a garden based on a
mass consumption. Since 1700,
meadow is more productive than one based on a
and especially since 1950,
forest. Williams does not take account of
human population has grown
extra energy that is needed in the
enormously, along with a par-
annual immature system of the
allel growth in the consump-
meadow compared with the peren-
tion of the Earth’s natural
nia l mat ure forest garden
resources—fossil fuels like oil,
approach, however, or the soil loss
coal, and gas, and natural
that occurs whenever tillage
resources like fish, forests, and
happens.
topsoil. This economic and
Instead of debating what can
population growth is a typical
be produced from a hypothetical
response of any group of plants,
acre, permaculturists prefer to
animals, or bacteria that has
assess how much food a town or
access to plenty of food and
city needs and whether it can be
energy (WRI 2009).
produced in or near that urban
Growth will, however, reach a
area. Th is is one of the reasons
limit. On a planet with finite
permaculture designers focus on
physical resources, people will have
cities as well as rural areas—there
to make smarter use of renewable
is much unproductive open space in
energy sources, most of which origi-
the city that could be converted into
nate with the sun. The world is constantly
food production.
growing and changing. Th e years since 1900
Advocates of permaculture argue
can be compared with climbing a mountain—lots of
that to eat sustainably, you have to know
energy is needed and new tasks have to be achieved at
how much energy goes into the food through the use of
every step. At the top of the mountain, the peak, the
tractors, trucks, processing, and packaging. Most foods
climber has to fi nd the way back down, which can often
based on grains are ver y energ y intensive.
be the more dangerous part.
Permaculturists suggest that people do not need to rely
The sun continues to offer a significant and abundant
on these annual crops; they simply have to work out
alternative source of energy, but it comes in a different
what types of food they want to eat and ask if they can
form from the concentrated supplies of oil, gas, and
be produced in their own garden. Not all food can be
coal. Permaculture practitioners have shown how peo-
produced from a forest garden—most permaculture
ple can live in a renewable system powered by sun (the
practitioners who set out to grow a substantial amount
solar economy) rather than oil (the fossil fuel
of their own food end up with a mix of annual vegeta-
economy).
bles and tree crops. Beyond that, purchases in the per-
maculture system come from local growers in preference Ian R. LILLINGTON
to food that has traveled a long distance. To be Swinburne University, Australia

See also Agricultural Intensification; Agroecology; Holmgren, David. (2006). Collected writings & presentations
Carrying Capacity; Home Ecology; Hydrology; 1978–2006. Hepburn, Australia: Holmgren Design Services.
Holmgren, David. (2009). Future scenarios. Hepburn, Australia:
Landscape Architecture; Resilience; Soil Conservation; Holmgren Design Services
Urban Agriculture; Urban Vegetation; Water Resource Hopkins, Rob. (2011). The transition companion: Making your commu-
Management, Integrated (IWRM); Urban Agriculture; nity more resilient in uncertain times. White River Junction, VT:
Urban Forestry Chelsea Green Publishing.
Hunter & Central Coast Regional Environmental Management
Strategy (HCCREMS). (2010). Factsheets for environmental edu-
cation. Retrieved November 30, 2011, from http://hccrems.inter-
est ing.com.au / HCCR EMS-Resou rces/ Resou rce-l ibra r y/
FURTHER READING Education/HCCREMS-Fact-Sheet-Source-list-for-educators.aspx
American Heritage Center. (2009). M. King Hubbert papers. Lillington, Ian. (2007). The holistic life: Sustainability through permac-
Retrieved November 30, 2011, from http://digitalcollections.uwyo. ulture. Adelaide, Australia: Axiom Press.
edu:8180/luna/servlet/uwydbuwy~62~62 Mollison, Bill. (1979). Permaculture two. Ealing, UK: Corgi Press.
Dawborn, Kerry, & Smith, Caroline. (Eds.). (2011). Permaculture pio- Mollison, Bill. (1988). Permaculture: A designer’s manual. Tyalgum,
neers: Stories from the new frontier. Hepburn, Australia: Melliodora Australia: Tagari Publications.
Publishing. Mollison, Bill, & Holmgren, David. (1978). Permaculture one. Ealing,
Giono, Jean. (1953). The man who planted trees. New York: Reader’s UK: Corgi Press.
Digest. Odum, Howard, & Odum, Elisabeth C. (2001). A prosperous way
Hart, Robert. (1996). Beyond the forest garden. London: Gaia Books. down: Principles and policies. Boulder: University Press of Colorado.
Heinburg, Richard. (2007). Peak everything: Waking up to the century of Permaculture Australia. (n.d.). Accredited Permaculture Training
declines. Sebastopol, CA: Post Carbon Institute. (APT) course accreditation documents. Retrieved November 17,
Heinberg, Richard, & Bomford, Michael. (2009). The food and farming 2011, from http://permacultureaustralia.org.au/2011/11/17/
transition: Toward a post-carbon food system. Sebastopol, CA: Post apt-course-accreditation-documents/
Carbon Institute. Seuss Geisel, Theodor. (1971). The Lorax. New York: Random House.
Heinburg, Richard. (2011). The end of growth. Sebastopol, CA: Post Williams, Greg. (2001) Gaia’s garden: A guide to home-scale perma-
Carbon Institute. culture. Retrieved November 30, 2011, from http://fi ndarticles
Holmgren, David. (1996) Melliodora (Hepburn permaculture gardens): A .com/p/articles/mi_m0GER/is_2001_Winter/ai_81790195/?tag5
case study in cool climate permaculture 1985–2005. Hepburn, content;col1
Australia: Holmgren Design Services. World Resources Institute (WRI). (2009). Population and consump-
Holmgren, David. (2002). Permaculture: Principles and pathways beyond tion. Retrieved November 30, 2011, from http://earthtrends.wri.
sustainability. Hepburn, Australia: Holmgren Design Services. org/updates/node/360

Broadly defined, any relationship occurring between highly specialized, living and laying eggs on only one
organisms in the kingdoms Animalia and Plantae is plant species. In an attempt to categorize and describe
classified as a plant-animal interaction. Plant-animal the plethora of PAI , biologists further categorize PAI as
interactions are common features of virtually every being commensal, in which one partner benefits while
environment, including all marine, freshwater, and the other is unaffected; antagonistic, in which the inter-
terrestrial biomes. Many such interactions demon- action is detrimental to at least one partner; or mutualis-
strate evolutionary principles and the myriad ways tic, in which both the plant and animal partners both
that species interactions influence the functioning of benefit. Interactions are classified by whether an indi-
the biosphere. vidual partner has more, less, or the same number of off-
spring as a result of the relationship, in terms of higher or
lower fitness. Although the ultimate value is the repro-
B iologists and naturalists have long been fascinated
with plant-animal interactions (PAI), the relation-
ships between organisms in the kingdoms Animalia
ductive success (fitness) of the interacting plants and ani-
mals, this can be quite difficult to measure. Thus other
and Plantae. The seeming simplicity of the formulation metrics such as photosynthetic carbon gain, growth rate,
conceals an enormous number and diversity of ecologi- longevity, and survival are often used as surrogate esti-
cal relationships and fundamental processes, ranging mates of fitness.
from the obscure to the ubiquitous. As a result, there is
an extensive history of investigation into these often Commensal Interactions
fascinating relationships. Th e preeminent biologist
Charles Darwin wrote extensively about PAI in On the Commensal plant-animal interactions, while straightfor-
Origin of Species by Natural Selection , although many ward in theory, are somewhat difficult to demonstrate.
PAI were the focus of a considerable amount of descrip- This is because there is always some question whether an
tive ecology prior to Darwin’s text. Today, PAI remain interaction has a completely neutral effect on one of the
a centerpiece within many of ecology’s central theories, species involved. Take the previous example of a bird
including, among others, coevolution and consumer- nesting in a tree, which clearly benefits the bird but may
resource theory. or may not influence the tree. If the presence of the nest
has no effect on the tree’s growth and reproduction, then
the relationship is truly commensal. The bird may eat
General Categories of PAI herbivorous insects that feed on the tree, thus having a
positive effect. Alternatively, the nest may block sunlight
Plant-animal interactions range from the general to those or weigh down branches away from sunlight exposure,
that are highly specific and involve elaborate evolutionary thus having a negative effect. The task of conclusively
adaptations. An example of a general PAI is a plant that demonstrating commensalisms in this type of interaction
provides shelter for an animal, such as a tree that provides involves experimentally removing nesting birds from
critical habitat for a nesting bird. Some animals are flex- some trees and leaving others unchanged and comparing
ible in their choice of plants; in contrast, some insects are the fitness of the two groups.
298

PLANT-ANIMAL INTERACTIONS • 299
Antagonistic Interactions tolerant of herbivory often have architectures that pro-

tect carbohydrate-rich storage organs, found below
The most common plant-animal interactions are antag- ground or out of the bite range of herbivores. Plants
onistic and involve the direct consumption of plants by that are resistant to herbivory employ either structural
animals (called herbivores) for food. Th is general PAI or chemical defenses that deter or even harm herbi-
serves as the fundamental process for transferring the vores. The most basic structural defense of plants is the
energy of sunlight to the animal biomass in all ecosys- production of cell walls and fibrous tissues composed of
tems. Herbivores can be highly specialized or unselec- cellulose and lignin, a main component of wood, which
tive generalists and span a huge range of body sizes, are difficult for herbivores to chew and digest. More
from tiny leaf-eating and sap-sucking insects to large specialized structures include thorns, barbed spines,
herbivores such as elephants, or the selective Chinese hooks, and hairs that protect especially the photosyn-
giant panda whose diet consists almost entirely of bam- thetic tissue of plants. Plant chemical defenses, also
boo. Herbivores have evolved a variety of feeding styles known as secondary compounds (or metabolites), are
to consume plants. For example, insects in the order metabolic products not necessary for pri-
Hemiptera, such as aphids, leaf hoppers, and mary growth and reproduction.
scale insects, have piercing and sucking The chemistry of plant second-
mouth parts specialized to suck f luids ary compounds is complex but
directly from the vascular system (xylem well studied because of the
water and phloem sugars) of the plant. deep historical connection
Other insects, such as those with humans. For example,
belong ing to t he orders plant secondar y com-
Orthoptera (grasshoppers and pounds are responsible for
crickets) and the larvae of a rich array of chemicals
Lepidoptera (moths and butter- used by humans, includ-
fl ies), have chewing mouthparts ing herbal stimulants (cof-
that allow them to bite and tear fee, nicotine), narcotics
leaf material. Vertebrate herbi- (cocaine), spices (nutmeg,
vores also come in a variety of types mint), and a vast array of
and sizes, including fresh- and salt- medicines that treat every-
water fish that feed on algae, thing from headaches (aspi-
small rodents that eat parts of rin from willow bark) to
leaves, and large-bodied mam- cancer (ta xol from the
malian herbivores that forage Pacific yew tree).
on woody plant species (called Many small rodents and
browsers) or that eat more birds, known as granivores,
ground-dwel ling herbaceous consume seeds rather than
plants (grazers). Large-bodied plant tissues. Another group of
mammal herbivores have high-crowned specialized herbivores called
teeth and specialized digestion to facilitate the frugivores feed specifically on plant
internal decomposition of plant material. Some eco- fruit; this is a diverse group including a
systems throughout the world, such as Serengeti wide variety of insects, birds, and mammals. Although
National Park in Tanzania, Africa, and Yellowstone less well studied than their above-ground counterparts,
National Park in Wyoming, are famous for the abun- there is also a diverse community of below-ground her-
dance and diversity of these large mammal herbivores bivores, composed of nematodes, insects, and rodents,
(also termed megaherbivores). These ecosystems have that forage on plant roots.
been labeled grazing ecosystems or browsing ecosys- Not all antagonistic relationships involve animals eat-
tems because of the large proportion of energy trans- ing plants. One of the more interesting deviations from
ferred from primary producers to the primary the typical pattern is that of the carnivorous plants.
consumers, grazers, and browsers. Currently there are more than six hundred species of car-
Plants have evolved a broad spectrum of defenses nivorous plants described, including the well-known
against herbivory, ranging from tolerance to resistance Venus fly trap and pitcher plant, which trap and slowly
of defoliation. Herbivory-tolerant plants have high extract nutrients from decomposing arthropods. The first
growth rates and are able to reallocate stored carbohy- popular scholarly text on carnivorous plants was written
drates to defoliated stems rapidly. Additionally, plants by none other than Charles Darwin in 1875.

Mutualisms plants and yucca moths. Th is interaction is a highly

specialized relationship in that each species of yucca has
Plants and animals also engage in a wide diversity of only a few, and sometimes just one, species of moth with
interactions that benefit both partners. One ubiquitous which it interacts. Also, the yucca moths are entirely
example is pollination, in which animals feed on nectar dependent on the yucca plants for their own reproduction,
and pollen from flowers, transferring pollen to other while yucca plants require cross pollination between
plants, the foundation of the highly successful sexual different individuals and rely completely on the yucca
reproduction of flowering plants. The vast majority of moths for pollen transfer. The moths pack the pollen into
pollinators are insects, but the group also includes birds, the stigma of the yucca plant, ensuring fertilization.
bats, rodents, monkeys, and even lizards. While adult moths do not feed, female yucca moths lay
A second type of common mutualism between plants eggs in the flowers, and the emerging larvae then feed on
and animals is seed dispersal. Animals benefit by con- the developing seeds. Th is relationship is classic in that it
suming fruits that house the seeds, while plants benefit provides an example of extreme specificity between
by having their seeds dispersed long distances by ani- partners and a relationship in which mutualism and
mals, thus increasing their offspring survival probability. antagonism are balanced in a strong coevolutionary
Especially for large-seeded plants, long-distance disper- relationship.
sal of seeds would be physically impossible without ani-
mal vectors. In this regard, the human domestication of Bees and Bee Orchids A fi nal example of PAI
fruits and vegetables may represent one of the most mutualism is the “deceptive” plant pollination that
extensive plant-animal mutualisms on Earth. Another occurs between bees and bee orchids. Bee orchids have
type of mutualism involves animals that protect plants evolved a mechanism to deceive bees into pollinating
from other animal herbivores. their flowers through both visual and chemical mimicry
of the female bee. The bee orchid
Ants and Acacias The PAI involving ants produces f loral structures that
and acacias is one of the best-known look like a female bee and emits
examples of mutualism. In tropical volatile chemical compounds
woodlands and savannas throughout that mimic female reproductive
the world, trees belonging to the pheromones. Bees are attracted
genus Acacia produce hollow, to the plant and are deceived
swollen structures on their into “mating” with the flowers.
twigs that provide shelter for In reality, the male bees
stinging ants. Moreover, these distribute pol len bet ween
trees also have glands at the individual plants but receive
base of their leaves that secrete nothing in return.
carbohydrate-rich nectar on
which the ants feed. Thus, the
ants benefit by receiving both a
Coevolution and the
place to live and a source of energy- Antiquity of PAI
rich food. This relationship is
mutualistic because the trees benefit The two most species-rich groups of
in return: the ants swarm to attack macroscopic terrestrial organisms
leaf-eating mammal and insect are plants and insects. One body of
herbivores. Th is relationship is theory suggests that the global
very effective and even protects diversity of these groups is a conse-
acacias from African elephants, quence of their long coevolutionary his-
the largest terrestrial herbivore tory, which has persisted since the fi rst
on Earth. Interestingly, the ants invasion on land over 450 millions years ago. Evidence
do not attack bees that pollinate the acacia fl owers of ancient herbivory, in the form of fossilized insect
because of a chemical released by the plant that dung containing plant pollen, begins to show up regu-
somehow prevents ants from approaching during larly at the transition between the Silurian and
pollination. Devonian periods around 420 million years ago. The
radiation of the modern angiosperms (the very plant
Yucca and Yucca Moths Another classic example group that is dominant on Earth today) and the modern
of mutualism is the close association between yucca insect fauna that prey upon them extends from the

PLANT-ANIMAL INTERACTIONS • 301
Cretaceous period, around 115 million years ago. stewardship of natural and agricultural ecosystems on
Although fossil evidence of herbivory is more abundant which humans depend.
than evidence for pollination or seed dispersal is, the
great species diversity among plants and insects is T. Michael ANDERSON
believed to have been enhanced by both antagonistic and Wake Forest University
mutualistic coevolution. Indeed, the morphological
See also Agricultural Intensification; Agroecology;
diversity of flowers, fruits, seeds, and animal pollinators
Biodiversity; Boundary Ecotones; Community Ecology,
and dispersers observed today provides compelling evi-
Complexity Theory; Food Webs; Global Climate
dence of a rich and lengthy coevolutionary history.
Change; Human Ecology; Microbial Ecosystem
Processes; Mutualism; Population Dynamics; Refugia
Sustainability and Ecosystem
Management
FURTHER READING
The sustainability of ecosystems throughout the world Anderson, T. Michael. (2010). Community ecology: Top-down
turned upside-down. Current Biology, 20 (19), R854–R855.
depends on an elaborate network of plant-animal interac- Darwin, Charles. (1859). On the origin of species by means of natural selec-
tions that facilitate ecosystem function (energy flow and tion, or the preservation of favoured races in the struggle for life. London:
nutrient cycling). Habitat destruction and the loss of bio- John Murray.
diversity, brought about by rapidly expanding human pop- Darwin, Charles. (1875). Insectivorous plants. London: John Murray.
Goheen, Jacob R., & Palmer, Todd M. (2010). Defensive plant-ants
ulations and increased resource consumption, is stabilize megaherbivore-driven landscape change in an African
threatening to unravel these core plant-animal interactions savanna. Current Biology, 20 (19), 1768–1772.
to the detriment of natural ecosystems and at great cost to Herrera, Carlos M., & Pellmyr, Olle. (Eds.). (2002). Plant-animal inter-
human societies. The remarkable agricultural prosperity of actions: An evolutionary approach. Oxford, UK: Wiley-Blackwell.
McNaughton, S. J. (1976). Serengeti migratory wildebeest: Facilitation
the human race relies profoundly on the persistence of of energy flow by grazing. Science, 191(4222), 92–94.
functioning plant-animal interactions. Chief among them Owen-Smith, R. Norman. (1992). Megaherbivores: The influence of very
is our dependence on insect-pollinated crops and food pro- large body size on ecology. Cambridge, UK: Cambridge University Press.
duction for domestic livestock, such as cows, sheep, don- Pellmyr, Olle; Leebens-Mack, James; & Huth, Chad J. (1996). Non-
mutualistic yucca moths and their evolutionary consequences.
keys, and goats, which provide meat, natural fibers, and Nature, 380, 155–156.
labor. Plant-animal interactions are also at the heart of Pellmyr, Olle; Thompson, John N.; Brown, Jonathan M.; & Harrison,
natural processes that threaten human well-being and eco- Richard G. (1996). Evolution of pollination and mutualism in the
nomic stability, such as the long history of cataclysmic crop yucca moth lineage. American Naturalist, 148, 827–847.
van Dam, Nicole M. (2009). Belowground herbivory and plant defenses.
damage by insect pests. Consequently, understanding and Annual Review of Ecology, Evolution and Systematics, 40 (1), 373–391.
preserving the coevolutionary relationships between plants Willmer, Pat G., & Stone, Graham N. (1997). How aggressive ant-
and animals is a critical component for a responsible guards assist seed-set in Acacia flowers. Nature, 388, 165–167.

Pollution, Nonpoint Source
Contamination of streams, lakes, reservoirs, estuaries, pollution is greatly influenced by a combination of

and coastal zones is increasingly due to nonpoint hydrology and land management practices. Polluted
source (NPS) pollution—that is, pollution from diffuse runoff generated by rain, snowmelt, or irrigation has led
sources. NPS pollution is typically generated over large to the contamination of many water bodies, including
land areas, and pollutants typically classified as being streams, lakes, reservoirs, estuaries, and coastal waters.
from nonpoint sources include nutrients, pathogens, In the United States (as of 2011), the EPA had assessed
pesticides, chemicals, and sediment. Few regulatory 1,550,689 kilometers of streams and found that 53 per-
measures exist to reduce NPS pollution, and therefore cent were impaired. More than 98 percent of the
public involvement and education is key to improving assessed areas of the Great Lakes, 81 percent of assessed
water quality of natural water bodies. coastal shorelines, 69 percent of assessed lakes and res-
ervoirs, and 66 percent of assessed estuaries were
impaired. (See fi gure 1 on page 303.) NPS pollution
I ncreasing water contamination due to nonpoint source

(NPS) pollution is a major concern throughout the
world. Elevated pollutant levels in water bodies create a
differs from point source pollution in multiple ways: it
is variable in time, generated over extensive land areas,
event driven, difficult to monitor and regulate, and best
risk to human health due to exposure to chemicals and reduced through prevention rather than treatment strat-
pathogenic organisms. The World Health Organization egies. These factors make mitigation and control of
(WHO) has estimated that approximately 3.2 million NPS pollution challenging.
deaths each year are associated with water contamina-
tion, accounting for about 6 percent of all deaths globally
(WHO 2011b). An environmental sustainability Sources of Nonpoint Source
Millennium Development Goal set by the United Pollution
Nations is to reduce by 50 percent the number of people
without access to safe drinking water by 2015. To Nearly every form of land use has the potential to gener-
achieve this, the World Bank (2011) has estimated that ate NPS pollution. Recent assessments, however, have
as much as US$23 billion per year will be necessary to identified agricultural lands as the leading cause of water
develop the infrastructure to provide safe water to the quality impairments of rivers, streams, lakes, ponds, and
public. Beyond monetary investments, public involve- reservoirs (US EPA 2011c), whereas pollution of estuar-
ment and awareness of the sources and practices contrib- ies is primarily generated by municipal point sources,
uting to nonpoint source pollution is key to success in urban areas, and industries (US EPA 2011d). Common
improving water quality. sources of NPS pollution include excess fertilizer and
According to the US Environmental Protection pesticide applications to agricultural and urban lands;
Agency (US EPA 2011a), nonpoint, or diff use, sources toxic chemicals, heavy metals, and hydrocarbons from
are the leading cause of water quality impairments in urban areas; erosion of sediments from poorly vegetated
the United States. ( Impaired waters are those that are lands (such as agricultural or construction sites) or other
too polluted to meet state water quality standards.) NPS susceptible lands; and stream bank erosion. Subsurface
302

POLLUTION, NONPOINT SOURCE • 303
Figure 1. Contamination Level of US Water Bodies
Gr
Coastal ea
tL
(80.97%) ak
(98 es S
.24 hor
%) eli
ne
s
Streams
(53%)
er
at
.88 n W
(99 s Ope
%)
e
Lak
at
ries
Estua %)
(66.14 Gre
Lakes and Resevoirs

(68.98%)
Data source: US EPA (2011b). Photo credits: EPA (estuaries, coastal); Pramod Pandey (streams, lakes and reservoirs, Great Lakes open water,
Great Lakes shorelines).
Shown are the percentages of EPA-assessed water bodies that were identified as impaired as of 2011.
drainage of hydric soils has the potential to export high quality impairments and present an immediate risk to
nitrate loads when managed under intensive agricultural human and animal health in some cases.
production. (The US government defines a hydric soil as Agriculture activities such as animal feeding opera-
one that formed under conditions of saturation, flooding, tions, livestock grazing, overland flow or irrigation from
or ponding long enough during the growing season to cropped land, and tile drainage can degrade water quality.
develop anaerobic conditions in the upper part.) (See figure 2 on page 304.) (Tile drainage is a common
Additionally, pathogens from livestock, land application practice used to remove excess water from subsurface soil.)
of animal manures, leaking septic systems, and wastes Pollutants that result from agricultural NPS pollution are
from domestic pets and wildlife contribute to water sediment, nutrients, pathogens, pesticides, metals, and

Figure 2. Nonpoint Sources of Pollution in an Agricultural Watershed
Overland flow from Tile drains

agriculture land
Confined feeding
Open feed lots
operations
Wildlife
Photo credits: Pramod Pandey; Charles Velasquez; Ray Sims; David Westhoff ; Andrew Paxson; Kendal Agee.
Agricultural activity is a major source of nonpoint source pollution. Overland flow from agricultural land, the outflow from tile drains from
cropped land, open feedlots, wildlife, and confined feeding operations all cause nonpoint source pollution of water bodies.
salts. These pollutants are typically released from the land produce hundreds of millions of tons of manure each
surface and transported by runoff into water bodies. For year. The animal production industry in the United
example, erosion from agricultural land transports enor- States accounts for 55 percent of soil and sediment ero-
mous amounts of sediment, and the influx of these par- sion, 80 percent of antibiotic usage, and more than 30 per-
ticles into nearby streams, lakes, or wetlands can eliminate cent of the total nitrogen and phosphorous loading to
aquatic organisms through destruction of habitat or direct national drinking water resources (Pew Commission on
impacts such as clogging fish gills. Runoff with excessive Industrial Animal Production 2011). For instance,
nutrients also leads to degraded water quality. For exam- effluent from animal feeding operations (AFO) contrib-
ple, to ensure maximum crop yields, land managers may utes considerable amounts of pollutants such as patho-
apply abundant nutrients, including nitrogen, phospho- gens, nitrogen, phosphorous, sediments, hormones, and
rus, potassium, and manure. Excess nutrients that are not antibiotics to ambient water bodies (US EPA 2011e). In
utilized by plants, or that are applied prior to rains, are addition, livestock overgrazing can lead to increased
potentially carried by the runoff from agricultural land to erosion, invasive plants, and degraded or eliminated
water bodies, where high nutrient levels cause algae riparian vegetation (that is, vegetation along the banks
blooms to proliferate, leading to an uninhabitable envi- of waterways). An increase in livestock populations
ronment for aquatic life. Other NPS pollutants, such as results in greater volumes of nitrogen- and phosphorus-
pesticides, can also be toxic to aquatic life. rich animal waste, which is typically disposed of
Livestock production is another source of NPS pol- through application as fertilizer to crop and pasture-
lution. In the United States, animal feeding operations lands. When such manure is applied to the land based

on the crop nitrate requirements, a buildup of soil phos- can also harm aquatic species and wildlife through lim-
phorus is often observed, increasing the risk for trans- iting food and habitat.
port of nitrogen- and phosphorus-enriched water to
surface waters.
In addition to agriculture, urban runoff can generate Impacts of NPS Pollution
NPS pollution. More than 50 percent of the world’s pop-
ulation lives in urban areas, and the migration from rural According to the EPA, nitrate is the most prevalent agri-
areas to cities continues. Insufficient urban infrastructure culture pollutant in drinking water, and approximately
makes cities a central point for environmental health 1.5 million people are exposed to elevated levels in their
concerns. According to the EPA (as of 2011), almost drinking water wells (US EPA 2011f). In water bodies,
56,000 kilometers of US streams and significant portions algal growth from elevated nutrient levels results in low
of US coastal shorelines were impaired due to storm oxygen levels. Th is process, called eutrophication, can
water discharges and other urban runoff. An increase in cause fish kills and reduced diversity in aquatic life.
impervious surfaces and storm water discharges has Nitrogen and phosphorus from agricultural land can
resulted in increased associated pollutant loads (such as contribute to eutrophication and associated algae blooms.
solid waste and chemicals) into adjacent water bodies. Nonpoint source pollution has been associated with
Current trends show that future human populations will over four hundred hypoxic zones in the world. The larg-
increasingly be concentrated within urban areas. est US hypoxic zone, in the Gulf of Mexico, is about
Therefore, the urban environment will play a critical role 17,000 square kilometers. Hypoxia is due to low oxygen
in water quality and public health. in water (less than 2 milligrams per liter), at which
Another nonpoint source of pollution is abandoned aquatic life cannot survive. Recent increases in the occur-
mining operations. Runoff from these lands has great rence of hypoxic zones has been related to anthropogenic
potential to impact water bodies. Mining operations in activities such as intensive use of fertilizers on agriculture
the mid-Atlantic region have led to acidification of sur- land, erosion of soils with nutrients, and discharges from
rounding water bodies. Runoff from abandoned mines sewage treatment plants. For instance, the hypoxic zone
can transport solids, oils, minerals, and metals such as in the Gulf of Mexico is primarily caused by excess nutri-
zinc and arsenic to water bodies. Particles containing sul- ent loading to the Mississippi River. Studies have shown
fur can lead to the formation of sulfuric acid and iron that in the last half of the twentieth century, nitrogen
hydroxide, which can dissolve heavy metals such as cop- and phosphorus concentrations in the Lower Mississippi
per, lead, and mercury. Th is acts to change water body River have increased considerably, and this has been
chemistry, making the environment toxic to aquatic life attributed to the increased use of nitrogen and phospho-
and unsuitable for public and industrial uses. According rus fertilizers on cropped land. The hypoxia in the Gulf
to the EPA (as of 2011), about 8,240 kilometers of of Mexico is of particular concern because Gulf fisheries
streams have been contaminated in the eastern United generate billions of dollars annually.
States by runoff from abandoned coal mines; coal mines Another potential health risk from NPS pollution is
in the mid-Atlantic region alone caused low pH values in exposure to waterborne pathogens. The World Health
7,656 kilometers of streams. Organization (WHO) has estimated that 88 percent of
Nonpoint source pollution from silviculture (the the global disease burden is attributable to contaminated
development and care of forests) can also cause signifi- waters, particularly pathogen-contaminated waters.
cant water quality problems. The movement of heavy About 62.5 million people suffer each day from diar-
machinery in forested areas can remove vegetation, lead- rheal diseases, and intestinal worms infect about 10 per-
ing to increased erosion. Activities such as logging can cent of the population in developing counties. Water
generate considerable amounts of NPS pollution, partic- contamination by pathogens causes potential health
ularly sediment, due to removal of streamside vegetation, risks to humans all over the world. For instance, more
road construction, and timber harvesting. For example, than 200 million people are infected with schistosomia-
in the Lake Superior drainage basin, approximately 75 persis, and more than 300 million suffer from malaria that
cent of the basin is forested, and 50 percent of the basin is linked with contaminated waters (WHO 2011c). In
has highly erodible red clay soils. According to the EPA developing countries in Africa, waterborne pathogens
(as of 2011), approximately 9 percent of the water quality infect millions. Guinea worm disease, a parasitic infec-
problems in assessed streams were caused by forestry tion caused by Dracunculus medinensis, begins when a
activities. Road construction and road use contributed person drinks contaminated water infested by the larvae
up to 90 percent of the total sediment from forestry of the guinea worm.
operations. In addition to upland erosion, silviculture Even in developed countries such as the United States,
activities modify or remove riparian vegetation, which pathogens are a major source of pollution in water bodies.

Approximately 900,000 illnesses and 900 deaths occur in also puts young children at risk for blue-baby syndrome
the United States each year because of exposure to water- (methemoglobinemia), where the oxygen-carrying
borne pathogens (Arnone and Walling 2007). Human capacity of the blood is lowered, resulting in bluish skin
diseases such as gastrointestinal illness, including vomit- color. Conventional drinking water treatment processes
ing, diarrhea, and fever, have been related to high levels cannot remove nitrate. Instead, expensive treatment
of pathogenic bacteria in recreational waters. In the methods are required such as reverse osmosis and bio-
United States most beach closings result from elevated logical denitrification (Elyanow and Persechino 2005).
level of pathogens; the source is often untreated sewage. According to the EPA, the costs to pollutant sources for
Waterborne pathogen contamination is a threat not only implementing total maximum daily loads (TMDL) to
to human health but also to wildlife, livestock, and aquatic control contamination are expected to be between
life. For example, massive frog die-offs in the US states of approximately $1 billion and $3.4 billion per year (US
Colorado and Arizona and the Australian state of EPA 2001).
Queensland have been attributed to the chytrid fungus— Changing environmental conditions may alter the vir-
a pathogen that lives in fresh water. In the US state of ulence of existing diseases and increase the possibility of
Massachusetts, bacterial contamination in shellfish and new diseases. Many pathogens currently exist in a dor-
recreational waters is blamed for the loss of millions of mant stage in water bodies, but an increase in water tem-
dollars each year in the local economy. perature may alter this. Therefore, future work is needed
to increase our understanding of
how changes in climate and
Future Challenges rainfall will impact NPS pollu-
tion. Only 2.5 percent of all
In addition to natural water bodies water available on Earth is fresh,
(i.e. streams, lakes, estuaries, and approximately 15 percent
coastal waters), designing new of the world’s population lives
water resource structures has in regions with limited water
serious implications for water supply. Access to freshwater
quality. Large reservoirs may is critical to support life.
increase pathogen contamina- Improving water quality is a
tion, particularly schistosomia- major but necessary challenge to
sis. A study by the parasitologist protect human and animal
Alan Fenwick (2006) reported health and quality of life. In
that the development of water summary, reduction of nonpoint
resources, particularly in Africa, sources of pollution is needed to
has increased the transmission of protect public health and provide
waterborne diseases. For exam- clean water to humans and animals.
ple, the Gezira Irrigation Scheme Controlling NPS will require inter-
and the Sennar Dam, the fi rst disciplinary collaboration among vari-
major dam across one of Africa’s ous disciplines such as hydrology, soil
great rivers (the Blue Nile), have science, agriculture, ecology, environmental
been associated with increased schis- science, and engineering in order to develop land and
tosomiasis. Approximately 103 million out of 779 mil- water management practices which are eco-friendly and
lion people infected by schistosomiasis live in close sustainable. In addition to scientists, it will require public
proximity to large reservoirs and irrigation schemes involvement and education, which is a key to improving
(Daszak, Cunningham, and Hyatt 2000). It has been the water quality of our ambient water bodies.
noted that such projects increase suitable aquatic snail
Pramod Kumar PANDEY and Michelle Lynn SOUPIR
species, which are the intermediate hosts of the larvae
Iowa State University
of schistosomiasis.
Contamination of water by high levels of nitrogen and See also Agricultural Intensification; Agroecology;
phosphorus is an increasing concern in the United Ecosystem Services; Eutrophication; Groundwater
States. According to the EPA, about 50 percent of US Management; Irrigation; Large Marine Ecosystem (LME)
water bodies are negatively impacted by nitrogen and Management and Assessment; Marine Protected Areas
phosphorus pollution (US EPA 2011h). Excessive levels (MPAs); Pollution, Point Source; Rain Gardens; Road
of nitrate in drinking water over time can increase risk Ecology; Soil Conservation; Stormwater Management;
for thyroid cancer in women. Nitrate in drinking water Water Resource Management, Integrated (IWRM)

FURTHER READING US Environmental Protection Agency (US EPA). (2011c).

Agriculture. Retrieved December 4, 2011, from http://water.epa.
Arnone, Russell D., & Walling, Joyce Perdek. (2007). Waterborne gov/polwaste/nps/agriculture.cfm
pathogens in urban watershed. Journal of Water and Health, 5(1), US Environmental Protection Agency (US EPA). (2011d). National
149–162. monitoring program: An overview. Retrieved December 4, 2011,
Daszak, Peter; Cunningham, Andrew A.; & Hyatt, Alex D. (2000). from http://www.epa.gov/owow/NPS/Section319/319over.html
Emerging infectious diseases of wildlife: Th reats to biodiversity US Environmental Protection Agency (US EPA). (2011e). National pol-
and human health. Science, 287(5452), 443–449. lutant discharge elimination system (NPDES). Retrieved December
Elyanow, David, & Persechino, Janet. (2005). Advances in nitrate 4, 2011, from http://cfpub.epa.gov/npdes/home.cfm?program_id57
removal. Retrieved December 4, 2011, from http://www.gewater. US Environmental Protection Agency (US EPA). (2011f). Potential
com /pd f / Tec h n ica l% 2 0Papers _Cust /A mer ica s / Engl ish / environmental impacts of animal feeding operations. Retrieved
TP1033EN.pdf December 4, 2011, from http://www.epa.gov/agriculture/ag101/
Fenwick, Alan. (2006). Waterborne infectious diseases: Could they be impacts.html
consigned to history? Science, 313(5790), 1077–1081. US Environmental Protection Agency (US EPA). (2011g). Hypoxia.
Harvell, C. Drew, et al. (2002). Climate warming and disease risks for Retrieved December 4, 2011, from http://water.epa.gov/type/
terrestrial and marine biota. Science, 296(5576), 2158–2162. watersheds/named/msbasin/hypoxia101.cfm
Novotny, Vladimir. (2003). Water quality. Hoboken, NJ: John Wiley US Environmental Protection Agency (US EPA). (2011h). Effects of
& Sons. nitrogen and phosphorous pollution. Retrieved December 4, 2011,
Pew Commission on Industrial Farm Animal Production. (2011). from http://water.epa.gov/scitech/swguidance/standards/criteria/
Environmental impact of industrial farm animal production. nutrients/effects.cfm
Retrieved December 4, 2011, from http://www.ncifap.org/bin/ Ward, Mary H., et al. (2010). Nitrate intake and the risk of thyroid
s/y/212-4_EnvImpact_tc_Final.pdf cancer and thyroid disease. Epidemiology, 21, 389–395.
US Environmental Protection Agency (US EPA). (2000). National World Health Organization (WHO). (2011a). Urbanization and
water quality inventory. Retrieved on October 7, 2011, from health. Retrieved on October 7, 2011, from http://www.who.int/
http://water.epa.gov/lawsregs/guidance/cwa/305b/2000report_ globalchange/ecosystems/urbanization/en/index.html
index.cfm World Health Organization (WHO). (2011b). Climate change and
US Environmental Protection Agency (US EPA). (2001). Water: human health. Retrieved December 4, 2011, from http://www.
Total maximum daily loads. Retrieved December 4, 2011, from who.int/globalchange/ecosystems/water/en/index.html
http://water.epa.gov/lawsregs/lawsguidance/cwa/tmdl/costfact. World Health Organization (WHO). (2011c). WHO World Water
cfm Day report. Retrieved December 4, 2011, from http://www.who.
US Environmental Protection Agency (US EPA). (2011a). Polluted int/water_sanitation_health/takingcharge.html
runoff (nonpoint source pollution). Retrieved December 5, 2011, The World Bank. (2011). Water, sanitation & hygiene. Retrieved
from http://www.epa.gov/owow_keep/NPS/index.html December 4, 2011, from http://web.worldbank.org/WBSITE/
US Environmental Protection Agency (US EPA). (2011b). Impaired E X T E R N A L / T O P I C S / E X T H E A LT H N U T R I T I O
waters and total maximum daily loads. Retrieved December 4, NANDPOPULATION/EXTPHAAG/0,,contentMDK:208002
2011, from http://water.epa.gov/lawsregs/lawsguidance/cwa/tmdl/ 97~menuPK:64229809~pagePK:64229817~piPK:64229743~
index.cfm theSitePK:672263,00.html

Pollution, Point Source
Point source pollution is an identified source from which A point source of pollution is a spot that produces harm-
contamination enters air, water, and soil. These sources ful substances that can damage living organisms. These
may be natural, such as volcanoes, which release hazard- substances impact human health and disturb natural
ous ash and gases into the air. Anthropogenic, or human- rhythms of plant growth and bird migration. A point
made, point source pollution can take forms as diverse as source releases pollution into the atmosphere, into marine
chemicals, greenhouse gases, noise, light, vibration, and freshwater environments, on the land’s surface, or
nuclear material, viruses, odors, or cigarette fumes, and into the ground. The USSR State Committee on
may be stationary, mobile, temperate, or constant. Standards (1977) describes point source pollution as “the
source that emits air pollutants from [a] fi xed aperture.”
A drain pipe or channel may discharge sewage into the
T he Industrial Revolution significantly improved the

welfare of people around the world. The trade-off,
however, is increased air, water, and land pollution. The
water. Effluents from an industrial setting may come
through pipes, ditches, sediment bowls (traps that collect
pollutants), holes or fissures, or waste oil collectors. A
word pollution brings to mind images of a chemical plant point source pollutant can also be an individually identi-
dumping contaminated water into a river or the large fied source of pollution, as disparate as an aircraft carrier,
chimney of an industrial enterprise spewing smoke into an oil tanker, or a mine.
the air, but pollution may be natural, as well. Pollution Nonpoint source pollution (NPS pollution) is a source of
that comes from a known source (natural or not) is called diff usive contamination that cannot be detected precisely.
point source pollution (PSP). According to the US Environmental Protection Agency
Between 1850 and 1900 industry pumped into the (2011b), “ NPS pollution occurs when rainfall, snowmelt,
atmosphere large amounts of metal-containing emis-
sions carrying nickel, cadmium, copper, zinc, and lead.
From 1900 to 1980 the rates increased dramatically. Table 1. Metal-Containing Emissions Released
(See table 1.) into the Atmosphere from 1850–1980
Human activities dating back to ancient times have
caused PSP (Borsos et al. 2003). Natural objects such as Amount Produced Amount Produced
volcanoes can be point source pollutants, too. Different from 1850 to 1900 from 1900 to 1980
substances, sources, and harmful agents make up point Metal (in metric tons) (in metric tons)
source pollution. A few key concepts and definitions are Nickel 218 11,000 (51 times)
helpful in understanding PSP.
Pollution is contamination of soil, air, water, and space Cadmium 345 2,760 (8 times)
(i.e., outside the Earth’s atmosphere). Scientists consider Copper 1,633 9,800 (6 times)
pollution harmful when it exceeds normal (natural) back- Zinc 15,422 123,000 (8 times)
ground levels or accumulates harmful substance(s) in an
Lead 20,000 180,000 (9 times)
organism over time. Pollution can be incautious (accidental)
or intentional contamination. Sources: Nriagu (1979 and 1994), cited in Yarime (2003).
308

POLLUTION, POINT SOURCE • 309
or irrigation runs over land or through the ground, picks Philippines (1814). On Sumbawa Island, Indonesia, the
up pollutants, and deposits them into rivers, lakes, and Mount Tambora eruption of 1815, the largest eruption in
coastal waters or introduces them into ground water.” recorded history, created the “year without a summer” in
NPS substances may include sediments of soil erosion as 1816. The eruption significantly affected global weather
well as fertilizers, pesticides, salt, and manufacturing that year, especially in the Atlantic part of North America
by-products. and western parts of Europe, causing crop failures and
food shortages. The culmination of these volcanic erup-
Categories tions created an environmental disaster that destroyed
rice, buckwheat, and other crops that led to a famine in
Classification of point sources of pollution is a complex China’s Yunnan Province (Yang, Man, and Zheng 2005).
task because of the many factors and spheres involved. Krakatoa, a volcanic island between Sumatra and Java,
Point source pollutants can be natural or anthropogenic erupted in 1883, making what is believed to be the loudest
(human made). They can come from industrial, agricul- sound in recorded history. A volcanic eruption came from
tural, residential, or individual sources. They may origi- the Icelandic ice cap Eyjafjallajökull in 2010. The eruption
nate as light, noise, or temperature changes. Dust, disrupted airline travel schedules for several days because
vibrations, gases, heavy metals, pesticides, viruses, bacte- the ash tail stretched over many kilometers (BBC News
ria, or radioactivity are point source pollutants. Air, 2010; O’Sullivan 2010).
water, and soil/land may emit them. The time scale of the Major air pollutants from volcanoes are both solid, like
activity may be permanent or temporary. It may occur tephra (ash or dust particles and small pyroclastic rocks,
outdoors or indoors. It may be stationary or made of volcanic ash), and gaseous.
mobile. Volcanoes emit a spectrum of vol-
Most point source pollutants are canic gases, including sulfur
harmful to humans but substantially dioxide, that affect air quality.
affect the environment, too. Ash fall causes breathing prob-
Cigarette smoke is a point source lems and damages crops.
pollutant that emits fumes, odors,
and heavy metals or chemically
active radicals. Snoring is an Oil Spills
indoor point source of noise pollu-
tion. Noise pollution created by fell- Oil spills are human-made pol-
ing equipment at forest harvesting lution in marine, freshwater,
sites disturbs wildlife habitats; oil and land spheres. The point
spills harm water wildlife, birds, source pollutants come from
animals, and even the microclimate tankers, platforms, oil wells, or
because of their effects on temper- refinery plants. The Kuwait oil
ature and gas exchange between fi res during the Gulf War in
the water and the atmosphere 1991 are a notable example
(Reimers 1990). (although they could be consid-
Point source pollution breaks ered a nonpoint source, too). Oil
down into two major types: natu- spills from the Torrey Canyon in
ral, such as a volcanic eruption, 1967, the Atlantic Empress in 1979,
and anthropogenic, such as oil spills and the Exxon Valdez in Alaska’s
and nuclear reactor radioactivity. Prince William Sound in 1989 created
environmental havoc, releasing hundreds of
Volcanic Eruptions thousands of tons of oil, killing bird and marine life, and
leaving lasting ecological and habitat damage. The 1994
Major volcanic eruptions are a well-known source of pol- pipeline accident in the Komi Republic of Russia caused
lution (Smith 2004). Several small volcanic eruptions in one of the largest terrestrial oil spills of all time when
the nineteenth century produced a substantial amount of more than 102,000 metric tons of oil covered a large area
ash and dust in the atmosphere (Heidorn 2000). These of land (Kireeva 2007). The most recent large spill
events started with La Soufrière on Saint Vincent in the occurred in the Gulf of Mexico in 2010. Instead of a ship
Caribbean and Awu on Sangihe Islands, Indonesia, in colliding with an object, an explosion caused a huge fire
1812. Volcanoes erupted on Suwanose-jima on the and sank the Deepwater Horizon platform (Business
Ryukyu Islands, Japan (1813), and Mayon in the Insider 2010; Robertson and Krauss 2010).

Light located on the seashore. Such noise can also widely result in
“habitat degradation, and can affect regional ecological
City and town lights interfere with astronomical observa- integrity” (Government of Alberta 2011, 1).
tions, disorient migratory birds so that they fly into
buildings, and affect darkness-related night-foraging
Chemical
wildlife such as bats and mice. Th is “permanent full
moon” makes animals vulnerable to predators and Chemical point source pollution is the most widely
reduces time for their foraging. Chicago and other cities spread pollution and has deep roots in the history of
employ “lights out” programs, saving more than ten industrial development. The invention of boilers to power
thousand birds each year by weakening building lights industry as well as of internal combustion engines created
during bird migratory seasons (Hirji 2010). early chemical point source pollution. Chemical point
source polluters are enterprises that emit gases, oxides,
Thermal and by-products including heavy metals. Such pollutants
are well recognized in this era of climate change discussion.
Thermal point source pollutants such as factories or ships Major greenhouse gas emitters include power-generating
release too much waste heat into fresh- or marine water. plants burning fossil fuels, as well as manufacturers of
Heat reduces the amount of oxygen in the water, chemical ingredients for fertilizers, detergents, and
threatening or killing aquatic life and stimu- the like. Chemical enterprises leak heavy
lating plant growth. metals, acids, or related pollutants. Most
modes of transport, including cars and
Nuclear airplanes, are mobile point source
polluters. Smog is nonpoint source
Nuclear power plants are a potential
pollution, but coal combustion for
source of point source pollution.
heating houses and producing
Plants at Three Mile Island
power for manufacturers makes
(United States, 1979), Chernobyl
every chimney a point source
(USSR [Ukraine], 1986), and
pollutant.
Fukushima (Japan, 2011) have all
had accidents, although the acci-
dent at Three Mile Island was far Odor
less serious than the latter two. Dumps, farms, and manufactur-
The major risk from nuclear pol- ers emit odors such as ammonia,
lution is radioactivity, which has animal waste, or other unpleasant
no smell, color, or taste but is smelling by-products. Slaughtering
extremely damaging to humans animals and tanning hides create
and animals and can lead to radia- strong odors. Tourists who wish to
tion poisoning, cancer, or death. see the process of leather goods pro-
duction in Marrakech, Morocco, hold
Vibration and Noise a mint stem under their noses in order to
Many phenomena cause vibration and noise. People reduce the strong smells from the tannery.
often do not consider noise to be a source of pollution, (See figure 1 on page 311.)
but continuous noise from construction work and traffic,
for example, may cause such physical effects on humans Responses
as high blood pressure, sleep disturbance, and hearing
loss (US EPA 2011a). Ireland (1992), India (2000), and The Netherlands, the United States, Korea, Japan, and
Singapore (2007), among other countries, have passed China, among other countries, have passed legislation to
noise pollution legislation that regulates working hours regulate point source pollution. Legislative, economic,
and construction noise. These laws mostly protect resi- educational, and health care approaches can prevent or
dential areas; they address societal needs but do not pro- mitigate the problems created by point sources of pollu-
tect the natural environment. tion. So called end-of-pipe technology controls environ-
Even renewable energy production can cause noise pol- mental contamination by the installation of the appropriate
lution. Wind farms create noise and vibrations that are equipment at the polluting source to reduce the volume of
transferred into the ground and impact biodiversity, includ- emissions into the air and water during manufacturing.
ing birds, bats, squirrels, and even aquatic biodiversity if Absorption, adsorption, condensation, incineration, and

POLLUTION, POINT SOURCE • 311
Figure 1.
Photo by Victor K. Teplyakov.
A man working in a tannery in Marrakech, Morocco. Tanneries are a leading cause of point source pollution in Marrakech, in the form of
foul odors.
selective diff usion through membranes constitute other living quarters with the products of incomplete combus-
industrial technologies (Yarime 2003). Scientists and tion. . . . After its invention, the chimney removed the
manufacturers have created “clean” or “green” technologies combustion products and cooking smells from the living
to avoid the creation of pollutants during manufacturing quarters, but for centuries the open fire in the fireplace
processes (McMeekin and Green 1995; Caprotti 2009; caused its emission to be smoky. (Boubel et al. 1994, 3)
Cleantech Group 2010; UNEP 2011).
As a species, we have struggled with anthropogenic
point source pollution for millennia. Because of the
The Future many sources of point source pollution, governments,
industry, and consumers must make a worldwide effort
An interesting historical observation sheds light on point to address the concerns and provide the answers. The
source pollution: changes wrought by point source pollution, including
One of the reasons the tribes of early history were global climate change, make these issues all the more
nomadic was to move periodically away from the stench pressing.
of the animal, vegetable, and human wastes they gener-
ated. When the tribesmen learned to use fire, they used Victor K. TEPLYAKOV
it for millennia in a way that filled the air inside their Seoul National University

See also Agricultural Intensification; Brownfield Ministry of Environment and Forests ( India). (2010, January 11).
Redevelopment; Eutrophication; Extreme Episodic Notification [Noise pollution regulation and control]. The Gazette
of India . Retrieved October 31, 2011, from http://moef.nic.in/
Events; Global Climate Change; Groundwater downloads/rules-and-regulations/50E.pdf
Management; Irrigation; Light Pollution and Biological Nriagu, Jerome O. (1979, May 31). Global inventory of natural and
Systems; Marine Protected Areas (MPAs); Ocean anthropogenic emissions of trace metals to the atmosphere. Nature,
Acidification—Management; Pollution, Nonpoint 279, 409–411. doi:10.1038/279409a0
Nriagu, Jerome O. (Ed.). (1994). Arsenic in the environment. Part 1:
Source; Safe Minimum Standard (SMS); Shale Gas Cycling and characterization. New York: Wiley.
Extraction; Waste Management; Water Resource Oil Spill Solutions. (2011). The real world of oil spills. Retrieved
Management, Integrated (IWRM) November 3, 2011, from http://www.oilspillsolutions.org/contra-
versialspills.htm
O’Sullivan, Laurence. (2010, April 16). Environmental impacts of
atmospheric dust and volcanic eruptions. Retrieved October 24, 2011,
FURTHER READING from http://laurenceosullivan.suite101.com/environmental-
Borsos, Emőke; Makra, László; Béczi, Rita; Vitányi, Béla; & impacts-of-atmospheric-dust-and-volcanic-eruptions-a226240#
Szentpéteri, Mária. (2003, May 15). Anthropogenic air pollution ixzz1bfG6E8Qq
in the ancient times. Acta Climatologica et Chorologica, 36–37, 5–15. Pollution Prevention Act. (1990). USA Omnibus Budget Reconciliation
Boubel, Richard W.; Fox, Donald L.; Turner, D. Bruce; & Stern, Act of 1990, Public Law 101–508, 104 Stat. 1388–321 et seq. As
Arthur C. (1994). Fundamentals of air pollution (3rd ed.). San Amended through P.L. 107–377, December 31, 2002.
Diego, CA: Academic Press Limited. Reimers, Nikolai Fedorovich. (1990). Prirodopolzovanie [Nature man-
British Broadcasting Company (BBC) News. (2010, April 15). agement]. Moscow: Mysl.
Iceland ’s volcanic ash halts fl ights in northern Europe. Retrieved Robertson, Campbell, & Krauss, Clifford. (2010, August 2). Gulf spill
October 24, 2011, from http://news.bbc.co.uk/2/hi/8622978.stm is the largest of its kind, scientists say. The New York Times. Retrieved
Business Insider. (2010, April 29). Here’s the questions you should be October 24, 2011, from http://www.nytimes.com/2010/08/03/
asking about the Gulf of Mexico oil spill. Retrieved November 3, us/03spill.html?_r51&hp
2011, from http://articles.businessinsider.com/2010-04-29/ Smith, Keith. (2004). Environmental hazards: Assessing risk and reduc-
green_sheet/29962403_1_oil-spill-exxon-valdez-deepwater- ing disaster (4th ed.). London: Routledge.
horizon#ixzz1bfeoiMyY Stern, Arthur C., & Vallero, Daniel A. (2008). Fundamentals of air
Caprotti, Federico. (2009). China’s cleantech landscape: The renew- pollution (4th ed.). Amsterdam: Elsevier Academic Press.
able energy technology paradox. Sustainable Development Law & United Nations Environment Programme (UNEP). (2011). Forests in a
Policy, 9 (3), 6–10. green economy: A synthesis report. Retrieved November 3, 2011, from
Cleantech Group. (2010). Global Cleantech 100 report: A barometer of the http://www.unep.org/pdf/PressReleases/UNEP-ForestsGreen
changing face of global Cleantech innovation. London: Cleantech Group. Eco-basse_def_version_normale.pdf
Global Volcanism Program. (2011). Large holocene eruptions. United States Environmental Protection Agency (US EPA). (2011a,
Retrieved November 3, 2011, from http://www.volcano.si.edu/ July 19). Noise pollution. Retrieved December 10, 2011, from
world/largeeruptions.cfm http://www.epa.gov/air/noise.html
Government of Alberta, Fish and Wildlife Division. (2011, September United States Environmental Protection Agency (US EPA), Office of
19). Wildlife guidelines for Alberta wind energy projects. Retrieved Water. (2011b). Nonpoint source pollution: The nation’s largest
October 29, 2011, from http://www.srd.alberta.ca/FishWildlife/ water quality problem ( Pointer No. 1 EPA841-F-96-004A).
WildlifeLandUseGuidelines/documents/ WildlifeGuidelines- Retrieved October 16, 2011, from http://water.epa.gov/polwaste/
AlbertaWindEnergyProjects-Sep19-2011.pdf nps/outreach/point1.cfm
Heidorn, Keith C. (2000). Eighteen hundred and froze to death: The The USSR State Committee on Standards. (1977). Nature protection:
year there was no summer. Retrieved October 19, 2011, from Atmosphere. Sources and meteorological factors of pollution, indus-
http://www.islandnet.com/~see/weather/history/1816.htm trial emissions: Terms and definitions (Standard 17.2.1.04-77 [ST
Hirji, Zahra. (2010, July 9). Light pollution: A growing problem for SEV 3403-81]). Moscow: The USSR State Committee on Standards.
wildlife. Discovery News. Retrieved October 30, 2011, from http:// Yang Yuda; Man Zhimin; & Zheng Jingyun. (2005). Jiaqing Yunnan
news.discovery.com/animals/light-pollution-a-growing-problem- da jihung (1815–1817) yu Tanbola huoshan penfa [A serious fam-
for-wildlife.html ine in Yunnan (1815–1817) and the eruption of Tambora volcano].
Kireeva, Anna. (2007, January 23). Oil spill in Komi: Cause and the size Fudan xuebao [Fudan Journal (Social Sciences)], 1, 79–85.
of the spill kept hidden. Retrieved October 24, 2011, from http:// Yarime, Masaru. (2003). From end-of-pipe technology to clean tech-
www.knowmore.org/wiki/index.php?title 5Oil_spill_in_Komi:_ nology : Effects of environmental regulation on technological
cause_and_the_size_of_the_spill_kept_hidden change in the chlor-alkali industry in Japan and western Europe.
McMeekin, Andrew, & Green, Kenneth. (1995). Defining clean tech- Unpublished doctoral dissertation. Maastricht, The Netherlands:
nology. Futures, 28 (1), 37–50. Maastricht University.

Population Dynamics
Population dynamics reflects changes in the numbers of (movement of members from a population). The change
a single species living in a specific area over time. in population size from one time period (t) to another
Population dynamics is complex; in reality, it cannot be (t 1 1) can be described by a mathematical equation that
understood without knowing the processes and context embodies these four components:
at species, ecosystem, and landscape levels. Models of
population dynamics are widely used as sound bases for Nt11 5 Nt 1 (B 2 D) 1 (I 2 E)
ecosystem management to achieve the goal of environ- where Nt is a population size at time (t), B is the num-
mental sustainability. ber of individuals born , D is the number of individuals
dying, I is the number of immigrants, and E is the num-
A population is a group of individuals of a single species

who live in the same place and interact with one
another. Ecologists use the term population dynamics to
ber of emigrants between time t and time t 1 1.
Population growth is regulated by limiting density-
dependent factors. Density dependent factors typically
refer to changes in population abundance through time involve biotic factors, such as the availability of food,
and space under natural or anthropogenic influences. parasitism, predation, disease, and migration. In many
Population dynamics are measured by changes in popu- cases density-independent factors can determine popula-
lation size (the total number of individuals), population tion size. Density-independent factors limit the growth
density (the number of individuals in a certain space at a of the population regardless of the density of the popula-
given time), population dispersion (the spatial arrange- tion. These factors include changes in environment (tem-
ment of individuals within a population), and population perature, sunlight, etc.), natural disasters, or human
age distribution (the proportion of individuals in each age interference.
group). If conditions are favorable, a population can increase
At a basic level, population dynamics can be grouped rapidly until density-dependent factors inhibit its growth.
into three major types: exponential growth, logistic No population can continue growing forever. Even
growth, and metapopulation dynamics. These categories organisms that reproduce very slowly (elephants, rhinos,
are not mutually exclusive, and the same population can and whales, among others), would outstrip their resources
experience each of them at different times. Why popula- if they reproduced indefi nitely. Most often density-
tions grow or decline in size provides insight that is key dependent regulation works through competition for
to sustainable resources management and conservation of survival.
biodiversity.
Exponential Growth
Population Change
Th is model of population growth assumes that essen-
Natural growth of a population is affected by four com- tial resources (food, space, water, etc.), are unlimited
ponents: birth rate, death rate, immigration (the move- and the environment is constant. When biotic and abi-
ment of members into a population), and emigration otic conditions are favorable and individuals in a
313

population reproduce without synchrony at varying by multiplication. Following a population explosion, the
times, changes in its size occur continuously, and a abundant species may take over the ecosystem and
population is said to be undergoing exponential growth. change its dynamics. Populations exhibiting exponential
Based on density independence, rate of growth remains and geometric growth under conditions of unrestricted
constant and can be described by the following logistic resources, absent competition, or other limitations are
equation (note that “d” is basically shorthand for “the most common among invasive and expanding species.
change in”): An example of such population dynamics might be the
rise of the gray seal (Halichoerus grypus) pup production
dN/dt 5 rN
on Sable Island in Nova Scotia, Canada. It has been moni-
The rate of growth (dN/dt) is directly proportional to tored since the early 1960s, and the recent estimate indicates
the size of population (N ) at any instant time; r is the that pup production in this population, now the largest gray
intrinsic rate of increase, and it provides a measure of seal colony in the world, has been increasing exponentially
how rapidly a population can grow. Th is equation pre- at an annual rate of 12.8 percent for four decades (Bowen,
dicts the size (N ) of an exponentially growing population McMillan, and Mohn 2003).
at any time (t), if we have an estimate for r (different val- Knowledge of the described patterns
ues of r describe different exponential curves) and of exponential population growth
know the initial population size. In exponential (see the last two equations
growth models, births, deaths, emigration, above) is very useful in natural
and immigration take place continu- resource management and bio-
ously. This is a good approximation diversity conservation, particu-
for the growth of most biological larly when age-structured
populations. When plotted on a models , which include infor-
graph, exponential growth pattern mation about both the rate
forms a J-shaped curve. of population growth and the
In contrast to the exponential distribution of individuals of
growth, geometric growth occurs different ages, are utilized. They
when individuals in a population help us to calculate the potential
reproduce in synchrony at regular sustainable harvest rate (number
time intervals. Most populations of individuals removed from a
(including people) experience dis- population relative to the number
crete reproductive pulses with available) and determine minimum
overlapping generations. In such population size (the minimum num-
case a population grows in size by a ber of individuals in a given locality
constant proportion of individuals that could be expected to survive in the
during discrete time periods. long-term).
Geometric growth also can be repre-
sented in an equation:
Nt11 5 lNt
Logistic Growth
where l (lambda) is the fi nite rate of increase; and t No population continues to grow indefinitely. Logistic
represents discrete time periods . Depending on the growth is found in a population that increases initially and
value of l or r, a population growth pattern might be then stabilizes at a maximum population size. Logistic
different (1) when population is stable (represented by growth is based on several assumptions: age distribution is
l 5 1 and r 5 1); (2) when population is shrinking (repre- stable, there is no immigration or emigration, relationship
sented by l , 1 and r , 1); and (3) when population is between size and the rate of growth is linear, and density
growing (represented by l . 1 and r . 1). When plotted depresses the rate of growth. The logistic growth model
on a graph, the geometric growth pattern, like the expo- accounts for carrying capacity. Each population has its own
nential growth pattern, forms a J-shaped set of points (slow carrying capacity—the maximum number of individuals a
to rise, then increasing sharply on the graph). Because geo- given environment can sustain. The logistic model of pop-
metric and exponential curves overlap and are almost simi- ulation growth can be defined as an equation:
lar in form, both types of growth are occasionally lumped
dN/dt 5 rN (1 2 N/K)
together for simplicity as “exponential growth.”
A population explosion (sometimes called population where dN/dt is the rate of change in population size at
bomb) may result when there is a rapid growth of a species time t; N is the number of individuals in the population

POPULATION DYNAMICS • 315
at a given time; r is per capita population growth rate more rapidly than expected from exponential growth.
under ideal conditions; and K is carrying capacity. Using the ecological footprint approach, it has been esti-
The rate of population growth is based on density- mated that Earth could support about 4.6 billion people
dependent effects and is susceptible to change. When for a long time at a moderate level of consumption (Ewing
the number of individuals in a population is small, most et al. 2009), but human population will approach 7 bil-
resources are unutilized (dN/dt < r), with “< ” meaning lion in 2011, and it is projected to increase from 8 to
approximately equal to. A population increases until N is 10.5 billion by 2050 (UNDESA 2009). The degree to
equal to 0.5K, after which the rate of growth declines as which the growing human population affects the envi-
density increases because resources (food, space, water, ronment depends on the amount of resources used by
etc.), begin to be in short supply. Once a population each individual and the total number of individuals. The
reaches its carrying capacity, most resources are utilized, ability to sustain exploitation of natural resources by the
growth rate is zero, and population size does not change human population to meet the growing needs of current
(N < K, dN/dt 5 0). The sigmoidal or S-shape curve is and future generations is a main focus of environmental
a characteristic feature of logistic growth. sustainability.
A population extinction (sometimes called population
collapse) occurs when mortality, for whatever reason, is
higher than natality (birthrate). If a population is too Metapopulation Dynamics
small (N . K), it may decline, and eventually it can
become extinct. Decrease in population size can further A metapopulation is a group of spatially separated popula-
lead to the emergence of poor genetic pools, causing tions of the same species that are linked by dispersal, or
weakness and a further decline in population; this pro- species movement, and interact at some level. The classic
cess is known as the Allee effect. A population can be concept of metapopulation dynamics, which is a balance
driven to extinction not only by the demographic and between colonization and extinction, was formulated
genetic factors described above, but also by environmen- mathematically by Richard Levins (1969):
tal fluctuation (floods, fires, windstorms, etc.) and disease
dP/dt 5 cP(1 2 P) 2 eP
outbreaks.
A classic example of population collapse is the where P is fraction of habitat patches that are occupied
decline of the northern Atlantic cod (Gadus morhua) in at any given time (t); c is a rate of patch colonization; and
Newfoundland and Labrador, Canada. For centuries it e is a rate of patch extinction. Patch is a relatively homo-
made up the most lucrative fish trade between North geneous unit of the landscape that changes and fluctuates
American and European countries, but since 1984 cod over time.
stock has declined by 97 percent, with a loss of 17 per- The metapopulation concept derived from thinking
cent of the harvest per year, due primarily to overex- about the influence of area and isolation on colonization
ploitation (Hutchings and Myers 1994). In 1992, the and extinction. Habitat islands suffer periodic, predict-
Canadian government declared a moratorium on cod able extinction; however, they might be recolonized by
fishing because of devastatingly low cod stocks. In fact, dispersers from neighboring islands. If migration is
even twenty years later cod had not achieved a discern- greater than extinction, population persists. Th is formed
able recovery in abundance (Hutchings and Reynolds the current framework for source-sink system and meta-
2004). The risk was posed by allowing populations to population dynamics (Hanski and Gilpin 1991). Source
decline to extraordinarily low levels. Th is clearly dem- is a high-quality habitat that produces surplus and sup-
onstrates the need for the accurate estimation of per ports long-term population (growth rate . 0); sink is a
capita population growth rates, which can have impor- very low-quality habitat that, on its own, is not able to
tant socioeconomic and ecological consequences, even support a population that cannot replace itself without
though ecosystems managers often ignore it. immigration (growth rate , 0). Therefore, source-sink
Ecological footprint, which is the total area of produc- dynamics means that a source population grows to maxi-
tive ecosystems required to support a population, was mum density, and surplus individuals migrate to a sink
suggested to measure the environmental impact of popu- population. Growth models indicate that source popula-
lation (Rees 1992). Th is concept is being used in relation tions display increased growth rates during establish-
to human population growth. The study of human ment and increased stability around their carrying
demography goes back to the eighteenth century. Thomas capacities (Neal 2004).
Robert Malthus (1766–1834) was an early economist who Metapopulation theory suggests that habitat vari-
reached the conclusion that human population tends to ability is important for population persistence.
grow until it outstrips its available food supply. Movement between sources and sinks of a metapopula-
Historically the human population has increased even tion could be as vital as resource distribution, which is

currently a primary focus for landscape managers and See also Carrying Capacity; Complexity Theory;
conservationists. Th is idea was developed further in Disturbance; Extreme Episodic Events; Food Webs;
studies on a highly endangered species, the Asian tiger Global Climate Change; Keystone Species; Outbreak
(Panthera tigris). A group of ecologists used long-term Species; Plant-Animal Interactions; Regime Shifts;
demographic data combined with a GIS-based model Resilience; Shifting Baselines Syndrome
(a geographic information system merges cartography,
statistical analysis, and database technology) to identify
potential corridors to increase dispersal, develop strate- FURTHER READING
gically placed transit refuges, and provide recommenda- Begon, Michael; Mortimer, Martin; & Thompson, David J. (1996).
tions for off-reserve land management (Wikramanayake Population ecology: A unifi ed study of animals and plants (3rd ed.).
et al. 2004). Oxford, UK: Blackwell Science.
Protecting source populations while subsequently Bowen, William D.; McMillan, Julie; & Mohn, R. (2003). Sustained
exponential population growth of grey seals at Sable Island, Nova
increasing dispersal rates between sources and sinks Scotia. ICES Journal of Marine Science, 60 (6), 1265–1274.
through constructing conservation landscapes was proved Cain, Michael L.; Bowman, William D.; & Hacker, Sally D. (2011).
to be an effective conservation method. Ecology (2nd ed.). Sunderland, MA: Sinauer Associates.
Cappuccino, Naomi, & Price, Peter W. (Eds.). (1995). Population
dynamics: New approaches and synthesis. San Diego, CA: Academic
Press.
Implications Ebert, Thomas A. (1999). Plant and animal populations: Methods in
demography. San Diego, CA: Academic Press.
Population dynamics is the branch of ecology that studies Ewing, Brad, et al. (2009). The ecological footprint atlas 2009. Oakland,
CA: Global Footprint Network.
changes in population abundance under the influence of Hanski, Ilkka, & Gilpin, Michael E. (1991). Metapopulation dynam-
biological and environmental processes. Population ics: Brief history and conceptual domain. Biological Journal of the
dynamics forms a theoretical basis for understanding and Linnaean Society, 42 (1–2), 3–16.
managing many environmental issues, particularly Hutchings, Jeff rey A., & Myers, R. A. (1994). What can be learned
from the collapse of a renewable resource? Atlantic cod, Gadus
related to sustainable resources use and conservation of morhua , of Newfoundland and Labrador. Canadian Journal of
biodiversity. Fisheries and Aquatic Sciences, 51, 2126–2146.
Population models are very important for management Hutchings, Jeff rey A., & Reynolds, John D. (2004). Marine fish popu-
of commercial wildlife species. They also play a key role in lation collapses: Consequences for recovery and extinction risk.
BioScience, 54 (4), 297–309.
creating management plans for both invasive and endan- Levins, Richard. (1969). Some demographic and genetic consequences
gered species. Population dynamics helped to shift the of heterogeneity for biological control. Bulletin of the Entomological
view of ecosystems from a nonequilibrium model to one Society of America, 15, 237–240.
that is in constant change. As a result, population dynam- Neal, Dick. (2004). Introduction to population biology. Cambridge, UK:
Cambridge University Press.
ics influenced many approaches to biodiversity conserva- Rees, William E. (1992). Ecological footprints and appropriated car-
tion from preserving natural areas to inf luencing rying capacity: What urban economics leaves out. Environment and
ecosystem processes such as fire, herbivory, water regimes, Urbanization, 4 (2), 121–130.
and nutrient flow. Overall, understanding population United Nations Department of Economic and Social Affairs
(UNDESA), Population Division. (2009). World population pros-
dynamics helps us make decisions on how to best meet an pects: The 2008 revision: Highlights (Working Paper No. ESA/P/
overarching goal of environmental sustainability. WP.210). New York: United Nations.
Wikramanayake, Eric, et al. (2004). Designing a conservation land-
Vladimir V. KRICSFALUSY scape for tigers in human-dominated environments. Conservation
University of Saskatchewan Biology, 18 (3), 839–844.

Rain Gardens
Stormwater runoff that flows over impervious surfaces pollutants, keeping them out of receiving waters. Green
picks up contaminants that find their way into lakes space, whether forests, grass, or wildflowers, likewise
and streams. Stormwater runoff can cause flooding, allows rainwater to soak into the ground, replenishing
erosion, destroy fish and wildlife habitat, and cause groundwater and reducing erosion and subsequent sedi-
sewer overflows. Rain gardens, which are landscaped mentation of lakes and streams. Microbes in the soil help
depressions filled with plants, bioswales, and water gar- to break down pollutants carried by stormwater. These
dens, can be used to reduce the damaging effect of types of ecosystem services can be created as part of the
urban stormwater runoff while creating beauty and landscaping during construction of buildings, homes, or
wildlife habitats. even parking areas. By building rain gardens, homeown-
ers can help restore some of the functions lost due to
destruction of native wetlands and other vegetation.
S now and rainwater falling from the clouds and onto

the ground pick up oils, grease, and heavy metals; salt
used to maintain roadways in winter; fertilizers and pes- Rain Gardens
ticides from urban lawns; and silt from eroding soils.
Precipitation transports these contaminants to bodies of Rain gardens are simply landscaped depressions and are
water by way of storm drains. Stormwater runoff is the usually planted with native wildflowers and wetland
number one threat to lake and stream water quality. plants that soak up rainwater and snowmelt from drive-
Numerous innovative stormwater management tech- ways, parking lots, sidewalks, sump pumps, and roof
niques create beauty, sustain wildlife habitat, and provide downspouts. Rain gardens are created as shallow, low
groundwater recharge while also improving water quality, areas and are designed and engineered to catch and absorb
storing floodwater, and slowing the flow of stormwater stormwater. Rain gardens provide a mechanism for storm-
runoff. Emerging best practices for addressing stormwater water to filter into the ground instead of being transported
concerns are moving away from piping stormwater to by storm sewers to rivers and lakes, where it carries pol-
water bodies and moving toward slowing and soaking lutants from streets, parking lots, and lawns, affecting fish
water into the adjacent soils. One of these emerging populations and water quality. Development of housing,
stormwater management techniques is the rain garden. shopping areas, and freeways removes the earth’s ability
to cleanse stormwater naturally and creates impervious
surfaces that direct stormwater into water bodies.
Ecosystem Services
Natural ecosystems, including wetlands and the porosity Constructing a Rain Garden
of undeveloped green spaces, provide a natural way to
address stormwater. Wetlands act like giant sponges with Rain gardens can be very large, designed by engineering
the ability to absorb and hold stormwater and provide the fi rms, and incorporated into construction projects. For
ecological service of reducing floods. Wetlands also work example, the University of Minnesota’s Duluth campus
as natural fi lters; wetland plants take up or break down created a one-third-acre rain garden that can hold up to
318

RAIN GARDENS • 319
227 liters of water coming off a parking lot. Rain gardens capture stormwater in rain gardens as well as in rain bar-
also can be as small as a 3 square meter area designed to rels for later use in their gardens. To comply with the US
catch rainwater from a home gutter. Home rain gardens Environmental Protection Agency’s mandate to address
are usually in the 3 square meter range and from 15 to 30 stormwater issues, Kansas City chose rain gardens as one
centimeters deep. These shallow ponds hold water from of their strategies. The city’s goal of building 10,000 rain
several hours to several days depending on the soil type, gardens has mobilized the community to voluntarily build
and then dry out in between rain events. Rain gardens backyard rain gardens. Rain gardens have been planted at
are not ponds, and because they dry out, they are not the city hall as well as in other public and private proper-
breeding grounds for mosquitoes. A home rain garden ties. Engaging citizens in a community-wide rain-garden
can be constructed easily in a day without professional project has the dual benefits of educating the citizenry
help. Plants are the main expense of a rain garden. about stormwater issues and combating the problem with
The objective of a rain garden is to encourage infiltra- hands-on construction.
tion of rainwater, and therefore it should not be placed There are many benefits of building rain gardens. For
in an already wet location. A homeowner should locate example, they are far less expensive than traditional storm-
the rain garden at least 3 meters away from the house so water infrastructures such as stormwater detention basins
that the rainwater does not seep into the foundation. (often seen in freeway interchanges and shopping centers)
Considerations include other landscaped areas around the and curb-and-gutter street construction. Rain gardens slow
property, the view from both inside and outside of the overland water flow resulting in less soil and stream-bank
house, and the proximity to the house. A rope or garden erosion, related stream sedimentation, and improved water
hose can create the outline of the garden. Soil type is also quality of local lakes and streams. Because rain gardens
a factor in determining the location and size of the gar- allow water to soak into the ground, there is greater
den. Clay soils have the slowest infiltration rate, and rain recharge of groundwater aquifers. Rain gardens help restore
gardens need to be larger to accommodate this, or the soil native ecologic functioning, increase biological diversity,
needs to be amended by adding sand or a sandy-loam mix. and provide habitat for birds, butterfl ies, and insects.
A truly rewarding aspect of constructing a rain garden Finally, rain gardens improve neighborhood beauty,
is that when it fi lls with water, it attracts birds and other increase civic involvement, and provide opportunities for
animals that come to drink and bathe in it. environmental education and community building.
Plants Water Gardens

Choosing plants for a rain garden is similar to selecting
Water gardens differ from rain gardens in that they do
them for other gardens; height, sun requirements, and
not dry out in between rain events. Water gardens are
color need to be taken into consideration. A rain garden
constructed ponds of varying sizes. They range in depth
is unique, however, in that the plants must be able to tol-
from a few centimeters at the edges to a half meter (or
erate both saturation and dry periods, and if collecting
deeper) in the middle and support plants that live in
runoff from streets, must also be salt tolerant. Herbaceous
water. Water gardens can be designed to trap sediment
wildflowers, wetland plants, grass, bushes, and trees can
carried by stormwater, and the plants can take up or
all be part of the landscape of a rain garden. Some rain
break down pollutants in the same ways rain gardens do.
gardens are planted with species that will attract and feed
A water garden differs from a rain garden in its constant
butterfl ies, creating twice the benefit of such landscap-
source of water and use of aquatic plants.
ing. Once these plants become established, the garden
The restoration of ecosystem services, stormwater
requires little weeding. Moss-covered rocks can conceal
cleansing, and public education are goals behind the
the pipes that bring the water in to the garden. Local
Bayfront Stormwater Garden project in Duluth,
extension service offices or garden centers can provide a
Minnesota. The project was designed through a colla-
list of plants that will work for a specific location.
borative process among local artists, engineers, plant
ecologists, and the Sweetwater Alliance, a nonprofit orga-
Making an Impact with Rain Gardens nization with a mission to raise water awareness through
the arts and science. The designs for this project integrate
Creating an individual rain garden may seem like a tiny art, sculpture, native aquatic and wetland plants, cultural
step toward correcting environmental damage and human history, and environmental education focused on the eco-
impacts, but collectively they can provide great benefit to a system functions of wetlands in stormwater management.
community. A project in Kansas City, Missouri, called The project is moving forward but is tied into another
10,000 Rain Gardens, has brought citizens together to development on the site, which has not yet been approved

by the city council. Upon completion, this project will See also Ecosystem Services; Groundwater Management;
cleanse stormwater that enters the St. Louis River from Human Ecology; Hydrology; Irrigation; Landscape
Interstate 35 as well as the surrounding downtown areas. Architecture; Pollution, Nonpoint Source; Road Ecology;
Stormwater pumped to the top of a nearly 4-meter-high Stormwater Management; Urban Agriculture; Urban
turtle (locally designed and created) will trickle down to Forestry; Urban Vegetation; Water Resource Management,
water ferns and wetland plants. The water then moves Integrated (IWRM)
through constructed concrete wetland plant ponds that
create the outline of the Great Lakes. Each Great Lake is
planted in one wetland plant species that when in flower
will be visible from the hills above the waterfront. A drag-
FURTHER READING
onfly’s wings forms both a bridge and a plaza for people to
10,000 Rain Gardens Kansas City. (2010). Homepage. Retrieved
gather. Local artists will create the aesthetic elements of November 4, 2010, from http://www.rainkc.com/
the Bayfront Stormwater Garden, and children from local Agar, Clint, & Reitan, Cheryl. (2005). Rain garden handles stormwa-
schools will help make clay tiles to line the walkways and ter runoff. Retrieved October 27, 2010, from http://www.d.umn.
edu/unirel/homepage/05/rain.html
give voice to their concerns for water quality.
Bannerman, Roger, & Considine, Ellen. (2003). Rain gardens: A
Ecological art restores degraded habitat while also how-to manual for homeowners. Madison: University of Wisconsin
educating the community about environmental degrada- Extension.
tion. Such community-based projects expand the voices Brookner, Jackie. (2009). Urban rain: Stormwater as resource. San
Rafael, CA: Oro Editions.
engaged with habitat restoration projects and integrate
Dunnett, Nigel, & Clayden, Andy. (2007). Rain gardens: Managing
many different professionals and laypersons into the art water sustainability in the garden and designed landscape. Portland,
and restoration process. OR: Timber Press.
Jacoby, Jill B., & Ji, Xia. (2010). Artists as transformative leaders
for sustainability. In Benjamin W. Redekop (Ed.), Leadership
Outlook for environmental sustainability (pp. 133–144). New York:
Routledge.
As people become more aware of the dangers of stormwater Schmidt, Rusty; Shaw, Daniel; & Dods, David. (2007). The blue thumb
guide to raingardens: Design and installation for homeowners in the
runoff and the pollutants it carries to bodies of water, they upper Midwest. River Falls, WI: Waterdrop Innovations.
will find ways to mitigate the damage. This action may take Shaw, Daniel, & Schmidt, Rusty. (2003). Plants for stormwater design:
the form of community-wide projects or of individual Species selection for the Upper Midwest. St. Paul: Minnesota Pollution
choices such as building home rain gardens. Whatever they Control Agency.
Torgalkat, G. & Schwarz, T. (2010). Water Craft. Cleveland, OH:
do, people in groups or by themselves can make an impact Kent State University.
in providing clean, fresh water for their environment. US Conference of Mayors. (2007). Kansas City 10,000 rain gardens
draw citizens into regional fight against water pollution. Retrieved
Jill B. JACOBY October 27, 2010, from http://www.rainkc.com/index.cfm/
Sweetwater Alliance, Duluth, Minnesota, USA fuseaction/articles.detail/articleID/11/index.htm

Reforestation
Reforestation is considered as a means of managing cli- water bodies as well through aquifer recharge, storage, and
mate change, both by helping reduce carbon dioxide recovery, and recycling inland rainfall. Tree planting and
emissions and creating sustainable forests that con- maintaining topsoil are essential for rebuilding natural
tribute generally to healthy ecosystems. Reforestation habitats for plants and wildlife.
occurs throughout the world through natural and arti-
ficial techniques, and involves complex management Reforestation around
issues and controversies involving land use and viability.
Nonetheless, it promises to be an important arena of
the World
action into the next century.
Globally, there are 4 billion hectares (9,884,215,240
acres) of forest area. Five countries—Brazil, Canada,
A t its most basic, reforestation is defined as the rees-

tablishment of a forest in a land area that was for-
merly forested. In technical terms, reforestation is the
China, the Russian Federation, and the United States—
account for approximately half of the forested area; there
are ten countries that have no forest, and fifty-four that
natural and/or artificial restocking and regeneration of have less than 10 percent forestland (FAO 2010).
trees in recently depleted forests and woodlands as a Globally, from 1998 to 2007, the annual average rate of
result of natural or man-made activities, such as fi res, afforestation and reforestation was 10 million hectares
storms, flooding, landslides, insect infestations, volcanic per year (24,710,538 acres/year). These involved predom-
eruptions, slash-and-burn clearing, logging, or clear- inately indigenous species that were both afforested
cutting. (approximately 71 percent) and reforested (approximately
Natural reforestation or natural regeneration arises 64 percent). According to the Food and Agriculture
from stump sprouts (shoots), root sprouts (suckers), and Organization (FAO) of the United Nations (2010), the
natural seeding. Artificial reforestation is the direct total global reforested area was 5.3 million hectares
seeding or planting of trees through ground and aerial (13,096,585 acres) in 2005. These statistics include
seeding via machine or by hand, or both. Reforestation 163 countries, which account for approximately 95 per-
should not be confused with afforestation, which is cent of the forested area and 98 percent of the planted
the restoring and re-creating of non-forest land to a new forest area. (These figures are noted by the FAO report as
forest, or a forest that was deforested many years ago being from the years 2003 to 2007, but are referred to as
from human activities, such as agriculture or habitation. 2005 figures.) There is considerable variability among the
Reforestation is beneficial to humans and ecosystems 5.3 million reforested hectares efforts across the planet.
because it improves air quality by reducing dust and captur- Table 1 on page 322 shows the reforested hectares by
ing and storing the greenhouse gas carbon dioxide through region. (As a point of comparison, Europe’s nearly 1 mil-
a biological process called biosequestration. Planting trees lion reforested hectares, or nearly 10,000 square kilome-
is critical in preventing flooding and erosion by reducing ters, is approximately the size of Lebanon.)
the loss of topsoil and preventing increased sedimentation Worldwide, ten countries account for 82 percent of
in streams, rivers, and wetlands. Reforestation benefits reforested hectares, or 4,392,412 of the 5,348,017 million
321

Table 1. Reforested Land by Region (2005) hectares (19 million acres). Even if including the 5.6 mil-
lion afforested hectares (13.9 million acres), there are
Continent Hectares Acres about 2.0 million more hectares (4.9 million acres) defor-
ested than reforested or afforested. The global South
Africa 237,123 585,943
accounts for the majority of forest loss, with South
Asia 2,478,801 6,125, 250 America (4.0 million hectares [8.9 million acres]) and
Europe 992,540 2,452,619 Africa (3.4 million hectares [8.4 million acres) account-
North America 835,815 2,109,822 ing for a little over half of global forest loss. Forest utili-
zation in the less-developed countries is a result of rapid
Central America
urbanization, population growth, and economic demands
and the Caribbean 22,392 55,331
for forest products. European forests have continued to
Oceania 37,423 92,474 expand, while those in North and Central America have
South America 722,527 1,785,403 remained stable. Australia has been losing forest since
2000 as a result of considerable drought-related issues
Source: FAO 2010.
and forest fi res (FAO 2010).
hectares in 2005. Table 2 shows the distribution of the Management Challenges

reforested areas by the top ten countries. of Reforestation
Comparing Deforestation, A main reforestation management challenge is to be
Reforestation, and Afforestation cognizant of the reasons for the forest loss or degrada-
tion. For example, forest loss due to natural events
Although reforestation is a significant global activity, (e.g., fi res, floods, insect infestation) or human-caused
deforestation has been outpacing it for decades. events (e.g., logging, livestock grazing) result in differ-
Deforestation accounted for an annual loss of 16.0 mil- ent management challenges. Fully understanding the
lion hectares (39 million acres) of forest through the reasons for the forest loss or degradation allows better
1990s and dropped to 13.0 million hectares (32 million policy and management decisions. Current emphasis is
acres) annually in the fi rst decade of the twenty-fi rst on adding more trees rather than addressing the under-
century. The 5.3 million reforested hectares (13 million lying causes of the forest loss and degradation. The sci-
acres) minus the 13.0 million hectares (32 million acres) ence of forestry management should drive government
loss to deforestation results in a net loss of 7.7 million and agency policy and work in conjunction with local
populations as much as possible to address their land
needs. The management challenge is to balance biodi-
versity and economic benefits and to reduce ecological
Table 2. Top Ten Reforested Areas by Country
degradation, such as flooding and erosion, all of which
Country Hectares Acres are factors in creating sustainable and healthy forests
and ecosystems.
India* 1,480,000 3,657,159 Policy makers’ decisions to plant trees for primarily
United States 606,000 1,497,458 economic benefits without considering other forest
Brazil* 553,000 1,366,492 health variables can result in significant management
challenges. Reforestation illustrates the manifest and
Russian Federation 422,856 1,044,899 latent effects of large-scale policy decisions, which can
China 337,000 832,745 have both positive and negative eff ects on the local
Vietnam 327,785 809,974 populations, ecosystems, and forests. Th e manifest
effect of reforestation policy is the reforesting of a new
Mexico 247,600 611,832
or previously forested area. The number of trees planted
Indonesia 153,941 380,396 can be quantified to demonstrate a successful policy, if
Finland 133,680 330,330 the number of trees is the statistic of interest. Th e
Sweden 130,550 322,596 methods used to plant or replant trees can affect the
forest and ecosystem health, however, if not managed
Source: FAO 2010. carefully. The latent effects of a trees-only reforestation
*India and Brazil figures include afforestation (the practice of planting policy can result in the creation of a monoculture and
trees in areas where trees have not existed before). reduced biodiversity.

REFORESTATION • 323
A monoculture can result in high yields, growth, and There are many trees that regenerate by root sprouts,
returns if reforestation efforts use offspring of genetically such as willows, cottonwoods, black locust, beech, and
superior trees. Properties of monocultures differ, however, wild cherries. Pines reproduce through natural seeding or
depending on whether they result from natural or artifi- when seeds from the parent tree fall from the cones to the
cial reforestation. Natural regeneration takes place over ground and possibly regenerate, depending on habitat,
many years and results in a mix of young, mature, old, and temperature, and soil conditions. If the parent pine tree
dead trees. This allows a polyculture of diverse plant and is left from a logging operation, it will need to be har-
animal species to flourish, in contrast to the artificial vested after the seedlings have been established, because
method of seeding or planting one species in a short time pines’ optimal growth is when they receive the same
window, which prevents other vegetation from growing to amount of sunlight and are approximately the same age.
support the biodiversity needed for a healthy forest. Lack Although natural regeneration is a predictable process
of biodiversity makes trees vulnerable to insect infesta- from a reproductive standpoint, the success of natural
tions, pathogens, undesirable environment conditions, or seed trees is less predictable.
a combination of all three. In a mono- Artificial reforestation is commonly what people per-
culture, a single undesirable event ceive as reforestation. Relative to natural reforesta-
can completely degrade or even tion, artificial methods provide more control or
destroy the forest. active management of tree regeneration.
On the positive side, mono- Th e artifi cial process also allows for
cultures allow logging opera- matching particular tree species to
tions to be industrialized, the available soil and site condi-
because the trees are the tions. Artifi cial reforestation is
same size and can be clear- based on direct seeding and
cut. But the artificially pro- planting. Seed planting is gener-
duced monoculture and ally considered more successful
subsequent logging can hin- than other natural or artificial
der the growth of vegetation seeding methods because
needed for a healthy forest planting allows for greater
that supports birds, plants, monitoring and control over the
and wildlife. So the chal- seed type (e.g., genetic charac-
lenge in managing a forest is teristics), soil conditions, geo-
in creating a sustainable for- graphic location, and germination
est rather than just a tree conditions. Successful seed plant-
plot. Small-scale clear-cuts, ing, however, is dependent on hav-
followed by a burn, provide a ing the correct or optimal soil
process for a greater variety of conditions, geographic location, and
trees and species to thrive, thus germination conditions. Without these
preventing tree monoculture and optimal conditions, results of seed plant-
increasing biodiversity. ing are considered marginal.
Direct seeding is the planting of tree seeds by hand or by
machine. It is considered to be less successful and requires
Reforestation Methods more seeds than planting. Direct seeding is not widely used
and Approaches and is mostly limited to specific areas where natural regen-
eration or planting is not possible due to cost, poor soil con-
Natural regeneration varies depending on the species of ditions, or inaccessible terrain. Direct seeding is, however,
trees, but it is a predictable process. The three most quick and inexpensive. Mechanical row, cyclone, or spot
common natural methods of tree regeneration are seeders are used for direct seeding small areas. Seeds can be
stump sprouts (shoots), root sprouts (suckers), and nat- hand sown with a hand-cranked seeder or a cyclone seeder
ural seeding. Stump sprouts or shoots are common or by planting rows at regular intervals. Heavy seeds are
among most hardwoods, such as oak, maple, and yel- placed in the ground by hand. Large areas of several hun-
low poplars, and require other vegetation to be part of dreds of acres can be sown by airplanes or helicopters.
the forest environment. Stump sprouts arise out of For direct seeding, germination conditions must be
burned or cut stumps and generally form in clumps. A carefully considered. Direct seeding works best with
root sprout is a clone that sprouts from the roots of the lightweight seeds in lowlands with moist soil. In dry
parent tree. or sandy soils, seeds need to be covered with about

1.3 centimeters of soil. In grazing areas, the livestock can Environmental Protection Agency (2009), however,
trample the seedlings, and seeds in steep-sloped areas are notes that a two-person household annually releases
prone to being washed away by rainfall. 18,820 kilograms of CO2 into the atmosphere. So a two-
The second method of artificial reforestation is plant- person household would need to plant around 138 of
ing live trees. This involves the transplanting of one-year- those apple trees or 67 of those oak trees to offset their
old nursery-grown seedlings to a specified location. The annual CO2 release of direct and indirect fossil-fuel
species of trees used are based on genetic qualities of burning.
growth characteristics and rates of growth. Planting is Some researchers and scientists argue that reforesta-
more labor intensive and expensive than seeding, because tion will have only limited effects on climate mitigation
it involves more ground preparation, such as burning and because of the volume of CO2 still released by house-
chemical treatment, as well as planting the seedlings. A holds. In addition, reforestation and its associated carbon
mix of manual and mechanical methods can be employed sink vary by geographic location, and reforesting certain
for planting, including hand-scalping, chemical treat- areas can reduce or enhance the planet’s albedo—its abil-
ment, and using a tractor. All these methods seek to ity to reflect sunlight. For example, large-scale reforest-
reduce competitive vegetation in the transplant area. ing of boreal forests would result in a forest canopy
Hand-scalping involves clearing a 3- to 4-square-foot overtopping the previously snow-covered area, and this
space and placing a mulch mat around the seedling. would reduce the reflection of sunlight (decrease albedo)
Chemical treatment involves spraying an herbicide and and trap more heat that would otherwise be reflected by
sometimes a pesticide prior to transplanting, to eliminate snow-covered surface. In contrast, reforesting a tropical
competitive vegetation. The mechanical method gener- region would result in more cloud formations or cloudi-
ally involves a tractor that plows, disks, or rototills the ness, which would reflect more sunlight into the atmo-
area prior to planting. The drawbacks here are that trac- sphere (increase albedo) rather than penetrating the
tors can compact and remove topsoil and encourage com- ground surface. Many researchers have claimed that
petitive vegetation. increased reforestation in the tropical regions has the
In any natural or artificial method of reforestation, greatest effect on reducing CO2.
seeded trees and seedlings compete with other vegetation Some people have argued that the scientific commu-
for water, sunlight, and nutrients. Therefore, for the first nity is not accurately addressing this greenhouse gas.
three to five years, regular removal of undesired vegeta- Specifically, they argue that the CO2 measurement
tion should be part of a successful reforestation manage- equipment is limited in measuring plant biomass, there is
ment effort. This requires monitoring seed and seedling lack of a standard instrument or process for determining
growth as well, since tree seeds are vulnerable to being CO2 levels, and methodological and sampling errors have
eaten by birds and other wildlife, while seedlings are vul- resulted in inconsistent results from year to year. Thus,
nerable to being eaten by rodents, rabbits, deer, and more. creating better scientific equipment, instruments, and
methodologies is important in helping policy makers
formulate effective reforestation and forest management
Reforestation Controversies plans. These tools can also help resolve the debate of
and Debates whether reforestation reduces greenhouse gases.
Reforestation programs may also compete for land
The controversies and debates surrounding reforestation with food production, livestock grazing, and human
focus on whether, or to what extent, reforestation habitation. The controversy revolves around appropriate
(1) reduces greenhouse gases; (2) competes with food utilization of the land. Some people argue that reforesta-
production, livestock grazing, and human habitation; and tion lets an area remain idle when it could be used for
(3) results in increased fire risk. economic activities such as agriculture and livestock
The main debate within the environmental and scien- production. Letting a forest grow also competes with
tific communities is to what extent reforestation reduces development of human habitation and settlements. In
greenhouse gases. Although there is little doubt that less-developed countries and regions with limited eco-
reforestation can reduce carbon dioxide (CO2) in certain nomic activities, the practice of reforestation is not viable,
areas, the debate centers on how effective trees are at because communities are not paid for the services pro-
removing CO2 gas in the short term and long term. On vided by standing forests.
the positive side of the debate, reforestation creates Finally, some forest managers and policy makers are
immediate land carbon sinks that reduce CO2. For exam- concerned that reforestation will lead to a higher risk of
ple, a mature apple tree lowers CO2 by approximately 161 forest fi res; the reasons for this are that tree harvest rates
kilograms annually, while an oak tree 46 centimeters in are lowered and fire-suppression activities, such as brush
diameter lowers CO2 by 282 kilograms annually. The US thinning, will not occur. The increased forest biomass

REFORESTATION • 325
and prolonged annual drier seasons in some regions have Reforestation efforts should focus on building a
significantly increased the frequency of and potential for healthy forest or a biologically diverse polyculture rather
fires. In addition to their danger, forest fi res release large than a monoculture tree plot. In addition, forests need
amounts of CO2 into the atmosphere. Typically, the new better fi re management plans that include reduction
vegetation following the fi re offsets the CO2 release. It efforts, such as thinning and limited or controlled burns.
should be noted, however, that the frequency of forest In all, reforestation is an important tool in preventing or
fires coupled with warmer temperatures and reduced pre- controlling climate change and is technically simpler
cipitation can lead to more carbon being released than is than many other means. The countries with the largest
recovered by the new vegetation after the burn. forests are expected to be world leaders, but will require
motivations, including public support, to drive policy
Reforestation Outlook changes and proactive solutions.
Andrew J. HUND
The reforestation outlook for the next five to ten years is Independent scholar, Excursion Inlet,
mostly positive because of the policies, projects, and Alaska, USA
increased awareness campaigns continually being devel-
oped. Projects include global-scale programs such as the See also Best Management Practices (BMP); Biodiversity;
United Nations’ Billion Tree Campaign and country- Ecological Restoration; Ecosystem Services; Fire
wide programs such as Peru’s National Reforestation Management; Global Climate Change; Natural Capital;
Campaign, which seeks to plant 60 million trees along Nutrient and Biogeochemical Cycling; Plant-Animal
the Rímac River. As well, corporate-sponsored initia- Interactions; Population Dynamics; Refugia; Resilience;
tives, such as the PRAIS Corporate Communications Rewilding; Soil Conservation; Species Reintroduction;
and PRAIS Foundation “Millions of People, Millions of Tree Planting; Wilderness Areas
Trees” campaign, are increasing. These efforts will
increase awareness of reforestation beyond the next
decade. FURTHER READING
At the same time, reforestation efforts face challenges Food and Agriculture Organization of the United Nations (FAO).
at the local, state, and global levels. First, many refor- (2010). Global forest resources assessment 2010: Main report (FAO
Forestry Paper 163). Retrieved March 21, 2011, from http://www.
estation efforts center on the economic benefits of tree
fao.org/docrep/013/i1757e/i1757e00.htm
regeneration—a focus that generally comes at the expense Kreike, Emmanuel. (2010). Deforestation and reforestation in Namibia.
of sustainable forests. But if sustainability was the focus of Princeton, NJ: Markus Wiener Publishers.
the policies instead of economics, the current defor- Montagnini, Florencia, & Finney, Christopher. (2011). Restoring
degraded landscapes with native species in Latin America :
estation levels would come into balance with the refor-
Environmental remediation technologies, regulations and safety.
estation/afforestation efforts. Th is significant change of Hauppauge, NY: Nova Science Publishers.
focusing on sustainability in forestry would require con- Moore, Patrick. (2000). Green spirit: Trees are the answer. Vancouver,
siderable political and social will. Canada: Greenspirit Enterprises.
Snelder, Denyse, & Lasco, Rodel. (Eds.). (2010). Advances in agro-
Next, the view of reforestation as single solution for
forestry: Vol. 5. Smallholder tree growing for rural development and
climate mitigation is not possible given the CO2 per cap- environmental services: Lessons from Asia. New York: Springer.
ita utilization in more-developed countries. It is impor- Stanturf, John, & Madsen, Palle. (Eds). (2004). Restoration of boreal
tant for policy makers to initiate and enforce policies that and temperate forests. Boca Raton, FL: CRC Press.
United States Environmental Protection Agency (US EPA). (2009).
reduce the amount of CO2 entering the atmosphere from Global warming wheel card. Retrieved August 29, 2011, from
all sources, so as not to rely exclusively on reforestation to http://www.epa.gov/climatechange/emissions/downloads/wheel_
reduce CO2. instructions.pdf

Refugia
A refugium is a geographical area where a population, geographical areas resulted in both higher numbers of
species, or community has survived environmental coexisting species and also smaller potential geographi-
instabilities over long periods of time. The refugium the- cal distributions, making highly adapted species vulner-
ory suggests that existing genetic and species diversity able to fast environmental and ecological change.
is shaped by historical environmental changes and pre- Hypothetically, given environmental stability over a
dicts that the long-term persistence of biodiversity is long time period, a species should be able to disperse
dependent on refugia. Future studies should focus on from its place of origin to all potential habitats to which
substantiating the general biological significance of it is adapted. Many species distributions, however, are
refugia, identifying climate change refugia, and study- geographically rather limited, although potential habitats
ing the evolutionary potential of refugial and nonrefu- are widespread. Th is might be a result of (1) unstable
gial populations. environments resulting in local and regional extinction
over time, (2) new species failing to evolve as fast as the
environments change, and (3) species needing long time
B iological diversity (ecosystems, species, and their
genes) is not randomly distributed on Earth. Both
contemporary ecological processes and historical ones,
periods to disperse to and colonize all potential habitats
(Bennet 2004).
especially changing climates resulting in changed envi- Refugia are based on the observations that areas that
ronments, have shaped biodiversity. The refugium theory are environmentally similar have quite variable species
predicts that long-term survival of biodiversity depends numbers, and that areas with many endemic species
on areas of environmental stability (refugia). The refu- (i.e., species restricted to small geographical areas) do
gium theory thus offers a framework for understanding exist. The refugium theory tries to explain the persis-
and studying biodiversity in relation to the history of tence of biodiversity in hot spots with historical factors.
populations and geographical areas. The concept of refu- Assuming that species do not evolve faster than the
gia is being refined, and it has potential in promoting environment is changing, this theory predicts species
sustainable landscape management and conservation. stability in areas that are relatively less affected by
Unfortunately, refugia will undoubtedly be affected by changes to the environment.
climate change in the twenty-first century.
History
Theory The German ornithologist Jü rgen Haffer (1969) pro-
posed that among Amazonian rain forest birds, “most
Since life fi rst appeared, new organisms diversified and species probably originated in forest refuges during dry
colonized the Earth starting from the place of their ori- climatic periods” and suggested that species develop-
gin. Although processes were interrupted by major cata- ment in geographical isolation in several areas was the
strophic extinction events, speciation (species formation) primary explanation for high species diversity. Th is
resulted in species being more specialized and adapted argument was based on earlier ideas about speciation
to new ecological conditions. Adaptation to specific in ecological refugia (Haff er and Prance 2001), and
326

REFUGIA • 327
since then many studies have adopted the refugium Given that refugia have different shapes and sizes, the
concept to explain other patterns of global diversity. Spanish biologist Valenti Rull (2009) has suggested some
Phylogeographers—researchers studying the genetic refinements to refugium concepts. He defined microrefugia
relationships of populations throughout their geo- as small areas with local favorable environmental features,
graphic ranges—later demonstrated the validity of the in which small populations can survive outside their main
refugium theory (Hewitt 1996; Taberlet et al. 1998; macrorefugium (larger areas). He also suggested distin-
Tribsch and Schönswetter 2003). Many studies support guishing between glacial and interglacial microrefugia,
the hypothesis that species evolved and adapted in which remain associated with a geographically stable
refugia that were geographically isolated. They showed macrorefugium over longer times (Rull 2010). A similar
that the lack of or reduction in gene flow among popu- approach is to distinguish in situ and ex situ refugia; the
lations in once isolated areas during the ice ages can latter do not assume a geographical overlap of geographical
still be measured in present populations and that hybrid distributions of a population, species, or community over
zones (zones where genetically differentiated popula- time. Depending on environmental conditions, ex situ
tions came together after their range expanded beyond refugia thus move around in the landscape.
refugia) are found in many species. Progress in meth- Refugium theory makes several predictions. For
odology in paleontology and the availability of histori- example, refugia are predicted to maintain species, even
cal pollen deposit data and macrofossils are two factors when extinction is predicted for areas outside of them.
that allowed for pinpointing where refugia were located Development of new species would only be possible in
(Willis and Niklas 2004). cases where a new species (or evolutionary lineage) has
Several terms have been used to describe the idea that evolved in a refugium or where a species rapidly disperses
species survived in discontinuous ecologically stable areas to a refugium where it survives. Because genetic diversity
within shifting but overlapping ranges caused by climatic diminishes only once a species moves out of a refugium,
changes. The vegetation ecologist J. H. Tallis (1991), for genetic variation, in particular allelic richness and the
example, proposed the term reservoir instead of refugium. number of rare alleles (Widmer and Lexer 2001), is
This term was intended to take account of the fact that expected to be higher in refugia than in areas outside of
populations in refugia were able to spread from the them. Since the evolutionary potential of a population or
refugium, rather than being restricted to it. Scientific species is higher when genetic variation is higher (see
opinion, however, is settling on the term refugium Frankham et al. 1999 for empirical evidence), refugial
(Rull 2009). populations have a higher evolutionary potential than
nonrefugial populations. Similar results hold on the spe-
cies level: endemic species (especially paleoendemics) are
Toward a Unified Theory
expected to be frequent in refugia, and areas of endemism
A refugium can be generally defined as a geographical (areas where the geographical distribution of endemics
area of ecological and environmental stability over a significantly overlap) must coincide with refugia. Genetic
period of time where a population, species, or community diversity (in terms of heterozygosity) as well as species
has survived long-term instabilities. The identification of diversity (in terms of species richness), however, might be
a refugium could be based on independent, abiotic data higher outside refugia (see Paun et al. 2008 and Tribsch
or environmental modeling approaches (see Hugall et al. et al. 2010 for empirical evidence), especially in general
2002 and Schönswetter et al. 2005). The term realized hybrid and suture zones (that is, areas where populations
refugium might be used in cases where biological data and species originating from refugia merge).
(species endemism, phylogeographical pattern, and con-
tinuous paleontological records) provide evidence of the
continuous presence of a species or population. Critique and Modifications
Several assumptions are associated with the refugium
theory. The main process of diversification is assumed to Paleontologists frequently use the refugium concept
be allopatric speciation (speciation under geographical (Bennet 2004, Willis and Whittaker 2000), but some
isolation) or genetic drift (the random process of genetic have complicated it by defi ning many different types of
differentiation of more or less small populations in isola- refugia to explain observed data (Bennet and Provan
tion). Moreover, it is assumed that refugia are geographi- 2008; Stewart et al. 2010). Based on emerging data that
cally stable. The refugium theory is applicable to single species responded individualistically to the ice ages and
species or clades (related groups of species) as well as to taking into account the importance of different vegeta-
assemblages of organisms or even ecosystems and biomes tion types, several types of refugia have been proposed.
(ecological communities), depending on the point of view For example, one researcher has proposed cryptic refu-
of the researcher. gia within the microrefugium concept (Rull 2010).

Others take into account the diff erent responses of The refugium theory has implications for global cli-
cold- and warm-adapted species and propose glacial and mate change research. Predictions of future climates and
interglacial refugia (Stewart et al. 2010). Such distinc- future distributions of organisms may allow for predict-
tions, however, are incompatible with the generally ing the location of climate change refugia. The spatial
accepted understanding of refugium, because the defi- ecologist M. B. Ashcroft (2010) pointed out that a loose
nitions do not include geographical stability. A clear definition of the term refugium is an obstacle for identifi-
distinction should be made between refugium theory cation of refugia from predicted climate change. He
and a (testable) refugium hypothesis on the one hand points out, for example, that a strictly
and post hoc (after the fact) identifications local view of refugia might exag-
used in many paleontological studies gerate the extinction risk for
on the other hand. species that can easily move
The validity of the refugia the- over long distances. Although
ory has been proven for many biology and behavior of species
temperate and boreal areas, for are very important in under-
example, the European Alps standing how species are distrib-
(Schönswetter et al. 2005), uted, future studies nevertheless
southern South America (Sérsic should use a clear and simple
et al. 2011), and North America refugium definition, with only few
(Soltis et al. 2006). Studies for assumptions, at least as a starting
the tropical biome, especially for point for climate change studies at
Amazonia, have been more criti- large scales (the macrorefugium level).
cal (see Knapp and Mallet 2003 At the microrefugium scale, for exam-
and citations therein; but see also ple, in small mountain ranges with a
Haff er and Prance 2001). General focus on certain species, studies could
criticism of the refugium theory be also based on more complex refu-
might also question the underly- gium definitions (for example, a
ing assumptions that allopatric dynamic microrefugium concept) and
speciation and diff erentiation should aim for considering as many
are the main processes of diver- species-specific biological and ecologi-
sification (Bennet 2004). cal properties as feasible. Such approaches
Ecological landscape genetic or have high potential for contributing to global
population genetic studies use the refu- and local conservation planning and for reducing the
gium concept for shorter timescales, naming as refugia extinction risk of species in the future.
certain locations where individuals or populations survive
perturbation and disturbance. Such so-called refugia
help scientists understand ecosystem resilience (Ashcroft Why Study Refugia?
2010; Sedell et al. 1990). Because the refugium theory
involves assumptions of speciation and diversification at Comparative ecological and biogeographical studies show
the gene or species level, however, this use of the term that refugia are of general importance for biodiversity.
refugia may be misleading. This offers the opportunity to compare refugial popula-
tions, species assemblages, and even whole ecosystems
with recently established nonrefugial ones. In the face of
Refugia, Conservation, and global climate change, such studies might involve
Climate Change (1) identifying global change refugia, (2) quantifying the
threat to species and genetic diversity in refugia,
Refugia that have high concentrations of native species, (3) studying the evolutionary potential of refugial popu-
that have populations with unique genetic structures, or lations, and (4) developing conservation strategies includ-
that contain important evolutionary lineages within spe- ing refugial information worldwide.
cies deserve to be considered in nature conservation strat- Refugia are natural centers of long-term sustainability.
egies (Noss 2001). Conservation planning based on the Nature, however, is dynamic, and scientists still do not
location of refugia would effectively complement the tra- understand completely the types of organisms and time
ditional measures planners use, which include species scales for which the refugium theory is valid. Sustainable
and ecosystem diversity, uniqueness, and anthropogenic ecosystem management may benefit in many ways from
(human caused) threat. including refugia in management strategies. Considering

REFUGIA • 329
refugia as a predictor of unique biodiversity and unique tory of the Ranunculus alpestris group (Ranunculaceae) in
evolutionary capacity should allow for an effective con- the European Alps and the Carpathians . Molecular Ecology, 17,
4263–4275.
servation strategy complementing, but not replacing tra- Noss, Reed F. (2001). Beyond Kyoto: Forest management in a time of
ditional approaches. rapid climate change. Conservation Biology, 15, 578–590.
Rull, Valentí. (2009). Microrefugia. Journal of Biogeography, 36 ,
Andreas TRIBSCH 481–484.
Rull, Valentí. (2010). On microrefugia and cryptic refugia. Journal of
University of Salzburg
Biogeography, 37, 1623–1627.
See also Agricultural Intensification; Biodiversity; Schneeweiss, Gerald M., & Schönswetter, Peter. (2011). A re-
appraisal of nunatak survival in arctic-alpine phylogeography.
Biodiversity Hotspots; Biological Corridors; Boundary Molecular Ecology, 20, 190–192.
Ecotones; Buffers; Community Ecology; Complexity Schönswetter, Peter; Stehlik, Ivana; Holderegger, Rolf; & Tribsch,
Theory; Edge Effects; Food Webs; Global Climate Andreas. (2005). Molecular evidence for glacial refugia of
Change; Landscape Planning, Large-Scale; Perma- mountain plants in the European Alps. Molecular Ecology, 14,
3547–3555.
culture; Population Dynamics; Succession Sedell, James R.; Reeves, Gordon H.; Hauer, F. Richard; Stanford,
Jack A.; & Hawkins, Charles P. (1990). Role of refugia in recovery
from disturbances—modern fragmented and disconnected river
systems. Environmental Management, 14, 711–724.
FURTHER READING Sérsic, Alicia N., et al. (2011). Emerging phylogeographical patterns
Ashcroft, Michael B. (2010). Identifying refugia from climate change. of plants and terrestrial vertebrates from Patagonia. Biological
Journal of Biogeography, 37, 1407–1413. Journal of the Linnean Society, 103, 475–494.
Bennet, Keith D. (2004). Continuing the debate of the role of Soltis, Douglas E.; Morris, Ashley B.; Lachlan, Jason S. M.; Manos,
Quaternary environmental change for macroevolution. Proceedings Paul S.; & Soltis, Pamela S. (2006). Comparative phylogeography
of the Royal Society London B, 359, 295–302. of unglaciated eastern North America. Molecular Ecology, 15,
Bennet, Keith D., & Provan, Jim. (2008). What do we mean by “refu- 4261–4293.
gia”? Quaternary Science Reviews, 27, 2449–2455. Stewart, John R.; Lister, Adrian M.; Barnes, Ian; & Dalén, Love.
Frankham, Richard; Lees, Kelly; Montgomery, Margaret E.; (2010). Refugia revisited: Individualistic responses of species in
England, Phillip R.; Lowe, Edwin H.; & Briscoe, David A. (1999). space and time. Proceedings of the Royal Academy of Sciences B, 277,
Do population size bottlenecks reduce evolutionary potential? 661–671.
Animal Conservation, 2, 255–260. Taberlet, Pierre; Fumagalli, Luca; Wust-Saucy, Anne-Gabrielle; &
Haffer, Jürgen. (1969). Speciation in Amazonian forest birds. Science, Cosson, Jean-Francoise. (1998). Comparative phylogeography and
165, 131–137. colonization routes in Europe. Molecular Ecology, 7, 453–464.
Haffer, Jürgen, & Prance, Ghillean T. (2001). Climatic forcing of Tallis, J. H. (1991). Plant community history. London: Chapman and
evolution in Amazonia during the Cenozoic: The refuge theory of Hall.
biotic differentiation. Amazoniana, 16, 579–607. Tribsch, Andreas, et al. (2010). Integrating data across biodiversity
Hewitt, Godfrey M. (1996). Some genetic consequences of ice ages, levels; the project IntraBioDiv. In Eva M. Spehn & Christian
and their role in divergence and speciation. Biological Journal of the Körner (Eds.), Data mining for global trends in mountain biodiversity
Linnean Society, 58 (3), 247–276. (pp. 89–105). New York: CRC Press.
Hugall, Andrew; Moritz, Craig; Mousalli, Adnan; & Stanisic, John. Tribsch, Andreas, & Schönswetter, Peter. (2003). Patterns of ende-
(2002). Reconciling paleodistribution models and comparative mism and comparative phylogeography confi rm palaeoenviron-
phylogeography in the Wet Tropics rainforest land snail mental evidence for Pleistocene refugia in the eastern Alps. Taxon,
Gnarosophia bellendenkerensis (Brazier 1875). Proceedings of the 52, 477–497.
National Academy of Sciences of the United States of America , 99, Widmer, Alex, & Lexer, Christian. (2001). Glacial refugia:
6112–6117. Sanctuaries for allelic richness, but not for gene diversity. Trends in
Knapp, Sandra, & Mallet, James. (2003). Refuting refugia? Science, Ecology and Evolution, 16, 267–269.
300, 71–72. Willis, Katherine J., & Niklas, Karl J. (2004). The role of Quaternary
Mayr, Ernst. (1942). Systematics and the origin of species from the view- environmental change in plant macroevolution: The exception from
point of a zoologist. New York: Columbia University Press. the rule? Proceedings of the Royal Society London B, 359, 159–172.
Paun, Ovidiu; Schönswetter, Peter; Winkler, Manueala; Tribsch, Willis, Katherine, & Whittaker, Robert J. (2000). The refugial debate.
Andreas; & IntraBioDiv-Consortium. (2008). Evolutionary his- Science, 287, 1406–1407.

Regime Shifts
A regime shift is a large, persistent change in the struc- deforestation. Rainforest areas in the Amazon and East
ture and function of a system. In ecosystems, regime Asia are thought to be at risk from this type of regime
shifts substantially affect the flow of services that soci- change. At the global scale, climate warming is leading
eties rely on; they often occur unexpectedly and are to the retreat of arctic sea ice during summer, with
difficult or impossible to reverse. Understanding the impacts on sea water levels, climate regulation, and eco-
mechanisms that lead to and sustain regime shifts and system regimes worldwide.
predicting regime shifts before they happen are major
challenges for ecosystem managers concerned with Historical Background
long-term sustainable resource management.
Mathematicians were intrigued by the phenomenon of
R egime shifts are large, abrupt, persistent changes in

the structure and function of a system. The terms
abrupt and persistent are relative, referring to the time
abrupt shifts in systems behavior long before ecologists.
They developed catastrophe and bifurcation theory to
explain and classify different types of nonlinear dynam-
period over which the shift occurs in comparison to the ics, analyzing how the effects of small changes in circum-
duration of the regime. A particular regime is not itself stances can sometimes result in dramatic shifts in the
an unchanging condition, but is characterized by dynamic behavior of a system. Th is theory has had applications in
fluctuations while maintaining the same basic system a broad range of fields, from atoms to climate dynamics,
structure and function. Each regime is maintained by as well as social systems.
mutually reinforcing processes that produce a character- In ecology, the idea of populations or ecosystems
istic dynamic behavior. Regime shifts occur when a exhibiting regime shifts arose from reflections about the
smooth change or a single disturbance triggers a dramat- meaning of stability and change in ecosystems. The work
ically different system behavior. In ecosystems, abrupt of the US biologist Richard C. Lewontin and the
changes can disrupt the sustainable provision of services Canadian ecologist C. S. Holling established the fi rst
that societies rely upon, such as freshwater, food pro- references to alternative stable states or regime shifts in
duction, or nutrient cycling. Regime shifts operate and the late 1960s. During the 1970s, theoretical models
impact societies at various scales, ranging from local to were developed to explore Lewontin and Holling’s ideas
global. At the local scale, one of the best documented in grazing and fisheries systems, as well as insect out-
examples of a regime shift is bush encroachment— breaks. Early work on regime shifts was criticized for the
or vegetation progression—where small changes in lack of empirical evidence and long-term quality data.
herbivory can lead to distinct shifts in habitat, such as These critiques slowed research on regime shifts until the
from grassy-dominated to woody-dominated savannas. 1990s when evidence was collected for abrupt changes in
Encroachment has been documented in wet savannas in kelp forests, shallow lakes, drylands, and coral reefs. This
Africa and South America, and the change severely empirical evidence led to theoretical revisions in the early
impacts the use of the grassland ecosystems, such as for 2000s, which led to a boom in regime shifts research in
cattle ranching. At the regional scale, forests can shift to the last decade in such fields as oceanography, fisheries
savannas if the moisture recycling is weakened by science, terrestrial ecology, and community ecology.
330

REGIME SHIFTS • 331
Despite this boom in research activity, there is as yet parameters, forcing variables, control variables, or slow vari-
no agreement on a definition of regime shifts. Differences ables). The former always represents a fast dynamic in the
among definitions center on the meaning of stability and system, and the latter refers to factors that often are
the meaning of abrupt—how long a time span is required assumed to be constant but in fact change slowly. Smooth
for a situation to be considered a regime, and what span or gradual change can be described by a quasi-linear
of time qualifies as abrupt? In the end it is a matter of relationship in fast and slow processes. It implies that a
scale, and scholars in different disciplines are using small disturbance will deliver a small consequence and a
slightly different definitions. For example, in oceanogra- big disturbance a big consequence. In contrast, abrupt
phy a regime must persist for at least several decades and change shows a nonlinear relationship among fast
include climate variability as a driver, while for marine and slow variables leading to a threshold-like response,
biologists a regime might last only five years and be where a small change can lead to a big consequence.
induced simply by changes in population dynamics. Discontinuous change is characterized by the difference
In social sciences, regime shift ideas have been applied in the trajectory of the fast variable when the slow one
using a slightly different framework. Parallel concepts have increases compared to when it decreases.
evolved referring to abrupt change in society to explain This difference associated with discontinuous change
phenomena where an attractor is reinforced by feedbacks is termed hysteresis and indicates that the behavior of the
and the output is generally determined by initial conditions system is dependent on the history of the system. It
and the system history. For example, the norms that rule means that once the system has shifted from one regime
our societies—also known as institutions—change over to another, it is not sufficient to restore the conditions
time. The possibility of change is reduced, however, once a present when the system originally shifted. Instead, if
set of norms is established and accepted by a community. one wants to restore the original regime, one needs to
Such is the case of driving on the right versus driving on reduce the factors that led to the shift (e.g., nutrient pol-
the left. Once a norm is established, infrastructure such as lution that led to eutrophication of a water habitat) to a
roads and cars are built to fit this option, and then it much lower level.
becomes difficult to shift to the alternative option. In a In some cases, crossing the threshold brings about a
broader sense, each modus operandi or arrangement of dramatic change in the response variables while in others
institutions can be considered a regime in social systems. the transition is more gradual. Abrupt change has been
Nevertheless, the application of bifurcation and catas- documented in eutrophication in lakes and coastal eco-
trophe theory in ecology and social sciences remains con- systems, which leads to toxic algae blooms and reduction
troversial. Difficulties include collecting enough data, in fish productivity. Another example is that of coral reefs
performing experiments with real systems, and distin- where algae overgrows coral and inhibits its further
guishing true regime shift dynamics from environmental development, reducing ecological complexity in habitat
noise. In order to apply the regime shift concept to a par- and diversity, as well as limiting opportunities for fishing
ticular problem, one necessarily has to limit the scales and tourism industries. Smooth or gradual change has
and range of dynamics being studied. For example, mass been documented for bush encroachment, a regime shift
extinctions of species can be seen as abrupt change on that reduces the ecosystem services related to grasslands,
geological time scales, while understanding a fi nancial such as cattle ranching.
downturn within the human economic sphere requires Strong hysteresis effects are often caused by a change
focusing on much shorter time scales. in the strength of internal system feedbacks or by the for-
mation of new feedbacks. For example, regime shifts in
coral reefs are often mediated by the strength of the her-
Theoretical Basis bivory feedback that controls algae growth. On the other
hand, in a case such as lake eutrophication, once the sys-
Regime shifts are triggered either by large system shocks, tem has shifted to the murky water regime, a new phos-
for example droughts, earthquakes, and floods, or when phorous recycling feedback maintains the regime even if
internal processes become weakened to the point that the the driver (nutrient input) is reduced.
system reorganizes itself into a different dynamic struc-
ture and function. In both cases the resulting change can
be smooth, abrupt, or discontinuous, where the differ- Evidence and Prediction
ence is characterized by the interaction among fast and
slow processes in the system. Evidence of regime shifts derives from observations, mod-
In analyzing regime change, it is important to distin- els, and experiments. Numerous examples in ecological
guish between state variables (also called fast variables or systems are now considered well documented. (See table 1
response variables) and conditions (also referred to as on page 332.) More evidence is available for small-scale

Table 1. Well-Known Examples of Ecological Regime Shifts

Regime Shift Regime A Regime B Impacts on Ecosystem Services Evidence Source of Evidence
Freshwater Non-eutrophic Eutrophic Reduced access to recreation, Strong Observations

eutrophication reduced drinking water quality, experiments
risk of fish loss models
Fisheries Abundant Collapsed Reduced food production, Strong Observations
collapse stocks stocks employment and ecosystem experiments
degradation models
Soil High Low Yield declines, salt damage to Strong Observations
salinization productivity productivity infrastructure and ecosystems, experiments
contamination of drinking water models
Coral reef Diverse coral Reef Reduced tourism, fisheries, Strong Observations
degradation reef dominated by biodiversity experiments
macro-algae models
Coastal Non-hypoxic Hypoxic Fishery decline, loss of marine Strong Observations
hypoxia biodiversity, toxic algae models
River channel Old channel New Damage to trade and Strong Observations
position channel infrastructure models
Forest— Forest Savanna Loss of biodiversity, moisture Strong Observations
Savanna cycle, and rain, models
Kelp Kelp Turf algae Reduced biodiversity and Strong Observations
transitions dominated dominated fisheries experiments
seascape or urchin models
barrens
Monsoon Strong Weak Reduced water cycling, Medium Models
circulation monsoon monsoon less rain, and less productivity.
Vegetation Spatial No spatial Productivity declines, erosion Medium Observations
patchiness pattern pattern experiments
models
Wet savanna- Wet savanna Dry savanna Loss of productivity, yield Medium Models
Dry savanna or desert declines, droughts/dry spells
Cloud forest Cloud forest Woodland Loss of productivity, reduced Medium Observations
runoff, biodiversity loss models
Bush Open Closed Reduced grazing for cattle, Medium Observations
encroachment grassland woodland reduced mobility, increased experiments
fuelwood models
Greenland Constant Periodic Reduced climate regulation, Medium Observations
Icesheet icesheet icesheet salinity regulation in the sea, model
and increase of sea level.
Arctic sea ice Constant Periodic Reduced climate regulation, Medium Observation
icesheet icesheet salinity regulation in the sea, models
and increase of sea level.
Source: Modified from Gordon, Peterson, and Bennett (2008, 215); Scheffer et al. (2001, 595); and the Regime Shifts DataBase (n.d.).

REGIME SHIFTS • 333
systems that have fast dynamics and are relatively easy to feedback dynamics is available, application of the statistical
manipulate, such as lakes; for large-scale systems with method known as Bayesian networks can be used to under-
slow dynamics, less evidence is available. Very little is stand and predict potential interacting thresholds.
known about interactions between regime shifts, espe-
cially at different scales.
Observation of abrupt change in time series data con- Management Challenges
stitutes the main evidence of a regime shift. When time
series are available, one can identify regime shifts by look- Managers focused on sustainable use of resources aim to
ing for abrupt jumps in the data. An iconic example is the optimize the efficiency of the systems they manage, in
record of ocean sediments in the Sahara region some other words increasing the well-being obtained from eco-
5,500 years ago, clearly signaling the transition from a systems now without compromising the ability of future
moist, vegetated condition to the current desert state. generations to do so. As managers pursue optimization,
Most time series data are statistically “noisy,” and sta- however, change in key variables can accumulate slowly
tistical methods are required to identify different regimes and bring about abrupt transitions. Awareness of the
(see Andersen et al. 2009). Among the most commonly nature of regime shifts can help managers identify key
used tools are ordination methods such as principal com- feedback processes to build resilience to such transitions—
ponent analysis (PCA), chronological clustering, and the ability to cope with change while maintaining the
sequential t-tests. These methods, however, can only be basic structure and function of the system.
used to identify regime shifts that have Identifying the main drivers of change or possible
already happened. interactions among drivers represents major challenges
Given the difficulty of obtain- for current research. It has been suggested that
ing observations, much of the cross-scale interaction among local and regional
work on regime shifts has been regime shifts are possible. Vertical interac-
theoretical, using models to tions refer to linkages among regime
explore under which conditions shifts that happen at different scales.
regime shifts are likely to occur. Horizontal interactions happen
Modeling is a good tool for roughly on the same scale, when
gaining understanding of processes happening at the same
causal relationships and the rate interact in time or space.
strength of feedback mecha- Managers face the challenge
nisms underlying regime of identifying systems vulnerable
shifts; it can also serve to iden- to regime shifts as well as pos-
tify critical thresholds and sible actions to maintain or
assess the interaction of key restore desired regimes. To gain
variables. The variability in such understanding, feedback
threshold level can be studied loops underlying change need to
through modeling to identify be assessed for each specific case.
threshold zones or values Understanding of slow and fast
where a regime shift becomes processes helps in assessing manage-
more likely: for example, graz- rial options and identifying what is
ing has been modeled as an manageable and what is not. Also help-
option for managing bush ful is assessment of the robustness of poli-
encroachment (Anderies, Janssen, and cies and learning from the counterintuitive
Walker 2002); irrigation systems have been nature of system dynamics. Since regime shift
modeled to understand soil salinization (Saysel and Barlas dynamics are characterized by the possibility that a small
2001); and lake eutrophication has been studied in various disturbance will cause big effects, understanding regime
experiments and models (Carpenter 2003). shifts also allows managers to look for windows of oppor-
A key research frontier is the development of early warn- tunity to minimize or reverse catastrophic dynamics. For
ing signals for regime shifts. Among the methods being example, improved understanding of events associated
explored are changes in the statistical properties of a sys- with El Niño, the warm Pacific Ocean current disruptive
tem, such as an increase in variability and autocorrelation to ocean life and weather patterns, can be used to restore
that occurs ahead of an approaching threshold. Such stud- ecosystems from degraded to vegetated states (Holmgren
ies, however, require extended time series that often are not and Scheffer 2001). On the other hand, detection meth-
available for ecological data. Where deep knowledge of the ods need to be further developed to fit the reality of

resource management: limited in-depth knowledge and Collie, Jeremy; Richardson, Katherine; & Steele, John H. (2004).
limited time series data regarding the complex function- Regime shifts: Can ecological theory illuminate the mechanisms?
Progress in Oceanography, 60, 281–302.
ing of environmental systems. Foley, Jonathan A.; Coe, Michael T.; Scheffer, Marten; & Wang,
Guiling. (2003). Regime shifts in the Sahara and Sahel: Interactions
Reinette (Oonsie) BIGGS, Garry D. PETERSON, and between ecological and climatic systems in northern Africa.
Juan C. ROCHA Ecosystems, 6, 524–539.
Stockholm Resilience Centre, Stockholm University Gordon, Line J.; Peterson, Gary D.; & Bennett, Elena M. (2008).
Agricultural modifications of hydrological flows create ecological
See also Biodiversity; Community Ecology; Complexity surprises. Trends in Ecology & Evolution, 23, 211–219.
Theory; Ecological Forecasting; Edge Effects; Holmgren, Milena, & Scheffer, Marten. (2001). El Niño as a window
of opportunity for the restoration of degraded arid ecosystems.
Eutrophication; Extreme Episodic Events; Food Webs; Ecosystems, 4 (2), 151–159.
Global Climate Change; Indicator Species; Invasive Kinzig, Ann P., et al. (2006). Resilience and regime shifts: Assessing
Species; Keystone Species; Light Pollution and Biological cascading effects. Ecology and Society, 11, 20.
Systems; Outbreak Species; Plant-Animal Interactions; Overland, James; Rodionov, Sergei; Minobe, Shoshiro; & Bond,
Nicholas. (2008). North Pacific regime shifts: Definitions, issues
Population Dynamics; Resilience; Wilderness Areas and recent transitions. Progress in Oceanography, 77, 92–102.
Peters, Debra P. C., et al. (2004). Cross-scale interactions, nonlineari-
ties, and forecasting catastrophic events. Proceedings of the National
Academy of Sciences USA, 101, 15130–15135.
FURTHER READING Regime Shifts DataBase. (n.d.). Homepage. Retrieved October 3,
Anderies, John M.; Janssen, Marco A.; &Walker, Brian H. (2002) 2011, from http://www.regimeshifts.org
Grazing management, resilience, and the dynamics of a fi re-driven Saysel, Ali Kerem, & Barlas, Yaman. (2006). Model simplification and
rangeland system. Ecosystems, 5, 23–44. validation with indirect structure validity tests. System Dynamics
Andersen, Tom; Carstensen, Jacob; Hernández-García, Emilio; & Review, 22, 241–262.
Duarte, Carlos M. (2009). Ecological thresholds and regime shifts: Scheffer, Marten. (2009). Critical transitions in nature and society.
Approaches to identification. Trends in Ecology & Evolution, 24, 49–57. Princeton, NJ: Princeton University Press.
Beisner, Beatrix; Haydon, Daniel; & Cuddington, Kim M. D. (2003). Scheffer, Marten; Carpenter, Stephen R.; Foley, Jonathan A.; Folke,
Alternative stable states in ecology. Frontiers in Ecology and the Carl; & Walker, Brian H. (2001). Catastrophic shifts in ecosys-
Environment, 1, 376–382. tems. Nature, 413, 591–596.
Bennett, Elena M.; Cumming, Graeme; & Peterson, Garry D. (2005). Scheffer, Marten, et al. (2009). Early-warning signals for critical tran-
A systems model approach to determining resilience surrogates for sitions. Nature, 461, 53–59.
case studies. Ecosystems, 8, 945–957. Scheffer, Marten; Westley, Frances; & Brock, William A. (2003).
Biggs, Reinette; Carpenter, Stephen R.; & Brock, William A. (2009). Slow response of societies to new problems: Causes and costs.
Turning back from the brink: Detecting an impending regime shift Ecosystems, 6, 493–502.
in time to avert it. Proceedings of the National Academy of Sciences Walker, Brian, & Meyers, Jacqueline A. (2004). Th resholds in ecologi-
USA, 106, 826–831. cal and social-ecological systems: A developing database. Ecology
Carpenter, Stephen R. (2003). Regime shifts in lake ecosystems: Pattern and Society, 9, 3.
and variation. Excellence in ecology series,Vol. 15 (O. Kinne, series Walker, Brian, & Salt, David. (2006). Resilience thinking: Sustaining eco-
ed.). Oldendorf/Luhe, Germany: International Ecology Institute. systems and people in a changing world. Washington, DC: Island Press.

Resilience
Ecological resilience is the capacity of a system to with- operates or if it is resilient. The behavior of a system can-
stand disturbance without collapsing and shifting into not be understood by merely adding together what we
a different regime. Humankind relies upon a consistent know about the parts.
production of ecological goods and services. When an Ecologists understand complex systems to be self-
ecosystem’s resilience is exceeded and the system shifts organizing and to have inherent uncertainty, nonlinear
into a new regime, the system may be less favorable dynamics, and emergent phenomena. Complex systems
from a human perspective. Understanding and manag- are self-organizing because there is no central entity
ing for resilience is thus essential for sustainability. responsible for directing the processes and functions of
the ecosystem. An ecosystem arises instead from the
nondirected interaction of the parts; complexity arises
H umankind relies upon the goods and services pro-
vided by ecosystems: clean water and air are two
such examples. Resilience is a measure of the disturbance
over time from many simple interactions. An ecosystem
is complex because the whole is more than the aggre-
that an ecosystem can withstand before shifting into a gation of the parts. Nonlinear dynamics occur when
different ecological regime, which may provide fewer small changes have a disproportionately large effect.
goods and services. Because it is in humankind’s interest Phosphorus levels in a lake may steadily rise over time,
to maintain ecosystems in regimes that provide vital eco- with no apparent consequence to the lake, for example,
logical goods and services, it is critical to understand until they rise just a bit more and the lake suddenly tips
resilience. into a new regime, becoming eutrophic and prone to
algae blooms. Ecosystems are also complex adaptive sys-
tems; the interaction between the parts and the emergent
Background properties of the whole leads to dynamic changes in the
system. These changes have consequences for how scien-
Resilience is the capacity of an ecosystem to withstand tists understand and manage ecosystems. Understanding
disturbance without collapsing and shifting into an the resilience of ecosystems is important, in part because
alternate regime, or a different type of ecological system humankind relies upon a consistent production of eco-
organized around different processes and structures. logical goods and services, such as drinking water, crop
Examples of alternate regimes are a clear, low-nutrient, pollination, soil renewal and regeneration, abundant
low-algae, oxygen-rich lake (oligotrophic) or a turbid, marine life to eat, carbon dioxide storage, and so forth.
high-nutrient, high-algae, oxygen-poor lake (eutrophic); When an ecosystem’s resilience is exceeded and the sys-
a coral reef dominated by corals or by macroalgae; and tem shifts into a new regime, the system may become less
a grassland or a woody-plant-dominated shrubland. favorable from a human perspective and produce fewer
Resilience is an emergent phenomenon of complex sys- goods and services.
tems, which means that it cannot be deduced from the Ecologists have developed resilience theory since the
behavior of the parts of a system. In other words, a 1970s to explain the nonlinear dynamics of complex
detailed understanding of the wolf and elk populations in adaptive systems. When the resilience of an ecosystem
Yellowstone does not tell us how the ecosystem as a whole has been exceeded, the system discernibly changes, such
335

Figure 1. Resilience
Source: US Environmental Protection Agency.
The figure depicts a conceptual diagram of the basins of attraction for two possible ecosystem states. The position of the ball in the left basin of
the upper diagram represents the current state of the system. Ecologists measure the resilience of the system as the amount of disturbance
required to push the system from one basin of attraction to another (bottom diagram). The two basins represent two possible alternative stable
states, characterized by two different regimes.
as when a lake shifts from a clear to a turbid state. (See systems are characterized by a single equilibrium state.
figure 1.) The nonlinear dynamics of complex systems Th is assumption is inappropriate for complex adaptive
make it difficult to predict when that shift might occur, systems such as ecological systems.
though advances have been made in this area. Small Scale is a critical concept to understand when discuss-
changes to a system may have disproportionately large ing complex systems. Scale typically refers to the spatial
consequences, and vice versa. extent and temporal frequency of the object or process of
Ecological resilience should not be confused with interest. In ecosystems, different processes dominate at
engineering resilience, which emphasizes the ability of a different spatial and temporal scales. Small and fast pro-
system to perform a specific task consistently and pre- cesses such as the turnover of leaves on trees are orders of
dictably and to reestablish performance quickly should a magnitude different from the large and slow processes,
disturbance occur. Applying this type of thinking to the such as climate, that drive the location of boreal forest on
management of ecosystems has been extremely problem- a continent. Because all these processes occur at discrete
atic. The harvesting of renewable resources such as trees spatial and temporal scales, there are thresholds between
or fish cannot be treated as an engineered system, with scales of structuring processes, which are called discon-
predictable and consistent outputs. Ecosystems do not tinuities. Neither processes nor structure in complex sys-
have an equilibrium state, where opposing forces are in tems are continuous. Processes operate over domains of
balance, as assumed by an engineering definition. An scale. These processes are separated by abrupt thresholds
ecosystem exists within a regime. Within a particular that are the transition to a new set of structuring pro-
regime, the abundance and composition of the species cesses. Th is discontinuous structure is critical to the
that constitute that regime may change quite dynamically resilience of ecological systems. Ecologists propose that
over time. Engineering resilience assumes that ecological resilience, or the ability of a system to buffer disturbance

RESILIENCE • 337
and stay in the same regime, results in part from the dis- that systems perturbed beyond their capacity to recover
tribution of function within and across the domains of could shift into an alternative state or regime. Holling pre-
scales of an ecosystem. The relationship between resil- ferred the term regime because it emphasizes the control-
ience, discontinuities, and the distribution of function ling processes of a given state of a system. The emphasis on
within and across scale has led to formal propositions alternative regimes was at odds with prevailing ecological
that allow for quantifiable measures of the relative resil- theory of the time, which considered the relevant measure
ience of different ecosystems. to be return time following perturbation (i.e., engineering
One such proposition is that the resilience of ecologi- resilience). The emphasis on return time was based on the
cal processes, and therefore of ecosystems, depends partly premise that most systems can exist in only one stable
upon the distribution of function within and across state. Holling provided an overview of the origins of the
scales. Many ecological functions, such as pollination or concept in his memoirs:
seed dispersal, are provided by species. If species that are
Up to that time, a concentration on a single equilibrium
members of the same functional group operate at differ-
and assumptions of global stability had made ecology, as
ent scales, they provide mutual reinforcement that con-
well as economics, focus on near equilibrium behavior,
tributes to the resilience of a function, while at the same
and on fi xed carrying capacity with a goal of minimiz-
time minimizing competition among species within the
ing variability. Command and control was the policy for
same functional group. Seed dispersal, for example, is an
managing fish, fowl, trees, herds. . . .
important function that occurs at multiple scales, rang-
The multi-stable state reality, in contrast, opened an
ing from the very small in the form of ant dispersal of
entirely different direction that focused on behavior far
spring ephemerals to the very large in the form of large
from equilibrium and on stability boundaries. High
vertebrates such as tapirs. Scientists believe resilience is
variability, not low variability, became an attribute nec-
enhanced by the diversity of functions present within a
essary to maintain existence and learning. Surprise and
scale and the redundancy of functions distributed across
inherent unpredictability was the inevitable consequence
multiple scales. Note that resilience is not driven by the
for ecological systems. (Holling 2006)
identity of any given element of the system, but rather by
the functions those elements provide and their distribu- One of the earliest responses to Holling’s original
tion within and across scales. publication was one that refuted it. Wayne Sousa and
As of 2011, ecologists detect discontinuities in eco- Joseph H. Connell, both US ecologists, searched the
systems by analyzing animal body-mass distributions. ecological literature to determine if there was evidence
Direct evidence for discontinuities in ecological struc- for the existence of multistable states in nature. Th ey
ture is mounting. Scientists have found discontinuities analyzed published data on time series of population
in animal body-mass distributions in virtually every changes of organisms to determine if there was any indi-
ecological system they have assessed. They have uncov- cation of multiple stable states and found no supporting
ered patterns that correlate a species location within evidence. This reinforced the single-equilibrium
their particular domain of scale (based on log body paradigm that dominated in population ecology, and the
mass) to biological phenomena such as invasion, extinc- concept of resilience became, in effect, scientifically
tion, high population variability, migration, and dormant.
nomadism. The clustering of these phenomena at the Over time, as ecologists had access to longer-duration
thresholds between domains of scale suggests that vari- data sets and developed the notion of modeling system
ability in resource distribution or availability is greatest behavior (as opposed to the behavior of a part), Holling’s
at these locations (i.e., discontinuities). These observa- concept of resilience began to reemerge. In the late
tions support the contention that ecological communi- 1990s a grant from the MacArthur Foundation helped
ties structured by self-organizing dynamics will tend to create what is currently known as the Resilience Alliance
maintain a similar pattern of discontinuities in animal (2011): a “global consortium of institutions that seeks
body-mass distributions despite changes in species novel ways to integrate science and policy in order to dis-
composition, at least as long as the processes structuring cover foundations for sustainability.” The alliance
the system are unchanged. includes universities, government, and nongovernment
agencies as partners in a program of research and com-
munications with the goal of integrated social, eco-
Origins nomic, and ecological sustainability. Since the Resilience
Alliance created a global research network focused on
The Canadian ecologist C. S. Holling first proposed the developing theory and understanding case studies,
concept of ecological resilience in 1973. He recognized publications focused on resilience in social-ecological

systems have grown exponentially. Holling’s concept of Outlook

ecological resilience has overshadowed competing defi-
nitions focused on return time. The success of concepts such as resilience brings with
them threats of overuse and misinterpretation. These
Impact and Application pitfalls arguably have befallen the concepts of adaptive
management and sustainability. Close adherence to the
A premise of any complex system is that surprise and scientific definition and advances in our understanding of
uncertainty are inherent to the system. Conventional eco- regime shifts (and therefore resilience) can prevent this.
system management has been slow to address surprise and A challenge to resilience theory is that it is very easy to
uncertainty in system behavior and has, to a large extent, recognize a system that has undergone a regime shift, but
struggled over the long term to ensure the consistent deliv- very difficult to recognize when the resilience of a system
ery of ecological goods and services. On the other hand, has been compromised.
scientists’ ability to replicate a complex system within a lab Quantification of the resilience of systems is in its
constrains experimentation on ecosystems. One outcome of infancy and remains poorly developed. Ecologists in the
the development of resilience theory has been the recogni- twenty-fi rst century have made advances in detecting
tion that we need ecosystem management frameworks that early warning of impending regime shifts, usually by
explicitly incorporate planning for and managing uncer- focusing on rising variance in key parameters of the
tainty in ecological systems, as well as for emergent phe- ecological system in question. Scientists need to develop
nomena such as resilience. Ecologists developed adaptive leading indicators to manage for resilience, and therefore
management as a way to conduct safe-to-fail experiments to develop sound environmental management.
for ecosystems and a way to allow management to occur in Craig R. ALLEN
the face of uncertainty. Managing for resilience therefore US Geological Survey, Nebraska Cooperative Fish &
consists of actively maintaining a diversity of functions Wildlife Research Unit, University of Nebraska
within and across scales, accounting for thresholds and the
nonlinear dynamics that occur at thresholds, and imple- Ahjond S. GARMESTANI
menting adaptive management and governance. Managing US Environmental Protection Agency, National Risk
for resilience requires an improved understanding of sys- Management Research Laboratory
tem-level behavior, in addition to specific, detailed knowl-
Shana M. SUNDSTROM
edge of parts of the system. Systems in undesirable states
Nebraska Cooperative Fish & Wildlife Research Unit,
can also be highly resilient, however. In such cases the
University of Nebraska
manager’s goal is to reduce the resilience of the system and
help shift the system to a more desirable regime. Note: The Nebraska Cooperative Fish and Wildlife
The following propositions constitute the core of man- Research Unit is jointly supported by a cooperative agree-
aging for resilience: ment between the US Geological Survey, the Nebraska
Game and Parks Commission, the University of
• Identify the conditions that indicate loss of resilience for
Nebraska−Lincoln, the United States Fish and Wildlife
the particular system. Recent research demonstrates
Service, and the Wildlife Management Institute. Any
that there are system-specific conditions that indicate a
use of trade names is for descriptive purposes only and
system is losing resilience and approaching a regime
does not imply endorsement by the US government.
shift. These indicators are measurable and will differ
between ecosystems. See also Biodiversity; Complexity Theory; Community
• Identify and maintain a diversity of system elements Ecology; Disturbance; Eutrophication; Extreme Episodic
and feedbacks that help keep a system within a desired Events; Fire Management; Fisheries Management; Food
regime. Maintain the distribution of ecological func- Webs; Forest Management; Global Climate Change;
tions within and across scales that contribute to system Hydrology; Groundwater Management; Landscape
resilience. Planning, Large-Scale; Mutualism; Natural Capital;
• Use adaptive management and governance, which are Regime Shifts; Shifting Baselines Syndrome; Succession
critical to managing for resilience. They treat policy and
management options as hypotheses to be put at risk,
and thus enhance learning and reduce uncertainty.
• Take management actions to reduce the likelihood of FURTHER READINGS
shifts into a different regime. Control invasive species, Allen, Craig R.; Forys, Elizabeth A.; & Holling, C. S. (1999). Body
for example, or monitor and maintain important struc- mass patterns predict invasions and extinctions in transforming
turing processes (e.g., fire, hydrology). landscapes. Ecosystems, 2 (2), 114–121.

RESILIENCE • 339
Allen, Craig R.; Gunderson, Lance H.; & Johnson, A. R. (2005). The and Society, 14 (1), 15. Retrieved December 16, 2011, from http://
use of discontinuities and functional groups to assess relative resil- www.ecologyandsociety.org/vol14/iss1/art15/
ience in complex systems. Ecosystems, 8 (8), 958–966. Gunderson, Lance H., & Holling, C. S. (Eds.). (2002). Panarchy:
Biggs, Harry C., & Rogers, Kevin H. (2003). An adaptive system to Understanding transformations in human and natural systems .
link science, monitoring, and management in practice. In Johan T. Washington, DC: Island Press.
du Toit, Kevin H. Rogers & Harry C. Biggs (Eds.), The Kruger Gunderson, Lance H.; Allen, Craig R.; & Holling, C. S. (Eds.).
experience: Ecology and management of savanna heterogeneity. (2010). Foundations of ecological resilience. New York: Island Press.
Washington, DC: Island Press. Holling, C. S. (1973). Resilience and stability of ecological systems.
Biggs, Reinette; Carpenter, Stephen R.; & Brock, William A. (2009). Annual Review of Ecology and Systematics, 4, 1–23.
Turning back from the brink: Detecting an impending regime shift Holling, C. S. (1992). Cross-scale morphology, geometry, and dynam-
in time to avert it. Proceedings of the National Academy of Science of ics of ecosystems. Ecological Monographs, 62 (4), 447–502.
the United States, 106(3), 826–831. Holling, C. S. (2001). Understanding the complexity of economic,
Carpenter, Stephen R., et al. (2011). Early warnings of regime shifts: ecological, and social systems. Ecosystems, 4 (5), 390–405.
A whole-ecosystem experiment. Science, 332 (6033), 1079–1082. Holling, C. S. (2006). Memoirs. Retrieved October 30, 2011, from
Chapin, F. Stuart, III; Kofi nas, Gary P.; & Folke, Carl. (2009). http://www.resalliance.org/index.php/holling_memoir
Principles of ecosystem stewardship: Resilience-based natural resource Holling, C. S. (Ed.). (1978). Adaptive environmental assessment and
management in a changing world. New York: Springer Verlag. management. New York: John Wiley.
Folke, Carl; Hahn, Thomas; Olsson, Per; & Norberg, Jon. (2005). Peterson, Garry; Allen, Craig R.; & Holling, C. S. (1998). Ecological
Adaptive governance of social-ecological systems. Annual Review resilience, biodiversity, and scale. Ecosystems, 1(1), 6–18.
of Environment and Resources, 30 (1), 441–473. Resilience Alliance. (2011). Homepage. Retrieved December 16,
Forys, Elizabeth A., & Allen, Craig R. (2002). Functional group 2011, from http://www.resalliance.org/
change within and across scales following invasions and extinc- Sousa, Wayne P., & Connell, Joseph H. (1985). Further comments on
tions in the Everglades ecosystem. Ecosystems, 5(4), 339–347. the evidence for multiple stable points in natural communities.
Garmestani, Ahjond S.; Allen, Craig R.; & Cabezas, Heriberto. American Naturalist, 125(4), 612–615.
(2009). Panarchy, adaptive management and governance: Policy Walker, Brian H., & Salt, David. (2006). Resilience thinking: Sustaining
options for building resilience. Nebraska Law Review, 87(4), ecosystems and people in a changing world. Washington, DC: Island
1036–1054. Press.
Garmestani, Ahjond S.; Allen, Craig R.; & Gunderson, Lance. Zellmer, Sandi, & Gunderson, Lance H. (2009). Why resilience may not
(2009). Panarchy: Discontinuities reveal similarities in the always be a good thing: Lessons in ecosystem restoration from Glen
dynamic system structure of ecological and social systems. Ecology Canyon and the Everglades. Nebraska Law Review, 87(4), 893–949.

Rewilding
Rewilding builds on many approaches to conservation Roots of Rewilding

as part of a broad vision to restore ecologically dis-
turbed areas to balanced wilderness. It involves con- Shifting cultivation, or swidden agriculture (also known
necting large core reserves, thus allowing wildlife to as slash-and-burn), could be considered the fi rst small-
travel unhindered across continents and maintaining scale application of rewilding. This agricultural system is
populations of top-level predators to regulate prey pop- based on moving cropped areas frequently so that soils
ulations. Rewilding is already occurring on its own in can recover and natural vegetation can regrow in the
abandoned farm fields, but proponents seek success on abandoned fields. It has been used by traditional peoples
a continental scale. around the world for centuries and continues to be prac-
ticed by subsistence farmers in the developing world.
I t has been said that prior to the loss of the American

chestnut tree in North America, a squirrel could travel
the entire length of the eastern United States without
Both deliberate and passive abandonment of many
farm fields has contributed to the rewilding of large
areas. Following European settlement of North America,
ever leaving the treetops. This story may be more ecologi- much of the forest in the northeastern United States was
cal fable than scientific fact, but the conservation strategy cleared for timber and then converted to croplands. Then
of rewilding proposes to again allow distance-roving many farm fields were abandoned during the westward
wildlife such as wolves, elephants, and jaguars to travel expansion of the country and agriculture, and natural
unhindered across continents. succession led to recolonization of the abandoned fields
Rewilding is a conservation vision that emerged in by trees and shrubs.
the 1990s aimed at creating systems of connected core In the twenty-first century, some areas in the north-
reserves on a continental scale that allows large-scale eastern United States are reaching presettlement levels of
ecological processes and healthy wildlife populations to forest cover. And along with the forests comes habitat for
carry on unhindered or recover from setbacks. The wildlife. Populations of species such as white-tailed deer
approach focuses on the continued presence—and rein- and beaver are rebounding from extreme lows at the peak
troduction where necessary—of large carnivores in order of deforestation in the early 1900s. Although shifting
to maintain top-down species and habitat regulation in cultivation and cropland abandonment return formerly
ecosystems. Proponents argue that a system of reserves utilized land to a more natural and wild condition, nei-
large and connected enough to support viable popu- ther has the purpose, scale, or planned coordination to
lations of wide-ranging carnivores would also protect achieve rewilding’s goals.
many other species with smaller habitat requirements Undeveloped natural areas will always be important
and would be a sustainable method of maintaining global for the conservation of biodiversity, but rewilding goes a
biodiversity. The approach is based on sound science, step further, seeking to restore ecologically disturbed
researched and promulgated by academics, and it is also areas to balanced wilderness. The science of ecological
supported by environmentalists who are closely aligned restoration began in the early twentieth century and
with the ethical arguments of wilderness preservation. was heavily influenced by the work of Aldo Leopold
340

REWILDING • 341
(1887–1948), who taught wildlife ecology at the input from scientists working at all ecological levels to
University of Wisconsin. Along with others at the uni- support its concentration on large animals and
versity, he was involved with starting one of the world’s ecosystems.
first restoration projects at the University of Wisconsin– At its heart is the design of large and interconnected
Madison Arboretum by attempting to re-create a tall- networks of protected reserves built around existing core
grass prairie on an old horse pasture. Leopold is even reserves, such as national parks and forests, which are
better known for his work in restoring a worn-out farm crucial because of the limited number of roads within
in central Wisconsin and his seminal writings about the them. Roads can fragment habitat, introduce non-native
experience. His essays introduced many of the ethical species, and enable exploitation of natural resources. To
underpinnings of environmental preservation and resto- allow wildlife populations to move, the core reserves
ration, as well as scientific principles that are central to must be connected by habitat corridors and linkages.
rewilding, such as top-down regulation in ecosystems by This connectivity is critical to the rewilding strategy of
carnivores. maintaining populations of top-level carnivores. Such wide-
The techniques used to restore an ecosystem vary ranging species require vast wild areas for
depending on the existing plant and animal persistence; yet even the largest core
communities, past uses of and disturbances reserves may not, individually, be
to the area, and the restoration goal. big enough to support viable
Successful restoration projects have populations. As well, con-
clearly stated goals, such as reestab- nected core reserves would
lishing a predisturbance vegetation allow large-scale ecological
community or creating conditions processes, such as natural
similar to a chosen reference site disturbance regimes and
if predisturbance conditions are metapopulation dynamics,
unknown or impossible to repro- to function normally. While
duce. Restoration ecology has connectivity can be achieved
focused more on re-creating lost directly by corridors of suit-
or degraded plant communities able habitat between core
than on establishing large-scale reserves, the rewilding strategy
wildlife habitat or reintroducing also proposes to make the
animal species. Rewilding entire landscape more perme-
expands the scale and scope of able to wildlife movements by
restoration ecology to the level identifying barriers, such as
of continent-wide wildlife pop- major highways, large areas of
ulations and naturally function- intensive agriculture, or dams
ing ecological processes. along river ecosystems, and
finding ways to mitigate their
impact.
Principles of Rewilding The need for large, intercon-
nected core reserves is supported by
Rewilding as a conservation strategy blends many sci- the theory of island biogeography, which
entifi c disciplines, including ecological restoration, predicts that larger islands that are closer to the mainland
wildlife biology, and ecosystem management, together will have higher and more persistent levels of biodiver-
with public policy tools such as environmental law and sity. A core reserve surrounded by inhospitable habitat is
international diplomacy. It draws deepest from the field like an island surrounded by water, preventing species
of conservation biology, a synthesis discipline that travel and limiting diversity. Scientists have debated for
emerged in the late 1970s in response to a phenomenon decades over what’s required for effective conservation of
many scientists believe to be in progress and largely biodiversity in terms of size and shape of protected areas
caused by human activities—the sixth mass extinction and level of connectedness between them. Most scientists
of species on Earth. Conservation biology studies the have come to agree that larger and more-connected
loss and conservation of global biodiversity, from the reserves better preserve biodiversity than smaller, isolated
genetic level up through populations and communities, ones. Rewilding builds on this foundation, adding focus
expanding out to ecosystems across entire landscapes. on top-level carnivores, such as gray wolf, brown bear, or
For rewilding to be successful on a grand scale, it needs sea otter—various “keystone species” at the apex of food

webs, which help maintain diverse assemblages of other Terai Arc Landscape Project runs along the border of
species and keep populations of smaller carnivores and India and Nepal.
herbivorous prey species in check. In the absence of large These projects all embrace the principles of rewilding
predators, herbivores can overpopulate their environ- while confronting the realities of large-scale conserva-
ment, leading to overbrowsed vegetation and changes in tion. The legacies of colonialism, corrupt governments,
plant communities, which in turn can degrade habitat for widespread poverty, and sometimes warfare all have
all wildlife. hindered conservation efforts and led to further environ-
The influence of carnivores on ecosystems is referred mental degradation, loss of biodiversity, and human
to as top-down regulation, as opposed to bottom-up suffering.
regulation where animal populations are controlled by Several founders of the rewilding concept are working
the abundance and quality of food. Rewilding advo- in North America on the Yellowstone to Yukon Initiative
cates rally around top-level carnivores (called “umbrella (Y2Y) aimed at connecting the world’s fi rst national
species” or “fl agship species”) because of their impact park, Yellowstone National Park in the United States,
on ecosystems, their large habitat requirements, and with the vast Yukon Territory in northwestern Canada
their charisma in the public eye. Rewilding is more through a massive wildlife corridor of protected areas and
successful where top-level carnivores are already estab- roadless lands. Progress on this project is slowed when
lished than where they need to be reintroduced, for reintroduction attempts and delisting the gray wolf as an
reintroduction can be challenging, expensive, and con- endangered species are bitterly contested in lengthy legal
troversial with local residents. Large carnivores are battles, and bison roaming outside the protection of
important not only for ecological reasons, but also for Yellowstone National Park are shot by state wildlife
the ethical rationale of restoring the lost wilderness agencies to protect private property and grazing con-
that they symbolize. Reintroducing large carnivores tracts. The Y2Y is the best-known rewilding effort in
across continent-wide landscapes may be rewilding’s North America, but smaller projects also exist, such as
most ambitious goal. the Algonquin to Adirondack Conservation Association
(A2A) in the Northeast and the Sky Island Alliance in
the Southwest.
Rewilding in Practice Even in affluent North America, and even without the
added challenges of conservation projects in the develop-
Before the term rewilding was coined, large-scale conser- ing world, rewilding can create tensions between native
vation was underway through efforts like the United cultures, local residents, and outside interests, such as
Nations Educational, Scientific and Cultural Organization environmental organizations and government agencies.
(UNESCO) Man and the Biosphere Programme started The Malpai Borderlands Group, which spans the
in the 1970s that now encompasses hundreds of reserves Arizona–New Mexico border, seeks to bridge gaps and
around the world. A recently created and similar program find common ground among diverse stakeholders that
in Africa, called the Transboundary Protected Areas for will lead to sustainable use of the region’s natural
Peace and Co-operation, provides the framework for resources for supporting human communities while
establishing parks that straddle political boundaries; for maintaining a healthy ecosystem for wildlife.
example, the Great Limpopo Transfrontier Conservation
Area, which includes the famous Kruger National Park in
South Africa, Gonarezhou National Park in Zimbabwe, Impact of Rewilding
and three national parks in Mozambique. The largest of
these “peace parks” is the Kavango–Zambezi Transfrontier Since the idea of rewilding was conceived, several large
Conservation Area at almost 300,000 square kilometers conservation planning efforts around the world have
across five countries. incorporated its major aspects (cores, corridors, and car-
In Central America, the Paseo Pantera, or Path of the nivores), but few on-the-ground projects have achieved
Panther, was proposed in the early 1990s so that a jaguar the success needed to justify the scale and scope that a
could wander from Mexico’s Yucatán Peninsula to the full rewilding strategy entails. Rewilding is best applied
northern tip of Columbia. Th is initiative has struggled to landscapes that are not densely populated or devel-
with controversy and opposition from indigenous peo- oped yet still retain large tracts of wildlands to function
ples, but it lives on in the renamed Paseo del Jaguar. as core reserves. Sometimes the focus on protected core
Farther south there is the Cerrado–Pantanal Ecological reserves and large carnivores can place rewilding at odds
Corridors project in Brazil to link the world’s largest with economic and sustainable development projects
grasslands of the Pantanal with the small but ecologically that attempt to benefit local people. There needs to be
rich Emas National Park. And in southern Asia, the further study on how humans will impact (and benefit

REWILDING • 343
from) large-scale conservation projects before rewilding Foreman, Dave. (2004). Rewilding North America : A vision for conser-
can be an effective and sustainable conservation strategy vation in the 21st century. Washington, DC: Island Press.
Fraser, Caroline. (2009). Rewilding the world: Dispatches from the con-
around the world. servation revolution. New York: Henry Holt and Company.
Even without complete implementation of the rewild- Groom, Martha J.; Meffe, Gary K.; & Carroll, C. Ronald. (2006).
ing approach, however, including its daring and hopeful Principles of conservation biology (3rd ed.). Sunderland, MA: Sinauer
vision as part of the dialogue in conservation planning Associates.
Leopold, Aldo. (1949). A Sand County almanac: And sketches here and
can lead to better and more sustainable solutions for pre- there. New York: Oxford University Press.
serving global biodiversity. Noss, Reed F., & Cooperrider, Allen Y. (1994). Saving nature’s legacy:
Protecting and restoring biodiversity. Washington, DC: Island Press.
David J. SPIERING Primack, Richard B. (2009). Essentials of conservation biology (4th ed.).
Buffalo Museum of Science Sunderland, MA: Sinauer Associates.
The Rewilding Institute. (2010). Homepage. Retrieved June 29, 2010,
See also Agroecology; Biological Corridors; Biodiversity; from http://rewilding.org/rewildit/
Boundar y Ecotones; Charismatic Megafauna; Society for Conservation Biology. (2010). Homepage. Retrieved June 29,
2010, from http://www.conbio.org/
Community Ecology; Ecological Restoration; Edge Soulé, Michael E., & Noss, Reed F. (1998). Rewilding and biodiver-
Effects; Food Webs; Habitat Fragmentation; Keystone sity: Complementary goals for continental conservation. Wild
Species; Population Dynamics; Reforestation; Resilience; Earth, 8 (3), 18–28.
Species Reintroduction; Succession; Wilderness Areas Soulé, Michael E., & Terborgh, John. (Eds.). (1999). Continental con-
servation: Scientific foundations of regional reserve networks.
Washington, DC: Island Press.
Soulé, Michael E.; Estes, James A.; Berger, Joel; & Martinez Del Rio,
Carlos. (2003). Ecological effectiveness: Conservation goals for
FURTHER READING interactive species. Conservation Biology, 17(5), 1238–1250.
Donlan, Josh, et al. (2005). Re-wilding North America. Nature, 436, White, Mel. (2009). Path of the jaguar. National Geographic, 215(3),
913–914. 122–133.
Eisenberg, Cristina. (2010). The wolf ’s tooth: Keystone predators, trophic Wildlands Network. (2010). Homepage. Retrieved June 29, 2010,
cascades, and biodiversity. Washington, DC: Island Press. from http://www.twp.org/

Road Ecology
Roads and traffic threaten biodiversity because they Environmental Effects

contribute to the dissection and isolation of habitat
patches and increase wildlife mortality. Wildlife needs The negative effects of roads and traffic on animal abun-
to move around the landscape to access different dance by far outnumber the positive. Roads and traffic
resources, exchange genetic material, and recolonize decrease habitat amount and quality. Vehicles collide
empty habitats. Road ecology studies how roads and with and kill wildlife. Roads keep animals from access-
traffic affect plants and animals. This information helps ing resources on the other side of the road and subdivide
planners consider the ecological effects of roads in envi- animal populations into smaller and more vulnerable
ronmental impact assessments, better protect roadless fractions. Roads not only take up habitat; edge effects
areas, and implement more effective mitigation reduce core habitat by an even higher amount. The “road
measures. effect zone” describes how far from the road its effects
extend. Declines in species abundances range between
O ver the last fi fty years, the road networks on Earth

have expanded at a rate unprecedented in history.
Today, roads are a pervasive feature of most landscapes.
40 meters and 2,800 meters for birds, between 250 meters
and 1,000 meters and possibly more for amphibians, and
up to 17 kilometers for mammals (Forman et al. 2003;
They connect people from place to place and provide for Benítez-López, Alkemade, and Verweij 2010).
transportation of goods. Average road densities (roads Many species need to access different types of habitat
per square kilometer [km 2] of landscape) range between in the various phases of their lives (e.g., feeding, breed-
0.1 kilometers/km 2 in Canada, 0.65 in the United States, ing, overwintering). The subdivision and isolation of
1.8 in Germany, and 3.0 in Japan (Forman et al. 2003). subpopulations reduces genetic variability and inter-
Roads and traffic have caused an alarming worldwide rupts metapopulation dynamics—that is, organisms
decline and loss of wildlife populations. Road ecology is cannot move between different subpopulations and
the study of how roads and traffic affect animals and between habitat patches where conditions have become
plants, their abundance and distribution, and the condi- unfavorable and new empty habitat patches. Roads
tions of long-term population persistence (Roedenbeck increase the risk of extinction and increase small and
et al. 2007). The German vegetation ecologist Heinz isolated populations’ vulnerability to natural stress fac-
Ellenberg and his colleagues fi rst used the term road tors (e.g., adverse weather conditions, fi res, diseases).
ecology (Straßenökologie) in German in 1981. Richard T. Some species are particularly vulnerable to roads and
T. Forman, a US landscape ecologist, and his colleagues traffic: many populations of large terrestrial mammals
translated the term in 2003 for their book Road Ecology: are endangered or live in small numbers, and most of
Science and Solutions. The US science writer David these species have large habitat needs and require move-
Quammen vividly illustrated the effects of roads on eco- ment over long distances. Traffic often kills amphibians,
systems by comparing them to the dissection of a Persian turtles, snakes and other reptiles, and birds. Researchers
carpet. (See sidebar on page 345.) estimate that annual road-kill numbers vary from a
344

ROAD ECOLOGY • 345
ECOSYSTEMS AND PERSIAN RUGS

Let’s start by imagining a fine Persian carpet and a ragged fragments, each one worthless and com-
hunting knife. The carpet is twelve feet by eighteen, mencing to come apart.
say. That gives us 216 square feet of continuous Now take the same logic outdoors and it begins to
woven material. We set about cutting the carpet explain why the tiger, Panthera tigris, has disappeared
into thirty-six equal pieces, each one a rectangle, from the island of Bali. It suggests why the jaguar, the
two feet by three. The severing fibers release small puma, and forty-five species of birds have been extir-
tweaky noises, like the muted yelps of outraged pated from a place called Barro Colorado Island, and
Persian weavers. When we’re finished cutting, we why myriad other creatures are mysteriously absent
measure the individual pieces, total them up—and from myriad other sites. An ecosystem is a tapestry of
find that, lo, there’s still nearly 216 square feet of species and relationships. Chop away a section, isolate
recognizably carpetlike stuff. But what does it that section, and there arises the problem of unraveling.
amount to? Have we got thirty-six nice Persian
throw rugs? No. All we’re left with is three dozen From: “The Song of the Dodo” by David Quammen (1996).
hundred thousand in some countries to several 100 mil- Roads facilitate the spread of invasive species and
lion in others. Vehicles annually kill 500,000 large enhance human access to wildlife habitats. Conse-
ungulates, or hoofed mammals, in Europe (excluding quently, humans hunt, poach, convert, and deforest
Russia) and 8.5 million birds in Sweden alone (Seiler land, extract resources, and create other forms of distur-
2003). Those species most strongly affected generally bance in these areas more intensely. Roads significantly
reproduce at low rates or have long generation times, affect entire communities, ecosystems, and various eco-
occur at low densities (e.g., lynx, wolverine), have large system services. (See table 1 on page 347.) Species
home range sizes, or frequently move over long ranges movement, water-related services, and erosion preven-
of the landscape (e.g., various large mammals, some tion are examples of regulation and maintenance ser-
large birds). Th ey may be larger, move slowly (e.g., vices that roads affect. In addition, roads alter
amphibians), exhibit low car avoidance or low road provisional services by creating small land parcels that
avoidance, or may be attracted by roads (e.g., some reduce profits and lower the quality of agricultural
turtles and snakes). Although birds can fly easily across products grown alongside them. Roads also influence
roads, they often take off from vegetation next to the cultural services . Although roads make recreational
road and do not gain height fast enough to escape areas more accessible, they permeate the landscape with
passing vehicles ( Jaeger et al. 2005; Fahrig and technology. Their fragmentation alters people’s percep-
Rytwinski 2009). tion of recreational areas as less connected. Noise and
The more roads traverse their habitat, the less likely air pollution are spread more widely by roads and affect
these populations are to survive. Several studies found landscape quality and human well-being. These findings
that at road densities above certain levels, some species do apply to other transportation infrastructure as well,
not occur anymore (summarized in Robinson, Duinker, such as railways, pipelines, and ski lifts.
and Beazley 2010). When the threshold in road density
has been reached, the next new road is likely to bring
Conservation and Planning
about the populations’ extinction. (See figure 1 on page
346.) Even worse, when road density crosses the “point of Ecologists find it difficult to quantify the effects of roads
no return” and the population is already in decline, even on animal and plant populations because they do not
relatively drastic measures will not reverse the trend, and know the full extent of the ecological effects of landscape
it will be impossible to rescue the population. alterations until decades after they are implemented. Even

Figure 1. The Road Density Threshold
Population 1
viability
0.8
0.6
0.4
0.2
0
0 10 20 30 40 50
Density of roads in the landscape (km roads per 100 km2 landscape)
Source: J. Jaeger and R. Holderegger. (2005); reproduced with permission of GAIA: Ecological Perspectives for Science and Society.
The viability of wildlife populations decreases when the density of roads in the landscape increases. The specific value of the
threshold depends on the particular species, on traffic volumes on the roads, on the amount and quality of habitat remaining
in the landscape, and other human impacts present in the landscape. Once the threshold is passed and the so-called point of
no return is crossed, it will be impossible to rescue a declining population. The figures on the left are the probabilities of popu-
lation persistence, between 0 and 1.
if policy makers stopped all further road construction introducing obligatory insurance for such ecological risks
today, many wildlife populations would still decline and to increase the level of accountability for uncertain eco-
disappear over the coming decades because of their long logical effects and effects with long time lags. This would
response times to the alterations that have already consist of a funding mechanism to pay for the monitoring
occurred. Ecologists call this effect the extinction debt of and repair or compensation of unanticipated ecological
altered landscapes (Tilman et al. 1994). Planners there- damages observed years after the road was constructed.
fore need indicators to measure threats to biodiversity. Roads and rising traffic volumes increasingly fragment
The road network’s effective mesh size, for example, quanti- landscapes all over the world, and this trend will continue
fies the threat to biodiversity from landscape fragmenta- in the future, particularly in eastern Europe, China,
tion (EEA and FOEN 2011). In regions where there are India, and Latin America. The 2,594-kilometer trans-
still significant numbers of large unfragmented areas and continental Inter-Oceanic Highway in Brazil and Peru,
important pockets of biodiversity left, planners should not completed in 2011, is a dramatic example. It connects the
repeat the same mistakes other regions have made. Atlantic to the Pacific and dissects the Amazonian rain
Table 1 on page 347 includes only the effects ecologists forest. In 2010, the Tanzanian government proposed the
know about today. There may be cumulative effects (in construction of a major 480-kilometer highway through
combination with other human impacts) and conse- Serengeti National Park. The highway would devastate
quences on ecological communities, such as changes in many ecosystems and wildlife populations, such as
the food chain and cascading effects. Planners need to migrating herds of wildebeest and zebra (Dobson et al.
consider not only particular species, but food webs, eco- 2010). These plans directly contradict the purpose of the
systems, and ecosystem services. Unfortunately, environ- renowned park.
mental impact assessments rarely study and consider the Policy makers and planners should protect remaining
ecological effects of new roads in sufficient detail. Studies large unfragmented areas with high priority. The scien-
often neglect the many cumulative effects and uncertain- tific literature emphasizes the importance of large road-
ties about the ecological effects. Planners should consider less areas to conserve biodiversity (Selva et al. 2011).

Table 1. Effects of Roads and Traffic on Environment and Ecosystem Services
Theme Consequences of Roads
Land cover • Land occupation for road surface and shoulders

• Soil compaction, sealing of soil surface
• Alterations to geomorphology (e.g. cuts, embankments, dams, stabilization of slopes)
• Removal of vegetation, alteration of vegetation
Local • Modification of temperature conditions (e.g., heating of roads, increased variability in temperature)
climate • Accumulation of cold air at embankments of roads (cold-air buildups)
• Modification of humidity conditions (e.g., lower moisture content in the air due to higher solar
radiation, stagnant moisture on road shoulders due to soil compaction)
• Modification of light conditions
• Modification of wind conditions (e.g., due to aisles in forests)
• Climatic thresholds
Emissions • Vehicle exhaust, pollutants, fertilizing substances leading to eutrophication (excess nutrients in
water bodies lead to excessive plant growth)
• Dust, particles (abrasion from tires and brake linings)
• Oil, fuel, etc. (e.g., results of traffic accidents)
• Road salt
• Noise
• Visual stimuli, lighting
Water • Drainage, faster removal of water
• Modification of surface water courses
• Lifting or lowering of groundwater table
• Water pollution
Flora/Fauna • Death of animals caused by road mortality (partially due to animals’ attraction to roads, i.e., “trap effect”)
• Higher levels of disturbance and stress, loss of refuges
• Reduction or loss of habitat; sometimes creation of new habitat
• Modifications of food availability and diet composition (e.g., reduced food availability for bats due
to cold-air buildups along road embankments at night)
• Barrier effect, filter effect to animal movement (reduced connectivity)
• Disruption of seasonal migration pathways, impediment of dispersal, restriction of recolonization
of empty habitats
• Subdivision and isolation of habitats and resources, breaking up of populations
• Disruption of metapopulation dynamics, genetic isolation, inbreeding effects and increased genetic
drift, interruption of the processes of evolutionary development
• Reduction of habitat below required minimal areas, loss of species, reduction of biodiversity
• Increased intrusion and distribution of invasive species, pathways facilitating infection with diseases
• Reduced effectiveness of natural predators of pests in agriculture and forestry (i.e., biological
control of pests more difficult)
Landscape • Visual stimuli, noise
scenery • Increasing penetration of landscapes by roads, posts, and wires
• Visual breaks, contrasts between nature and technology; occasionally vivification of landscapes
(e.g., by avenues with trees)
• Change of landscape character and identity
Land use • Consequences of increased accessibility of landscapes for humans due to roads, increase in traffic
volumes, increased pressure for urban development and mobility
• Farm consolidation (mostly in relation to construction of new transport infrastructure)
• Reduced quality of agricultural products harvested along roads
• Reduced quality of recreational areas due to shrinkage, dissection, and noise
Note: Excludes effects of construction sites such as soil excavation and deposition, vibrations, and acoustic and visual disturbances.
Source: Jaeger (2003), based on various sources.

Planners also need to prevent further loss and fragmen- collisions, they increase the barrier effect of roads if they
tation of habitats in landscapes that are already frag- are used without crossing structures. The outcome of this
mented by identifying areas where further fragmentation trade-off for the population depends on traffic volume
is an imminent threat and rapidly preserving them. This and the behavior of the animals at the road (Jaeger and
task is particularly urgent in regions with a rapid pace of Fahrig 2004). It is often unclear in what situations fences
development, such as large parts of eastern and central are an advantage or a disadvantage for wildlife popula-
European countries. Urban sprawl leads to more road tions. Fences slow the decrease of wildlife populations,
construction and higher traffi c volumes, and roads but they need to be combined with wildlife passages. (See
attract urban development. Therefore, regional planning figure 2 on page 349.) These measures are standard for
legislation should require local and regional authorities new roads in some parts of the world, but retrofitting
to treat land sparingly. Settlement boundaries and green existing roads is not as common. There must be enough
belts can ensure that built-up areas leave clear open habitat left in the landscape for passages to be effective,
spaces. though. Decision makers may consider road construction
unproblematic if they combine new roads with wildlife
passages and fences. This attitude ignores the other nega-
Mitigation Measures
tive effects of roads and the critical importance of habitat
Current trends of landscape fragmentation clearly con- amount. The conservation and restoration of wildlife hab-
tradict the principles of sustainability. Scientists and itats thus must be the first priority. Wildlife passages will
nongovernmental organizations should inform decision be useless if there is not enough habitat left to connect.
makers and the general public about the problems of It is better to upgrade existing roads than to construct
landscape fragmentation and habitat loss and about new roads at another location, even though the widening
suitable measures to combat them. Planners need to will increase their barrier effects. Siting bypasses closer
consider four types of measures: (1) minimize negative to urban areas preserves larger unfragmented areas.
impacts during the planning and construction stages of Governments should remove roads not urgently needed
new roads, (2) restore connectivity across existing or reduce the width of roads on which traffic volumes
roads, (3) protect roadless areas and prevent further have decreased.
increase of the density of the road network, and (4) remove Continued landscape fragmentation will increase the
existing roads. Restoring damaged or severed wildlife cost of reconnecting isolated habitats, restoring wildlife
corridors re-creates opportunities for species to move. corridors, and rescuing endangered wildlife populations.
National and international defragmentation strategies Wise policy therefore avoids an increase of fragmentation
should coordinate these efforts and identify regionally from the start, in particular because even ecologists do
important unfragmented areas and priority areas for not know when wildlife populations will reach the point
defragmentation. The Pan-European Ecological of no return. Future regulations should link funds for
Network (PEEN), under the aegis of the Council of road construction to the analysis of the cumulative effects
Europe, the United Nations Environment Programme, of new roads on landscape fragmentation and the protec-
and the European Centre of Nature Conservation tion of unfragmented areas.
(ECNC), is an example of an international organiza- Targets and limits for the future degree of landscape frag-
tion working on mitigation issues. Climate change mentation would allow governments to justify their decisions
adaptation networks are likely to gain importance in and actions toward better protection of the environment.
the future as well. The German Federal Environment Agency, for example,
Tunnels, wildlife overpasses, underpasses, and pillars has proposed limits to curtail landscape fragmentation.
that raise the road are the most common measures that Governments also require a management approach that
allow wildlife to cross. They take advantage of the relief addresses the remaining uncertainties that are irreducible to
of the landscape, for example, through the use of wider a large degree. Such a precautionary approach would open up
bridges across streams. The story of the badger in the promising new lines of action for landscape management.
Netherlands is an encouraging example. A national Decision makers need to communicate and educate the
defragmentation program established in 1984 addressed public, create economic or market-based instruments, and
the decline of the badger populations observed since the promote changes in travel behavior.
1970s. Culverts (so-called badger pipes) combined with
other measures to stop the decline, and the populations
since have recovered (Dekker and Bekker 2010). The Future
Wildlife-crossing structures often need to be com-
bined with fences to reduce traffic mortality. Although Scientists monitor the environment to discover and better
fences increase traffic safety and protect animals from understand changes. The level to which roads fragment

Figure 2. Wildlife Overpass across a Four-Lane Motorway in Hungary
Source: J. Jaeger.
Wildlife overpasses such as this one in Hungary are standard for new roads in some parts of the world, but retrofitting existing roads is still
rare. In order to be effective, there must be enough intact habitat left in the landscape.
the landscape is an essential indicator of various threats a precautionary approach that curtails landscape frag-
to biodiversity, to the sustainability of human land use, mentation while continuing research fi lls the remaining
and to landscape quality. Planners should implement knowledge gaps. Implementation of targets and limits
these indicators in their monitoring systems of biodiver- requires a consultation process like that for environ-
sity, sustainable development, and landscape quality. mental standards for water and air quality.
Scientists need to track the changes in landscape frag- Research has been unable to catch up with the ecologi-
mentation to diagnose the rate of increase and changes in cal effects of the rapid increase in road densities. Decision
trends. Studies should more carefully observe the effects makers often argue that they need more research results
of new roads as well as wildlife passages and other miti- before they include more substantive mitigation measures
gation measures using the before-after-control-impact or slow down road construction. Th is attitude fl ies in the
study design, which compares data from before and after face of the principles of sustainability and is contrary to
the construction of the road with other locations where the precautionary principle.
no road was built (Roedenbeck et al. 2007). The relationship between the level of landscape frag-
In addition, planners need to consider more seriously mentation and biodiversity urgently requires further
the uncertain effects of roads. Many species’ long research. This work needs to consider the response times
response times to increases in road density present a of species to the deterioration of their environment
particular challenge. Scientists are unlikely to know the (extinction debt) and therefore needs to include historic
exact thresholds for wildlife populations any time soon. states of the landscape. Ecologists and transportation
Any hopes planners have for a general hard number for agencies need to establish collaborative links. Many road
the maximum acceptable level of fragmentation are likely agencies have environmental sustainability as one of their
to be disappointed. The fast pace of road development by goals. The only way to achieve such goals is for them to
far exceeds our understanding of the effects of roads on support long-term scientific research. Independent
the environment and biodiversity, which makes appro- research undertaking numerous small-scale projects
priate adaptive management impossible. Th is dilemma cannot provide the information required to quantify the
makes it all the more essential that decision makers adopt negative effects of roads and traffic and the positive

effects of mitigation measures. Researchers will enhance [Ecology and road: Pamphlet series of the German Road League],
the future of road ecology when they combine and inte- 3, 19–122.
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newable resource. Th is fact is particularly important to mal abundance: An empirical review and synthesis. Ecology and
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are fi nite, and their destruction is irreversible within Forman, Richard T. T., et al. (2003). Road ecology: Science and solutions.
Washington, DC: Island Press.
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framework for understanding, assessing, and mitigating ecological
Wilderness Areas effects of forest roads. Environmental Reviews, 18, 61–86.
Roedenbeck, Inga A., et al. (2007). The Rauischholzhausen agenda for
road ecology. Ecology and Society, 12 (1), Article 11. Retrieved
August 27, 2011, from http://www.ecologyandsociety.org/vol12/
iss1/art11/
FURTHER READING Seiler, Andreas. (2003). The toll of the automobile: Wildlife and
Benítez-López, Ana; Alkemade, Rob; Verweij, Pita A. (2010). The roads in Sweden. (Doctoral dissertation, Swedish University of
impacts of roads and other infrastructure on mammal and bird Agricultural Sciences, 2003). Retrieved December 16, 2011, from
populations: A meta-analysis. Biological Conservation , 143, http://pub.epsilon.slu.se/388/1/Silvestria295.pdf
1307–1316. Selva, Nuria, et al. (2011). Roadless and low-traffic areas as con-
Dekker, Jasja J. A., & Bekker, Hans (G. J.). (2010). Badger (Meles servation targets in Europe. Environmental Management, 48 (5),
meles) road mortality in the Netherlands: The characteristics of vic- 865–877. doi:10.1007/s00267-011-9751-z
tims and the effects of mitigation measures. Lutra, 53(2), 81–92. Tilman, David; May, Robert M.; Lehman, Clarence L.; & Nowak,
Dobson, Andrew P., et al. (2010). Road will ruin Serengeti. Nature, Martin A. (1994). Habitat destruction and the extinction debt.
467, 272–273. Nature, 371(6492), 65–66.
Ellenberg, Heinz; Müller, K.; & Stottele, T. (1981). Straßen- van der Ree, Rodney; Jaeger, Jochen A. G.; van der Grift, Edgar A.;
Ökologie: Auswirkungen von Autobahnen und Straßen auf & Clevenger, Anthony P. (Eds.). (2011). Special feature: Effects of
Ökosysteme deutscher Landschaften [Road ecology: Effects of roads and traffic on wildlife populations and landscape function.
freeways and roads on German landscape ecosystems.]. Ökologie Ecology and Society, 16(1), Article 48. Retrieved August 27, 2011,
und Straße: Broschürenreihe der deutschen Strassenliga, Ausgabe from http://www.ecologyandsociety.org/viewissue.php?sf541

Safe Minimum Standard (SMS)
The safe minimum standard is a guide for managing will cause irreversible climate change; this makes setting
catastrophic risk. Originally designed for the conserva- a SMS very difficult. Second, the term unacceptable conse-
tion of natural resources, the rule can be applied to any quences must be properly defined. For example, is the loss
area when management decisions entail a probability of of a species of fish an unacceptable consequence if a fish
catastrophic outcome and when actions to be taken can of greater economic value is able to thrive in its place?
be categorized as risky or non-risky. The rule specifies Third, even if risky actions are deemed unacceptable, it
that decisions should be chosen from the non-risky set may very well be that the cost of restricting the choice of
of possible actions. actions to the ones without risk may also be “unaccept-
ably” high, in which case a cost-benefit calculation of
some sort becomes unavoidable. SMSs specify allowable
T he safe minimum standard (SMS) is a policy that
attempts to eliminate risk of catastrophic outcomes
in the management of natural resources. SMS has been
actions only for a specific risk, so if another risk is to be
considered, there can be contradictory signals for what
advocated as an applicable rule when the probabilities action is acceptable. The term unacceptable consequences is
associated with different actions that can be taken are subjective, so SMS is not an objective policy tool that can
difficult or impossible to quantify and standard economic be mechanically applied on a case-by-case basis.
calculations of costs and benefits are unreliable. The SMS An alternative way of thinking about SMSs is that
was originally proposed by the German natural resource they may function as temporary policy rules until a better
economist Sigfried von Ciriacy-Wantrup (1906–1980) as understanding of risks, costs, and benefits of available
a policy that could be applied to conservation issues. actions are available. Th is “stop sign” interpretation of
Proponents argue that the SMS is a rational way of SMS makes the concept similar to the concept of the pre-
responding to the risk of catastrophes; others argue that cautionary principle, which is widely accepted as a sen-
the SMS is too blunt an instrument to be applied as a sible and more flexible policy rule when managing
general rule. potentially catastrophic risk. (The precautionary principle
posits that until a risk—such as the potential ramification
of a new technology—has been studied, it is best to avoid
The Concept of SMS that risk.)
The SMS is an intuitively obvious and simple way of
dealing with catastrophic risk: if there is a possibility that Resource Management Problems
an action will trigger unacceptable consequences, do not and SMSs
take that action. The concept does, however, demand a
few prerequisites for practical implementation. First of There are many situations for which SMSs may be an
all, it must be possible to specify which actions imply the appropriate policy guide. In ecology, for example, there
potential for catastrophic risk and which actions do not. are minimum viable populations (MVPs): if a population
For example, in managing greenhouse gas emissions it is of organisms declines below a certain level, population
unclear to many what the threshold is for emissions that growth becomes negative, and the population becomes
352

SAFE MINIMUM STANDARD (SMS) • 353
extinct. If the MVP is known, then that value is a candi- tends to be incremental in nature and rarely prescribes
date for a SMS. If the MVP is unknown, a SMS may that a resource should not be used at all. SMSs implicitly
then be prescribed as the maximum value of the range of assign a value that reduces the risk to zero, which most
possible MVPs. Eutrophication provides another exam- economic management practices f ind arbitrary.
ple. If accumulated nutrient deposition in a lake from Economists have been reluctant to accept SMSs as a pol-
agriculture crosses a certain threshold, this may trigger icy tool because of the contrast with traditional economic
algae blooms, with associated deterioration of water methods of cost-benefit calculations and improved eco-
quality and species composition. Th is process may be nomic techniques for evaluating catastrophic risk. When
irreversible, so that even if nutrient depositions are there are suspected tipping points, however, they often
stopped, the lake will not revert to its original state. This prescribe SMSs as the optimal policy from an economic
threshold is also a candidate for a SMS. A tipping point perspective, since tipping points indicate the possibility
with consequences on a larger scale includes the possibil- of irreversible change that can have indeterminate eco-
ity of greenhouse gas emissions inducing runaway cli- nomic costs (Margolis and Nævdal 2008).
mate change that causes irreversible sea level rise and Proponents of economic cost-benefit analysis often cite
temperature change. the inherent subjectivity in defining “unacceptable costs”
In all these examples, it is possible to deduce the exis- when deciding on the adoption of a SMS as an argument
tence of critical boundaries that, if they exist and are in against its use. Advocates of SMS, however, counter that
fact crossed, lead to a fundamental change in the system economic cost-benefit analysis is founded on a theory of
dynamics. They thus satisfy the criterion for implementa- what is valuable (utilitarianism), which is also a subjective
tion of a SMS. Nonetheless, defining an unacceptable moral philosophy. Therefore, advocates of SMSs claim
consequence is arguably a subjective choice and in that cost-benefit analysis is not in any sense a more objec-
some—but not all—cases is debatable. For example, tive policy tool than SMSs.
intensive agriculture practices can deplete soil to irrepa-
Eric NÆVDAL
rable levels, causing desertification; some might argue,
Ragnar Frisch Centre for Economic Research
however, that intensive agricultural practices are neces-
sary to provide food for starving people. While a SMS See also Adaptive Resource Management; Administrative
might be put in place to prevent desertification, those Law; Best Management Practices (BMP); Carrying
who seek to combat current food challenges might argue Capacity; Complexity Theory; Community Ecology;
that the SMS limits their ability to manage another Ecological Forecasting; Forest Management; Keystone
unacceptable risk—starvation. Species; Mutualism; Population Dynamics; Regime
Shifts; Resilience
Criticisms of SMSs
SMSs have been criticized on many grounds, but mostly
because the economic rationale for SMSs is considered FURTHER READING
poor. The criticism may be summarized as follows Ciriacy-Wantrup, Sigfried von. (1952). Resource conservation. Berkeley:
(Randall 2011, 174): even if a particular ecosystem col- University of California Press.
lapses, there are substitutes. If one lake eutrophies, that Farmer, Michael C., & Randall, Alan. (1998). The rationality of a safe
minimum standard. Land Economics, 74 (3), 287–302.
is not such a big disaster as long as other lakes are pre- Margolis, Michael, & Nævdal, Eric. (2008). Safe minimum standards
served. Imposing an SMS may thus imply a decision to in dynamic resource problems: Conditions for living on the edge of
avoid risky outcomes that are not truly catastrophic. The risk. Environmental and Resource Economics, 40 (3), 401–423.
revenue from harvesting trees may, for example, be deter- Rolfe, John C. (1995). Ulysses revisited: A closer look at the safe mini-
mum standard. Australian Journal of Agricultural Economics, 39 (1),
mined a greater benefit than leaving the forest ecosystem 55–70.
intact even though it will be a long time before the forest Randall, Alan. (2011). Risk and precaution. Cambridge, UK: Cambridge
is regenerated. Finally, economic resource management University Press.

Shale Gas Extraction
Technologies for extracting gas from shale by using experimenting with high-volume hydraulic fracturing of
high-volume hydraulic fracturing (commonly known as shales in Texas in the mid-1990s, but using relatively low
“fracking”), a process that breaks up the rock and volumes, and relatively few wells. By 2003 or so, they
releases the gas, have developed since about the year were using larger volumes, and starting to use the
2000. Although many see shale gas as a viable alterna- approach for significant production of shale gas, but still
tive to other fossil fuels, especially natural gas from only in Texas. They started later in that decade to move
conventional sources, the environmental costs are high. into other states, and to increase the volumes used.
Particular concerns include water and air pollution as Mostly, this practice is still quite new. For instance, in
well as emissions of greenhouse gases. the Marcellus shale in Pennsylvania, significant shale gas
extraction began only in 2009.
To get unconventional gas from shales, producers began
N atural gas makes up some 20 percent of all energy
use globally (IEA 2011) and 24 percent in the
United States (US EIA 2011). Most natural gas is
to use much larger volumes of water as well as many chemi-
cal additives, combined with high-precision horizontal
obtained by drilling a well into a pocket of gas trapped drilling of wells. With high-precision drilling, workers can
beneath an impermeable layer within the Earth. The gas bore down into the Earth to depths of 3 kilometers or
simply flows through the well to escape and reach the more, then curve the well and drill sideways for another
surface. People have gradually been depleting such 2 kilometers or more, closely following within a vein of a
sources of “conventional” natural gas, however, and are particular gas-rich shale. (See figure 1 on page 355.) The
increasingly turning to “unconventional” sources: gas that shale rock is then fractured by forcing large volumes of
is tightly held in rocks with very low permeability such as water—20 million liters of water per well on average—and
shale, some sandstones, and coal seams. High-volume additives through the well at high pressure. In addition to
hydraulic fracturing (fracking) is a controversial method the chemical additives discussed in the section “What
that is used to extract natural gas from unconventional Goes Down / What Comes Back Up,” many of which have
sources. not been identified to the public, sand or other fine particles
The fracking process involves forcing water or other are included in the mixture to help keep the new fissures
fracturing fluid into a gas or oil wellbore to create frac- open to aid in the flow of gas from the rock and up the well.
tures and small fissures in the underlying rock, which
will release the gas and thus increase the production of Shale Gas Is New
the wells. The technique has been used since the 1940s in
conventional gas and oil wells, but until recently, only The development of unconventional gas by fracking is
with modest quantities of water—a few hundred thou- fairly new, having started slowly with gas in tight sand-
sand liters of water per fracking event per well at most. stones in the 1980s, then in coalbeds in the early 1990s,
(Exactly how often industry may re-frack wells, or if they and in shale in the late 1990s. In the United States, pro-
do so at all at significant levels, remains unknown, as the duction of gas from tight sandstones and coalbeds has
technology is simply too new.) The industry started already peaked, and only shale gas production is expected
354

SHALE GAS EXTRACTION • 355
Figure 1. Drilling for Gas from Conventional and Unconventional Sources
Land surface
Conventional
non-associated
gas Coalbed methane
Conventional
associated
gas
Seal Oil
Sandstone Tight sand

gas
Gas-rich shale
Source: Energy Information Administration of the US Department of Energy (US EIA 2010).
For conventional natural gas, a well is drilled into a formation where the gas is trapped, and the gas readily flows up the well to the surface.
For the tightly held natural gas in shales, wells are drilled directionally within the vein of rock. The rock is then hydraulically fractured to cre-
ate fissures, releasing the gas and allowing it to flow.
to increase over the coming decades (US EIA 2011). report by the US Geological Survey in August 2011
Shale gas development began in Texas, and Texas still (Coleman, J. L. et al. 2011) cast doubt on the more opti-
dominates the production of shale gas globally, although mistic estimates (Howarth and Ingraffea 2011).
some commercial production came online in Arkansas, Scientific study of shale gas extraction’s environmental
Louisiana, and Pennsylvania between 2007 and 2009. In effects is in the early stages. In fact, the first studies of the
2007, shale gas contributed only 1 percent of the supply of environmental consequences of shale gas were published
natural gas to the United States. By 2009, this had grown in 2011 (Howarth and Ingraffea 2011). In 2005, the US
to 14 percent, and the US Department of Energy has pro- Congress exempted fracking from most federal environ-
jected that shale gas will supply 45 percent of the coun- mental oversight and regulation, which has made it dif-
try’s natural gas by 2035 (US EIA 2011), although many ficult to obtain information on fracking’s effects from
researchers believe this is too optimistic (Howarth and industry sources. Nonetheless, a growing body of evi-
Ingraffea 2011). Outside of the United States, exploratory dence indicates reason for concern.
shale gas wells have been drilled in Quebec and British
Columbia, Canada, and in a few European countries, but
no shale gas wells have gone into commercial production What Goes Down/What Comes
in any of these places. Many parts of the world contain Back Up
possible shale gas resources, and some researchers predict
a massive global explosion in shale gas development In addition to the huge volume of water used, roughly
(Engelder 2011). Geologists do not know precisely how 200,000 liters of chemicals are added to a well during
large the world’s reserves of shale gas are, however, and a the fracking process. These include acids to assist with

opening up fi ssures, biocides to prevent microorgan- 2011b), and the future for waste disposal is highly
isms from growing and clogging up the fissures, scale uncertain.
inhibitors to reduce corrosion of the pipes, and surfac-
tants to reduce the friction of the high volume of water Water Pollution
at high pressure traveling through the long pipe runs of
the well. Many of these chemical additives are toxic, Improper disposal of flow-back fluids can lead to surface
mutagenic (causing birth defects), or carcinogenic water pollution, and, in addition, the development of
(causing cancer). The exact composition of the additives unconventional gas may contaminate groundwater.
used has not been disclosed to the public because the Freshwater aquifers are usually at shallow depths under-
2005 congressional fracking exemption allows the ground, within the top 100 meters or so, while the shale
industry to keep the chemical list secret (Howarth and gas is at depths of a kilometer or more. Despite this dis-
Ingraffea 2011). Similarly, Canada has no requirements tance, evidence indicates that in at least some cases,
about disclosing the composition of fracking chemicals fracking fluids actually have entered surface aquifers
(De Souza 2011). Nonetheless, although disclosure is (Urbina 2011d). One mechanism for the contamination
not the industry standard, more drilling companies are may be leaks in the well pipes as they pass through the
voluntarily reporting their chemical mixtures as the aquifer. Another possibility is that the high pressure used
public becomes more vocal about obtaining the in fracking forces the fluids up through nearby older,
information. abandoned wells, and these in turn leak into the ground-
When injected into the well, the frack water and water aquifer. The contamination of groundwater by
chemicals extract additional materials from the rock for- frack fluids has received little study or scrutiny, however,
mations, including toxic heavy metals, organic materials in part because information about it has been sealed and
(including some such as benzene that are toxic and carci- kept from the public when drilling companies settle law-
nogenic), and radioactive substances such as thorium, suits with landowners whose water has been contami-
radium, and uranium. The fracking of a well generally nated (Urbina 2011d).
takes less than a day. During the following two weeks or More common than contamination with fracking flu-
so, some of the water (approximately one-fifth of what ids is contamination with methane gas. A team of scien-
was added) together with the additives and extracted tists from Duke University demonstrated high levels of
materials, flows back to the surface. These mixtures are methane contamination in many private drinking water
called flow-back fluids. wells within one kilometer of gas wells in Pennsylvania
(Osborn et al. 2011). Water wells at greater distances
from gas wells sometimes had methane contamination
Treatment and Disposal too, but at much lower concentrations. Natural gas is
of Flow-Back Fluids composed mostly of methane, and this study proved that
the high levels of methane contamination came from the
When the flow-back fluids come to the surface, they are deep shale gas, and not from other sources of methane
stored in open pits or in tanks until they are treated or closer to the surface (such as bacteria in waterlogged
disposed of. In Texas, the industry disposes of most of soils). The Duke team did not find fracking fluid con-
the flow-back fluids by injecting them into old, aban- tamination in the water wells they sampled, and methane
doned conventional oil and gas wells. Elsewhere in the is not toxic. The methane did occur at levels that pose a
United States, there are not enough abandoned wells to major risk of explosion, however. Furthermore, the fact
provide sufficient disposal capacity, and other approaches that methane could migrate from the deep shale forma-
are necessary. In Pennsylvania, for example, most flow- tion into surface water wells suggests that other gases
back fluids have been trucked to municipal sewage treat- from the shale, such as benzene vapor, may also be
ment plants. Unfortunately, these facilities are not migrating and contaminating the wells.
designed to handle the toxic materials, and much of the
waste has simply flowed through the sewage plants and
been discharged into rivers (Howarth and Ingraffea Air Pollution
2011; Urbina 2011a). In the summer of 2011, the State
of Pennsylvania outlawed using sewage treatment plants Shale gas development is a major industrial enterprise
for flow-back fluid disposal. The natural gas industry is that results in sometimes severe air pollution (Howarth
attempting to develop effective and nonhazardous dis- and Ingraffea 2011). Large numbers of trucks haul
posal methods, such as to recycle the fluids and reuse water to the wells and flow-back fluids away. Massive
them in fracking. To date, only small percentages of diesel engines are used to drive the drills through kilo-
flow-back fluids have actually been recycled (Urbina meters of rock, and ten-thousand-horsepower diesel

engines drive the pumps for the actual fracking. More natural gas, due to a large venting of gas during the two-
engines run compressors to deliver the gas through week flow-back period following fracking. Methane
pipelines. Toxic organic gases and vapors—compounds emissions dominate the greenhouse gas footprint of
such as benzene and toluene—are routinely vented and shale gas, giving this fuel a larger footprint than any
leaked into the air. Cumulatively, these emissions can other fossil fuel when considered over a twenty-year
lead to high levels of ozone, which pose a risk to human period. (See figure 2 for a comparison of greenhouse gas
health but also adversely affect the vegetation of natural emissions for different types of fuel.) As time goes on,
ecosystems. Since shale gas drilling began in rural though, the influence of methane is diminished, as
Colorado, ozone concentrations in the once pristine air methane is removed from the atmosphere some ten
have often approached or exceeded the regulatory stan- times faster than is carbon dioxide. Nonetheless, the
dard set by the US Environmental Protection Agency greenhouse gas footprint of shale gas is comparable to
(CDPHE 2010). that of other fossil fuels over periods of up to one hun-
In Texas and Pennsylvania, state regulatory agencies dred years or more when used to generate heat (the pri-
routinely measure benzene concentrations in the mary use of natural gas) and over periods of up
air at levels that pose a significant risk of cancer to fi fty years when used to generate elec-
from chronic exposure, and at times in tricity (Howarth and Ingraffea 2011;
Texas the concentrations exceed Howarth, Santoro, and Ingraffea
the acute public health standard 2011, 2012; Hughes 2011).
(Howarth and Ingraffea 2011). Th at is, shale gas extracted
by fracking should not be
used as a bridging fuel if
Greenhouse Gas society is to reduce global
Emissions warming and avoid tip-
ping points in the global
Shale gas has been widely climate system over the
promoted as a clean fuel, one coming decades.
with fewer greenhouse gas Figure 2 on page 358
emissions than coal or oil, and illustrates the total green-
therefore suitable as a bridge house gas footprint of
fuel that would let society shale gas in comparison to
continue to rely on fossil other fossil fuels, consid-
fuels while reducing global ered at the integrated
warming to some extent. time scale for the 20
Shale gas does indeed pro- years following emis-
duce less carbon dioxide sions. The footprints for
than coal or oil for an equiv- each fossil fuel repre-
alent amount of energy, but sented by the six columns
this is only part of the emissions in figure 2 are divided into
story. Methane is an incredibly three segments: (1) the
powerful greenhouse gas—105 times direct emission of carbon dioxide
more potent than carbon dioxide over a twenty-year from burning the fuel (as indicated by the bottom por-
period following emission (Shindell et al. 2009). tion of each column); (2) indirect emissions of carbon
Consequently, even small leakages of shale gas, which is dioxide necessary to develop and use the fuel, including
mostly methane, have a huge influence on the green- for example trucking water to a fracking site and carry-
house gas footprint of shale gas. ing coal in trains (as indicated by the small sliver in the
In April 2011, the fi rst comprehensive analysis of middle of each column); and (3) methane emissions,
emissions of all greenhouse gases from shale gas devel- converted to equivalents of carbon dioxide over a twenty-
opment, including methane as well as carbon dioxide year integrated time period (as indicated by the top seg-
(Howarth, Santoro, and Ingraffea 2011), evaluated the ment of each column). The figure provides both low and
venting (purposeful emission) and leakage (accidental) high estimates for methane emission rates from shale gas
of methane from the time of fracking and well comple- and from conventional gas as well as for surface and
tion through the processing of gas and delivery to the deep-mined coal. Note that while methane is emitted
final consumer. The analysis found that shale gas devel- from coal mining and oil wells, the amount is small
opment emits more methane than does conventional compared to the leakage from natural gas.

Figure 2. The Greenhouse Gas Footprint of Shale Gas

75
Methane Indirect CO2 Direct CO2
Grams of carbon (CO2 equivalents)
60
per MegaJoule heat energy
45
30
15
0
Low High Low High Surface Deep Diesel oil
estimate estimate estimate estimate mined mined
Shale gas Conventional gas Coal
Source: Howarth and Ingraffea (2011).
The greenhouse effects of shale gas are predicted to exceed those of conventional gas, oil, and coal.
Shale Gas and the Environment point for companies to turn a profit in developing shale
gas is probably greater than six dollars per thousand cubic
Shale gas development is relatively new, and the industry feet, but “if history is a guide, the cost of production of
is still developing techniques and technologies. Research any new resource always drops over time” (RTEC n.d.),
into reducing the environmental consequences of the which means initial high costs may not be a deterrent to
process is ongoing. For instance, there is an urgent need producers.
to develop appropriate methods for treating and dispos- The technology for reducing methane emissions,
ing of flow-back fluids. Whether this will happen, and thereby reducing the greenhouse gas footprint of shale
whether new treatment technologies such as recycling gas, is well developed. The gas vented during the flow-
the wastes can be done in a manner industry considers back period can be captured and sold, rather than released
economical, remains to be determined. An important to the atmosphere. But at current prices the value of the
factor is that the cost of extracting the shale gas is high gas is small compared to the cost of the capture, giving
compared to the market price of natural gas (Howarth, industry at best a small return on investment. As a result,
Santoro, and Ingraffea 2011b; Urbina 2011c). From 2009 industry captures the gas less than 15 percent of the time
through 2011, natural gas prices hovered near four dol- when they complete wells (Howarth, Santoro, and
lars per thousand cubic feet of gas, yet the break-even Ingraffea 2012). Further, much of the methane emissions

cannot be captured, because it is in the form of leaks from De Souza, Mike. (2011, October 25). Shale gas explorations a “game
pipelines as the gas is pumped to consumers. In the changer.” Vancouver Sun. Retrieved on October 26, 2011, from
http://www.vancouversun.com/business/Shale1exploration1
United States, the average pipeline is more than fi fty game1changer/5601163/story.html
years old (CEQ 2004), and both long-distance transmis- Engelder, Terry. (2011, September 15). Should fracking stop? No, it is
sion pipelines and distribution pipelines within cities can too valuable. Nature, 477, 271, 274–275.
be quite leaky. The price of replacing these pipelines with Howarth, Robert W., & Ingraffea, Anthony. (2011, September 15).
Should fracking stop? Yes, it is too high risk. Nature, 477, 271–273.
modern technology is very high and of questionable value Howarth, Robert W.; Santoro, Renee; & Ingraffea, Anthony. (2011a,
if the goal is to use shale gas as a bridge fuel for two or April13). Methane and the greenhouse gas footprint of natural
three decades before moving to truly green, renewable gas from shale formations. Climatic Change . doi: 10.1007/
sources of energy. s10584-011-0061-5
Howarth, Robert W.; Santoro, Renee; & Ingraffea, Anthony. (2012,
in press). Venting and leakage of methane from shale gas: Issues of
Outlook gas use, time scale, economics, and regulation. Climatic Change.
Hughes, David. (2011, May 29). Will natural gas fuel America in the
21st century? Santa Rosa, CA: Post Carbon Institute. Retrieved
Shale gas is widely distributed across the planet. As soci- October 26, 2011, from http://www.postcarbon.org/report/331901-
ety depletes conventional sources of natural gas and other will-natural-gas-fuel-america-in
fossil fuels, shale gas suggests to some the potential to International Energy Agency (IEA). (2011). Natural gas. Retrieved
December 7, 2011, from http://www.iea.org/subjectqueries/keyresult.
continue to rely on fossil fuels over the coming decades.
asp?keyword_id54108
The environmental consequences are high, however, with Osborn, Stephen G.; Vengosh, Avner; Warner, Nathaniel R.; &
widespread water and air pollution. Further, shale gas has Jackson Robert B. (2011). Methane contamination of drinking
a larger greenhouse gas footprint than any other fossil water accompanying gas-well drilling and hydraulic fracturing.
Proceeding of the National Academy of Science, 108, 8172–8176.
fuel, when evaluated over a period of fi fty years or less
Pennsylvania Department of Environmental Protection. (2011).
following emission. As a result, reliance on this resource Northeastern Pennsylvania Marcellus shale short-term ambient air
using existing extraction technology will tax the planet. sampling report. Retrieved December 8, 2011, from http://
Improvements in technology and better capture of wastes go.nature.com/tjscnt
Research Triangle Energy Consortium (RTEC). (n. d.). Shale gas.
and emissions are necessary if shale gas is to be part of a
Retrieved December 8, 2011, from http://rtec-rtp.org/shale-gas/
sustainable future. Shindell, Drew T.; Faluvegi, Greg; Koch, Dorothy M.; Schmidt,
Gavin A.; Unger, Nadine; and Bauer, Susanne. (2009). Improved
Robert W. HOWARTH attribution of climate forcing to emissions. Science, 326, 716–718.
Cornell University Texas Commission on Environmental Quality. (2010). Barnett shale
formation area monitoring projects. Retrieved December 8, 2011,
See also Groundwater Management; Hydrology; from http://go.nature.com/v7k4re
Pollution, Point Source; Waste Management; Water US Energy Information Administration (US EIA). (2010). Schematic
Resource Management, Integrated (IWRM) geology of natural gas resources. Retrieved December 8, 2011,
from http://www.eia.gov/oil_gas/natural_gas/special/ngresources/
ngresources.html
US Energy Information Administration (US EIA). (2011). Annual
energy outlook 2011: United States Energy Information
FURTHER READING Administration, Department of Energy, report #0383ER. Retrieved
Coleman, James L., et al . (2011). Assessment of undiscovered oil and on October 26, 2011, from http://www.eia.gov/forecasts/aeo/
gas resources of the Devonian Marcellus shale of the Appalachian Urbina, Ian. (2011a, February 26). Regulation lax as gas wells’ tainted
Basin Province, 2011: US Geological Survey fact sheet 2011–3092. water hits rivers. New York Times. Retrieved October 26, 2011,
Retrieved December 8, 2011, from http://go.nature.com/8kejhm from http://www.nytimes.com/2011/02/27/us/27gas.html?hp
Colorado Department of Public Health and Environment (CDPHE). Urbina, Ian. (2011b, March 1). Wastewater recycling no cure-all in gas
(2010). Public health implications of ambient air exposures as mea- process. New York Times. Retrieved October 26, 2011, from http://
sured in rural and urban oil & gas development areas: An analysis www.nytimes.com/2011/03/02/us/02gas.html?hp
of 2008 air sampling data. Retrieved December 8, 2011, from Urbina, Ian. (2011c, June 26). Behind veneer, doubt on future of natu-
http://go.nature.com/5tttna ral gas. New York Times. Retrieved October 26, 2011, from http://
Th e Council on Environmental Quality (CEQ ), et al. (2004). www.nytimes.com/2011/06/27/us/27gas.html?ref5ianurbina
Memorandum of understanding on coordination of environmental Urbina, Ian. (2011d, August 3). Tainted water well a concern, and
reviews for pipeline repair projects. Retrieved December 8, 2011, there may be more. New York Times. Retrieved October 26, 2011,
from http://www.fws.gov/habitatconservation/PSIA_MOU_ from http://w w w.ny times.com /2011/08/04/us/04natgas.
FINAL_with_signatures_06_18_04.pdf html?ref5ianurbina

Shifting Baselines Syndrome
In 1995, fisheries scientist Daniel Pauly speculated that historical perspectives into fisheries science, Pauly rea-
baselines used to measure change in his field shifted soned, this conceptual blind spot might be avoided.
with every generation of researcher, and this “shifting The shifting baselines syndrome challenged science
baselines syndrome of fisheries” contributed to ruinous and management to rethink the nature of evidence and
fisheries management, fish stock collapse, and contin- find a way to bring historical information into a modern
ued unsustainable fishing. Since then, global research scientific framework. One scientist to take this on was
has shown that many marine species and ecosystems marine ecologist Jeremy B. C. Jackson of the Scripps
have declined by 90 percent from historical conditions, Institution of Oceanography, who worked on Caribbean
and that the notion of sustainability itself depends upon coral reefs and had long been fascinated by historical
baseline choice. descriptions of the Caribbean and the different sea they
seemed to describe. For example, in the present day all
I n 1995, Daniel Pauly, an eminent French fisheries sci-

entist and foe of overfishing, coined the term shifting
baselines syndrome of fisheries to describe the tendency of
species of sea turtles are endangered worldwide, but his-
torical descriptions of the Caribbean indicate that sea
turtles were once “so numerous that it seemed that the
each generation of fisheries scientists (as well as managers ships would run aground on them” (Jackson 1997).
and policy makers) to compare stock conditions to base- Jackson put together an international working group of
lines determined by their own fi rst observations. Because scientists who examined overfishing on kelp forests, coral
institutional memory resets every twenty or thirty years, reefs, and estuaries using data from paleontological
subsequent definitions of normal conditions incorporated remains going back 125,000 years, archaeological records
an imperceptible but steady decline in the standards for going back 10,000 years, historical documents going back
assessing fish populations and marine ecosystems. Over to the 1500s, and oceanographic observations approxi-
long time periods, significant degradation in the oceans mately 100 years old. Published in 2001, their paper
accumulated without detection and was not accounted showed that overfishing was neither recent nor rare but
for in mathematical models that scientists and managers had occurred since prehistory and had steadily increased in
used to regulate fisheries. amount, extent, and severity until the present. Widespread
The collapse of Newfoundland cod stocks in 1992, pollution, habitat change, and global warming also affect
arguably the worst fisheries catastrophe in history, pro- coastal ecosystems, but overfishing was the earliest and
foundly influenced Pauly’s thinking. Although warning worst offender. Subsequent papers on coral reefs and estu-
signs were evident in retrospect, the collapse took almost aries also profoundly challenged the existing working defi-
everyone by surprise. Scientists labored to discover what nitions of healthy fish stocks and ocean ecosystems. They
had happened. Then at the University of British Columbia directly linked historical degradation with human popula-
(UBC) in Vancouver, Pauly proposed that the shifting tion growth and increasing resource consumption.
baselines syndrome prevented fisheries scientists and Soon media attention brought the terms shifting base-
managers from realizing the magnitude and trajectory of lines and overfishing to public attention. In 2003 the late
declining fish stocks. By incorporating anecdotes and Ransom Myers and Boris Worm of Dalhousie University
360

SHIFTING BASELINES SYNDROME • 361
SHIFTING BASELINES ARE NOT ALWAYS BAD

As the French fisheries scientist Daniel Pauly explains, a seemed unbreakable. Then, somehow, anti-tobacco
shift in a baseline—the “yardstick” against which we may activism, medical science, and common sense
monitor change in ecosystems and cultural norms—is not coalesced into an unstoppable force—let’s call it
always a bad thing. the Zeitgeist—which overcame all resistance, first in
Shifting baselines need not be associated with losses. the United States, then in Europe, including France
Indeed, forgetting can be a good thing. When people (France!). Now we look back, and our baseline—and
who have suffered under the load of a long, stifling especially that of young people—has so shifted that
tradition emigrate and thus are enabled to distance we do not understand how we ever accepted smok-
themselves, both geographically and emotionally, ing in tight public places. We have collectively for-
from the ancestral conflicts that in their home coun- gotten how it felt (and smelled) and how we could
tries confined them within balkanized camps, a posi- even tolerate it—just as we have collectively forgot-
tive shifting baseline occurs in the generations that ten how it was when the majority of people were
follow. farmers or, even earlier, hunter-gatherers surrounded
by nature that teemed with a diverse animal and
Positive shifts in baselines also occur after social
plant life.
change. One example is smoking in enclosed public
spaces, which was ubiquitous in the 1960s. At the Source: Daniel Pauly. (2011, February). On baselines that
time, change seemed impossible, and the strangle- need shifting. Retrieved November 30, 2011, from http://
hold that the tobacco industry had on our legislators www.thesolutionsjournal.com/node/879
in Halifax, Canada, showed that overfishing had caused Abundance Baselines

populations of large predatory fish in the oceans to
decline by 90 percent from a baseline set about fifty years In 2001, Myers and colleagues calculated the carrying
in the past. This research was featured in late night talk capacity—the maximum population size an ecosystem
show host David Letterman’s Top Ten List of Dumb could support—for cod populations in the North
Th ings to Do. Such work and the work of like-minded Atlantic. Finding the carrying capacity was one way of
scientists and historians challenged current definitions of estimating unfished cod abundance. Four years later,
healthy fish stocks, marine ecosystem function, and the Andrew Rosenberg and colleagues at the University of
mutual influence of human activity and change in the New Hampshire modeled catch data from nineteenth-
ocean, but not without attracting opposition and generat- century fishery logbooks to estimate the size of the cod
ing controversy. population on the Scotian Shelf, an important fishing
ground off the coast of Nova Scotia, Canada, in 1852.
Their estimate—1,260,000 million metric tons of cod—
Historical Baselines was statistically equivalent to the carrying capacity Myers
and colleagues calculated for the same region. Both stud-
Paleontology, archaeology, history, sociology, ecology, ies showed that Scotian Shelf cod population had
oceanography, geography, and molecular chemistry have declined by 90 percent or more.
all generated historical baselines describing past ocean Agreement in findings from the two different meth-
conditions. Time series of data going back decades, cen- ods added credibility to the concept of the shifting
turies, and millennia link historical baselines to the pres- baselines syndrome; however, abundance estimates of
ent. They can reveal cyclical processes, processes that unfished whale populations have not agreed. Models
operate at different geographical and chronological scales using catch data in whaling logs yielded significantly
that are otherwise difficult to detect, including the long- smaller population baselines than estimates derived by
term effects of human activity and climate change. analyzing genetic diversity within whale populations.

Work to explain the divergence is ongoing, but this dis- Figure 1. Trophy Fish Caught on
crepancy serves as a caution that all methods are sensitive
to assumptions about biological, ecological, and socio-
Key West Charter Boats: (1) 1957,
logical processes, as well as uncertainties in data. (2) early 1980s, and (3) 2007
Distribution Baselines
Because contracted range can signal population decline,
geographical distribution can indicate species abundance.
Maine fisherman and scientist Ted Ames compared the
geographic distribution of cod spawning grounds recol-
lected by old fishermen with locations of spawning
grounds today. He found that almost half of the grounds
have been lost since World War II. Marine ecologist
Loren McClenachan and colleagues estimated endan-
gered sea turtle populations using the number and distri-
bution of nesting beaches and historical descriptions of
nesting female abundance. Turtle numbers appear to
have declined 80 percent or more from levels in the
1500s. Archaeologist Ian Smith found that the Maoris
had exterminated fur seals from 90 percent of their range
in New Zealand even before the arrival of Europeans.
Average Animal Size

A drop in animal size over time can also indicate popula-
tion decline. McClenachan also examined photos of
trophy fish taken by one Key West charter boat com-
pany. She found that the 2-meter groupers and sharks
on the trophy board in the 1950s have been replaced by
34-centimeter snappers today, an 83 percent decline in
the length of trophy fish. (See figure 1.) Similarly, while
abundance estimates for cod and ling in the North Sea in
1872 derived by Danish historian René Paulsen and fish-
eries scientist Andrew Cooper showed little decline,
smaller average fish size and contracted range suggest
that overfishing had occurred.
Ecosystem Baselines
As fisheries management moves toward place-based eco-
system approaches, analyzing long-term local variations
in the diversity of species, geographical and oceano-
graphic characteristics, and ecological processes becomes
increasingly important to establish accurate baselines.
Marine ecologist Heike Lotze and others described his- Sources: (1957 and 1980s photos) Monroe County (Florida) Public
torical changes in Passamaquoddy Bay in the Gulf of Library; (2007 photo) Loren McClenachan (2009).
Maine and in the Wadden Sea, stretching along shore
from the Netherlands to Denmark, to show how physical characteristics of the environment in both
European-style fishing and agriculture led to loss of spe- places. Both ecosystems became simpler and more vul-
cies, decline in water quality, and changes in the ocean nerable to collapse as food web interactions between ani-
floor. Overfishing at all levels of the food web, from sea- mals broke down and ecosystem components were lost.
weeds and shellfish to swordfish and whales, simplified The rate of decline was slower in Passamaquoddy Bay
food webs; siltation, chemical pollution, and lack of oxy- than it was in the Wadden Sea, and the loss of biodiver-
gen resulting from excessive nutrient runoff altered the sity less extreme.

SHIFTING BASELINES SYNDROME • 363
Coral reef systems are among the most endangered blueback herring, anadromous fish that spend much of
ecosystems in the world, and human interference has their lives in the sea but spawn in freshwater. Dams con-
been shown to heighten their vulnerability. The marine trol population size by preventing fish from spawning.
ecologist Enric Sala and colleagues found that relatively Hall, Jordaan, and Frisk (2011) found that, by 1860,
untouched coral reefs near atolls in the central Pacific dams blocked passage to 99 percent of spawning habitats
replicate the marine complexity described in historical on a sample of Maine watersheds.
records and found in paleontological evidence. Large This decline is corroborated by historical anecdote.
sharks and other reef fishes were conspicuous, and corals According to Puritan settler William Wood, in 1634,
were widespread and healthy. Because unfished reefs 100,000 river herring (alewives and shad) were taken at one
exhibit less coral bleaching (an indication of change in weir on the Charles River in Massachusetts in two tides. By
water temperature, usually warming, but also other envi- estimating the weight of seasonal catch and dividing by the
ronmental stress) than heavily fished reefs, biodiversity area fished, it is possible to compare the density of river her-
apparently conveys resistance to climate change. ring in 1634 (1.28) to the density of today’s catch (0.005).
Thus, using descriptions from the early 1600s, it appears
Climate that alewife and shad populations have declined by 1,000
percent in the past four hundred years.
Fisheries research begun more than half a century ago Most baselines used in fisheries management date
showed that fish species could be affected by climate. back only to the early 1980s. Sustainability measured
Time series of anchovy and sardine scales in sediment from a baseline alewife population in 1980 would be eas-
going back two thousand years showed that the abun- ier to achieve than from a baseline set in 1860, and that
dance of these fish was affected by Pacific Oscillations, goal would be easier to achieve than one set from a base-
cycles of sea surface temperature change that influence line based in the 1600s.
weather patterns. The sardine and anchovy fisheries that
span the Pacific have been vulnerable to collapse since
industrial expansion in the 1940s. Boom and bust years The Future of Shifting Baselines
affected fishermen and coastal communities around the
Pacific Rim. Research has shown that high fishing pres- Historical marine ecology has been criticized for being
sure can also cause anchovies and sardines to collapse “faith-based science” and for creating “bad science and
when their numbers are already depressed by fluctuations bad history.” To some fisheries scientists, the uncertain-
in climate. ties, irregularities, and modeling limitations of historical
Recent research on time series of Atlantic salmon data make them unsuitable for serious scientific consid-
catches going back to the 1600s near the White and eration. Some historians fear that the singular character
Barents seas in northwest Russia revealed no evidence of of historical events will be lost in scientific standardiza-
overfishing until the twentieth century. The Russian sci- tion, and that historians will become “serfs to science” in
entist Dmitry Lajus and historians Julia Lajus and Alexey the quest for historical baselines. These debates are ongo-
Kraykovskiy collaborated to discover that it was climate ing, but increasing numbers of publications show that the
fluctuations that have played the greatest role in catch shifting baselines syndrome has become an accepted,
variability on this sparsely populated Arctic frontier. although still controversial, paradigm.
Historical baselines disclose how much change has
Sustainability and Baseline Choice taken place, but they do not offer a roadmap for recovery.
One major criticism of the shifting baselines syndrome is
Baseline choice determines how difficult it will be to that former abundance levels are impossible to restore
achieve sustainability. Often, baselines derived from because ecosystems supporting such abundance have
more recent data will be premised on smaller populations changed. Now protected, gray whales have recovered in
than those derived from historical data. Karin Limburg parts of their range, and alewives have recovered on the
and John Waldman, marine scientists in the State lower part of Maine’s Kennebec River since the removal
University of New York system (SUNY), examined gov- of dams that blocked spawning grounds. But these par-
ernment catch statistics since the 1860s to show that tial recoveries do not mean that the California coast and
catch of diadromous fish, which live in fresh- and saltwa- the Kennebec River have reverted to former conditions.
ter at different stages of their lives, have declined on both Ecosystems may recover complexity despite supporting
sides of the Atlantic more than 90 percent from maxi- significantly different species composition than was his-
mum catch. SUNY scientists Carolyn Hall, Adrian torically the case.
Jordaan, and Mike Frisk examined dam building in Historical baselines have been incorporated in the
Maine since 1634 to investigate its effect on alewives and management of marine sanctuaries at Stellwagen Bank

in New England, the Florida Keys, and the Great Barrier Hilborn, Ray. (2006). Faith-based fisheries. Fisheries , 31(11),
Reef, and for some whales, seals, halibut, and alewives. 554–555.
Jackson, Jeremy B. C.; Alexander, Karen E.; & Sala, Enric. (2011).
On land, historical baselines are used in park and refuge Shifting baselines: The past and future of ocean fisheries. Washington,
design and in reintroducing species to regions they once DC: Island Press.
inhabited. Wolves introduced into Yellowstone National Jackson, Jeremy B. C. (1997). Reefs since Columbus. Coral Reefs, 16
Park helped restore cottonwoods to the Soda Butte Creek (Suppl.), S23–S32.
Jackson, Jeremy B. C., et al. (2001). Historical overfishing and the
and the Lamar River by suppressing browsing animals, recent collapse of coastal ecosystems. Science, 293, 629–637.
but here and elsewhere the reintroduction of predators Knowlton, Nancy, & Jackson, Jeremy B. C. (2008). Shifting baselines,
has come into confl ict with the interests of local people. local impacts, and global change on coral reefs. Public Library of
How to go from an abundant past through today’s bottle- Science Biology, 6, 215–220.
Limburg, Karin E., & Waldman, John R. (2009). Dramatic declines
neck to an equally abundant future remains an open in North Atlantic diadromous fishes. BioScience, 59 (11), 955–965.
question that is key to achieving a sustainable future fea- Lotze, Heike K. (2005). Radical changes in the Wadden Sea fauna
turing both complex ecosystems and high levels of human and flora over the last 2,000 years. Helgoländer Meeresuntersuchungen,
well being. 59, 71–83.
Lotze, Heike K., & Milewski, Inka. (2004). Two centuries of multiple
In examining change in the Gulf of California marine human impacts and successive changes in a North Atlantic food
ecosystem, the marine ecologist Andrea Sáenz Arroyo web. Ecological Applications, 14 (5), 1428–1447.
acknowledged the difficulty in fusing history and fisheries Lotze, Heike K., et al. (2006). Depletion, degradation, and recovery
science. Perhaps the real value of incorporating historical potential of estuaries and coastal seas. Science, 312, 1806–1809.
McClenachan, Loren. (2009). Documenting loss of large trophy fish
knowledge into fisheries management lies in revealing from the Florida Keys with historical photographs. Conservation
anecdotes that recreate compelling snapshots of past con- Biology, 23(3), 636–643.
ditions. Displaying marine ecosystems teaming with fish, McClenachan, Loren; Jackson, Jeremy B. C.; & Newman, Marah J. H.
shellfish, seals, and whales, and the benefits people derived (2006). Conservation implications of historic sea turtle nesting
beach loss. Frontiers in Ecology and Environment, 4, 290–296.
from them, these snapshots inspire managers and govern- Myers, Ransom A., & Worm, Boris. (2003). Rapid worldwide deple-
ments to reconsider sustainability in light of present tion of predatory fish communities. Nature, 423, 280–283.
impoverished conditions. Historical perspectives counter- Pandolfi, John M., et al. (2003). Global trajectories of the long-term
act the shifting baselines syndrome by encouraging people decline of coral reef ecosystems. Science, 301, 955–958.
Pauly, Daniel. (1995). Anecdotes and the shifting baseline syndrome
to value the oceans and set recovery standards high. of fisheries. Trends in Ecology and Evolution, 10, 430.
Pauly, Daniel, & Maclean, Jay L. (2003). In a perfect ocean: The state of
Karen ALEXANDER fisheries and ecosystems in the North Atlantic Ocean. Washington, DC:
University of New Hampshire Island Press.
Ripple, William J., & Beschta, Robert L. (2003) Wolf reintroduction,
See also Carrying Capacity; Comanagement; Community predation risk, and cottonwood recovery in Yellowstone National
Ecology; Dam Removal; Ecological Restoration; Park. Forest Ecology and Management, 184 (1–3), 299–313.
Ecosystem Services; Fish Hatcheries; Fisheries Roberts, Callum. (2007). The unnatural history of the sea . Washington,
DC: Island Press.
Management; Food Webs; Large Marine Ecosystem Rosenberg, Andrew A., et al. (2005). The history of ocean resources:
(LME) Management and Assessment; Marine Protected Modeling cod biomass using historical records. Frontiers in Ecology
Areas (MPAs); Natural Capital; Ocean Resource and the Environment, 2, 84–90.
Management; Population Dynamics; Species Sáenz-Arroyo, Andrea; Roberts, Callum M.; Torre, Jorge; Cariño-
Olvera, Micheline; & Hawkins, Julie P. (2006). The value of evi-
Reintroduction; Succession dence about past abundance: Marine fauna of the Gulf of California
through the eyes of 16th to 19th century travelers. Fish and
Fisheries, 7, 128–146.
Smith, Tim D. (1994). Scaling fisheries: The science of measuring the effects
FURTHER READING of fi shing, 1855–1955. Cambridge, UK: Cambridge University
Alexander, Karen E.; Leavenworth, William B.; Claesson, Stefan; & Press.
Bolster W. Jefferey. (2011). Catch density: A new approach to Van Sittert, Lance. (2005). The other seven tenths. Environmental
shifting baselines, stock assessment and ecosystem-based manage- History, 10, 106–109.
ment. Bulletin of Marine Science, 87(2), 213–134. Waldman, John. (2000). Heartbeats in the muck: A dramatic look at the
Hall, Carolyn J.; Jordaan, Adrian; & Frisk, Michael G. (2011, history, sea life, and environment of New York Harbor. New York:
January). The historic influence of dams on diadromous fish habitat Lyons Press.
with a focus on river herring and hydrologic longitude connectivity. Worm, Boris, et al. (2009). Rebuilding global fi sheries. Science,
Landscape Ecology, 26(1), 95–107. doi:10.1007/s10980-010-9539-1 31(325), 578–585.

Soil Conservation
Soil is a multifunctional natural resource because it Agents of Soil Degradation

provides innumerable ecosystem services. Among
others, it produces food, fodder, and fiber; is a sink Soil is fragile and prone to rapid degradation with mis-
of atmospheric carbon; and filters pollutants . management. It is not a renewable resource over the
Particularly in resource-poor regions of the world, human time scale. Continued degradation threatens
soils are becoming increasingly degraded. Soils must the multifunctionality of soils. Water and wind erosion
be restored and conserved through judicious manage- is the leading agent of soil degradation. Compaction,
ment practices to address global climate change, food alkalinization and salinization, and acidification are also
insecurity, energy supply insecurity, and overall eco- agents of degradation. Tillage erosion in sloping culti-
system sustainability. vated lands, which gradually moves soil downslope with
time, is often unnoticed and ignored but it can signifi-
S oil is the basic natural resource that sustains life in

all terrestrial ecosystems. It is probably the single
most fundamental natural resource because it contains
cantly reduce soil productivity.
Anthropogenic activities set the stage for water and
wind erosion through deforestation, slash-and-burn agri-
the three phases essential to life sustenance: solid (inor- culture, overgrazing, intensive plowing, use of fallow sys-
ganic and organic) components, water, and air. Soil is a tems with limited vegetative cover, cultivation of steep
complex and dynamic medium that supports biota and slopes, biomass burning and removal, and unplanned
fauna. Despite its vital importance to life, soil is often urbanization. Croplands are more erodible than lands
neglected and even touted as “dirt.” Soil is neither “dirt” under permanent grass and trees because croplands are
nor inert material but a precious resource. Soil is not often disturbed and left bare or with little residue cover.
only a medium for plant growth as traditionally per- Cultivation of sloping and marginal lands is a major
ceived but a multifunctional entity because it (1) pro- cause of soil erosion in mountainous regions.
duces food and fiber to meet the increasing global
demands, (2) buffers and fi lters nonpoint source pollut-
ants that impair water quality, (3) promotes habitat and Accelerated Erosion
diversity of wildlife by providing food and cover,
(4) sequesters soil organic carbon and acts as a sink for Slight soil erosion is an important process of soil forma-
atmospheric greenhouse gases (carbon dioxide, meth- tion and ecosystem dynamics. Soil erosion becomes a
ane, and nitrous oxide), and (5) supplies feedstocks for problem when it accelerates. The extent of soil erosion
renewable energy production. As a multifunctional sys- varies among regions and continents. Water and wind
tem, soils play a major role in the mitigation of the pro- erosion rates in the United States have decreased by about
jected global climate change, food insecurity, energy 35 percent between 1982 and 2003 (USDA 2010) thanks
supply insecurity, and environmental quality degrada- to land stewardship, soil conservation efforts, and poli-
tion. These innumerable ecosystem services provide cies such as the Conservation Reserve Program under
essential reasons to conserve the soil. the Food Security Act of 1985. About one-third of US
365

croplands, particularly under intensive tillage and mono- deteriorates the physical, chemical, and biological
cropping or crop-fallow systems, are, however, eroding properties of soil. It induces soil surface crusting and
faster than the tolerable rate (Pimentel and Lal 2007). sealing, degrades soil structure, reduces water infi ltra-
Tolerable soil loss is when the rate of soil loss equals the tion, and increases the soil’s susceptibility to compaction.
rate of soil formation. Soil-loss tolerance will vary with Water erosion can pollute downstream water bodies with
climate, topography, vegetation, soil type, and manage- sediment and chemicals (e.g., nutrients, pesticides) and
ment (Troeh, Hobbs, and Donahue 2004). cause hypoxia, or decreased oxygen in a body of water
Whereas soil erosion may not be an imminent crisis in that affects aerobic organisms (e.g., in the Gulf of
the United States and other developed countries, it is Mexico). The main on-site consequence of severe erosion
major problem in impoverished regions of the world with is reduction in crop yields through the reduction of top-
high population pressure, scarcity of agricultural lands, soil thickness and loss of soil fertility. In shallow soils
predominance of resource-poor farmers, and lack of effec- with low fertility, even small losses of soil can reduce crop
tive soil erosion control practices and policies. Most agri- production, whereas in deep and fertile soils, the same
cultural soils are being eroded at a rate faster than the rate amount of soil loss can have less adverse effects.
of soil formation. The current soil loss ranges between Soil erosion alters the ecosystem sustainability. It
13 and 40 metric tons per year worldwide (Pimentel and affects not only agricultural lands but also the quality of
Kounang 1998), but the rate of soil formation is less than forests, pastures, and rangelands. It influences diversity
0.5 millimeters per year or less than 5 metric tons. Erosion and habitat of wildlife by reducing vegetative cover.
such as interrill (removal of a uniform layer of soil by rain- Eroded materials accumulate in alluvial plains and
drop splash and sheet flow) is not readily noticeable but cause flooding of downstream croplands and water res-
often causes soil loss greater than the formation rates. For ervoirs. Similarly, wind erosion pollutes the air with
example, 1 millimeter of soil surface loss is equivalent to dust particles, reduces atmospheric radiation and fluxes
about 10 metric tons per hectare. of energy, and threatens human and animal health.
Similarly, wind erosion can be extremely high in arid Wind transports fine particles hundreds or even thou-
and semiarid regions of the world. In western Africa, sands of miles from the source. Continued severe soil
northern China, the Andes and the Pampas in South erosion results in a downward spiral of reduced crop and
America, southwestern Australia, and the US Great biomass yields and degraded soil properties.
Plains, wind erosion exceeds water erosion. The Dust Contemporary issues such as global climate change,
Bowl of the 1930s in the United States illustrates the food insecurity, and renewable energy production
severity of wind erosion when proper soil conservation directly link to soil erosion.
practices are not in place. Wind erosion has intensified
in recent years as agriculture has expanded to marginal
lands and droughts have increased. In the west African Erosion and Global Climate Change
Sahel, intensively cultivated croplands erode at a rate of
20 to 50 metric tons per year, resulting in a severe Soil erosion is expected to increase under the projected
decline in crop yields (Bidders, Karlheinz, and Rajot global climate change. Abrupt fluctuations in climatic
2000; Sterk 2003). Water erosion causes approximately conditions including erratic and intense rainstorms under
60 percent of the total degraded land worldwide, and the new climate can reduce soil resilience and accelerate
wind erosion causes 30 percent. Despite increased ero- soil erosion. In the United States, total amounts of pre-
sion remediation efforts, knowledge of erosion factors cipitation increased in the last century, and 53 percent of
and causes, and technological advances, erosion rainstorms were intense or extreme (O’Neal et al. 2005).
remains high, a situation that deserves more attention Rainfall intensity is more critical than rainfall amount. A
(Uri 2000). few rainstorms of high intensity cause dramatic losses of
soil (Nearing et al. 2005). A 10 to 20 percent increase in
precipitation under the new climate may change soil loss
Implications of Accelerated Erosion and runoff by as much as 300 percent (O’Neal et al.
2005). Likewise, frequent and long droughts, particularly
Lessons from the past are crucial to understanding the in semiarid regions, will increase soil erosion by wind. Ice
potential implications of accelerated erosion. Accelerated melting, flooding, abrupt river flow fluctuations, and
erosion resulting from soil mismanagement led to the storms near rivers and coastal areas can also increase soil
downfall of old civilizations in the Middle East (Bennett erosion.
1939). Severe erosion has drastic on-site and off-site After the oceans, the soil contains the largest pool of
implications on long-term agricultural production as carbon. It contains twice as much carbon as the atmo-
well as on soil and the quality of the environment. It sphere does, and thrice more carbon than all vegetation

SOIL CONSERVATION • 367
(Davidson, Trumbore, and Amundson 2000). the same piece of land, often hilly and erodible, as pro-
Accelerated soil erosion can reduce this pool of carbon by ductive lands become scarce.
rapidly oxidizing soil organic matter. As a result, erosion
contributes to global climate change through the release
of greenhouse gases such as carbon dioxide, methane, Erosion and Biofuel Development
and nitrous oxide during erosion (Polyakov and Lal
2008). In semiarid regions, increased soil temperature The increasing demands for alternative renewable energy
coupled with limited precipitation can rapidly oxidize soil will most likely exert further pressure on soils. In addi-
organic matter, further increasing carbon emissions. Soil tion to food and fiber production, soils may have to sup-
degradation by water and wind erosion under the new ply feedstocks for biofuel production. The conversion of
climate change is expected to be greater in arid and semi- Conservation Reserve Program lands to corn ethanol
arid regions than in humid and cool regions because of production in the United States and the conversion of
lower biomass production and soil organic matter rainforests to produce soybean biodiesel, palm biodiesel,
concentration. and sugarcane ethanol in tropical countries can adversely
affect terrestrial ecosystems and further accelerate water
and wind erosion (Fargione et al. 2008).
Erosion and Food Security Slash-and-burn clearing of forest
or pasturelands to create new
Soil erosion is directly linked to food croplands is a common practice
security. Crop yield correlates with in tropical forests. Large-scale
erosion and decreases in a curvilin- production of crops for biofuel
ear or exponential function with and biodiesel production thus
an increase in the erosion rate. could change the whole ecosys-
Erosion preferentially removes tem. It will increase soil erosion,
the most fertile layer of soil con- stress soil and water resources,
taining organic matter and reduce soil productivity and fer-
essential nutrients, which are tility, and increase risks of water
normally concentrated near the pollution. It can also exacerbate
surface layers. Loss of soil fertil- the projected global climate
ity reduces biomass and grain change by releasing large quanti-
yields. Food insecurity is becom- ties of carbon to the atmosphere
ing particularly apparent in from land clearing and biomass
developing countries, where burning. Biofuel and biodiesel pro-
resource-poor or subsistence duction from corn and soybeans has
farmers lack fi nancial resources already increased food prices and could
for the establishment of effective further accelerate food insecurity.
soil conservation practices to Cellulosic ethanol or second-generation
reverse soil degradation. Sub- biofuel is also receiving increased attention as an
Saharan Africa, the Caribbean (e.g., alternative to grain-based biofuel. Crop residues, dedi-
Haiti), Central Asia, and some countries in Latin cated energy crops (e.g., perennial warm-season grasses),
America are experiencing increased soil erosion and food wood, prairie grass, and other biomass materials are can-
insecurity (Kaiser 2004). didates for cellulosic biofuel production. Because large
Whereas in some countries the introduction of new quantities of biomass will be needed to meet the goals of
crop varieties, fertilizers, and other technologies has renewable energy production, excessive removal of bio-
partially reduced food insecurity, food production has mass would also accelerate water and wind erosion.
generally either stagnated or declined in the poorest Indeed, recent studies have shown an indiscriminate
regions of the world while populations grow (Stocking removal of crop residues influences soil erosion, soil prop-
2003). For example, in sub-Saharan Africa, crop pro- erties, soil carbon sequestration potential, and the overall
duction has been reduced by about 50 percent due to agricultural productivity (Wilhelm et al. 2004; Blanco-
increased soil erosion and loss of soil fertility. Excessive Canqui and Lal 2007; Lal 2009). Crop residue removal
exploitation of soil and mining of nutrients threaten may increase soil erosion by ten to one hundred times
food security (Bekunda, Sanginga, and Woomer 2010). (Pimentel 2010). Crop residue mulch provides a protec-
Although in the past subsistence farmers often used tive layer against water and wind erosion, and its removal
shifting cultivation, now they are forced to overexploit induces surface sealing and crusting, reducing water

infi ltration and increasing runoff. Residue removal also depending on how they are managed. Soils affect the pro-
compacts soil and reduces soil aggregate stability and jected global climate change by sequestering atmospheric
strength, soil organic carbon pools, water retention carbon and reducing net greenhouse gas fluxes. They can
capacity, biological diversity, and soil fertility. In other be a sink rather than a source of atmospheric carbon if
words, indiscriminate crop residue removal for off-farm wisely managed and conserved. For example, soils with
uses is against the principles of soil and water annual biomass input coupled with reduced disturbance
conservation. can sequester carbon. In contrast, intensively plowed soils
Growing dedicated energy crops such as perennial with limited vegetative cover accelerate greenhouse gas
grasses in marginal and degraded lands as biofuel feed- emissions. Similarly, conserving soil and water and
stocks may provide an alternative to crop residue removal improving soil productivity through judicious manage-
(Blanco-Canqui 2010). Th is strategy may have fewer ment help avoid food insecurity.
negative impacts on soil and water conservation than A combination of mechanical and biological practices
crop residue removal. A proper balance between peren- should be used to conserve soil. Subsistence farmers in
nial grass biomass removal (e.g., cutting height and fre- resource-poor countries who cannot afford expensive
quency) and retention may control soil erosion and mechanical structures for erosion control can more read-
maintain soil properties and soil carbon pools over row ily access biological conservation practices. Unlike
crops. Soils will need to be managed differently, though, mechanical structures, biological practices not only keep
if dedicated energy crops are grown and harvested at the soil in place but also improve natural fertility and
large scales. Some argue that even production of cellu- resilience of degraded soils with time.
losic ethanol from perennial biomass feedstocks may
adversely affect soil and the environment (Pimentel Conservation Strategies
2010). Biofuels may not be as carbon negative as initially
thought and may not significantly reduce fossil fuel con- Conservation tillage, improved cropping systems (contin-
sumption or reduce greenhouse gas emissions (Fargione uous cropping systems and crop rotations), cover crop-
et al. 2008; Tilman, Hill, and Lehman 2006). Therefore, ping, green manure, residue mulching, alley cropping,
the impacts of the cellulosic biofuel production on soil agroforestry, and conservation buffers are some of the best
and water conservation warrant experimental verification management strategies for soil conservation. No-tillage
and objective analysis. farming, where the seeds are deposited directly into
untilled soil, is one of the most effective soil management
Soil Restoration and Conservation and conservation strategies for reducing concerns over
the projected global climate change, food insecurity,
Soil restoration and conservation are critical to enhance and environmental quality degradation.
soil multifunctionality and meet the chal- Soil loss by water and wind erosion
lenges of ecosystem sustainability. from no-till fields is much lower
Degraded soils must be restored and than from conventionally or
properly managed, while produc- intensively plowed fields because
tive soils must be conserved. no-till farming reduces soil dis-
Management comes before con- turbance and provides perma-
servation for degraded agricul- nent crop residue cover. The crop
tural soils. Soil conservation not residue mulch intercepts and
only keeps the soil in place but buffers the erosive forces of rain-
enhances soil resilience and drops and wind. No-till effective-
ability to meet increasing needs. ness for reducing water and wind
Soil resilience is intrinsically erosion depends on the amount of
related to ecosystem resilience. residue input. No-till systems with
Soils are inherently resilient and little or no annual residue input may be
able to recover from degradative no better than conventional tillage for
forces. Highly degraded soils, how- conserving soil and water, sequestering
ever, will need extended periods of carbon, and enhancing soil resilience
time before they recover to a state and productivity.
similar to predegradation levels. Adoption of no-till farming has
Soils can be both a problem resulted in better soil management in
and solution to the projected cli- many regions (e.g., the United States,
mate change and food insecurity, Brazil, and Australia). It reduces soil

SOIL CONSERVATION • 369
erosion and improves near-surface soil structural proper- productivity. Most degraded soils have lower soil organic
ties such as aggregate stability and strength. Despite the carbon concentration. Restoring soil carbon is essential
numerous benefits and ecosystem services that no-till to improve soil productivity and resilience while reducing
provides, only about 5 percent of cultivated land world- soil erodibility.
wide and about 37 percent in the United States is under
no-till farming (Lal et al. 2004). Soil-specific strategies Forward Steps
of no-till management will expand this technology.
No-till works best when combined with continuous Conserving soil for present and future generations must
cropping systems, crop rotations, and cover crops, con- be a top priority to alleviate food insecurity, adapt to cli-
servation buffers, and other conservation practices. If no- mate change, and achieve ecosystem sustainability.
till alone does not work, companion practices should be Protecting soil as the most basic resource is an invest-
used to enhance its performance. Continuous cropping ment. Food production, soil and environmental quality,
systems provide permanent canopy or residue cover rela- and sustainability of all terrestrial ecosystems are at
tive to crop-fallow systems. Similarly, complex crop rota- stake. Thus, efforts should focus on developing region-
tions with legumes, deep-rooted crop species, specific conservation strategies to enhance the multi-
close-growing crops, and sod- or grass-based rotations functionality of soils. Conservation practices that restore
enhance no-till performance to improve soil properties soil carbon are potential strategies to improve soil pro-
and reduce soil erosion. Cover crops are potential com- ductivity and reduce carbon emissions to the
panion practices for no-till; they are planted between atmosphere.
main growing seasons to provide additional residue input Soil management and conservation require a multidis-
and protect soil from erosion (Blanco-Canqui et al. ciplinary participation among land owners, farmers, pol-
2011). They also increase crop yields by fi xing large icy makers, and the general public at different local,
amounts of atmospheric nitrogen (N) and improving soil regional, and national levels. Soil erosion is linked to
fertility (Blanco-Canqui, Claassen, Presley forthcoming political, social, and economic conditions. Further soil
2012). Likewise, conservation buffers placed at the bot- degradation can be reduced only through land steward-
tom of no-till fields reduce runoff, fi lter sediment and ship, technological input, and implementation of judi-
sediment-bound nutrients, prevent gully erosion, absorb cious soil management strategies and conservation
nutrients, and improve wildlife habitat and diversity. policies.
Grass barriers, fi lter strips, field borders, grass water-
ways, riparian buffers, and windbreaks are potential Humberto BLANCO-CANQUI
buffers. Combined with mechanical conservation prac- Kansas State University
tices (e.g., terraces), these practices further control soil
See also Adaptive Resource Management (ARM);
erosion.
Agricultural Intensif ication; Agroecology; Best
Soil management practices that increase soil organic
Management Practices (BMP); Buffers; Desertification;
carbon concentration are a key to improving soil proper-
Ecosystem Services; Irrigation; Microbial Ecosystem
ties and reducing soil erodibility. No-till systems gener-
Processes; Mutualism; Nitrogen Saturation; Nutrient
ally store more soil organic carbon near the surface layers
and Biogeochemical Cycling; Permaculture
than do plowed soils. The greater near-surface accumula-
tion of carbon in no-till soils improves soil aggregation
and increases macroporosity and water retention and FURTHER READING
transmission characteristics compared with plowed soils. Bekunda, Mateete; Sanginga, Nteranya; & Woomer, Paul L. (2010).
Soil organic materials bind soil particles into stable Restoring soil fertility in sub-Sahara Africa. Advances in Agronomy,
aggregates, provide elasticity to the whole soil, and 108, 183–236.
Bennett, Hugh Hammond. (1939). Soil conservation . New York:
increase the resilience of soils against erosive forces.
McGraw-Hill.
High-biomass-producing cropping systems such as com- Bidders, Charles L.; Karlheinz, Michels; & Rajot, Jean-Louis. (2000).
plex rotations, cover crops, and continuous cropping sys- On-farm evaluation of ridging and residue management practices
tems combined with no-till also increase carbon to reduce wind erosion in Niger. Soil Science Society of America
Journal, 64 (5), 1776–1785.
concentration. Accumulation of soil organic carbon ren-
Blanco-Canqui, Humberto; Claassen, Mark M.; & Presley, DeAnn R.
ders many ecosystem services, including mitigation of (forthcoming 2012). Summer cover crops fi x nitrogen, increase
greenhouse gas emissions, improvement in soil proper- crop yield and improve soil-crop relationships. Agronomy Journal
ties, reduction of soil erodibility, and fi ltration and 104 (1), 137–147.
Blanco-Canqui, Humberto; Mikha, Maysoon M.; Presley, DeAnn R;
absorption of pollutants in water. Most importantly, soil
& Claassen Mark M. (2011). Addition of cover crops enhances
carbon accumulation addresses concerns over food inse- no-till potential for improving soil physical properties. Soil Science
curity because soil organic carbon directly improves soil Society of America Journal, 75(4), 1471–1482.

Blanco-Canqui, Humberto. (2010). Energy crops and their implica- Pimentel, David, & Kounang, Nadia. (1998). Ecology of soil erosion
tions on soil and environment. Agronomy Journal , 102 (2), in ecosystems. Ecosystems, 1(5), 416–426.
403–419. Pimentel, David, & Lal, Rattan. (2007). Biofuels and the environ-
Blanco-Canqui, Humberto, & Lal, Rattan. (2007). Soil and crop ment. Science, 317(5840), 897.
response harvesting corn residues for biofuel production. Geoderma, Polyakov, V. O., & Lal, Rattan. (2008). Soil organic matter and CO2
141(3–4), 355–362. emission as affected by water erosion on field runoff plots.
Davidson, Eric A.; Trumbore, Susan E.; & Amundson, Ronald. Geoderma, 143(1–2), 216–222.
(2000). Soil warming and organic carbon content. Nature , Sterk, Geert. (2003). Causes, consequences and control of wind ero-
408 (6814), 789–790. sion in Sahelian Africa: A review. Land Degradation &
Fang, Janet. (2010). Soils emitting more carbon dioxide. Nature Digest, Development, 14 (1), 95–108.
7(6), 38–40. Stocking, Michael A. (2003). Tropical soils and food security: The
Fargione, Joseph; Hill, Jason; Tilman, David; Polasky, Stephen; & next 50 years. Science, 302 (5649), 1356–1359.
Hawthorne, Peter. (2008). Land clearing and the biofuel carbon Tilman, David; Hill, Jason; & Lehman, Clarence. (2006). Carbon-
debt. Science, 319 (5867), 1235–1238. negative biofuels from low-input high-diversity grassland biomass.
Kaiser, Jocelyn. (2004). Wounding Earth’s fragile skin. Science, Science, 314 (5805), 1598–1600.
304 (5677), 1616–1618. Troeh, Frederick R.; Hobbs, J. Arthur; & Donahue, Roy Luther.
Lal, Rattan. (2009). Soil quality impacts of residue removal for (2004). Soil and water conservation for productivity and environ-
bioethanol production. Soil and Tillage Research, 102 (2), 233–241. mental protection (4th ed.). Upper Saddle River, NJ: Prentice
Lal, Rattan; Griffi n, Michael; Apt, Jay; Lave, Lester; & Morgan, M. Hall.
Granger. (2004). Managing soil carbon. Science, 304 (5669), 393. United States Department of Agriculture (USDA), Natural Resources
Nearing, Mark A., et al. (2005). Modeling response of soil erosion and Conservation Service (NRCS). (2010). 2007 national resources
runoff to changes in precipitation and cover. Catena, 61(2–3), inventory (NRI): Soil erosion on cropland. Retrieved April 23,
131–154. 2011, from www.nrcs.usda.gov/technical/NRI/2007/2007_NRI_
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Jane; & Pfeifer, Rebecca A. (2005). Climate change impacts on soil Uri, Noel D. (2000). Agriculture and the environment: Th e prob-
erosion in Midwest United Status with changes in crop manage- lem of soil erosion. Journal of Sustainable Agriculture , 16 (4),
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soil erosion. In Rattan Lal & Bobby A. Stewart (Eds.), Soil quality W. B.; & Linden, D. R. (2004). Crop and soil productivity
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Reintroductions are attempts to return species to parts taken by concerned authorities. In addition, changing
of their historic ranges where they were extirpated. public attitudes toward captive wildlife have encouraged
Whereas reintroduction in the context of biodiversity zoos to expand their activities to wider conservation
conservation was historically used for species preserva- measures including reintroductions.
tion, a relatively new use of reintroduction is to restore The Species Survival Commission of the International
ecosystem function, especially in the face of species Union for Conservation of Nature (IUCN) created the
extinction and global climate change. Reintroduction Specialist Group in 1988 to provide
guidance for increasing numbers of wildlife restoration
H umans have moved domesticated or captive animals

from one place to another for millennia. There is a
well-documented history of wildlife releases to establish
projects globally. The Reintroduction Specialist Group
held their fi rst strategic planning workshop in 1992,
which formulated the IUCN guidelines for reintroduc-
new food resources, for biological pest control, and for tions (IUCN 1998; see IUCN 2007).
aesthetic reasons. These movements have frequently Reintroduction biologists often use the terminology
entailed release of species outside their natural ranges, related to reintroduction inconsistently, resulting in con-
however. siderable confusion. The original terminology outlined in
Movement of native species may involve the release of the IUCN position statement on the translocation of liv-
animals within their natural ranges to restock hunted ing organisms defined “translocation” as the movement
populations, to solve human-wildlife confl icts, or to sup- of living organisms from one area to another (IUCN
ply nonconsumptive industries such as nature-based 1987). That document recognized three types of translo-
tourism. Reintroducing species to fulfi ll a biodiversity cation: (1) introduction, or movement of an organism
preservation or restoration objective is a relatively recent outside its historically known native range; (2) reintro-
activity that has developed as a consequence of increasing duction, that is, intentional movement of an organism
global awareness of the need to conserve biological diver- into a part of its native range from which it has disap-
sity in the face of species extinctions. peared or become extirpated (locally extinct) in historic
The high-profi le reintroductions of a few charismatic times; and (3) restocking, which is the movement of indi-
vertebrates in the 1970s and 1980s increased awareness viduals to build up an existing population.
of reintroduction as a viable conservation option. The The term “reintroduction biology” refers to research
Arabian oryx (Oryx leucoryx) (pictured in the image undertaken to improve the outcomes of reintroductions
above, photographed by Janet Tropp of the Phoenix Zoo) and other translocations carried out for conservation pur-
was reintroduced in Oman, golden lion tamarins poses. In the journal Trends in Ecology and Evolution,
(Leontopithecus rosalia) in Brazil, and Peregrine falcons New Zealand conservation biologist Doug P. Armstrong
(Falco peregrinus) in North America. Reintroductions are and zoologist Philip J. Seddon (2008) proposed ten
an attractive option for generating publicity, particularly key questions for reintroduction biologists to address,
because handling, transport, and release of animals are with different questions focusing on the population
media-friendly events and show concrete action being level, metapopulation level, and ecosystem level.
371

Figure 1. Ten Key Questions for Reintroduction Biology
Population level Metapopulation level Ecosystem level
Establishment Persistence
1. How is establishment probability 3. What habitat conditions are 5. How heavily should source 8. Are the target species/taxon
affected by size and composition needed for persistence of the populations be harvested? and its parasites native to
of the release group? reintroduced population? the ecosystem?
6. What is the optimal allocation
2. How are post-release survival 4. How will genetic makeup of translocated individuals 9. What is the optimal
and dispersal affected by pre- affect persistence of the among sites? allocation of translocated
and post-release management? reintroduced population? individuals among sites?
7. Should translocation be used
to compensate for isolation? 10. How does the order of
reintroductions affect the
ultimate species composition?
Source: Armstrong and Seddon (2008).
(See figure 1.) These ten key questions provide an over- disparity between release population size and the effec-
view of the most pressing issues in species reintroduction. tive initial population size.
The second key question is, “How are postrelease sur-
vival and dispersal affected by pre- and postrelease man-
Key Questions at the agement?” Questions about the effects of specific
Population Level management practices naturally follow. Release strategies
intended to facilitate acclimatization are often termed
Reintroduction biology has traditionally focused on the soft release. These strategies may not have the desired
factors determining whether reintroductions are success- effect. Although some reintroduction biologists believe
ful or not. These factors can be divided into those affect- that dispersal and/or mortality can be reduced by holding
ing the establishment and spread of populations, animals at the release site for some period, not all studies
following the division often made in invasion biology. have supported this notion.
Distinguishing between establishment and persistence is The factors that affect postrelease survival and dis-
more appropriate for reintroduction. Persistence is more persal lend themselves to experimental investigation.
general, because it applies to populations that are geo- Reintroduction biologists have experimentally manipu-
graphically bounded, and that therefore grow through lated the size of the release group. Such experiments
increasing density rather than increasing range. It also require multiple reintroduction attempts and are unlikely
refers to populations that have reached carrying capacity. to be feasible with threatened species. A better approach
The dichotomy is useful because reintroduced popula- models the relationship based on the available data on sur-
tions can fail to survive the establishment phase in condi- vival, reproduction, and dispersal rates for the species and
tions that would enable long-term persistence once the system in question. Comparative analyses of reintroduc-
population is established. tion success rates for multiple species and systems probably
give a misleading indication of the relationship between
release group size and establishment success. There is a bias
Population Establishment toward success with large release groups because reintro-
Small release groups can fail to establish populations duction biologists generally release low numbers when
because of either chance (demographic stochasticity) or they perceive reintroductions to have a low probability of
low reproduction or survival rates at low densities (Allee success. Reintroduction programs may be poorly resourced,
effects). The first key question is, “How is establishment as well. Where postrelease dispersal and mortality are low,
probability affected by the size and composition of the however, populations can potentially establish successfully
release group?” (See fi gure 1 for all key questions.) from fewer than ten released individuals.
Populations might also fail to establish themselves
because they disperse at high rates. Their survival or Habitat Effects on Population Persistence
reproduction rates may be low if they suffer from trans-
location stress or if they fail to acclimate to the release Regardless of the strategy used to establish a population,
site. High postrelease dispersal and mortality create a a reintroduction will fail if the habitat at the release site

SPECIES REINTRODUCTION • 373
cannot support the species. Consequently, the fi rst key Questions at the Metapopulation
question about population persistence is, “What habitat
conditions are needed for persistence of the reintroduced
Level
population?” Assuming the number of organisms released
Metapopulation questions deal with multiple populations
is below carrying capacity, the essential prerequisite for
of species. The term metapopulation traditionally
persistence is positive growth. Th is growth should be the
described networks of semi-isolated populations con-
main target of reintroduction programs. The IUCN rein-
nected by natural dispersal. Reintroduction biologists
troduction guidelines emphasize that the original cause
also use the term to describe networks of populations
of decline must be identified and eliminated before a spe-
that can be connected by translocation. Any translocation
cies can be reintroduced to a site. Th is may sound simple,
involves at least a simple metapopulation consisting of
but assessing the conditions needed for growth is seldom
the source population and recipient population.
trivial. No data are usually available for the species at the
site. Invasion biologists face the same challenge when
trying to predict habitats that can be invaded. Biologists Impact on Source Populations
can thus apply similar habitat modeling methods to proj- Although reintroduction biology has traditionally
ect the fates of invasions and reintroductions. After focused on the fates of the reintroduced populations, the
release of the species, biologists can model data on sur- potential benefits of establishing these populations need
vival and reproduction to estimate the rate of population to be balanced against the impact to source populations,
growth and to quantify uncertainty in this relationship. regardless of whether they are captive or wild. The first
Reintroduction biologists might also use an adaptive key question at the metapopulation level is, “How heavily
management approach. Habitat conditions could be should source populations be harvested?” Population
manipulated over time and/or space to determine require- modeling is one way to address this question, but accu-
ments for population growth. Such adaptive manage- rate projections require a good understanding of popula-
ment could be used to develop criteria for future tions’ regulatory mechanisms—that is, the compensatory
reintroduction sites, as well as protocols for the popula- increases in survival and/or reproduction following den-
tion under management. sity reduction. Harvesting provides density manipula-
tions that are invaluable for understanding these
Genetic Effects on Population Persistence mechanisms, so lends itself to adaptive management.
Although habitat conditions will be the main drivers of

population growth, the intrinsic nature of the organisms Allocation of Translocated Individuals
also affects it. The next key question is, “How will genetic Moving beyond a single source and recipient population,
makeup affect persistence of the reintroduced popula- species recovery programs often involve multiple reintro-
tion?” A population could fail to grow from the outset if ductions and many potential reintroduction sites. What
the founder group were highly inbred or of inappropriate is the optimal allocation of translocated individuals
provenance—that is, genetically adapted to conditions among sites? Meetings of stakeholder groups involved in
different from those at the release site. A more likely a species’ recovery often decide such allocations on an ad
problem, however, is that if genetic diversity reduces over hoc basis. Reintroduction biologists could potentially
time, the species may suffer from inbreeding depression plan them using theoretically derived optimization strat-
and declining immunocompetence. If populations egies. Similar methods could also decide the optimal
remain small, such effects are probable. Reintroduction allocation of management effort among sites.
biologists may need to continue managing the reintro-
duction. Such management can potentially prevent local Translocation to Compensate for Isolation
adaptation if the population is supplemented with indi-
viduals of non-native genetic provenance, however, or The final question at the metapopulation level is, “Should
waste resources that could be invested elsewhere. translocation be used to compensate for isolation in frag-
Research in this area may not only predict how manage- mented landscapes?” Reintroduction biologists almost
ment will affect genetic diversity of reintroduced popula- always consider this factor, at least implicitly, because
tions; it may also predict effects on population growth reintroduction is unnecessary if the species is likely to
and persistence. Reintroduction biologists who make recolonize the site naturally. What they rarely consider is
such predictions must estimate the effects of genetic that some local extinctions could be primarily a conse-
diversity on survival and reproduction of reintroduced quence of metapopulation dynamics following habitat
populations, then project the impacts using population fragmentation—that is, the emergence of discontinuities
modeling. in a species’ preferred environment. Th is effect means

that translocation could be used to restore distributions new climatic regimes. According to Seddon (2010), the
by connecting populations without management of habi- movement of living organisms from one area to another
tat. If the local extinctions were owing to local declines for conservation purposes can be viewed along a spec-
in habitat quality, however, this strategy would be disas- trum, characterized by a decreasing reliance on docu-
trous. Reintroduction biologists require methods for mented historic distribution and ranging in scope from
resolving the roles of habitat quality and metapopulation population restoration to conservation introduction. (See
dynamics in species declines, an endeavor that is by no table 1.)
means trivial.
Ecosystem Effects of Releases
Key Questions at the The next key question is, “How will the target species
affect the ecosystem and its parasites?” Th is question is
Ecosystem Level closely related to the previous question of whether the
parasites are native to the ecosystem. The primary goal of
Although the goal of reintroduction has traditionally
translocations should be to restore ecosystem function
been species recovery, reintroductions increasingly occur
rather than species composition. Although the IUCN
within the context of ecosystem restoration programs.
reintroduction guidelines provide for introducing species
Despite this, there has been surprisingly little overlap
to new areas to satisfy species recovery goals, a better jus-
between the disciplines of reintroduction biology and
tification might be to restore the functional roles of
restoration ecology. The reintroduction literature has
extinct species. Scientists need research designed to proj-
taken a single-species perspective and focused on ani-
ect impacts of translocated species to justify such intro-
mals, whereas the restoration literature has focused on
ductions, to determine which parasites it is most
abiotic factors—that is, nonliving factors that aff ect
important to screen for, and to prioritize reintroduction
biotic, or living species—and vegetation. Armstrong and
of ecosystem engineers—that is, species that create or
Seddon (2008) suggest that there are three key questions
modify habitats—and other species crucial to ecosystem
for reintroduction biology at the ecosystem level, and all
function. Studies documenting previous ecosystem-level
of these bridge the two disciplines.
impacts of reintroductions are relevant here, as are meth-
ods invasion biologists developed for projecting impacts
Target Species and Parasites of new species on ecosystems.
The first key question at the ecosystem level is, “Are the
target species and its parasites native to the ecosystem?” Order of Reintroductions
The IUCN reintroduction guidelines stress that the
The final key question is, “How does the order of reintro-
organisms used for reintroduction should be as close as
ductions affect the ultimate species composition?” Th is
possible genetically to those originally found in the area,
question comes up frequently in the course of restoration
and that introducing a species outside its historic range
programs, but reintroduction biologists often make deci-
should be considered only if there is no suitable habitat
sions based on intuition. Because the question often con-
available within that range. Assessing the historic ranges
cerns species at different trophic levels—that is, the level
and genetic provenances of species proposed for translo-
a species occupies in the food chain—one promising area
cation is, therefore, a fundamental part of reintroduction
for research is the functional responses between predator
biology. The parasites carried by a species are considered
and prey species that are likely to be reintroduced. These
from a veterinary perspective, however, usually with no
responses could determine the ability of the predator and
consideration as to whether those parasites already occur
prey to coexist in relation to their initial densities.
at the release site or occurred there historically. The key
focuses of disease-screening procedures should be to
restore host-parasite relationships and prevent introduc- Outlook
tion of non-native parasites. Th is process needs to be
accompanied by research designed to reconstruct historic Reintroduction biology will always strongly emphasize
distributions of parasites. case studies because there is no substitute for local knowl-
These issues are likely to become increasingly complex edge of species and systems. Although future research
in the future. Global climate change is shifting the dis- might give a greater role to meta-analyses, useful meta-
tributions of suitable habitat for many species. At least analyses depend on good data from individual case stud-
some programs will have to focus less on restoring ies. Comparative analyses of simple statistics—such as
what was originally found at a site and instead focus on success rates—will produce misleading or trivial results
facilitating development of ecosystems suitable for in the absence of such data.

SPECIES REINTRODUCTION • 375
Table 1. The Conservation Translocation Spectrum
Reliance on
Documented
Historic Primary
Distribution Focus Term Definition Synonyms Scope
High Single Reintroduction Intentional Population
species movement of an restoration
organism into part (release into
of its native range known range)
from which it has
disappeared or
become extirpated
in historic times
Medium Restocking Movement of Supplementation,
individuals to build augmentation,
up an existing reinforcement,
population enhancement
(plants only)
Low Ecosystem Ecological Introduction of Subspecific Benign/
replacement the most suitable substitution; taxon conservation
extant form to fill substitution; introduction
the ecological ecological (release outside
niche left vacant substitutes/proxies/ known range
by the extinction surrogates
of a species
Assisted Translocation of Assisted migration,
colonization species beyond managed relocation
their natural range
to protect them
from human-
induced threats
Community Introduction of Futuristic restoration;
construction suites of species to designer/novel/
create new species invented ecosystems
assemblages
Source: Seddon (2010).
Following his proposal of a conservation transloca- Single-species conservation actions in the core of
tion spectrum, Seddon (2010) outlined three key impli- historic range will remain the backbone of many con-
cations for the future of species reintroduction. (See servation efforts, but increasingly we need to adopt an
table 1.) Historic distribution records will always pro- ecosystem focus and consider the translocation of suites
vide a good starting point for identifying translocation of species to restore key ecological functions. Ecological
release sites. Global climate change and the dynamic functions once performed by now-extinct taxa can be
nature of ecosystems mean, however, that historic spe- restored through the introduction of ecological replace-
cies ranges have only limited use. Reintroduction biolo- ments, which may themselves be threatened in their
gists will need to use even prehistoric reference points native range.
and should consider species-specific habitat suitability Reintroduction biologists and restoration ecologists
assessments. should join forces in selected projects to create novel

ecosystems, including, where appropriate, ecological International Union for Conservation of Nature (IUCN). (1998).
community construction through conservation introduc- IUCN guidelines for re-introductions. Gland, Switzerland: IUCN.
International Union for Conservation of Nature (IUCN). (2007).
tions, to serve both single-species conservation and eco- IUCN/SSC Re-introduction Specialist Group. Homepage.
system management objectives. Retrieved November 16, 2001, from http://www.iucnsscrsg.org/
Kleiman, Devra G. (1989). Reintroduction of captive mammals for
Markus GUSSET conservation: Guidelines for reintroducing endangered species into
University of Oxford the wild. BioScience, 39 (3), 152–161.
Kleiman, Devra G.; Stanley Price, Mark R.; & Beck, Benjamin B.
See also Biodiversity; Carrying Capacity; Charismatic (1994). Criteria for reintroductions. In Peter J. S. Olney, Georgina
Megafauna; Communit y Ecolog y; Ecological M. Mace & Anna T. C. Feistner (Eds.), Creative conservation:
Interactive management of wild and captive animals (pp. 287–303).
Restoration; Forest Management; Global Climate London: Chapman and Hall.
Change; Hunting; Indicator Species; Keystone Species; Kock, Richard, A.; Woodford, Michael H.; & Rossiter, Paul B.
Plant-Animal Interactions; Population Dynamics; (2010). Disease risks associated with the translocation of wildlife.
Reforestation; Refugia; Regime Shifts; Wilderness Areas Scientific and Technical Review of the Office International des
Epizooties, 29 (2), 329–350.
Reading, Richard P.; Clark, Tim W.; & Griffith, Brad. (1997). The
influence of valuational and organizational considerations on the
success of rare species translocations. Biological Conservation ,
FURTHER READING 79 (2/3), 217–225.
Armstrong, Doug P., & Seddon, Philip J. (2008). Directions in Sarrazin, François, & Barbault, Robert. (1996). Reintroductions:
reintroduction biology. Trends in Ecology and Evolution , 23 (1), Challenges and lessons for basic ecology. Trends in Ecology and
20–25. Evolution, 11(11), 474–478.
Beck, Benjamin B.; Rapaport, Lisa G.; Stanley Price, Mark R.; & Seddon, Philip J. (2010). From reintroduction to assisted colonization:
Wilson, Alison C. (1994). Reintroduction of captive-born animals. Moving along the conservation translocation spectrum. Restoration
In Peter J. S. Olney, Georgina M. Mace & Anna T. C. Feistner Ecology, 18 (6), 792–802.
(Eds.), Creative conservation: Interactive management of wild and Seddon, Philip J.; Armstrong, Doug P.; & Maloney, Richard F.
captive animals (pp. 265–286). London: Chapman and Hall. (2007). Developing the science of reintroduction biology.
Earnhardt, Joanne M. (2010). The role of captive populations in rein- Conservation Biology, 21(2), 303–312.
troduction programs. In Devra G. Kleiman, Katerina V. Thompson Stanley Price, Mark R., & Fa, John E. (2007). Reintroductions from
& Charlotte Kirk Baer (Eds.), Wild mammals in captivity: Principles zoos: A conservation guiding light or a shooting star? In Alexandra
and techniques for zoo management (2nd ed., pp. 268–280). Chicago: Zimmermann, Matthew Hatchwell, Lesley A. Dickie & Chris
University of Chicago Press. West (Eds.), Zoos in the 21st century: Catalysts for conservation?
Fischer, Julia, & Lindenmayer, David B. (2000). An assessment of the (pp. 155–176). Cambridge, UK: Cambridge University Press.
published results of animal relocations. Biological Conservation , Stanley Price, Mark R., & Soorae, Pritpal S. (2003). Reintroductions:
96(1), 1–11. Whence and whither? International Zoo Yearbook, 38, 61–75.
Griffith, Brad; Scott, J. Michael; Carpenter, James W.; & Reed, Van Wieren, Sipke E. (2006). Populations: Re-introductions. In Jelte
Christine. (1989). Translocation as a species conservation tool: van Andel & James Aronson (Eds.), Restoration ecology: The new
Status and strategy. Science, 245(4917), 477–480. frontier (pp. 82–92). Malden, MA: Blackwell Publishing.
Gusset, Markus. (2009). A framework for evaluating reintroduction Wolf, C. Magdalena; Garland, Theodore, Jr.; & Griffith, Brad. (1998).
success in carnivores: Lessons from African wild dogs. In Matt W. Predictors of avian and mammalian translocation success:
Hayward & Michael J. Somers (Eds.), Reintroduction of top-order Reanalysis with phylogenetically independent contrasts. Biological
predators (pp. 307–320). Oxford, UK: Wiley-Blackwell. Conservation, 86(2), 243–255.
International Union for Conservation of Nature (IUCN). (1987). Wolf, C. Magdalena; Griffith, Brad; Reed, Christine; & Temple, Stanley
IUCN position statement on translocation of living organisms. Gland, A. (1996). Avian and mammalian translocations: Update and reanal-
Switzerland: IUCN. ysis of 1987 survey data. Conservation Biology, 10 (4), 1142–1154.

Techniques using green infrastructure are emerging as for managing a gallon of stormwater using traditional
a viable alternative to traditional gray water infrastruc- approaches is estimated to be $2.42 per gallon, signifi-
ture approaches for managing stormwater. Rather than cantly higher than all green infrastructure approaches
attempting to manage stormwater by conveying it else- except for green roofs and rain gardens (Milwaukee
where, green infrastructure techniques more closely Metropolitan Sewerage District 2009).
mimic how water is managed in the natural world, cap- Unlike this traditional gray infrastructure, green
turing and infiltrating as much water as possible on site infrastructure captures and infiltrates water where it falls.
through rain gardens, bioswales, native landscaping, Green infrastructure is being adopted by communities
porous pavement, constructed wetlands, and other around the world as a cost-effective means to provide
techniques. more environmentally sensitive solutions to stormwater
management. For example, in communities with com-
bined storm and sanitary sewers, green infrastructure
S tormwater runoff is a substantial water quality prob-
lem, especially in urban areas where rainwater run-
ning down streets and across parking lots picks up
solutions can help minimize the number of overflow
events where untreated water is discharged into rivers
pollutants before flowing into streams, rivers, and lakes, and lakes. Green infrastructure provides social benefits
and occasionally overburdening municipal sewage treat- to communities as well, for example, by improving aes-
ment systems. Historically, traditional (or “gray”) storm- thetics, providing habitat, and helping minimize the
water management approaches were developed to manage “urban heat island effect” that is caused in part by the
the impacts of urbanization, including localized flood- buildup of hard infrastructure in cities, which captures
ing. Large-scale solutions were engineered using storm solar energy and radiates heat. Some of the more com-
sewers, deep tunnels, stormwater retention ponds, and mon green infrastructure practices, including the use of
other “gray infrastructure” technologies. green roofs, the planting of trees, bioretention and infi l-
The results of gray infrastructure approaches to storm- tration mechanisms, the use of permeable pavement, and
water management have been mixed. While they have water harvesting, are described below.
helped mitigate the impacts of rainfall events and flood-
ing, traditional approaches have come with considerable Green Infrastructure Approaches
economic, social, and environmental costs. For example,
many urban streams and rivers were buried or diverted Green roofs are rooftops covered in part or wholly by veg-
into channelized concrete structures in the name of etation. (A waterproof barrier is used to protect the roof
stormwater management. As a result, plant and animal structure from damage such as water, soil, and/or root
biodiversity has suffered, while citizens have lost access penetration.) By absorbing rainfall, green roofs help reduce
to recreational landscapes. Meanwhile, communities stormwater runoff. Rooftop vegetation also improves air
have had to spend large amounts of money building and quality and provides habitat for plants and wildlife, includ-
maintaining extensive gray water infrastructure. In ing butterflies and birds. Finally, green roofs offer people
Milwaukee, Wisconsin, for example, the estimated cost opportunities for environmental education and recreation,
377

while providing aesthetic benefits. They do add consider- can dramatically increase the amount of polluted runoff
able weight to building rooftops, however, and therefore in these areas. Permeable pavement provides the benefits
their use is limited to those buildings that are structurally of pavement while reducing the negative impacts of asso-
engineered to support the additional weight. The green ciated runoff. Permeable, or porous, pavement contains
roof approach can be quite expensive, with capital costs small spaces that allow water to percolate through. Once
ranging between eight and twenty-five dollars per square below the pavement surface, the water is either absorbed
foot (Milwaukee Metropolitan Sewerage District 2009). into the ground, stored in a catchment system, or con-
Trees reduce stormwater runoff by intercepting rain- veyed off-site. Chicago has received attention for its use
fall. They also take up soil moisture, which allows the soil of permeable pavement in its alleyways, allowing water to
to absorb more water during rainfall events, which in percolate on-site, thereby reducing stormwater runoff
turn helps minimize runoff. Trees also improve air qual- flows into the sewer system and eventually into Lake
ity, reduce energy consumption, provide habitat, and Michigan, which is Chicago’s source of drinking water
enhance quality of life. While trees provide multiple ben- (Solsby 2010).
efits, older mature trees function best as green infrastruc- Water harvesting techniques redirect rainwater away
ture; therefore, trees are not a quick fi x for addressing from stormwater sewers and into vessels, including rain
immediate stormwater issues (Milwaukee Metropolitan barrels and cisterns, so that the stored water can then be
Sewerage District 2009). used on-site for irrigation and residential or commercial
Bioretention and infiltration practices help retain water gray water needs, including toilet flushing. Water har-
from rainfall and allow it to infiltrate the ground gradu- vesting techniques can be deployed adjacent to virtually
ally. These include the use of rain gardens, bioswales, and any existing building or structure with a roof system.
wetlands. Rain gardens help infiltrate stormwater runoff Downspouts can be disconnected and the water redi-
and often include native plantings, which also evapo- rected into storage systems, ranging from small 50-gallon
transpirate water (remove it from soil by both evap- (190-liter) rain barrels to large underground
oration and transpiration from the leaves cisterns capable of holding thou-
of plants). Bioswales are shallow, usu- sands of gallons. Water har-
ally linear depressions often located vesting techniques are
along roadways and parking lots especially suitable for arid
that collect and infi ltrate runoff. regions where water is often
Wetlands serve a similar function in short supply and can be
and act like sponges to absorb run- quite costly. By reducing the
off during rain events and slowly demand for irrigation water,
release stored water over time. which is often treated, harvest-
Bioretention and infi ltration prac- ing systems can help households,
tices not only reduce runoff ; they businesses, and governments save
also improve air quality and mitigate both water and energy.
against climate change by sequester-
ing carbon dioxide (i.e., capturing it
Implementation
rather than releasing it into the Earth’s
atmosphere). In addition, they improve of Green
aesthetics, create plant and animal Infrastructure
habitat, and provide educational
opportunities. Successful bioreten- Communities wishing to
tion and infiltration mechanisms promote green infrastructure
require good management practices can do so in a num-
practices to maintain ber of different ways. They
the desired species can lead by example by
mix, avoid the intro- installing rain gardens, bio-
duction of invasive swales, and green roofs on
species, and minimize government-owned prop-
litter accumulation. erty. Communities wanting
Large swaths of the to encourage green infra-
Earth’s surface, particu- structure practices more
larly in urban areas, are now broadly, however, have a
covered with pavement, which wide range of policy options

STORMWATER MANAGEMENT • 379
available to them. Several North American communities— Forestry; Urban Vegetation; Waste Management; Water
including Toronto, Chicago, and Portland (Oregon)— Resource Management, Integrated (IWRM)
have encouraged the private development of green
infrastructure through incentives, subsidies, consulta- FURTHER READING
tion services, fee reductions, and regulations (Bitting Bitting, Jennifer, & Kloss, Christopher. (2008, December). Managing
and Kloss 2008). wet weather with green infrastructure: Municipal handbook. Green
Stormwater management is an area of public policy infrastructure retrofit policies. Retrieved April 1, 2011, from http://
and private development that can take advantage of green www.epa.gov/npdes/pubs/gi_munichandbook_retrofits.pdf
Center for Neighborhood Technology. (2010). The value of green infra-
infrastructure approaches to allow households, busi- structure: A guide to recognizing its economic, environmental, and
nesses, and communities to manage their water resources social benefits. Retrieved April 1, 2011, from http://www.cnt.org/
more effectively while promoting sustainable environ- repository/gi-values-guide.pdf
mental health, improving quality of life, and saving Milwaukee Metropolitan Sewerage District. (2009). Fresh coast green
solutions: Weaving Milwaukee’s green & grey infrastructure into a sus-
money. Green infrastructure also mitigates against urban tainable future. Retrieved April 1, 2011, from http://v3.mmsd.com/
heat island effects, offsets irrigation and water demand, AssetsClient/Documents/sustainability/SustainBookletweb1209.
improves air quality, and enhances the overall quality of pdf
life in communities. Science Progress (2011, March 22). Climate change, weather
extremes, and U.S. infrastructure. Retrieved April 1, 2011, from
Andrew DANE http://www.scienceprogress.org/2011/03/climate-change-weather-
extremes-and-u-s-infrastructure/
Short Elliott Hendrickson Inc. Solsby, Jeff. (2010). America’s second city: First in alleys, fi rst in inno-
vation. Transportation Builder, 22 (5), 26–27.
See also Buffers; Groundwater Management; Hydrology; US Environmental Protection Agency (US EPA). (2009). Water qual-
Landscape Architecture; Permaculture; Rain Gardens; ity scorecard. Retrieved April 1, 2011, from http://www.epa.gov/
Road Ecology; Tree Planting; Urban Agriculture; Urban smartgrowth/pdf/2009_1208_wq_scorecard.pdf

Succession
Succession is temporal change in ecosystem structure Linear Succession Model

that can be initiated either naturally or by humans.
Ecologists and ecosystem managers use different mod- The classic model of succession views ecosystem develop-
els to understand and predict this change in order to ment as a linear process, driven by competition among
promote sustainability. The traditional linear models for living organisms. The thinking behind this model essen-
succession have been challenged by newer nonequilib- tially began in the early twentieth century and was elabo-
rium models that emphasize abiotic controls and mul- rated in the 1920s by the ecologist Frederick Clements
tiple endpoints. while studying plowed fields in the Midwest. He fully
developed the concept of linear, deterministic succession
to describe vegetation response to human disturbance.
E cological succession refers to the change in ecosys-

tems and their constituent plant communities that
occurs as the organisms in the ecosystem respond to
Th is concept gained such traction that it is now often
referred to as the Clementian succession model. In the
decades following his work, ecologists have debated the
and modify that ecosystem over time. Succession mod- particulars of the model, and whether succession follows
els are theoretical frameworks for describing and inter- from the organic development of ecosystems, the indi-
preting the development of plant communities and vidual characteristics of plants, the facilitation or sup-
ecosystems, and they have had profound impact on the pression of new plants by existing plants, or the initial
way that people interpret and manage the land. floristic composition on the site.
Assumptions derived from ideas about how ecosystems The standard illustration of primary succession begins
develop and change also influence how people think with a volcanic eruption and fresh lava that eventually
about sustainability. The classic succession model posits weathers. Plant seeds brought in by wind or animals take
that soils, plants, and the animals associated with them root. Soils form, and a predictable succession of plant
go through various stages of development until they communities or ecosystem states—from grass and shrubs
reach a stable equilibrium with their physical environ- to forest—ensues. Canopy closure shades out the herba-
ment. Th is fi nal stage is termed a climax state, achiev- ceous and shrubby pioneer plants, and the forest matures
able in the absence of disturbance that sets the and eventually reaches a stable state of equilibrium when
community or ecosystem back. For many, ecological it becomes “old growth.” Secondary succession takes
sustainability has come to mean achieving and main- place after less traumatic events or disturbances that do
taining some sort of equilibrial state. More recent the- not require a new soil to form, such as when a forest is
ories of ecosystem change, however, cast doubt on the burned or cut down and then recovers, progressing from
viability of an equilibrial state as a goal or measure of grass and shrubs back to trees.
the sustainability of a system. Newer models, based on The environmental characteristics and species interac-
nonequilibrium theories, offer a more broadly applications at each site influence the community at the end-
ble framework for understanding and evaluating the point, whether forest or desert scrub. The collective stages
sustainability of managed ecosystems. of plant community succession at a site, referred to
380

SUCCESSION • 381
as successional seres, may provide a series of habitats for from one set of species to another, driven by competition
distinct wildlife species. For example, the spotted owl of and other biotic factors, and a completely unpredictable
California depends on an old-growth forest habitat and system that responds ad hoc to unanticipated distur-
is often described as a climax species. Various attempts bance. Instead, a model that recognizes the persistence
have been made to correlate maximum biodiversity and of relatively stable ecosystem configurations and
other features with climax stages. Some observers and acknowledges that there are multiple possible states and
ecosystem managers still evaluate the condition of an pathways among them has proven useful for understand-
ecosystem or plant community based on how close its ing ecological dynamics. Such models are termed state
current state is to the predicted climax, although many and transition models. Table 1 on page 382 compares the
ecologists consider this to be a misleading and inaccurate three approaches.
method of assessment. For those interested in sustainable management of
Succession models based on succession toward an equi- ecosystems, the simple linear deterministic model of suc-
librial state imply that any force that drives an ecosystem cession is easy to apply when evaluating the potential sus-
away from climax is detrimental. This idea has influenced tainability of managed systems, but it has low predictive
the way ecologists and ecosystem managers have inter- power in many systems. Lands used for agriculture, graz-
preted landscapes and assessed sustainability. For exam- ing, timber, or many other types of ecosystem service
ple, in much of the world it has provided a rationale for production are inherently managed for vegetation condi-
suppressing indigenous and traditional patterns of natu- tions that would be considered nonclimax, or distanced
ral-resource management and use. The effect of humans from the supposed equilibrial state. State and transition
on the ecosystem, seen as a form of disturbance, has models, on the other hand, suggest that management is
often been assumed to be detrimental to the ecosystem’s better understood as a process of choosing among possi-
condition because it moves the ecosystem further from a ble stable states and maintaining those states rather than
posited climax state. Ecosystem managers and conserva- seeking a single equilibrial climax. They accommodate
tionists have treated natural and human-made fi re as a the role of stochastic processes in ecosystem change, as
detrimental disturbance to ecosystems for decades, and well as the driver of classic succession, plant competition.
only recently have begun to fully accept managed fire as a State and transition models can also evaluate the role of
shaper of sustainable ecosystems. The anthropologists human interaction in ecological change, unlike the linear
James Fairhead and Melissa Leach argued in a 1995 arti- succession model.
cle that environmental historians misinterpreted a land- A state and transition model is research intensive. It
scape in Africa because they assumed that human actions allows the manager to identify ecosystem states that are
were inherently degrading to ecosystems and would cause stable within management horizons, and to gather data
a loss rather than a gain of forest cover. The use of fi re that identifies states and explains shifts from one state to
by indigenous people was eventually found, in fact, to another. Management practices that change or maintain
contribute to forest renewal and human sustenance. sites can be identified, tested, and incorporated into the
Underlying this misinterpretation is the classic succession model, which makes it amenable to adaptive manage-
model now largely rejected by ecologists but still widely ment. In a forest, for example, fire frequency and inten-
influential among managers. sity, natural or human caused, may maintain the stability
of a state or cause a transition among the possible stable
states on a site, affecting the characteristics of the forest
Alternative Succession Models indefinitely. A linear succession model predicts a single
path after fi re from “weedy species” like grasses to a cli-
An alternative to the classic view, nonequilibrium ecol- max state of mature trees, while a state and transition
ogy holds that ecosystem characteristics are more often model accommodates different stable endpoints or out-
influenced by disturbance and abiotic (nonliving) factors comes depending on management practices or natural
than by the biotic (organic) interactions that are used to events. States and transitions are defi ned by data col-
explain the linear pattern of succession. When distur- lected within a site of well-defined environmental char-
bance is frequent, severe, and unpredictable, stochastic acteristics, including soils, climate, slope, and other
models may be a better fit to the observed ecological factors. As more is learned about the ecosystem, states
changes. Stochastic models consider the outcomes of and the transitions among them may be better defi ned
succession to be unpredictable, though attempts at pre- and understood. State and transition models incorporate
diction may be based on probabilities derived from his- new information and can be corrected and elaborated as
torical outcomes. Most ecosystem dynamics, however, more data is provided. Because they do not rely on a sin-
fall somewhere between an undisturbed progression gular pattern of development to explain ecosystem

Table 1. Comparison of Three Types of Models for Explaining Species Composition

and Ecological Change
Site Conditions Under Which

Model System Characteristics Model Might Work
Linear deterministic • Long- and short-term prediction • Abiotic conditions are stable
succession • Initial conditions are known but have minor • Disturbance is rare and extrinsic
(Clementian influence on predicting succession to the community
succession) • Competition and other plant-animal interac- • Low level of environmental
tions are drivers within given site conditions heterogeneity
• A single state commonly develops in the
absence of disturbance
Stochastic • Short-term predictions are more accurate • Frequent and relatively intense
• Initial conditions are often unknown and unpredictable disturbance
important predictors • Small spatial and temporal scales
• Random events are an important influence on
succession
• Order of propagule arrival may have strong
influence
Alternative stable • Initial conditions known or unknown • Adaptable to any spatial and
states (states and • Environmental conditions may be important temporal scale or pattern
transitions) drivers of succession
• Random events may be important
• The contributions of resilience and thresholds
to state stability are important
• Disturbance may be important factor,
intrinsic or extrinsic to the ecosystem
• Abiotic factors may or may not
mediate competition
Source: authors.
change, they can define research needs for understand- result in management practices that will sustain that state
ing the dynamics of an ecosystem. The major disadvan- within the bounds of likely climate, social, and economic
tage to state and transition models is the up-front need change. The concept of resilience is used to describe an
for more information about states and transitions, but ecosystem state with strong feedbacks or responses that
because they are based on data rather than solely on the- help maintain the state. For example, openings in a
ory, their predictive capacity is high compared to grassland may stimulate more seed production in nearby
Clementian models in ecosystems where abiotic factors grasses because increased nutrients are available, so the
are important drivers of vegetation change. Specific openings will eventually close again. Feedbacks can also
methods for better incorporating reliable information be destabilizing, such as when an invasive grass increases
into management practices are now well developed and the likelihood of fire in sagebrush steppe, leading to more
known as adaptive management. frequent fi re, even more grass, and a state change, or
transition, to grassland. Ecosystem managers aim to
identify and support feedbacks that promote stability to
Ecosystem Stability enhance ecosystem sustainability.
The concept of thresholds is also important in under-
While the state and transition model of ecological suc- standing what contributes to stability in the state and
cession focuses on multiple possible outcomes, ecosystem transition model. Changing from one ecosystem state to
managers remain concerned with establishing stability, another may involve crossing a threshold that has
and certain theoretical frameworks are important to directionality—it is easier to go in one direction than
finding the keys to sustainability. Understanding the fac- another. For example, a state and transition model con-
tors that predict the stability of an ecosystem state can structed for Australian eucalypt forest predicted that

SUCCESSION • 383
when overharvest completely removes trees, a subse- even succession. In the diagram, which illustrates
quent influx of saline groundwater shifts the site from a changes in a California oak woodland, oaks may be
eucalyptus-dominated lowland to a salty fl at that can removed by fi re or harvest, a transition with a relatively
support only salt-tolerant plants. Returning to the euca- low threshold. If the oaks are completely removed and
lypt-dominated state, if feasible, would require major there is no resprouting, however, it will take planting
and costly interventions. In other words, the overhar vest and perhaps protection of regrowth to restore the oak
causes a transition that crosses a threshold. Understanding woodland, a difficult transition that is unlikely to occur
transitions, resilience, and thresholds can be invaluable naturally. (See figure 1 below.) It must be noted that
when assessing opportunities for restoration and their these models need validation by empirical tests, and they
likelihood of success. f it specif ic sites with particular environmental
A simplified “ball and cup” diagram can be used to configurations.
illustrate the ideas of resilience, thresholds, transitions,
and stable states. (See figure 1.) The bowl of the cup is a
stable state, and in order to shift to another state, the ball Outlook and Challenges
must transition over a threshold, represented as the rim
of the cup. The ball can be thought of as moving within There are three areas of major challenges and debates con-
the cup due to natural environmental variations and cerning new theories of succession or ecosystem change.
Figure 1. Resilience, Thresholds, Transitions, and Stable States

T1: Transition 1 Oaks harvested
T2: Transition 2 Oaks restored by planting
Threshold
State 1:
Oak woodland
T1
oak State 2:
grassland
woodland Grassland
T2
State 1 State 2
Source: authors.
This “ball and cup” model illustrates the role of thresholds and resilience in transitions among states. Resilience operates like gravity to keep
the ball in the cup. Thresholds and resilience support the stability of a state, keeping it within recognizable bounds. The ball represents the
ecosystem status, and the depth of the cup illustrates the state’s resilience to disturbance.

First, many managers prefer the linear succession model FURTHER READING
because it can greatly simplify management planning and Allen-Diaz, Barbara H., & Bartolome, James W. (1998). Sagebrush-
monitoring and provides an implicit goal. The models grass vegetation dynamics: Comparing classical and state-transition
work fairly well in many ecosystems, such as temperate models. Ecological Applications, 8 (3), 795–804.
hardwood forests. Even though their use has become a Bartolome, James W.; Jackson, Randall D.; & Allen-Diaz Barbara H.
(2009). Developing data-driven descriptive models for California
professional norm, however, linear succession models are grassland. In R. J. Hobbs & K. N. Suding (Eds.), New models for
open to criticism as premised on a way of looking at the ecosystem dynamics and restoration (pp. 124–135). Washington, DC:
world that leads to normative judgments and the use of Island Press.
pseudoscientific terms like “degradation” that imply a lin- Begon, Michael; Harper, John L.; & Townsend, Colin R. (1996).
Ecology: Individuals, populations, and communities (3rd ed.).
ear, reversible pattern to ecosystem change; alternative Cambridge, MA: Blackwell Science.
nonequilibrium models take into consideration multiple Clements, Frederic E. (1916). Plant succession: An analysis of the
variables and outcomes and focus on processes rather than development of vegetation. In Carnegie Institution of Washington
endpoints. States and transition models may include mul- Publication No. 520. Washington, DC: Carnegie Institution of
Washington.
tiple possible stable states, and the manager must chose Connell, Joseph H., & Slatyer, Ralph O. (1977). Mechanisms of suc-
among them as a management, or sustainability, goal. cession in natural communities and their role in community stabil-
Second, the move to broader use of state and transition ity and organization. The American Naturalist, 111, 1119–1144.
models is limited by the scarcity of available information Cramer, Viki A., & Hobbs, Richard J. (Eds.). (2007). Old fi elds:
Dynamics and restoration of abandoned farmland . Washington, DC:
and the need for intensive research. While organizations Island Press.
like the US Department of the Interior’s Natural Egler, Frank E. (1954). Vegetation science concepts. I: Initial floristic
Resources Conservation Service are linking state and composition—A factor in old-field vegetation development.
transition models to soil surveys and ecological sites Vegetatio, 4, 412–417.
Fairhead, James, & Leach, Melissa. (1995). False forest history, com-
throughout the United States, there is still a paucity of plicit social analysis: Rethinking some west African environmental
data from which to build and rigorously test these models. narratives. World Development, 23(6), 1023–1035.
That said, the few tests of state and transition models have Huntsinger, Lynn, & Bartolome, James W. (1992). A state-transition
shown the predictive value of the models when supported model of the ecological dynamics of Quercus dominated woodlands
in California and southern Spain. Vegetatio, 99–100, 299–305.
by site- and time-specific data. Third, adequate monitor- Odum, Eugene P. (1963). Ecology. New York: Holt, Rinehart &
ing of ecosystem response to environment and manage- Winston.
ment may be too costly without the development of new Pignatti, Sandro, & Ubrizsy Savoia, Andrea. (1989). Early use of the suc-
and efficient methodologies. cession concept by G. M. Lancisi in 1714. Vegetatio, 84, 113–115.
Tillman, David. (1985). The resource-ratio hypothesis of plant succes-
sion. The American Naturalist, 125(6), 827–852.
Westoby, Mark; Walker, Brian; & Noy-Meir, Imanuel. (1989).
Lynn HUNTSINGER and James W. BARTOLOME Opportunistic management for rangelands not at equilibrium.
University of California, Berkeley Journal of Range Management, 42 (4), 266–274.
Wiens, John A. (1984). On understanding a non-equilibrium world:
See also Biodiversity; Biogeography; Community Myth and reality in community patterns and processes. In D. R.
Ecology; Complexity Theory; Dam Removal; Strong Jr., D. Simberloff, L. G. Abele & A. B. Th istle. (Eds.).
Disturbance; Ecological Forecasting; Fire Management; Ecological communities: Conceptual issues and the evidence (pp. 439–457).
Princeton, NJ: Princeton University Press.
Food Webs; Forest Management; Plant-Animal
Yates, Colin J., & Richard J. Hobbs. (1997). Woodland restoration in
Interactions; Population Dynamics; Regime Shifts; the Western Australian wheatbelt: A conceptual framework using
Resilience; Rewilding a state and transition model. Restoration Ecology, 5(1), 28–35.

Tree Planting
Trees and their ecosystem services—for example, oxygen Planting Conditions

(through photosynthesis), clean water, soil protection—
are essential for all animal life. Human activity and nat- Whenever trees are being introduced or reintroduced
ural disasters reduce the forest cover on the planet. It is into a landscape, there are many factors to consider,
vital that people replace lost trees, and many organiza- including species, soil type, and availability of water.
tions around the world are attempting to do this. Native species or species that grow in similar climates
and at similar latitudes in other countries are likely to
flourish, although some trees can become invasive when
T rees are an invaluable natural resource. In the land-

scape, they retain water, provide shade, enrich soil,
calm winds, and provide wildlife habitat. In urban areas
planted in a new environment. An analysis of soil types
will match native tree species to appropriate sites. Since
trees can be very vulnerable while they become estab-
they increase property values, provide noise and odor lished, availability of water is critical, either naturally
barriers, and moderate microclimates around homes and through precipitation or artificially through an irrigation
businesses. system. In plains or other open landscapes, strong winds
Trees serve a variety of purposes in different settings. will make it more difficult for new plantings to establish
Farmers and landowners may want trees that can produce themselves successfully. Local topography can also influ-
fruit crops or high-value timber. People in suburban or ence the success of tree planting. Low-lying lands and
urban areas may choose ornamental trees. Homeowners valleys may be frost pockets that are unusually cold in the
may be interested in trees that will shade their homes, winter, subjecting vulnerable newly planted trees to the
reducing energy needs for both heating and cooling. possibility of freezing. Aspect—the compass direction in
Farmers in plains states and other open landscapes may which a slope faces—can also influence the success or
want shelterbelts of trees to protect their buildings, live- failure of tree planting. In the Northern Hemisphere,
stock, and crops. They may also choose certain tree spe- southern- and western-facing slopes tend to be hotter and
cies, notably nitrogen-fi xing trees, for their foliage that drier; northern- and eastern-facing slopes tend to be
makes good livestock fodder, especially for smaller ani- cooler and moister. Different types of trees prefer these
mals like goats. different microclimates, and it is important to accommo-
Humans deplete the world’s stock of trees. In addition, date those preferences. In the Southern Hemisphere, of
weather conditions and global warming contribute to the course, these aspect characteristics are reversed.
loss of this valuable resource. Around the world, more
severe storms are occurring throughout the year, and as
local climates change, trees that once thrived are now Planting
threatened. Some storms, like ice storms, hurricanes, and
tornados, do physical damage to trees, and some create The purposes for the trees may dictate whether saplings,
flood conditions that can drown existing trees. Replanting seedlings, or cuttings will be used. Saplings are trees that
lost trees or introducing new trees to damaged lands are a few to several years old (often, three to eight years),
maintains the many services trees provide for people. and they are suitable for planting in many sites—rural,
386

TREE PLANTING • 387
urban, desert, and wetlands. Seedlings are usually one to crops. Forest farming manages existing forests for crops
three years old; the seedlings of conifers are often older that can be harvested either annually (for example, bee
than the seedlings of broadleaved trees due to normal products or medicinal plants) or in short-term rotations
differences in the rapidity of early growth. Seedlings are of a few years rather than the decades of growth needed
the least expensive and are often used for reforestation for timber production.
projects, where large numbers of them are required, for
that reason. Cuttings are small saplings (about 3 or 4 cm
in diameter at the root collar and often 2 to 3 m in height) Reforestation
from which both roots and tops are removed in the early
growing season. The cuttings are then immediately In the 1920s, a British forestry officer serving in the colo-
planted along river banks or in other moist sites to stabi- nial service in Kenya, Richard St. Barbe Baker, was
lize soil. Species such as true poplars (Populus spp.), wil- employed to select timber for harvest. Although his
lows (Salix spp.), and other species commonly found employers were interested in maximizing the amount of
along waterways are particularly useful for this purpose. timber cut, St. Barbe Baker carefully assessed the prob-
When planted in the spring, these species can readily able sustained yield of the forests and refused to autho-
produce new roots and shoots and establish themselves as rize timbering licenses for unsustainable cuts. When
small trees within one growing season. he reached the northern highlands of Kenya, St. Barbe
Newly planted trees benefit from a blanket of mulch Baker found mostly scrubland rather than forests. The
around them to conserve moisture and eventually provide local Kikuyu tribes were cutting and burning the forests
nutritious organic matter. In very rocky and arid loca- to provide cropland, an unsustainable practice. St. Barbe
tions, trees can be mulched with rocks or stones rather Baker held a council with the tribal elders and encour-
than with organic matter. Piled loosely near the base of aged them to replant trees to reclaim the denuded land.
the tree (not touching the bark), rock mulch can maxi- He selected fi fty volunteers to become “Men of the
mize the amount of water the trees receive. The rocks Trees.” These volunteers took a solemn oath to plant and
slow the movement of the water, allowing it to fi lter nurture trees to save their land from desert encroach-
slowly into the soil. The physical barrier of the rocks can ment. From this beginning in Kenya, the organization
also minimize the impact of direct sunlight on the soil spread to other parts of the British Commonwealth,
around the tree base and thereby minimize the loss of especially to Australia, where it is now thriving. The mis-
moisture through evaporation. sion of the Men of the Trees is “to bring people together
In desert locations where there is little water, trees may to plant and grow trees, and to achieve healthy, produc-
need to be spaced at least twice as far apart as is recom- tive, sustainable landscapes.”
mended for planting trees in more temperate or Interestingly, although it was the warriors who swore
Mediterranean climates. Wider spacing gives the tree to plant and protect trees, it was the women of the Kenyan
roots a wider area in which to access limited water tribe who actually did the work (especially establishing
resources. Where waste oil is readily available, concave or tree nurseries for the planting stock). The Nobel Peace
funnel-shaped planting sites for the trees can be “painted” Prize winner Wangari Maathai (1940–2011) went on to
with oil to direct water to the base and roots of the trees, develop the Green Belt Movement in Kenya. Professor
preventing it from running off or fi ltering away quickly Maathai’s purpose was to reduce poverty and enhance
in the sandy soil. environmental conservation by planting trees. The orga-
nization she founded has been responsible for planting
more than 40 million trees on community lands including
Agroforestry farms and school and other community property. In 1986,
the Green Belt Movement established a Pan African
Agroforestry combines tree planting with crops and/or Green Belt Network that has spread tree planting initia-
livestock. Th is science is practiced widely in tropical tives to other African countries, including Ethiopia,
regions and is attracting interest in more temperate cli- Lesotho, Malawi, Tanzania, Uganda, and Zimbabwe.
mates. All agroforestry techniques are designed to Other parts of the world have also seen notable tree-
improve land use and make food or fiber production more planting successes. After the Cultural Revolution in the
sustainable. The major techniques are alley cropping, People’s Republic of China (PRC), for example, each per-
riparian buffer strips, windbreaks, shelterbelts, silvopas- son was encouraged to plant one hundred trees in “four-
ture, and forest farming. Alley cropping, buffer strips, around” plantations (around houses, villages, along rivers
windbreaks, and shelterbelts involve planting trees singly and canals, and along roads). Since about 2000, the PRC
or in rows in fields of annual crops or along rivers and has committed nearly 9 billion dollars annually to its
streams; silvopasture adds livestock to the forage and tree “greening” campaign to raise the country’s forest coverage

to 20 percent. This will require nearly 17 million hectares poor, and combat global climate change. Th is kind of
planted to trees (Xinhua News Agency 2009). The country effort, supported by people all around the world, will
stopped cutting natural forests in 1998, which has helped positively impact the well-being of the planet.
preserve more than 95 million hectares of forest land.
Before the tsunami of 2004, nongovernmental organi- Deborah B. HILL
zations in Aceh, Indonesia, had encouraged some villages University of Kentucky
to replant mangrove (Rhizophora spp.) forests along their
coastline; those that did were far less impacted by the See also Adaptive Resource Management (ARM);
tsunami than coastal areas without tree protection. The Agricultural Intensif ication; Best Management
devastation of Hurricane Katrina in the United States in Practices (BMP); Ecological Restoration; Ecosystem
2005 also highlighted the need to restore mangrove for- Ser vices; Forest Management; Nutrient and
ests to protect coastlines. In 2011, the government of Biogeochemica l Cycling; Reforestation; Soil
Kabul, Afghanistan, encouraged shopkeepers and resi- Conservation; Species Reintroduction; Urban Forestry;
dents to plant trees along the streets that had been Urban Vegetation
denuded by decades of war—the trees are free, but hom-
eowners and shopkeepers are responsible for their care
and maintenance. And in the plano of Colombia, a solar FURTHER READING
energy–based village named Gaviotas established a Arbor Day Foundation. (2011). Homepage. Retrieved October 31,
native pine (Pinus spp.) plantation which, untended, 2011, from www.arborday.org
developed into a nascent rain forest. The Green Belt Movement. (2011). Homepage. Retrieved November 2,
2011, from http://greenbeltmovement.org
In the Indian state of Tamil Nadu, Sadhguru Jaggi Haque, Farhana. (1987). Thirteen city profi les. Retrieved November 23,
Vasudev has created Project GreenHands within his 3011, from http://www.fao.org/docrep/s1930e/s1930e03.htm#
Isha Foundation, with goals similar to the Green Belt thirteen city profi les
Movement in Africa. Since the project’s inception in International Society of Arboriculture. (2011). Homepage. Retrieved
November 2, 2011, from www.isa-arbor.com
2006, some 2 million people have planted more than Lipkis, Andy, & Lipkis, Katy. (1998). The simple act of planting a tree: A
8 million trees in more than 1,800 communities. The first citizen forester’s guide to healing your neighborhood, your city and your
mobilized planting there was recognized by Guinness world. Los Angeles: Jeremy P. Teacher.
World Records for the greatest number of trees planted Men of the Trees. (2011). Homepage. Retrieved November 2, 2011,
from http://www.menofthetrees.com.au/
in a three-day period. The longer-term goal is to plant Natural Resources Conservation Service. (2011). Homepage.
more than 14 million trees in Tamil Nadu to bring the Retrieved November 2, 2011, from www.nrcs.usda.gov
state up to about 33 percent tree cover. Newcomb, Amelia. (2011, April 8). Afghans hope to make dusty
In South Korea, where the Japanese occupation Kabul bloom. Christian Science Monitor, p. 3.
Project GreenHands. (2011). Homepage. Retrieved November 2,
(1910–1945) and Korean War (1950–1953) resulted in 2011, from www.projectgreenhands.org
enormous deforestation, the government established Arbor Project Learning Tree. (2011). Homepage. Retrieved November 2,
Day immediately after the Korean War. Celebrated in April 2011, from www.plt.org
and called singmogil, “tree-planting day,” it is a day on which St. Barbe Baker, Richard. (1944). I planted trees. London: Lutterworth
Press.
people in workplaces, army bases, offices, schools, and Republic of Korea. (2011). Homepage. Retrieved November 2, 2011,
villages are encouraged to plant trees. The government’s from www.korea.net
recent slogan “low carbon, green growth” encourages United States Department of Agriculture, Forest Service, Urban and
“green” industrial development as well as tree planting. Community Forestry. (2011). Homepage. Retrieved November 2,
2011, from www.fs.fed.us/ucf
Weisman. Alan. (1998). Gaviotas: A village to reinvent the world. White
Outlook River Junction, VT: Chelsea Green Publishing.
Xinhua News Agency. (2009). China to spend billions on tree-
planting projects. Retrieved November 2, 2011, from http://
On a global scale, the Green World Campaign plans to w w w.china.org.cn/environment/news/2009-03/12/content_
reforest the planet, raise living standards for the rural 17427454.htm

Urban Agriculture
Urban agriculture is the growing, processing, and distri- with a 102-square-meter garden plot on the lawn of the
bution of food inside the borders of cities and towns. White House. Meanwhile, a multitude of groups like
The number of its supporters has been expanding since Food First are working to help local communities estab-
the 1970s, and adherents view it as a more sustainable lish sustainable food systems.
way to feed population centers, improve nutrition, and
reduce hunger. Urban agriculture takes many forms in
practice, including community gardens, urban farms,
Catalysts for Growth
edible schoolyards, roof gardens, and skyscraper farms.
Imaginative ideas for redesigned cities that support a sus-
tainable way of living are increasingly being proposed.
F or some old-time agrarians and modern urbanites, the

idea of urban agriculture is an oxymoron: tomatoes
and traffic are notions that collide for mind-sets locked
The ecovillage (a small-scale, intentional community) is
a global phenomenon that is in the forefront of this
movement, and although these villages emphasize sus-
in traditional views of each. Yet within the growing food- tainable food production, they are frequently urban
justice movement (a movement that supports a more based. The ecocities of the US urban ecologist Richard
equitable distribution of food as a means to end hunger Register (2002) incorporate agricultural plots within
and malnutrition), the concept of farming in the city is walking distance of residents. Th is design supports the
resonating deeply—especially among new agrarians and local economy while reducing automobile use and the
the urban poor across the globe. need for food to be trucked long distances from farm to
The industrial age and global capitalism have led to table. Transition Initiatives and the Cittaslow (Slow
the progressive decline of small-scale agriculture over Cities) international network are both community mobi-
the last hundred years, as farmers and farm workers lization efforts launched from Europe that promote
worldwide have migrated to cities, drawn by the promise localized edible landscaping.
of new job opportunities and the allure of city life. As These movements are inspirational, but more urgent
the twenty-fi rst century begins, over half of the world concerns have motivated some people to adopt an urban-
lives in cities, and across the globe the shortcomings of agriculture model. In the early 1990s, Cuba found itself
our food system as well as the increasing number of isolated when trade with the Soviet Union came to an
“food deserts” in inner-city neighborhoods have become abrupt end. Since chemical and technological inputs were
very apparent. As a result, growing practices that were no longer available, the nation had to rethink the indus-
standard prior to World War I are being revived and trialized approach to agriculture that it had relied on. In
adapted to local conditions. Today it is common to see 1993 the government ended its oversight of state-run
small urban plots between office buildings, in alleys, farms, and the old ways of sustainable farming were rein-
near freeways, and as replacements for once-sacred front stated as biological methods of cultivation replaced tech-
lawns. There also has been a revival of Eleanor nological ones. There are now thousands of decentralized
Roosevelt’s World War II–era victory gardens, and garden spaces across Havana, ranging in size from small
Michelle Obama, the US First Lady, is experimenting parcels to large-scale operations. These plots are worked
390

URBAN AGRICULTURE • 391
by farmers who grow and sell their harvest, as well as by Community gardens and urban farms are also forms
cooperatives whose purpose it is to grow food for its of urban agriculture. Gardens as places to meet neigh-
member-families. Organoponico Vivero Alamar, for bors were, ironically, fi rst “organized by the mayor of
example, is a successful garden of 11 hectares in a city Detroit in the 1890s to help families cope with the effects
that now devotes 35,000 hectares to urban agriculture of economic depression of that era” (Lyson 2004, 96).
(Koont 2009). A common model for both is for landowners to either
For Taja Sevelle, executive director of the nonprofit loan, rent, or place in long-term trusts blighted spaces
organization Urban Farming, the goal is to end hunger that can then be cultivated by community members. The
by using unused land to grow food. Many large cities land is divided into plots that are assigned to individuals
have areas with limited access to healthy food, and and families who are interested in cultivating them, and
mapping these “food deserts” or “grocery gaps” (Shaffer who may pay a nominal fee for water, tools, and main-
2002) typically reveals low-income neighborhoods to tenance of the space. Th is model may have its draw-
be the ones that lack fresh produce or full-service gro- backs, however. Homestead spaces are more likely to
cery stores. Currently, the city of Detroit, Michigan, thrive if the people working them are growing food
may have a full-scale, citywide food desert. Yet, as the for themselves or to sell at market, as opposed to hobby
investigative historian Mark Dowie (2009) notes, gardeners who may neglect regular maintenance.
“There is open land, fertile soil, ample water, willing Financing, planting, tending, and harvesting the whole
labor, and a desperate demand for decent food. And garden or portions of it collaboratively may correct for
there is plenty of community will behind the idea of this problem by creating accountability and mutual
turning the capital of American industry into an agrar- support among people who depend on each other’s
ian paradise. In fact, of all the cities in the participation. This approach may also breed
world, Detroit may be best positioned to confl ict, however, if members of the group
become the world’s fi rst 100 percent disagree on what methods to use for pests
food self-sufficient city.” and weeds.
Personal need may not be the Entrepreneurial farmers represent
primary motivation for middle- another growing segment within
class suburbanites to grow food, urban agriculture. Wally Satzewich,
but this population still may for example, validated his SPIN
find that growing its own food (Small Plot Intensive) Farming
at home is a pleasant hobby strategy on twenty-f ive rented
with satisf ying rewards. b a c k y a rd s in S a s k ato on ,
Farmscape, a business venture Saskatchewan. Although the total
started in Southern California, land mass of the yards was only
helps local residents set up and one-half acre, Wally was able to
maintain attractive and pro- earn an annual income of $50,000
ductive raised-bed vegetable from what he grew, and a number
gardens, and teaches them the of urban farmers across the United
basics of garden care. States and Canada are now follow-
ing his model. On a larger scale,
companies like Lufa Farms, Gotham
Models of Greens, and Sky Vegetables have
Development been successful in using greenhouses
and Dutch-style hydroponics on North
One of the most basic forms of urban agriculture American rooftops.
is the burgeoning practice of urban homesteading, in Significant synergy occurs when urban farmers bring
which front lawns are replaced by food gardens and back- their harvest to one or more of the six-thousand-plus
yard tours reveal egg-laying hens and even mini-breed farmers’ markets in the United States. Organizations like
goats. Worldwide movements like Food Not Lawns the Food Trust in Philadelphia have been working to
International and Edible Estates are proving that grow- open such markets; in that city alone there are close to a
ing food near the sidewalk can be beautiful and produc- half-million people without access to fresh produce.
tive. In some cities, homesteaders are challenging Other urban farmers have developed Community
ordinances that might quash their agrarian-minded Supported Agriculture (CSA) programs, which provide
inclinations. food to subscribers.

Educational gardening provides an excellent way to Urban farming is also being practiced in clandestine
beautify an urban schoolyard while teaching city kids ways. Guerrilla gardening began in New York in 1973
about healthy food. Chef Ann Cooper’s work in Berkeley, with the covert conversion of a neglected private lot
California, and Boulder, Colorado, is aimed at bringing into a garden that is still tended by volunteers. Tossing
healthy food and food education back into urban schools prepared seed balls into empty urban spaces has caught
(Cooper 2011). With obesity, diabetes, and mysterious on in England and Australia. In 1996, one thousand
food allergies on the rise, people like chef Alice Waters people in Copenhagen worked all night setting up
are committed to supporting the establishment of a garden. For some groups, such as the Abahlali
“edible schoolyards,” and her foundation has been instru- baseMjondolo, a public-housing movement in South
mental in creating one at an elementary school near her Africa, the motivation is to establish sources of food in
home in Berkeley (Waters 2008). There are also more and poor communities.
more universities like Yale in New Haven, Connecticut, Kirk Anderson tells an emergent following of urban
that are getting on the sustainability bandwagon and beekeepers to resist commercial beekeeping methods,
creating campus-based farms or supporting local garden saying, “backwards is the new forwards” (Backwards
initiatives. Beekeepers 2011). The influence of Anderson in Los
Near downtown Milwaukee, Wisconsin, Will Allen Angeles County, and that of other organic beekeepers
is teaching his community to grow its own food. In fact, worldwide, is being demonstrated as an increasing num-
he is calling for 50 million people to get busy doing just ber of city dwellers participate in bee rescues and estab-
that (Royte 2009). When he started Growing Power in lish hives in urban farms and homesteads.
1993, he learned to make compost with Brenda Palms-Barber started Sweet
red wiggler worms, and soon local Beginnings, a retail
youth were eager to join the for- operation that turns
mer pro basketball player. urban honey into skin-
Twenty years later, Allen has care products and puts
worked out numerous agricul- formerly incarcerated
tural innovations, including a men and women to work
symbiotic system for harvest- in the business of bee-
ing fish known as aquaponics. keeping, manufacturing,
There are roof gardens and distribution (Sweet
showing up globally atop homes, Beginnings 2011). The Bronx
schools, community centers, Environmental Stewardship
apartments, and restaurants. Food Training program trains
is being grown in kiddie pools, community members (some
self-watering EarthBoxes, small of them post-prison) for
containers, and raised beds. There “green collar” jobs, includ-
are challenges—getting water up to ing green-roof installation
the roof and the weight of the soil, for and urban forestry (SSBx
example—but the benefits, including 2011).
improved air quality and cooler build-
ings, are significant. Meanwhile,
Dickson Despommier (2010) Challenges and
and his students at Resources
Columbia University
have decided that The movement faces its own
rooftop gardens don’t unique challenges and has
go far enough, and had its share of defeats. The
that the dense popu- battle between Los Angeles
lation of cities calls for residents who worked the
food to be grown verti- 5-hectare South Central
cally in “skyscraper farms.” Garden, and the landowner
In cities with limited land avail- who in 2006 refused to sell
able for farming, tall buildings with greenhouses them the land that for twelve
on every floor could be a valuable agricultural solution. years had been their source of

URBAN AGRICULTURE • 393
food, was heartbreaking. Tragically, this land still sits See also Agroecology; Brownfield Redevelopment;
empty in 2011. Meanwhile, as Walmart enters the Buffers; Disturbance; Home Ecology; Human Ecology;
organic market, some may feel that growing food locally Indigenous Peoples and Traditional Knowledge;
is not as urgent. Landscape Architecture; Rain Gardens; Rewilding; Tree
There are also costs that need to be considered when Planting; Urban Forestry; Urban Vegetation
engaging in urban agriculture. Water bills may go down
without a lawn, but homeowners may need to replace a
sprinkler system with an irrigation system. Inadequate
soil quality, industrial pollution, theft, vandalism, and FURTHER READING
lack of expertise are other issues that could affect urban- Ableman, Michael. (1998). On good land: The autobiography of an urban
farm. San Francisco: Chronicle Books.
agriculture initiatives. Community vision and the atti- American Community Gardening Association (ACGA). (2011).
tude of urban planners, redevelopment agencies, and Homepage. Retrieved June 30, 2011, from http://www.communi-
elected officials will help to determine the level of sup- tygarden.org/
port for agriculture within a city’s limits. Often, the Backwards Beekeepers. (2011). Homepage. Retrieved June 30, 2011,
from http://www.backwardsbeekeepers.com/
potential for tax revenue from new businesses may limit Buhr, Albert. (2010, August 15). Seeds of rebellion. Times Live.
the ability of municipal leaders to value the cultivation Retrieved June 30, 2011, from http://www.timeslive.co.za/
potential of vacant lots. The policies of government at the lifestyle/article600245.ece/Seeds-of-rebellion
national level also can affect the adoption of urban agri- Carpenter, Novella. (2009). Farm city: The education of an urban farmer.
New York: Penguin Press.
culture. In the United States, for example, there was con- Cittaslow International. (2011). Homepage. Retrieved June 30, 2011,
cern that the Food Safety Modernization Act of 2010 from http://www.cittaslow.net/
would include backyard gardeners in its regulatory Cooper, Ann. (2011). Homepage. Retrieved June 30, 2011, from
framework. As it turns out, amendments were added that http://www.chefann.com
Coyne, Kelly, & Knutzen, Erik. (2008). Th e urban homestead: Your
purportedly protect small farmers; nevertheless, urban guide to self-sufficient living in the heart of the city. Port Townsend,
agrarians will be watching closely to see how the law WA: Process Media.
works in practice. Despommier, Dickson D. (2010). The vertical farm: Feeding the world
There are thousands of vacant lots in urban centers in the 21st century. New York: St. Martin’s Press.
Donahue, Brian. (1999). Reclaiming the commons: Community farms and
across the globe, waiting for compost and good seed. forest in a New England town. New Haven, CT: Yale University Press.
Th ink tanks like the Public Health Institute (Stair, Dowie, Mark. (2009). Food among the ruins. Guernica. Retrieved
Wooten, and Raimi 2008) are creating resources for June 30, 2011, from http://www.guernicamag.com/spotlight/1182/
policy makers that encourage the development of various food_among_the_ruins/
Edible Estates. (n.d.). Homepage. Retrieved June 30, 2011, from
forms of urban agriculture designed to provide higher http://www.edibleestates.org
levels of food access across the city. The challenge of Farmscape. (2011). Homepage. Retrieved June 30, 2011, from http://
securing land for agricultural use may be the most impor- www.farmscapegardens.com/#home
tant hurdle for urban-agriculture advocates. Food Not Lawns International. (n.d.). Homepage. Retrieved June 30,
2011, from http://www.foodnotlawns.net/
The Food Trust. (2004). Homepage. Retrieved June 30, 2011, from
Future Outlook http://www.thefoodtrust.org
Ghost Town Farm. (2011). Homepage. Retrieved June 30, 2011, from
http://ghosttownfarm.wordpress.com
The urban-agriculture movement is growing. In the sum- Global Ecovillage Network (GEN). (2011). Homepage. Retrieved
mer of 2009, the publishers of Hobby Farms magazine June 30, 2011, from http://gen.ecovillage.org
launched Urban Farm magazine. There are now many Gottlieb, Robert, & Joshi, Anupama. (2010). Food justice. Cambridge,
MA: MIT Press.
blogs devoted to urban agriculture, such as Root Simple, Growing Power, Inc. (2010). Homepage. Retrieved June 30, 2011,
an urban homesteader do-it-yourself site, and Novella from http://www.growingpower.org
Carpenter’s Ghost Town Farm blog, which tells her joy- Howard, Ebenezer. (2010). Garden cities of tomorrow. New York:
ous, off-beat, and honest story of raising livestock in an Classic Books International.
Kaufman, Jerry, & Bailkey, Martin. (2000). Farming inside cities:
inner-city Oakland apartment. Other stimulating sto- Entrepreneurial urban agriculture in the United States. Lincoln
ries, such as that of Michael Ableman (1998) at Fairview Institute of Land Policy (working paper). Retrieved June 30, 2011,
Gardens in Santa Barbara, California, and Brian from http://www.urbantilth.org/wp-content/uploads/2008/10/
Donahue (1999) at Land’s Sake community farm in New farminginsidecities.pdf
Koc, Mustafa; MacRae, Rod; Welsh, Jennifer; & Mougeot, Luc J. A.
England, provide further insight into the realities and (Eds.). (2000). For hunger-proof cities: Sustainable urban food systems.
possibilities of urban agriculture. Ottawa, Canada: IDRC Books.
Koont, Sinan. (2009). The urban agriculture of Havana. Monthly
Paul KAAK Review 60. Retrieved June 29, 2011, from http://monthlyreview.
Azusa Pacific University org/2009/01/01/the-urban-agriculture-of-havana

Lyson, Thomas. (2004). Civic agriculture: Reconnecting farm, food, and Stair, Peter; Wooten, Heather; & Raimi, Matt. (2008). How to
community. Medford, MA: Tufts University Press. create and implement healthy general plans: A toolkit for building
Mougeot, Luc J. A. (Ed.). (2005). Agropolis: Th e social, political, and healthy, vibrant communities through land use policy change.
environmental dimensions of urban agriculture. London: Earthscan. Retrieved June 30, 2011, from http://www.phi.org/pdf-library/
Register, Richard. (2002). Ecocities: Building cities in balance with PHLP_toolkit.pdf
nature. Berkeley, CA: Berkeley Hills Books. Sustainable South Bronx (SSBx). (2011). Bronx Environmental
Root Simple. (2011). Homepage. Retrieved June 30, 2011, from http:// Stewardship Training. Retrieved June 30, 2011, from http://www.
www.rootsimple.com ssbx.org/ssbxblog/
Royte, Elizabeth. (2009, July 1). The street farmer. New York Times Sweet Beginnings. (2011). Homepage. Retrieved June 30, 2011, from
Magazine. Retrieved June 30, 2011, from http://www.nytimes. http://www.sweetbeginningsllc.com/
com/2009/07/05/magazine/05allen-t.html?pagewanted=1 Urban Farming. (2011). Homepage. Retrieved June 30, 2011, from
Shaffer, Amanda. (2002). The persistence of L.A.’s grocery gap: The urbanfarming.org
need for a new food policy and approach to market development. Waters, Alice. (2008). Edible schoolyard: A universal idea. San Francisco:
Retrieved June 30, 2011, from http://departments.oxy.edu/uepi/ Chronicle Books.
publications/the_persistence_of.htm Winne, Mark. (2008). Closing the food gap: Resetting the table in the land
Small Plot Intensive (SPIN) Farming. (2011). Homepage. Retrieved of plenty. Boston: Beacon Press.
June 30, 2011, from http://www.spinfarming.com/

Urban Forestry
The field of urban forestry encompasses the planning, Benefits Provided by Urban Forestry
design, establishment, and maintenance of trees and
forests in and around cities. Green spaces in urban Green space helps to make urban areas more healthy and
areas can combat air pollution, provide habitats to sup- pleasant places to live, and it can increase property values.
port biodiversity, improve the physical and mental well- It also enhances the physical and mental well-being of
being of people living near them, and enhance local the people who live there.
economies. Since the 1960s, communities have increas-
ingly used urban forestry as a tool to aid in these and
other sustainable goals. Environmental and Ecological Functions
Trees intercept solid and liquid particles and absorb gas-
U rban forestry is the art, science, and technology of

managing trees and forest resources in and around
urban communities for the environmental, social, and
eous pollutants like ozone, sulphur dioxide, and nitrogen
dioxide, thus removing them from the atmosphere. Th is
suggests that planting trees along heavily trafficked roads
economic benefits trees provide to people (see Miller and around industrial areas will reduce air pollution, and,
1997; Helms 1998). In its broadest sense, urban forestry in fact, studies conducted in the United States, Germany,
embraces a system that includes the management of and China have confirmed that mass plantings have the
municipal watersheds, wildlife habitats, outdoor recre- potential to improve air quality (Bernatzky 1994; Nowak
ation opportunities, landscape design, recycling of et al. 2002; Yang et al. 2005).
municipal wastes, general tree care, and the production Trees also lower air temperatures through the shade that
of wood fiber as a raw material. Urban forestry includes they provide and through the water vapor emitted through
activities carried out in the city center, suburban areas, their leaves. They help to reduce energy consumption and
and the areas that lie between suburbs and rural lands. pollution from power plants by shading buildings in the
Urban forestry is a relatively new research field that is summer and blocking winds in the winter (McPherson and
still developing. It began to emerge in North America Rowntree 1993). Furthermore, green areas can play an
during the 1960s as people became more aware of threats important role in limiting the effects of rising temperatures
to urban tree populations caused by pests and diseases caused by the “urban heat island” effect that heat-absorbing
(like Dutch elm disease), and as they recognized the need pavement and buildings create (Gill et al. 2007).
to include green space in the planning and management Finally, urban green spaces retain and slow the flow of
of urban areas. Europe and other parts of the world fol- storm-water runoff that threatens the quality of ground-
lowed, and by the late 1990s an international research water and wetlands. Green spaces also serve as sites for
network had been established (Miller 1997; Konijnendijk the germination, establishment, and colonization of dif-
2003; Konijnendijk et al. 2005). Most recently, commu- ferent species (Zipperer et al. 2000; Williams et al.
nities have come to realize the role urban forestry plays in 2008). These new habitats support biodiversity by provid-
developing vital green infrastructures (Jensen et al. ing a suite of benefits unavailable in the urban-built
2000). (See figure 1 on page 396.) (human-made) environment.
395

Figure 1. The Urban Forestry Matrix

Street trees Trees in parks, Urban woodlands
private yards,
cemeteries
Form, functions, design,
policies and planning
Selection, establishment
and other technical
approaches
Management
Source: Matrix based on Konijnendijk et al. (2005). Photos by Kjell Nilsson.
Urban green spaces come in different sizes and forms. Ideally these spaces should be planned and managed so that all people throughout the
urban area and beyond can benefit from them.
Economic Functions Social Functions

In developing countries, private gardens, fruit orchards, Urban forests provide important outdoor recreational
and community gardens can contribute significantly to opportunities to citizens. City life is stressful, and
food security (often, wild edible plants can double as researchers show that urban green areas improve the
ornamental plantings). Alternatively, urban forests and health and well-being of urban populations. Several
agroforestry systems (the practice of growing trees with studies conducted in Europe and the United States show
crops or in pastures) can be an important source of fuel- that visits to green areas can reduce stress, increase
wood if circumstances are favorable. Wood fuel is a par- energy, and help people heal faster (Nilsson et al. 2011).
ticularly important source of energy in smaller urban The environmental psychologists Rachel and Stephen
centers in developing countries, especially in dry zones, Kaplan (1989) suggest that the constant stress of urban
and provides between 25 and 90 percent of urban house- living is relieved by vegetation and nature, which allows
hold energy supplies worldwide (Kuchelmeister 1999). us to relax and sharpen our concentration.
In developed countries, urban green spaces contribute Nature in urban areas is also important to increase
to the local economy by enhancing real estate prices, environmental awareness, since more and more people
attracting economic activity, and improving the local tax live in cities and get their ideas about nature from urban
base. Several Scandinavian studies show that prices of environments. The US journalist Richard Louv (2008),
apartments are considerably higher when woodlands or author of Last Child in the Woods, coined the term nature-
other types of green space are nearby (for example, see deficit disorder to describe a range of behavioral problems
Tyrväinen 1999). in children—including childhood obesity, attention

URBAN FORESTRY • 397
disorders, and depression—that result from a lack of FURTHER READING

exposure to nature. Children who are allowed outdoors Bernatzky, Aloys. (1994). Baumkunde und Baumpflege [Arboretum and
during the school day are likely to be more attentive tree care]. Braunschweig, Germany: Thalacker Verlag.
and creative, less anxious, and have better cognitive Gill, Susannah E.; Handley, John F.; Ennos, A. Roland; & Pauleit,
development. Stephan. (2007). Adapting cities for climate change: The role of the
green infrastructure. Built Environment, 33(1), 115–133.
Helms, John. (Ed.). (1998). Dictionary of forestry. Bethesda, MD:
Society of American Foresters.
Future Directions Jensen, Marina B.; Persson, Bengt; Guldager, Susanne; Reeh, Ulrik;
& Nilsson, Kjell. (2000). Green structure and sustainability—
developing a tool for local planning. Landscape and Urban Planning,
People have become more interested in urban ecology 52, 117–133.
and the environment in recent years, leading communi- Kaplan, Rachel, & Kaplan, Stephen. (1989). The experience of nature.
Cambridge, UK: Cambridge University Press.
ties to invest in parks and green areas. An example is
Konijnendijk, Cecil C. (2003). A decade of urban forestry in Europe.
the “million trees” programs that have been instituted Forest Policy and Economics, 5(3), 173–186.
in a number of cities all over the world. Th is trend is Konijnendijk, Cecil C.; Nilsson, Kjell; Randrup, Thomas B.;
likely to continue in the coming decades. Planning to Schipperijn, Jasper. (Eds.). (2005). Urban forests and trees. New
York: Springer.
ensure that population growth is sustainable and that
Kuchelmeister, Guido. (1999, June 14–17). Urbanization in developing
all people have access to green space will be especially countries—time for action for national forest programs and inter-
important in the larger and rapidly expanding cities national development cooperation for the urban millennium
of Asia, Africa, and Latin America. As the climate (paper, Forest Policy Research Forum: The Role of National Forest
Programs to Ensure Sustainable Forest Management). Joensuu,
changes and energy costs increase, compact cities with
Finland.
landscapes that can retain water, fi lter air pollution, and Louv, Richard. (2008). Last child in the woods. Chapel Hill, NC:
provide vital amenities such as food, fuel, and recre- Algonquin Books.
ational opportunities may become the norm. The art and McPherson, E. Gregory, & Rowntree, Rowan A. (1993). Energy con-
servation potential of urban tree planting. Journal of Arboriculture,
science of urban forestry will help build cities that are
19(6), 321–331.
less vulnerable to climate change—bringing nature back Miller, Robert W. (1997). Urban forestry: Planning and managing urban
to where people live. greenspaces (2nd ed.). Upper Saddle River, NJ: Prentice Hall.
Nilsson, Kjell, et al. (2011). Forests, trees and human health. New York:
Springer.
Kjell NILSSON
Nowak, David J.; Crane, Daniel E.; Stevens, Jack C.; & Ibarra,
University of Copenhagen Myriam. (2002). Brooklyn’s urban forest. (Forest Service, General
Technical Report NE-290). Radnor, PA: United States Department
Cecil C. KONIJNENDIJK of Agriculture.
University of Copenhagen Tyrväinen, Liisa. (1999). Monetary valuation of urban forest amenities
in Finland (academic dissertation). Research Paper No. 739.
Phillip RODBELL Vantaa, Finland: Finnish Forest Research Institute.
United States Forest Service Williams, Nicholas S. G., et al. (2008). A conceptual framework for
predicting the effects of urban environments on floras. Journal of
Ecology, 97, 4–9.
See also Brownfield Redevelopment; Ecological Restoration; Yang, Jun; McBride, Joe; Zhou, Jinxing; & Sun, Zhenyuan. (2005).
Groundwater Management; Human Ecology; Landscape The urban forest in Beijing and its role in air pollution reduction.
Architecture; Rain Gardens; Road Ecology; Stormwater Urban Forestry and Urban Greening, 3, 65–78.
Zipperer, Wayne C.; Wu, Jianguo; Pouyat, Richard V.; & Pickett,
Management; Tree Planting; Urban Agriculture;
Steward T. A. (2000). The application of ecological principles to
Urban Vegetation; Waste Management; Water Resource urban and urbanizing landscapes. Ecological Applications, 10,
Management, Integrated (IWRM) 685–688.

Urban Vegetation
Urban vegetation includes all types of plant life found in major component of seminatural vegetation in cities is the
city environments, from preexisting native species to anthropochory community (comprising companion
those introduced to improve landscapes. It is found in plants), which relies closely on anthropogenic (human)
urban forests and parks, along roadsides, around ponds interference under urban habitats and plays a special role
and streams, and even in vacant lots. Properly managed in composing urban vegetation, mainly grasses (Jiang
urban vegetation can help reduce air pollution, noise, 1989). Introduced plants can be categorized into roadside
and dust, and add oxygen and visual appeal to other- trees, urban forests, parks, gardens, street greenbelts, and
wise bland cityscapes. so on.
Function
U rban vegetation refers to all types of plants that
grow in urban environments, such as forests, parks,
roadsides, and wasteland areas (Jiang 1993). As a signifi- Urban vegetation has multiple functions. The main role,
cant part of urban ecosystems, urban vegetation can not however, is to help maintain the urban environment,
only help clean and freshen air quality by reducing dust which is easily affected by all kinds of pollutants, thereby
and environment pollution, but it can also help maintain improving human living conditions. For instance, urban
the ecological balance of urban environments. Urban vegetation can adjust microclimatic conditions, clean up
vegetation also plays an important role in indicating and air pollutants, reduce dust, dampen noise, and maintain
monitoring environmental pollution. ecological balance. Urban vegetation can also serve aes-
thetic and educational purposes. Generally, the function of
Categories urban vegetation is closely related to the type, for example,
forests, grasses, and/or wetlands. Urban forests improve
Researchers have different ways of categorizing urban urban environments more dramatically than other types.
vegetation. Some classify it as urban forest, parks and For instance, the temperature in urban forests can be
green spaces, gardens and lawns, wall or roof plants, and roughly 6°C–16°C lower than urban open space on sunny
wetlands (Guntenspergen 1998); others identify roadside summer days. In a case study in the city of Beijing, the air
trees, greenbelts in streets, green areas in parks, grass- passing through a fruit-bearing forest 80–100 meters wide
lands, and aquatic green spaces (Huang et al. 1990). More reduced the concentration of hydrogen fluoride in the atmo-
simply, some have divided urban vegetation into three sphere 22 percent compared to open space of the same
types: relict (or remnant) natural communities retained as width (Wang 1998). A forest belt 40 meters wide also
they were before urbanization, weed communities occu- reduced noise about 10–15 decibels (Wang 1998).
pying new urban habitats, and artificial green spaces
(Ohsawa and Da 1988). Another way of looking at urban Development
vegetation is according to its three main types: natural
plants, seminatural plants, and introduced plants. Natural Along with global urbanization, the distribution of urban
plants are those that existed before city construction. The vegetation is being further specialized. According to the
398

URBAN VEGETATION • 399
United Nations Educational, Scientific and Cultural basin), and Eupatorium adenophorum, a flowering shrub
Organization (UNESCO), 60 percent of the world’s native to Mexico (also called snakeroot), have brought
population will live in cities by 2030 (Wibly and Perry great harm to both urban and rural environments in China
2006). On one hand, people tend to change urban habi- (Bao 2008). In the beginning, people may bring in the
tats into areas of development, which exposes them to invasive species for economic purposes (e.g., Eichhornia
human disturbance. Adverse effects such as urban pollu- crassipes was supplied as feed for pigs in the 1950s) or sim-
tion become more and more serious, thus putting the ply to beautify the urban environment (e.g., the ornamen-
urban vegetation into a state of strong instability. A case tal tree Rhus typhina), but they later realize the harmful
study conducted in Chiba City, Japan, showed that from effects when those species become dominant in new spaces
1952 to 1981 forest coverage declined from 51 percent to such as urban landscapes.
8 percent. Meanwhile, land-use patterns had changed
dramatically: farmlands and forests had been turned into
residential areas and once-natural hills had been covered Proposals
with buildings (Ohsawa and Da 1998).
Since numerous plant species are immigrants to urban
habitats, urbanites have become increasingly discon-
Exotic Species nected from indigenous species and natural ecosystems
(McKinney 2006). To counter this, ecological principles
On the other hand, various types of urban plant commu- should be abided in the selection of urban plants.
nities appear in cities, such as anthropochory Increasing awareness of the niche
communities and introduced plant commu- that each species occupies would
nities. Besides, human beings bring provide indigenous species a
numerous exotic species to cities, while better chance for survival.
they destroy and discard a huge vari- Choosing and making good use
ety of native species. Whether of native species for the green-
those influences or interferences ing of urban habitats should be
are conscious or unconscious, fully considered in the future.
direct or indirect, they ultimately There are still many defi-
alter the natural features of urban ciencies in urban greening,
vegetation, its composition, struc- such as a decrease of native
ture, and function. As a result, much species, scarcity of plant diver-
urban vegetation has completely lost sity, and a lack of ecological
its natural traits (Huang et al. background features (Bao
1990). For instance, urban vegeta- 2008). A comprehensive inves-
tion depends largely on fertiliza- tigation of native species and a
tion, pesticides, and irrigation to study of the genetic diversity
live, similar characteristics to crops of dominant species should be
in agricultural systems. conducted. In addition, selec-
People like to bring exotic tion of indigenous species, espe-
plants to cities for various purposes, cially trees, should be emphasized
but they often pay no attention to because of their large biomass and
local dominant species. Such activities ability to provide habitats for birds
can destroy native urban vegetation. Although and other urban creatures. Introduction
relict communities can reflect the distribution of zonal of exotic species should be appropriately considered.
vegetation, the dominant species will gradually disappear Furthermore, city designers need to conduct environ-
and be replaced by those that adapt to urban habitats. As a ment impact assessments to avoid the malignant spread
result, the dominant species in urban plant communities of invasive species before introducing exotic species into
are often not obvious (Jiang 1993). People often neglect urban settings.
comprehensive assessments before widely adopting exotic
JIANG Gaoming and BO Wenjing
plants, leading to the uncontrolled spread of invasive spe-
Chinese Academy of Sciences
cies. Such a phenomenon is more likely to occur during the
process of introducing herbaceous plants. Eichhornia See also Best Management Practices (BMP); Brownfield
crassipes, or common water hyacinth (native to the Amazon Redevelopment; Disturbance; Ecological Restoration;

Ecosystem Services; Invasive Species; Landscape Huang Xiaoyang; Lin, S. H.; Han, R. Z.; & Yao, Yuqi. (1990). Urban
Architecture; Light Pollution and Biological Systems; vegetation in Beijing and its function. In Langzhou Chen & H. Y.
Zheng (Eds.), Ecological, social and economical designing for Beijing-
Nitrogen Saturation; Permaculture; Pollution, Nonpoint Tianjin region (pp. 42–60). Beijing: Ocean Press [in Chinese].
Source; Pollution, Point Source; Rain Gardens; Road Jiang Gaoming. (1989). Anthropochory in cities. Chinese Bulletin of
Ecology; Tree Planting; Urban Agriculture; Urban Botany, 6, 116–120 [in Chinese with English summary].
Forestry Jiang Gaoming. (1993). Urban vegetation: Its characteristic, type and
function. Chinese Bulletin of Botany, 10, 21–27 [in Chinese with
English summary].
McKinney, Michael L. (2006). Urbanization as a major cause of biotic
homogenization. Biological Conservation, 127, 247–260.
FURTHER READING Ohsawa, Masahiko, & Da, Liang-Jun. (Eds.). (1988). Integrated studies
Bao, Mingzhen. (2008). On urban bio-diversity and landscape plants in urban ecosystems as the basis of urban planning (III). Chiba, Japan:
planning in China. Chinese Landscape Architecture, 7, 1–3 [in Chiba University.
Chinese]. Stanvliet, R.; Jackson, J.; Davis, G.; De Swardt, C.; Mokhoele,
China Environmental Protection Network. (2009). China’s 283 inva- J.; Thom, Q.; & Lane, B. D. (2004). The UNESCO biosphere
sive species cause 200 billion CYN economic losses [in Chinese]. reserve concept as a tool for urban sustainability: The CUBES Cape
Retrieved August 6, 2011, from, http://w w w.sei.gov.cn/ Town case study. Annals of the NY Academy of Science, 1023, 80–104.
ShowArticle2008.asp?ArticleID=179267 Wibly, Robert L., & Perry, George L. W. (2006). Climate change,
Guntenspergen, Glenn R. (1998). Introduction: Long-term ecological biodiversity and the urban environment: A critical review based on
sustainability of wetlands in urban landscape. In Thomas R. London, U.K. Progress in Physical Geography, 30, 73–98.
Detwyler & Melvin G. Marcus (Eds.), Urbanization and environ- Wang, Bosco Shang. (1998). Urban vegetation and its construction
ment: The physical geography of the city (pp. 229–241). Belmont, CA: technology. Acta Scientiarum Naturalium Universitatis Sunyatseni,
Duxbury Press. 37, 9–12 [in Chinese with English summary].

Viewshed Protection
Visual consequences due to rapid and extensive growth the term viewshed. He concludes that “as a painter,
during the 1900s set the stage for more stringent envi- Church depicted views—at Olana, his Persian-inspired
ronmental planning ordinances, guidelines, and con- home along New York’s Hudson River, where he ‘bor-
trols on development. To protect spectacular viewsheds, rowed’ views, meaning the design of Olana’s picturesque
the use of analytical techniques and visual quality landscape incorporated the dramatic vistas beyond the
assessments grew from the 1970s on. In the era of property’s boundaries.” (The viewshed from Olana is seen
ecosystem management, determining relationships in the above photograph by Stan Ries, looking south
between ecological quality and scenic quality becomes across the Hudson valley.) Birnbaum goes on to say that
complex and remains controversial. the “significance of Olana’s viewshed is tied to a larger
concept, the origins of the American attitudes about
scenic conservation—the idea, for example, that it was
A viewshed is made up of the areas of land, water, and
other environmental elements that can be seen from
a fi xed vantage point. The visual consequences of rapid
important to preserve a place like Niagara Falls.”
Birnbaum credits Church, who in 1869 worked privately
with the pioneering landscape architect Frederick Law
and extensive growth and development in the post–World
Olmsted and the architect H. H. Richardson to build
War II era—and the subsequent damage to viewsheds—
public support for preserving viewsheds (Birnbaum 2011).
became ever more apparent during the 1960s and 1970s.
During the 1960s, the English landscape architect Sylvia
Crowe discussed the importance of the visual character of Development
landscape in her book Forestry in the Landscape. In order
to maintain a good pattern of landscape, she says, “there The term viewshed was used as early as the late 1800s. The
must be both contrasts between areas of open ground and National Environmental Policy Act (NEPA) of 1968
of planting of tree species, of farm crops and of other veg- addressed large-scale planning, ushering in a new era of
etation” (Crowe 1966, 6). Crowe was instrumental in the environmental planning in which, according to the US
use of pencil and pen sketches to reveal proper design of landscape architect Ervin Zube, “visual values could be
viewsheds and in the manipulation of those viewsheds to included in the planning and design decision-making pro-
improve the visual character of the landscape. cess.” He adds, “NEPA made it clear that visual values, the
Throughout the late-nineteenth and twentieth centu- visual quality of the landscape, was not only of concern
ries, the US landscape designer Fredrick Law Olmsted, with reference to uniquely beautiful or ugly landscapes but
British-born landscape designer Calvert Vaux, and US to all landscapes that were affected by federal design, plan-
landscape painter Frederic Edwin Church sketched land- ning, or management activities” (Zube 1986, 13).
scapes, carved out important viewsheds, and even bor- According to Warren Bacon, a landscape architect from
rowed distant views as part of their design, planning, the United States Forest Service (an agency of the United
and evaluation of landscapes. Charles A. Birnbaum, the States Department of Agriculture, or USDA), “the
US founder and president of the Cultural Landscape National Forest Landscape Management program began,
Foundation, provides insight into some of the origins of as a formal program, at a service-wide meeting in St. Louis
402

VIEWSHED PROTECTION • 403
in 1969 in response to growing agency (Forest Service) and objectives, to monitor the scenic resource, and to ensure
public concern for the visual resource. . . . Because of this high-quality scenery for future generations.
concern, it has become appropriate to establish the ‘visual The management and protection of scenic resources
landscape’ as a basic resource, to be treated as an essential became a worldwide concern during this same period.
part of and receive equal consideration with the other basic Scenic Solutions is a company based in Adelaide, Australia,
resources of the land” (Bacon 1979, 660). that provides visual or scenic assessment solutions for land
The Visual Management System (VMS), developed by management. They evaluate the visual impact of wind
the USDA in 1974 and subsequently modified in 1995, farms in coastal and inland locations in South Australia
set the standard for integration of aesthetic and visual and measure and map the landscape quality of the South
considerations in large-scale resource management deci- Australian coast (4,800 km) and the scenic quality of the
sions. The VMS included objective criteria such as dis- Flinders Ranges in South Australia. The company pro-
tance of view and visual magnitude. At the same time, it vides elegant solutions to preserve and protect visual val-
relied on somewhat subjective defi nitions of aesthetic ues. New Zealand has developed a comprehensive network
landscapes and expert assessment of impacts based on of national parks and reserves to manage
classical principles of art and beauty. scenic resources. The European com-
The 1979 conference “Our National munity has been instrumental in
Landscape” dealt with applied techniques associating visual values with
for analysis and management of the visual cultural or countryside land-
resource. Held at Incline Village, scapes. The European
Nevada, this gathering brought Pathways to the Cultural
together more than five hundred Landscape (EPCL) is a
practicing landscape architects, project that covers ten
environmental and recreational countries from Ireland to
planners, professors, recreation- Estonia and twelve areas
ists, industrialists, land and spanning a wide range of
resource managers, researchers, different landscape and cul-
and environmental consultants to tural types. Part of this proj-
focus on visual management prob- ect’s mission is to protect visual
lems. This pioneering conference and values (Déjeant-Pons 2005).
the simultaneous growth in the use Parks Canada encourages
of computer technology were the the preservation of scenic
beginning of interdisciplinary values in its national park
discussions and the sharing of system. The historic Rideau
ideas instrumental to a focus on Canal, managed by Parks
visual landscape assessment. Canada to encourage respect
In 1995, a significant refocus of for the natural, cultural, and
the VMS developed the Scenery scenic values of the canal’s
Management System (USDA Forest waterfront lands, is a noted exam-
Service 1995). The Scenery Management System ple. Management and protection of
(SMS) presents a vocabulary for managing scenery and a scenic resources is a widespread mandate.
systematic approach for determining the relative value
and importance of scenery in a national forest. The hand-
book Landscape Aesthetics (1995) was written for national The Art of Analysis
forest resource managers, landscape architects, and oth-
ers interested in landscape aesthetics and scenery. Both A rich history dates to the late-eighteenth and early-
students and the general public benefit from the system’s nineteenth centuries. Landscape architects used pencil,
straightforward approach to a complex art and science. watercolors, and pen sketches to reveal proper design of
Ecosystems provide the environmental context for this viewsheds and the manipulation of those viewsheds to
scenery management system. Th is significant revision improve the visual character of the landscape. This site-
shifted the focus from a static viewshed perspective to specific use of viewshed depiction was instrumental in
evaluate scenery to a more integrative system. In the con- helping the designer convey a design idea to a client or
text of ecosystem management, the system is used to the general public.
inventory and analyze scenery in a national forest, to Computer-based techniques have grown to accom-
assist in establishment of overall resource goals and modate the demand to evaluate large-scale landscape

problems, including scenic quality and visual values. The Viewshed analysis is used to site transmission or hydro
Incline Village, Nevada, conference in 1979 brought power lines and to evaluate the visual impact of develop-
together practitioners from many disciplines to focus on ment and forestry management practices. Fred Henley
applied techniques for analysis and management of and Frank Hunsaker, both US Forest Service landscape
visual resources. Ervin Zube (1986, 16) remarks that architects, used mapping techniques to establish visual
quality objectives for evaluating forest management prac-
computer and quantitative approaches were developed
tices such as clear-cutting and thinning operations
initially for working with large landscapes that may
(Henley and Hunsaker 1979). Viewshed analysis has
be difficult of access and for which there are available
become a standard part of any geographic information
quantitative and spatial geographic data such as slope,
system. A geographic information system is a system
vegetation type, elevation, and percentage of tree cover.
designed to capture, store, manipulate, analyze, manage,
They provide descriptive information about variability in
and present all types of geographically referenced data.
landscape character and can identify at different viewing
Advanced visual simulation techniques coupled with
points, for example, which area can be seen and which
psychometric and social science techniques allow the
are hidden from view because of topographic configura-
public to see the visual consequences of any proposed
tion or vegetative cover.
development on the landscape and to evaluate stakehold-
Spatial algorithms, graphical interfaces, and output ers’ judgments to determine the degree of impact and
display are more sophisticated than those developed in acceptability of the proposed solution.
the late 1970s, but the basic functionality of viewshed
analysis remains the same: the study of intervisibility
between points on a terrain surface. The concept and Protection Ordinances
most fundamental principal of intervisibility studies is
that “if I can see you, you can see me.” The USDA Forest Federal land management agencies have been employing
Service and other public land agencies around the world visual management techniques since the 1970s. A grow-
have used visual impact assessment and measures of ing number of towns, cities, and communities are con-
intervisibility for years. cerned about the visual impact of development
Intervisibility involves measuring and other intrusive features on a land-
the tangent from the viewer’s scape. They have been steadily
eye to each cell. (The size of a developing viewshed ordinances
cell is totally dependent on the with the purpose of protecting,
scale of the analysis. The more preserving, and enhancing sce-
cells used in a given area means a nic views and vistas. Scenic
higher resolution map, like pixels vistas can be a major asset to
on a screen.) Starting with cells communities as a draw for
closest to the viewer, a line-of- new industry. The pro-
sight process calculates and tection of scenic beauty
maps whether the cell can or and the natural envi-
cannot be seen, creating a ronment of hillside
raster map. As long as the areas is vital to the
tangent increases in the preservation of a high
line of sight from the quality of life and con-
viewer, the cell on a raster t i nue d e c onom ic
or digital map surface is development.
visible. If the tangent Viewshed protection
decreases, the cell is not districts regulate build-
visible. For example the ing height restrictions
backside of a mountain and vegetation loss.
range would not be visible These districts are over-
from a viewer’s vantage point. lay districts used primar-
Such spatial analytical tech- ily for unique situations
niques provide the ability to regarding views and vistas
assess the effects of various that are not adequately cov-
design, planning, and management ered by the standard zoning
decisions prior to implementation. districts. These ordinances

VIEWSHED PROTECTION • 405
generally require that no part of a new structure, sign, constructing homes visible from great distances, while
tower, rooftop equipment, or other appurtenance property owners who want to build houses along ridge
encroaches on any designated viewshed. If the maximum lines say the law is unnecessarily stringent.
height allowed in any zoning district within the city dif-
fers from the height permitted by a protection district,
the more restrictive height limitation applies. New devel- In the Age of Ecosystem
opment is usually beneficial, but when construction over- Management
whelms or intrudes, in scale and mass, on the main view
or vista, the viewshed should be protected. Viewshed The Scenery Management System was an attempt to
analysis has many implications for cities. Aside from sit- move from a single Visual Management System
ing housing developments, determining locations for approach to one that took a more integrative systematic
power lines, and protecting natural corridors, it has been approach to incorporating ecosystem values. Ecosystem
used by architects and planners to explore proper orienta- management poses serious challenges to assessment and
tion of high-rise buildings to improve sunlight effects to implementation of viewshed protection. The US envi-
buildings, streetscapes, and landscapes that are in their ronmental psychologist Terry Daniel concludes that
immediate shadow. In addition, proper orientation can “ecosystem management has posed significant chal-
improve the availability of skyline effects and improve lenges to forest managers, particularly revolving around
the marketability of such developments. the fact that ecosystems are a complex interaction of
Pima County, Arizona, developed the Hillside physical, biological and social processes that are highly
Development Overlay Zone Ordinance to conserve and interactive over multiple scales of time and space”
maintain the character, identity, and image of Pima (Daniel 2001, 275). Perception-based landscape quality
County and promote the public health, safety, conve- assessments are insufficient for determining relation-
nience, and general welfare. It accomplishes these aims ships between ecological quality and visual landscape
in the following ways (Pima County 1985): aesthetic quality.
Advanced computer modeling techniques can evaluate
• Conserves the unique natural resources of hillside areas
the changes to visual quality from ecological changes.
• Permits intensity of development (density) compatible
The Australian landscape planners Payam Ghadirian and
with the natural characteristics of hillside terrain, such
Ian Bishop explore the changes in visual character in
as steepness of slope and significant land forms
changing environments by combining a geographic
• Reduces the physical impact of hillside development by
information systems–based environmental process mod-
encouraging innovative site and architectural design,
eling with the use of augmented reality technology to
minimizing grading, and requiring more intense resto-
evaluate environmental change in an immersive environ-
ration of graded areas
ment in Australia. (Immersive environments are virtual
• Minimizes disturbances incurred in development alter-
environments where an immersant’s awareness of physi-
ation of hillside terrain
cal self is diminished by being surrounded in the total
Viewshed protection and ordinances have not devel- environment.) These virtual environments allow one to
oped without controversy. Viewshed ordinances aim to explore, manipulate, and test solutions without affecting
preserve scenic beauty, a high quality of life, and contin- the real environment. Landscape planners are using vir-
ued economic development. Debate centers around the tual reality environments to address ecological change
way the ordinances are applied based on the questionable and to evaluate such spatial-dynamic changes of environ-
accuracy of the viewshed maps. They may require that ments and responses from the public (Ghadirian and
property be developed to minimize its visual impact from Bishop 2002).
the major corridors. The legal need to preserve and Viewshed protection challenges many communities.
protect foliage and trees on property can become Aside from the difficulties of ecological change, local cit-
contentious. izens drive concerns about viewshed protection. People
Much of the debate centers around the landowners’ may be generally in favor of an ecological improvement,
property rights. A one-size-fits-all set of rules may not such as wind energy, but do not want the necessary infra-
suit every neighborhood in an area. Viewshed ordinances structure built anywhere they can see it. They cite noise
impose property restrictions and may take away property and the towering appearance of the wind turbines as an
rights from people who bought their homes in good faith, issue and strongly feel that they lower home owner prop-
telling them the trees and privacy they paid for are no erty values. Planners may seek alternative locations out-
longer theirs by placing controls on what can and cannot side of the community. In 2011, the US Bureau of Land
be done with these trees. Environmental activists say that Management entertained numerous right-of-way appli-
developers and builders have too free a hand in cations for wind testing in Oregon and Washington.

Environmental groups oppose any such development on Crowe, Sylvia. (1978). The landscape of forests and woods. London: Her
public lands. Majesty’s Stationery Office.
Daniel, Terry C. (2001). Whither scenic beauty? Visual landscape
As development and landscape change continues at a quality assessment into the 21st century. Landscape and Urban
rapid pace, saving what remains of our outstanding scenery Planning, 54, 267–281.
and its value to the public will continue to be a high prior- Déjeant-Pons, Maguelonne. (2005, April 11–16). Th e European
ity. Viewshed protection that responds to ecological condi- Landscape Convention (paper, Forum UNESCO University and
Heritage 10th International Seminar, “Cultural Landscapes in the
tions will continue to be a challenge and a controversy and 21st Century”). Newcastle-upon-Tyne, UK.
will inevitably be at the forefront of landscape research. Ghadirian, Payam, & Bishop, Ian. (2002, November 25–30). Composition
of augmented reality and GIS to visualize environmental changes
H. Randy GIMBLETT (paper, Joint AURISA and Institution of Surveyors Conference).
Adelaide, South Australia.
The University of Arizona Henley, Fred L., & Hunsaker, Frank L. (1979). A system to program proj-
ects to meet visual quality objectives. In Gary H. Elsner & Richard C.
See also Comanagement; Landscape Architecture; Smardon (Eds.), Our national landscape: A conference on applied tech-
Landscape Planning, Large-Scale; Light Pollution and niques for analysis and management of the visual resource (General Tech.
Biological Systems; Natural Capital Rep. PWS-35; pp. 557–564). Berkeley, CA: USDA Forest Service,
Pacific Southwest Forest and Range Experiment Station.
Itami, Robert M., & Raulings, Robert J. (1993). SAGE reference man-
ual. Victoria, Australia: Digital Land Systems Research.
FURTHER READINGS Pima County. (1985). Pima County site analysis requirements. Pima
Bacon, Warren C. (1979). The visual management system of the Forest County, AZ: Pima County Development Services Department—
Service, USDA. In Gary H. Elsner & Richard C. Smardon (Eds.), Planning Division.
Our national landscape: A conference on applied techniques for analysis United States Department of Agriculture (USDA) Forest Service. (1974).
and management of the visual resource (General Tech. Rep. PSW–35, National forest landscape management. Washington, DC: USDA.
pp. 660–665). Berkeley, CA: USDA Forest Service, Pacifi c United States Department of Agriculture (USDA) Forest Service.
Southwest Forest and Range Experiment Station. (1995). Landscape aesthetics: A handbook for scenery management
Birnbaum, Charles A. (2011, March 15). The value of a view. Retrieved (Agriculture Handbook No. 701). Washington, DC: USDA.
October 7, 2011, from http://www.huffi ngtonpost.com/charles-a- Zube, Ervin H. (1986). Landscape values: History, concepts, and
birnbaum/the-value-of-view_b_835592.html applications. In Richard C. Smardon, James F. Palmer & John P.
Crowe, Sylvia. (1966). Forestry in the landscape. London: Her Majesty’s Felleman (Eds.), Foundations for visual project analysis. New York:
Stationery Office. John Wiley and Sons.

Waste Management
Waste is a human construct; in nature there is no In a nutshell, the ultimate goal of sustainable waste
absolute waste. Waste is thus a resource that we have management is to create the conditions where waste is
not (yet) found a use for. The immediate goal of sus- not generated in the first place. Waste is also, however, an
tainable waste management is to create the economic unavoidable condition of contemporary market systems
and regulatory contexts whereby waste is reused or that produce short-lived products and urge consumers to
recycled, while the ultimate goal is to create the con- purchase more and more goods. Complete elimination of
ditions whereby waste is not generated in the first waste—both physically and conceptually—would require
place. structural change in capitalist markets that currently
favor so-called planned obsolescence. Short of that trans-
formation, the immediate goal of sustainable waste man-
T he common understanding of waste is as some-
thing—matter or energy—that people no longer have
a productive use for. From a biological perspective, while
agement is to create economic and regulatory contexts in
which waste is reused or recycled rather than discarded
in a way that threatens the environment that supports us
waste is discarded, other organisms can make use of
as a species.
those waste products; indeed ecological sustainability
The various categories of waste are principally defined
depends on waste recycling, including biological decom-
by their origin. Common types include agriculture and
position of organic matter.
forestry waste; waste from mining and mineral process-
The very concept of waste is a human construct. In
ing; nuclear or radioactive waste; construction and demo-
nature there is no absolute waste. The fertility of volcanic
lition waste; non-nuclear hazardous industrial waste;
ash as it lays waste to large swaths of agriculture down-
nonhazardous industrial solid waste; and municipal solid
wind, for example, is well documented, while sludge
waste (MSW) from households, institutions, and com-
worms or dung beetles feast among discarded feces.
mercial establishments. The following sections examine
Perhaps stretching the point, even deadly radioactive
MSW policy and regulation in the United States and
waste has been recycled as raw material for the construc-
then move on to waste management in other industrial-
tion of nuclear weapons.
ized regions before concluding with consideration of the
As it relates to sustainability, the principal definition
definition and management of MSW in the developing
of waste is a resource that we have not (yet) found a use
world.
for. Waste is, thus, contextually defined, and that con-
text, at least for humans, includes cultural, political,
social, geographic, and especially economic dimensions. Regulation in the United States
The familiar saying that one person’s waste is another
person’s treasure rings true when we acknowledge that The 1976 Resource Conservation and Recovery Act
some people may salvage and reclaim material that has (RCRA) is the principal federal act regulating waste man-
been discarded by others, a practice common among agement in the United States. RCRA covers both hazard-
trash pickers in developing nations and at recycling cen- ous and municipal solid waste, the two separated according
ters in Europe and North America. to their origin. Hazardous waste is discarded material that
408

WASTE MANAGEMENT • 409
is ignitable, corrosive, explosive, or toxic (including infec- areas, paper office waste in urban waste streams, and bev-
tious) and is only produced by industry; solid waste may be erage containers (often recycled) in college towns. Daily
produced by industry but also includes all waste generated per capita US production of MSW averaged 2 kilograms
by households or commercial establishments (MSW), even in 2009, nearly double that for western Europe and more
if that household waste includes materials that are chemi- than three times the amount generated in Japan. Though
cally hazardous such as batteries, electronic waste, or prod- after 2000 per capita production of solid waste decreased,
ucts such as discarded paint thinner (which collectively the daily amount is still more than the 1.22 kilograms
make up 1 to 3 percent of the MSW stream by weight). per person generated in 1960, an increase driven largely
The differentiation between hazardous and solid waste by an expansion in packaging waste (US EPA 2010).
is important because RCRA requires much more detailed Medical waste, which is treated as MSW once it has been
tracking and regulation of treatment, storage, and dis- sterilized, has also dramatically increased, the increase
posal of categorized hazardous waste than it does for driven in part by concerns over HIV infection and a push
MSW. This results in a cost typically ten times greater (or for disposable rather than reusable sterilized materials.
more) per ton generated for treatment or disposal of haz- Although actual content varies by region, on average,
ardous waste than for solid waste—currently thirty to prior to any reuse or recycling, 28.2 percent of the MSW
ninety dollars per ton in the United States (van Haaren, stream in 2009 by weight consisted of paper products and
Themelis, and Goldstein 2010). (Exact fees vary by cardboard, followed by food scraps (14.1 percent) and
region. Most data are proprietary and available via sub- yard trimmings (13.7 percent) (US EPA 2010). Plastics,
scription from sources such as the Waste Business Journal.) while only 12.3 percent by weight, make up a much larger
Hazardous waste fees vary greatly depending on the quantity by volume due to their light weight.
actual waste composition, size of the generator, and RCRA encourages states (responsible for implement-
the method of disposal. The high cost of disposing of the ing federal regulations) and municipalities (responsible
hazardous waste is the main incentive for hazardous for waste collection) to follow a four-step hierarchy:
waste generators to reduce toxic chemical use (pollution
1. Source reduction through changes in the manufactur-
prevention), reuse or recycle their waste into the produc-
ing process to eliminate waste, reuse of the waste back
tion process, or attempt to have the residual hazardous
into the original production process, and on-site com-
waste reclassified as nonhazardous solid waste. Due in
posting of yard trimmings
part to the political power of vested interests, several
2. Recycling into new products (including off-site
types of waste, including agriculture and mining waste,
composting)
are not classified at all under the RCRA. According to
3. Combustion (incineration) with energy recovery (using
the US Environmental Protection Agency (EPA), min-
the heat from burned waste to create electricity or heat
ing wastes are considered “special wastes” and have
buildings)
been exempted by the Mining Waste Exclusion from
4. Landfilling for stabilized residuals—the least preferred
federal hazardous waste regulations (US EPA 2011a).
method of treatment
Agricultural waste is not regulated by the federal govern-
ment except for separated hazardous waste (pesticides) In practice, however, while reuse and recycling have
and contaminated irrigation runoff. Concentrated animal increased since the late 1980s, landfi lling still accounted
feeding operation (CAFO) waste is regulated under the for 54.3 percent of the MSW handled in 2009, while
Clean Water Act. According to the EPA, “unless prohib- 33.8 percent of the generated MSW was recovered, com-
ited by other State or local laws, agricultural producers posted, or recycled (US EPA 2010). Although the 11.9
can dispose of solid, non-hazardous agricultural wastes percent that was combusted with energy recovery in 2009
(including manure and crop residues returned to the soil reduced the volume of waste to be landfi lled as ash or left
as fertilizers or soil conditioners, and solid or dissolved as noncombustible by 70–90 percent, the laws of conser-
materials in irrigation return flows) on their own prop- vation of matter and energy dictate that much of the
erty” (US EPA 2011b). Sewage sludge, as well as power original waste material was released to the environment
plant and solid waste incinerator ash containing chlori- as air and water emissions.
nated organic and metal concentrations below EPA haz-
ardous standards, is typically treated as solid waste, with
Recycling
the dried sludge or ash disposed of at licensed MSW
landfi lls if it is not recycled into fertilizer or other useful Recycling is the preferred method for handling waste once
products (for example, building materials). it has been produced. It provides benefits across a product’s
The amount and type of waste generated by house- entire life cycle. Compared with virgin raw material
holds varies dramatically by income and geography. For extraction and product formation, recycling uses fewer raw
example, we tend to fi nd more yard waste in suburban materials, generates lower air and water contamination,

results in reduced greenhouse gas emissions, and generates common in Europe, and ending tax breaks and various
less demand for waste disposal and landfi ll space. Closed subsidies that lower the cost for virgin materials, as
loop recycling refers to post-consumer waste that is used to is found with oil and gas depletion allowances or low-
make the same type of product, as, for example, crushed revenue mineral and timber removal from public lands.
beverage containers melted to make new containers. Open Tightening regulatory requirements, such as stricter tox-
loop recycling, on the other hand, occurs when the waste is icity tests for incinerator ash that would limit lower-cost
recycled into a new product, as with plastic bags and bot- disposal as solid and not hazardous waste, mandatory
tles being ground up and reformulated as park benches, recovery and reuse of methane from landfi lls, or stricter
plastic flooring, and synthetic carpet fibers. standards for treating substances that leach from land-
Approximately one-third of the MSW generated in fi lls, would raise the cost for garbage disposal, encourag-
the United States by weight was recycled or composted in ing source reduction, reuse, and recycling.
2009, with the highest rate recorded for paper and paper- In short, while preferable to waste disposal, recycling
board (62 percent) and for yard trimmings (60 percent) still focuses on waste after it has been made rather than
(US EPA 2010). Plastics, on the other hand, had only a creating the conditions whereby waste is not produced
7 percent recovery rate, due in part to the complexity of in the fi rst place. Moreover, judging from heavily pro-
mixed plastics in the waste stream and the comparatively moted advertising campaigns, recycling is particularly
low price for virgin plastic compared with recycled popular with producers, because it shifts primary
plastic. responsibility for waste generation and disposal to con-
The volatile secondary material market (the market for sumer demand and choice, rather than requiring them
recycled materials) is a major factor influencing recycling to confront up-front production of products that tend to
rates once consumers separate material for recycling. be discarded as waste.
Hence post-consumer waste put out for recycling might
still end up being landfi lled if there is no market for the
Incineration
materials. While recycling generally saves on the cost for
raw materials and the energy used for production, recycle Although growing worldwide since 1990, the percentage
rates also depend on the commitment to run a separate, and absolute weight of waste combusted with energy
and often costly, recycling program, whether materials recovery in the United States has fallen along with
are separated by the consumer or at a collection and sort- amounts landfi lled, while composting and recycling have
ing facility. As a result, it is often cheaper for manufac- expanded (US EPA 2010). Commonly referred to as
turers to pay for virgin materials rather than work with resource recovery or waste-to-energy, incineration with
recycled materials as production inputs. energy recovery is more common in areas with limited
Despite its “green” allure, recycling is hardly pollution space for landfi lls, notably the urbanized northeastern
free because melting and reforming metal, plastic, and United States and across Europe and east Asia. Compared
other material components itself causes contamination. with landfi lling, incineration is typically twice as expen-
Moreover, local resistance to situating recycling plants sive per unit of waste handled due to high costs for
nearby tends to push recycling centers, along with air pollution control—principally for volatized metals,
garbage incinerators and landfi lls, down the path of acids, nitrogen and sulfur oxides, particulates, and diox-
least political and economic resistance, often into low- ins produced from the burning of plastic chlorinated
income areas and communities of color, generating in hydrocarbons—while it still relies on a landfi ll for final
turn a potential for environmental discrimination and ash disposal.
injustice. Often described as a high-tech solution to a low-tech
Several methods have been used successfully to problem, incineration has fallen out of favor in the United
encourage recycling while cutting back on disposed States; only a few new plants have been built since 1990.
residual garbage. These include “pay-as-you-throw” gar- In addition to the high costs associated with pollution
bage collection with higher rates for trash not separated control, another issue is that incineration may compete
for recycling, recoverable deposit fees (common with bev- with recycling for high-thermal-value paper and plastics
erage containers), development of robust secondary mate- found in the waste stream, although many communities
rial markets through government purchase, and better with advanced waste management programs do maintain
product labeling and packaging laws allowing consumers high recycle rates despite the presence of waste-to-energy
to clearly understand the pre- and post-consumer recy- facilities. Notwithstanding, municipalities typically sign
cled content of the goods and packaging they are pur- long-term contracts with developers and operators in
chasing. Other more politically sensitive measures which they guarantee waste streams to keep the boilers
include mandatory manufacturer “cradle-to-grave” operating, thereby limiting future options as waste man-
responsibility to take back post-consumer waste, as is agement techniques evolve. Furthermore, while energy

WASTE MANAGEMENT • 411
recovery is common, the limited amount of electricity 4. A system to capture and flare methane (a major green-
generated is relatively expensive given the structural house gas produced by anaerobic decomposition of
modifications required to generate electricity, and typi- organic waste) preferably with energy recovery
cally pales in comparison with energy saved through 5. Adjacent groundwater monitoring wells
waste reduction and reuse.
Closing a landfill under RCRA requires the site to be
capped with clay and plastic, with leachate treatment,
methane capture, and monitoring for an additional thirty
Landfills
years backed by sufficient bonding security. These require-
Although lowest on RCRA’s hierarchy of waste manage- ments notwithstanding, landfills basically remain elabo-
ment options, landfi lls continue to be the destination for rate “baggies” in the ground. They will eventually release
more than half of the MSW generated, principally as their remaining contents (including hazardous household
they remain the lowest cost option. Prior to the second waste) to the environment—a situation that, along with
half of the twentieth century, most public landfills were the large amount of space they require, contributes to
municipally operated, accepted industrial hazardous their low status on the waste management hierarchy.
waste, and were often unlined. With RCRA’s passage in
1976, thousands of these older landfi lls were closed and
replaced by much larger, regulated landfi lls that often
Global Efforts
receive waste from a multistate region and are capable of
While the fi rst documented public waste dump was in
accepting waste from a million households. Yet the leg-
Athens c. 500 ce, the practice of hauling organic waste
acy of past mismanagement remains, as locations that
out of urban centers, often to feed pigs and fertilize fields,
accepted municipal waste in the past make up one-third
only picked up in sixteenth-century Europe once waste
of the priority sites under the federal Comprehensive
became more closely associated with vermin and disease
Environmental Response, Compensation, and Liability
(Vehlow et al. 2007). Modern waste collection, separa-
Act (CERCLA, or Superfund).
tion, and recycling during the twentieth century were
As provided under the 1980 Superfund act, the waste
linked in part to conservation efforts during World
generator may ultimately be responsible for a leaking
Wars I and II. Today the twenty-seven members of
landfi ll should landfi ll operators or intermediaries (waste
the European Union have a common binding target of
transporters) default on their obligation. For this reason,
45 percent waste recovery or recycling by 2025, up from
generators of both hazardous and solid waste tend to send
the average of 38 percent in 2011 (Fischer 2011). While
their waste to companies they believe have enough
actual practice varies among member states—with recy-
resources (aka the “deepest pockets”) to maintain land-
cling and incineration more common in western Europe
fi lls in acceptable operating condition, and provide bond-
and continued reliance on landfi lls in the new eastern
ing (financial assurance) for post-closure monitoring and
and southern European member states—the trend is
maintenance. This supports a natural monopoly where a
away from landfilling (down from 62 percent to 40 per-
few large waste management companies now dominate
cent between 1995 and 2008) toward increased reliance
the US market. Frequently, these firms take responsibil-
on source reduction, composting, recycling, and incin-
ity for an existing landfi ll threatened with state or federal
eration (Fischer 2011).
Superfund status in exchange for a permit to expand the
Still popular in land-constrained nations such as
facility, often in areas where local resistance would have
Denmark and the Netherlands, European incineration is
prohibited new landfi ll sites.
tightly controlled. Strict up-front source separation elimi-
Today RCRA-regulated landfi lls must contain five
nates most of the chlorinated waste that contributes to
basic elements:
dioxin formation when it is burned, while also allowing
1. A geologically appropriate substrate with a bottom clay higher reuse/recycle rates than are typical in the United
liner to minimize loss of leachate (the liquid compo- States. Landfi ll for biological waste (including paper) is
nent in an open landfill consisting of organic waste and scheduled to be phased out altogether (Fischer 2011).
dissolved solids, e.g., hazardous metals leached out by Moreover, because poorly designed landfills and incinera-
rainwater) tion of carbon-containing waste are major contributors to
2. A flexible liner system, principally composed of high- greenhouse gas emissions, improved waste management
density polyethylene plastic along with other impact- is expected to contribute 17 to 18 percent of the European
absorbing liners Union’s 2012 commitment to greenhouse gas reduction
3. A leachate collection system connected to a treatment under the Kyoto Protocol (Fischer 2011).
plant for contaminant removal prior to surface water or In the developing world, most rural populations are
local sewer discharge not served by organized waste collection. Even in urban

areas, only half the population typically has access to pick Outside of urban manufacturing centers in India and
up and removal. While the vast majority of waste in the across the developing world, the waste generated is
developing world is organic in nature and is informally largely organic and composted locally or disposed of in
handled through local composting and recycled as fertil- open dumps, with scavenging common for recoverable
izer or fuel, a serious problem remains both with infec- plastics and metals. The urban waste scavengers of
tious waste and the growing amount of hazardous waste, India—typically women and children—are important for
particularly that linked to the manufacturing of elec- sustainable waste management, but their exposure to very
tronic goods with their heavy metals and chlorinated dangerous working conditions, low social status, and
plastics, and with other toxin-containing consumer items bare subsistence have inspired social reforms involving
produced for a world market. improved access to social services and medical care.
China provides an instructive study for a nation under- Sustainable waste management in the developing
going rapid industrialization with accompanying waste world, as elsewhere, requires the development of the cul-
problems. Economic growth combined with a high rate tural, political, social, and economic conditions that will
of urbanization has led China to overtake the United minimize the generation of waste and encourage reuse or
States as the largest MSW generator in the world by total recycling. These reforms must be sensitive to local condi-
weight. In the process, the composition of the waste tions, however. The current trend toward modern waste
stream has changed, for example, from ash due to a pre- collection and management, for example, threatens the
vious reliance on coal for home cooking and heating to livelihoods of millions of impoverished individuals still
the plastic packaging characteristic of urban households dependent on the informal waste sector for their material
relying on electricity and gas. Responsibility for waste existence. Improving waste management may have unex-
management is now moving toward producers who may pected social, cultural, and economic effects.
be required to take waste back for reuse or recycling,
Michael K. HEIMAN
while at the same time the private market for advanced
Dickinson College
waste management is expanding.
Although Chinese regulations also give priority to See also Agroecology; Brownfield Redevelopment;
source reduction, reuse, and recycling, the immediate Carrying Capacity; Human Ecology; Microbial
focus is on reducing the hazardousness of waste fi rst, Ecosystem Processes; Permaculture; Pollution, Nonpoint
with subsequent incineration and landfi ll viewed as Source; Pollution, Point Source; Urban Agriculture;
equal options, though landfi lls still accounted for the Urban Forestry; Urban Vegetation
majority of the discarded waste in 2006 (Chen, Geng,
and Fujita 2010). By comparison, as might be expected
for a dense island nation, Japan, with over half the
world’s total installed combustion capacity, relies heav-
FURTHER READING
Chen, Xudong; Geng, Yong; & Fujita, Tsuyoshi. (2010). An overview
ily on incineration for waste disposal, with landfi lls
of municipal solid waste management in China. Waste Management,
reserved primarily for the ash produced. Heavy empha- 30(4), 716–724.
sis on source reduction limits that nation’s per capita Fischer, Christian. (2011). The development and achievements of EU
MSW generation to only one-third that of the United waste policy. Journal of Material Cycles and Waste Management,
13(1), 2–9.
States, though Japan is still a world leader in the amount
United States Environmental Protection Agency (US EPA). (2010,
of plastic waste discarded—much of it incinerated December). Municipal solid waste in the United States: 2009 facts and
rather than recycled. figures. Washington, DC: US EPA. Retrieved July 12, 2011, from
With the United States the only industrialized nation http://www.epa.gov/osw/nonhaz/municipal/pubs/msw2009rpt.pdf
United States Environmental Protection Agency (US EPA). (2011a).
that did not ratify the 1989 Basel Convention regulating
Mining waste. Retrieved December 16, 2011, from http://www.
the global trade in toxic waste, the majority of electronic epa.gov/osw/nonhaz/industrial/special/mining/
consumer waste collected for recycling there ends up in United States Environmental Protection Agency (US EPA). (2011b).
India, China, Pakistan, and African nations, often with no Agriculture; Waste. Retrieved December 16, 2011, from http://
www.epa.gov/agriculture/twas.html
guarantee of sound recycling management. In these devel-
van Haaren, Rob; Themelis, Nikolas; & Goldstein, Nora. (2010,
oping nations, waste—both imported and domestic— October). The state of garbage in America. BioCycle, 51(10), 16.
remains an important part of the local economy. China Vehlow, Jürgen; Bergfeldt, Britta; Visser, Rian; & Wilen, Carl. (2007).
still has several million people employed in waste scav- European Union waste management strategy and the importance
of biogenic waste. Journal of Material Cycles and Waste Management,
enging, a notoriously dangerous enterprise involving
9(2), 130–139.
“backyard” melting of toxic metals and plastics to pro- Waste Business Journal. (2011). Homepage. Retrieved December 16,
duce materials for the secondary materials market. 2011, from http://www.wastebusinessjournal.com/overview.htm

Water Resource Management,
Integrated (IWRM)
Integrated water resource management (IWRM) is an No alternatives exist. As a result, decisions about water
approach in which water is managed in conjunction allocation and use often focus on meeting the needs of
with land and other natural resources. Environmental, human beings and, increasingly, of livestock and wildlife.
economic, and social aspects of a watershed area are Water also has cultural and economic significance and
considered together, and stakeholders are engaged in needs to be considered in light of an area’s history and its
the management process. Effective IWRM is based on a fishing, recreational, and tourism industries.
clear vision regarding a desirable, sustainable future; a Integrated water resource management (IWRM)
focus on key variables; integration of management has emerged to allow water managers to address the
efforts at different spatial scales; and stakeholder types of issues noted above from an integrated or sys-
engagement. tems perspective. IWRM therefore is a tool or a means
for better water management, which includes protect-
ing the sustainability of water resources for human use
W ater resource management is challenging because
usually more than water needs to be considered.
For example, basic causes of fl ooding can include
and for ecosystem stability. For IWRM to be effective,
however, managers and societies need a clear vision
removal of forest cover and wetlands to facilitate or direction regarding what water future they desire.
increased agricultural production or expansion of cities IWRM by itself cannot deliver a desirable future, but
and related economic activities. Therefore, to reduce rather it operates as one means to help achieve a desired
flooding, managers cannot focus only on controlling end state.
water in river channels; associated land and other
resource systems with implications for water flow need Development and Definition
to be considered. An integrated approach that considers
a full watershed area, the human activities and needs Many would agree that IWRM emerged from the United
within that area, and the local ecology can contribute Nations Conference on Environment and Development
much to long-term sustainability of resources and (UNCED), known as the Earth Summit, in Rio de
ecosystems. Janeiro in 1992. Its roots extend back many decades,
Another challenge for water resource management is however. In 1914, in the US state of Ohio, the Ohio
that the responsibility and authority of government agen- Conservancy Act provided opportunity for “conservancy
cies related to water resources usually apply to areas districts” to be created to prevent floods, regulate stream
defined by political or administrative boundaries, while channels, reclaim waterlogged land, provide irrigation,
the natural boundaries of surface water systems, delin- and control stream flows. The following year, the Miami
eated by watersheds, or by aquifers for groundwater, Conservancy District was created in Ohio, becoming one
rarely align with these political or administrative units. of the first river basin management agencies in the United
Such misalignment raises governance challenges that States. It was followed in 1933 by the Muskingum
government agencies normally are not well equipped Watershed Conservancy District in eastern Ohio, which
to handle. In addition, water is essential for life. focused on flood control, soil conservation, recreation,
413

and parks. Also in 1933, the Tennessee Valley Authority related resources, in order to maximize the resultant eco-
(TVA) was established with responsibility for the entire nomic and social welfare in an equitable manner without
Tennessee River basin, the fi fth largest river system in compromising the sustainability of vital ecosystems.”
the United States. The legislation enabled the TVA to
manage the Tennessee River system for flood control,
hydroelectric power, and navigation. In addition, the Implementation
TVA was intended to stimulate economic development in
a region that then was one of the poorest in the nation. For IWRM to be implemented successfully, at least four
As a result, the TVA became another early multipurpose elements need to be present.
watershed management agency designed to deliver eco- First, water managers need to work with managers
nomic, environmental, and social benefits. responsible for other natural resources to ensure consen-
In other nations, similar initiatives were adopted. For sus about a vision regarding the desired future for a
example, in 1946, the province of Ontario in Canada watershed or region. Such a vision, or goal, has to be
passed the Conservation Authorities Act, which allowed determined before IWRM, a means, can be applied to
the creation of river basin agencies that would be res- help achieve the desired future.
ponsible for integrated water and land management; by Second, care is needed to differentiate between
2011, thirty-three conservation authorities were in place comprehensive/holistic and integrated approaches. By defini-
in Ontario. In 1941 legislation was approved in New tion, in a comprehensive or holistic
Zealand that focused on soil conservation and approach managers must con-
river control, placing New Zealand among sider every variable in water and
the first nations to recognize the need related natural resource sys-
to manage water and land in an tems, as well as every relation-
interrelated manner on the basis of ship among them. This
catchments. During the same interpretation underlay what
decade, in England and Wales, a was called “comprehensive
Rivers Board Act made provision river basin management” in the
for river basin agencies in most 1950s and 1960s. Trying to
areas of those two countries. By examine all variables and rela-
the end of the 1940s, water man- tionships resulted in too much
agers had recognized the advan- time being taken to complete
tages of managing water, land, comprehensive river basin plans,
and other resources together, as to the extent that they were often
well as addressing environmental, out of date by the time they were
economic, and social matters finished (Mitchell 1983). In addi-
together. tion, they often provided so many
One outcome of the 1992 Earth unprioritized recommendations that
Summit was endorsement of a prin- it was not clear which agencies were
ciple for water management (devel- responsible for specific recommenda-
oped at a pre-summit meeting in tions. In contrast, an integrated approach
Dublin): “Since water sustains life, focuses on key (not all) variables and relationships,
effective management of water resources with particular attention to those for which action is pos-
demands a holistic approach, linking social and economic sible. Determining key variables and relations is achieved
development with protection of natural ecosystems. by drawing on previous research as well as local experien-
Effective management links land and water use across tial knowledge.
the whole of a catchment area or groundwater aquifer” Third, IWRM needs to be conducted at different spa-
(ICWE 1992). Th is principle often is identified as the tial scales. Ideally, a first IWRM plan should be devel-
foundation for articulation of IWRM. Later, in 2000, oped for an entire watershed or river basin, with attention
the Global Water Partnership (GWP), an organization to goals and targets for the entire basin. Following such
based in Sweden involving a mix of groups interested an overall strategic plan, more specific plans then should
in water, published a definition of IWRM that has become be developed for subcatchments or subbasins, followed by
the most frequently cited. According to the GWP increasingly detailed plans for tributaries and even spe-
(2000), IWRM is “a process which promotes the coordi- cific sites. Recognizing different spatial scales helps man-
nated development and management of water, land and agers determine which aspects need attention at each

WATER RESOURCE MANAGEMENT, INTEGRATED (IWRM) • 415
scale, and helps them avoid going into too much detail at recognized accomplishments through IWRM pro-
any one spatial scale. grams. At the same time, implementation of IWRM
Fourth, a defining feature of IWRM is a commitment can be challenging, and in some countries modest or
to partnerships or engagement with stakeholders: man- little progress has been made.
agers must recognize that government agencies with Critics have also suggested that if a comprehensive or
responsibility and authority for water management are holistic approach is advocated by IWRM, then still other
not sufficient by themselves to achieve effective gover- areas of human society should be taken into consider-
nance. Although a collaborative approach may, in the ation, such as energy development and use, and poverty
short run, add time to the development of a watershed and health (Biswas 2004; 2008a). Supporters of IWRM
plan, the sharing of views about problems and solutions observe that indeed many interrelationships occur with
will, in the long run, be more effective than a government respect to water, but, as in all problem-solving situations,
agency moving forward on its own to decide which action boundaries or limits have to be established or the scope
is needed. becomes overwhelming and little is accomplished (Kidd
and Shaw 2007).
Very few people consider IWRM to be the sole con-
Issues sideration or tool that should be used in water resource
management.
Despite general use of the GWP definition, other defini- As with any policy implementation, the adoption of
tions of IWRM continue to be put forward. As a result, IWRM requires creation of some new structures and
it has been questioned whether it is possible to know what processes to support it. Critics argue that its implementa-
IWRM is or when it has been achieved (Biswas 2004). tion will be futile unless there is strong commitment in
While different defi nitions do exist, they almost all political, administrative, and financial arenas. It is even
share several concepts: water must be considered in con- alleged that too often politicians or senior bureaucrats
junction with land and other natural resources; the only give lip service to IWRM because they do not want
watershed or catchment is a more appropriate spatial to relinquish responsibility for aspects of water manage-
scale and governance area for water resources management now under their control or authority. Furthermore,
ment than an administrative or political unit; attention it has been argued, in some jurisdictions the presence of
should be given to environmental, economic, and social corruption ensures that IWRM will not move forward
considerations; and opportunity should be provided for because it would threaten well-established interests
stakeholder engagement. These common elements repre- (Biswas 2008b).
sent a consensus view of the critical features of IWRM These criticisms may reflect reality, but resource man-
and hence adequately define it as a water resources management will benefit if constructive solutions to these and
agement tool. other issues surrounding an integrated approach can be
Some critics have argued that no examples exist of developed.
successful implementation of IWRM and that no “objec-
tive assessments” have been conducted of IWRM experi-
Outlook
ences (Tortajada 2010).
IWRM has, however, under various defi nitions been
IWRM is not a silver bullet that can “fi x” all problems
introduced and implemented in both developed and
regarding water and related natural resources. It was
developing countries. Objective evidence of accom-
developed as one means to ensure that the connections
plishments has been provided since 1999, when the
between water and other natural resources are considered
International RiverFoundation (sic), based in Australia,
together, that upstream and downstream aspects of water
began to award its International Riverprize to recog-
systems are recognized, that water quantity and quality
nize outstanding long-term outcomes. Awards have
are addressed together, and that ground- and surface
been given to organizations in the United Kingdom
water receive attention at the same time. IWRM also
(1999, 2010), the United States (2004, 2008), Canada
aims to ensure that attention is given to environmental,
(2000, 2009), Australia (2001), China (2006), France
economic, and social considerations, and that stakehold-
(2005), and Israel (2003), and to the Mekong River
ers have the opportunity to shape decisions. If all of these
Commission (2002) and the International Commission
aspects are considered and acted upon, prospects are
for the Protection of the Danube River in Central
good for enhanced water management.
Europe (2007). The UK Environment Agency received
the award in 2010 for its work focused on London’s Bruce MITCHELL
River Th ames. Many of these awards have explicitly University of Waterloo, Ontario, Canada

See also Best Management Practices (BMP); Catchment Global Water Partnership (GWP). (2000). Integrated water resources
Management; Coastal Management; Complexity Theory; management (IWRM) toolbox: Version 2. Stockholm: Global Water
Partnership Secretariat.
Dam Removal; Ecosystem Services; Groundwater Heathcote, Isobel W. (2009). Integrated watershed management:
Management; Human Ecology; Hydrology; Irrigation; Principles and practice (2nd ed.). New York: John Wiley and Sons.
Rain Gardens; Stormwater Management; Waste International Conference on Water and the Environment (ICWE).
Management (1992, January 26–31). Keynote papers. International Conference
on Water and the Environment: Development Issues for the 21st
Century, Dublin, Ireland. Geneva: World Meteorological
Organization WMO, ICWE Secretariat.
Kidd, Sue, & Shaw, Dave. (2007). Integrated water resource manage-
FURTHER READING ment and institutional integration: Realizing the potential of spa-
Agarwal, Anil, et al. (2000). Integrated water resources management tial planning in England. Geographical Journal, 173(4), 312–329.
(TAC Background Papers No. 4). Stockholm: Global Water Mitchell, Bruce. (1983). Comprehensive river basin planning in Canada:
Partnership Secretariat. Problems and opportunities. Water International, 8(4),146–153.
Biswas, Asit K. (2004). Integrated water resources management: A Mitchell, Bruce. (Ed.). (1990). Integrated water management:
re-assessment. Water International, 29(2), 248–256. International experiences and perspectives. London Belhaven Press.
Biswas, Asit K. (2008a). Current directions: Integrated water resources Tortajada, Cecilia. (2010). Water governance: Some critical issues.
management: A second look. Water International, 33(3), 274–278. International Journal of Water Resources Development, 26(2), 297–307.
Biswas, Asit K. (2008b). Integrated water resources management: Is it World Water Assessment Programme. (2006). Water: A shared respon-
working? Water Resources Development, 24(1), 5–22. sibility (United Nations World Water Development Report 2).
Dinar, Ariel, et al. (2005). Decentralization of river basin manage- Paris: UNESCO.
ment: A global analysis (Policy Research Working Paper No. Young, Gordon J.; Dooge, James C. I.; & Rodda, John C. (1994). Global
3637). Washington, DC: World Bank. water resource issues. Cambridge, UK: Cambridge University Press.

Wilderness Areas
In the United States and several other countries, the United States were set aside as national parks:
word wilderness has a legal definition. These wilderness Yellowstone, Yosemite, and the Grand Tetons. These
areas, protected by legislation, have many purposes, parks were seen as areas for recreation and tourism rather
from ecological preservation to recreational use. By than as ecological preserves. After World War II, a
2010, the National Wilderness Preservation System in greater public interest in preserving areas for wilderness
the United States included 791 management units and emerged. Some of the desire to designate areas for pro-
more than 109 million acres of publicly owned lands tection as wilderness was due to people’s increasing lei-
managed by four federal agencies. sure time for recreational pursuits coupled with their
growing concern about the way rapid industrialization
and population growth was transforming the landscape.
T here are few places in the world that have not been
under human control, habitation, cultivation, or
influence at some point in history. The impact of humans
Some scientists argue that there are few or no places
left in the world that are wilderness in the strictest sense
ranges from urban centers that are very heavily influ- of the word, because the world’s ecosystems have all been
enced, through rural areas, to wilderness that is much affected by human activity, particularly the warming due
less developed. The so-called human footprint on the to increased atmospheric carbon dioxide. For this reason,
world is large and extending rapidly with population the term wilderness is usually used to refer to areas that
growth, road building, food production, power genera- are little known or predominantly under the influence of
tion, and industrialization (Sanderson et al. 2002). Some natural processes and forces. Although the term was once
identifiable “last of the wild places” exist on each conti- commonly applied to any large, remote area with natural
nent and may continue to do so with careful conservation characteristics, conditions, and processes, by 1964 the
of resources and global protection. term gained a legal definition that was applied to feder-
ally owned land designated as wilderness by congressio-
nal action in the United States.
Wilderness Defined
In the early years of the United States, European immi- Policy
grants cultivated and tamed the wild places and took
dominion over the land for human habitation. Wilderness Legislative protection was needed to create a more per-
was seen as a place for exploration and primitive travel manent and coordinated national system for wilderness
and was often feared and avoided by most of the popula- preservation and management. To get a wilderness bill
tion (Nash 2001). As people realized that the amount passed into legislation, political compromises were neces-
of remaining land that preserved wild conditions was sary, and so the law was drafted to permit certain human
diminishing, they began to appreciate the wilderness as activities in some areas, even though those activities
a contrast to urban development. The public’s interest in would not conform to the intent of the wilderness legisla-
wild places evolved as wild areas became scarce. In tion. These included activities such as mining, grazing,
the late nineteenth century, a few notable places in the aircraft landings, and water resources development.
417

In 1964, the US Congress passed the Wilderness Act sustainability both inside them and in surrounding areas,
(US Public Law 88-577) and created the National especially where they are connected to other necessary
Wilderness Preservation System (NWPS). The natural features, such as high mountain landscapes that
Wilderness Act defines a broad statement of policy for are the habitat of grizzly bears.
designating wilderness:
In order to assure that an increasing population, accom- Potential Threats
panied by expanding settlement and growing mecha-
nization, does not occupy and modify all areas within After an area is designated as wilderness, the area must
the United States and its possessions, leaving no lands be maintained to preserve the ecosystem. Numerous
designated for preservation and protection in their nat- types of internal and external conditions, influences,
ural condition, it is hereby declared to be the policy of and changes threaten wilderness resources and values,
the Congress to secure for the American people of now and in the future. Two examples of nineteen speci-
present and future generations the benefits of an endur- fied threats that highlight the concern about the future
ing resource of wilderness. (US Public Law 88-577, sustainability of wilderness conditions and processes
section 2a) are habitat fragmentation and the introduction of
exotic (non-native) plants and animals (Dawson and
Section 2c of the Wilderness Act includes an impor-
Hendee 2009).
tant and often-quoted definition of wilderness that has
Wilderness areas are increasingly isolated fragments
led to much controversy and debate because it has left
or remnants of historic ecosystems. As more and more
room for administrative and legal interpretation. The def-
people move into the surrounding landscape, wilderness
inition has been interpreted in a variety of ways to make
areas become ecologic islands. These islands can continue
it practical and applicable:
to thrive only if they are of a substantial size or are
A wilderness, in contrast with those areas where man connected to other natural areas. Fragmentation is most
and his own works dominate the landscape, is hereby pronounced in the eastern United States, where wilder-
recognized as an area where the earth and its commu- ness areas are relatively small, but the threat is felt
nity of life are untrammeled by man, where man himself throughout the country. Exotic and non-native species of
is a visitor who does not remain. An area of wilderness plants and animals are a direct threat to naturalness and
is further defined to mean . . . an area of underdeveloped wildness. The effort to control these invasive species can
Federal land retaining its primeval character and influ- itself have undesirable impacts on wilderness conditions.
ence, without permanent improvements or human habi- Invasive plant species like knapweed, cheatgrass, and
tation, which is protected and managed so as to preserve purple loosestrife can rapidly change an ecosystem and
its natural conditions and which (1) generally appears to fundamentally alter its native plant and animal species.
have been affected primarily by the forces of nature, Few of the enumerated threats to wilderness areas will
with the imprint of man’s work substantially unnotice- diminish, and most are projected to increase in the com-
able; (2) has outstanding opportunities for solitude or a ing decades. Land managers will need to monitor these
primitive and unconfined type of recreation; (3) has at potential threats and develop management plans to stew-
least five thousand acres of land or is of sufficient size as ard wilderness areas and minimize, mitigate, or remove
to make practicable its preservation and use in an unim- the threats.
paired condition; and (4) may also contain ecological,
geological, or other features of scientific, educational,
scenic, or historical value. (US Public Law 88-577,
Management Agencies
section 2c)
At the national level, four federal agencies are responsible
As more and more visitors use wilderness resources, for wilderness planning and management activities. They
the areas have to be managed in different ways. Managing are the National Park Service (NPS), the Bureau of Land
an area that is intended to be free of the influences of Management (BLM) and the Fish and Wildlife Service
modern human activities may appear paradoxical. (FWS) in the Department of Interior, and the Forest
Wilderness stewardship, however, protects and preserves Service (FS) in the Department of Agriculture. The four
an area’s solitude and natural features (Dawson and agencies have devised regulations based on legislation
Hendee 2009). and have developed policy and management documents
The NWPS has selected and established wilderness to steward the lands under their jurisdiction. In addition,
areas that represent different ecosystem types in order to all four continue to evaluate and manage additional land
preserve natural conditions and processes. These wilder- for potential inclusion in the NWPS. Although the
ness areas serve as the genetic pool necessary to support NWPS is a national system, each agency has developed

WILDERNESS AREAS • 419
its own procedures and organizational approach to pro- generations to experience and enjoy. In addition, it is
tecting the “enduring resource of wilderness,” based on imperative that human impact be managed to preserve
its own administrative mission and structure. Some of wilderness, because without such stewardship, these
the different approaches to visitor and resource manage- remaining areas will lose their unique value in the US
ment can be confusing to a public that does not under- landscape.
stand that each agency has a different mission. For If wilderness is to be managed to maintain or improve
example, the FWS has a unique wildlife management wilderness conditions, an understanding of a particular
mission that incorporates a national wildlife refuge area’s carrying capacity to sustain recreational use is
system. essential. One of the major components in overseeing
The 109-million-acre NWPS represents just over such recreational use is to manage in favor of activities
4.5 percent of the US land area, in contrast to the more that depend on wilderness conditions to achieve their
than 6 percent of total acreage in urban and suburban goals, while not degrading the wilderness conditions.
land area and more than 20 percent of the total in Only those activities that require such conditions should
agricultural cropland (Dawson and Hendee 2009). be allowed in wilderness, and only as much activity as the
Although the NWPS attempts to protect areas that area can sustain while maintaining its wilderness condi-
represent different geographic regions and ecosystems, tions and processes should be permitted.
not all US ecosystems are included (less than 50 percent
of types are represented), and more arid lands and
mountain ecosystems of the west are included than National and International
coastal lowlands, grasslands, and eastern hardwood Movements
forests.
In addition to the National Wilderness Preservation The US public is strongly supportive of wilderness des-
System, based on federal land ownership, twelve states ignation and the NWPS (Cordell, Bergstrom, and
have designated state wilderness areas on Bowker 2005; Cordell, Tarrant, and Green 2003).
state-owned lands since the 1970s and A summary of seven different surveys in the
they protect more than 3.2 million United States from 1999 through 2002
acres (Propst and Dawson 2008). showed that 48 to 81 percent of respon-
These are managed by the state dents supported designating more wil-
land managing agencies and are derness land in the United States
not part of the NWPS. (Scott 2004). Although there is wide-
spread public support for wilderness,
views diverge on how to define wil-
Management derness, ranging from extreme pro-
Principles tectionists who believe that humans
have no place in wilderness to the
The guiding principle for utilitarian interests that believe
managing wilderness areas is that wilderness is a setting for
that wilderness should be future economic development of
managed as a pristine extreme recreation and tourism activities.
in the landscape to maintain Membership in organizations
the distinctive qualities that that promote wilderness designa-
defi ne and separate wilderness tions, stewardship, information, and
from other land uses (Dawson and education, such as the Wilderness
Hendee 2009). Wilderness manage- Society and the Sierra Club, has
ment is biologically centered, that is, grown dramatically over the last forty
environmental integrity and primeval con- years. People have mobilized to protect
ditions of wilderness are the foundation for wilderness at all levels, international,
human enjoyment, values, and benefits. national, state, and local.
Management that focuses on wilderness as an eco- The US legislative model has influenced wilderness
system, not as a separate set of resource types (for exam- protection globally, although the variation in level and
ple, water, forests, wildlife), provides a comprehensive type of protection is based on the cultural and legis-
view of the protected area. Most wilderness areas repre- lative history in each country (Kormos 2008). Th e
sent the remnants of ecosystems, or entire ecosystems, concept of wilderness is universal, and the national leg-
which need to be protected for present and future islative approach used in the United States has been

widely adopted by other countries such as Canada, Forest Management; Habitat Fragmentation; Human
Australia, Finland, Russia, and South Africa (Martin Ecology; Hunting; Refugia; Road Ecology
and Watson 2009). Many countries have both strong
public support for wilderness and active related
organizations that support wilderness designation and
stewardship. FURTHER READING
Wilderness preservation is a national and interna- Cordell, H. Ken; Bergstrom, J. C.; & Bowker, J. M. (2005). The mul-
tiple values of wilderness. State College, PA: Venture Publishing.
tional movement comprising grass roots and member- Cordell, H. Ken; Tarrant, M. A.; & Green, G. T. (2003). Is the public
ship organizations interested in protection and viewpoint of wilderness shifting? International Journal of Wilderness,
stewardship of dwindling wild areas. The value of wil- 9(2), 27–32.
derness is supported by the general population of the Dawson, Chad P., & Hendee, John C. (2009). Wilderness management:
Stewardship and protection of resources and values (4th ed.). Golden,
United States and many other countries, but the contin- CO: Fulcrum Publishing.
ued support and work of many people and organizations Kormos, Cyril F. (2008). A handbook on international wilderness law
will be needed to stimulate the legislative and admi- and policy. Golden, CO: Fulcrum Publishing.
nistrative branches of governments to continue their Martin, Vance G., & Watson, A. (2009). International wilderness. In
Chad P. Dawson & John C. Hendee (Eds.), Wilderness manage-
efforts to maintain wilderness for present and future ment: Stewardship and protection of resources and values (4th ed.,
generations. pp. 50–88). Golden, CO: Fulcrum Publishing.
Nash, Roderick F. (2001). Wilderness and the American mind (4th ed.).
Chad P. DAWSON New Haven, CT: Yale University Press.
State University of New York Propst, Blake M., & Dawson, Chad P. (2008). State-designated wil-
derness in the United States: A national review. International
John C. HENDEE Journal of Wilderness, 14(1), 19–24.
University of Idaho Sanderson, Eric W., et al. (2002). The human footprint and the last of
the wild. Bioscience, 52(10), 891–904.
See also Adaptive Resource Management (ARM); Scott, Douglas W. (2004). Th e enduring wilderness: Protecting our
national heritage through the Wilderness Act. Golden, CO: Fulcrum
Administrative Law; Best Management Practices
Publishing.
(BMP); Biological Corridors; Boundary Ecotones; US Public Law 88-577. The Wilderness Act of September 3, 1964, 78
Carrying Capacity; Ecosystem Services; Edge Effects; Stat. 890.

Index
A agroforestry, 9, 115, 368, 387, 396

air pollution See pollution, air
abiotic extremes, 129
Alaska, USA, 101, 237, 309
Aceh, Indonesia, 388
algae blooms, 269, 304, 305, 331, 335, 353
acid rain, 126, 271
See also Eutrophication
acidification
algal toxins, 125
See Ocean Acidification—Management
Algonquin to Adirondack Conservation Association
Adaptive Resource Management (ARM), 2–4
(A2A), 342
Administrative Law, 5–6
Allee effects, 38, 39, 315, 372
aerosols, 163, 164, 165
allele, 23, 129, 327
afforestation, 95, 322
Allen, Will, 392
See also deforestation; Reforestation
alpine treeline See treelines
Africa
aluminum, 182, 268
agroecolgy in, 14
the Amazon (Amazonia), 114, 265, 328
buffers in, 51
rain forests in, 83, 271, 326, 346
carrying capacity and, 57
Amazon basin, 339
Cape floristic region, 27, 65
Amazon River, 196
desertification in, 93–95
American Association for the Advancement of
fencing in, 132–133, 134–135
Science, 240
hunting in, 189, 190, 191
American Southwest
large marine ecosystems, 242, 243
cattle grazing and disturbance, 101
outbreak species in, 287, 289
water distribution in, 222
pollution, nonpoint source, 305, 306
American Society of Landscape Architects, 234
reforestation, 322
animal feeding operations (AFO), 303, 304
soil conservation in, 367
concentrated animal feeding operation
See also elephants, African; Green Belt Movement;
(CAFO), 409
South Africa
anthropogenic causes and/or effects
African Academy of Sciences, 197
climate change, 162, 164–165
Agenda 21, 60
desertification, 94
agricultural biodiversity, 9
disturbance, 100–101
Agricultural Intensification, 7–10
ecological succession, 24
agro-ecosystems, 262
hydrology, 193, 197–198
agrochemicals, 7
invasive species, 176, 217
Agroecology, 11–16
nitrogen saturation and cycling, 269,
See also cover cropping; crop rotation;
273–274
intercropping
421

anthropogenic causes—Cont. fire management in, 139

See also Best Management Practices; Buffers; invasive species in, 217
Coastal Management; Fisheries Management; tree planting in, 387
Groundwater Management; Habitat water resources in, 196
Fragmentation; Home Ecology; Large Marine Australian Organic Farming and Gardening Society, 14
Ecosystems (LMEs); Ocean Resources Australian Qualifications Framework, 296
Management; Pollution, Nonpoint Source; Australian wheat belt, 174
Pollution, Point Source
aquaponics See Allen, Will
aqueducts, 193, 205
B
aquifers bacteria
and groundwater management, 168–170, 319, 321, biological diversity and, 12, 108, 256
413, 414 chemical processes of, 79, 109, 124, 129, 152, 181, 194,
and water pollution, 356 256, 258–260, 261, 262
archaea, 108, 109 contamination, 306
areography, 32 growth, 180
ARtificial Intelligence for Ecosystem Services toxic, 125–126
(ARIES), 114 See also Microbial Ecosystem Processes
Asia Banqiao Dam, China, 88
agriculture in, 14, 94 bantay dagat, 253
climate change, 163 Barents Sea, 363
greenhouse gases, 165 Barro Colorado Island, Panama
large marine ecosystems, 243 disappearance of species in, 345
outbreak species in, 286–287 Basel Convention of 1989, 412
tropical rain forests in, 172, 330 Bayfront Stormwater Garden project, 319, 320
assisted migration, 106 Bazin, Henri See Darcy, Henri
Atlantic Empress, 309 Belize, 116
See also oil spills Benguela Current LME (large marine
Atlantic Ocean ecosystem), 242
coastal systems management in, 68 Benguela Current LME Commission, 243
cod fisheries in, 315, 361 Best Management Practices (BMP), 18–20
garbage patches in, 283 Beyond the Forest Garden, 294
North Atlantic, catch profiles in, 146–147 “Bias and Biodiversity,” 65
shifting baselines in, 363 Biodiversity, 21–25
warming in, 164 agricultural, 9
western Atlantic, predator fish levels in, 154 catchments and, 60–61
See also Benguela Current LME (large marine conservation, 26, 30, 157, 190, 340, 341, 346
ecosystem) definitions of, 28, 29, 79
atmospheric pollution See pollution, atmospheric ecological forecasting and, 104–106
atmospheric warming, 41, 42 ecosystem services and, 113–116, 156
Austral realm (Australian tropical region), 34 ecosystem diversity, 21, 24, 229, 328
Australia fish and marine, 148, 283, 284
agriculture in, 14, 296 genetic diversity, 21, 23, 144, 327, 328, 373
anthropogenic disturbances in, 100 habitat fragmentation and, 172
catchment management in, 60 impacts of alien species on, 216
climate change, 163 loss of, 38, 42, 49, 55, 65, 95, 166, 190, 237
conservation in, 65 measuring, 35
ecological forecasting in, 105 road development and, 346, 349
ecosystem management in, 405 See also bioindicators; Refugia; Shannon diversity
ecosystem services, 114 index; species diversity; species richness
forests of, 322, 383 Biodiversity Hotspots, 26–30
biodynamic agriculture, 12, 14
See also Permaculture
Bold entries and page numbers denote encyclopedia articles. biofertilizers, 10

INDEX • 423
biofuel, 13, 52, 367–368 biotic homogenization, 216

biodiesel, 367 Black Sea, 125, 126, 254
cellulosic ethanol, 367, 368 Blue Nile River, 306
corn ethanol, 367 botanical gardens, 232
grain-based biofuel, 367 Botswana, 134–136, 209
palm biodiesel, 367 bottom-up control, 152, 342
second-generation biofuel, 367 See also top-down control
soybean biodiesel, 367 Boundary Ecotones, 41–43
sugarcane ethanol, 367 “Branding Land: Conservation Marketers Choose Land
Biogeography, 31–36, 133, 341 over Beast,” 64
cladistic biogeography, 35 Brazilian Amazon, 119, 174
ecological biogeography, 31, 33, 35 Brazilian Atlantic forest, 65
evolutionary biogeography, 31, 33, 34, 35 Britain’s National Parks Commission, 75
panbiogeography, 32 British Petroleum, 101
bioindicators, 200, 201–203 See also oil spills
See also Indicator Species British Trust for Ornithology, 105
Biological Corridors, 37–40, 50, 51, 134–135, Bronx Environmental Stewardship Training program, 392
341–342, 348 Brownfield Redevelopment, 44–48
biological diversity, xxi Brundtland Commission, 68
rain gardens and, 319 Buffers, 49–52
See also Biodiversity; Convention on Biological bushmeat, 154, 190
Diversity
Biological Dynamics of Forest Fragments Project
(BDFFP), 119, 121
C
biological extreme events (BEEs) See Extreme Episodic California, USA,
Events habitat fragmentation in, 154
Biological Records Center, 105 water rights in, 221–222
biological systems, 128, 163, 234, 246 species succession in, 381, 383
See also biota California Irrigation Management Information
biomarkers, 202 Service, 224
biomass Campesino a Campesino movement, 13
algal, 126 Canada
animal, 299 agriculture in, 13
biomass density index (BDI), 235 climate change in, 155
fish, 146, 240, 243, 254 hydraulic fracturing (fracking) laws in, 356
forest and plant, 324 remediation in, 45
production, 22, 24 Canadian Arctic, 163
soil erosion and, 367–368 Cape Cod, Massachusetts, USA
soil nutrients and, 271, 272, 273 salt marshes, loss of biodiversity in, 24
biomes, 33, 163, 172, 173, 215, carbon
218, 327, 328 carbon cycling, 80, 287
See also tundra carbon dioxide, 128, 257, 259, 357
biopesticides See pesticides carbon economy, 156
biophysical models, 105 carbon footprint, 177, 232, 238, 250
biophysics, 105 carbon sequestration, 15, 30, 112, 115, 116, 156, 166,
bioremediation, 259 167, 268, 283, 324, 368, 378
See also remediation climate change and, 95, 366
bioreserves, 76 soil conservation and, 258, 367–369
biosecurity, 217, 218 carbonate, 272, 276–277, 278, 279
biosequestration, 321 Carrying Capacity, 9, 38, 54–58, 133, 143, 144, 243,
biosphere reserve, 75 306, 314–315, 337, 361, 372, 373
bioswales See Rain Gardens; wetlands Catchment Management, 59–62, 175, 196, 197, 198,
biota, 9 216, 378, 414–415
See also biological systems See also watersheds

Center for International Climate Change and coffee, 81, 299

Environmental Research–Oslo (CICERO), 177 collaborative decision making, 187
Center for World Indigenous Studies (CWIS), 207 Comanagement, 74–77
Central Park, New York, USA, 233 Commonwealth Human Ecology Council (CHEC), 187
Centro Agronómico Tropical de Investigación y Commonwealth Scientific and Industrial Research
Enseñanza (CATIE), 13 Organization (CSIRO), 105
Cerrado–Pantanal Ecological Corridors project, 342 Community Ecology, 78–81, 182, 330
Chang River See Yangzi (Chang) River, China See also ecological community
Charismatic Megafauna, 63–66, 202 Community Supported Agriculture (CSA) programs, 391
Chernobyl (Ukraine), 201, 310 complex systems, 46, 82–83, 256, 335–336, 338
Chiba City, Japan, 399 Complexity Theory, 82–84
Chicago, Illinois, USA Conway’s game of life, 83
“lights out” programs, 310 Comprehensive Environmental Response,
stormwater management in, 378 Compensation, and Liability Act (CERCLA)
China (1980, USA), 411
agriculture in, 221 See also Superfund Act (1980, US)
conservation in, 115–116 computer-aided design (CAD), 234
environmental management in, 61, 234, 243–244 Conservation Authorities Act (1946, Canada), 414
invasive species in, 399 See also Food Security Act of 1985 (USA)
pollution in, 125, 178, 181 conservation biology, 21, 24, 218, 229, 341
tree planting in, 387 conservation ecology, 187
waste in, 412 Conservation International, 28, 65
Chinese Geological Survey, 61 Conservation Reserve Program (CRP), 51, 365, 367
chorology See areography contaminants, 44–46, 50, 60, 67, 70, 87, 91, 169,
Cittaslow (Slow Cities), 390 271–272, 274, 318
Clean Water Act (1974, USA), 60, 70, 114, 279, 409 See also fertilizers; herbicides; heavy metals
Clements, Frederick, 118, 380 Convention on Biological Diversity (CBD), 114, 208,
Clementian succession model, 380, 382 252, 284
See also Boundary Ecotones; deterministic succession Convention on Biological Diversity in Nagoya, Japan of
climate change 2010, 148
anthropogenic causes of, xxii, 162, 276, 310 Copenhagen, Denmark, 392
effects of, xxiii, 9, 42, 65, 95, 104, 106, 121, 128, 155, coral reefs, 22, 65, 116, 128, 262, 277–279, 283, 284,
166, 218, 259, 284 330, 331, 360, 363
and erosion, 366–368 See also Reefs at Risk report
predicting, 328, 361 Corporate Ecosystem Services Review (ESR), 114
responses to, 83, 106, 166, 205, 208, 325, 378, 388 cosmopolitan species, 31
See also carbon dioxide; Global Climate Change; cost-benefit analysis, 89
United Nations Framework Convention on See also Safe Minimum Standard (SMS)
Climate Change (UNFCCC) Costa Rica and ecosystems services, 115
climate-change refugees, 133 Countryside Commission (UK), 75
climate envelope, 104 cover crops, 12, 13, 259, 368, 369
climate regulation, 113, 114, 115, 234, 330 Critias (Plato), 113
climax state, 380, 381 crop rotation, 12, 13, 368, 369
coal mining, 201, 237, 305, 357 croplands, 340, 365, 366, 367
coastal areas, 67, 166, 240, 279, 282, 366, 388 Crowe, Sylvia, 402
Coastal Capital reports, 116 Cuba, 13, 390
Coastal ecosystems, 269, 279, 283, 331, 360 Cultural Revolution (China), 387
Coastal Management, 67–73
Coastal Zone Management Act (1972, USA), 68, 70, 72
cod, 74, 154, 163, 315, 360–362
D
coevolution, 298, 300–301 da Vinci, Leonardo, 193
Daes, Erica-Irene, 205
Dam Removal, 86–92
Bold entries and page numbers denote encyclopedia articles. Darcy, Henri (Darcy’s Law), 193

INDEX • 425
Darwin, Charles, 211, 298, 299 Ecology of Invasions by Animals and Plants, 212
DDT, 9, 274 ecosystem collapse, 153, 189, 353
dead zones, 69, 124, 125, 126, 243, 283 Ecosystem Conservation Function Areas (EFCAs)
decomposition, 109, 139, 256–257 (China), 116
Deepwater Horizon, 309 ecosystem engineers, 226, 229, 374
See also Gulf of Mexico; oil spills ecosystem integrity, 158
deforestation, 51, 172–173 Ecosystem Services, 71–72, 112–117, 234–235,
See also afforestation; Reforestation 261–262, 265–266, 318, 319
Denmark cultural services, 71, 112, 113, 216, 345
incineration of waste in, 411 ecosystem-based management (EBM) 69–71, 254, 284
marine ecosystem in Wadden Sea. 362 environmental goods and services, 112
Descartes, René, 207 See also carbon sequestration, Nutrient and
Desertification, 93–97 Biogeochemical Cycling; water treatment
Design with Nature, 234, 238 Ecosystem Services: A Guide for Decision Makers, 114
Detroit, Michigan, USA ecotones See Boundary Ecotones
urban agriculture in, 391 ecotourism, 75, 77
deoxyribonucleic acid ecovillages, 292, 294, 390
See DNA Edge Effects, 38 118–123
discounting clock (in environmental economics), 149–150 Edwards Dam, USA, 87
Disturbance, 98–102 Egypt, 221, 223
agriculture and, 12, 368 El Niño, 333
anthropogenic, 24, 42, 108, 110, 201, 262, 381, 399 El Niño Southern Oscillation (ENSO), 95, 163
natural, 49, 157, 159 electronic waste See e-waste
resilience against, 336 Elephant Pepper Development Trust, 136
stressors and, 109–110 elephants, African, 227, 228, 300
species succession and, 380–381 Elkington, John, 177
diversity-invasibility hypothesis, 215 Elwha River, Washington, USA, 88
DNA, 21, 23, 201, 215, 217 See also Dam Removal
See also allele end-of-pipe technology, 310
Dublin Principles, 60 endangered species, 28, 37, 39, 51, 74, 91, 316, 342
Dust Bowl, 49, 366 endemic species, 26–30, 31–32, 34–35, 42, 144, 213, 228,
Dutch elm disease, 395 326–327
Dzanga-Shanga forest region (Central African energy-efficient appliances, 179
Republic), 77 energy exchange, 41
Environment Canada, 45
E Environmental Information System for Planners (EISP)
(UK), 47
Earth Day, 176–177 Environmental Protection Agency See United States
Earth Summit of 1992, 95, 156, 177, 413, 414 Environmental Protection Agency
See also United Nations Conference on Environment equilibrial state, 380–381
and Development (UNCED) See also nonequilibrium
ecological anthropology, 75 erosion, 19, 49–50, 60, 114, 159, 304–305, 365–369
Ecological Economics Conference, 265 Essay on the Principle of Population, 56
ecological footprint, 265, 315 See also Malthus, T. Robert
Ecological Forecasting, xxii, 104–107 Europe, 13
Ecological Restoration, 108–111, 340, 341 buffers in, 51
Ecological Society of America (ESA), 187, 188 conservation in, 75
ecological triage, 106 invasive species in, 213, 216
ecology water management in, 60, 193
invasion ecology, 211 waste management in, 411
permaculture and, 293 European Alps, 288, 328
restoration ecology, 341 European Centre of Nature Conservation (ECNC), 348
See also Agroecology European Pathways to the Cultural Landscape
The Ecology of a City and Its People, 187 (EPCL), 403

European Union (EU), 59, 61, 154, 411 food security, 11, 14, 15, 367
European Union (EU) Water Framework Directive, 59, Food Security Act of 1985 (USA), 365
60, 61 See also Conservation Reserve Program
Eutrophication, 124–127, 180, 269, 279, 305, 331, Food Trust, 391
333, 353 Food Webs, 79, 152–155
See also algae blooms; dead zones; nutrient enrichment; forest certification programs, 157–158
nutrient loading Forest Management, 156–160, 205, 271, 324, 404
evolution of increased competitive ability (EICA) See also sustainable forest management (SFM); United
hypothesis, 214 States Forest Service (FS)
evolutionarily distinct and globally endangered (EDGE) Fort Edward Dam, USA, 91
species, 64 fossil fuels, 100, 126, 128, 165, 167, 179, 264, 272, 276,
exclusive economic zones (EEZ), 68, 148, 149, 284 295, 296, 310, 357, 359
Exxon Valdez, 101, 309 fracking See hydraulic fracturing; Shale Gas Extraction
See also oil spills France
extinction large-scale landscape planting in, 237
biological corridors and, 37–38 Fukushima, Japan, 310
extinction debt, 346, 349 Fulton, Michael H., 201
extirpation, 157, 189, 217, 227 Fundamentals of Ecology, 56
genetic variation and, 22–24, 42, 173, 315 fungi, 78, 80, 261, 269
mass extinctions, xxi, 26, 130, 341 Future Flooding, 59
species richness and, 35, 315
Extreme Episodic Events, xxi, 128–130
See also biological extreme events (BEEs)
G
Galileo Galilei, 193
Gaviotas, Colombia (solar village), 388
F genetic drift, 129, 214, 327
Farmer to Farmer movement See Campesino a genotypes, 43, 110, 214
Campesino movement geographic information system (GIS), 234, 238, 316,
Faroe Islands, 143 404, 405
Fatal Light Awareness Program (FLAP), 249 German Federal Environment Agency, 348
See also Light Pollution and Biological Systems German Society for Human Ecology, 187
Federal Energy Regulatory Commission (FERC), 88 Gezira Irrigation Scheme, 306
Federal Water Pollution Control Act Amendments of Ghost Town Farm blog, 393
1972 (US) Glacier Bay, Alaska, USA (national park), 237
See Clean Water Act (1974, US) glaciers, 163, 166, 195
Fencing, 132–137, 190, 293 Glen Canyon Dam, Arizona, USA, 4
fertilizer, 7, 9, 14, 125, 179, 258–259, 262, 268, 270, 279, Glen Canyon Dam Adaptive Management Program, 4
305, 409 Glines Canyon Dam, Washington, USA, 88
Fire Management, 138–142 Global Climate Change, 162–167
fire regimes, 139, 140 ecological forecasting and, 41, 328
Fish Hatcheries, 143–145 impacts of, 166, 259, 284, 366–368
fisheries, 71, 76, 143, 144, 363 outbreak species and, 287
Fisheries Management, 146–151 Global Environment Facility (GEF), 240, 242
flood control, 59, 60, 61 Global Futures Foundation, 181
floods, 19, 61 Global Water Partnership (GWP), 61, 414
The Floods Directive, 59 Göteborg Award for Sustainable Development, 244
The Food of China, 221 Grand Canyon, 4
food deserts, 390, 391 grass-fire cycle, 215
Food First, 390 Great Barrier Reef, 278
Food Not Lawns International, 391 Great Barrier Reef Marine Park Authority
Food Safety Modernization Act of 2010 (USA), 393 (GBRMPA), 254
Great Britain See United Kingdom
Great Depression, 70
Bold entries and page numbers denote encyclopedia articles. Great Fires of 1910, 139

INDEX • 427
Great Lakes (United States and Canada), 213, Helsinki Process, 156, 157, 158
302, 320 Henan Province, China, 88
Lake Erie, 126 herbicides, 50, 51, 110, 197
Lake Superior, 305 Hillside Development Overlay Zone
Great Wall of China, 133 Ordinance, 405
Great Wall of India, 133 hindcasting, 105
Greece, 193 holistic approach, 12, 63, 185, 295, 414, 415
Green Belt Movement, 387, 388 Holling, C. S., 330, 337, 338
See also Project GreenHands Holling’s “rule of hand,” 82
green business, 187 Holmgren, David, 295
green collar jobs, 392 See also Permaculture
The Green Consumer, 177 Holocene epoch, 164, 166
green consumerism, 177, 178 holotropical realm, 34
green infrastructure, 238–239, 377–379, 395 Home Ecology, 176–183
Green Revolution, 11, 14, 196 Homo sapiens, 138, 182, 189
green roofs, 233, 235, 377, 378 Hong Kong, China, 187
See also roof gardens Hoover Dam, Arizona/Nevada, USA, 87, 222
green walls, 233, 235 Human Ecology, 184–188
Green World Campaign, 388 Human Ecology Forum, 187
green world hypothesis, 152 human-environment system See Human Ecology
greenbelt, 233, 398 human footprint, 417
See also greenway system See also carbon footprint
greenfield areas, 235 human geography, 75
greenhouse gases Hunter & Central Coast Regional Environment
anthropogenic causes of, 104, 165 Management Strategy (HCCREMS), 293
deforestation and, 324 Hunting, 189–192
ecological forecasting and, 106 Hurricane Katrina, 388
greenhouse effect, 162, 166 hybrid seeds, 7
greenhouse gas footprint, 357 hydraulic fracturing (fracking), 354–357
and soil erosion, 367 hydrocarbons, 9, 46, 91, 283, 302, 410
greenway system, 50 hydroelectricity, 88
EuroVelo cycles routes, 233 hydrological cycle, 193, 195–196
Gold Coast Oceanway, Australia, 233 Hydrology, 193–198
High Line, New York City, USA, 233 hydroponics, 10, 391
Trans Canada Trail, 233 hydropower, 86, 88
See also greenbelt hydropower station, 184
gross domestic product (GDP), 114, 266 hypoxia, 305, 366
groundwater, 168–170, 174, 196, 318, 356 See also Eutrophication
Groundwater Management, 168–170
Growing Power See Allen, Will
Guide to Corporate Ecosystem Valuation, 116
I
Guinea Current LME (large marine ecosystem), 243 ice age, 130, 327
Guinness World Records, 388 Iceland Shelf LME (large marine ecosystem), 244
Gulf of Mexico, 305 Icelandic ice cap (Eyjafjallajökull) volcanic
Gulf War, 309 eruption, 309
illegal, unreported, and unregulated (IUU) fishing, 148,
149, 282
H immersive environment, 405
habitat conversion, 191 India, 76, 412
Habitat Fragmentation, 172–175 Indicator Species, 200–203
Hadley circulation, 162 biodiversity indicators, 201
Haeckel, Ernst, 185 ecological indicators, 200, 201
Halley, Edmond, 193 environmental indicators, 200
Havana, Cuba, 13, 390 See also bioindicators

indigenous knowledge (IK) See Indigenous Peoples and

Traditional Knowledge
J
Indigenous Peoples and Traditional Knowledge, Japan, 180, 181, 412
204–210 Japanese Ministry of the Environment, 45
Integrated Valuation of Ecosystem Services and Jensen, Jens, 233, 234
Tradeoffs (InVEST), 114 Johannesburg World Summit on Sustainable
Integrated Water Resource Management (IWRM) Development of 2002, 148, 243
See Water Resource Management, Integrated Plan of Implementation, 243
(IWRM)
Inter-Oceanic Highway, 346
intercropping, 13 K
Intergovernmental Platform for Biodiversity and Kabul, Afghanistan, 388
Ecosystem Services (IPBES), 113 kaitiakitanga, 76
International Agency for Research on Kansas City, Missouri, USA See 10,000
Cancer, 249 Rain Gardens
International Commission for the Protection of the Kenya
Danube River, 415 fencing in, 134, 135
International Council for the Exploration of the Sea tree planting in, 387
(ICES), 240 Keystone Species, 24, 109, 226–230, 341
International Council for Science (ICSU), 206 See also Paine, Robert T.
International Dark-Sky Association, 249 Kikuyu tribes, See Men of the Trees
International Foundation for the Conservation of Komi Republic of Russia, 309
Wildlife, 132 See also oil spills
International Hydrological Decade (1964–1975), 60 Krakatoa, 309
International Oceanographic Commission Kruger National Park, South Africa, 133, 136, 342
(IOC-UNESCO), 242 Kuwait oil fires, 309
See also UN Educational, Scientific and Cultural See also oil spills
Organization (UNESCO) Kyoto Protocol, 208, 411
International Plan of Action (IPOA), 149
International RiverFoundation (sic), 415
International Union for Conservation of Nature (IUCN), L
28, 63, 133, 237, 242, 371
IUCN’s Protected Area Category II, “national Lady Bird Johnson Wildflower Center, 234
parks,” 237 lag phase, 213
IUCN’s Category V “protected land pollution See pollution, land
landscape/seascape,” 237 land-use change, 279
Species Survival Commission (SSC), 371 Land Use Policy, 44
See also national parks; United Kingdom National Land’s Sake community farm, Massachusetts,
Park Authorities; United States National Parks USA, 393
Service (NPS) landfills, 180–182, 409–412
intervisibility, 404 Landscape Architecture, 232–235
introduction-naturalization-invasion continuum, landscape character assessment, 238
211–212, 215 landscape impact assessment, 237
Introduction to Permaculture, 294 See also visual impact assessment
invasion debt, 213 landscape planning, 52, 121, 232
invasion ecology See ecology, invasion Landscape Planning, Large-Scale, 236–239
invasional meltdown, 215 landscape protection, 237
Invasive Species, 110, 211–219, 399, 418 Large Marine Ecosystem (LME) Management and
Investing in Natural Capital, 265 Assessment, 240–244
Irrigation, 220–224, 306, 378 Last Child in the Woods See Louv, Richard
Isha Foundation See Green Belt Movement Latin America, 13
law of the minimum, 270, 271
See also von Liebig, Justus
Bold entries and page numbers denote encyclopedia articles. Learning to Live with Rivers, 59

INDEX • 429
Leopold, Aldo, 20, 55, 113, 115, 118, 340 Mutualism, 79, 261–262, 300
University of Wisconsin-Madison Myers, Norman, 26, 64
Arboretum, 341 See also Biodiversity Hotspots
See also Carrying Capacity; wildlife management
Liang Congjie, 176
Light Pollution and Biological Systems, 245–250
N
Linnaean hierarchy, 34 NASA Terrestrial Observation and Prediction System
local knowledge (LK) See Indigenous Peoples and (TOPS) program, 106
Traditional Knowledge NASA’s Ecocast program, 105
Louv, Richard, 396 National 9/11 Memorial, 234
Lyme disease, 174 National Academy of Sciences, 271
National Aeronautic and Space Administration
(NASA), 105
National Ecological Observatory Network
M (NEON), 105
Maathai, Wangari, 387 National Environmental Policy Act (NEPA) (1968,
See also the Green Belt Movement USA), 70, 402
MacArthur Foundation, 337 National Forest Landscape Management program, 402
See also Resilience Alliance National Inventory on Dams, 86
macroecology, 32 national parks, 74–75, 236–237
macronutrients, 271, 274 See also IUCN’s Protected Area Category II;
Making Space for Water policy, 59 United Kingdom National Park Authorities;
Malawi, 14 United States National Park Service (NPS);
Malpai Borderlands Group, 342 Wilderness Areas
Malthus, T. Robert, 56, 315 National Reforestation Campaign (Peru), 325
neo-Malthusians, 54, 56, 57 National Round Table on the Environment and the
Man and the Biosphere Programme, 75 Economy (NRTEE) (Canada), 44
See also Transboundary Protected Areas for Peace and National Wilderness Preservation System (NWPS),
Co-operation 418–419
Maoris, 76 Natural Assets Information System (NAIS), 114
Marine Life Protection Act (1999, USA), 253 Natural Capital, 264–267, 270
Marine Protected Areas (MPAs), 252–255, 284 Natural Capital Project, 114
McHarg, Ian, 234, 238 Natural Capitalism, 265
mechanistic models, 105 Natural England, 61
megadiversity countries, 28, 35 natural gas, 354–359
megafires, 140, 141 Natural Resource Conservation Service
megavertebrates, 63, 64, 65 Scheduler, 224
Mekong River Commission, 415 natural resources, xxi, xxiii, 49, 61, 96, 165, 264,
Men of the Trees, 387 265, 296
mercury, 274 exploitation of, 315, 341
metapopulations, 315–316, 373–374 management of, 74–76, 352, 414–415
methane, 165, 356–358 protection of, 12
microbes, 46, 256–258, 260 Natural Step non-profit organization, 265
Microbial Ecosystem Processes, 256–260 Nature Conservancy, 76
Millennium Ecosystem Assessment (2005), 63, 71, nature-deficit disorder See Louv, Richard
112, 113, 114, 216, 262 Nelson, Gaylord, 177
mineralization, 78, 257, 258 net present value (NPV), 149–150
minimum viable populations (MVP), 352–353 the Netherlands, 348
Mining Waste Exclusion, 409 New York State, USA, 67, 392
Ministry of Land and Resources, China, 61 New York City, USA, 71
Ministry of Water Resources, China, 61 New Zealand, 60, 76, 414
monoculture, 9, 322–323 Nile River, 193, 223
See also polyculture nitrate, 258, 303, 305, 306
Montreal Process, 156, 157, 158 nitrate leaching, 268–269

nitrogen
denitrification, 258, 259, 269, 274, 306
O
nitrification, 257, 258, 259 Obama, Michelle, 390
nitrogen cycle, 78, 100, 109, 126, 258, 262, 273, 274 Ocean Acidification—Management, 276–281
nitrogen fertilizers, 14, 125, 259, 262, 273 Ocean Resource Management, 282–285
nitrogen fi xation, 12, 79, 215, 258, 260, 261, 273, 274, Odhiambo, Thomas See African Academy of Sciences
293, 386 Odum, Elisabeth, 293
nitrogen (N) immobilization, 258 Odum, Eugene P., 56, 57
nitrogen (N) mineralization, 78, 258 Odum, Howard, 293
nitrogen oxide (NOx), 126, 130, 162, 272, 279 oekology, 186
nitrous oxide (N2O), 87, 165, 258, 259, 269, 365, 367 Ohio, USA (water conservancy districts), 413
reactive nitrogen, 130, 268–269 Oil Sands, Alberta, Canada, 47
water contamination and, 304–305 oil spills, 101, 256, 283, 309
See also Eutrophication See also Atlantic Empress; Deepwater Horizon;
Nitrogen Saturation, 268–269, 271 Exxon Valdez; Komi Republic of Russia;
no-tillage farming, 167, 260, 368–369 Kuwait oil fires; Torrey Canyon
noise pollution See pollution, noise Olmsted, Frederick Law, Sr., 233, 234, 238, 402
nonequilibrium, 316, 380, 381, 384 On the Origin of Species by Natural Selection, 298
See also equilibrial state Ontario, Canada
nongovernmental organizations (NGOs), 51, 76, 169, conservation authorities and water management,
348, 388 60, 414
See also the Nature Conservancy; the Sierra Club; Operation Pollinator, 116
World Wildlife Fund (WWF) organic agriculture, 12, 14, 179
nonpoint source pollution (NPS) organic matter, 8, 9, 12, 256–258, 367
See Pollution, Nonpoint Source. See also Pollution, Organization of Economic Cooperation and
Point Source Development (OECD), 149
Nordic Agroecology University Network (AGROASIS), See also illegal, unreported, and unregulated
13–14 (IUU) fishing
North Africa, 93 organo-chlorine, 9
North America organophosphate, 9, 202
erosion in, 49 Organoponico Vivero Alamar urban garden, 391
fire regimes in, 140, 141 The Other 99%, 65
forests of, 128. 157 Our National Landscape conference of 1979, 403, 404
hunting in, 190–191 Outbreak Species, 286–290
outbreak species in, 190, 287, 288, Outer Continental Shelf Lands Act (1953, USA), 70
rewilding in, 340, 342 overfishing, 149
North Sea, 362 oxidation, 129, 257–258
Northern Hemisphere, 163, 386
Norwegian Sea LME (large marine ecosystem), 244 P
“not in my back yard” (NIMBY) principle, 181
nowcasting, 105 Pacific Ocean, 283
See also hindcasting Pacific Oscillations, 363
nuclear pollution See pollution, nuclear Pacific Rim, 363
Nutrient and Biogeochemical Cycling, 261, Paine, Robert T., 226, 228, 229
270–274 See also Keystone Species
nutrient cycling, 12, 14, 109 Paleocene-Eocene Thermal Maximum, 129
nutrient enrichment, 124, 125 Pan-European Ecological Network (PEEN), 348
See also Eutrophication panbiogeography, 32, 35
nutrient leaching, 104 Parks Canada, 403
nutrient loading, 110, 124, 305 parkways See greenbelt; greenway
See also Eutrophication Paseo Pantera project, 342
patch context, 120
payments for ecosystem services (PES), 114, 115,
Bold entries and page numbers denote encyclopedia articles. 265, 266

INDEX • 431
peace parks, 342 post-introduction evolution, 214

Peak District National Park (UK), 237 Prairie Style of landscape architecture, 233–234
Pearl, Raymond, 56 See also Jensen, Jens
See also Carrying Capacity preindustrial period, 165, 276
Pennsylvania, USA, 88, 356–357 Priorities for the Conservation of Mammalian
People’s Republic of China (PRC) See China Diversity—Has the Panda Had Its Day?, 64
peri-urban zones, 14 Proceedings of the National Academy of Science
permablitz, 295 (PNAS), 188
Permaculture, 10, 12, 14, 292–297 Project GreenHands, 388
Permaculture Design Course (PDC), 295 propagule, 110, 213, 215
Permaculture One, 293 A Prosperous Way Down: Principles and Policies, 293
Permaculture: Principles & Pathways beyond Puerto Penasco, Mexico (marine reserve), 253
Sustainability, 294
See also biodynamic agriculture
pesticides, 110, 222
R
as pollution, 7–10, 11, 49 rain forests, 33
chemical, 288–289 deforestation in, 172
petroleum, 165 See also the Amazon, rainforests in; Asia, tropical
Pew Oceans Commission, 70 rainforests in
pH levels, 256, 277, 278, 279, 280 Rain Gardens, 318–320, 378
phenology, 129, 262 See also wetlands
phenotypes, 23, 43 Ramsar Convention on Wetlands, 114
the Philippines recycling, 408–412
marine-protected ecosystems (MPAs) in, 253–254 Red List of Threatened Species, 28, 133
phosphorus, 126, 269, 305, 306 red tides, 125
Pima County, Arizona, USA See Hillside Development Reefs at Risk report, 116
Overlay Zone Ordinance Reforestation, 321–325, 387
Pittman-Robertson Act (P-R Act) (1937, USA), 191 See also afforestation; deforestation; Rewilding
Planetary Stewardship Initiative, 187 Refugia, 99, 110, 326–329
plano of Colombia, 388 refugium theory, 326–328
Plant-Animal Interactions (PAI), 298–301 Regime Shifts, 83, 280, 330–334, 338
Plato, 113, 193 See also Complexity Theory; thresholds
point source pollution (PSP) reintroduction biology, 371–374
See Pollution, Point Source. See also Pollution, Reintroduction Specialist Group, 371
Nonpoint Source See also Species Reintroduction
pollution relay cropping, 9
air, 110, 180, 233, 250, 308, 345, 356, 359, 395, remediation, 45–47, 65, 89, 259, 366
397, 410 remote sensing technology, 61, 95
atmospheric, 184 residence times
land, 308 of particles in air, 129, 164, 165, 166
noise, 309, 310, 345 of species, 213, 215
nuclear, 201, 310 Resilience, 335–339
water, 18, 24, 208, 245, 250, 283, 308, 356, 359, 367 soil and, 366
white pollution (plastic), 181 species succession and, 368, 369, 382, 383
Pollution, Nonpoint Source, 18–20, 60, 302–307, Resilience Alliance, 337
308–309, 310, 365 Resource Conservation and Recovery Act (RCRA)
Pollution, Point Source, xxii, 19, 60, 61, 302, 308–312 (1976, USA), 408
polyaromatic hydrocarbons (PAHs), 46, 91, 283 resource-enemy release hypothesis, 214
polychlorinated biphenyls (PCBs), 87, 258, 259, 283, 284 respiration, 257
polyculture, 12, 13, 80, 323, 325 anaerobic (no oxygen) respiration, 258
See also monoculture soil respiration, 166
population biology, 54, 56 restoration ecology See ecology, restoration
The Population Bomb, 113 Rewilding, 236, 340–343,
Population Dynamics, 313–316 See also Reforestation

Richards, Ellen Swallow, 185 singmogil, 388

Rideau Canal, Canada, 403 site-specific risk assessment, 45
Rio de Janeiro, 95, 156, 177, 284, 413 Sky Island Alliance, 342
See also Earth Summit of 1992; United Nations skyscraper farms, 392
Conference on Environment and Development slash-and-burn agriculture, 321, 340, 365, 367
(UNCED) See also Fire Management
riparian areas, 18, 49, 51, 60 Sloping Land Conversion Program (SLCP) (China), 116
River Basin Management Plans, 59, 61 Small is Beautiful, 177, 264
River Tyne, UK, 143 small plot intensive (SPIN) farming See Satzewich,
Rivers Board Act (1956, UK), 414 Wally
Road Ecology, 344–350 Society for Ecological Restoration International, 111
Road Ecology: Science and Solutions, 344 Society for Human Ecology, 187
road effect zone, 344 soil
Road to Survival See Vogt, William erosion, 18–19, 49, 365–368, 369
roof gardens, 392 fertility, 12, 78, 80, 156, 270, 295, 366, 367, 368, 369
See also green roofs loss, 50, 296, 366, 368
Root Simple (agriculture blog), 393 properties, 8, 366, 367, 368, 369
quality, 256, 257, 258, 259, 393
S vapor extraction (SVE), 46
Soil Conservation, 49, 95, 365–370, 413, 414
Sable Island, Nova Scotia, Canada, 314 source protection area (SPA), 169–170
Safe Minimum Standard (SMS), 352–353 South Africa, 133, 392
See also cost-benefit analysis fynbos (shrubland vegetation), 213, 216,
the Sahel, Africa, 94 South America, 228
St. Barbe Baker, Richard, 387 South Asian Association for Regional Cooperation
salmon, 99–100, 143–144, 363 (SAARC), 96
A Sand County Almanac, 20 South Central Garden, Los Angeles, California, USA, 392
Sardar Sarovar project, 196–197 Special Committee on Problems with the Environment
Satzewich, Wally, 391 (SCOPE), 212
savanna, tropical, 33 speciation, 22, 326, 327, 328
invasive species in, 109 species diversity, 21–22, 43, 81, 121, 153, 269, 301,
savannization 326, 327
See Desertification See also Biodiversity
“Saving ‘Charismatic’ Animals,” 64 Species Reintroduction, 371–376
scenic conservation See Viewshed Protection; Hillside See also reintroduction biology
Development Overlay Zone Ordinance species richness
Scenic Solutions (Adelaide, Australia), 403 alpha diversity, 22, 32, 79, 80
Scotian Shelf, Nova Scotia, Canada, 154, 361 beta diversity, 22, 32, 79, 80
scotobiology, 246 gamma diversity, 22, 32, 79, 80
See also Light Pollution and Biological Systems delta diversity, 32
sea level rise, 42 See also Biodiversity; Shannon diversity index
sea surface temperatures (SST), 106, 280 stevia, 209
Serengeti National Park, 346 stock-flow resources, 264, 265
Shale Gas Extraction, 354–359 stock flows, 265
Shannon diversity index, 22 The Storm Leopard, 134
See also Biodiversity; species richness stormwater
Shifting Baselines Syndrome, 360–364 as pollution, 19
See also Fisheries Management filtering of, 318–320
Shimba Hills National Park, Kenya, 134 Stormwater Management, 235, 377–379
Silent Spring, 177 strategic action programs (SAP), 242
silviculture, 305 stressors
and ecological restoration, 109, 110,
Study of Critical Environmental Problems, 113
Bold entries and page numbers denote encyclopedia articles. submersed aquatic vegetation (SAV), 124

INDEX • 433
Succession, 24, 380–384 transboundary diagnostic analyses (TDA),

succession model, 380, 381, 384 242–243
successional seres, 381 Transboundary Protected Areas for Peace and
sulfur, 164, 305 Co-operation, 342
sulfur dioxide, 165 See also Man and the Biosphere Programme
Superfund Act (1980, US), 411 Transition Initiatives, 390
Sustainable Development of the World’s Large Marine Transition Town movement (Ireland), 295
Ecosystems During Climate Change, 244 translocation, 371–376
sustainable forest management (SFM), 156, 157, 158–159 Tree Planting, 386–388
See also Forest Management tree-planting day See singmogil
Sustainable Sites Initiative (SITES), 234 treelines, 42, 121
See also Lady Bird Johnson Wildflower Center triple bottom line, 197, 236, 265
Sweden, 88, 89 financial capital, 265
Sweet Beginnings, 392 human capital, 265
Sweetwater Alliance, 319 See also Natural Capital
swidden agriculture See slash-and-burn agriculture trophic interactions, 78, 79, 80, 155
System of Environmental and Economic Accounts See also Bailey, Joseph
(SEEA), 265 Tropical Agriculture Research and Higher Education
Center See Centro Agronómico Tropical de
T Investigación y Enseñanza (CATIE)
TRY Initiative, 105
10,000 Rain Gardens, 319 tundra, 33, 41, 42, 163
Tapped, 180
See also Groundwater Management; Home Ecology
tax incremental financing, 45
U
taxon (taxa), 31–32, 35, 202, 203 unacceptable costs, 353
See also Linnaean hierarchy See also Safe Minimum Standard (SMS)
Tennessee Valley Authority (TVA), 87, 414 Union of Soviet Social Republics (USSR) State
tephra, 309 Committee on Standards, 308
Terai Arc Landscape Project, 342 United Kingdom
Texas, USA biodiversity in, 113
air pollution in, 357 environmental management in, 47, 59, 61
hydraulic fracturing (fracking) in, 354–355, 356 national parks in, 237
oil drilling in, 19 United Kingdom Environment Agency (UKEA), 44
Three Gorges Dam, China, 87 United Kingdom National Park Authorities, 237
Three Mile Island, 310 United Nations (UN), 15, 93, 94, 95, 113, 265, 302
theory of seed plant invasiveness, 215 Billion Tree Campaign, 325
thresholds Collaborative Programme on Reducing Emissions
in regime shifts, 333, 336 from Deforestation and Forest Degradation in
in species succession, 382–383 Developing Countries (REDD), 30, 113, 114
See also Complexity Theory Commission on Human Rights (UNCHR), 204
Tierra del Fuego, Argentina, 228 Conference on Environment and Development
tillage, 258, 259, 365 (UNCED), 95, 156, 413
See also no-tillage farming Convention to Combat Desertification (UNCCD),
tipping point, 277, 353, 357 93, 95, 208
top-down control, 152, 155, 340, 341, 342 Convention on the Law of the Sea, 148, 284
See also bottom-up control Declaration on the Rights of Indigenous Peoples
Toronto, Canada, 248 (UNDRIP), 204
Torrey Canyon, 309 Development Programme (UNDP), 209, 242
See also oil spills Educational, Scientific and Cultural Organization
total economic value (TEV), 115 (UNESCO), 75, 187, 342, 399
total maximum daily loads (TMDL), 306 See also Man and the Biosphere Programme
traditional knowledge (TK) See Indigenous Peoples and Environment Programme (UNEP), 95–96, 112, 206,
Traditional Knowledge 208, 242, 348

United Nations (UN)—Cont.

UNEP’s Plan of Action to Combat Desertification
V
(PACD), 96 “The Value of the World’s Ecosystem Services and
Food and Agriculture Organization (FAO), 146, 148, Natural Capital,” 265
149, 242, 282, 289, 321 Vasudev, Sadhguru Jaggi See Isha Foundation
Framework Convention on Climate Change Verhulst, Pierre-François, 56
(UNFCCC), 113, 208 See also Carrying Capacity
General Assembly, 204 Viewshed Protection, 402–406
Industrial Development Organization (UNIDO), 242 analysis, 404–405
Millennium Development Goal (MDG), 302 ordinances, 404, 405
Millennium Ecosystem Assessment (MA), 63, 71, virtual fencing, 136
112, 113, 114, 216, 262 visual impact assessment, 237, 238, 404
Working Group on Indigenous Populations, 205 See also landscape impact assessment
United States Visual Management System (VMS), 403, 405
agriculture in, 13, 15, 369, 391 Vogt, William, 57
Army Corps of Engineers, 86 volatile organic compounds (VOCs), 139, 180
biofuel production in, 367 volcanic eruptions, 164, 165, 309, 321
Botanic Garden, Washington, DC, 234 von Ciriacy-Wantrup, Sigfried, 352
Bureau of Land Management (BLM), 55, 405, 418 See also Safe Minimum Standard (SMS)
Commission on Ocean Policy, 69 von Liebig, Justus, 270
dam removal in, 86, 87, 88, 89 See also law of the minimum
Department of Agriculture (USDA), 12, 224, vulnerability map, 169
402, 403, 418
Department of Interior, 418 W
ecological forecasting in, 105
environmental management in, 19, 45, 55, 71, 157, waste, 180–181, 295
174, 244, 365 animal, 125
Environmental Protection Agency (EPA), 44, e-waste, 181–182
45, 46 hazardous waste, 19, 91, 408–410, 411, 412
environmentalism in, 176–178 industrial waste, 181, 260, 408
fire management in, 101, 138, 139, 141, 157 medical waste, 409
Fish and Wildlife Service (FWS), 418–419 municipal solid waste (MSW), 395,
Forest Service (FS), 55, 140, 157, 402, 403, 404, 418 408–412
gas extraction in, 354–356, 359 solid waste, 305, 409, 411
hunting in, 190–191 toxic waste, 179, 181, 412
National Oceanic and Atmospheric Administration See also Waste Management
(NOAA), 105, 240, 242, 243 Waste Business Journal, 409
National Park Service (NPS), 75–76, 237, 418 Waste Management, 181, 408–412
national parks in, 233, 237, 417 water balance equation, 196
National Research Council (NRC), 68, 278 water gardens, 180, 319
pollution in, 125, 302, 304, 305–306 water pollution See pollution, water
rewilding in, 340 Water Resource Management, Integrated (IWRM),
species invasions in, 216 413–416
waste management in, 408–412 water scarcity, 197
wilderness in, 417–420 water treatment, 52, 71, 170, 306
Urban Agriculture, 15, 390–394 watersheds, 18–19, 71, 91, 413–415
Urban Farming (non-profit organization), 391 management, 91
urban farming, 391, 392 management agency, 414
Urban Forestry, 233, 392, 395–397 services, 114
Urban Vegetation, 398–400 See also catchments, Catchment Management
US v. Washington (1974), 75 watershed-based regional planning, 187
wealth accounting and valuation of ecosystem services
(WAVES), 113
Bold entries and page numbers denote encyclopedia articles. Web of Science (academic search tool), 229

INDEX • 435
wetlands, 49, 114, 257, 318, 378 World Water Council, 59–60
See also Rain Gardens World Wildlife Fund (WWF), 76, 242
White Sea, 363 World Wide Fund for Nature (WWF), 29, 65
Wilderness Act (1964, USA), 418
Wilderness Areas, 417–420
Wilderness Society, 419
Y
wildfires, 138, 139, 140 Yangzi (Chang) River, China, 87
“Wildlands and Human Needs,” 76 “year without a summer,” 309
See also World Wildlife Fund (WWF) Yellow Sea LME (large marine ecosystem),
Wildlife Habitat Benefits Estimation Toolkit, 114 243, 244
wildlife management, 419, 54, 55, 56, 233 Yellowstone National Park
Willamette River, 144 fire management in, 140
Wisconsin, USA, 88, 377 wolf reintroduction to, 154, 364
Wittfogel, Karl, 220 Yellowstone to Yukon Initiative (Y2Y), 342
See also Irrigation See also Biological Corridors
Working Group of Experts on Biological Diversity, 208 Yosemite National Park, 74
World Bank, 206, Younger Dryas, 164
World Business Council for Sustainable Development See also Holocene epoch
(WBCSD), 116 Yunnan Province, China, 309
World Commission on Dams (WCD), 86
World Resources Institute (WRI), 114 Z
World Summit on Sustainable Development, 148, 243,
252, 284 Zoological Society of London, 64

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ECOSYSTEM MANAGEMENT AND